HomeMy WebLinkAboutStaff Report 09/19/2011 3.C Itenki
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DATE: September 19, 2011
TO: Honorable Mayor and Members of the City Council through City Manager
FROM: Joseph 'Rye, Transit. Division Manager Li R.
SUBJECT: ResolutionApproying Agreement Between Sonoma-Marin Area Rail
Transit District-(SMART) and City of Petaluma to Allow City of Petaluma
to Act as a Pass Through Agency for . an$427,500,Federal Earniark for
SMART Rail projects •
RECOMMENDATION
It is recommended that the City Council adopt the attached resolution , approving an
agreement between ,Sonoma-Marin Area Rail Transit District (SMART) and the City of
Petaluma to allow Citybf Petaluma to act as a pass through agency for a $427,500
federal earmark for SMART. rail projects.
BACKGROUND •
• In 2009, SMART received a ,federal earmark In the amount of$427,500 for "SMART
Preliminary Engineering". Although these grant funds 'areavailable from the Federal
Transit Administration (FTA) to implement the projects, under FTA grant requirements,
only ari;eligIble entitymay serve .a.s the direct recipient ofthe federal funds, entering into
a formal grant contract,with;PTA.- SinceSMART -is not an eligible direct recipient of
FTA grant funds, they havevr that the, City:of j Petafunia , aet as the primary grantee
and pass-through agent for the FTA funds, placing SMART 4n the position of sub-
• grantee.
FTA l'OgiiialtiOnsilamit. a 'grantee to paSs FTA fundS to another agency to carry
• qut.the purposeslof the; grant agreement, provided that the primary grantee (in this case
City,'of Petaluiria)'enterS; into 'a written.pass,through grant agreement with the sub-
recipient (SMART) : The attached resolution authorizes such an agreement.
In 201 .the entered into a similar contract with.SMART to.passzthrough a.federal
earmark in the 'aniotint„of V .96M for "Project Engineering and Environmental Impact
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Studies": That project is complete and the'grant'has been closed out.
• Agenda _Rvi\v:' ' ' • - •
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City Attorney , , . ' Finance Director ity Manager _ .
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Pu, toISCIUSSION
Petaluma Transit, is a closer working relationship Petaluma, g p t lyt
B rovidm -this s onsorshi to .SMART the be f�ri a neighborm nagency. ifi Once the
train is up and running, Petaluma Transit hopes: to operate SMART - funded shuttle
service to the Petaluma stations Provision of,shuttle routes feeding and distributing
to /from the SMART train will generate additional revenue through a direct operational
subsidy from SMART, providing opportunities forr better vehicles, additional productive
service hours for Petaluma Transit, and marketing exposure with SMART patrons. For
this, as well as other opportunities for cooperation, >it would•be very beneficial for the
relationship City to have a n will reimburse
the C ty for staff time and e l gal costs, there is addi al in ent v SMART tke his opportunity
to collaborate.
FINANCIAL, IMMPACTS
SMART will reimburse the cost of all staff time and legal counsel incurred to administer
the grant and implement the' pass .through of funds as described :in the agreement.
Approval of this resolution will not result ;in any financial impacts for the City.
ATTACHMENTS
i 1. Resolution, mcludin Exhibit A to Resolution: FTA •Pass-
Through Agreement By
and Between Sonoma :Marin Area Rail Transit District ";and City of Petaluma
2. 2010 FTA Pass-Through Agreement By and Between. Sonoma -Marin Area Rail
Transit District: and City of Petaluma.
3. Appendix A FTA Grant Agreement with City of Petaluma
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Attachment .1
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- • RESOLUTION APPROVING AGREEMENT BETWEEN SONOMA -MARIN
ALLOW CITY OF PETALUMA TO AC PE- - AGE NA TO
AREA RAIL TRANSIT DISTRICT (SMART) AS A PASS THROUGH GH AGENCY FOR
A $427,500 FEDERAL EARMARK FOR SMART "RAIL PROJECTS .
WHEREAS, grantTunds:are available to the Sonoma -Marin Area Rail Transit
District (SMART) from the Federal Transit Administration ( "FTA ") to implement rail
projects; and
WHEREAS, under applicable FTkgrant °requirements only an eligible recipient
may serve as the direct recipient of these federal funds and.enter into a formal grant
contract with FTA; and
WHEREAS 'SMART a§, d, !subgrantee, is not an eligible direct recipient of FTA
grant funds and has requested that City of Petaluma act as the, primary grantee pass-
through agent for FTA funds'for the subgrantee; and
WHEREAS, applicableFTA regulations permit a grantee to pass FTA funds
through to another agency to carry out the purposes of the grant agreement, provided that
the recipient enters into la written agreement with the subrecipient, passing through the
grant requirements to the subrecipient; and
WHEREAS, City of Petaluma and subgrantee desire
to enter into a formal
contract pursuant to which; the aforementioned FTA and related local match grant funds
for implementation of the projects will be passed through the City to the subgrantee.
NOW, THEREFORE, BE IT RESOLVED, that the City °'Council of the City of
Petaluma hereby authorizes the City Manager to execute the FTA Pass-Through
y y g
Agreement By and Between Sonoma -Marin Area Rail. Transit District grid City of
Petaluma, attached as Exhibit A to the Resolution.
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FTA PASS - THROUGH A GREEMENT
By and 'Between -
Sonoma- Marin Area Rail Transit District
And
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City of Petaluma :
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This Agreement ( "Agreement ") has been entered into by and between. the CITY
OF PETALUMA (hereinafter "City ") and the SONOMA -MARIN AREA RAIL
TRANSIT DISTRICT (hereinafter "Subgrantee "), as of September 21, 201 1, for the
undertaking of SMART Planning Studies ( "Project "). City and Subgrantee are
hereinafter referred to collectively as the "Parties."
WHEREAS, grant . funds are available from the Federal Transit Administration
( "FTA ") to implement the Project; and
WHEREAS, under applicable FTA grant requirements, only an eligible recipient
may serve as the direct recipient of the federal funds and enter into a formal grant
contract with FTA; and
WHEREAS, Subgrantee is not an eligible direct recipient of FTA grant funds and
has requested that City act as the primary grantee pass - through agent for FTA funds for
Subgrantee; and
WHEREAS, applicable. FTA. regulations permit.a grantee to pass FTA funds
through to another agency to carry out the purposes of the grant agreement provided that
the recipient enters into a written agreement with the subrecipient passing through the
grant requirements to the subrecipient; and
WHEREAS, City and Subgrantee desire to enter. into a formal contract pursuant
to which the aforementioned FTA and related local match,grant funds for implementation
of the Project will be passed through City to Subgrantee.
NOW, THEREFORE, .IT IS HEREBY AGREED BETWEEN THE PARTIES AS
FOLLOWS:
AGREEMENT
1. TERMS AND CONDITIONS.
The Project shall be undertaken and accomplished lished in accordance with the terms
and conditions specified herein or contained in the Appendices named below, which are
attached hereto and by reference incorporated herein.
City has applied for the Grant pursuant to a 2009 Earmark. A copy of the Grant
and the City of Petaluma/FTA Grant Agreement executed on August 4, 2011, for that
Grant is attached as Appendix A.
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g p ` d Certifications s Agreement. i .. eneral rovisio
I„ Appendix B
A �"endix, C contains (1) the references app r ie hi r
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e o' and Assurances and (2)
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:De -,artm nt of Lab • r referral letter and conditions ofte respective protective �' : , gy p � h ti tti
arrangements 'applicable ,to• the Project :.,
Appendix D contains the Project Budget, by line item; and identifies the funding .
sources.
2. EFFECTIVE DATE. The effective date of this' Agreement shall be September 21,
• 2011. The Project shall "be completed on or before June 30, 2011
3. FTA FUNDING.AND EXPENSES. The total of all
federal funds available through
this grant for expenseslrncurred in performance of Project; shall not exceed the sum of
• Four Hundred and Twenty Seven Thousand and Five Hundred Dollars ($427,500).
These: federal funds (the " "Grant "):will be initi ediately available, upon award of the ,. •
Grant, for reimbursing expenditures under this Agreement.. No local match funds are
• required for, -this Grant If the Project costs exceed the. sum available in this Grant,.
; those Project costs are the responsibility of the Subgrantee. i
4. REIMBURSEMENT OF CITY EXPENSES'. In consideration of the work provided
,; by City of Petaluma staff, Subgrantee will reimburse the cost of staff time and legal
counsel incurredto administer the, Grant and implement the pass through of funds as
described in th is.Agreement(` City Costs "), including' without limitation , costs of -
applying for the Grant, negotiating this Agreement, and undertaking related activities
prior to the Effective Date ,and/or date of this Agreement and /or the Grant
award. The Parties acknowledge that City Costs may not be payable from Grant .
funds, and in that event City Costs,will'be paid by Subgrantee from . other funds,
which Subgrantee hereby 'acknowledges have been or will be made available for such
purpose. Expenses Will be invoiced by the City'of Petaluma directly to Subgrantee
and payment will be made within forty -five (45) days ,of tlieinvoice.date(s).
• 5. SUBGRANTEE MANAGEMENT; PROJECT DESCRIPTION. The Project
Manager will be the 'Subgrantee's,,Chief.Engineer. The Project shall be conducted
and administered by Subgrantee Under the direction rts'~Executive Director /General
• Manager, who will be responsible_ , fo_r the day to day administration of the Project:
• Far-had' Mansourian...
Executive Director .
Sonoma <Marin Are
a Rail Transit District
750 Lindao Street, Suite 200
• San Rafael, California 94901 . `
(415) 226-0886 ' " •
" Any notices 'required :or permitted to be sent to 'Subgrantee by "City shall be addressed
to the person and at the address specified above, unless changed in writing by
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„ • Subgrant'ee The Scopeof Work Will,bepursuant to the, Project description contained
• in Appendix.A•kGrant Application/Executed Agreement).
6. ' SUCCESSORS AND ASSIGNS. This.Agreement shall bind and inure to the benefit
of the respective successors and assignees of the; Parties; provided, however" that no
assignment of Subgrantee's rights and responsibilities hereunder shall be permitted
without the prior written consent of City.
7. ENTIRE AGREEMENT. This Agreement, including Appendices A through D,
:contains the entire agreement between'the Parties with respect to the subject matter
hereof, and supersedes' all.prio'r written or oral agreements, understandings,
representations or statements between the Parties with respect to the subject matter
thereto.
8. SEVERABILITY. If any term, provision or condition.of thisAgreement is held by a
court of competent jurisdiction to be invalid or unenforceable, the remainder of this
Agreement shall continue in full force and t he rights and obligations of
d effect unless
the Parties shall be materially altered or abridged thereby.
9. PARTIES NOT CO- VENTURERS. Nothing in this Agreement is intended to or
shall establish the Parties as partners; co- venturers or 'principal and agent with one
another.
IN WITNESS WHEREOF, this Agreement has been executed by the Parties hereto as of
the date first set forth above:
CITY OF PETALUMA:
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By:
John Brown, City Manager
ATTEST:
Claire Cooper,, City Clerk
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APPROVED AS'TO' FOIM FOR CITY:.
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Eric W. Danly, City Attorney
. � , APPROVE.D
Department Director
APPROVED:
Ron Blanquie, Risk Manager
APPROVED:
Bill Mushallo, Finance Director
M,• SONOMA -MARIN AREA. RAIL TRANSIT DISTRICT:
By:
Farhad Mansourian, Executive Director
APPROVED AS TO FORM FOR SUBGRANTEE
Sheryl Bratton, Assistant County .Counsel
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N y APPENDIX '
GRANT APPLICATION /AGREEMENT
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• APPENDIX.R
GENERAL . 11 P12 ®NISI ®NS
1. General: Subgrantee,sl all comply with any and. all laws, statutes, ordinances,
rules, regulations or requirements 'ofthe federal, state or local government, and any
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agency thereof,, which relate to or in anymanner affect th gperformance of this
Agreement." 49 CFR Raft 18, `Uniform Administrative Re' uireinents for Grants and
Cooperative Agreements to State •and Local Governments," Circular 4220.1F of the
Federal Transit Administration (FTA), and the'P.ETALUMA/FTA'Grant Agreement
executed August 4, 2010, with referenced" Certifications and Assurances and Department
of Labor referral .letter and the terms, and conditions ofrespectiye protective
arrangements, attached hereto as Appendix' C (collectively, "Grant Teiins and
Conditions "), are each incorporated herein by reference as though set forth in full, and
shall govern this Agreement except as otherwise provided herein. Those requirements
imposed upon PETALUMA • as •"grantee" or "recipient "are;hereby imposed upon
Subgrantee, and those rights reserved' by DOT, FTA or.otheragencies of the Federal
Government are hereby reserved by PETALUMA.,
2. Accomplishment of the Project: Subgrantee shall accomplish this Project in a
timely and satisfactory Manner, °in conformance with the work program and Project
Budget contained in Appendix. A hereto, and in compliance with the terms and conditions
contained herein. Subgrantee may , accomplish;all or any portion of the Project by
procurement through Subcontractors in accordance with 49 CFR Part 18 and FTA
Circular
g MA, with, copies of any subcontract
to this A Bement ; or ameentee all fur- nish- PETALU ndmen 4220.1F. n , Subgrantee sh s thereto,° in amounts exceeding, One Hundred. Thousand
Dollars ($100,000).
3. Financial Management
a. Accounts: In conducting accounting activities,. Subgrantee shall comply with
provisions contained in 49 CFR Part 18. '
P j g
b. Funds: Should,the Pro ect budget exceed the Grant amount of Four Hundred
Twenty Seven Thousand and Five Hundred Dollars Subgrantee agrees to cover all the
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excess costs of the Project .'
C. Allowable Costs: Subject to the Grant Terms and Conditions, PETALUMA
shall reimburse Subgrantee for those services and expenses required to perform the work
in accordance with the Project budget as described in Appendix A. Reimbursement ,shall
be in accordance with the cost principles set, forth in Office of Management and Budget
• ( "OMB ") Circular A -8.7, Revised, "Cost Principles Applicable•to Grants and Contracts •
with State and Local 'Governments"
• d. Record Retention: :Subgrantee shall retain intact and accessible all.;data,
documents, .reports,. records; contracts and supporting materials relating to the Project
( "Records ") during;the cours& of the Project: and for three years after the date of final
payment by FTA to PETALUMA under the PETALUMA/FTA Grant Agreement or the
date of final completion of the Project, whichever occurs later. If any litigation, claim,
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negotiation; audit or otheraction related to the Project is started before the end of said
three- year'period, Subgrantee =shall retain Records ;for'three °ears, after completion and
resolution of,the ,action and all issues related to it.
e. Access to Records: Upon request, Subgrantee agrees to permit authorized
representatives of the Federal Transportation Agency,' the Comptroller General of the
United States, and the City of Petaluma to ,inspect all Project work, materials, payrolls, -
and other data, or other books,'records, and accounts of Subgrantee pertaining to the
Project, beginning with execution of this Agreement and extending to three years from
final payment by FTA to PETALUMA under'the. PETALUMA/FTA Grant Agreement.
In addition, Subgrantee shall provide copies of all source documents required to verify
compliance with the requirements of this Agreement, including but not limited to,
approved cost allocation plans, written progress reports, job;cost ledgers, and time
records. Subgrantee shall maintain all records related to the Project and its costs for three
years from the date of final payment by the FT A_to. PETALUMA under the
PETALUMA /FTA Grant Agreement or the date of final completion of the Project,
whichever is later. Furthermore, Subgrantee shall require ;each of its contractors and
subcontractors to allow representatives of the FTA, the State, and PETALUMA to have
access to all books, records, and documents relative to all costs and performance under
the Agreement for the purpose of,auditing, inspecting, and, copying such books, records,
and documents beginning with the execution of the contract ori subcontract and extending
for three years after final payment under the Agreement. The contractors and
subcontractors shall be required_ to maintain. all .records related to contract or subcontract
costs and performance for °three years following final payment to them under the contract
or subcontract.
f. Audit: Subgrantee will provide thorough and complete accounting for all funds
expended in the performance of this work, to the extent that such funds are provided by
PETALUMA, consistent with 49 Code of Federal Regulations, Part 18.37(b). Subgrantee
shall be responsible for meeting audit requirements of the Single Audit Act Amendments
of 1996, 31 U.S.C. §,§ 7501 et. `seq., in accordance with OMB Circular A -133, "Audits of
States, Local Governments, and Non- Profit Organizations," and any revision or
supplement thereto. . Sub r g antee shall ann ually submit to PETALUMA one copy of its
audit completed in accordance with the above - described single audit requirements within
thirty (30) days after completion'of the audit, but not later than one (1) year after the end
of the audit period.
4. Project Reporting
a. Timing. of Reports: The quarterly reporting periods, shall end December 31,
March 31, June 30 and September 30. Subgrantee reports, including Narrative Progress
Reports and Financial Reports, are due to PETALUMA fifteen (15) .days after the end of
the quarterly reporting period to allow PETALUMA sufficient processing time.
Milestone /progress reports are due to FTA within thirty (30) days after the end of each
calendar quarter (i.e., by January 30, April 30', July 30, and October 30). Subgrantee
agrees to comply with the project management principles in the PETALUMA/FTA Grant
Agreement, amendments thereto, and any other regulations and'circulars that may be
applicable.
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• b. Admiriistratioft, Subgrantee shall:appoint a Project'Manager who shall see
that Project accounts are maintained subject to FTA regulations and PETALUMA
' 'approval, prepareprogress reports as:required by the'FTA and administer the Project. '
c.. ,Content of Reports: 7
(1). Narrative Progress, Report Subgrantee shall prepare a °narrative progress
report ' g accom p lishm
eats" during, the quarterly reporting period. These
ort cover-in periodic
reports shall contain :a narrative description; of the 'following information: specification
. preparation: bid solicitation, resolution ofany protests, any contract awards, work
completed. during the period tasks expected °to beperformed during the next period; and
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explanations of nancroblems or delays .encountered or anticipated. gra shafinancial r eport covering the •
same reporting periods specified above. These reports shall include, but not be limited to,
a balance sheet and a Project ,expenditure statement by line item code.
5. Requisitions: Subgrantee shall prepare .requisitions for reimbursement for
services performed and/or: expenses incurred under this Agreeiient, and shallsegregate
. costs :b y activity pursuant to'the Project Budget contained in the Grant .
Application/Agreement.(Appendix A). In addition each invoice shall have sufficient
documentation to showit:ant, local match, and m -kind amourifs,'as applicable. Such
• requisitions shall'be signed by Subgrantee''S Chief Financial Officer, or equivalent, or a
designated representative thereof Subgrantee- shall maintain records of payroll .
. distribution, receipted bills, and',such other documentation as. maybe reasonably required ' ,.
by PETALUMA. Requisitions shall be accompanied by supporting documentation. If a
requisition includes payment for work performed under subcontract,copies of the
Subgrantee invoices and ,proof of payment shall be enclosed. The number of requisitions '
submitted by Subgrantee to PETALUMA shall be limited 'to the -least number of
requisitions possible, °and in rib' event shall be submitted more frequentlythan quarterly.
6. Payment: ;PETALUMA shall make payments to Subgrantee as expeditiously as
possible, . following the approval of requisitions and the subsequent receipt of funds from
FTA. .
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(a) Subgr-antee.acknowledges that ifany portion ofany grant under the
PETALUMA/FTA Grant.Agreement is not funded :'by FTA, or if the Grant is deobligated
or terminated by FTA, PETALUMA'is.not obligated to provide such funds to Subgrantee
.and is not liable`. to Subgrantee in any way for such funding. Subgrantee acknowledges'
• that. PETALUMA w ill seek reimbursement from°FTA after makin g payments to
Sub ante A
gr , this. Agreement. Subgrantee. further agrees promptly to fully refund to
any a m_ ents under this Agreement that are subsequently disallowed by
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.• FT A or d 1 b Y 'any'
audit to be unallowable
, whether' or not the Grant has been
deobligated, or terminated -;
(b) Subgrantee agrees that only actual, allowable, necessary and reasonable
costs are reimbursable and that all Project costs invoiced to PETALUMA shall comply , . •
with the PETALUMA/FTA Grant Agreement scope, turns and conditions. Subgrantee
• agrees to comply with ".Title 2 `CodeofFederal Regulations Part'225 (formerly Office of
Management and Budget (OMB) Circular A -87), Cost Principles for State and Local
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Government, and 49 CFR Part 18' Uniform Adminstrative Requirements for Grants and
Cooperative. Agreem ents to . and Local Governments, and to require all of its
comrnercial,third party contractors to comply withLthe cost principles of Title 48 Code of
Federal"Regulations Part 31.
7. Project j Property: Subgrantee agrees to comply with the property management
standards of 49 CFR Sections 18'.31-18„.34 and ally requirernents contained in the form of
FTA Master Agreement, located at http: / /www.fta.d ot.gov /documents /12- Master.doc,
relating to property m anagement.
8. Changes: From time to time; "circumstances or conditions may require changes
to this Agreement. Changes which are mutually agreed upon between Subgrantee and
PETALUMA shall be incorporated in written amendments to this Agreement.
9. Termination: Subgrantee agrees that PETALUMA may terminate this
Agreement for cause if Subgrantee is in default of any provision. Termination shall be
effected by serving a thirty (3:0) day written notice of termination on Subgrantee setting
forth the manner in which Subgrantee is in default. In the event that PETALUMA
determines, in its sole discretion, that the alleged default is •susceptible to and appropriate
for cure, said notice shall specify the manner- in which the,alleged default may be cured.
If Subgrantee does not cure deemed by PETALUMA to be curable as evidenced
in the termination notice, 'within thirty (3:0) „days ofthe receipt of the notice, or commence
to cure within the thirty (3'0) day period and thereafter diligently prosecute the cure to
completion to the satisfaction of PETALUMA, PETALUMA may in its sole discretion
terminate this Agreement. If the Agreement is terminated, Subgrantee Will be reimbursed
for work performed in accordance with the.Agreementprior to termination, provided that
PETALUMA has received Grant funds therefor and Subgrantee has not previously been
reimbursed for such costs, and PETALUMA shall have no further obligation to
Subgrantee under this Agreement.
10. Indemnification: TO the - Maximum extent permitted °by law, Subgrantee shall,
at its own expense; indemnify, defend with counsel. acceptable to PETALUMA (which
acceptance will not be unreasonably ably withheld), and hold harmless PETALUMA and its
officers, officials, employees, agents and volunteers ( "Indemnitees ") from and against
any and all liability,. loss, damage," ties and fines, expenses claims, suits, actions, arbitration proceedings,
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regulatory proceedings, civil penalties enses and costs (including, without
limitation, claims expenses, attorneys' fees and costs and fees of litigation) (collectively,
"Liability "), of every nature, whether actual, alleged or threatened, arising out of or in any
connection With the FTA.Pass-Through Agreement or Subgrantee's failure to comply
with any-of the terms ofthe Agreement, regardless of any fault; or alleged fault of the
Indemnitees.
Subgrantee's obligation to indemnify, defend and hold harmless under this
provision shall not be excused "because of Subgrantee's inability to evaluate Liability, or
because Subgrantee evaluates Liability and determines that Subgrantee is not or may not
be liable. Subgrantee must respond within thirty (30) calendar days to any tender for
defense and indemnity by PETALUMA, unless the time for responding has been
extended by an authorized representative of PETALUMA in writing. If Subgrantee fails
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to accept e and rode
any other remedies autho y y ( e d that a.. become to
cce t tender of deferis indemnity within °tlurt 3�0 calendar days, in.addition o
°� .sized bylaw, 'so much of the money ,due ue or that m y due
to T Ag ee unde
LUMA may be retained by PETALUMA until dis position has been mare by
r°this; Agreement as shall reasonably be considered•nec
PETA �" �; �y Y p made of
matter subject to tender, or until Subgrantee accepts the tender, whichever occurs first. In
the event that PETALUMA must file responsive, documents in a matter tendered to
Subgrantee prior to 'Subgrantee's acceptanceof'tender,. Subgrantee agrees to fully
reimburse all ,costs, including but not limited to attorneys' fees" - and. costs and fees of
litigation, incurred by PETALUMA in filing sueh'responsive documents.
Indemnitees concerning any L�iabaity •of the - Subgrante arising ou oindemnity or c against i the
Subgrantee any rights p implied -
connection
with the FTA Pass - Through Agreement or Subgrantee's failure to comply with any of the
terms of the Agreement.
Notwithstanding the foregoing, to the extent this Agreement is a "construction
contract" as defined by California Civil Code Section 2783, as.may'be amended from
time to time, Subgrantee', duty" to indemnify under this provision shall not apply when to
do so would be prohibited by California Civil code Section 2782, as may be amended
from time to time.
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Notwithstanding \the foregoing, to the extent that Subgrantee renders design
professional ject to ;California Civil Code Section 2782.8, as may be amended
from time to timecSubgrantee's duty to indemnify shall only be'to the maximum extent
permitted by California Civil Code Section'2782.8.
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APPENDIX' C, 4
FY10 Tederal
°Tran Administration 'C Assurances — • -
Petaluma Specific' •
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APPENDIX. C
FY10 Federal Transit Administration Certifications and Assurances —
General Descriptions
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APPENDIX C . •
CA -39 -0007 'Department Of Labor Referra L
.L Leiter — •
" Terms and. Conditions of Employee• Protection 'Certification
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APPENDIX D
PROPOSED BUDGET . 4
PROJECT BUDGET
Source of )Funds
Federal Grant $427,500
Local Match* 0
Total $427,500
*No local match is required by the Federal Transit Administration, If Project
costs exceed $427,500, all costs exceeding 'that amount are, the responsbility of the Subgrantee."
Uses of Funds
SMART
Planning and Technical Studies $427,500
for Larkspurto San Rafael
Transit Corridor
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ATTCHNIENT 2
r,, 2010 FTA PASS - THROUGH AGREEMENT
By ,
Sonoma -1VIa Ar a Rail Transit District
• And
City of Petaluma
This Agreement ( "Agreement "), has been entered into by and between the CITY OF
PETALUMA (hereinafter "City ") and ; the SONOMA- MARIN AREA RAIL TRANSIT
DISTRICT (hereinafter "Subgrantee "), as of 201.0, for the:undertaking
of: SMART Project Engineering and Environmental Impact Studies ("Project"). 'City and
Subgrantee are hereinafter referred to collectively as the "Parties."
WHEREAS, grant funds are .available from the Federal ("
WH ; gr deral Transit.Admuiisfration ("FTA")
to implement the Project; and
WHEREAS, under applicable FTA grant requirements only an eligible recipient may
serve as the direct recipient ofthe federal funds and enterinto a formal grant contract
with,FTA; and
WHEREAS, Subgrantee :is not an eligible direct recipient of FTA grant funds and has
requested that City act: as the primary grantee pass - through agent for'FTA funds for
Subgrantee; and
WHEREAS, applicable FTA regulations permit; a grantee to pass FTA funds through to
another agency to carry out the purposes of the. grant agreement :provided that the
recipient enters into a written agreement with the subrecipient passing through the grant
requirements to the subrecipient; and
. ; , City gr desire to enter into 'a formal contract pursuant to which
the aforementioned FTA and related local match grant funds for implementation of the
Project g Cityto passed throu `h to Subgrantee.
Y
NOW, THEREFORE, IT IS HEREBY AGREED BETWEEN THE PARTIES' AS
FOLLOWS:
AGREEMENT
1. TERMS AND CONDITIONS.
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The Project shall be undertaken and accomplished in accordance the terms
and conditions• specified,herein or contained in the Appendices named below, which are
attached 'hereto and by reference incorporated herein.
City has applied for the Grant' pursuant. to a 2008 Earmark. A copy of the
submitted application' is °attached as Appendix A.
Appendix B contains general provisions applicable to this Agreement.
Appendix :C' contains' the City of PetalurnaFTA Grant -Agreement executed
20 and: tlie,referenced Certifications and Assurances applicable to the.Project.
Appendix`D contains the Project Budget, by line item, and identifies the funding sources.
1
is
- 2 EFFECTIVE :DATE. The effective date of this Agreement shall be
2010. - The Project shall be (completed on or before June 30, 2012:
3. FTA FUNDING AND EXPENSES. The total of all expenses incurred in
performance ofProject shall not exceed the sum of Two Million Four Hundred.and
Fifty Thousand Dollars ($2,450,000). Other federal funds not to exceed'One Million
Nine Hundred and Sixty; Thousand Dollars ($1,960,000) (the "Grant ") will.be
immediately available, upon award ofthe Grant, for reimbursing expenditures under
this Agreement. Subgrantee is solely responsible for providing the local match, in the
amount of Four- HundredlNinety Thousand Dollars ($490,000), to complete the
Project. The availability of federal_, funds shall be a condition precedent to the
requirement that Subgrantee provide the local match funds to complete the Project.
The award of the Grant shai'l be a condition precedent to City's execution of this
Agreement.
4. REIMBURSEMENT OF CITY EXPENSES. In consideration of the work provided
by City of Petaluma staff, Subgrantee will reimburse:the cost of staff time and legal
counsel incurred to administer the Grant. and ;implement the:pass through of funds as
described in this Agreement '( "City Costs "), including without limitation costs of
applying for the Grant, negotiating this. Agreement and undertaking related activities
prior to the Effective Date and/or execution date of this Agreement and /or the Grant
award.. The Parties acknowledge that' City Costs not be not payable from Grant
funds, and in that event City Costs will be paid by Subgrantee from other funds,
which Subgrantee hereby acknowledges have °been'or willb'e made available for such
purpose :Expenses will be invoiced by the City of Petaluma directly to Subgrantee
and payment will be made.within forty -five (45) days of the invoice date(s).
5. SUBGRANTEE MA_ NAG_EMENT; PROJECT DESCRIPTION. The Project
Manager Will be . ! " : '. The Project shall be • conducted and administered
by Subgrantee under the, direction of its General
Manager, who will be responsible for the day to day adrninistration ofthe Project:
Lillian Hames
General Manager
Sonoma =Marie Area Rail Transit D istrict-
750 Lindaro Street, Suite 200,
San Rafael, California 94901
(41 5) 226 -0886
• Any notices required 'or permitted to be sent to Subgrantee: by City. shall be addressed
to the person and at; the address specified above, unless changed in writing by
Subgrantee. The' Scope of Work will be pursuant to the Project description contained
- in Appendix A (Grant Application).
6. SUCCESSORS AND ASSIGNS. 'This Agreement shall bind and inure to the benefit
of the respective successors and assignees''of the Parties; provided, however, that no
2
assignment Of S,ubgrantee's;rights and responsibilities hereunder shall be.`permitted,
•
without the prior written ,coriserit of City. „
7.. ENTIRE, AGREEMENT. This Agreement, including Appendices A through D,,
contains the entire agreement between the Parties with to the subject matter
hereof, and supersedes .all rior. written or oral agreements, understandings,
representations or statements a between the "Parties with°respect to . the subject matter
thereto.
8. SEVERABILITY. Jfany term, provision or condition oftlis Agreement is held by a
court , of competent jurisdiction to be invalid or unenforceable, the remainder of this
Agreement shall continue in full force and effect unless the rights and obligations of
the Parties shall be materially altered or abridged thereby.
9. PARTIES NOT CO- VENTURERS.. Nothing in this Agreement is intended to or
shall establish the Parties: as partners, co- venturers or . principal and agent with one
another.
IN WITNESS WHEREOF,. this. Agreement has been executed by the Parties hereto as of
the date first set forth above:
CITY OF PETALUMA:
By:
John Brown, City Manager
•
ATTEST: .
Claire .Cooper, City Clerk
APPROVED AS TO FORM FOR CITY:
Eric W. Danly, City Attorney
APPROVED: -
•
Vincent Marengo, Department Director
3
APPROVED :,.
" .Ron Blanquie, Risk'' Manager
APPROVED:
Sandra Sato, Interim•'Finance Director • -
SONOMA -MARIN AREA'RAIL TRANSIT DIS`T`RICT:
By: •
Lillian Hames, General Manager
APPROVED AS TO' FORM FOR SUBGRA'NTE'E:
Gregory T. Dion, Deputy County Counsel
•
•
•
• 4
„ a�
• Attachment 3
•
•
•
•
APPENDIX A. •
„ GRANT APPLICATION
• DOT FTA
u.S. : Department of Transportation Federal .Transit "Administration
.
•
Application
Recipient'ID ",. - . '• 2713
Recipient Name: PETALUMA, CITY OF
Project ID CA -39. 000700 i
• Budget Number] 1, Budge YApproeed •
Project Information: SMART,PIanning Studies
Part 1: Recipient Information
Project Numbers, CA-39
Recipient ID: • 27413 •
Recipient Name: • PETALUMA, CITY OF . •
Addle "ss: 555 N. MCDOWEL'L,BLVD PETALUMA, CA94954.2311'
Telephoner (707)778. 4421- i,
Facs_ imile: (707177,63799
Union Information
•
Recipient ID: 2713 '
. •
Union Name AMALGAMATED ` TRANSIT' UNION; •
•
Address 1l. 35'Mtcliell Blvd..ISuite 2
Address 2
. City? San',R afael, CA 94903 •
Contact Name: t Ray Messie
• Telephone: (415)'479-5090
Facsimile:._
• E -mail rayatu1575@pacbelt.net •
„. Websoe
P -art 2: Project Information:
•
(Project Typei 'Grant, Gross Project
Cost: 8427,500
•
•
A -1
•
•
�,. 22
•
•
� •
N .
.
di
.
1 . p ' , Project Number: CA -39- 0007 -00 '• . Adjustment Amt: 60
, Project Description' SMART Planning Studies Total Eligible Cost: 6427;500 '
• P Ype: y._ "" TofaI,FTA Amt: , 6427 500 r.
Rea lent T Ci
FTA'ProjectMgr: Susan Chu , ,, :, Total State Amt. . , 'SO
p P R y
� ',;i, + i Recipient Jose h e:� Total ':- J
Amend Reason:., initial Applicatid - Federal :� SO ' r n ,
New /Amendment None S rfied
., '
Special Cond Amt:? . , . __ 56
Fed Dom Assts 20522 - • „, 4
Sec;�lof Statute: 5339 Special Condawnr None Specified
StateAppl,ID:, 94. 600039 •
S.C. Tgt Date: • None`Specdied
Start/End Dater_ Aug..01, 2011' - Jun. 30, 2013 S.C. Eff. Date None'Specified
Rec y vd fa State Jul. 08, 2011 Est:, Oblig Date:, ' None Specified
Pre Award
EO 12372 Rev: NokAPPOcable' Yes•
Authority ?:
R ' -
Planning Grant ?. NO
f
e Specdietl Fed' Debt
eview Oate; Non Authority ?: - N�
Program Date , - Final' Budget?: - No .
' Prm P1anf /FTA Jul. 08; .. .
..
. _
, Program Page:,; None Specified,
AppkcationType Electronic , ; ” -
Supp ?: No ' _ •
•
Debt. Delinq,Details:,
Urt aniied Areas , . '
UZA ID UZA Hartle
' " " , 60000 CALIFORNIA
Jh
^' D d +i'" i i i i 63820. PETACI'1MACA • � �: �
i , ',,,I1 , i r ,Coneressional . .
.
"''• " i ' State ID" DistrictCode Distrlct,Official - • - '
6 .,. _ t Mike':Thompson,
11 ' @:: :: 6 Lynn "C,Woofsey
11 . , "' ,1 " ,,, :•,4 I ,PrOjeCt Details, . '' ,. d
This earmark - is for 5427,500 in federal funds from Section 5339 `Altemetiies.Anaysis•program year 2009; San
q :p ricisc behi ed660 taluma Transit is acting as the pass 'through agency,for this earm
Fe Tr l be the' recipient er>t ark., w :r
pi hd Sonoma Marin'Area:Rail Transit (SMART) the,subrecipient:
esefundsare IitanTrans
.1,4 Th poRabomCommission's Overall Work Plan as (WE1512)
.. , �t
- : n
■
. A -2 r°- • ,:
•
.23
SMART: Environmental Report aril Preliminary Engineering ( TIP ID SON090002) (Document attached).
. • The federal. funds will be matched with local bridge tolls as part of the state and regionat bridge toll credit policy,
resulting in the reimbursement rate of this grant at 100% federal. .
Sonoma Marin Area Rail Transit - District (SMART) Planning Studies for the Larkspur — San Rafael Transit
,, Corridor .�
The Larkspur -San Rafael Corridor Transit Project is located in southern Marin County in:the North Bay region of .
the San Francisco Bay Area and extends north from the L arkspur Ferry T erminal to t b owntownSa nRafael
Bettini Transit Center, a distance ofapproximatety 2:1 miles via rail corridor or 2.7 miles via Interstate 101. The
. proposed planning studies will fully, explore transit options for the corridor, as well as their corresponding '
environmental impacts a`nd'costs; will resultrin the adoption of a locally preferred alternative within the
fiscally MetropolitanTransportationPlan. . • ,
The Larkspur — San Rafael Corridor Transit Project is envisioned , to. provide a premium service with station .
platforms.that will be accessible by transit patrons using alternative modes of transportation. To improve the
livability. conditions of the greater area,' the alternative analysis will.emphasize the accessibility to,the new service
by pedestnans and patrons using bicycles Throughthealternativesanaysis - process;thetypeoftransit. '
improvement along the . Larkspur =:San Rafael Corridor will be clearly defined.
. ,, SMART is a passenger rail project located In San Francisco's North Bay. The overall SMART, project provides '
rail service along 70 miles of the 'Northwestern Pacific Railroad alignment. Utilizing the publicly owned railroad
right of way;•the rail project wilt serve: fourteen stations, from Cloverdale in Sonoma County, to the San Francisco-
bound ferry. terminal in Larkspur, Marin County. An interim Initial Operating Segment phase of the project will
extend along 37 -miles from Santa Rosa (Railroad Square Station) to'San Rafael (Downtown/Bettini Transit
Center Station). The overall project includes the San'Francisco, Santa Rosa, -sand Petaluma. Urbanized. Areas, .
while the Larkspur — San Rafael;segrrient t is entirely in the'Sen Francisco Urbanized Area._The overall project will
• serve fourteen stations from Cloverdale in Sonoma Countyto Larkspur in Marin County.
SMART has issued a;Noticeto Proceed ;in January 2011 for acquisition of FTA and FRA compliant vehicles for
the Initial Operating Segment.
DOL contact Joe Rye jrye@ci.petaluma.ca.us ,
• Earmarks .
• Earmark Details
x Earmark ID Earmark Name Orig. Bal A P
• E2009 -ALTA -004 Smart Preliminary Engineerin neerin 5427,500 5427,500
Number of Earmarks: 1
Total 'Amount Applied: $427,500
• Date Sentfor.Release: 7/29/2011 1:36:32 PM
Date Released: 8/4/2011. .
Security
6 , , ,,No information found. - '
.
A -3
. • , 24
u
•
•
Part 3: Budget ,
,
Project =Budge t..., Quantity'! , FTA Amount] ' Tot. Elio Cost' • ,.
SCOPE „
1 442-00 METROPaITAN PLANNING , .. 01 5 - ' 5427;500.00 ' .
ip r t
ACTIVITY -
a 4. T CAPITAL 0 '' $427,500:
U 44.26.16'SUPP TRANSI EFFECTIVE SY
00 5427,500:00
' ONS' TI-IROUGI-1 Li
INVESTMT DECISIONS I
II !, • 'r ' • Estimated, Total Eligible Cost :1 5427,600:00 "
• . _ . -, v
Federal _ x $427600,00
. - - local Shae:l 50.00
O .. nd.Activities not included in Proiect Totalsl
THER:(Soohes e` ,
None
'SOURCES''OF:FEDERAL FINANCIAL ASSISTANCE .. "
i, UZA Accounting F1-"c; EC Previous Amendment ' . Total
! ' 'ID; Classification' Approved Amount
60060' 2009.25.39 :AA,2 • 02.,, 2011 39 50.00 '5427:500.00 5427,500.00
Total Previously Approveil:l, 50.00
„, , ',!• ," n LL • . Total Amendment Amount' $427,500.00 '
.
'Total from all Funding.Source"s:1 $427,500.00 . '
Alternative Fuel Codes
.
! • . '° Extended Budoet :Descriptions ! 14
(THROUGH EFFECTIVE'L INVESTMT DECISIONS I 5427,500.00 „
SUPP TRANSR
4d.28.15 .SY, . ,+D 5427,500.00 . •
These fun a e.listed in
theOWP as (VVE1512j� SMART_ Environmental .Impact Report and Preliminary
.
A .
• .
!
•
„ 25
,
•
•
•
Engineering.
This proposed planning study will fully explore transit options for the 2.1 -2.7 mile rail and highway corridor
extending from the Larkspur Ferry Terminal to the Downtown San Rafael Bettini Transit Center, and result in
adoption of a locally preferred alternative within the fiscally constrained Metropolitan Transportation Ptan.
Maps of the entire SMART corridor "and the project area are attached.
Funds for this project will be from the San Francisco UZA._
Changes since the Prior Budget
•
Unable'tofind change amount information. "
,Part 4. Milestones
- 44.26.15 SUPP TRANSIT CAPITAL INVESTMT 0 3427,500 5427,500
DECISIONS THROUGH EFFECTIVE SY
Milestone Description Est. Comp. Date
1- RFP Issues Oct • 01, 2011
2. Contract Award Jan, 01, 2012
3. Project Complete Jun. 30, 2013
Part 5. Environmental Findings
442615 SUPP TRANSIT CAPITAL '
INVESTMT DECISIONS THROUGH 0 5427,500 5427,500
EFFECTIVE SY
Finding No: 1- Class II(c1 •
• - CO1 - Engineering /DesigriPlanningfTech .Studies
• Activities which do nottinvolve or lead directly to construction „ such as planning and technical studies;
projects for training and research programs; planning activities eligible for assistance listed in 23 U.S.C.
134, 135, and 307(c); planning activitie&related to approval of a unified work program and any findings
required in the planning process pursuant to 23 C, F. R. Part 450, activities for state planning and research
programs pursuant to 23 C.F.R. Part ' 420;; engineering to define the elements of a proposed action or •
alternatives so that social ,'economic, and environmental effects can be assessed, \n\n
Part 6: Fleet Status
No information found:
Part 7. FTA Comments
•
•
•
•
A -5
•
•
26
•
•
•
•
General Review • •
•
•
Comment Title: Lapsing Funds note - ok-
Cornment By: Lorraine Lerman
Date Created:' Jul. 06;2011
•
Date Updated; Jul. 08, 2011 '
RefSection: Unknown
Comment; These are lapsing funds (2009) available fair years'ending Sept 30, 2011. TEAM closes
9/23/11.
Comment :Title:. Comments -ok-
Comment By: Lorraine Lerman
Date Created: Jul, 06, 2011
Date Updated: Jut 18, 2011 ,
Ref Section: Unknown
Comment: 1. Under Project Details, add federal amount; Section 5339 earmark =UZA ID; Fiscal Year
of Funds.ok -' •
2. Add budget information. -ok-
3. Include env,finding for each activity: ok-
• Comment Title: MPO -6k-
Comment By: Lorraine' Lerman
• Date Created: Jul. 06, 2011
Date Updated: Jul. 08, 2011
Ref Section: Unknown
• Comment: Attach'MPO.Concurrence. ok-
Comment Title: Earmarks ok-
ComnientBy. Lorraine Lerman
Date Created: Jul. 06, 2011
Date Updated: Jul.,07,.2011
• Ref • Section: Unknown
Comment: Fill in the earmarks tab.ok-
Part 8: Results of Reviews
The reviewer did not find any errors
Part 9: Agreement
•
UNITED STATES OF AMERICA •
DEPARTMENT OF TRANSPORTATION
•
•
•
A -6
27
•
•
FEDERAL TRANSIT ADMINISTRATION
• GRANT AGREEMENT
(FTA G-17, October 1',.2010)
•
On the date,the authorized U.S. Department of Transortation, Federal Transit Administration (FTA),officiafs
electronic'signatuie is entered for this Grant rAgreement, FTA has Awarded Federal assistance in support of the •
Project described below. Upon Execution of this Grant Agreement by the Grantee named below, the Grantee
affirms this FTA Award, and enters into this :Grant Agreement with FTA. The following documents are
incorporated by reference and made part of this Grant Agreement:
' (1) "Federal Transit Administration. Master. Agreement," FTA MA(17), October 1, 2010, •
• http:!/www. ftal dot. gov /documents/17 -Ma ster. pdf
• (2) The Certifications and Assurances applicable to the Project that the Grantee has selected and provided to
FTA, and
'(3) Any Award, notification containing special conditions or requirements, if issued.
FTA OR THE FEDERAL GOVERNMENT MAY WITHDRAW ITS_OBLIGATION TO PROVIDE FEDERAL
ASSISTANCE IF THE GRANTEE DOES :NOT EXECUTE THIS'GRANT AGREEMENT WITHIN 90 DAYS
FOLLOWING THE'DATEOF THIS FTA AWARD SET'FORTH HEREIN,
•
FTA AWARD
•
FTA hereby awards a Federal grant as follows:
Project No: CA- 39- 0007 -00
Grantee: PETALUMA, CITY OF
Citation of Statutes) Authorizing Proiect: 49,USC'5339 - Alternatives Analysis Program •
Estimated Total Eligible Cost (in U•S DotWrsl' 5427,500
Maximum FTA Amount Awarded f Including Ail Amendmentsl lint/ S Dallarsl; 5427,500
Amount of This FTA Award tin U 5 Dollars!: 5427,500
•
Maximum Percentage(s) of FTA Participation;
Percentages of Federal participation are based on amounts included in the Approved Project Budget; modified as
• set forth in the text following the Project Description,
U S. Department of Labor Certification of Public TranseortationEmolovee Protective Arrangements:
Original Project Certification Date:
Proiect Description
•
SMART Planning Studies
The Project Description includes information describing the Project within the :Project Application submitted to
'FTA, and the Approved Project Budget, modified by any additional statements displayed in this Grant Agreement;
' and the extent FTA concurs, statements in other documents' including •Attachments entered,into TEAM -Web.
Awarded By:
Leslie Rogers •
Regional - Administrator •
•
•
.FEDERAL TRANSIT'ADMINISTRATION •
U.S. DEPARTMENT OF TRANSPORTATION
. 08/04/2011
A -7 •
•
28
•
APPENDIX C , .
FY10 Federal Transit Administration Certifications and Assurances —
. Petaluma Specific
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Organization: 1127131 1PETALUMA, CITY OF - I •
1 Cana Description !Applicable N %A1 Cert Date ! - Text It ' '
- 01 ASSURANCES REQUIRED FOR EACH:APPLICANT 0 ❑ 9/16/2010 gl E
02 - . ,LOBBYING CERTIFICATION _ . ❑ 9/16/2010
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03 PROCUREMENT' COMPLIANCE ' „ E El' . 9/16/2010
04 PROTECTIONS FOR PRIVATE TRANSPORTATION Q. ❑ 9/16/2010
•
' mi n I ' Affirmation of Certifications'and'Assurancas rI"•,,
ED
FEDERAL FISCAL YEAR 2010 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
[Required of all Applicants for FTA assistaribe and all FTA Grantees with an active capital or formula project) ,
• - AFFIRMATION OF APPLICANT ,
Name of Applicant: PETALUMA, CITY OF - . ic
v' DU oat's Name_ Joseph Rye � - Attorneys Name: Leslie Thomsen
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[3
, FEDERAL.FISCALYEAR 2010FTACERTIFICATIONS AND ASSURANCES SIGNATURE PAGE ' _
(Required of all Applicants for. FTA assistance and all FTA Grantees with an active capital or formula project)
' . . • AFFIRMATION OFAPPLICANT' - '
Name, of Applicant. PETALUMA.: cif Y OF
-- — ., Ems,
Official's !Janie: Joseph Rye I
ii ^ . Attorney's Name: Leslie A Thomsen l'P II N 6I 1 ,LC ER T]FY_ ' ,y , •
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" . � l�a1 - Affirmation of Certifi and.Asstirnte nl ,�.,±< r=31 "• ,
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: SSIGNATURE PAGE )1
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. u AFFIRMATION OF.'APPLICANT M• e
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il : Att Leslie A�Thomsen _ • •'
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FEDERAL FISCAL
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AFFIRMATION :OF APPLICANT
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Cat ! , -.Description Applicable N/A Cert Date , TeirtJ '. , ' '
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21* PAUL S. SARBANES'T RANSIT''IN PARKS3PROGR:4t y 9/16/20 / r^'! Y
` 20 NEW FREEODMfPR , _
22' TRIBAL.TRANSIT :PROGRAM E " Q,' 9/16/2O1 0i - M
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FEDERAL FISCAL . YEAR 2010 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE !rte
[Requiied of all Applicants. for FTA assistance and all FTA'Grantees with an'active capital or formula project)
`,. AFFIRMATION OF
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. Name of.ApplicantiPETALUMA CITY'OF '
s Leslie AlThomseri - H MV Y
1 _ PIN,II I �CER.�- !.j�Tl�l 't 1� i 1 �AttorneY:� , .> y
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APPENDi °C .
FY10 Federal Transit Administration 'Certifications and Assurances —
. General Descriptions
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FEDERAL FISCAL lI:AR2010CERIIMICAIIONSAND ASSUI t'1CNSFOR• •
. FEDEHAL till' , ASST I'ANCF PRO(:R;ANIS .
.. PREFACE
In accordance with49'U: following certifcations andassurances hai'ebeen '
cornpiledforFederal •.Transit,4dniinistiation;(FT) assistance programs; 17:A+requestseach: •
Applicanrto, provide'as many ceriifications andas1nrances as needed for.all programs for which ,
' the Applicant intends to seek FT.l during'Federal Fiscal }'ear 2010 Category 01
applies to all Applicants. Category (J2 appliesto all applications for Federafassistnnce in, exc
of $100.000 Categories 03 Through ) a will and he required for some but nor all, •
Applicants and projects 4 pplican! nary select a single certifreanon that will corer all the .
. programs for rrhichitanticipatessubmitiing nn , application. PTA regriests each Applicantto •
, read each certification and assurancecarefitlly and select all certifications und.assurances ;that
may apply to the programs for'irhich it aspects to seek Federal assistance. .
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F74 and the Applicant understand and agree Ili at not every provisionofthesecerliftcationsand
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assurances will;applyao every Applicant or every, project for which FTA, provides Federal
• financial assistance through a Grant Agreement _orCoo P eratnieagreearent .;7'he•t}pe',ofproject
and thesection of thestatuteauthonzing ;Federalfinancial assistance for the project will
deterniine which proi'iiions apply. The of these certifications and assurances reflect
' applicahle•requirenients ofFT4'senabling legislation, current& in effect .
TheApplicanl also;understands.andagrees that these certifications .and assurance .are special • ,
pre- aiyard: requirements .rpecificallv,p,escribed hy:.F'ederal law. or, regulation and do, not
encompass g _ may apply to•the applicant or its- '
' project. 4cotuprehenshe r' regulations •anddirectjvesiscantained•in •
., the car rent E 1( asier.4greernent,lfA(1 6) for,Federal Fiscaltpear 20/0, at the FTAr11reb site '
hao:jhru a fia. dot .eoi;rdocuments /16- :1laster.odf The certifications...and assurances in:this .
. daian
centhciiie keen Strewnlined t0 renioiie most provisions not covered h)j,3tatutory or •, .
regidatory Certification or assurance requirements•: •
Because'ntgny requirements of these cei uJicaaons and assurances w dl require the compliance of
the sitter ecipient of an l pplicam. n a wrongly r•econunend that each Applicant. pplicant. includi ng'a.State. '
• ihot"sritl h'eiiiiplenienting projectsthrough one or moresubrecipients; secure Sufficient
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.• documentation from, each subrecipient to assure compliance. not only with these certifications '
he ro er ances the applicable ^ e terms of the Gran! Agreement or (Looperatire.4greement for
t nd assurances bat also w ith th
',. ° p J t . pp aster Agreement for its project• ifapplicahle incorporated ' •
the, rein hg reference.. Fach Applicant is ultimately responsible for compliance with the provisions
' " "" ' of the certifcations•and assiirances to,itself its project irrespectlle ofpariicipation •' '
an the piojectlby any srihr• ecipient .;The•applicantunderstands and agrees that when i! applies for
- 1'T9tassistance Onhehalfofa. consortium:faint venture. partnership. or leani•'eachmenrber of
' ' ''that consort in4 faint rentrtre., partnership, or tenni is i'esponsi for compliance with the
certif calionc and assurances'the Applicant selects.
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FT.4 strongly encorirager each A jiplicont to.rrilitnirits certifrcntion.raWd andassurances through ,
TEAAJ,R•eb, FTA'.'s electronic award and'nranagemenl:syxtem. n! 'lion: / /Raleannrehdia,dot. POI
1 it eno jour ('4) Categories ofcerttfications and a are listed hj numbe, s 01 through
24 rn theTE4 1 -11 e1 4tecipients' `option'at the "Cert's'& Assurances 'tab'of'1ieird,4lodifj; "
. Recipients.
01. ASSIJRANCES REQUIREIYFOR EACII APPLICA \T
Each Applicant forFT.4 assistance must provide :all assurances inthisCategory' 01.'•Exceptto
the ea-tenF that FT.1 evp•e determines othenr ise in„uriting, FT :1 may not award anj 'Federal
assistance until the Applicant provides the follolwng.assurances by selecting Category "01.
A. Assurance of Authority ofthc.Applicant and lts_R.pr sentative - •
The authorized representative of the Applicant and,the'attomey si'ho certifications. .
assurances, and agreeiiients allinii thatboth't1,e Applicant and'its authorized representative have
adequate authority: under applicable State, local, or Indian irih:il law and regulations. and the
Applicant's by l Iwws or internal ntles_to:
(1) Execute .mdliile ".tb application for'Fzderal assistance on behalf of the Applicant;
(2) Execute and Plethe required certifications. assur: and agreements on behalf oldie
Applicant hindiiigthcr \pplicant; and
(3) ExeC graiit agrecmcnts and cooperative agreetneills with F1•A on behalf, of the Applicant.
13. Standard Assurances
•ihe Applicant assures that ifwill comply with all applicabl •'1 ederal statutes and'.regulationsiin '
carrying out-any Project supported by an, FTA ,grant,orcooperatn•e.agre'ment: the Applicant '
,agrees that it is under a.continuing obligation'to coiiiply with the of the •
grant agreement or cooperate t. a•eement d itIf 1 issued 'for its project. •lite :Applicant' •
r eeognr.es,th•It Federallasi's and' regu fat ions niaviie :ntodifteddronttime to time an ithosu .
moditicati n. mas^alT et project "implementation. Th Applicanl'und rstands - that Presidential •
.executive orders and Federal dirccttves, Includung 1 ederal policies and program guidance May he
rs lle
issued concenlinglnatte _acting, the :,\pplicant:or its project. '111. Applicant agreesthat'the
most. recent:Fcderal Imes „rcgulations.'.yid edit ctiyes svill apply ^to- theprojc.1 unless' F [A {issues
.. ' a written detemlination'olhcrwise:
c: Intergovernmental Review Assurance
' '1:.cept'if the •:•Cpplicaut?rs, m Indian tribal got eminent seeking assistance authurired by _ .
49 U S.C. 5311(e)(1): the \pplicant u.sures,th•n c ie appli catiomforFederal assustaneeil
',. suhmns Io, P rA has been suhniittcd or will he stihinittea for 101 rgovenlnlental review to the
approp ta
riate Stae nd' local'agencies as deteniinl d s the Slate S.
h. pufically; the '\pplicant
' ' $ssures that n h �s MINIM or,will iultilltheohligationsinlposed on 11 A U.S. lhpnrtment of • ” . Transportation (U S. 1)0'1) regulations 'Int.rgoscrnm ival Review of 1)epartnient of
• " Transportation Programs• and Acti} ities •' 4`9 C FR parth7. This assurance does notapply:to
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Applicants for Federal assistance under FI'A's Tribal Transit Program. 49 U.S.C: 5311(cX1). - '
_ 1). Nondiscrimination Assurance
As required by 49 U.S.0 5332;(which prohibits discrimination on the basis of met, color, creed
national origin.ses; or age, and 'prohibits diseri,iiinalion in einplo)'01e11v or hiisincss opportunity), " '
by Title VI of the Civil Rights At or 1964, as amend d 42 U.S.C. 2000d and by U.S. 1)0T -
regulations; Nondiscrimination in •Federally- assisted Programs of the Department of .
'1•rmsportation- Gtlectu.ltion ol l'itle'VI of the Civil Rights Act" 49 CFR part 21 at 21.7, the
• Applicant assures that it Will comply with all requirements imposed by or_ issued pursuant 10
49 U.S.C. 5332. 42 U.S.C. 2000d.and 49 CFR part 21, so that no person in the United States. On .
the basis ol'nee, color, national origin, creek sex. or age will,be excluded from participation in, .
he denied the benefits of 'or otherwise be subjected to discrimination inan)_progriun or,activity • '
(particularly in the level and'gtalitvof transportation services and transportation - relaied •
benefits) for which the Applicant receives federal assistance awarded by the U:S> DOT or FTA. .
Specifically during the period in Which Federal iissislance is extended to the project, or project,
property is used for a purpose for which the Federal assistance is extended or for another purpose
involving the provision of similar services or b eii tits, or as long as the;Applicanl.retains
ownership' or possession ofthe project properly. whichever is longer. the Applicant assures that: .
• (1) Each project will he conilucted,.propeny acquisitions will be undertaken, and project •
facilities will he operated in accordance with all applicable r e quireinentsor49. 5332.
42 U.S.C. 2000d. and 49 CFR part 21. anduiiderntai ds that tliis'assurance estends.to its
entire facility and to facilities operated in connection with the project:. •
(2) It will promptly lakr;the necessary' actions,to effectuate this'assurance .`including - notifying
' th l f iil i in e public that complaints o dscrniiiaton the of lr.uisportation related
services or benefits maybe filed with U:S.,DOT of FTA. Uponrequest by U.S. DOT or
FTA, the Applicant assures that it will submit the required information pertaining to its • • .
cinnpliance these provisions;
(3) It will,inctudc'in each 'subagcement,.property transfer ageement, third party contract,,lhird
pan)' subcontract, or panuCipatlon agreement adequate provisions to extend the, requirements
imposed by or issued pursuant to 49 U.S :C. 5332 42 U.S.C.. 2000d and 49 CFR ; part 21 to
other panics involved therein including'any suhrecipient, transferee, third part}' contractor. .
third party subcontractor at any lcvel, successor ininterest, or any other participant in the .
project:
(4) Should ittransfcr real property, structures, or i mproicnients'1iinanccd.svit lt Federal °
. assistance•pros ided by FTA to another' party, any deeds and instruments recording the
. transfer of that property shall contain a covenant running with the land assuring
iiondiscriniiiialion1 for, the period during' shish the property is us ed for a purpose : or'. hick - '
the Federal; assistance is esteniledor for another purpose involving the provision or similar .
services or benefits;
(5) 11ic Unn S
d ipes has aright to s m
seek judicial enforceent with rcg:ud to an' .matter arising I
under; title VI of the Civil Rights Act. U.S. DOT implementing r and this '
. assurance; and . '
• (6) It Will any.changes.inits Tille•V1 implementing procedures as 1) S. DOT'or I"1 •A may
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49 U:S:C 5332: 42 U.S :C. 20004. and •X19 CFR,part 21. •
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E. Assurance' of Nondiscrimination on' the Basis of Disability
: y • AS ra iiiidby U.S. IJ,S. DOT r utatiyns, ";bIondiscrimmation on Bast's oCliandiripinPrograms •
and Activities Receiving or Benefiting from " Federal Financial, Assistance al 49 CFR the
Applicant assures diat.'as'a •condition 10I approval•or cal •nsion'of any Feder d assistance .
' „ awarded bv1l I'A to conslnict any,ta facility ohtaimany rolling stock or olhcr pm
eguient,ruidertakc
studie', conduct research, or to participate in Or obtain any benefit from afl■ program '
administered by F:'I'A.'no otherwisequalitied;person with a• disability shall'he.,solklv by reason '
of that disability, a laded irom, p'uttupation in .denied the •benelits of, or otherwise suhjected(to 'i
• discrimination in any; program or activity reeei ing or benefiting, from Federal assi"staiue • •
. administered by the:FTA or ali:i iijin\ i iithin U.S.. DOT. The Applicuit fissures tliatprojeet, '
;intpleni''ittation and opemtions.soassisted;v. 11 comply with alllapplicabla reyuinments of •
U.S. 1301' regulations''implememingthe R ehabililation,Aet of 1973 as amended, 29 U.S.C. 794,
etseq... the Ainericaiis icith,Disanddies''Act of 1990, iis amended. 42 U.S;C. 12101;e( "seq.,
. and implementing U.S.dX)Tregiilations at, 49 CFR parts 27..37. and 38. and any other • •
"" 'applieahleFederal laws that imiwhe enacted or Federalregul'ations that may he promulgated:
F. LI.S: Office of ktanagententand '13tidgcl'(ON113)Assurances
i1 ith yes ctto itself or its o ect: et .\ I B arid SP-42413, the Applicant assures that
Consistent With O\Il3 assuranc ss t forth i n`Si a24
. (k 1>r J . pp ic•uit :. . ,
' (1) 'Ilasdhelegal authority • apply for.Fcderatassistancc.a» d the institutional managerial and ,
financial capability (uicluding funds- sutliueiit to pay thenon- Federal share of project cost)
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to assure proper planning, :inaitagenient. and conipletion'of the;project described•inits
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. (2) Will gii a FTA, the Comptroller General of the.tlitited States and,.i f appropriate, the State:
1 through any authorized representatiyc,:access to and the ri ght10 exaniinrall rec books. , •
papers, or documents related,td the award; and will establish. a proper accountingsysteni in • -
(3) \ \ills I nce wi slal euie rde t a ccpted ac tenting standards or agenew direct; cx
(3) g o prohihit employees from using (heir positions for a purpose•tliat
constitutes orpresentsthe appearance of personal or organizational corillict.of interest or
e (4.) 'Will' initiate and complete Ili e ywrk.yiidirn th _applicablepro3cctiime periods folloixing
t ' • • pi of ETA . ..
• (5) Will conipl\ •with.alt ipplieable Federal staiutes relating to nondiscrimination including, but .
(a `T Title Viol ' Ri his Act.,4
(•.). _ _ _ _ g 2: U. S'. C. 2( H1 0d, whichprohibiLSdis 'e-ritninationonthe I' -
basis of race. color or nation t origin
1 • , (b) titled: of they duc nioii' \niendmcnts of 1972. as amended. 20: U.S.C. 1681 through •
q 1681 and 1685 througl 1687 and U S D01 r e " \ondiscrirnin:nion on the
-, 13asiStof•Se8 in"Echiezitiorr Programs or Activities Receiving .Federal ederal Financial
Assistance '•49:CFR.p:rt 25. which prohibit discrimination on the;liasisof sec
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(c) Section 504 of thi.•Rcliabililation' Act of 1973. as amended. 2911:S.C: 794. which
,prohibits discrinnnationon the hasis o disabili ,
d
1c A e:Discrim nation Acl of , 1975, ac amended. 42 U S:C. 6101 tlunu x6107. which ' '
(d) 7 .. g fl
prohibits discriminatiamon the basis of Ige: . •
(e) 'IU. Drug Abuse Office and Treatoienl 'Aet ot`1972, as arnended. 21 U:S.C. 1101 et seq.,
- relatingto nondiscrimination on :the basis of drug abuse: .
-(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, as .
amended. 42;U.S.C. 4541 et seq., relating to nondiscrimination on the hasis of alcohol '
' abuse;or alcoholism:
(g) "Ihc Public health Servici 1cl ul'1912: as amended, 42 U.S.C. 290dd Ihrough'290dd -_2., •
relating to eonfidentiality„o drug abuse patient records;
(h) Title yin, of the.CivihRights-Act, 42 U SiC. 3601 et..ieq. relating to nondiscrimination
in the,sale. rental, or'f inancing o f housing; and
(1) A ■ns' , other tiondrs(tintinaiion stattne(s) that Ma), apply.tothe project: •
(G) To the extent applicable: tril comply wi th. or has with, the requiret1 elit_s of
Titles11 and 111 of the Unifonu Relocation- Assistance' and Real. Property Acquisition '
. Policies Act of 197(1 is amended, (Unifomr Relocation Act),42 U S.C. 4601 et Seq; which.
among otherIhings. provide.for fair mid tpritahletreatmentbf persons,dil':placed or persons
. -whose property is:acquired as i result of federally assisted programs. These, requirements .
. apply to all interests In reat,propert y, acguiredltbr projeet.purposcs and displacement caused
by the project regardless gf;l cderal pa rticipation in any purchase. As :required h)' •
sections 210'and 305'oftlic liniforni'Reloc:rtioiiACt. 42`U.S.C. '4630. and 4655, and by
U:S. 1)Ol.regulations Unifomi Relocation lssistanceand Real Properly lcqursition for ' .
. 1 ederal and Fe Cssisted Proegv» s 49 CFR 24.4, the Applicant assures that,i1has
the requisite authority under applicable Statcand Iocal law-to comply With the requirements
. ofthe:Uliil'ortia RelicaiioiyAet 42,U.SiC.:4G01 elseq., and U.S. DOT-regulations,,
"Unilomt Relocation Assistance and Real Property Acquikitionfor Federal and •Federally
Assisted Progruns " 49'C FR pan;24, and twill comply with,that Act of has compli with ,
.• that Act andihose-- implementingregulations ,,iicluding�hia limited to' the'following:
(a) The Applicant .Will adcquatelv'inlornt each afTected,person of the' he no tits, policies -,and .
' procedures provided for 'in 49 CFR'part 24:
. (b )' "Ilre r \pphcanlwill provide fair and reasonable'Yeloeation patmients .and , assislanee .t .
• requird by'42 U.S.C.4622,'4623. and 4624 :'49 CI R'part 24;:and -any. applicable Fl TM
procedures, to or for families al
tndrwidus, pannerships,,,corporations'. or associations ,
displaced as a' result ofan\ prof ct'financed .,
c nie A licant will rovide relocation 1Ctilsl
() pp p ice progr u»s offeringdic services
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described in:42 •U.S.C. 462510 such displaced, f.•rmilies. individuals, partnerships,
corporations, or assouatiuns m •tli., manner pnrVIJed in 49 CF R'part 24
(d) \lithin n re :ecunahle unreh lore displaeeme il: the Applirant atailahle ,
eontpar rbl.:replaceinciitdwellings to dispfa . d fiuutlies and indit ideals as required by
' ,' • 42 U S.C..4625(e)(3
(c) "Ili. Applicant ttlll Carry out the reloeatioriprocess in such,nianncc:as,to provide .
„' re p p i mlorm uid onsistenG services, and well make availahlq
dos I reed ersons with, u
placement h ousinglnthe same, r ange of choices with respect to such housing to'all ' ' '
., , displaced persons regardless,of race; color, religion, or na tio nal origin: ,
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(1) Inacquiringrealpropertv, the \ppljcant will b guided to the greatest extent practicable
' iiiidcr Statc'laty, b y the real properlv,acquisition policiesof 42•U:S.C. 4651 and`4652
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(g) '11te Applicant will p:iy or remihurseiproperty' owners forihetrnecessary e\petiies as
• specified'in,42 U S.C.'4653 and' 4654 with Ilic' understanding "that '1 will pr "
F, financial assistance for tlie,Applic int`s eligible costs of providing payments fdr r .
those expenses •as required by•42 USX:. 4631;. ' '
• (1i) :•Ilie Applicaiu will execute such ::anendmentS!to. third party :eontracts
• i documents l as F fA mais1an<a and,ese<ute • lurntth and he hound,hy such additiimal
• detemLne; free ssarvito effect nalc' implernent the assurances
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rotided heroin and •
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' Ili Applicant agrees (o mike Ihcse•assumncespar'tof or incorporate, them by reference • .
• into :any third party contract or; in or anv ameiidnients thereto, relating,,to, •
any project bv'F'I 4 involving •relocatioii or "laird aciluisitionand provide inany
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affecteddocument that,lliese'relocalion and.land'acquisition provisions•shalfsupersede
anyeonllicting pros .
(7) T0 extent applicable, wi112omply with the'Davis- l3aconAct. as amended 40'U;S.C.
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j 3141•etseq.. tl e'Copeland" Anti- Kiekbaek Act. as amended. at 18, U.S.C. 874.4and.al •
40 U.S.C. 3145. and the Contract Work I lours and S del iSiand Ac t: as amended.
40 U :S' ',C. 3701 et seq reganhng l ibor.standards for te derilI assisted "projects; - ,. '
'(8) To the extent applieahle,, will'eonipl■ *Mirth,: flood insurance purchase requirements of •
section 102(a) of the -Flood 1)isaster Protection Act of 1973. as amended. 42 U.S.C.
4012p (a).4 requiring PR licunt an the to d its Buhr ci rods in _a s <cial flood hazard' area to yi i P p,..
participate iii the progrv» and purchase tlood insurance if the total cost of •insurable .
construeti 510.000 or :;more
(9) 1 o the extent applicable, will comply tsith the Lead-Based Paint Poisoning Prevention Act. .
' 42 U.S;C 483 f(b). which pryhibits tbe!use of le:id•based paint in the constriction or •
rehabilitation of residence, ,structures ;: . •
(10) To extent :applieabl will not.MOose'oG,Inodify, the use of or change the terms of the
real; property title. or other interest ui the site and •I'aulities onythich a conslnictiomproject
fo,tlu Supported
<ni` �ssi •Fnc a< withourpumissiori and jnstriictuone °Ironi.l f:\; "
(11) y inr d ' i ll record •the Federal interest in the title of real.property:
anit wilt include a covenant-. m the tnle of real'propertv acquired in nholeor in part with
' , „ Felaeraf assistviee •to„•issurc nondiseriminati in during the us fullitelof tl e',projcct
(12) •fo.lhe extent applieabl coniplywith t IAprosisionsconccmingihe drafting. review. '
' and' approt al of constroettonplans,and specifications of :my construction prof ct supported "
d •
I with FTA assistmc As required by US DOT regulations: "`Seisntic'Sali.ty, 49.CFR' - ..
4, 41 11 h fore'acceptingdeln<ry,ofan building fin with' iTAassistaiice. - ills 11, ,.. '
• . ,a certificate of compliance with;the seismic design and construction requirenlents.of
A 49 CPI p li41:
. • ('11) To the'ectent •ipplieable,,wi11'pro%ide and inaintainconlpeteiiland adeyicne engineering;.
superviswn at Ile Construction site of any projat support d yi :ith F I' \ assrataaccip assure
', " '• that the "eomplet e;work- eonfonin with iliti apOnW'ed plans aci specifications. and'will •
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lured:sicprogress,reports,and such oilier information as tray -he required hy VIA or the State; -
• • , (14) 1 o the;ev nt applicable; willcomph ••.with any apph<ah1 •ns ironnnntal' stand :vdsthat may .
be;prescribed to- iinplement the•following F laws and'executive ortfers: •
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(a),Institution of environmental quality control:measures under the' Natiomdi3nvironmental -
- Policy Act of 1969; as am °ndcd.•42'1J S -C. 4321 through 4335;and Executive Order
• No. 11514, as amended, 42 U:S.C. 4321 note
(b),Nolitication of violating facilities pursuant lo 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'iiazards-in, tloodpl uns'iiiaccordance'with Executive Order .
No.�'I 1988:42' lJ. S'.C. 4321 note: •
(e) Assurance of project consistency' with the approved 'State management program •
developed pursumtt to the requiirnunte ofthe Coastal Zone \lanagementiAct of 1972. -
as'amended;.16 U.S.C. 1451' through 1465; '
(1) Conformity of I ederahaetions •to State (Clean Air) Implementation Plans under •
section 176(c) of the 'Clean Ai'r Act of 1955. as "aniended. 42 U.S.C. 7401 through'' ,
7671q:
• (g) Protection of underground sources:of drin ing water,under the Safe thinking Water Act .
of 1974. as amended. 42 U S.C:r30Of through 300j - 6; .
(Ii) Protection of endaitgered specie's iiitder. the Endangered Species Aet' 19 as
• amended. 16 U.S.C. 1531' through a 544; and .
(1), jEnyironinentalprotections for Federal transportation, programs. including. but not -
liinitcd to: protections for,parks:,rccreationareas, or wildlife or waterfowl refuges,of '
national, State. or 'heal sigmhcaiice or any; land from a historic site of naaional.,State, or
ignificance to':be used in,a'transportation project as required by 49 U S;C. 303(h)
local S - .
and 363(c): . r
(j)' Protection ol'the components of the nationaf,s ild and scenic rivers systems, as required_
' . tindcrahe' and Scenic Rivers' Act of 1968. as amended. 16 U.S.C: -1271 throiigh ^
•
(k) Prousion,ofassistancetoFfA : incont hm iyith, sectionI06oftheNationalIiistorie `
i'ieservation'Aetof 1966. as:uitended.'G;U,S.C. 470I' with the Archaeologieal, and - •
Historic rs c Prese ttioi•Act of 19,74, :LS' amended, 16 U.S.C, A69 through 469c • :aid with ,
' Executive Order No, 11593 (identification and protection or historic properties). •
r'o i - 16 470. note: - _
.
(15) To the extent applicable will comply wi requirements of the Hatch et. 51U:S.C. 1501
• through 1508,and;7324 through 7326: which limit the political activities of State and local '
.. i is no
n n hole o
• uanced' r� t art th Federal rat fu including ra l ed rat lo � a ant a gr:ement, or
e
1rc
P . s Br.
". " cooperaae'agreement except to accordmtee withy49 U.S:C. 5307042) and 23M.S',C:
1 42(g). the I lalch,Act does not apply to a nonsuper isory entplo •e ° of a public- •
trai sportatton system (or of any other:agctitcy Or entity perforiitmg,relatcdtunciions) .
•receiving.FlA. assistance to.whoin that Actdoessnot otherwise apply: '
" , (16) To,the •ext nt applicable. Will comply -with th NaiionafResearcli Act. l'uh 1 93 -348.
July 12 1974 as aniunded. 42 (i S.C.. 289 el ieq:, and 1 S 1)0"r regulations. - 'Protection of
' human • Subjects ; " 49 CFRIpart .11: regarding the; protection :of human suhjeeis involved in .
j , I :' 9 R developriant :ind rc lal •d -actii itiessupported b5 Federal assistattec :.
,(17) To'Ihe applie tbl . will comply with the Animal Welfare Act. as;unended 7 U.S.C. .
• .2131 et seq., and U.S.'llepartnttnt 6t Agriculture 'regulations• 'Aniinthl Welfare : - 9 •CFR "
-
l
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39
s u_ •
•
E!
y r p .
„ btoodel aminals h ld rls 12.3, and 4 regarding the care handling and lrealtiant of warm:
suhclia' ter A. a
or creed for research, t eaching or other aelty dicssupport dby: ,
,, ' assistancey ' • ., .
,(18),\t11l,h0ve perfonn d the financial and as,requtredhythe Singk Andit o
Act;Aiiiendtuents:of 1996,31 "U.S.C:'7501. et seq.. 011B Circular'l 133 s "Audits of States.. ,
Local Governments, and Non-Profit ergantzations; Revised, and ihe'most recent • ,
;.,
applicable QMIIA -133 Coniphanez ;Supplement,pruvtsionslor the,U,S, 1)0Tf•and
• - (19) TolIie e tentapplicahlc,!;will comply with all ofall other Federal laws .
or regulaonss, and tollovv 1cd r it directnes govemin , the l e projeei. cscept tathe cxicnt that '
FTA has cspressly.approved;othenvisy in writing.
' . 02. ` L O B BYINC CERTIFICA'T'ION .
.4n applicant that subnnts or Intends tosu FT,4 for any.Fedet afg"rant:; loan
(inclitding a line ofcredit), cooperative agreement_ loan guarantee. or loan;insurance'ecceeding,
• s100.000 is regriired'to prortde'ihe follotring certification TT, may not an'ard l ederalgrant :,
loon,(including a line of cred t)
i, cooperative agreement, (oat, guarantee, or loan i nsurance
' e.(ceeding5100.000nntrl the'.4pphcant provides this certification by selecting,Cdtegory "02.'." ,
.
:\ \s,rcyutred hs 31 U S (:,1352 andiU.S, 1)0! reg "Nest R trl uons on l.,uhhving,"
at 49 CI R 20.110; thc,Applicmtl s;atitlionicdrepresentatijc ccrtifieS•to:the bcst<of;liis or:hcr
g for each appliwuonto'13 S 1)01 or 1 IA for l ider•il ,rant, loan •
lnoiilcd eand',lieh fthat ,
iitdulm a lmeof credit): craive'a cement or a 'e omnntmcnUlhat the Federal (including ) p_. gr
m a Govetiintettt to guvantec'or insure a ;loan exc cling SI00.000 .
(I )'No Federal appropriated!funds Iias a hecn.or will lie paid or on behalf of the
Applicantlo person to influence or attempt to mtlu ence u t •otlicer or employee of ,
melud it o e of t�redit [ Cun t rer s re-guiding e ni nt ni?r ntde oploan n urance o
P S g
t
r the cvtension.,continuation renewal; amendment.,or modification,ofpny Federal grant, '
loan (including a line:of credit) cooperative'agrcentent.:loan gu or loam '- • :
itisitrancc :
l f an funds other than Fed ralappropri t d funds have', been any ,
or will'hc paid -to
' ' ' • ( "crson 10 inuence fl or attunpt to iitlluen1�'sn olltcer or employee of am Federal
„ t be'r'of Congress , at officer orernplov : of Congress. or an,entplo'ec of a
'',, ' t" ^ 91 Menib rr o
ef Cmigress in conncction'ivttlt an application!tor aFederal yat;•loat
( \ppli .ant st recthat a u ill io »pl suhn n Stmdard t l onn -1.f 1 re of�
- Lohhving:\eti Rev 797.Taiid " . ,, .
(3) Ilie. Ianguage or thi.,cL shall •b 4iicluded inth e'avvard doc'um nis for 111
under a rants' ; loans m ncludut suheontract§, suh rants,suhabrceiitenls, and,contraus
1 "
u b ( luding aline of credit): cooperative agre • ntents loan guarantees „ 1 •
u • '(i 9 A. ° Q t f mdloaninsuratlee).. , ' - ,
13 Lhc.r\pphwnt understands that thn i'ertification: a material r pr sentation of fact upon ..
•
• ' r vv hidi r N isipla.ed bc:;the Federal' ninient and that•ubntission of this certification : .
X
•
I.
„
,.,,, D_l i.
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;,,n a
u
•
. ,
• , .i s ir •
fi gyp, f „
•
•
..I'
is•a prcrequisile for providing i Icdcril.gr nt Ioan',(including a Tine of cr edit). cooperatiee •
agreemr nk loan'g e or loan insurance for a,transadion;cov ered'hy 31 U:S!G. 052:
• 'Ilia-Applicant also understand that any person who Iails'to tile :O required certiticalton shalt .
' b< subjectto a civil pcniilty'ofnot less thin S10, 000, and not more than 5100.000 to i each
such failure., •
03..PROCURE \IEN'r COMPLIANCE • •
In accordance 1Vith 19CFR !ti G(g)l )(ii). each Applicant that is a State.' local; or!ndian irib'al •
'government that is, seeking _F edera! assistance to acgjfiireproperty Or serricesan support of tts'
' project is''requested ro provide'the following cerl:fication f 'selecting Caiego 0 . "F14 also ' -
requesig other Applicants to provide the following certification. , Applicant for F,T.4 assistance • ,
•
to acquire property or services in,snpport grits• project that fails to provide;this certifcation;tnap „
.be'deterniined ineligible for award :ofFederal assistance forthe project: ifFT4.tlelerntines that
it.. g. procuretnentpracticesand 'pracurerneni )stentjgltocompl }:with- Federallaicsor`. „
regulations.in accordance with applicable Federal di ectit'es. •
th e Applicant certities•thatVits,procureim nts and piociircnient system will comply it'itfi
• appti ablW Ih� cstent FT 1 has'expressly approved olherwisc- m,tuh.applicable Fadcril dvectives;'- esccpt.
er deral laws and regulations in accordant « ,
truing.
04. PRO'I'F.CI IONS 'FORPRIvA'rE''rRANSPOR'rATION PROVIDERS;
,E;ach .4pplicani theris'a State, 'local. or lndian tribal-governineni , thatris seeking federal '^ '
,assistance authorized under 49 'U.S C:- chapter ?_i;to acquire:any property or an in "terest the -
property ofa private provider of public' transportation or to operate public transportation '
eguipnie•nt or futilities in cornpetinon n :th.,or in addition to, transportation'ser: ice p by .
•an existin pr n ate provider of public transportation isregiiired to proi'ide'the folloiing'
cer of cation. •FT.4 may not cnrard: Federdl'assistancefnr such a:project until the Applicant
provdeistiiscertificationhyseleeangCategory •fi4" d .
:'S 'A r , 49 U. S. C:5323(,i)(1): ther Apphi=aiu certilies 1ha it acquires the property
or :m interest in the property of a'pr:'. ate pros ider of nubile transportation or'operates public -
• U msportalion r quipinenl or fuili4es m competition with: or in addition to,- ,IranspoA:uion s nice
• provided by vt • existing Public traitspoAatwn pomp my „d has or will have:. .
etenntned that the assistance is essential to carrying out 'a program; of projects as required • •
A. Dc
by 49'U S.C. 5303 5104. aid 3300;
I 3. Provided I'or the partiupalion of private companies engaged in publictransportatioii to the
nmcimum extent feasible and .
' C. Paid ju compensation +under. State or local law todhe company 1or anv tranchiseor • .
” a � ' ,' i, rproperty aequired. „
., . -05., PUBLIC- HEARING
' : p p ni" seeking F assi i tance,authori_ed under'•19 U.S.C. chapter' 53 for a capital
InA h ca
.
•
•
D -1 .
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t
project, ihahwill.suhstantially aj ect a coiiuininity, or 'a co'iumunhiy's public' transporlation,sen'ice .
„ ' is regitired;to provide the following certification. FTA may not award Federal assi.itance fora
cape :al,projeci of that qpe until the: ipplicant providesihts certification by .selecting
Category :'05. •. .
• :Ls regnired;l» 49 U S.C. 5323(h). for a propos d capital projectithat Will substanliallv.afTeet a
contniunity, or the public transportation serdieefora;commuity;;d Applicant certifieslhat,it
v. has. orbefore submitting its application, it will have`:
= A. Provided an :adequate opportunity for-publicrcvicw :and'comm�ent•ondie proposed project; ,
.R After providing notice .including a •concise, description ofthe,proposed'proJcu, publishedin a .
• newspaperofielieralreireidatioiiiir die geographic area to he served• held a puhlie.hearing on.
the.projecl if the project a0zets signitidantecononiic social, orenvironnientafmterests; .
•
C. Considered the economic, soci tl and environntcnial effects of the proposed project; and
D. Determined that the ro sed ro ect-iscon. istent'with official plans , for developing the
. community. .
•
06, ACQUISITION OFROI LINO: STOCK FOR4JSE IN REVENUE SERVICE.'
.4n Applicant seeking Federal assistance authorized under 49'U.S.C. chapier'53,to acquire any .
rolling stock for use in,r es enneser ice is required to provide the following' certification. F1':1
•
may not aimed any Federal assistance'to, acquire .such rolling stock until the applicant provides
"
this certification by selecting Categoij° "06. "
As required h 49 U.S'IC, 5323(m) and',impfementing�FTA regulations' `Pre ward and Post- -
1)f: iven•,:Audits of Rolling Stock)'urchascs :" X19 CFR :pat 663,, at 49 CFR_663.7. the, Applicant '
certifies ,fiat it Will comply with.the requiretiments'of 49 CFR part 663 as modified by
• am • ndmenn authorized by section 3023(k) ofSAFF.T FA- 1:U'when procuring revenues
rolling stock. r \moh other things; the,Appticant agrees to coiidud'or cau to tre' die
• pre, award and post.delivery rei�iews, and maintain on fil certifica,ions
e „ r 4 CFR put 663• subparts 13.C. and D. . ,
' 07. ACQUISITION OF CAPITAL \SSEI ' S 13YLEASE
..J{n Applicant that intends to request the use of Federal assistance authori;ed:under• 49 U.S.C.
c hapter's 'to acgiiir "e capita! asset's br lease is required to provide the following certifications. . •
F7 l inay nor provide Federal assistance to support thos cost until,the Applicant provide•,this ,
., f'„ ' . , ' certification by selecting 07. "
r ■• required by f 1 • \'rag twos. "Capital: • szp 49'CI R part 619 at 49 CPR 639 15(bx 1) and
99 CFR' 639.21 „tf the pp hcant nc cures an ca uafasset bs first financed ,with Fed_ rat
• .l ltilance.aUlhon'J.e'd u nder'49 U.S.C.,chapler 53, the Applicant ccrtifie«s as, follows:
' + ” 't i ' ' -(1) it,willnot usc:Fe feral assistance aulli6riudlunder 4U. I
9 S.C. eha r 53 to finance the cos,
df leasing any capital asset tmtil :it.perfonms,calculations demonstrating "Ili rt lcasing'the . •
" p w tivc than purchasing'orconstnicting a similar asset;
ea tt51'ass t eeould be nty r :cost cl ec
and it complete Ili s caludations,before en lering into' the (ease or before receiving a
.
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•
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capital.gtantfor.11tc asset:,Whichei•cris later; ^and
(2) 11 swill not alter itito a bapilalieas for which FTA'Cair provide only incremeltal.Federal •
. assistance unless it has adeguatezlinaircialresoiirces to meet'its fitlure obligalions;under. the
' lease'it an
Federal assistce is'notavailalile for capital' projects in the subsequent years. .
0SL 'BUS TESTING
• An applicant for Federal assr.stvnce appropriated' or' made available for.49'U.S.C. chapter' 53,ta
•
acquire any new bus model or an)'bui mode! With a 'riew major change in configuration or l
•
componentr;is required;10 provide.ihe following'certification. FTA n:) not provide Federal
assistance for the acquisition ofany nem •bus'model'or busimodel with a.nrajor change until the .
Applicant provides; this certification by selecting Cat gory "08. ,
,
As required by 49 U.S.C. 5318 _and'FTA regulations. "Bus Testing." at 49 CFR 665`.7. the '
Applicant certihes,tli tt, before expetding qtly Federal assistance to acquire the!tirst bus of any .
new bus.niodel or any 'bus niodel;wnh anew in'coi figuration orcomponents• or
before auihori ing.final accept:mcc otnlliat' bus'(asdeseribed in'49 CFR part 665):
. A. 'Ihe.hus model will have hcen I sted.at 1"1 \ s bus testingfacilily :'and
13. The Applicant will have reeeiv ed a copy of the.testreport: prepared on the bus model
,, 09. CIIARTER`SER \SICE AGREEMENT
„ .4n Appl icon! seeking''Federal arsismrice airthorr ed under 49 U:SC chapter 53 vicepl as
permitteclhl.49CFR 60-1 ?). or under 23 U.S.C. 133 or 14?. to acquire or„operate any puhlic
S
po equipment f _ . i q ollosrin Charter;' Service
" ' Agreeii ant. Fri! toci hot provide l Federal assistance ai thorceddu der /9 U.S.C. c 53
(except its permitted by 49 CFRi604 ?). or. under 23 U.S.C.133 or'/a?. for.siich projects until the „
• - Applicant enters intoahis.Gharier Service Agreement by. selecting Category ",09 "
„' A Ls'required,by 49 U S.C..5323(d)and (g) and F re gulations at 49 CFR 604.4, the
Applicant.understands and agvzes that il and eachlsubrecipient lessee, thirdparty contractor. . .
or other participant.in the!projeet;at any tier nlayprovide charier serf "�iec for transportation
projects that uscs'equipmentror faulities acquired with 'ederal assistance authorized under •
the Federal transit laws (except as perniitted by 49 CF R 64.2). or under'23 U.S.C. 133 .
i P
or142. only in cvm hancc,vvtth those laws aid& TA regiilatious: "Charter S n ice, "49 CFR' "
part 604; t1eterms yid conditions of which are incorporate d' he rein' by reference. ' ' '
'13. 'lliz Applieanf,understands aiid agrees that: ,•
(1) the reguireinentc of FTA regulations. ?'Cha terService," 49 CFR part 604, will apply to . "
. any charter service: it' or itssuhrecipients. lessees. Ihird.p:rty contractors, or other •
2' Il rdcfinmi> is ut Fl r \'re ulalwns," Cho
participants = P 1 P �� ^
( ) , g rter. i 49.CFR part vdl apply,ty
. ' thiti Charter ti •ry ice Agreement. and v Scn e` r tin v corrective .
G04
���� z 3 \ atteri of s iolationv ofthiii Chater Scr ice .A een ei may rz uire corn tive
(3) p gr' 9.. .
Jesse es i am.contrno medi aAiu ngbin thAli
arrge,ppeaiil utbr eipient
Measures andIiiipositioit of r'iiredies utcludi
and id the ro cat that has,en a din shat "
P' P P p 1" g ge_ ,
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pattern of violations•front rccus,ing 1 I A •lrnanrt it resistance, or withholding a n.amounl '
., of Federal` assistance as set forth iii F1' \1regulationS. "Chatter Sirvice," 49 CFR,
• part'604. Appendix D. .
' 10, .StilOOL TRANSPORTATION AGREES.IENT [ . ,,
.An Applicant •that is seeking- Federal assistance a under 49 U SC. chapter 53; ortrnder .
3 U S.C:1. or 11? +io acqurrc;or operatepuhhc'transportation ftcthties°and'egtdpment.is
, required' to enter into tile Jollosi +ing` School Transportation Agreement FT4, im:o not provide
Federal cissisiance'ai ihwt edtinder -191 U.S.C.. chaptei'53 or renter ?3 11.S.C.•133 or •142 for ' .
•
such protects itntildhe Applicant entersdnto this School Transportation Agreement hi selecting '
Categari; "10."
A. Ass, required b y 49 9.0 S.C:,5323(t);and,(g) and FTA regulations at CFR,605.14,.the
` -. pplicant understands,and a ees'that it and;each suit cipieni lessee: third'par(}•:contractor,
. or.otlter pviicipant•in the.projeet rat any her inay'engage in,school transportation .operations ' •
, d, - in competition'wilh pnvate;school 1r :iti'iportatioti:operators,lhat uses eydipment or , facilities ,
'
m equired suth 1 derd tcetstance authorized under, the .1 deral'transil'laiesorund6
23 U:S. 133.or'142 ,only in compliance with thos a laws std FTA regu lations. ' tSchool
M. , Bus,Operahon"st" 49 C FR'parl 605. 10 the z tent 49 U.S.C. 5323(1) er (g).
the terms and conditions of:whicit are incorporaled'herein by r tercnce. •
' 3 Ihe'•Apphcanl undcrst ands and agree that .
1
(1) ;11ie requircni 115 of FT. regulations, 'School Bus Operations:',49 CI R'part 60540111
. euin`t •con with 49'U.S.C. 5323(1) or (g); Will applv;;to viv,school transportation' •
s ers tee tl_ :grits subrectpients. h 'ssees, third party contra' •
i clots ,orotlier,Farlictpanlsinthe m
pro cc1 rov
(2) 'Elie definitions of FT:\ regulations :"School "Bus Operations;'r49 CFR part 605'wilI
apply to •this School'fr utspaAatiOn :- \grzzme'ii(; •ant the
a ' I ' ppl
.' ( ;) Auant a uihr upi nt.Ihssee l
l hirdparscottri t r ipanuihhe
t,,projccl1, .
that ha.c,violated this School Transporation'Agreentent from receiving Federal transit
p ,
Pp Hate •
assntance,in an umouni F fA considers a r •
. . 11. DEMAND RESPON•SIV b SER\'IC_E '
operates" deco' m
u , '1 ,. 1 �l nA !tc andres onstves � ,
pp ant that. p p en ice and applies for. direct Federal nssisttince
authori=ediinder 49iU :SC chapter,53 to'acgmre nan-rail public transportation vehicles is
� 1 P f not otrnrd dtrect�Federal assistance � � �` ��
q P p na 1 an: ippliccr t � nt that operates demand responsive sere >ice:
to a �tr�non ratl � t bl c tram p g f aaon. FT4 ore tron,m ehtcles untilithe :4pplichnt provides this cer'tifcation ,,.
,hyselecting category -11. "
.,."•'.'•• ' ' t' tAs • reyuired',bv U S 1X) f ulations I'rosporation,Ser to •s +for Individuals with Disabi litles
_ , :CADA),"•at 49 CI R 17 .77(d) the •r \pplicant certifies that tls •d blind responsise sereice.olTercd,
.
, ies. including indi 'duals 8ho use sv1144ehutrs, is zy ui\•alzni to the
to mdtvt wtls u t t tsa t o
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• levd•and qu alit of ser ice oflered10 individuals. without disabilities. Viewed :in its entirety. the
Applicant 's s n Ice fir mdrvlJuals a rth disablhuws is;pros ided itcthe most integrated setting
- taasible and Is equivalent s iiIi rtsptd 10 :l(1) response time, (2) tares. (3) geogrlphie ergee . , •
area_ (4)hours and days ofservice, (5 restrictions on purpose. (6)availabilny of:infomtation
and reservation capability, and'(7)7coinstraints oncapacity.or .servic ; availability..,.
12. .ALCOIIOL r trSUSE •AND•PROIIIIIITEI) DRUG USE
- If the 4pplicant isrequired hyFT.4 regulations. " Prevention ofAlcohol alistise and Prohibited, •
Dnig,Use i n.Transit t�perations; " at 19 CFR parr 655, to provide he follolring certification
. concerning its aciirvtles to previent alcohol Misuse :Mid prohibited drngiiseIn`its public • •
, lransportation F74 may not :provide Federal assistance.so that Applicant unit! it ,, '
• provides this,cerstfication b y s electing,Category "'12.
As required, hy'FTA regulations; `iPrevention ofAleohol Nlisusc and'Prohibited Dnlg Ilse in . . .
• Transit Operations." at 49 CI ', R part 655: subpart 1 thg:Applicant certifies that n has established
and implemented' in;aleohol misuse and anti drug progrun. and has,coinplied ssith or will
. co silly With all applicable requiremcnts:of FTA,regulations. "Prevention of Alcohol \-lisuseand -
Prohibited Drug: Use. in Transit Op rations° 49 CFR,part 655,• .
13. INTEREST AND n'1'iIER'FIN:CNCINC:'COSTS
.4n Applicant that intends.to,request the use of Federal{ assistance for reimbursement :of interest
1
. or other f Waning co.1_ts i ncurred for its capital •proje'ets financed , rth Federal its si Sta under
.the Urhani_ed Area Poi-guile Program, the-capital lueestnierit:Program. or the PaurS. Sarbanes, -
Transit in Parks Program is: requiredto, prow rde the following certrflcation. -F7A May nos provide •
' Federal assistance to support interest' or other financing costs until the at ppli cant "provides this " '.
certijieation by selecting Categor3 "1.3; •
As required by 49 U.S.0 5307(gx3) 5109(gX2XI3)(ni) 5109(gx3XI3xiii) 5309(i)(2XC), and, • •
5120(h)(2)(C) the ,: \pphcant'eertifies that i t y wull now'.. 1. reimbursemem for interest or other , . .
. ,financing cost.. unless 11 is eligible w receive Federal "assistance for (hose costs and its records
d imon.strate that 11 h is used r aeon•ible.diligenee in seeking the Most - favorable financing.ternts ' • . •
'underlying those costs, to the extent 1 may require. ,
•
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14. INTELLIGENT TR•\NSP()RTATION SYSTEMS' ' . .
''' An f licant or F7:4 assistance' or art Intelligent Transportation Systems 175 ' project, defined
as any projectihatin, whole or in part finances the ocquisition of technologies or systeins of
• technologies that- pro vide or significantly contribute'toahe provision •ofone.or 111ore' ITS riser- '
d "' services ax;defnedin the' ;Vationa! ITS: trchit cage;' is requested to provide th follatving p. • "
rages anjAppli, ont ford PTA financial assistance to,slipporl.air' .
' 'ITS r•o'ect o royide1hii 1 isran "/4. ".In IpplicantforF7A . -
• t I K n
,i, P I P
assistance or an ITS r o ect that fi to provide this assurance, without. providing other •
•
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45
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' r.,,; •docttrn assuring it coimnitnr i c with applicable'Federal ITS sti ndardi.and
rotocols. nia be Icreruiined; neh ihle• or an and o,/ ederal iissistance or she'ITS ro ect.
P 1' ,. f f' f P'l. .
p •
, ui Iods n� In ro� «t that n + n� s [I e's qu�c tion 01 tadnwb tutor systems of`
P 1 P, 1-
- 1 ,,teclinologies th a prosud. or sIgulicantly conlnbute to the1rosision of one or more 1TS;user
y'secvices as defined it the 'National ITS' Archilecturer" ,
A. A.. p ovidedin;subseetion'5307(c) ofS \l 1 11' \ =LU ,23'U.S :C. 512niole apart Irian - certain
•
cc ptions tntcllig,nt •transport ationrsysyrn,prop.cts carried out ustng,timds made .
. . available from the Highway Trust Fund. ulcluditig•funds nsadg,as adahle and r this sulitrtle.
10 deploy •intelligent transportation system feehifologIes Ishall I confo'rin to the national
archauire ec applicable standards: or prosislonal:'stand.lyds :aiiif protocols tutder
subscetlon (a) lotseeuon'5307 of S 33 LTL 1 LUI: _ to facilitate e.omplianee sslth .
• ' .. r• ion
:subsection of SAPGTEIA LU. 23 U C9 S 512 nuts the \pplicant'assure§ it 51il_l- . ,
comply with all applicable ;p'rovi §ions;of.Seetton V- (Regional •lTS; :Amhitecturc) and, '' '
•
Section Vi (Project lnlpleinentation) ot 1 fA Notice IT1 A,Nation• l 11 'S Architecture '
Policy on Transil`1 rojeels;` at 66 FR't1455 er sery :; J uniaq'8 2001. and other 1 I A polio`s .
Ihat alas Ix issued ipronnection with any ITS project it undertakes tins eed with funds '
' atnhon/ed undrrfale 49 or Title'23,'Unit d`States (ode, e' p110 the;es1 111 h :it,P "fA
e xpressly dctemiines olherryiSe.insiritingand • `d '
•
othcr 1111 49 or tale %23. VnaedStatel (.od dcral assistance denvcd lrom a ounce
13. , With res ct to alis 1 fS rojii finvxed vi ith
ei the April leant assuresuhat4l will use•ilsr •
1 hest ellorts l that anv 11 S project tt undertakes svill,nol preclude int rthce svith,olher
•intelli ant transportation s steals in the. Region ' „,
15.., URBANIZED 'ARE A.FOR\IUL:\ "PROGRAM •
• t E ach Apjilicanr ft rUrhani ed.4ren Formula Progratn,assistancc osthor,_ed under 49 U.S.G.
' " 5 307 is required to provide the followng,certi icotion.i;on behalfofitse fand'an} suhrecipiem.s
• partrcrpa(ing to its. protccls Uhles+ F l =1de'ternunes :othenrise in'ai riving, the 1pphcant is .
' •
' at
� idtanel }' respon compliance with its ccrnficgirons;and assrnances'e.) en thou5,h0 p
sitbrecipient,•lessee. third lwr•ty contractor. or other parocipantma parlicipite in that protect: ' 1
• ros ecteersnhreciP o ientshe+4 f P hcnntis' son edtorake ecoiiiplrnnce 'afits
dr , , u, , .. P . P.. $Y . appropriide meo3ures .'
t d i:o nit Ii ntt te d to g obtainin sit tcient documrtPntation font each•ruhrectptent,.to assure
f i helu
,i he s al, git ' g 6:o all hert it n and assinan'ces the 1 !:cant Iias nmde'cd FT.9 ifhosreve: a ,- ign
'Desated Recip defined at 49 USC 1 07(a)(�)(4)'enters into a'Supplemental '
Agreement. %rich F74 and a Prospects a Urantee that Gjrantce is recognized as :he.4pplicant for
• " Urbanized :Foniitila Prr grant assi.sm rice and innst provide the following cergfcinions'and "
v, assurances.. _ , . ,
Each 51 lant is.re un•ed h ' a9 U.S.C:,5s07 d (l IJ)ao,es nd at'le.astone (I) percent o
PP,ic 9 ) O � Pe fits
' „ , • Urhnnr ed',4rea Formula Progrgm asv+tance for public transportation security projects. Unless" •
' " .'
the 1pplicant has certrfredihat suck eipendititresare.not necessary lnfoniiahon aboutihe
A lrcant
s rntenn
pp one u:lhbe recordedin'the Securitjr" tab page'of the,TE4II if'eh "Project ,
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Ili • .. , „ . ,,, .1
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information" .window:when,heAfiplicantenters its Urbanized Area forniula'Program
application�in:TE%LLi- Web., .
' 17.4 may not award Urbanized Area'Formuda Program assistance to anyApplicantahat: is
• required: 49 U S. to expend one (1) !percent of its UrbanLed Area'Forntula ; .
■. Program Assistance for eligible transilenhancementsnnless that Applicant "s. quarterly report for ^
' the fourth quarter, of the preceding •Federal fiscal )erir'has'been siibntitted t¢ 17.4 and includes
the requisite 11storihe; ipplicantcatimhes in X 11 %eh oniincludes in irs quarterlyueporl ' 1
information suillctentto deiironstrate thailrhe iJest gnared Recipients m its area together hm e .
• expended . one (1),percent ofthe antountofUrbanizedArea Program assistance ina .
, . to them for transit . •
•
F74 may. not award Federal assistance for the Urbanized Area Formula Program to the
Applicant until the• 4pplicantprovides ,Thesecerrifications'and assurances,bi�:selecting
Category "15." .
As A. r In,com lianee.w dh 49 U S C 5307 d �)( ) A us
ppli .fullss
y O( Applicant ee
"" p (d I r\ . the- r \pphcairi liar nr ��'ill;liav a the 'icgdl.
financial, and technical capacity to carry outits proposed program ofprojects.: including the
• d: safety and + eurity asp«ls of that program
B. hi compli ince.with 49 U.S.C. 53076dX 1)(13)..thc Applicant has or Will has satisfactory •
continuing control over the:use of Project equipncnl�and`facilities
C. 10 c 49 U.S�C 53 the Applicant will idequatelti maintain_the
Project equipment and facilities; '
anilividual- am,tnlh q9 U.S.C. 5307(d)(1)(D) the \pplicant'a tll assure that anyeldcrly „
,i U to cot» hand w
P t
p'• alnvith disabilities; o�anypersoo presentiiig'a:Medicare card issued
do idu
'to Iiinr elf or herself pursuant to title ll.or title \VIII of the Social Security Act tJ S:C:
40.1' et seq. o r 42'U.S.C. 1395 et •icq )' s i ilI he hanged for transportatio durn non -peak
• hours usin oriiivolyiii f uciIi or eywpment -out project financed�µ•itliTederal 1 '
. assistance'authorized for 49 llS,C. 5307; nobanore than fifty (50) percent the peak hour , .
. `
.. F. In compliance vith 49 11.S.C. 5307(dX I )(E), llie i\pplicanl, iii a nrying,out a procurement' -
tart;
fuiaticed ivithFederal assistance atithonzed Tinder 49 U;S.C. 5307: (1) will u coiiipetitrve
prod am tit (as defined or approved d by ETA); A) (2) will not use ulusiotian •or
discriminatory specifications: m ds proem aunts: (3) will comply w ith' applicable Bud•:
Arnerica Ian's.. and, (4) will. coniplywiihahe •geneialprovisioiis for ET.A,assistiuice'of '
49 t1:S C 5323 and the Third party procurement requirements or 49 U.S.0 5325;
,
r. In coinpli.mce with 49 U.S,C. 5307(dX�1XF); the,Appltcant hi. cum lied,with or will
„ p
' crnnply with the requirements of 49 U.S.C.;5 07(c)Specificallv'the \pplicant:,(l)'hos -
\rea Forriulla 1 ro runt „,49 IJ.S.C. 5307. and the ro anluunts;:ivailablr
m ade'as actable :nor sull make as ad ibl , to th � publu uniomration on thy . � j
for MelUrbamud ' b p l r un of projects, it „
• proposesflo undertake: (2)'has •developed or will develop., in, consultation with :interested •- ,
aUn i 1i'- to b f ii a ns d 1 has ublished or ss 116 uhl h a proposed' r f pro of pro
parties nuludm ns ate trans ortatuonpros id ers, a ro osed; ro am o
o ram of o cts in
a, gay`that alteeted ciuz °ns;;pm•ate transportation providers. and local elected officials have
• .
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tlic opportunity to,exatnine'Ihe proposcd'probram and suhmilconinients of 'Iho;proposod
progranrandthe performance of lhe.Applica t: (4) has provided or will provide
PR P g -_.. z I?„ d program!of r
opportunity for a' abbe h� trim to obtain the stzws of utizutg'on the rpos
o
projects(5) P P P 9• p j "cts provides for
has assui red or: ii ill assure that the ro osed ro am of rq c
. the coordmationof assis'ed'under'49}U.S,C.'5336 "with transportation,
services assisted:bc anotherFederafgovemment'source (0) has considered onWill'consider
the comments andvi wsreceired, especially those of private tmnspoitation in
. preparing its final progranrofprojects: and (7) has Made orwvill Make the, final prOgransbf :
• „ projects ac ilablc: the public: I ' .
0. In 'compliance with 49 U SC': 5307 (dX'1 X0)•.the Applicant hag or will have as ailahle and
wirl,proyidethe amount of funds required by 49 U.S.C. 5307(e) for the local share, and that
those, funds`eisill`be'proi'ided trontapprored non- Federal 'soitrces except ae peninitled by .
Federal law;
11. Incompliance pith 49 U.S.C. 5307(d)(lXII) the Applicant Will comply with (1)' 49 U :S.C. • .
5301(a) (requirements for public transport anon systems that ,nta-wmzethe safe, secure- and
ellicient'mobility of individuals- minimize environmental impacts, and'minimiie
transportation -related,uel consumption and reliance.on foreign oil): (2) 49 U.S.C. 530 l(d)
(specialeflorls'to :design and proside:ptihhc tionlorelderly individuals and
,, individuals with disabilities); and (3) 49' U. S .C.. 5303throtigh 5306,(plamnngand•private.
ente prix requirements); -
1 I. In coniplianee with 49 U S'C. 5307d I
()(1)() the Applicant has' a locallydc eloped'proeess
• to solicit and eonsider public comment before raising afare or,unplementingamajor
reduction of public transportation. I '
J. In comp with 49 12.1.`SIC.15307(dXl)(J) ,each Fdcralfiscal year. the. Applicant will
,
spend'at Ieait one (1) percentiofi its finds authorized by 49'U 5307 for public
transportation :security projects; unless the Applicant bas certified F1•A'that such
expenditures are not necessary puhlie transportation security projects include' increased
lighting in;'or adjacentao a;public'transportation,,,sy stenn,(including husstops- subway .
stations, parkingl'lots .end garages),'inereased camera surveillance, anprea in'or<adjacent '
t' , ■ to thatsystem, emergenet tekphone Iine�or:Iinesto'contact l:nt enforcenient orseciirity' •
,: .
. personnel in an area in or adjacent to that system; and anyotherproject intended toincrease.
thc,,sectinty and safety of existing or planned public-transportation: and • .
K- In coniplii nce' 49 U.S:C.;5307(dX1X1 )- ifthe Appltcant,is a Designate Recipients .
serving an urbanized area with a population of atleasl 200,000, (1) the,Applicanl certifies
eith r'thst it has ekpended or n t11 expend tor transit enhancements as defined at 49 U.SSC- : '
'
I” 't . 5302(ax l5),not legs than of e„(1) percent of the annum of the Urbanized Formula -•
r \ssistance it reeeisesthisFederal'fiscalyear., oithalat leastone 13esignated,Recipientait,its
urb uiized area has certified or w el l cerinfs that,tl'
the Desigmted Rectpients'suthm that
urbanized area together have expended or will expend for lransnt enhancements as defined at g .
49 U S.0 53020)(15) not T than one (1) percent of the total amounts t D signated'
•
11 ecipic'nls eceivereach Feder-AI fiscal year under491J:S.C. 5307,. and (2) enht:Tr the
- • , Applicant haslisted'or will'Iisl thc,transit'enhanecin nt projects it has carried ont'witli thise , ,i
• ubanized am a has listed or .
• • will list the transit'enha cement ro ects carried out w nth lands authorized and r 49'U.S C: . •
5307. If the 1 Designat d Recipe it'squart report Applicant's
t he l fo4rth qu arter (tittle .
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{Art n .
• Federal fiscal'vear uidludes a transit enhance menli Desigiiated;Recipienls ,
in its'urbmiized area havciiniplementedlduring thatpreceding l edcral`''fiscal,.year using those •
' funds, the mtomtation in thatquarterty, "report will fulfill the requgzntent.c of 49 (3 S:C„ •
5307(d)(ij(KXii) and Ihus that,gtkartcrh r •portlwill be`ineinporated by ref rcncr'and'maie .
part of the Designated Recipient :s and applicant's certifications and °assurances. •
16. CLEAN 'EIJELS'(.RANT PROGRAM •
Each Applicant for' FuelsGrant,Pogram,assistance authorized under 49 U S.C. 5:03 is •
'required to provide the follotring cei of cations on , behalf of, ilself and its„ suhrccipen Unless .
P7.4 determines olherii ise in 4 riling. the 4 ppheant is iillirnately responsible for compliance u•it/i
• its ceriifications;and evendhough a.•snbrecipienl. lessee. :hi rd parm contractor.,gr • • •
other participant' may participat " in that project. Consequently: in' pros iiling;certifications ancir ,
assurances that rnvols a the'compliance of its,prosPective snhrecipients. theAppiicant is strongly
• encouraged10 take,tiie appropriate n incliiding but not limited lo,ohiamings cient
documentation fronreach siihrecipient. ro''assurs the i'alidityofdll'certifications and assurances
the.4pplicant'has made to F71. (T.4iinay. nolawardFederarassisionce for the Clean Fuels •
Grant Progranrunti!'theApplicant protides these cerrijications'h} selecting C ategoiy' :16.'°
„
As required by-49 U S:C. 5308(d)(1).- ,whidi'm ek tlia requirements of 491J.S 5307
• applicable to :Clean Fuels Grant Prograrw assistance: and 49 U.S.C..5307(dx 1) the dcsignatcd
reeipicnt.or the recipient scrving the Applicant on hchalf.of the designated rccipicnt. or,the
Slate or State. organization serving as the Applicatn oii.hehalf of the State, certifies asfollows:•
. • A. In contpliance;with 49'',U.S.C. XA), the;Applicarit,has.or -will haveahe9egal.
„ linancial. and tedinical capacit to •cam' out its' propose d;prograin of projects, including the •
_ . satct3'and sedurii} aspects,of that program:
. I3 Incompliance with 49,U.S.C' : 5307(d)(Ix13).the- Applicanthas or will have satisfactol
continumg control overthe,use •ofproject equipment and facilities:
•
. C. In compliance iyith 49 C
U.S.. 5307(dX I XC), the` \ pplicantwill el
.adequatv,mainaih
tn the
Project utulpnicnt and taeilities
. D. In eomph.mce'with 4) U S.C. 5307(dX'I XD)tthe!'Applicant,will assure that any elderly .
I individual. any:indiyidual is ith diti.thilities: or'any person presenting is \iedtcare card Issued • ° r
401 et.s or4 U.S.G. 1395 et se well he cha oftlie Social Securst r \ct:( l2 U:S.C.
,
to himself or herself pursuant to title II'or title \�
III Puck " q t) ).l' rged fortransportation during'non - peak •
. hours using or iniolsing a facility orcgnipment oEa project linanecd with I ed rat • •
assistance authorized Under U.S.C. 5308- not,more than tifh (50) percent of the,pealc `
hour Pfa e . PP g p
„
G In conrpllanceaagith 49 U,S:G 51(17(d)(I x the Applicant. mt. -- e nrrvor oaa a procurement.
'financed with f eder il assistance ruthorired under 49 U S.C. 5308 (I) w ill use c ompentis•e
ro urem•nt fin d or y v i d by hf\ 2 Il•notus (- v) n
•
as Aincrtca Irwl, and (4) vv dl ci ro plyl� °ills the tenet-id provisio a vslusto p p or y u "
dtseriminatorys alit uions'i its rocuraicnts, 1 will comply with a bcabli'$u
I I
is for f, lA assistance of
p " P 49 (3:S.0 5323 ;and the Chard part (r i deirent re qu •of 49'(S:(3 5125; a o
It whan
m c 'ss nth U 49 S.0 5107 d I 1 the rt hcant'has tom lied vv ith:or will
• comply with'therrequirenuents 49 U.S.C..5307(c). Specifically.'ths pplicanc (1) has
•
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.„ ,„ ,,, , ,, ...,, ,, ' .
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e made available, or will male ,av ulabhi. t0 hepublic infomtation on the acailablc:
R for the:CI and uels Cirant Program 49 `U S C '53(1S! nnd,the;proj Us if proposes, to '' .
. .•, .? undertake (2 loped ;or ss 111 develop in consultation with interested panics ' '
' iii Itiding private transportation providers, Iheproposcd projects to •be' financedt.(3) )ids,
puhlished or wil•publisli a.listof; the proposed projects iq a•way that affected eilizens.. • •
„ . privatetransportalion provider and cl ccted.offieials have the.opportiuuty.toexamine .
thcpioposed projzUs mtil suMntt cytimientspn'theproposed p_roj5„0„,s :md the perfynnanee
of the :Applicant (4) his provided or wil f pros tae ait opportunity for a puhlie hearing to'
obtain,th stows of cntzcns Sn the proposed projects ,(5) hasassured or wdl assureAti t - the •
proposed proiects provide for the coordination of transportation sen ties assisted under -
49 U.StC. 5336 with transpOrtatton'ser■ices assisted by another I ederal government source:
( ill consider,;theronnnentc tied s i s '. reeeivcd, especially those o
6) has wnsidered or ss
prts •ate transportation prodders in preparing itsfinaf list of prolccts: and,(.7) has made or
will "male the teal ist of prof cts •available to the public: ' k.
' G. In coniplianee with '49 U.S;C. 5307(dXIXG), •the has or willhase avail ible,and .
will provide the:ainotmt of funds required by 49ai:S:C. 5308(dX2) for the local' share:• and .
than those' funds +s'iltbe' provided from,approved iton-Federal sources,escept'as pemtitted by •
Federal law: .
I-II. In compliance With' 49 lr;S:C., 5307(dXI XFI), the Applicant shill contplV with (1 )'49 U S.C.
" I ' 530I(a) (requirements,forpublic tr nsportalion systems that ma imi7c the safe scci re. and .
efficient mobility of individuals. 'minintize •cniironntental' impacts, and '
transportatwn- related litel ciinxmtpUOmand reliance on foreign oil) (2) 19 U S C. 5301(4) , •
, (spccialctTons,,todsign andprovtdc,pitblti transportation for•elderly'•indntdutls,and .
individuals, with disahthties) :•and, (3) 49;U.S.C. 5303,through 5306 (plaiuting and;private .
P6 cite err se requgcinenls)
, 'I. In cotriphattee with 49 U S.C. 5307(dul)(.l) the Applicant has a locally developed process'
•,,1 ' to solicit -and consider puhlie comment'hef ore raising a fare or implementing a major 1
" • :, reduction of public transportauon and
Y r J• " under, IP Inan'I uch (�rant rut c h i le C� t 5308 e d ss tvith i Federal ass'istanc'e P rovide d •
' ° • ..
g i ) dean fuel ::
hOlt\fUI..A C'IL4Nr PR vUCI.S'1U lI DIS:�1311111 ,
�'
i �� 17 f.. I)M.RI.A INI)IVIIHI V S Al) !1\1)1VI11
:
O(.RAM ANU I'II,OT I R(x IL_t111 .
f3efoteF74 may aiva dElderlylndn tduals:andlndnidimis srtlhDisabi!iries) ormu1 (iran1 Pi'ogram assistance and tfapplicghle Elderl3 Individrials and Indiudnals tri[h Dtsabiliries Pilot
Prograneassistanceto a'State. the'.. Secretary ofTianspor anion or'his ori her designee is • „ a 0 ' _required to; nmke the p cnt and detcr regiured by , ..19 U.S.C. 53 Because.certain • • "II m P
lean n+aCe.'those determnaaons Staten.+ requested to
'
,.t . :r. it i p1 . ollo ......
rosrde ilie fw n ernfica ens • coma-ances on,behallfofitself and trs"sribrecipientr.` Unless
F74 deteryiines otherirt a to irritinb the State •iisel/is,ultimately.respomthlefor compliance
,. t;, , kith " its ceriificauons and assivances even though asuhrectprent,'(asee. thrr`d pail= contractor,
or other participantiva) ^participare i+rthd!' project. .Consequently; in providing certifications
- rospective,suhrecipienis. the State is strong!) '
1 encoura ed;to take the'a r o Nate measures nclitdin bulnot Invited to obtaining sufficient .
•
and a.rrurunces, that involve: the compliance ajus. p
g„ PP p %' g
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dociimentation frout:each subrecipient..I assure,the validity ofall certifications,and assurances
the State has made to FTA. A State that fails to provide thesecertiftcations and assurances on •
.
(*hallo f itselfand •its subrecipients r he 7leternuned ineligible for a grant ' of Federal •
assistane' under 49 U.S.C. 5310 ifFTA7acls •sujflcient information from which to.rriake those '
deierminations required •by Federal la ws and: regulaiions governing the Elderly lndividua'ls and
lndiyidnalsuuhDisa ilitiesFottn u la Gran:Prograiinand tfapplicable, th .
. ' ' and Individuals with Disabilities Pilot /'ingrain inuhgri_ed by 49 U S.C. -5310 and s ection 3012
of S IFE.TF_4 -1,U, respective/!% The State is thus regitested (0 select Category' l7."
t
Au As required by. 49li.S.C. 5310(4). which niakesthe requirements of 49 , U.S.C: 5307
• applicable to' the' Elderly liiiliwiduals ,and.Individualswith Disabilities Fonnida Grant
. P ograntto the extent,that the. Federal Transit Administrator orhis.or herdesignee _
detem,ines a o riate -acid 99 U S C: 530 l ).,Ihe St or State' organization: serving as •
PPr..P ..
• thz Applicant (Stag) and that administers on behalf of lhe'Stat the;Elderly,hhdis idtuals, and
individuals with Dts'abilities'Prograniauthorized by 49 U.S.C. 5310. and ifapplieabh: the •
• . Elderly:Individuals and individuals with Disabilities`Pilot Program authorized`hy
subsection3012(b) of S \FE7 FA LU. 49 U.S.C. 5310 note, certifies and assures behalf •
•
of itself and its subreeipieu follows:
(1).111 compliance with'49 U.S C. 5307(dX I )(A), the Applicant has.or wiIlhave the; legal.
.Iinanei tt•andleehnical'capacity to carry out.its,proposed'program ofprojeets;_ineluding •
,the.safetv;and'seettrity aspects.o f tliat program: ,
(2) In compliiuhee with 49 IJ.S:C. 5307(d)( I )(I3) the Applicant has or will' have satisfactory .
• • •
continuing , control ovcr•the use of iro eet ee ui ment andfauhties:
• ,, - (3) Incompliance with 49•U.S C. 5307(d)(I)(C) the Applicant will adequately.maintain the
' project equipment and facilities: .
•
. • (4)In compliance with •49 U?S.C. 5307(dx•IXE), the. Applicant. in carrying out a .
procurement financed pith Federal. assistance authori':ed under-49 U S.C.`5310'or
subs ctton 3012(b) of SAFE f
Er1 -LU ( I) ivill competitive priisurenhent (ps'dalined
orapproved by rrA).,(2) will not exclusionary or.discruninator�y specdtcations in
,its, procurentetits (3)'will conmply with applicable I3uy "Am nca laws. •and (4)svill' •
_ comply with the g ne'al provisions',or FDV assistance o f 49 U.S.C. 5323 and the.third ,
" party procurenment reyuircmuiCn of J9 U.S,C 5.325:
(5) •Ihe State has or will have available and will provide the amounrof funds required ,by .
4 U fCr 531 a nd l and that f by, subsections - t ions 3012(bx3) and, (4) of tliose'funds.will be prostdcd front approccd -
noih- Federalsources except as pe :tined by .Fed oral law: and '
(6) P O( )( ) Applicant , ply with:
Sala, secure, and ellicient mobility of mJividu ?its, nunmitze uhvtronht that maximize ,the 6 hrcom lance with '49 U.S C 5307 d I If the \ beast wvdl eon
(1) 49 lJ S C.,5301(a) (requirements 'I or publicitransportauon s-steui
. nent.d impacts, and
. iiiinuntzetransportation- related fuelconsuniption and,reliaiiee on for ign :oily - .
49 (special S'C., 5301(4) (speal IeffOrts 10 design and provide puhlictr nsportaltonsfor
I. „L ,1 a elderly nidividu and
als 'indis ritual~ With disabilities): and (3).49 U :S C 5303, through
' 53 06 (planning audprivate enterprise requirements); •
13 Ilse Siate assures,lhat ach subr cipiegt either is,recognized under Statelaw as a private
non rofit or miruion with the legal capability to contract ys ith the State to carry Olathe
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posed project: or is a publr • that h as mot t reimiretitents to receive •
Federal assistance authoriz •forU
49 .S.C. 5310: • .
G The.private nonprofit subreeipienl s,applicauon;for 49 U S.C. 5310 assistance contains
" mfontatton froi 'sshieh tli S ide!eoncludes th•tt the transitser tcw provi' i d or offered lo'be •
o proi•idzd by existing •public'or pri ate :trat'd operators is unavailable insufficient. Or
'inappnipriate (wince the special needg(of tlie;elderl utd person' with,disabilitics;
'°
D. In shut liance with 49 U'.S.C. 531 d 2 \ ,aid s ubsection`30I2 h 2 'ol S FE fEi), -I:U,
' . the State . ertiltcs that. before tdransfers lands to-a projectlimiledunder 49 U 5 C 5136. •••' ' ' •
that project has been or will have been coorIinated with private nonprofit providcrs•of
• services under 49 U. 5310
E. • In et mpliance with 49'U,S.C.'5310(iIX2XC) the State�ceitifies that alhie'ationsto
subrecipients •of 1in.tncial assistance authorized orized under 4911:S.C.e5310 or suhseeiion,3012(b), • .
01 rU L 1 Lr1 LU •ss dl he disiribut'd on;.i fair and boas: acid
F. In compliance )s ith 49 •Lf.S:C! •53,10(dx2 and subsection 3012(bX2) of S 1FETEA - LU.,
the State certiltes,that: (1) projects it has •selected •or will select for assistance under that',
li
program a r densed Iroma loLall deseloped •coordinalcdpublic transit - human :ser.ices.
trinsportation plan and ',(2)tha plan was,deseloped through a process that included • ,
representatives of public: private., transportation and human s rvices •providers
• andprti'cipation by the public. •
iit NONIJRII .NILI D ART,. VI•bRMIIJi A •iIRO(:R:A I FOR STATES : •
• ,, P f ,.g
Th revisions o a9.'U:S U.S.C. L 531,l esrahlislin the Vontit hanred:4rea 1'bnnula Pra raga for •
`Scores do:not un rose. a re- conditiono aw aril an ex• licit:certrfcauon or assurance' ' „
l P j' Y P -
• requirements established specifically for•, that program. Only a Srate.or a Stare organisation
• actin asfthe Recrp ent on, " heha(f,, oja State'( State) i na� ",be a tlirect this Nonrcrbani :ed
' ,4, ea Foriptila Program assistance: Separate certifications and lissurances have bee e
in Ca ?? for `an Indiantribethat is:an Applicant for Tribal Transit Program •
authorized by a9 U.S.0 •531:1(c)(1).
' 'Before FT. =l rim) use -aid :Vonurbam_ed Area Forrnidq'Progrcim assistance ati a'State, the •
d S Secretary of Tr an.sportation :or his or her designeei s required to make the pre award
R••r determination) regiared b, 49I1 5 .+11:;Because cer fain inforniatron is• •needed before! ,1
1 , ..can make-rhos'e deler•imnations. each'State is requested to provide the folloti'ing certifications' "
and'assurances On behalf of itself subrecipients. Unless FTA..deterinin'es otherii'ise in .
r chug the State itself ls,altinratelt responsible for compliance a ith us cer ifications.and .
it pare o h even though a sttbrectpient.�lessee third pail) contra or other: participanturrat , „,,, 1 '
in that prject. Consequently. : in providing certifieaiions,and assurances that involve .
`the compliance ofrts prospecnter.whrccipienn the State n• :stron_gly encouraged to take. :the - •
u PP P rncludmb bur noulirnited to, obtarnrng sufhc,ent;doc snentau f•oneach
'Q t x a ro rratemeannres - -
on r
•'subreorpien to assn: di v llidity Ojpll.ceinficauhnsurnd assurances • State.has minkftO
• IrTA. : State t h i n fails to pros ide these certifrcatrons and assurances on hehalfof itseljand its '_
t or a grant OfF' ederalassistance 'undera9L'S.C; •, .
1 , ` K,314 if 1 lacks it s info:' uonf o i ivhrch irrake those dete•minations req red by -
Federallamr and •e ulanons :overran ihea\onitrbaniaedArea'Forniula Program authorised '
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} SC. 531L 7'he Slate
s't
b y: /9 U.
"' iius °reque3ied to seltrct;Cutegor}y ' '
•
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T liz St tz,or State organlcauonsen mg as tli 1pplicanr5nd that idmuusttls, un b o f t h e
• :State (State).the Noniirhanlzed •Area I•ontiitl6 Program forStates authorizcihb} 49 U.S.C. 5311.
. • assures on behalf uf.itselt and its suhrccipients,as ' f•ollo vs: •
A. The State has or will' have the nee Scary legal: financial, and+managerial capability to apply
• for; receive• and•dishursea�ederal assisu for U.
49 S.C.'5311: and to carry out
each',project,,including the safety and' seeuritynspects.ofthatproject;
13. The'State has.or Will '.have continuing control over the use oliprojeet equipritent .
and faeilhies.,
n
C: 'IheStaIe. assures that the project equipment and- ficilitieswill be adequately maintained;
1). •In compliance with 49 U SIC 53l 1(b)(2)(Cx1) the State's program lias'pros Ided fqr a fair .
• distribution of Federal assislancc atrthorized for 49 .13 S':C:,531 5311 w ithinthe State. including r
Indian reservations swithidthg State,
E. In compliance With 49 U.S.C.'531'I(hx2XC)(ii), the State'sprograrn provides or will . , '
provide the ntacinmmrfeasible coordination. of public transportationsen•iee'to.receive
assistance under '49 U.S.C. 531 l with'transportation service assisted by other Federal
' " ' r�F. The pr ojects in the •State's'Nunurbanied Area Formula Program are included in the
' .Statewide Irinsportation Intprovemelit Prol rarwand, to theextent applicable,, the projects,
• are includ d ina' metropolitan' Transport ation..ImprovementiProgram;
• Ci Ili S
11 S 531 I r w111 h nceavadable tidwill provide the,amoiuri of funds ruluired'by,
(g)'for 1he local share, and'that thirse lands will he provided from approved • .
- •non -Fed ral sources except as •pennitted by Federal law. and
. the State will expend'not less than fifteen (15)
H In contphalne With 49 U.S.0 51
11(1),
percent of its Fede "raI assistance authorized under'49 U S.C. 5311 to deielop and support
. intereity:.bus within the St ate• unless the chiefexecutiveuflicer of the State, • . .
or h es to the e li glue dler with all'zcted u ttcrcity bus service pros idcts:
or orh rJ
deral Transit •Admlmstm ron tor •apart I These cert and assurances '
herein: that the intercity bus service; needs (tithe State are being adegtiateI /niet. '
i9: do6 ACCESS ANp REVERSE Co \IrtluiTE FOR\IUI .\ CR,t N 11'R(X R.•\�f
a ho red n 19 U S t S r is a r + ared to rode the f aollotnr g cert: rrn.
behal o(it f q P Trig certrfrcauons on. Each Applicant
assistance
j • self and any clef iecipienl that n+ay'he;i,npleinenting its proj Unless FTA
detennines.othenrisse in, ter, icing,. the Applicant rtseljis,+dnmately responsible forcompliance
o.. oilier ern a lr nt May d nrric� one rn e proms c a hrea renl:,lessee. third art conlrucror,
P party'
,
^ '' ' '' / pa 3 P 1 nn:equentl) „rn promd:nl, certijrcat on.r .
and assurances:hat the compliance 'Of its' prospective s'ubrecrpients;.the l pplicant is ,
.d tr g , ., 1_ _
rrongl} encouraged •tp tcrke rhe;rippropnte a meuues: inch d
+tnl:'but not•liniited to obtriinin
1, Isufe(entrdocumentatron fronreach subrecipienl, !o assure !hc Validity ofall certificavons and
• a.ssurancesuhe A pplicant has-nrade to RA-PIA may nol award Federal assistance jorthe JARC
P •
l::orn+tda G
rant 1'r ram until the l licant rovides these ecru rcuuonr¢ } selecting.
Category / /9.
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' A. As, required by 49, U S C. 5316(f)(1); yhich makes the requireIn ntsof 49 U S :C..5307' •' applicable to7ob.Aecess and Revcrse;Ciommutc (JARC) formula gr nts.,and 49,LI:S.C. .
• 5307(d)(11 the Applicant for JARC Fonnula•Progrim assistant authorized under
" ' 49 U.S.0 5316: eeitdies on '. oI it and iis,subreci ienty if any. as follo
P vv's: '
• (t) lit 'complia ice with 49'li.S:C 5307(dX I XA); the Applicant has or will have the legal,
• tinancial, and ;teelmical',capacity to carryotit its' proposed' program ofprojects. includirig , .
the safetyaiid 'secunty'aspects'oflhatprogram:
' (2) In ;compli u ce With•49 U_S.C. 5307(dxl )(0): has or will have satisftuors
contmumg,control overtire use Of project equipment and facilities; •
). p 49'U.S.C.5307 I C theA cacvill ad
,ciluatcly'rnaintainthe .
(3 lncom liance vvdh' (d x k ) pp lint
. • projccl equtpm n1 and facilities: '
' (4), In compliance wuh 49 l :S C. 5307(dX l)(I)). the Applicant Will assure lhal any elderly.
individual, any individual with d isabilitie s, orany person }presenting a iNledicare card .,„
issued ltthiniself or herself urs
lf ptui it'.to title111 or title •\;V III oi'cthe "'Soc ml'Security. Act,
- (42 401 el,seq. or,:42 U. 1395 et'seq) will'be: charged for transportation
during non -peak hours using or involy mg a facility ore4uipntent of project financed
With Federal' assistance authonzed tutder 49 U: S.C,.5316 not niore tlia fifty (50)
• percent of the' peakhour far c;,
O
5 In comp p p ( )(L)' the \pplicant I0 �rry
ains out a .
y nice vuth 49 l'.S G 5307( d)(1
rocum
rccnt'finnnced with [ cdcral`assntancc authorized under 49 U.S :C. 5316: (1) will"
e cone etilivc rocurement (as .defined ined or approved byl'I \), (2) will not use '
esclusionars or discriminatory vpecifi.atrons in its pmuiremuits, (3) will comply with •
applicable -Bus Am rt t'Iaws. and. (4).yill comply with the genzril provisions for
Irl ?\ assistance'of 49 U C: 5323'and the third party p rocu m
rement requireents of. ', '
49 U.
• . (6)'fo compliance with ,491J S C. 5316(1)(1) and�49 U.S.C. 5307(d)(1XF), the :\pplicant
certifies that'(I) with respect to tinancial assistance authorized under 49 U.S.C. 5316;`,it
.will conduct in cooperation.wilh,the appropri'ateAlPO an areawide.solicitatioii for
applications, and make awards on a competitive basis and (2) with •respect`to finanu l
e assistance authorized under 49 U S!C 5316 it will conduct t st tleviide voltutalion for
' .. applications, and make'awards on!a cornpetitivebacis::and-that theseactivilies will'be
earn d out inamanner thatcomplies with or willcontply witli49.U.S.C. 5307(c);• .
d ;h (7) Ili• . \pplicanlh is or Will have available and will provide the amount of fundr.required
.. - try 49 U.S.C. 5316(h) for; lhe local hare, •mid that those funds•w.ill be pro•6ded from . •
approved non - Federal sources except as:permittedby Federal Iaw; -aiid .
rt In complih nce with 49 U. S C :5307(d)(hx11) ,th 4pphcant will comply with:
r' I' r ' „. ' O (1)49 U S C, 5301(a) (requireni nts, for pubic transporthtion systems that maximize the � �. '
fe secure,
" d aid efticient iinoh)lits :of ntdividiuds._ a envirinunent unpacts, and
miiuinize tritisportation- related fire Irconstuiiptionand reli foreign oil) ,and '
its (cde 9'US C (speeial;elTtiity to dec "ign andprovide publi truisportatioii. for t
l ) 49 U S C., es) (•) g '
53 j
,. ' 13 in
hnls andundividuals'drth disabilities ,and 3 49 U.S.C. U:S:C. 5303 throb h'
Imam O6 (planning and pn vat vn0.ipnse ruluvcmcnts
compliance wish 49 S.0 5316
'U (d) ,the Applicant certifies that (l,) with respect 10
ciaUassistance authorized undo 49 U.S.C. 5316(eX I)(A), it will conduct in
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• cooperation With t the appropriate NIPO an nreawidejscilicitation for applieahonsrand make .
anarrds on a conipetitite basis :Ind_(2) r espcet to financial aesistanc� a lhorized under
49 U.S.C: 5316(c)(IXB) or 49 U.S.0 1. 5316(cX 1 j(C); it Will conduct a statewide solicitation
for applications, and make awards on a competitive basis:
C. Incontpli:tnce with 49 U.S:C 531'6(6(2). theApplicantrcertifes• • thal anj allocations to
subrecipients of Financial assistance authorized under 49 U.S.C. 5316 will be ilistributedon
a lair and eyuitahle;hacis; .
1). In compliance with 49 U.S w
5316(8)(2), the': \pphnl,eertilies that,, before it transfers
- lundsto a project funded under 49 U;S:C 5336.'that project•has heen or wilt have. been .
coordinated with private nonprolit;providersof services:
E In cornpliancewith 49 U.S.C. 5316(g)(3), the Applicanccertilies that: :(1) the projects ii.„ has - ,
. selectedor will select I'or assistance -under that- program'were derived front a locally
. developed. coordinated' public transit'liuntan services transportation :plan; and (2),tbeplan'
was developed through'ii process that included representatives ofpublic: private, and
nonprofit trarisportation'and'human sera•icesproviders and participation:bgthe public :-.and
. F. In compliance with 49 U S.C. 5316(c)(3) before the Applicant uses futiding apportioned
under 49 0,$.C. 5316(exl')(I3) or (C).for prolects area other than that'specitied in •
49 U.S.C. 5316(2X13) or (C). the'Applicant:certilies thatthe chief executive oll icer of the
State, or his'orher designee will have,ce litiedto the Federal Transit Administrator „apart ,
front these eertificationsdiercin That all. the objectives of 49 LJiS.C. 53,16 are beingrimet in
thelarca from which such funding svoiild be derived.
' 20. NEW FREEI)O\I' (:
PRORAMi
Each Applicant for New Freedon i'Progranrassistance:auihori :ed under 5317 mast -
provide'thefoll owing• ceriif icationsonbehnlfofitseff anti anyseibrec ipientahatma lie
• . ' ! I tines othertrise in ihrinng the.Applieant it elfis
unplunentin g ns tro'ect Unless'FJ4 derern
Uhl rnarelj• responsihle for compliance witl ,its certifications:and assurances, even though a .
. salirecipienr Iessee..thirdpert) contractor or other participant may participaie:in that! project. •
• Consegrientl} 'in pros: iding- cerrifications g ndassurancet that•inrolve the;compbance'of its •
prospectiveesubredpients. the.4pplrcant is + srrnnr,ly encouragetlfo take rhe;appropriiae
m zu
eare.r.'including'bus nog-linuied.tn obtdining'str�cient dacnmenraiion from aalch
. subrecipient.■ to, assure the ,validity of all certrfrcarions•and the .4pplican( has pickle to - - -
uJ' ce for the New, Freedom Program until the '`Applicant - -
ITA 1'1ti n+ not aiinrd! Federal assisram
- „ provides, these cer•uf cations by selecting Category "20.” , .
•
, 0:
•
A. As required by49 U U.S.C, S C 53.17(exl), Which makes the requirements .of U.S.C. ... 53 ,
. applicahletwNew Freedum-grants extent the Federal Transit Administrator or his or
' herdesigtee determines appropriate: b !IJ
y? 49.S.0 :'5310(dX I), which makes the , .
, reyuircmenis.st 49 U.S.C. 5307• applicable to Elderly Individtualsand Individuals with
Disabilities 1 omrula ants;to the extent the Federal Transit :\droinistrator or his or her, -
r ' l' : •dwigte deterttun s tppropriale andby 49 U S,C. 5307(dXl) the Applicant for'ew • ° 0 .
ti r 1 reedom Program.rssrshmce :za end r 49 U.S.C. 5317 c rtdies and assures on
bclialf of itself: and its as follows: - •
' (1) Iii'cumplia ice with;49 U.S.C. ' 5307(d)(1•)(A). the Applicant has or will have.the legal. •
•
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financial. and technical capacity to catrv:.outlitsproposd progranrof projccts. '
the sally and ecurty :asp cts of that program:
(2) In compliance with 49 U.S C 5307(d)(l)(B)..the Applicant has or will have
continuing control over use of protect'equipmcnt and •
(3) In compli,ance.with 49 U.S.C.'5307(l)(I)(C).alie Applicant:witt adequatelv:maintain the
project equipment and facilities
• rocuremenf financed with l ederal` assistance- authbriied wider 49'U.S.C. 5317 :;(1) will
(4) In ompliance with , 49 U:S C 5307(dx 1)(H ). tlic Applicant ut catr%�mg out a
use competitiveprocurem nt (as dcfned or approve by l I'A). (2) will :noo,use
esclusionars or discriminatory spceihc ataons iii its procurements..(3) will comply with
^' applicable'Bu' America" laws;, and (4) will coii with the general pros isions for IFTA
assistance of 49 U.S.C. 5323 a nd the thirdfparty proctireiitetil reduirciiients of 49 U.S.C.
,5325:
(5) by49U.S.C5317(g) for 'thelocal'share, and that ltoseaf ndswill,be,prov dfrom
. :approved non - Federal sources except as pemtitted by Federal law :.and .
(6) In ,compliancc, 49;U;S C 5307(dX1)(H), \pph tr
cant ill comply with: '
" . (1) "49 •U S.0 5301(a) (requirements Ior,putilic transportation systctnsth I maaiptize the
safe. secure. and etficien4.mohility of individuals: minimize enviro imental iiiipacts. arid' •
. ,,, minimize traitsportation•related fucteonsumplionand rclianee foreign oil): ,
(2)'49 U.S.C."5301(d) (special efforts to design, and provide public transportation for .
. elderly; individuals and' individuals with;disabilities):aeid (3) 49 5303'throiigh
5366 (platming and privat cntcrprisc requirements) i
B In comph:uce with 49 U S.C. 5317(d) the Applicait c rath es"th t (1) yvith respect 10
1, linaneial;assistance-authorized unde 49 U.S.C. 5317 c I A \ . it willconduct•in •
cooperation auth th •appropriate \IPO an vnaw ide soli t lion for •applications and make •
aw ards;'on a conpi.tms a basis and (2) with respect to financial asswtatice authorized under
49 U.S.C.•5317(c)(lxB) or•49U.S.C. 5317(c)(1 it will conduct,a statewide solicitation
' for applications, and niake awards on a competitive h asis '
word. o o et nded undo r 49 U.S'C 1 5336 that project' hcen or Will hav nslcn
i` C In comp ` (0(2 Applicant'
lunds P J P J e .
coordinated wth � rivate non roht. roeiden of Services: •
, D. Incompliance with 49 U S.C. 5317(eX2) th •- Applicat certifies that any allocations to .
ii
subrecipacnts of finanu al assistance au n
thozcd utidcr 49 U 5317 Will 'ire, distributed on
q , :
1 afairatid equitable basis;;and
E hi :compliance With
,49 49 LS.C: 5317 t O(3) the. Applicant certifies that (1)111 projects it his- .
selet led or null s et et for assist under thet •program.were d rivd a locally a ,
i
, i,, J "i 1 • ' " d •i•eloped. coordin•atd pu an
blic tnsil an s
liuni tr nsport ation plan; and (2),the pl
was deFeloped,through a process that included representatives of public, private, and: '
p port uion and human rs . s'pros idcn and',through.par { i'cipatioti bdahc .
nonprofit t tran -
public:' o ,
Y , y .:
21. P AUL S.5 \NEs TitAss T IN PARIS PRO(;RAMM .
. , it+thatisa licontforPaiihS.. •
E'ach`State.
tribe! area: or local,gou�rnmenr J pp Siir6gnes
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• Transit in Parka• Program assistance (Applicant) authorized by 49 U.S.C. 5320. is required to
provide the following certifications..FTA may not award assistance for the. Paul. S. Sarhanes
Transit in Parks Program tothe.4pplicant until the Applicant provides these certifications by
selecting Category - 21. -
•
A. As required by 49 U.S.C. 5320(i). which makes the requirements of 49 U.S.C. -5307
applicable to the Paul S. Sarbanes. Transit .in Parks Program to the extent the Federal Transit
Administrator or his or her designee detemrines appropriate. and 49 U.S.C. 5307(0)(1), the •
Applicant certifies as'follows:
(d) In compliance with 49 U.S:G'5307(d)(IXA), the Applicant has or-will have the legal.
financial, and technical capacity to carry out its proposed project. including the safety
and security aspects of thatprojrct; •
(2) In compliance with 49 U. S. C.,5307(i)(IX13),',the Applicant has or will haver,Wslactory
continuing control over the use of project, equipment and facilities: •
(3) In compliance with 49 U.S.C. 5307(dx I )(C). the Applicant will adequately maintain the
project equipment and facilities:
(4) Incompliance Isitli'49 U.S C );'in carrying out 1procuremerit financed •
with Federal assistance authorized under 49 U.S.C. 5320. the Applicant: (I) Will use
competitive procurement (as defined or approved by FTA),(2) will not use exclusionary
or discriminatory specifications in its procurements (3) will comply with applicable
I3uy,Arnericalan' and (4) will.comply'with;the'general provision!'" for assistance
of 49 U:S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325:
(5) In compliance with 49 U.S.C. 5307(d)( 1 XI) and with 49 U.S.C. 5320(e)(
Applicant complied with or will comply with lhe•requiremenls of 49 U.S.C. 5307(c).
.,, Speciftcally.,it: (I) has m•Ide available. or will hake available; to the; public infomation
• on the amounts available for the Paul S.'SarbanesTransit in Parks Program. 49 U.S.C.
5320. and the projects it proposes to undertake; (2) has developed or will develop. in
consultation with interested partierincIuding private Iransporlatioifprosiders projects to
he financed: (3) teas published or will publish a list of proposed projects in W a y ,th it •
afl'ected citizens. private transportation provid∎rs. and local deeted'of officials have tile
opportunity to minim: the proposed projects and submit comments on the proposed
projects and the performance of the Applicant; (4) has provided or will provide an
y opportunity for a public hearing10 obtain'the views of citizens on the proposed,projects;
• (5) has assured or will assure that the proposed projects provide for the coordination of
transportation services assisted under 49 U.S.C. 5336 with transportation services
assisted by another Federal gobeimuenl source; (6) has considered or \Vitt consider the
„t ' comments and'.s iev.s received; especially those of private transportation providers, in
preparing its final list of projects; and (7) has made or will make the final lis•of projects
available to the public;
(6) In coinphance with 49'U.S C..5307(dX 1)(H). the Applicant will comply with:
1 4913 S.0 5301 a ra uircnients, for pnblic transportation' s teems that maximize the '
safe secure, and etlicient mobility of individuals, minimize environin ntalinrpacls, and •
• minimize transportation - related fuel consumption and reliance on foreign oil); •
• (2) 49 U S'C. 5301(d) (speciat efforts to design and provide public transportation for
elderly individuals aitd individuals with disabilities): and (3) 49 U.S :C. 5303 through
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f ,i Y ' , � � - ^ -
,a, �. .ill - . - •
(P v a t C 5 r em
ise requirements); and,
. • • O 5306 lanni and private .,5 ri (dxlxo: the Applicant'has a locally develo "
3 P
7 In conlphl 49 .
,i process to solicit a» d consider ublie'conmlentbefore raising a fare or inlplenientinga • y .'
mayor reduction ofp iblic transportation :;and
. B.. In coiiipl anee with 49 U.S.C. 5320(ex2x ) (B) „and (13). the -lpplicantassures''tl_iat it will:
'1” (1) Coinply with(Ihetinetropilit an planning, provisions of 49 U ti C 53'3: - • ,
t ' 1 ' 2 - Coinply tt ith the statewide Ivunil rov icions o r 49 U.S:C: 5304; and
(3);.Consultwith the appropriate Federal land managementageney during the planning •
process.
22. TRIIBAL. TANSIT I PI20(.RA�1,
Each.4pplicant for Tr hal Transit` Program 'assistance;nutst•proviile,all cerufications.dnd •
' assurances set forth below Except to the,ertent that 17 4 determines others ise in'w {sting. FTA ■ '
may not'anard any Federal assistance under the Triba!' Transit 1 rogram until the Applicant .
pr onides'these ce and assurances by selecting Category "22.
•
d .
" In aecord:lc v S G ith 49 U 5 c c x I ) th autlu)rizcs;the Secrotan of 7 }a to '
establish tens and conditions for direct grants to Indian tribal governinents', the Applicant
, certities and assures as follows: '
' A. "Ile Applicant PP .
,(1')- It has or will ; hays the necessary Jegal Irnancial, andmanagerial capability, 0 apply.'for.
r eczn a and ilisburse+1 ed ral assistance wthonzcd for 49 U S C 5311: and to carry out' . •
h ' each ro ect.- including the safety and scuirllv.asp cts of that project:
(2) It Iias orivdl+have satisfactorv.cominum control overthe use ofproject eyuipnlent'and
"° ' 3 he a ul nlentand I t ildrzs w ill be;adequately maim uned;and
P, ()�l P J y P 4 .
(4) Its will achieve m.1.sunurnfeasible coordination w•Ith transportation sen•ice
• ,assisted h other Federal sources:
B. In accordance with 49 CFR 18 36(gx3)(ii), -the Applicanl that its procurement; ,
ti5 Slelll will comply with the nt
requireeiits of 49 C FR 18 36; or will inform 1 I'A promptly • that its procurenlcl t system does-not,coniply with "49 CF ,R 18.36;
•
1 C. To the extent applkahle 10 the Applicant or its Project Ihe'Applicant certifies thatit will- ,•
4 comply with the certifications assurances and agrecnt nts atCategon•AR (Bus Testing)," •
"• 10 ' o 09 (Chart r Bus Agreement).-„Category
School Trans ortation Agreement). '
( P ,
:Category 11 Demand,Responsive Service) - Categon •12 (Alcohol .listise and Prohibited
Dnig Usz) and Cat grow 14 ( \ational lntelhgent'I'rmsportatwn Svstenls Architecture and .
1; , ,•• , • ' " h . 1 a titandards)ol this- docunient'and
l ' t fl •D i 11 itssapphcation exceeds S100,0001'the "Applicant agr s to egnlply with' the eertdie 11108•in
- Category 02;(1.ot hving),alibis document:. '
i • , 1 „ , I¶ 1 23..?1•'IF1:>.1R0,11 , .. rs r „ .„ I,
•
pp f Trans rtniion ln'
/•_ ue'Finance and Innovation .4 c1(TIFIA) credit ,
Each t licnnr or ; po rust rucn
, . . .
,
. D.1 •
w a
•
•
•
assistance truth
ruthori =ed under 23 U.C. chapter 6. is required to povide'thefollowing -
certii ications..FTA may not award TIFL4 credit assistance to the Applicant until the Applicant
provides these certifications ly selecting Category "23."
A. As required by 49'U.S :C. 5323(o).'wliich makes the requirements of "49 U.S.C. 5307
applicable to Applicants, seeking TIFIA credilassistance•authorized under 23 US.C. •
chapter 6, and by 49 U.S.C. 5307(dxl),,the Applicant certifies as follows:
(1) In compliance with 49;,U.S.C..5307(dX1)(i\),'Ihe Applicant luu or Avid have,the'legal,
financial, and technical capacity,10 carry out its proposed program of projects, including
the safety and security aspects of that program:
(2) Incompliance with 49 U.S.0 5307(dX1)(13); th • Applicant has or will havesatisfactor
continuing, control orerthe use of project equipment and facilities:
•
(3) In compliance with 49 U.S.C. 5307(d)(1XC), the Applicant will adequately maintain the
project equipmcnl•and facilities;
(4) In compliance with 49 U.S.C. - 5307(dx I )(D), the Applicant will assure that any elderly
individual,:any individuall With' disabilities. or tiny p presenting a Medicare card
issued io,hinlself or herself pursuant to title 11 or title \VIII.of the Social Security Act •
(42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.). Will bechaiged for transportation
during non -peak hot rs;using.or involving :a facility or equipment of aproject'financed
with Federal assistance authorized under23'U.S.C. chapter 6• not more than fifty (50)
percent of the peak hour fare
(5) In compliance with 49 U.S.C. 5307(dX I XE), the Applicant. in care ingoul a
procaremau financed with Federal assistance authorized wider 23 U:S.C: chapter 6:
(1) will use competitive procurenleiit (as deliiled •d by [-TA:), (2) will not me
exclusionary or discriminatory specif cations'in its procurements, (3);will comply with
• applicable f3uv America Taws, and (4) willcontply with the general provisions, for
F7•A assistaneeof 49 U.S.C. 5323 and the third party procurem requirements of
49 U:S:C.5325;
(6) In compliance with' 49 'IJ.S:C. 5307(dx1')(F), the Applicant has couiiplied with or Will
comply With the requirements of 49 U.S.C. 5307(c).,Speeif ically•it: (a) has made
available, or will make available: to the public information on the amounts available for
TIFIA credit assistance; 23 U'S.C�:chapter 6.':uldltheprojects�it propines10 Cuidertako; •
(b) has developed or will develop, in consultation'with interested parties including
privatelransportation providers, the proposedproJects to be financed; (c) has published
o will uhlish a li of P J i ro cts in a leas that affected citizens private transportation ,.
o
rot tders:land Iocal elected officials have e the opportunity to examine the proposed
projects aild suhniit comments on the proposed projects and the performance of the •
Applicant: (d) has provided or will provide an opportunity for 'a;publicbearing to obtain
used ro ets roof the proposed projects; (e) has�assure�tl or will lssure that the
j l
• the views of Clh /enC on
pro P je p d for the coordination of transportation services assisted under
p •
• 49 U.S.C. 5336 tt'ith'transportation services assisted by another 1 deral,govemment
• source ;,(1) has considered or will consider the comments and views receiv,4,especially
those of private :transportation providers, in, preparing i15 Inial•lust of projects : •
' (g)'has made or wil1make the final lust of projects u•ailahle to the public;
(7) In compliance with A9 U.S.C'. 5307(d)( 1)(G). the Applicant has er will have available
•
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.
e
• .
• and a iIl provide the amount of Funds nyuired the local share, and that those funds:
' will h e p rovided'f ronrapproscd non -1 ederal sources exceptas permitted d bs I ederal lash: •
(R) in compliance_wiih;49 U.S C. 5307(dXl )(H).,(1)•the;Applicant wilLcomply with::'
. 49 U.S.C. 5301(a) (require nenisfor public: transportation systems that maxintize'the .
• sale secure.'d etlicient mobility of indibiduais nnnintize enviroiuucntal itiipacts and .
' minimize tr sportation? related fuebconsumption and reliance on foreign bil): '
• (2) 49'U:S.C. 5301(d) "(special efforts to design :and provide pubIiclrmsportatiomfor'
•
. elderly individu i!s and.indts iduals With disahiliti s): and,(3) 49 U.S.0 5303 through'
5306 (planning and private enterprise requirements);
(9)'In compliance n rlh 49=U S.C. 5307(dX l XI)i the Applicant.has.a •locally developed •
proce ss,to,solicit and' consider puhlicxontmentbefore raising,a.fare or implementing a
major r duciion of public lransporta1Ion; • "'
(10) •I o the extent that the Applicantwi11 he using funds aiitlioi zed uiidee 49 U S:C. 5307
for the project, in compliance With:49U.S.C. 5307(d)( 1XJ).:each Fed ral fiscal year, the .
Applicant will spend,, ticast one (1) percent of:those funds authorized under 49 U S.C. .
• '5307 lbr.publie tr•tnspottatton seclirits'projects,(this includes onl ^ rapnal'projeets in the .
case of a'Apphcant serving in,iirbaliiztd area With' a populatibn;of 200.000 orniot ),
unless the. Applicant has certified to:'I TA °thatsitch:expenditures are not necessary.
Pitblic'transportation security projects'includeinereased lighting in of adjacent to•a. .
public transjwrtauon sy tein (u bus stops subway; stations.,parkinglots. and „ •
garages).,inereased caliierasii an.ar a'inor ailjacentto that system,
emergency telephone :Iine or lines to:contaeflaw.enforeemeiW or secuatv.personnel'inan
area in or, adjacent to that system; and any other project intendcd,to increase the security
' . an d safetv,;of an existing Of p1.• rimed ,piiblic,iransporlation:fand
I I) To the extent thattlieApplicant,will he using'_f utds authorized under 49 U.S.C. 53
( 07
• fortlte;project. in compliance with 49 U S.C. 5309(d)(1X1.). (1) 4n Applicaitthat serve's
• . an ttrhaniiedarea with a' populationof:itleast200.000 will eepend not less,than,one'
• (I) percent of the antouilt it receives eh-Federal l iscal year „under.: 49, U. S.C. 5307'f or
•
transit enhancements, as defined ai49 1J S C: 5362(x)rand (2) fiat has received transit
enhancement , funds author red by 191J S C:- 5307(kXI); its quarterly, re port for the
fourth quarter of the:preceding Federal fiscal'year: includes a list of.th projects'ithas
implemented during.that Federal,f iscal year using. those funds „and that report is ,
incorporated.bti reference yid made partof its certifications andlassurances: and
” 13. As •rcqulred by 49 U S C 5323(o) Which :Makes the r qulrcmenta of 49 iU S C. 5309
I, n w:, cliapt r bv,49 U SC. 5309 11 12 13Xut).,5309 g)(3 X l3Xm) mid 5309(iX2)(
pp pp credo a ' C•
N P e . ( X (s)(X C), thz
Applicant certifies that it will not seek reimbursement for interest and• other.financing
• incurred in connection witlfthe Projecttinless the - Applicant is eligible..to receiveF,ederal
U as for those exp enes s and the.A records detnonsir rte that it has used •
° d, ' i'. r as sable diligencein seckingthe nwst •tas orablv•financing terns ttndcrl}mg those :costs, .
' ' 10 : 111 c extent FTA.nsay require. .
24. ,DM POtiI1S01111)1'R \I ri \A�c1At.,.\Sslsr„�NGF':
1'. �� I O S f:A I Is INFIL\ iTRUC1 UNl.'liANKS `
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.
The nisiers+ihe Si' f nstrucntrefBank S
he State or am align but adori are In r ) f.'t o hehdljo�
a State ( State) and that( isof ro an tl pphcant for Federal asststance authorr ed under 49'U.S.C:
• • " chapter.5 + Mar is intends to deposit to us'S/B rs recjuested to provide the following assurances - on
behalf of itself. its; SIB. and'eachsuhrecipient. Unless F114 114 deterniines'otherwise in u'riting..the _
• Stale itsetlis ultimate!)
thou h the S!l and .a sribreci ienefor comphnnce Ivith ns certificauons and assurances even
ately responsih l
g P tuna) participate in that project.:Consequentlj, in providing ,
'certifications and assurances that ,rnvotv0he coini,liance ofits S1B and:pro.+pectide
suhrecipients.. the State isatrongly encouraged io lake the appropriate measures, including :hut
not !i0ted10 ohta,ning sujficienrdoctunenlanon f,onl the SIB and each snbrecipient, to assure ,
the validir )f , o all certi Iications and assurances the Stale has mace ro I7 1. Fail •may not an•ard
.
Federal assistance for theSlBTrogr"a,n:to the:Stcite until the State provides these' assurances hj .
selecting. Category "24.'•
"llie Slate organization; serving as the pplicant (State);tor Federal asslstance'for its Stab: '
lnfrastrilcture I3ank (SIB) Program authorized by section of.SAFETEA -LU, nosv; tie d .
at 23 U.S C: 610,• or by sect ion 151 I of TEA -21. 23 U.S.C. 181 note or by section 3S0'of t he
• Natrona! I'ligh as System De \.tot 1995. Is; amended; 23 U.S.C, 181 note, agrees and
assures the agr«mCnI.of itstSi13'and the a reemcnt ofeubrecipient of Federal assistance .
derived from the'SIB'.witliin llie SMte (sutireeipient),thaf public •tralisportation project
financed with Federal a sost.ulc e d ,rlsul'fronl SIB Will he. a dministered in accord.umc widi :•
A. Applicabl • provisions of section 16.02 of S FFNEA -LU, now eodified.at• 23 U S.C..610: or •
by. section 1511' of TEA =21, 23 `U.S.C. l8I, note, -orhy section 350 of the National`I•ighw•ay
• System.Designation Act-of "199 as amended,,23:U.S.C. 181; -
13.: The pro oftbe 11 67\'A, FRri. and FTA.or the FIi\1'A`and iTA cooperative
agie ment w ilh'tdie State to esfablisb'the States SIB Program: .
C. Thu' ..
proviSlonstofthe FIA,g agreement r+ith the State that pros ldec,f ederal'assistance .
fortlie•SIB ez ceptth atanvproslsion 'ofthe.Federal fr.ulsitr\dnwnlstrapon \lister
\ tee nentlinco orated lie r efer nce'into Thal rant agreement silI not a lv if itcontlict
g tP g. PP s • "
. with,anj provision of section 1602 oFSAFETEA -I..U, now codified 5123,U.S.C. 610, or
•
section' 151'1, of'1F: \ -21, 23 U S C: 181�note,,orsection 350 of Highway , .,
•
S�'stem'ihsignation \.tof 19)5 as . _.
am ended: 23`l1 S.C. I81 note, or Federal, guidance
pertaining to the ';SII3 Pog aln' the provisions of the cooperative agreement establiabing the
SIB`Prograin Within the. State, or; the provisions of the FTA giant agreement; ,
D. "Ilie requirements >applicableto projects of 49 U.S.C. 5307 and 5309. +as required''by
' r. 419 U.S.0 5323(0); and. .
E: The provisions of(applicable,Federal guidance thatnlay be issued and amendi thereto,
- unless FIX has: provided written approval of an alternative procedure or:course of action. '
. •
Selection and S+gnahire page(69 follow.
.
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APPEND C
• CA -39 -0007 Department of Labor Re ferral Letter = • • Deleted: 03,0813
of Em to ee Protection Certification„
Terms add Conditions p y
• . U.S.. Department of -Labor Office of tabor,*anagomont Standards ,, NY WasNngton, U.C.. 20210.,
;:Inly 14, 2011
• Leslic'Rogets, Regional•Aihiuuistrator •
PedetalTiiaiisit Administration,'IRegotrIX
. 201 Mission Street; Spite 2210 •
' San Francisco, California 94 105 ..
Re:, v I'A' Application '
City of l ?ettiliuna +
So r Rail T
c a Marin A
p Area aiianslt
� Plat uiing'Stuclies•foi Lark Ito S at- ,
Rafael 1 rnnsir°Coi ricloi-
' CA-39:0007
Dear •Mr. Rogers:
-I`Iris is in reply to otii't.
' ' ' -' is I } )� ransmiltal!to the Depailmentof Labor, of the above
" captioned application for a.graiiouncici Title 46 of tile :U S. Code Chapter. :53.
Tlie'above captioned project is for planning assistance, which in •this.case does
. not require _a certification action. , SilioulcI the.project. hcconte opeiationabor •
require assistat'icc -at some future time, pleases s tbinit it to the',
t '',; . Deparunent of. Labor forth requisite certification.
.,,An i iforiiiational copy of this grant is lieing,forwarded'to the iiiiions which
J representniass (rattsit employees igdlic se vice area of the grani.proJcct.
If you Itave any,.i:Itlestioiis, please contact: J. Douglas: Marcltaiit of.lny„staff, by • • .
,. ;phone at ,(202093-4227; by FAX at (20.2) 6 3- 1342, or by e - mail at
MarnlieuiG':Jadtil.s ov. , t .
Sincerely,
❑u Con t
I:
I , d, G .. A ei T Cluef '
Division of Statutory Prograrns .
• cc: Kerry Miller / liTA ,
I• .Joseph Rye /Petaluma
. , •Jessica�Cliu /AT.0 -
.
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