HomeMy WebLinkAbout20003034.tiff RESOLUTION
RE: APPROVE 2001 GRANT APPLICATION CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS AND
AUTHORIZE CHAIR TO SIGN
WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to
Colorado statute and the Weld County Home Rule Charter, is vested with the authority of
administering the affairs of Weld County, Colorado, and
WHEREAS, the Board has been presented with the 2001 Grant Application
Certifications and Assurances for the Federal Transit Administration Assistance Programs from
the County of Weld, State of Colorado, by and through the Board of County Commissioners of
Weld County, on behalf of the Department of Human Services, to the Federal Transit
Administration, with terms and conditions being as stated in said application certifications and
assurances, and
WHEREAS, after review, the Board deems it advisable to approve said application
certifications and assurances, copies of which are attached hereto and incorporated herein by
reference.
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of
Weld County, Colorado, that the 2001 Grant Application Certifications and Assurances for the
Federal Transit Administration Assistance Programs from the County of Weld, State of
Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the
Department of Human Services, to the Federal Transit Administration be, and hereby are,
approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized
to sign said application certifications and assurances.
The above and foregoing Resolution was, on motion duly made and seconded, adopted
by the following vote on the 11th day of December, A.D., 2000.
BOARD OF COUNTY COMMISSIONERS
W D COUNTY, COL RADO
ATTEST: timil / `job i i _
arbara J. ' kmey r, Chair
Weld County Clerk to th=` • - �; ;1ti..,,,
e, Pro-Tem
BY: i��. • :i�►�l 1. .�J�
Deputy Clerk to the Boma( I ��q 6� e �c zet
rge naxter
1oiM
EXCUSED
Glenn Vaad
2000-3034
Pc / �C HR0071
MEMORANDUM
TO: Barbara J. Kirkmeyer, Chair, Board of County
W
IlD
CommissionersFROM: Walter J. Speckman, Executive Director, Human !J.1)
Services
COLORADO DATE: December 8, 2000
SUBJECT: Federal Transit Administration (FTA) Grant
Certifications and Assurances
Enclosed for Board approval are the Certifications and Assurances for FTA Assistance for
the Grant Application for Federal FY 2001 between the Federal Transit Administration and
the Weld County Division of Human Services.
If you have questions, please call me at extension 3317.
x'000 ![34
Appendix A
FEDERAL FISCAL YEAR 2001 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
In accordance with 49 U.S.C. 5323(n), the following certifications and assurances have been
compiled for Federal Transit Administration (FTA)programs. FTA requests each Applicant to
provide as many certifications and assurances as needed to cover all programs for which it will
seek FTA assistance in Federal Fiscal Year 2001. FTA strongly encourages the Applicant to
submit its certifications and assurances through FTA's Transportation Electronic Award and
Management(TEAM) system.
The 15 Categories of certifications and assurances are listed by numbers 1 through 15 on the
Cert's &Assurances tab page of the TEAM system and on the opposite side of the Signature
Page at the end of this document. Categories 2 through 15 will apply to some, but not all,
applicants. The designation of the 15 categories corresponds to the circumstances mandating
submission of specific certifications, assurances, or agreements.
1. CERTIFICATIONS AND ASSURANCES REQUIRED OF EACH APPLICANT
Each Applicant for FTA assistance awarded must provide all certifications and assurances in
this Category "1." FTA may not award any Federal assistance until the Applicant provides
these certifications and assurances by selecting Category "1."
A. Authority of Applicant and Its Representative
The authorized representative of the Applicant and attorney who sign these certifications,
assurances, and agreements affirm that both the Applicant and its authorized representative have
adequate authority under state and local law and the by-laws or internal rules of the Applicant
organization to:
(1) Execute and file the application for Federal assistance on behalf of the Applicant;
(2.) Execute and file the required certifications, assurances, and agreements on behalf of the
Applicant binding the Applicant; and
(3) Execute grant agreements and cooperative agreements with FTA on behalf of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable Federal statutes, regulations,
executive orders, FTA circulars, and other Federal administrative requirements in carrying out
any project supported by the FTA grant or cooperative agreement. The Applicant agrees that it
is under a continuing obligation to comply with the terms and conditions of the grant agreement
or cooperative agreement issued for its project with FTA. The Applicant recognizes that Federal
laws, regulations, policies, and administrative practices might be modified from time to time and
affect the implementation of the project. The Applicant agrees that the most recent Federal
requirements will apply to the project, unless FTA issues a written determination otherwise.
Appendix A
C. Debarment, Suspension, and Other Responsibility Matters for Primary Covered Transactions
As required by U.S. DOT regulations on Governmentwide Debarment and Suspension
(Nonprocurement) at 49 CFR 29.510:
(1) The Applicant (Primary Participant) certifies, to the best of its knowledge and belief, that i
and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any Federal department or agency;
(b) Have not, within a three (3) year period preceding this certification, been convicted of or
had a civil judgment rendered against them for 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, violation of Federal or slate
antitrust statutes, or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, state, or local) with commission of any of the offenses
listed in subparagraph (1)(b) of this certification; and
(d) Have not within a three-year period preceding this certification had one or more public
transactions (Federal, state, or local) terminated for cause or default.
(2) The Applicant also certifies that, if it later becomes aware of any information contradicting
the statements of paragraph (1.) above. it will promptly provide that information to FTA.
(3) If the Applicant (Primary Participant) is unable to certify to all statements in paragraphs (1)
and (2) of this certification, it shall indicate so in its applications, or in the transmittal letter
or message accompanying its annual certifications and assurances, and provide a written
explanation to FTA.
D. Drug-Free Workplace Agreement
As required by U.S. DOT regulations, "Drug-Free Workplace Requirements (Grants)," 49 CFR
part 29, Subpart F, as modified by 41 U.S.C. 702, the Applicant agrees that it will provide a
drug-free workplace by:
(1) Publishing a statement notifying its employees that the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance is prohibited in its workplace and
specifying the actions that will be taken against its employees for violation of that
prohibition;
(2) Establishing an ongoing drug-free awareness program to inform its employees about:
(a) The dangers of drug abuse in the workplace;
(b) Its policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, and employee assistance programs; and
(d)The penalties that may be imposed upon its employees for drug abuse violations
occurring in the workplace;
(3) Making it a requirement that each of its employees to be engaged in the performance of the
grant or cooperative agreement be given a copy of the statement required by paragraph (1) of
this certification;
(4) Notifying each of its employees in the statement required by paragraph (1) of this
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Appendix A
certification that, as a condition of employment financed with Federal assistance provided by
the grant or cooperative agreement, the employee will be required to:
(a) Abide by the terms of the statement; and
(b) Notify the employer (Applicant) in writing of any conviction for a violation of a criminal
drug statute occurring in the workplace no later than five (5) calendar days after that
conviction;
(5) Notifying FTA in writing, within ten (10) calendar days after receiving notice required by
paragraph (4)(b) above from an employee or otherwise receiving actual notice of that
conviction. The Applicant, as employer of any convicted employee, must provide notice,
including position title, to every project officer or other designee on whose project activit)
the convicted employee was working. Notice shall include the identification number(s) of
each affected grant or cooperative agreement;
(6) Taking one of the following actions within thirty (30) calendar days of receiving notice under
paragraph (4)(b) of this agreement with respect to any employee who is so convicted:
(a) Taking appropriate personnel action against that employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or
(b) Requiring that employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, state, or local health, law
enforcement, or other appropriate agency; and
(7) Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs (1), (2), (3), (4), (5), and (6) of this agreement. The Applicant
agrees to maintain a list identifying its headquarters location and each workplace it maintains
in which project activities supported by FTA are conducted, and make that list readily
accessible to FTA.
E. Intergovernmental Review Assurance
The Applicant assures that each application for Federal assistance it has submitted or will submit
to FTA has been or will be submitted for intergovernmental review to the appropriate state and
local agencies consistent with the requirements of the state or states affected. Specifically, the
Applicant assures that it has fulfilled or will fulfill the obligations imposed on FTA by U.S. DOT
regulations, "Intergovernmental Review of Department of Transportation Programs and
Activities," 49 CFR part 17.
F. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on the basis of race, color, creed,
national origin, sex, or age, and prohibits discrimination in employment or business opportunity),
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, and U.S. DOT
regulations, "Nondiscrimination in Federally-Assisted Programs of the Department of
Transportation--Effectuation of Title VI of the Civil Rights Act," 49 CFR part 21 at 21.7. the
Applicant assures that it will comply with all requirements of 49 CFR part 21; FTA Circular
4702.1, "Tide VI Program Guidelines for Federal Transit Administration Recipients", and other
applicable directives, so that no person in the United States, on the basis of race, color, national
3
Appendix A
origin, creed, sex, or age will be excluded from participation in, be denied the benefits of, or
otherwise be subjected to discrimination in any program or activity (particularly in the level and
quality of transportation services and transportation-related benefits) for which the Applicant
receives Federal assistance awarded by the U.S. DOT or FTA as follows:
(1) The Applicant assures that each project will be conducted, property acquisitions will he
undertaken, and project facilities will be operated in accordance with all applicable
requirements of 49 U.S.C. 5332 and 49 CFR part 21, and understands that this assurance
extends to its entire facility and to facilities operated in connection with the project.
(2) The Applicant assures that it will take appropriate action to ensure that any transferee
receiving property financed with Federal assistance derived from FTA will comply with the
applicable requirements of 49 U.S.C. 5332 and 49 CFR part 21.
(3) The Applicant assures that it will promptly take the necessary actions to effectuate this
assurance, including notifying the public that complaints of discrimination in the provision of
transportation-related services or benefits may be filed with U'.S. DOT or FTA. Upon
request by U.S. DOT or FTA, the Applicant assures that it will submit the required
information pertaining to its compliance with these requirements.
(4) The Applicant assures that it will make any changes in its 49 U.S.C. 5332 and Title VI
implementing procedures as U.S. DOT or ETA may request.
(5) As required by 49 CFR 21.7(a)(2), the Applicant will include in each third party contract or
subagreement provisions to invoke the requirements of 49 U.S.C. 5332 and 49 CFR part 21.
and include provisions to invoke those requirements in deeds and instruments recording the
transfer of real property, structures, improvements.
G. Disadvantaged Business Enterprise Assurance
In accordance with 49 CFR 26.13(a), the Recipient assures that it shall not discriminate on the
basis of race, color, national origin, or sex in the implementation of the project and'in the award
and performance of any third party contract, or subagreement supported with Federal assistance
derived from the U.S. DOT or in the administration of its DBE program or the requirements of
49 CFR part 26. The Recipient assures that it shall take all necessary and reasonable steps under
49 CFR part 26 to ensure nondiscrimination in the award and administration of all third party
contracts and subagreements supported with Federal assistance derived from the U.S. DOT. The
Recipient's DBE program, as required by 49 CFR part 26 and approved by the U.S. DOT., will he
incorporated by reference and made part of the grant agreement or cooperative agreement for any
Federal assistance awarded by FTA or U.S.DOT. Implementation of this DBE program is a legal
obligation of the REcipient, and failure to carry out its terms shall be treated as a violation of the
grant agreement or cooperative agreement. Upon notification by the Government to the
Recipient of its failure to implement its approved DBE program, the U.S. DOT may impose
sanctions as provided for under 49 CFR part 26 and may, in appropriate cases, refer the matter
for enforcement under 18 U.S.C. 1001, and/or the Program Fraud Civil Remedies Act, 31 U.S.C.
3801 etseq.
H. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in ProgrAnis
4
Appendix A
and Activities Receiving or Benefiting from Federal Financial Assistance," at 49 CFR part 27.
the Applicant assures that, as a condition to the approval or extension of any Federal assistance
awarded by FTA to construct any facility, obtain any rolling stock or other equipment, undertake
studies, conduct research, or to participate in or obtain any benefit from any program
administered by FTA, no otherwise qualified person with a disability shall be, solely by reason
of that disability, excluded from participation in, denied the benefits of, or otherwise subjected to
discrimination in any program or activity receiving or benefiting from Federal assistance
administered by the FTA or any entity within U.S. DOT. The Applicant assures that project
implementation and operations so assisted will comply with all applicable requirements of U.S.
DOT regulations implementing the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794. and
the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq. at 49 CFR
parts 27, 37, and 38, and any applicable regulations and directives issued by other Federal
departments or agencies.
I. Procurement Compliance
The Applicant certifies that its procurements and procurement system will comply with all
applicable requirements imposed by Federal laws, executive orders, or regulations and the
requirements of FTA Circular 4220.1D, "Third Party Contracting Requirements," and FTA third
party contracting regulations when promulgated, as well as other requirements FTA may issue.
The Applicant certifies that it will include in its contracts financed in whole or in part with FTA
assistance all clauses required by Federal laws, executive orders, or regulations, and will ensure
that each subrecipient and each contractor will also include in its subagreements and contracts
financed in whole or in part with FTA assistance all applicable clauses required by Federal laws,
executive orders, or regulations.
J. Certifications Prescribed by the Office of Management and Budget (SF-424B and SF-424D)
As required by the Office of Management and Budget(OMB), the Applicant certifies that it:
(1) Has the legal authority to apply for Federal assistance and the institutional, managerial, and
financial capability (including funds sufficient to pay the non-Federal share of project cost
to ensure proper planning, management, and completion of the project described in its
application;
(2) Will give FTA, the Comptroller General of the United States and, if appropriate, the state,
through any authorized representative, access to and the right to examine all records, books..
papers, or documents related to the award; and will establish a proper accounting system in
accordance with generally accepted accounting standards or agency directives;
(3) Will establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or presents the appearance of personal or organizational conflict of interest or
personal gain;
(4) Will initiate and complete the work within the applicable project time periods following
receipt of FTA approval;
(5) Will comply with all statutes relating to nondiscrimination including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which prohibits discrimination on the
basis of race, color, or national origin;
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Appendix A
(b) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 through
1683, and 1685 through 1687, and U.S. DOT regulations, "Nondiscrimination on the
Basis of Sex in Education Programs or Activities Receiving Federal Financial
Assistance," 49 C.F.R. part 25, which prohibits discrimination on the basis of sex:.
(c) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, which
prohibits discrimination on the basis of handicaps;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101 through 6107. which
prohibit discrimination on the basis of age;
(e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-255, March 21, 1972, aid
amendments thereto, relating to nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, Pub. L.
91-616, Dec. 31, 1970, and amendments thereto, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 290dd-3 and 290ee-3,
related to confidentiality of alcohol and drug abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., relating to nondiscrimination in
the sale, rental, or financing of housing;
(i) Any other nondiscrimination provisions in the specific statutes under which Federal
assistance for the project may be provided including, but not limited to section 1101(b) of
the Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note, which provide,
for participation of disadvantaged business enterprises in FTA programs; and
(j) The requirements of any other nondiscrimination statute(s) that may apply to the project.
(6) Will comply, or has complied, with the requirements of Titles H and III of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended.
(Uniform Relocation Act) 42 U.S.C. 4601 et seq.. which provide for fair and equitable
treatment of persons displaced or whose property is acquired as a result of Federal of
federally-assisted programs. These requirements apply to all interests in real property
acquired for project purposes regardless of Federal participation in purchases. As required
by U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for
Federal and Federally Assisted Programs," at 49 CFR 24.4, and sections 210 and 305 of the
Uniform Relocation Act, 42 U.S.C. 4630 and 4655, the Applicant assures that it has the
requisite authority under applicable state and local law and will comply or has complied with
the requirements of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT
regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally Assisted Programs," 49 CFR part 24 including, but not limited to the following:
(a) The Applicant will adequately inform each affected person of the benefits, policies, and
procedures provided for in 49 CFR part 24;
(b) The Applicant will provide fair and reasonable relocation payments and assistance
required by 42 U.S.C. 4622, 4623, and 4624; 49 CFR part 24; and any applicable FTA
procedures, to or for families, individuals, partnerships, corporations or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs offering the services descrhed
in 42 U.S.C. 4625 to such displaced families, individuals,partnerships, corporations, or
associations in the manner provided in 49 CFR part 24 and FTA procedures;
(d) Within a reasonable time before displacement, the Applicant will make available
6
Appendix A
comparable replacement dwellings to displaced families and individuals as required by
42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such a manner as to provide
displaced persons with uniform and consistent services, and will 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) In acquiring real property, the Applicant will be guided to the greatest extent practicable
under state law, by the real property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for necessary expenses as specified
in 42 U.S.C. 4653 and 4654, with the understanding that FTA will participate in the
Applicant's eligible costs of providing payments for those expenses as required by
42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party contracts and subagreements
financed with FTA assistance and execute, furnish, and be bound by such additional
documents as FTA may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or incorporate them by reference
into any third party contract or subagreement, or any amendments thereto, relatin.g to any
project financed by ETA involving relocation or land acquisition and provide in any
affected document that these relocation and land acquisition provisions shall supersede
any conflicting provisions;
(7) To the extent applicable, will comply with the Davis-Bacon Act, as amended, 40 U.S.C. 276a
through 276a(7), the Copeland Act, as amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the
Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 327 through 333,
regarding labor standards for federally-assisted subagreements;
(8) To the extent applicable, will comply with flood insurance purchase requirements of
section 102(a) of the Flood Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a),
requiring recipients in a special flood hazard area to participate in the program and purchase
flood insurance if the total cost of insurable construction and acquisition is $10,000 or more:
(9) Will comply with the Lead-Based Paint Poisoning Prevention Act, 42 U.S.C. 4801, which
prohibits the use of lead-based paint in construction or rehabilitation of residence structures;
(10) Will not dispose of, modify the use of, or change the terms of the real property title, or other
interest in the site and facilities on which a construction project supported with FTA
assistance takes place without permission and instructions from the awarding agency;
(11) Will record the Federal interest in the title of real property in accordance with FTA
directives and will include a covenant in the title of real property acquired in whole or in part
with Federal assistance funds to assure nondiscrimination during the useful life of the
project;
(12) Will comply with FTA requirements concerning the drafting, review, and approval of
construction plans and specifications of any construction project supported with FTA
assistance. As required by U.S. DOT regulations, "Seismic Safety," 49 CFR 41.117(d),
before accepting delivery of any building financed with FTA assistance, it will obtain a
certificate of compliance with 49 CFR part 41 seismic design and construction requirements;
(13) Will provide and maintain competent and adequate engineering supervision at the
construction site of any project supported with FTA assistance to ensure that the complete
7
Appendix A
work conforms with the approved plans and specifications and will furnish progress report:
and such other information as may be required by FTA or the state;
(14) Will comply with environmental standards that may be prescribed to implement the
following Federal laws and executive orders:
(a) Institution of environmental quality control measures under the National Environmental
Policy Act of 1969, as amended, 42 U.S.C. 4321 et seq. and Executive Order No.
11514, as amended, 42 U.S.C. 4321 note;
(b) Notification of violating facilities pursuant to Executive Order No. 11738, 42 U.S.C.
7606 note;
(c) Protection of wetlands pursuant to Executive Order No. 11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance with Executive Order 119 ,
42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved state management program
developed pursuant to the requirements of the Coastal Zone Management Act of 1972,
as amended, 16 U.S.C. 1451 et seq.;
(f) Conformity of Federal actions to State (Clean Air) Implementation Plans under
section 176(c) of the Clean Air Act of 1955, as amended, 42 U.S.C. 7401 et seq.:
(g) Protection of underground sources of drinking water under the Safe Drinking Water No.
of 1974, as amended, 42 U.S.C. 300h et seq.;
(h) Protection of endangered species under the Endangered Species Act of 1973, as
amended, Endangered Species Act of 1973, as amended, 16 U.S.C. 1531 et seq.; and
(i) Environmental protections for Federal transit programs, including, but not limited to
protections for a park, recreation area, or wildlife or waterfowl refuge of national. stutc,
or local significance or any land from a historic site of national, state, or vocal
significance used in a transit project as required by 49 U.S.C. 303;
(j) Will comply with the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. 1271
et seq. relating to protecting components of the national wild and scenic rivers systems;
and
(k) Will assist FTA in assuring compliance with section 106 of the National Historic
Preservation Act of 1966, as amended, 16 U.S.C. 470f, Executive Order No. 1'1593
(identification and protection of historic properties), 16 U.S.C. 470 note, and the
Archaeological and Historic Preservation Act of 1974, as amended, 16 U.S.C. 46'9a-1 et
seq.;
(15) To the extent applicable, will comply with provisions of the Hatch Act, 5 U.S.C. 1501
through 1508, and 7324 through 7326, which limit the political activities of state and loca
agencies and their officers and employees whose principal employment activities are
financed in whole or part with Federal funds including a Federal loan, grant, or cooperative
agreement, but pursuant to 23 U.S.C. 142(g), does not apply to a nonsupervisory employee of
a transit system (or of any other agency or entity performing related functions) receiving
FTA assistance to whom the Hatch Act does not otherwise apply;
(16) Will comply with the National Research Act, Pub. L. 93-348, July 12, 1974, as amended.
regarding the protection of human subjects involved in research, development, and related
activities supported by Federal assistance and DOT regulations, "Protection of Human
Subjects," 49 CFR part 11;
(17) Will comply with the Laboratory Animal Welfare Act of 1966, as amended, 7 U.S.C. 21 1 I
8
Appendix A
et seq. pertaining to the care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by FTA assistance;
(18) Will have performed the financial and compliance audits required by the Single Audit Act
Amendments of 1996, 31 U.S.C. 7501 et seq. and OMB Circular No. A-133, "Audits of
States, Local Governments, and Non-Profit Organizations and Department of Transportation
provisions of OMB A-133 Compliance Supplement, March 2000"; and
(19) Will comply with all applicable requirements of all other Federal laws, executive orders,
regulations, and policies governing the project.
2. LOBBYING CERTIFICATION FOR AN APPLICATION EXCEEDING$100,001)
An Applicant that submits, or intends to submit this fiscal year, an application for Federal
assistance exceeding $100,000 must provide the following certification. FTA may not award
Federal assistance for an application exceeding $100,000 until the Applicant provides this
certification by selecting Category "2."
A. As required by U.S. DOT regulations, "New Restrictions on Lobbying," at 49 CFR 20.110,
the Applicant's authorized representative certifies to the best of his or her knowledge and
belief that for each application for a Federal assistance exceeding $100,000:
(1) No Federal appropriated funds have been or will be paid, by or on behalf of the
Applicant, to any person for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress pertaining to the award of any Federal assistance. or
the extension, continuation, renewal, amendment, or modification of any Federal
assistance agreement; and
(2) If any funds other than Federal appropriated funds have been or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with any application to FTA for Federal assistance, the
Applicant assures that it will complete and submit Standard Form-LLL, "Disclosure
Form to Report Lobbying," including the information required by the form's instructions,
which may be amended to omit such information as permitted by 31 U.S.C. 1352.
B. The Applicant understands that this certification is a material representation of fact upon
which reliance is placed and that submission of this certification is a prerequisite for
providing Federal assistance for a transaction covered by 31 U.S.C. 1352. The Applicant
also understands that any person who fails to file a required certification shall be subject to a
civil penalty of not less than $10,000 and not more than$100,000 for each such failure.
3. CERTIFICATION PERTAINING TO THE EFFECTS OF THE PROJECT ON
PRIVATE MASS TRANSPORTATION COMPANIES
An Applicant that is a state or local government seeking Federal assistance authorized by 49
U.S.C. chapter 53 to acquire the property of or an interest therein of a private mass
transportation company or to operate mass transportation equipment or a facility in competition
with or in addition to transportation service provided by an existing mass transportation
9
Appendix A
company must provide the following certification. FTA may not award Federal assistance for
that project until the Applicant provides this certification by selecting Category "3."
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that before it acquires property or an
interest in property of a private mass transportation company or operates mass transportation
• equipment or a facility in competition with or in addition to transportation service provided b} an
existing mass transportation company it has or will have:
A. Found that the assistance is essential to carrying out a program of projects as determined by
the plans and programs of the metropolitan planning organization;
B. Provided for the participation of private mass transportation companies to the maximum
extent feasible consistent with applicable FTA requirements and policies;
C. Paid just compensation under state or local law to a private mass transportation company for
its franchises or property acquired; and
D. Acknowledged that the assistance falls within the labor standards compliance requirements
of 49 U.S.C. 5333(a) and 5333(6).
4. PUBLIC HEARING CERTIFICATION FOR A CAPITAL PROJECT THAT WIL L
SUBSTANTIALLY AFFECT A COMMUNITY OR ITS TRANSIT SERVICE
An Applicant seeking Federal assistance authorized by 49 U.S.C. chapter 53 for a capital project
that will substantially affect a community or the community's mass transportation service mu.,t
provide the following certification. FTA may not award Federal assistance for that project until
the Applicant provides this certification by selecting Category "4."
As required by 49 U.S.C. 5323(b), the Applicant certifies that it has, or before submitting its
application, will have:
A. Provided an adequate opportunity for a public hearing with adequate prior notice of the
proposed project published in a newspaper of general circulation in the geographic area to be
served;
B. Held that hearing and provided FTA a transcript or detailed report summarizing the issues
and responses, unless no one with a significant economic, social, or environmental interest
requests a hearing;
C. Considered the economic, social, and environmental effects of the project; and
D. Determined that the project is consistent with official plans for developing the urban area.
5. CERTIFICATION OF PRE-AWARD AND POST-DELIVERY REVIEWS
REQUIRED FOR ACQUISITION OF ROLLING STOCK
An Applicant seeking FTA assistance to acquire rolling stock must provide the following
certification. FTA may not provide assistance to acquire rolling stock until the Applicant
provides this certification by selecting Category "5."
A.s required by 49 U.S.C. 5323(m) and implementing FTA regulations at 49 CFR 663.7, the
Applicant certifies that it will comply with the requirements of 49 CFR part 663 when procuring
revenue service rolling stock. Among other things, the Applicant agrees to conduct or cause •o
to
Appendix A
be conducted the requisite pre-award and post-delivery reviews, and maintain on tile the
certifications required by 49 CFR part 663, subparts B, C, and D.
6. BUS TESTING CERTIFICATION REQUIRED FOR NEW BUS ACQUISITIONS
An Applicant seeking FTA assistance to acquire new buses must provide the following
certification. FTA may not provide assistance for the acquisition of new buses until the
Applicant provides this certification by selecting Category "6."
As required by FTA regulations, "Bus Testing," at 49 CFR 665.7, the Applicant certifies that
before expending any Federal assistance to acquire the first bus of any new bus model or any bus
model with a new major change in configuration or components or authorizing final acceptance
of that bus (as described in 49 CFR part 665):
A. The model of the bus will have been tested at a bus testing facility approved by ETA; and
B. It will have received a copy of the test report prepared on the bus model.
7. CHARTER SERVICE AGREEMENT
An Applicant seeking FTA assistance to acquire or operate transportation equipment or facilities
using Federal assistance authorized by 49 U.S.C. chapter 53 or Title 23, U.S.C. (except 49
U.S.C. 5310) must enter into the following charter service agreement. FTA may not provide
assistance for those projects until the Applicant enters into this agreement by selecting Category
A. As required by 49 U.S.C. 5323(d) and FTA regulations, "Charter Service," at 49 CFR 604 7.
the Applicant agrees that it and its recipients will:
(1) Provide charter service that uses equipment or facilities acquired with Federal assistance
authorized for 49 U.S.C. 5307, 5309, or 5311 or Title 23 U.S.C., only to the extent that
there are no private charter service operators willing and able to provide the charter
service that it or its recipients desire to provide, unless one or more of the exceptions in
49 CFR 604.9 applies; and
(2) Comply with the provisions of 49 CFR part 604 before they provide any charter service
using equipment or facilities acquired with Federal assistance authorized for the above
statutes.
B. The Applicant understands that the requirements of 49 CFR part 604 will apply to any
charter service provided, the definitions in 49 CFR part 604 apply to this agreement, and
violation of this agreement may require corrective measures and the imposition of penalties,
including debarment from the receipt of further Federal assistance for transportation.
8. SCHOOL TRANSPORTATION AGREEMENT
An Applicant seeking FTA assistance to acquire or operate transportation facilities and
equipment using Federal assistance authorized by 49 U.S.C. chapter 53 or Title 23, U.S.C. must
agree as follows. FTA may not provide assistance for transportation facilities until the
Applicant enters into this Agreement by selecting Category "8."
Appendix A
A. As required by 49 U.S.C. 5323(f) and FTA regulations, "School Bus Operations," at 49 CFR
605.14, the Applicant agrees that it and all its recipients will.:
(1) Engage in school transportation operations in competition with private school
transportation operators only to the extent permitted by 49 U.S.C. 5323(f), and
implementing regulations: and
(2) Comply with the requirements of 49 CFR part 605 before providing any school
transportation using equipment or facilities acquired with Federal assistance awarded iv
FTA and authorized by 49 U.S.C. chapter 53 or Title 23 U.S.C. for transportation
projects.
B. The Applicant understands that the requirements of 49 CFR part 605 will apply to any school
transportation it provides, the definitions of 49 CFR part 605 apply to this school
transportation agreement, and a violation of this agreement may require corrective measures
and the imposition of penalties, including debarment from the receipt of further Federal
assistance for transportation.
9. CERTIFICATION REQUIRED FOR THE DIRECT AWARD OF FTA ASSISTANCE
TO AN APPLICANT FOR ITS DEMAND RESPONSIVE SERVICE
An Applicant seeking direct Federal assistance to support demand responsive service must
provide the following certification. FTA may not award Federal assistance directly to an
Applicant to support its demand responsive service until the Applicant provides this certification
by selecting Category "9. "
As required by U.S. DOT regulations, "Transportation Services for Individuals with Disabilities
(ADA)," at 49 CFR 37.77, the Applicant certifies that its demand responsive service offered to
persons with disabilities, including persons who use wheelchairs, is equivalent to the level and
quality of service offered to persons without disabilities. When viewed in its entirety, the
Applicant's service for persons with disabilities is provided in the most integrated setting
feasible and is equivalent with respect to: (1) response time, (2) fares, (3) geographic service
area, (4) hours and days of service, (5)restrictions on trip purpose, (6) availability of information
and reservation capability, and (7) constraints on capacity or service availability.
10. SUBSTANCE ABUSE CERTIFICATIONS
If the Applicant is required by Federal regulations to provide the following substance abuse
certifications, ETA may not provide Federal assistance to that Applicant until it provides these
certifications by selecting Category "10."
A. Alcohol Testing Certification
As required FTA regulations, "Prevention of Alcohol Misuse in Transit Operations," at 49 CFR
654.83, the Applicant certifies that it has established and implemented an alcohol misuse
prevention program in compliance with 49 CFR part 654, and if the Applicant has employees
regulated by the U.S. Federal Railroad Administration (U.S. FRA), the Applicant also certifies
12
Appendix A
that it has for those employees an alcohol misuse prevention program in compliance with
U.S. FRA regulations, "Control of Alcohol and Drug Use," 49 CFR part 219.
B. Anti-Drug Program Certification
As required by FTA regulations "Prevention of Prohibited Drug Use in Transit Operations," al
49 CFR 653.83, the Applicant certifies that it has established and implemented an anti-drug
program and conducted employee training in compliance with 49 CFR part 653, and if the
Applicant also has employees regulated by the U.S. FRA, the Applicant also certifies that it has
for those employees an anti-drug program in compliance with U.S. FRA regulations, "Control of
Alcohol and Drug Use," 49 CFR part 219.
11. CERTIFICATION REQUIRED FOR INTEREST OR OTHER FINANCING COSTS
The Applicant must provide the following certification in connection with requests for
reimbursements of interest or other financing costs of capital projects. FTA may not provide
assistance to support those costs until the Applicant provides this certification by selecting
Category "11.
As required by 49 U.S.C. 5307(g), 49 U.S.C. 5309(g)(2)(B), 49 U.S.C. 5309(g)(3)(A), and
49 U.S.C. 5309(n), the Applicant certifies that it will not seek reimbursement for interest and
other financing costs unless its records demonstrate it has used reasonable diligence in seeking
the most favorable financing terms underlying those costs, to the extent FTA might require.
1.2. CERTIFICATIONS AND ASSURANCES FOR THE URBANIZED AREA
FORMULA PROGRAM, THE JOB ACCESS AND REVERSE COMMUTE PROGRAM,
AND THE CLEAN FUELS FORMULA PROGRAM
Each Applicant to ETA for Urbanized Area Formula Program assistance authorized by 49
U.S.C. 5307, each Applicant for Job Access and Reverse Commute Program assistance
authorized by section 3037 of the Transportation Equity Act for the 2F' Century, 49 U.S.C. 5_t09
note, and each Applicant for the Clean Fuels Formula Program assistance authorized by 49
U.S.C. 5308 must provide the following certifications in connection with its application. ETA
may not award Urbanized Area Formula Program assistance, the Job Access and Reverse
Commute Program assistance, or the Clean Fuels Formula Program assistance to the Applicant
until the Applicant provides these certifications and assurances by selecting Category "12" on
the Cert's &Assurances tab page of the TEAM system or on the Signature Page at the end of this
document. A state or other Applicant providing certifications and assurances on behalf oj.its
prospective sub recipients is expected to obtain sufficient documentation from those subrecipirnts
to assure the validity of its certifications and assurances.
In addition, each Applicant that has received Transit Enhancement funding authorized by 49
U.S.C. 5307(k)(I) must include within its quarterly report for the fourth quarter of the preceding
Federal fiscal year a list of the projects carried out during the preceding Federal fiscal year with
those Transit Enhancement funds. That list constitutes the report of transit projects carried out
•
13
Appendix A
during the preceding fiscal year to be submitted as part of the Applicant's annual certifications
and assurances, as required by 49 U.S.C. 5307(k)(3), and is thus incorporated by reference and
made part of that Applicant's annual certifications and assurances. FTA may not award
Urbanized Area Formula Program assistance to any Applicant that has received Transit
Enhancement funding authorized by 49 U.S.C. 5307(k)(1), unless that Applicant's quarterly
report for the fourth quarter of the preceding Federal fiscal year has been submitted to FTA and
that report contains the requisite list.
A. Certifications Required by Statute
(1) As required by 49 U.S.C. 5307(d)(1)(A) through (J), the Applicant certifies that:
(a) It has or will have the legal, financial, and technical capacity to carry out the proposed
program of projects;
(b) It will adequately maintain the equipment and facilities;
(c) It will ensure that elderly or handicapped persons, or any person presenting a Medicate
card issued to himself or herself pursuant to title II or title XVIII of the Social Security
Act(42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation
during non-peak hours using or involving a facility or equipment of a project finances
with Federal assistance authorized for 49 U.S.C. 5307 or for section 3037 of the
Transportation Equity Act for the 21st Century (TEA-21), 49 U.S.C. 5309 note, not m.ne
than fifty (50) percent of the peak hour fare;
(d) In carrying out a procurement financed with Federal assistance authorized for the
Urbanized Area Formula Program at 49 U.S.C. 5307 or section 3037 of TEA-21, 49
U.S.C. 5309 note, it will use competitive procurement (as defined or approved by the
Secretary), it will not use a procurement using exclusionary or discriminatory
specifications, and it will comply with applicable Buy America laws in carrying out a
procurement;
(e) It has complied or will comply with the requirements of 49 U.S.C. 5307(c). Specifically,
it has made available or before submitting its application it will make available: (1) to the
public information on amounts available for the Urbanized Area Formula Program at 49
U.S.C. 5307 and, if applicable, the Job Access and Reverse Commute Grant Program.
49 U.S.C. 5309 note, and the program of projects it proposes to undertake with those
funds; (2) in consultation with interested parties including private transportation
providers, develop a proposed program of projects for activities to be financed; {3)
publish 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 performance
of the Applicant; (4) provide an opportunity for a public hearing to obtain the views of
citizens on the proposed program of projects; and (5) ensure that the proposed program of
projects provides for the coordination of transportation services assisted under 49 U.S.C.
5336 with transportation services assisted by another Federal Government source, (6)
consider comments and views received, especially those of private transportation
providers, in preparing the final program of projects; and (7) make the final program of
projects available to the public;
(0 It has or will have available and will provide the amount of funds required by 49 U.S.C_
14
Appendix A
5307(e) and applicable FTA policy (specifying Federal and local shares of project cost,;
(g) It will comply with: 49 U.S.C. 5301(a) (requirements for transportation systems that
maximize mobility and minimize fuel consumption and air pollution); 49 U.S.C. 5301(1)
(requirements for transportation of the elderly and persons with disabilities); 49 U.S.C.
5303 through 5306 (planning requirements); and 49 U.S.C. 5310(a) through (d)
(programs for the elderly and persons with disabilities);
(h) It has a locally developed process to solicit and consider public comment before raising
fares or implementing a major reduction of transportation; and
(i) As required by required by 49 U.S.C. 5307(d)(1)(J), unless it has determined that it is not
necessary to expend one (I) percent of the amount of Federal assistance it receives for
this fiscal year apportioned in accordance with 49 U.S.C. 5336 for transit security
projects, it will expend at least one (1) percent of the amount of that assistance for transit
security projects, including increased lighting in or adjacent to a transit system (including
bus stops, subway stations, parking lots, and garages), increased camera surveillance of
an area in or adjacent to that system, emergency telephone line or lines to contact law
enforcement or security personnel in an area in or adjacent to that system, and any other
project intended to increase the security and safety of an existing or planned transit
system.
(2) As required by 49 U.S.C. 5307(k)(3), if it has received Transit Enhancement funds
authorized by 49 U.S.C. 5307(k)(1), its quarterly report for the fourth quarter of the
preceding Federal fiscal year includes a list of projects implemented in the preceding Federal
fiscal year using Transit Enhancement funds, and that report is made part of its certifications
and assurances.
B. Certification Required for Capital Leasing
As required by FTA regulations, "Capital Leases," at 49 CFR 639.15(b)(1) and 639.21, to the
extent the Applicant uses Federal assistance authorized for 49 U.S.C. 5307 or section 3037 of
TEA-2I, 49 U.S.C. 5309 note, to acquire any capital asset by lease, the Applicant certifies that:
(1) It will not use Federal assistance authorized for 49 U.S.C. 5307 or section 3037 of TEA-2 I,
49 U.S.C. 5309 note, to finance the cost of leasing any capital asset until it performs
calculations demonstrating that leasing the capital asset would be more cost-effective than
purchasing or constructing a similar asset;
(2) It will complete these calculations before entering into the lease or before receiving a capital
grant for the asset, whichever is later; and
(3) It will not enter into a capital lease for which FTA can only provide incremental funding
unless it has the financial capacity to meet its future obligations under the lease in the event
Federal assistance is not available for capital projects in subsequent years.
C. Certification Required for Sole Source Purchase of Associated Capital Maintenance Item
As required by 49 U.S.C. 5325(c), to the extent that the Applicant procures an associated capital
maintenance item under the authority of 49 U.S.C. 5307(b)(1), the Applicant certifies that it will
use competition to procure an associated capital maintenance item unless the manufacturer or
supplier of that item is the only source for the item and the price of the item is no more than the
15
Appendix A
price similar customers pay for the item, and maintain sufficient records pertaining to each such
procurement on file easily retrievable for FTA inspection.
D. Clean Fuels Program Certification
As required by 49 U.S.C. 5308(c)(2), the Applicant certifies that, in connection with any
application for assistance authorized for the Clean Fuels Formula Program, vehicles purchased
with grant funds made available for 49 U.S.C. 5308 will be operated only with clean fuels.
13. CERTIFICATIONS AND ASSURANCES FOR
THE ELDERLY AND PERSONS WITH DISABILITIES PROGRAM
An Applicant that intends to administer the Elderly and Persons with Disabilities Program on
behalf of a state must provide the following certifications and assurances. In providing
certifications and assurances on behalf of its prospective subrecipients, the Applicant is expected
to obtain sufficient documentation from those subrecipients to assure the validity of its
certifications and assurances. FTA may not award assistance for the Elderly and Persons with
Disabilities Program until the Applicant provides these certifications and assurances by
selecting Category "I3.''
The Applicant administering on behalf of the state the Elderly and Persons with Disabilities
Program authorized by 49 U.S.C. 5310 certifies and assures that the following requirements and
conditions will be fulfilled:
A. The state organization serving as the Applicant and each subrecipient has or will have the
necessary legal, financial, and managerial capability to apply for, receive and disburse
Federal assistance authorized for 49 U.S.C. 5310; and to implement and manage the project.
B. The state assures that each subrecipient either is recognized under state law as a private
nonprofit organization with the legal capability to contract with the state to carry out the
proposed project, or is a public body that has met the statutory requirements to receive
Federal assistance authorized for 49 U.S.C. 5310.
C. The subrecipient's application for 49 U.S.C. 5310 assistance contains information from
which the state concludes that the transit service provided or offered to be provided by
existing public or private transit operators is unavailable, insufficient, or inappropriate to
meet the special needs of the elderly and persons with disabilities.
D. The state assures that sufficient non-Federal funds have been or will be committed to provide
the required local share.
E. The subrecipient has, or will have by the time of delivery, sufficient funds to operate and
maintain the vehicles and equipment purchased with Federal assistance awarded for this
project.
F. The state assures that before issuing the state's formal approval of a project, its Elderly and
Persons with Disabilities Formula Program is included in the Statewide Transportation
Improvement Program as required by 23 U.S.C. 135; all projects in urbanized areas
recommended for approval are included in the annual element of the metropolitan
Transportation Improvement Program in which the subrecipient is located; and any public
body that is a prospective subrecipient of capital assistance has provided an opportunity for a
16
Appendix A
public hearing.
G. The state recognizes that the subrecipient, rather than the state itself, will be ultimately
responsible for implementing many Federal requirements covered by the certifications the
state has signed. Having taken appropriate measures to secure the necessary compliance by
each subrecipient, the state assures, on behalf of each subrecipient, that each subrecipient
has:
(1) Coordinated or will coordinate to the maximum extent feasible with other transportation
providers and users, including social service agencies authorized to purchase transit
service;
(2) Complied or will comply with all applicable civil rights requirements;
(3) Complied or will comply with applicable requirements of U.S. DOT regulations on
participation of disadvantaged business enterprise in U.S. DOT programs;
(4) Complied or will comply with Federal requirements regarding transportation of elderly
persons and persons with disabilities;
(5) Complied or will comply with the transit employee protective provisions of 49 U.S.C.
5333(b),by one of the following actions: (1) signing the Special Warranty for the
Nonurbanized Area Formula Program, (2) agreeing to alternative comparable
arrangements approved by the Department of Labor (DOL), or (3) obtaining a waiver
from DOL; and the state has certified the subrecipient's compliance to DOL;
(6) Complied or will comply with 49 CFR part 604 in the provision of any charter service
provided with equipment or facilities acquired with FTA assistance;
(7) Complied with or will comply with applicable provisions of 49 CFR part 605 pertaining
to school transportation operations;
(8) Viewing its demand responsive service to the general public in its entirety. complied or
will comply with the requirement to provide demand responsive service to persons with
disabilities, including persons who use wheelchairs, meeting the standard of equivalent
service set forth in 40 CFR 37.77(c), if it purchases non-accessible vehicles for use in
demand responsive service for the general public;
(9) Established or will establish a procurement system and conducted or will conduct its
procurements in compliance with all applicable requirements imposed by Federal law ,
executive orders, or regulations and the requirements of FTA Circular 4220.11), "Third
Party Contracting Requirements," and other implementing requirements FTA may issue:
(10) Complied or will comply with the requirement that its project provides for the
participation of private mass transportation companies to the maximum extent feasible;
(11) Paid or will pay just compensation under state or local law to each private mass
transportation company for its franchise or property acquired under the project;
(12) Complied or will comply with all applicable lobbying requirements for each
application exceeding $100,000;
(13) Complied or will comply with all applicable nonprocurement suspension and
debarment requirements;
(14) Complied or will comply with all applicable bus testing requirements for new bus
models; and
(15) Complied or will comply with all applicable pre-award and post-delivery review
requirements.
H. Unless otherwise noted, each of the subrecipient's projects qualifies for a categorical
17
Appendix A
exclusion and does not require further environmental approvals, as described in the joint
FHWA/FTA regulations, "Environmental Impact and Related Procedures," at 23 CFR
771.117(c). The state certifies that financial assistance will not be provided for any project
that does not qualify for a categorical exclusion described in 23 CFR 771.117(c) until FTA
has made the required environmental finding. The state further certifies that no financial
assistance will be provided for a project requiring a conformity finding in accordance with
the Environmental Protection Agency's Clean Air Conformity regulations at 40 CFR parts 51
and 93, until FTA makes the required conformity finding.
I. The state will enter into a written agreement with each subrecipient stating the terms and
conditions of assistance by which the project will be undertaken and completed.
J. The state recognizes the authority of FTA, U.S. DOT, and the Comptroller General of the
United States to conduct audits and reviews to verify compliance with the foregoing
requirements and stipulations, and assures that, upon request, the SIB and its subrecipie.nts.
as well as the states, will make the necessary records available to FTA, U.S. DOT and the
Comptroller General of the United States. The state also acknowledges its obligation uncle r
49 CFR 18.40(a) to monitor project activities carried out by its subrecipients to assure
compliance with applicable Federal requirements.
14. CERTIFICATIONS AND ASSURANCES FOR
THE NONURBANIZED AREA FORMULA PROGRAM
An Applicant that intends to administer the Nonurbanized Area Formula Program on behalf cf a
state must provide the following certifications and assurances. In providing certifications and
assurances on behalf of its prospective subrecipients, the Applicant is expected to obtain
sufficient documentation from those subrecipients to assure the validity of its certifications and
assurances. FTA may not award Nonurbanized Area Formula Program assistance to the
Applicant until the Applicant provides these certifications and assurances by selecting
Categories "1" through 11"and "14. '
The Applicant administering on behalf of the state the Nonurbanized Area Formula Program
authorized by 49 U.S.C. 5311 certifies and assures that the following requirements and
conditions will be fulfilled:
A The state organization serving as the Applicant and each subrecipient has or will have the
necessary legal, financial, and managerial capability to apply for, receive and disburse
Federal assistance authorized for 49 U.S.C. 5311; and to implement and manage the project.
B. The state assures that sufficient non-Federal funds have been or will be committed to provide
the required local share.
C. The state assures that before issuing the state's formal approval of the project, its
Nonurbanized Area Formula Program is included in the Statewide Transportation
Improvement Program as required by 23 U.S.C. 135; to the extent applicable, projects are
included in a metropolitan Transportation Improvement Program.
D. The state has provided for a fair and equitable distribution of Federal assistance authorized
for 49 U.S.C. 5311 within the state, including Indian reservations within the state.
E. The state recognizes that the subrecipient, rather than the state itself, will be ultimately
responsible for implementing many Federal requirements covered by the certifications the
18
Appendix A
state has signed. Having taken appropriate measures to secure the necessary compliance by
each subrecipient, the state assures, on behalf of each subrecipient, that each subrecipient
has:
(1) Coordinated or will coordinate to the maximum extent feasible with other transportation
providers and users, including social service agencies authorized to purchase transit
service;
(2) Complied or will comply with all applicable civil rights requirements;
(3) Complied or will comply with applicable requirements of U.S. DOT regulations or.
participation of disadvantaged business enterprise in U.S. DOT programs;
(4) Complied or will comply with Federal requirements regarding transportation of elderl y
persons and persons with disabilities;
(5) Complied or will comply with the transit employee protective provisions of 49 U.S.C.
5333(b), by one of the following actions: (1 j signing the Special Warranty for the
Nonurbanized Area Formula Program, (2) agreeing to alternative comparable
arrangements approved by the Department of Labor (DOL), or (3) obtaining a waiver
from DOL; and the state has certified the subrecipient's compliance to DOL;
(6) Complied or will comply with 49 CFR part 604 in the provision of any charter service
provided with equipment or facilities acquired with FTA assistance;
(7) Complied with or will comply with applicable provisions of 49 CFR part 605 pertaini g
to school transportation operations;
(8) Viewing its demand responsive service to the general public in its entirety, complied or
will comply with the requirement to provide demand responsive service to persons with
disabilities, including persons who use wheelchairs, meeting the standard of equivalent
service set forth in 40 CFR 37.77(c), if it purchases non-accessible vehicles for use in
demand responsive service for the general public;
(9) Established or will establish a procurement system and conducted or will conduct its
procurements in compliance with all applicable requirements imposed by Federal laws,
executive orders, or regulations and the requirements of FTA Circular 4220.1D, "Third
Party Contracting Requirements," and other implementing requirements FTA may issue;
(10) Complied or will comply with the requirement that its project provides for the
participation of private enterprise to the maximum extent feasible;
(11) Paid or will pay just compensation under state or local law to each private mass
transportation company for its franchise or property acquired under the project;
(12) Complied or will comply with all applicable lobbying requirements for each application
exceeding $100,000;
(13) Complied or will comply with all applicable nonprocurement suspension and
debarment requirements;
(14) Complied or will comply with all applicable bus testing requirements for new bus
models;
(15) Complied or will comply with all applicable pre-award and post-delivery review
requirements;
(16) Complied with or will comply with all assurances FTA requires for projects involving
real property; and
(17) Complied with, or to the extent required by FTA will comply with, applicable anti-drug
and alcohol program requirements.
I9
Appendix A
F. Unless otherwise noted, each of the subrecipient's projects qualifies for a categorical
exclusion and does not require further environmental approvals, as described in the joint
FHWA/FTA regulations, "Environmental Impact and Related Procedures," at 23 CFR
771.117(c). The state certifies that financial assistance will not be provided for any project
that does not qualify for a categorical exclusion described in 23 CFR 771.117(c) until FTA
has made the required environmental finding. The state further certifies that no financial
assistance will be provided for a project requiring a conformity finding in accordance vvitt
the Environmental Protection Agency's Clean Air Conformity regulations at 40 CFR parts 51
and 93, until FTA makes the required conformity finding.
G. The state will enter into a written agreement with each subrecipient stating the terms and
conditions of assistance by which the project will be undertaken and completed.
H. The state recognizes the authority of FTA, U.S. DOT, and the Comptroller General of the
United States to conduct audits and reviews to verify compliance with the foregoing
requirements and stipulations, and assures that, upon request, the SIB and its subrecipients,
as well as the states, will make the necessary records available to FTA, U.S. DOT and the
Comptroller General of the United States. The state also acknowledges its obligation under
49 CFR 18.40(a) to monitor project activities carried out by its subrecipients to assure
compliance with applicable Federal requirements.
I. As required by 49 U.S.C. 5311(f), the state will expend not less than fifteen (15) percent of
the Federal assistance authorized for 49 U.S.C. 5311(t) and apportioned during this fiscal
year to carry out a program to develop and support intercity bus transportation, unless the
chief executive officer of the state or his or her duly authorized designee certifies that the
intercity bus service needs of the state are being adequately met.
15. CERTIFICATIONS AND ASSURANCES FOR
THE STATE INFRASTRUCTURE BANK PROGRAM
An Applicant for a grant of Federal assistance for deposit in the State Infrastructure Bank (SIB)
must provide the following certifications and assurances. In providing certifications and
assurances on behalf of its prospective subrecipients, the Applicant is expected to obtain
sufficient documentation from those subrecipients to assure the validity of its certifications and
assurances. FTA may not award assistance for the State Infrastructure Bank program to the
Applicant until the Applicant provides these certifications and assurances by selecting
Categories "1" through 11"and "15."
The state serving as the Applicant for Federal assistance for the Transit Account of its state SIB
program authorized by either section 350 of the National Highway System Designation Act of
1995, as amended, 23 U.S.C. 101 note, or the State Infrastructure Bank Pilot Program, 23 U.S.C.
181 note, certifies and assures that the following requirements and conditions will be fulfilled
pertaining to any project financed with Federal assistance derived from the Transit Account of
the SIB:
A. The state organization serving as the Applicant (state) agrees and assures the agreement cf
the SIB and each recipient of Federal assistance derived from the Transit Account of the SIB
within the state (subrecipient) that each Project financed with Federal assistance derived from
the Transit Account will be administered in accordance with the:
20
Appendix A
(1) Applicable provisions of section 350 of the National Highway System Designation Act of
1995, as amended, 23 U.S.C. 101 note, or of the State Infrastructure Bank Pilot Program,
23 U.S.C. 181 note, and any further amendments thereto;
(2) Provisions of FTA's NHS Guidelines, and any amendments thereto;
(3) Terms and conditions of Department of Labor Certification(s) of Transit Employee
Protective Arrangements that are required by Federal law or regulations;
(4) Provisions of FHWA and FTA cooperative agreement with the state to establish the
state's SIB program; and
(5) Provisions of the FTA grant agreement with the state that obligating Federal assistanc
for the SIB, except that any provision of the Federal Transit Administration Master
Agreement incorporated by reference into that grant agreement will not apply if it
conflicts with any provision of National Highway System Designation Act of 1995, ar.
amended, 23 U.S.C. 101 note, or section 1511 of TEA-21, as amended, 23 U.S.C. 181
note, and FTA SIB Guidelines, the provisions of the cooperative agreement establishi
the SIB program within the state, or the text within the FTA grant agreement.
B. The state agrees to comply with and assures the compliance of the SIB and each subrecipient
of assistance under the SIB with all applicable requirements for the SIB program, as those
requirements may be amended from time to time. Pursuant to the requirements of subsec ion
1511(h)(2) of TEA-21, 23 U.S.C. 181 note, applicants for assistance authorized by the state
Infrastructure Bank Pilot Program agree that previous cooperative agreements entered int
with states under section 350 of the National Highway System Designation Act of 1995, as
amended, 23 U.S.C. 101 note, will be revised to comply with new requirements.
C. The state assures that the SIB will provide Federal assistance from its Transit Account only
for transit capital projects eligible under section 350 of the National Highway System
Designation Act of 1995, as amended, 23 U.S.C. 101 note or under section 1511 of TEA-21,
23 U.S.C. 181 note, and that those projects will fulfill all requirements imposed on
comparable capital transit projects financed by FTA.
D. The state understands that the total amount of funds to be awarded for a grant agreement will
not be immediately available for draw down. Consequently, the state assures that it will limit
the amount of Federal assistance it draws down for deposit in the SIB to amounts that do not
exceed the limitations specified in the underlying grant agreement or the approved project
budget for that grant agreement.
F. The state assures that each subrecipient has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal assistance authorized by
Federal statute for use in the SIB, and to implement, manage, operate, and maintain the
project and project property for which such assistance will support.
F. The state assures that sufficient non-Federal funds have been or will be committed to provide
the required local share.
G. The state recognizes that the SIB, rather than the state itself, will be ultimately responsible
for implementing many Federal requirements covered by the certifications the state has
signed. Having taken appropriate measures to secure the necessary compliance by the SIB.
the state assures, on behalf of the SIB, that:
(I) The SIB has complied or will comply with all applicable civil rights requirements:,
(2) The SIB has complied or will comply with applicable requirements of U.S. DOT
regulations on participation of disadvantaged business enterprise in U.S. DOT programs;
21
Appendix A
(3) The SIB will provide Federal assistance only to a subrecipient that is either a public, or
private entity recognized under state law as having the legal capability to contract with
the state to carry out its proposed project;
(4) Before the SIB enters into an agreement with a subrecipient under which Federal
assistance will be disbursed to the subrecipient, the subrecipient's project is included in
the Statewide Transportation Improvement Program; all projects in urbanized areas
recommended for approval are included in the annual element of the metropolitan
Transportation Improvement Program in which the subrecipient is located; a certification
that an opportunity for a public hearing has been provided;
(5) The SIB will not provide Federal financial assistance for any project that does not qualify
for a categorical exclusion described in 23 CFR 771.117(c) until the required Federal
environmental finding has been made. Moreover, the SIB will provide no financial
assistance for a project requiring a conformity finding in accordance with the
Environmental Protection Agency's Clean Air Conformity regulations at 41) CFR parts 51
and 93, until the required Federal conformity finding has been made;
(6) Before the SIB provides Federal assistance for a transit project, each subrecipient will
have complied with the applicable transit employee protective provisions of 49 U.S.C.
5333(b) as required for that subrecipient and its project; and
(7) The SIB will enter into a written agreement with each subrecipient staring the terms and
conditions of assistance by which the project will be undertaken and completed,
including specific provisions that any security or debt financing instrument the SIB may
issue will contain an express statement that the security or instrument does not constitute
a commitment, guarantee, or obligation of the United States.
H. The state recognizes that the subrecipient, rather than the state itself, will be ultimately
responsible for implementing many Federal requirements covered by the certifications the
state has signed. Having taken appropriate measures to secure the necessary compliance by
the SIB and each subrecipient, the state assures, on behalf of each subrecipient, that each
subrecipient has:
(1) Complied or will comply with all applicable civil rights requirements;
(2) Complied or will comply with applicable requirements of U.S. DOT regulations on
participation of disadvantaged business enterprise in U.S. DOT programs;
(3) Complied or will comply with Federal requirements regarding transportation of elderly
persons and persons with disabilities;
(4) Complied or will comply with the applicable transit employee protective provisions of 49
U.S.C. 5333(b) as required for that subrecipient and its project;
(5) Complied or will comply with 49 CFR part 604 in the provision of any charter service
provided with equipment or facilities acquired with FTA assistance;
(6) Complied with or will comply with applicable provisions of 49 CFR part 605 pertaining
to school transportation operations;
(7) Viewing its demand responsive service to the general public in its entirety, complied or
will comply with the requirement to provide demand responsive service to persons with
disabilities, including persons who use wheelchairs, meeting the standard of equivalent
service set forth in 40 CFR 37.77(c), if it purchases non-accessible vehicles for use in
demand responsive service for the general public;
(8) Established or will establish a procurement system and conducted or will conduct its
22
Appendix A
procurements in compliance with all applicable requirements imposed by Federal laws,
executive orders, or regulations and the requirements of FTA Circular 4220.1 D, "Third
Party Contracting Requirements," and other implementing requirements FTA may issue:
(9) Complied or will comply with the requirement that its project provides for the
participation of private mass transportation companies to the maximum extent feasible;
(10) Paid or will pay just compensation under state or local law to each private mass
transportation company for its franchise or property acquired under the project;
(1 1) Complied or will comply with all applicable lobbying requirements for each application
exceeding $100,000;
(12) Complied or will comply with all nonprocurement suspension and debarment
requirements;
(13) Complied with or will comply with all applicable bus testing requirements for new bus
models;
(14) Complied with or will comply with all applicable pre-award and post-delivery review
requirements;
(15) Complied with or will comply with all assurances FTA requires for projects involving
real property; and
(16) Complied with, or to the extent required by FTA will comply with, applicable anti-drug
and alcohol program requirements.
I. The state recognizes the authority of FTA, U.S. DOT, and the Comptroller General of the
United States to conduct audits and reviews to verify compliance with the foregoing
requirements and stipulations, and assures that, upon request, the SIB and its subrecipients.
as well as the states, will make the necessary records available to FTA, U.S. DOT and the
Comptroller General of the United States. The state also acknowledges its obligation under
49 CFR 18.40(a) to monitor project activities carried out by the SIB and its subrecipients to
assure compliance with applicable Federal requirements.
##
Selection and Signature Pages follow.
23
Appendix A
FEDERAL FY 2001 CERTIFICATIONS AND ASSURANCES FOR FTA ASSISTANCE
(Alternative to Electronic Filing)
Name of Applicant: Weld County Human Services
The Applicant agrees to comply with applicable requirements of Categories 1 - 15. _ x _
(The Applicant may make this selection in lieu of individual selections below.)
OR
The Applicant agrees to comply with the applicable requirements of the following
Categories it has selected:
1. Certifications and Assurances Required of Each Applicant.
2. Lobbying Certification
3. Certification Pertaining to Effects on Private Mass Transportation Companies . _
4. Public Hearing Certification for a Project with Substantial Impacts . —
5. Certification for the Purchase of Rolling Stock — —
6. Bus Testing Certification. -
7. Charter Service Agreement. --
8. School Transportation Agreement.
9. Certification for Demand Responsive Service
10. Substance Abuse Certifications --
11. Certification Required for Interest and Other Financing Costs
12. Certifications and Assurances for the Urbanized Area Formula Program, the Job Access and
Reverse Commute Program, and the Clean Fuels Formula Program
13. Certifications and Assurances for the Elderly and Persons with Disabilities Program
14. Certifications and Assurances for the Nonurbanized Area Formula Program
15. Certifications and Assurances for the State Infrastructure Bank (SIB) Program __
(Both sides of this Signature Page must be appropriately completed and signed where indicated.)
24
Appendix A
FE ERAL F CAL YEAR 2 1 FTA CERTIFICATIONS AND ASS N
(Required of all Applicants for FTA assistance and all FTA Grantees with an active capital or formula project)
Name of Applicant:
Name and Relationship of Authorized Representative: Barbara J. Kirkme er
BY SIGNING BELOW I, Barbara J. Kirkme er . on behalf of the Applicant, declare that the Applicant
ind the plicant's has duly authorized me to make these all Federal mcations statutesaregnd ulationseexecus and tve orders, and administrpativece. Thus,guidance the
Applicant agrees comply with
required for each application it makes to the Federal Transit Administration (ETA)in Federal Fiscal Year 2001.
FTA intends that the certifications and assurances the Applicant selects on the other
ther side of this document,as
representative of the certifications and assurances in Appendix A, should apply, as required, to each project for
which the Applicant seeks now,or may later, seek FTA assistance during Federal Fiscal Year 2001.
ade in the
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has and amknowledges that the
statements submitted herein with this document and any other submission made to FTA, lamented by U.S.DOT
provisions of the Program Fraud Civil Remedies Act of 1986, 31 U.S.C.3801 et seq„as implemented
madeCRe
CFR part 31 apply to any certification,
ce to FTA. The criminal fraud papply to any other
made in connection with the Urbanized Area Formula Program,49 U.S.C. 5307, and may pp y
certification, assurance,or submission made in connection with any other program administered by FTA.
In signing this document, I declare under behalf of the
penalties
of perjury
Applicant are t
that
the
ue and correct.foregoing certificationsertifications and assurances, and
any other statements made by me on
Signatur
Date: ].2/11/2000
Name
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
for
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority
under d regoing
state e and local law to make and opthe certifications certifications
and assurnances assurances
have been legally made and constitute
pages. I further affirm that, in my opinion,
legal and binding obligations on the Applicant. slation r litigation pending or
I further t affirm to the Applicant y affect the alidity of these ocertificatio s and assuge,there is no rances, oroof the performance of the
imminent that might adversely
project.
Date: • 5
Signature - } ---
Name Bruc Barker •
Applicant's Attorney
Each t must
provide
ro idean Attorney's$affirmation of the Applicant's legal capacityCe')rhee A�h FTA ca may enter its PIN in active
l lieu of the electronic
formulaproject p
signature of its Attorney,provided the Applicant has on file this Affirmation of its Attorney in writing dated this Federal fiscal year,
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