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Staff Report 3.B 06/18/2012
• Ag& d cy.Itenwv #3 .3 22'La • 785$ • DATE: June-18,.2012 'TO: Honorable'.Mayor,and Members of the City Council.through Cit Manager FROM Dan St: John, F.ASCE — Director of Public:Worksl,& Utilit 9 i' Joseph Rye—.Transportation Manager SUBJECT: Resolution Approving Agreement between Sonoma-Marin Area Rail Transit District,(SMART) and City of Petalumaxto,Allow City of Petaluma to Act as a Pass-through Agency for $2,500;000 Federal Allocation 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>altow the City of Petaluma to act as a pass-through agency for a $2,500,000 federal,allocation for SMART rail projects. BACKGROUND Grant funds;are available from the Federal Transit Administration(ETA) to implement transit projects:. The lastthreeyears, SMART received federal allocations in the amounts of.$1,960,000, $475;500 and most recently, $2,500;000 for "SMART Preliminary Engineering": Under FTA grant requirements, only an eligible:entity may serve as the direct recipient ofthe federal funds;and enter into a formal grant contract with FTA. • Since SMART is not an eligible direct•:recipient of FTA grant funds,:they have requested in the past and again recently, thatthe City of Petaluma act as^the,primary grantee,and pass-through,agent for the:..FTA funds and place',SMART in the position of sub-grantee. In both:2010 and,2011„the City entered intoi similar contracts with SMART to-pass- through federal earmarks m the amount of$1.96 million; and$4:75,500 for "Project Enguieermg and:Environmental Impact Studies". The first project grant has been completed and the:second grant is nearing closeout., FTA regulations permit a grantee to pass FTA funds through to another agency to carry out the purposes ofthe•grant • agreement, provided that the pnmary grantee (m this case'.City of Petaluma),enters into a written pass4lirough•grantagreement with die sub-recipient (SMART). The attached ' resolution,authorizesauch an agreement. Agenda;Review: City Attorney Finance Director City Manager idea • • The proposed action,meets Council,Goal: `Improve,and;enhance fiscal stability and • sustainability". DISCUSSION By supporting SMART, as recommended, the City.and:Petaluma Transit foster a.closer working relationship with an important partnering agency. For example, once the SMART train is up and running, Petaluma Transit intends to-reap benefits by operating any SMART-funded.shuttleservice to the Petaluma stations. Shuttle'routes feeding and distributing to andfrom'the SMART train will generate additional revenue to Petaluma Transit through a direct operational subsidy.from SMART, provide opportunities for better vehicles, add productive service hours and increase:marketing exposure with SMART patrons., For this`°and other opportunities, it is very beneficial for the City to have a good working relationship with SMART. • FINANCIAL IMPACTS There are no financial.irnpacts.of this action because.SMART'will reimburse Petaluma for the cost of all staff time and legal costs incurred to administer the grant and implement the pass-through of funds as described in the agreement. ATTACHMENTS • 1. Resolution 2. Exhibit A.to Resolution: 2012 FTA Pass-Through Agreement By and Between Sonoma-Marin'Area'Rail Transit District and City of Petaluma • • 2 Attachment 1 • • RESOLUTIONAP.PROVING AGREEMENT BETWEENSONOMA,MARIN' AREA;RAIL'TRANSI-THISTRICT"(SMART)AND CITY'OFPETALUMA,TO • ALLOW CITY'DFPETALUMA'TO ACT AS A.PASS THROUGH.AGENCY FOR A,$3;5OuOO FEDERAL ALLOCATION FOR SMARDRAIL PROJECTS .WHEREAS, grant funds are available to the Sonoma-Marin Area Rail Transit District (SMART) from the Federal Transit Administration to implement rail ;projects; and • WHEREAS, under'applicable FTA grant requirements, only an.eligible recipient niay serve as'the direct recipientofthese federal funds and enter into a;foimal.grant contract with FTA;and' WHEREAS, SMART, as,a 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, 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:ubrecipient; and WHEREAS,;City of Petaluma and subgrantee desire to enter:into a formal • contract which, the.aforementioned:FTA.aiid relatedlocal match grant funds for iniplementation°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 Agreement By and Between Sonoma-Marin Area Rail Transit District and City of Petaluma, attached as Exhibit A to the Resolution. • • • 3 • Attachment,2,— Exhibit A to Resolution ETA PASS-THROUGH AGREEMENT • :Byrand.Between., • Sonoina-Marro Area Rail.TrarisitDistrict And City of Petaluma ThisAgreement,,("Agreement") has been entered into by.and"between the CITY OF PETALUMA(hereinafter "City") and the,SONOMA-MARIN AREA RAM:TRANSIT DISTRICT (hereinafter"Subgrantee"), as.of June 18, 2012, for the undertaking of SMART Planning'.Studies ("Project"). City and-;Subgrantee are hereinafter referred to collectively as the "Parties" W,HEREAS,: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 notan 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 passFTA 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 in accordance with the terms and conditions;specified herein;or contained in.the Appendices named below, which are attached. hereto and by referenceincorporated herein. • City has'=applied for the Grant pursuant to a 2010 Allocation. A copy of the electronic grant application, which•includes the project budget, is attached'as Appendix A. Appendix.B,contains general provisions applicable to this Agreement. Appendix ';contains the referenced Certifications and Assurances. 4 • 2. EFFECTIVE DATE.. The effective date of this Agreement shall;be?June 18, 2012. The Project'shall be completed oMor-before December 1, 2014; 3. FTA FUNDING AND EXPENSES. The total Of all federal funds available through this grant for expenses incurred,in performance•of Project shall not'exceed the sum of Two Million Five Hundred Thousand Dollars ($2,500,000). These federal funds (the "Grant") will be immediately available, upon award of the Grant;for reimbursing expenditures under this Agreement.. No local match;fundsare required for this Grant. If the Project costs exceed the . sum available in this Grant, those Project costs are the responsibility of the Subgrantee. 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 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 bythe City of Petaluma directly to Subgrantee.and'payment will be made within forty=five'(45) days of the invoice 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 of Executive Director/General-Manager, who will be responsible for the day to day administration of the Project: Farhad Mansourian Executive Director Sonoma-Marin Area Rail Transit.District 750 Lindaro Street,Suite 200 San Rafael, California 94901 (415) 226-0886 • Any notices required or permitted to be sent to.Subgrantee by Cityshall: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/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 C, contains the entire agreement between the Parties with respect to the subject matter hereof, and 5 • supersedes all,prior-:wntten+,ororal:agreements„understandings representations or statement's between theoParties`with respect to the subject matter thereto. 8. SEVERABILITY. If any term, provision or condition of this 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 of 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. Daniy,.:CityAttorney. APPROVED:` • Department Director' APPROVED: 6 • Ron Bl'ariquie, Risk Manager APPROVED:. Bill Mushallo, Finance Director SONOMA-IVIARIN AREA RAIL TRANSIT DISTRICT: By:- Farh"ad Mansourian, Executive Director APPROVED AS TO FORM FOR SUBGRANTEE: Sheryl Bratton, Assistant_,County.Counsel 7 i - DOT FTA U.S. Department-of Transportation Federal Transit Administration • Application Recipient.ID: ' 2713 RecipientNaht PETALUMA,;,CITY OF Project.ID: CA-03-0817 Budget Number 1 2Budget Pending Approval Project Information: SMART Part 1 : Recipient Information Project Number: CA-03-0817 Recipient ID: 2713 Recipient:Name: PETALUMA, CITY OF Address`: 555 N. MCDOWELL BLVD , PETALUMA, CA 94954.2311 Telephone: (707)778-4421 Facsimile: (707) 775-3799 Union Information Recipient ID:; 2713 Union Name: AMALGAMATED TRANSIT UNION ' Address 1 35 Mitchell Blvd. Suite 2 • Address 2: ,City; San Rafael, CA 94903 Contact Name; Ray Messier Telephone: • (415)479-5090 Facsimile:_ E-mail' rayatu1575©pacbell:net Website: Part:2 Proj'ect:Information Project Type: (Grant Gross'Project I $2,500,000 Cost: 8 Project Number CA-03-0817 AdjustmentrArra $0 Project Description: SMART Total Eligible Cost $2,500,000 Recipient Type: City' Total;FTA flint: $2,500;000 FTA;Project Mgr: Susan Chu - _ Total State;Amt: •$0 Recipient Contact Joseph Rye Total Local Amt`. $0 New/Amendment None Specified Other Federal $0 Amend Reason: Initial`Application' Amt: Special:Cond,Arrit: $0 FedbomAsst:-#: 20500 Sec. of Statute: 5309-5 Special Condition: None Specified State Appl: ID; 94-600039, S.C. Tgt. Date: None Specified Start/End Date: Aug. 01, 2012 -Jun..30, 2014 S.C. Eff: Date: NoneSpecified Recvd. By State: Est. Oblig Date: None Specified Pre-Award EO 12372 Rev: Not Applicable Yes Authority?: Review Date: None Specified Fed. Debt • Planning Grant?: NO Authority?: No Program Date Final Budget?: No (STIP/UPWP/FTA May. 01, 2012 Prm Plan);: Program Page: None Specified Application Type: Electronic Supp.,Agreement?: Yes Debt. Delinq. Details: Urbanized Areas UZAID UZA,Name 60000 CALIFORNIA 63820' PETALUMA,CA CongressionaiDistricts State ID District Code District.Official 6 1 Mike Thompson 6 6 Lynn C Woolsey Project Details This earmark is for$2,500,000 in federal funds from Section 5309 New Starts,;program year 2010;San Francisco Urbanized Area060060. Petaluma Transit is acting asithe pass through agency for this earmark. Petaluma Transit will be the recipient and Sonoma Mahn Area Rail Transit(SMART)will be the subrecipient. Funds from this earmark(E2010-NWST-017 SMART-TIP ID SON090002)will be used,for federal 9 • • • environmental:and technical studies.,'The.federat,funds will be matchedjwith,local bridgetolis:as'part,of.the state and regional bridge toll cfeditpolicy,:resulting in the reimbursement rate of this grant at 100% • Sonoma-Mann Area Rail Transit District(SMART) EIS and Technical Studies:for the Larkspur Ferry- Downtown • San Rafael TransitCorridor The Larkspur Ferry,=Downtown San Rafael Corridor Transit Project is located insouthern Marin'Countyiin the North;Bay regionof the.San Francisco Bay Area;and extends north from the:Larkspur Ferry Terminal to the Downtown Sari?Rafael,Bettini Transit Center;;a,distance of approximately 2.1.miles via rail. The proposed federal • environmentel,and'technical studies;will suppoit'completion of federal requirements'of transit investment in the . • corridor including thecorrespondingrenvironmental impacts and costs.The,proposed federal environmental and technical will'result`in the adoption,ofa locally preferred alternative within•the fiscally constrained - Metropolitan,Transportation Plan and:completion:of'requited'federal environmental documentation. The overall p 1 ro osed',to be a fixed uidewa transit reject withrcommute,penod headways of30-minutes federal ro ect is p p g ' y p, ineachkdirectioni and a travel time of five minutes..SMART'will be the service;proyiderand other transit providers will'serve each of the stations, with GGBHTD•ferry services at Lark_spurend MarinTransit, GGBHTD,,and private providers atdowntown San Rafael.eettini Transit Center. The projectis proposedwithinithe publically owned rail right'Cif way in the corridor":and has,`a_preliminary`c`oet estimate for the technical studies and'pre-constru`ction phase of$2,927;500. The proposed Larkspur'Ferry to Downtown San Rafael'project has a'total preliminay cost estimate'for construction'of$30 million included,in the fiscally constrained portion of the Draft Regional Transportation plan,Plan Bay Area;,and a proposed start of service im2017`or2018. SMART is a passenger mil project Iocated:in San Francisco's'North Bay.The:overall SMART projedtprovides rail:service along 70 miles'of the Northwestern Pacific Railroad alignment Utilizing the'publicly owned railroad ' right Way, the,rail project will serve.fourteen stations, from Cloverdale in Sonoma County':to the San Francisco- bound ferry terminal Larkspur, MariniCounty.,.An interim Initial Operating Segment phase of the projectis under construction using local funds,and,extends along 38:5-miles from Santa Rosa (North—,Guerneville Road Station at Coddingtown):toSan Rafael (Downtown/Bettini Transit Center Station). The SMART,Initial Operating Segment start ofservice is;scheduled;for 2015;or2016. SMART has issued a,Notice to Proceed in January 2011 for ac uisition.of FTA and FRA com liant vehicles for the:Initial Operating Segment. The SMART Initial 9, p Operating'Segment is fully fundedwith non-FTA funds for total project cost estimate of$397 million. The-overall project includestne San Francisco; Santa Rosa, and Petaluma6Urbanized,Areae;while thelarkspur —San.Rafael segment is entirely in,the-San Francisco-Urbanized Area. DOL contact Joe Rye jrye @ci,petalurna ca.us • Earmarks Earmark Details Earrnark.ID Earmark Name Orig.,Balance Amount Applied • E2010 NWST 017 • Sonoma-MarinArea Rail Trans $2 500 000 $2 500000 Number of Earmarks: 1 Total Amount Applied:-$2,500;000 • Date Sent for Release:. Date Released: Security 10 • No information found. Part 3 Budget Project Budget Quantity l' FTA Amount l Tot. Elig. Cost SCOPE 140-80 NEW START • OI. $2;500,000:001 •$2,500,000:00 ACTIVITY 14.08.80 PROFESSIONAL SERVICES 01 $2;500;000.001 $2,500,000.00 • Estimated Total Eligible Cost:1 $2,500,000.00 Federal Share:I $2,500,000.00 Local Share: $0.00 • OTHER Sco.es and Activities not included in.Proect Bud.et Totals None No Amendment Funding Source information is available for the selected project Alternative Fuel Codes • Extended Budget Descriptions 140-80 I NEWSTART 1 01 $2,500,000:001 $2,500,000.00 14.08.80 I PROFESSIONAL SERVICES I 01 $2,500;000.001 $2,500,000 00, 14.08.80 Professional Services$2;500,000 TIP:ID SON090002 Perform technical studies and environmental analysis for the.Sonoma-Marin Area Rail Transit(SMART) Larkspur Ferry to.Downtown San Rafael project. The preliminary cost estimate for the technical studies and pre- construction phase of the SMART Larkspur Ferry to Downtown'San,Rafael project is$2,927,500, with grant #CA-03-0817-00 providing the additional funds.The proposed,Larkspur Ferry to Downtown San Rafael project has a total preliminary cost estimate for construction of$30 million included in the fiscally constrained portion of the Draft Regional Transportation Plan, "Plan Bay Area", expected to be adopted in early 2013. A map of the entire SMART corridor and the project area are attached. Funds for this;project will be:from the San Francisco UZA. II • • Changes since 'the Prior Budget • . Noiinformation.found. Partt Milestones • • • 140-80 NEWTSTART 0 $2;500;000 $2;500;000., Milestone Description Est.Comps.Date • 1. RFP/IFB,Issued Dec: 01,:2012 2. Contract Award Mar, 01;.2013 - 3: Contract,Complete Dec.. 01, 2014 • Part 5. 'Environmental Findings 140880 PROFESSIONAL SERVICES 0 $2,500,000 $2,500;000 Finding No. 1 - Class 11(c) C01 - Engineering/Design/Ptanning/Tech.Studies Activities which do notinvolve•or lead directly to construction; such as.planning and technicalistudies, projects for training and research programs;,planning activities•eligible for assistance listed in 23'U.S.C. • 134, 135, and 307(c); planning activdies:felated to apprdval`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•assessedAn\n • Part-:6 - Fleet Status • No information found. Part 7. FTA. Comments • General Review • Comment Title: UZA-ok; Comment,By:. Lorraine Lerman, • Date:Created: May, 22,!2012 • Date;Updated: Mays 30,=2012 • Ref:Section: Unknown Comment Petaluma is the UZA,by code but the;details-identify San Francisco UZA:-ok- 12 Coinment Title: Description =ok= Comment By Lorraine Lerman Date'Created: May. 22, 2012 • Date Updated: May 30, 2012 Ref Section: Unknown Comment: Add information on the federal project-descriptions, costs, dates, etc. -ok- Comment Title: MPO'-ok- Comment By: • Loraine Lerman Date Created: May. 22„'2012 • Date Updated: May. 30, 2012 Ref Section: Unknown Comment. Please attach MPO concurrence. Include FSTIP date Part 2. -ok- CommentTitle: Local Share-ok- Comment By: Lorraine Lerman Date Created: May. 22,,2012 Date Updated: May. 30,2012 Ref Section: Unknown Comment: ,For the local share as bridge toll credit, documentTthis from,MTC. -ok- Comment Title: TIP-ok- Comment By: Lorraine Lerman Date Created: May: 22,;2012 Date Updated: May. 30, 2012 • Ref Section: Unknown Comment: Include TIP#in Extended Budget Description.ok=. Comment Title: Cost Estimate Comment By. Lorraine'Lerman Date Created: May. 22,2012 Date Updated: None;Specified Ref Section: Unknown Comment: Total project estimate-add to extended,budget description: Part 8:- Results of Reviews The reviewer did not find any errors 13 APPENDIX B • GENERAL PROVISIONS I.General: Subgrantee-shall complynvith any and all laws.statutes.ordinances. rules...regulations or requirements of the-federal.state-or local government;and any agency thereo'f/whieh relate to or inranymanneraffect the performance of this Agreement.49 CFR Part 18 "Uniform Administrative Requirements for Grants and 'Cooperative Agreements to State and,Local Governments.-Circular 4220.IF of the Federal Transit Administration(ETA), and the PETALUMA/FTA Grant Agreement executed•XXXX-2012,with referenced Certifications and Assurances and Department of Labor referral letter and.-the terms and conditions of respective protective arrangements,_ attached hereto as Appendix C-(collectively,"Grain Terms and Conditions'),are each incorporated herein by reference asthough 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 DOE ETA or other agencies of the Federal Government are hereby reserved by PETALUMA. . • 2.Accomplishment of the Project:•Subgrantee shall accomplish this Project a timely and satisfactory manner, in.conforntance-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 o_f the Project by procurement through Subcontractors in accordance with 49 CFR Part 18 and.ETA Circular 4220.1F. Subgrantee shall furnish PETALUMA with copies-of any subcontract to this Agreement,or amendments 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: b. Funds: Should the:Project budget exceed the Grant amount of Two;Million and Five Hundred Thousand Dollars.Subgrantee agrees.to-provide-all local match for the Project. C.Allowable Costs:Subject to the Grant Terms and Conditions. PETALUMA shall reimburse Sobgrantee tor those services and expenses required to perform the work in accordance with the:Project budget as described in.Appendix A.Reimbursement shall bein:.accordance-with,the cost.principles set forth in.Office,of Management-and Budget (''OMB')Circular At87;=Revised,"Cost Principles Applicable to Grants and Contracts with State and Local,Governments." d. Record-Retei tion:.Subgrantee'shall retain intact and accessible all data. documents.reports,records,contracts and supporting materials relating to the Project ("Records-)during the course of the Project and for three years after the date of final • payment by,FTA.to PETALUMA under the PETALUMAJFTA Grant Agreement or the date of final completion of the Project. whichever occurs later. If any litigation.claim, B-2 14 • • • • negotiation,audit or other action related to the Project is started before the end of said • three-year:period'.Subgrantee shall retain Records for three years after completion and resolution of the action and all issues:elated to it. • e.Access to Records: Upon request, Subgrantee agrees to permit:authorized • representatives of the.Federal Transportation Agency,the Comptroller• of the United States.and the Ciiy 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 executions of this Agreement and extending to'three years from final,payment.by FTA.to PETALUMA'under the PETA LUMA/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 relatedtoithe 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 ETA,the State.and PETALUMA to have access to all hooks. 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 or subcontract and extending for three:years after final payment under the Agreement.The contractors and subcontractors shall he 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. E Audit: Subgrantee will provide thorough and complete accounting for all funds expendedin 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).,Snbgrantee • shall Be responsible for meeting audit requirements of the Single Audit Act Amendments •01 1996,31 U.S.C. §§7501 et. seq.. in accordance with OMB Circular A-133."Audits of Slates, Local Governments.and.Non-Profit.Organizations.'and any revision or supplement thereto. Subgrantee shall annually;submit to PETALUMA one copy of its audit completed in accordance witH the above-described single audit requirements within thirty:(30idays alter completion of the audit.but not later than one(I)year after the end of the audit period. q'. Project,Reportirrg a.,Timibg of Reports: The quarterly reporting periods'shall end December 31, • March 31'.June 30 and September 30. Subgrantee reports.including Narrative Progress Reportsand`Financial Reports.are due to PETALUMA fifteen(15).days after the end of • 'thei,quarterly reporting period to'allow PETALUMA sufficient processing time •Milest one/progress reports are due toFTA 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.tocomplY with the project management principles in the PETALUMA/FTA Grant Agreement,amendments thereto.and any other regulations and circulars that may be applicable. E-3 • 15 b. Administration. Subgrantee shall appoint a Project Manager who shall see that Project accounts are maintainedsubject to El A.regulations and PETALUMA 'approval.prepare.progress reports as required by.the FTA.and administer the Project. c. Content of Reports: (I) Narrative Progress Report:Subgrantee;shal(.prepare a narrative progress report covering accomplishments during the quarterly reporting period.These periodic reports shall contain:a narrative description of the following information: specification preparation:;bid:solicitation:resolution of any protests;any contract awards:work completed during the period:task expected to be performed'during the next period;and explanations of problems or delays encountered or anticipated. • (2) FinanciafReport:Subgranteeshall:prepare a financial report covering the same reporting-periods specified above:These reports shall include,but not be limited to a balance sheet and a Projectexpenditure statement by line item code. 5. Requisitions Subgrantee shall prepare requisitions,for reimbursement for services,performed and/or expenses incurred under this Agreement,and shall segregate costs'by activity pursuant to.the Project Budget contained in the Grant' • Application/Agreement(Appendix A). In addition,each invoice shall,have sufficient documentation to show grant, local match.;and in-kind amounts,as applicable. Such requisitions shall be.signed by Subgriuitee'sChief Financial Officer,or equivalent or a designated representative thereof Subgrantee shall maintain records of payroll distributiot receipted bills.and such other documentation as'may be reasonablyrequired by PETALUMA. Requisitions shall be accompanied by supporting documentation. If requisition includes payment for work performed under subcontract copies of the Subgrantee invdices and proof of payment shall be enclosed.. The number of requisitions submitted by Subgrantee to PETALUMA shall be limitedto the least number of requisitions possible,and in no event shall be submitted more frequently than 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 PTA. (a) Subgrantee acknowlcdges.thatif any portion of any grant under the PETALUMA/FTA Grant;Agreement is not-funded by FTA,;orif the Grant is deobligated or terminated by PTA„PETALUMA is not obligated to provide such funds to Subgrantee and is not fiableto Subgrantee'in any wawfor such funding. Subgrantee acknowledges that PETALUMA will seek reimbursement=from.ETA alter making payments to Subgrantee under this.Agreement. Subgrantee further agrees promptly to fully refund to PETALUMA any payments under this Agreement that are subsequently disallowed by GT A or deterriuned by 1.ny';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 Projectcosts invoiced to PETALUMA shall comply with the PETALUMA/FTA Grant Agreement scope;terms and conditions. Subgrantee • agrees to comply with Title 2 Code of Federal Regulations Part 225(formerly Office of Management and Budget(OMB)Circular A-87).Cost Principles for State and Local • B-4 16 • • Government, and 49 CFR Part IS Uniform Administrative Requirements for Grants and • Cooperative Agreements to State and Local Governments.and to require all of its commercial third party contractors to comply with the cost principles of Title 48 Code of Federal Regulations Part 31. 7. Project Property: Subgrantee:agrees to comply with the property management standards of 49 CFR Sections 18.31-18.34 and any requirements contained'in the form of FTA Master Agreement,located athttp://www.fta.dot.gov/documents/I2-Master.dec, relating topropertymanagement. 8.Changes: From time,to time.circumstances or conditions may require:changes to this Agreement.Changes which"are;mutuallyagreed_upon between Subgrantee and PETALUMA shall be,incorporated in written amendments to this Agreement. 9.Termination: Subgrante •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(30)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 curt.said notice shall specify the manner.in-whichthe alleged default may.be cured. • If Subgrantee does not cure a default deemed by PETALUMA to be curable as evidenced in the termination notice,within thirty'(30)days of the receipt of the notice,or commence to cure within the thirty(30)day perio'd,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 Agreement prior to termination.provided that FE'FALUMA has received Grant funds therefor and Subgrantee has not previously been reimbursed for suchcosts.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 owneapense, indemnify,defend with counsefacceptable to PETALUMA(which acceptance will not be unreasonably withheld).and hold harmless PETALUMA and its • officers,officials.employees,agents and ('Indemnitees')from and against any and all liability.Joss,damage,claims,suits :actions,:arbitration proceedings. regulatory proceedings,civil penalties and tines,expenses 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 PTA Pass-Through-Agreement or Subgrantee's failure to comply with any thtterms of the Agreement,regardless of any fault or alleged fault of the Indemnitees. Subgrantce'.s obligation to indemnify defend and hold harmless under this provi.ionshall not beexcusedbecause of Subgrantee's•inability to evaluate Liability,or because,Subgrantee;evalnates Liability anddetemtincs.that Subgrantee is not or may.not 'be liable. Subgrantee mustrespond 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 I35 17 • • • • to accept tender of defense and indemnity within thirty(30)calendar days.in addition to any other remedies authorized by law;so much of the money due or that may become due. to Subgrantee under this Agreement as shall reasonably be considered necessary by PETALUMA,may be retained by PETALUMA.until,disposition has been made of the matter subject to;tenderpr 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 acceptance'of tender.Subgrantee agrees to fully reimburse all costs.including but noiilimited to attorneys' fees and costs and fees of litigation.incurred by PETALUMA iii filing such responsive documents. Subgrantee waives any and all rights,to express or implied indemnity against the lndemnifees concerning any Liability of the Subgrantee arising out o of or in connection With the FTA•Pass-Through Agreement orSubgrantec's failure to comply with any of the terms of Agreement. Notwithistanding 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, subgrantce's 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. Notwithstanding the,foregoing, to the extent that Subgrantee renders design professional services,subject to California Civil Code Section 2782.8..'as may be amended fronttiine to time.Subgrantee's duty to indemnify shall only be to the maximum extent' permitted by California Civil Code;Section 2782.8. • • • • B-6 • 18 APPENDIX C FY10 Federal Transit Administration Certificationsrand Assurances— . Petaluma Specific �'Vtew L'Modtfy Recipient(3pETAGUMA CITY OF ) •,WindowsAirternet Explorer 1 https"//ftateamweb fta dot gov/teamweb/(5(rplgwf3idfmozpecynlvrv45))/Recipients/ModifyReapient/ViewRecip asp?grantee_i View/.Modify,Recipient ) n Lc RI ita-!i Fa[?1 Fd i General . [Contact Pirson4Cert's &Assurances) 'Cod'es IP,aVerient Codes Civil,Rigfits I, Organization:' ®, PET.ALUMA,CITY:OF CaF' Description- 'Applicable. N/AI Cer 'Date (Text . 01 ASSURANCES:REQUIRED FOR EACH APPLICANT Ei ■ 11/8/2011' d . 02 LOBBYING,CERTIFICATION p , ❑ 11/8/2011 El - 03 PROCUREMENT COMPLIANCE 0 ❑, 11/8/2011 04 PROTECTIONS FOR PRIVATE TRANSPORTATION p ❑ 11/8!2011. d n;-. oi,o[ir_ucnoir r _rl_?iro n MiHiv F1 Affirmapon of'9 ..#i canons'amt Assurances .1 �r1 ' FEDERAL FISCAL YEAR 2012 FTA CERTIFICATIONS AND ASSURANCES:SIGNATuAE PAGE a (Required of all Applicants for FTA funding and all FTA Grantees with an active capital or formula project) • AFFIRMATION OF APPLICAN T Name of Applicant PETALUMA,CITY OF u Nameand Relationship of Authorized Representative:Joseph Rye • 1 :Official's Name: 'Joseph Rye PIN:I J`CERtT11A' Attorney s Name: Leslie A Thomsen ii • 19 • L • • • ViewlM`odifyRecipient (PETALUMA,;C±T,Y OF) Windows Internet Explorer https, lftateamweb Eta(dot govlteamweblS(rpercfadfmozpecynlvrv4Sf egpi entslModifyRetipient/View Recip aspz grantei Vie*, Modify Recipient %7:1 71 o 112 LL NONE General Contact Pethons1'Cert s`&_Assurances) ;Codes 1E4ymen0Codes1_ Civil Rights ;Organization aJ'I2713j PETALUMA,CITY OF • • t Cat I Deiciiptien !Applicable N/AI Cert'Date I Text 05 PUBLIC HEARING p ❑ 11/8/2011 06 ACQUISITION OF ROLLING STOCK FOR USE:IN RE p ❑ 11/8/2011 a 07 ACQUISITION:OFCAPITALASSETS BY LEASE p ❑ 11/8/2011 al 08. BUS TESTING p ❑ 11/8/2011 FI ' Affirmation otCertificritiorlstand'Assurances) 4 • PI . FEDERAL FISCAL YEAR 2012 FTA CERTIFICATIONS AND ASSURANCES SIGNATUREPAGE t?g (Required of all Applicants for FTA funding and all FTA Grantees with an active capital or formula project) AFFIRMATION OF APPLICANT Name of ApplicantPETALUMA,CITY OF Name and Relationship of Authorized'Representative:Joseph Rye , Official s Name •Joseph Rye "PIN- 1 Ii CERTIFY Attorney s Name3 Leslie A Thomsen • • • • • 20 • • l2 View./Modify Recipient f PETALUMA,;CITY,, OF)LWindows'lnternet Explorer https:jiftateamweb'Ita:dot.govJ teamwebj(5(rplgwf3idfmozpecynlvrv45))iRecipients(ModifyRecipientjViewReop asp?grante •View J;Modtfy Recipient L RLL NONE � LANCE oa Gene al Contact3Persons1,Cert1s=& 'ssurancesl, 1Cod'es IRaymebt?@odesl :Civil Rights I • Organization:1 2713 PETA.LUMA,.CITY'OF Cat l _ Description N/AI Ceti Date I-Test ' 00 CHARTER SERVICE AGREEMENT p ❑ 11118,2011 a i tea_, • 10 SCHOOL TRANSPORTATION AGREEMENT 'p ❑ 1178)2011 j 11. DEMAND RESPONSIVE'SERVICE Ei ❑ /178/2011 12 ALCOHOL MISUSE AND PROHIBITED DRUG USE p ❑ 11/8/2011 13_.INTEREST AND OTHER FINANCING COSTS _R10_ 1148/2011_._ _ 71, Affirmation of Ceftdreattons'andiAssurances . ' .FEDERAL FISCAL YEAR-2012 FTACERTIFICATIONS AND ASSURANCES SIGNATURE PAGE (Required of all Applicants for.FTA`lunding and all FTA Grantees with an active capital or formula project) AFFIRMATION OF APPLICANT Name of Applicant:PETALUMA.CITY OF Name and Relationship of Authorized Representative:Joseph Rye u Official s Name: [Joseph Rye • Attorneys•Name;•Leslie A Thomsen'• -I CERTIFY • 21 .View/Modify Recipient'(,?ETALUMA, ELLTiY OF ) -Windows Intetnet,Explorer, E�•httpsylftat'eamweb•ftai dotigovlteamwebl(5(rplgwf3idfmoz_pecynlvrv45))/Recipients/ModifyRecipientlViewRecip asp?grants I View,/Modl Reciient, �, f ® �X Ali 111 � p �'���LL�NONE �n� rl �CRNC[( of LContact Persons Serfs&-Assurances! Codes 1 IPa'ymeht Codes CiGil;RigIite •Organization-. 27131[PETALUMA.,.CITY OF: ' Call Desciipiion !Applicable.N/Al Celt Date I:Text _. 14 INTELLIGENT T TRANSPORTATION SYSTEMS p ❑ 111812011' ,T5 14R8AN2ED;AREAFORMULA.PROGRAM ci _❑ ' 111812011 CLEAN FUELS GRANT PROGRAM IS ❑ 11/8/2011 17' ELDERLY INDIVIDUALS AND;INDIVIDUALS WITH E MI ❑ 110/2011 1R enrol IRPONI7Ff1 ORFO FQRMI Ii O PnnrPaMFnR —r!...-n_ 11JR/7f111 _ kn."' '' • Affirmation of Certifica{ions and Assurances • FEDERAL FISCALYEAR2012 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE•PAGE e. (Required of all Applicants for FTA funding and all FTA Grantees with an active capital or formula protect) AFFIRMATION OF APPLICANT 'Name of Applicant:PETALUMA,.CITY OF Name and Relationship of Authorized Repiesentative:Joseph Rye u Offiipial s Name: Joseph Rye PIN:., CERTIFY • • ' AtiorneysName: Leslie A Thomsen • • . • It • (5Vtew •Modify Recipient ( P,ETALUMA GITY, windows_internet Expt f, e hips:ilftateamweb ftaldot govt teamweb/(5(rplgwf3idfmozpecynlvrv45))JRecipients/ModifyRecipient/ViewRecip aspNranteel II View/Modify Recipient \� rrnUZ RE. k,, itt Gen'eraf fLContact.Perrsons1Certs°&;Assuraricesl Codes/ GivilPights I• Organization 1 2713 PETALUMA.,CITY OF Cat Description - IApplicahle. N/AI. 'Celt Date I Text 18. NONURBANIZED AREA FORMULA PROGRAM FOR p ID 11/8/2011 E '19 JOB ACCESS AND REVERSE,COMMUTE (JARC)FO _ p ❑ 11/8/2011 d. 20. NEWFREEDOM PROGRAM r} D 11/8/2011 21 PAUL S.SARBANES TRANSIT IN PARKS PROGRAI n p 11/8/2011 • AHrrinatioo-:oftCertdicatiogs:and'Assurances _ Il9_- FEDERAL FISCAL YEAR,2012 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE (Required df all Applicants for FTA funding and all FTA Grantees with an active capital or formula project) AFFIRMATION O •APPLICANT • Name of ApplicantPETALUMA,:CITY OF Name and Relationship of Authorized Representative:Joseph Rye v t • Officials Name: Joseph..Rye PIN IVCERTIFY Attorney s Namer Leslie A Thomsen " , - • • 23 • • View/ModifyRecipiient (PETALUMA,,CITY`01').Windows Internet' itolorer • EJ`https:IIftateamweh fta:dot.gov/teamwebf(5(rplgwf3idfmozpecynlvrv95))(Recip ientsfModlfyReciplentlViewRecip asp?grantee 11 View 'Modify Recipient �' P r NN ®J RI lr i ti it • General _I Confect Persons'Cart a&Assurance`s' Codes' , Payment Codes CiviORlghts I • Organization: 127131 PETALUMA.,!CITY OF • ' ' Cat Description, 'Applicable N/AI Ceri Date, !Text • • 41' FAUL S:'SAHUANtb'I HANSILIN YAHAS YHUUHAr Li H I ITtl/UI I jai E.,. 22i• TRIBAL`TRANSIT•PROGRAM ❑: 1si 11/8/2011., a 23,' TIFIAPROJECTS 19 ❑ .0/8/2011 ei 24 DEPOSITS OF FEDERAL FINANCIAL FUNDING TO I ❑ El 11/8/2011 2 u IY'i • .Aftirmation'of Certifications and'Assurances; Jr • FEDERAL FISCAL YEAR 2012 ETA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE mil . IRenuired of all Applicants far FTA funding and all FTA'.Grantees with an`active capital or formula project) • AFFIRMATION OF APPLICANT (Name of Applicant'PETALUMA,CITY OF ' Name and Relationship of Authorized.R epresentative:Joseph Rye 2 . o , 'Official's Name:` 'Joseph Rye Allomey'sName; LeslieA Thomsen 7PIN_i II CERTIFY 24 • APPENDIX C FEDERAL FISCAL YEAR 2012 CERTIFICATIONS AND ASSURANCES FOR FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS PREFACE • • Befbre,the Federal Transit Administration (FTA'or We) may award Federal transit assistance (funding or funds)to support a project, anazthorized representative,(you) of the project sponsor (Applicant) must provide certain certifications and assurances required by•Federal law or regulation. You must-provide'all'certi/ications and assurances,required ofyour•Applicant to support its'applications for ETA funding during Federal fiscal year (FY) 2012. We requesttzat.you read each certification and assurance carefully and select all certifications and ;assurances that might applytoaall projects for which your Applicant might seek FTA finding. We can award ETA funding jor your Applicant's project only if your Applicant provides•adequate certtfcationsiand,assuranceson your Applicant'.,behalf as required bv'Eederal.law or regulation. • We have consolidated our certifications and'assurances into 24 groups: At,a minimum„you;must provide the assurances in Group 01. If your Applicant requests more than $100,000,you must also provide Lobbying certification in Group 02, unless your Applicant is an Indian tribe or organization or tribal organization. Depending on the nature of your Applicant and its project, your Applicant'may need'to providesomeof the certifications and assurances in Groups 03 through 24. However; instead of selecting individual groups ofcertications.and assurances,you May Make a single•selection that will encompass all groups of certifications and assurances applicable to all our programs. ETA and your Applicant-understand and agree that not every provision,of these certifications and assurances will apply to every Applicant or everyproject we fund The type of project and'Applicant will determine which certifications and assurances apply. Your Applicant also understands and agrees that these certifications and assurances are special'pre- award•requirements.and do not include all Federal requirements that may apply to your Applicant or its project..Our Mosier.Agreement MA(18)for Federal Fiscal Year 2012, http://wwww.fta.dot:gov/doctmzents/18-Master.pdf' contains a list of most of those requirements. . Exceptein limited,circumstances, your Applicant is ultimately responsible for compliance.with the certifications andassurances that apply to itself or its project irrespective of subrecipient participation in.theproject Because;many FY 2012 certifications and assurances'will require 'sulirecipient compliance, we strongly.recommendthat you take appropriate fineaSithes-to assure the validity of your Applicant's certiftcations,and:assurances Your Applicant understands and agrees that vouapplyfor funding on behalf of a consortium,joint venture, partnership, or team, each 'member of that consortium,joint venture,partnership, or team is responsible for compliance with the certifications and assurances you select oizyour Applicant's behalf We expect you to submit your Applicant's FY 2012 certifications and assurances in TEAM-Web, and its applications for funding as well Thus you will need to be registered in TEAM-Web to act on your Applicant's behalf. The TEAM-Web `Recipients” option at the -Geri's&Assurances" tab of the "View/Modem Recipients"page contains fields for selecting among the.24:groups of certifications 25 and assurances and designated feldfor selecting all 24.groups.If cannot submit your Applicant's FY 2012 certifications and assurances electronically,you must submit the S'ignature Page(s,) in Appendix A of this Notice marked to show the groups of certifications and assurances your`Applicant`is providing. GROUP 01. ASSURANCES REQUIRED FOR EACH APPLICANT You must select the following assurances in Group 01 on behalf of your A pplicant unless we expressly determine otherwise in writing. A. Assurance of Authority of the•Applicant and Its Representative: Both you and the Applicant's attorney who sign these certifications, assurances, and agreements, affirm that botli,the.Applicant and you as its authorized representative may, under their State, local, or Indian tribal law and regulations, and,the Applicant's by-laws or internal rules, undertake the following activities on behalf of the Applicant: I. Execute and file its application for Federal funds, 2. Execute and file its certifications,.assurances, and agreements binding its compliance, and 3. Execute Grant Agreements or Cooperative Agreements, or both, with FTA. B. Standard Assurances. The Applicant assures that: I. It hassufficient authority under its State, local, or Indian tribal law, regulations by-laws and internal rules to carry out each FTA funded project as required by Federal laws and regulations, 2. It will comply with all applicable Federal statutes and regulations to carry out any FTA funded project, 3. It is under a continuing obligation to comply with the terms and conditions of the FTA Grant Agreement.or Cooperative Agreement for the project, including the FTA Master Agreement incorporated by reference and made part of the latest amendment to Grant Agreement or Cooperative Agreement, 4. lt-recognizes that.Federal laws and regulations may be modified from time to time and those modifications may affect project implementation, 5. It understands that Presidential executive orders and Federal directives, including Federal policies • and`program guidance, may be:issued concerning matters affecting the Applicant or its project,and 6. lbagrees that the most recent Federal laws, regulations, and directives will apply to the project, unless'FTA determines otherwise in writing. C.fntetgoverntnental Review Assurance. This,as`sarance'does-not apply to Indian tribe or organization or a tribal organization that applies for funding under•FTA's Tribal Transit Program, 49 U.S.C. 5311(c)(1). The Applicant assures that it has or will submit each Federal funding application to the appropriate State,aridloeal agencies for intergovernmental review to facilitate com'pliance.with U.S. Department of Transportation (U.S. DOT) regulations, "Intergovernmental Review of Department of Transportation Programs and Activities,"49 CFR part 17. 26 • D. Nondiscrimination Assurance. 1. The Applicant assures.that it will comply with the following laws and:regulations so that no person in the United States will be denied the benefits of, or otherwise be subjected to discrimination in any U.S: DOT,or FTA funded'program;or activity(particularly in the level and quality of transportation services and transportation-related benefits on the basis of race, color, national origin, creed, sex, or age: a. Federal transit law, specifically 49 U.S.C. 5332 (prohibiting discrimination on the basis of race, color,creed,;national origin, sex, or age, and in employment or business opportunity), b. Title VI of the Civil.Rights Act of 1964, as amended, 42 U.S.C'2000d, and c. U'S. DOT regulations, "Nondiscrimination'in Federally-Assisted Programs of the Department of Transportation-EffectuationofTitle VI of the Civil Rights Act," 49 CFR part 21. 2. As required by 49 CFR 21.7, the Applicant assures that a. It will comply with 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 in the manner: (1) It conducts each project, (2) It undertakes property acquisitions, and (3) It•operates the project facilities, including: (a) It§ entire facilities, and (b) Its facilities operated in connection with its project, b. This;assurance applies to its entire project and entire facilities, including facilities operated in connection with its project, c. It Will promptly take the necessary;actions to carry out this assurance, including: (11Notifying the public'thatidiscrimination complaints about transportation-related services or benefits may be filed with U.S. DOT or FTA;and (2) Submitting information about its compliance with these provisions to U.S. DOT or FTA upon theirrequest, d. If it transfers FTA funded real property, structures, or improvements to another party, any deeds and.instruments;recording that transfer will contain a covenant running withthe land assuring nondiscrimination: (I) While'the property is used for the purpose that the Federal funding'is extended, (2) While the property is used for another purpose involving the provision of similar services or benefits, e. The'United States has a right to seek judicial enforcement of any matter arising under: • (I) Title VLof the,Civil Rights Act,42.U.S.C. 2000d, (2) U.S. DOT regulations, 49 CFR part 21, and (3)This'assurance; make any changes,in its Title VI implementing procedures as U.S. DOT or FTA mayrequest to comply with:- (I)'Title'Vhofthe;Civil Rights Act; 42 U.S.C.. 2000d, (2) U.S. DOT regulations, 49 CFR part 21, and (3) Federal transit law,,49 U.S.C. 5332, g. It will ezterid'the requirements of 49 U.S.C. 5332, 42.U.S.C. 2000d, and 49 CFR part 21 to each third party participant,.including: (1) Any subrecipient, (2) Any transferee, • (3)Any third party contractor or subcontractor at any.tier, • 27 • • (4)Any successor in interest; (5)Any lessee, or (6) Any other participant in the project, h. It will include adequate provisions,to extend the requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR.part 21 to each third party agreement, including: (1) Eachssubagreement, • (2)uEach property transfer agreement, '(3) Each'third party contract or subcontract at any tier, (4) Each lease, or (5) Each participation agreement, i.'The;as§urances it has made will remain in effect for<the tongest•ofthe following: (l) As:long as,Federal funding,is extended to the project, (2)As long as the Project property is used for a purpose for Which the-Federal funding is extended, (3) As long as the Project property is used for a purpose involving the provision of similar services or benefits, or . . (4)As long as the Applicant retains ownership or possession of the project property. E.Assurance of Nondiscrimination on the Basis of Disability. I, The,Applicantassures,that it and its project implementation and operations will comply with all applicable requirements of: a. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq., b. The Americans with Disabilities Act of 1990: as amended, 42 U.S.C. 12101 et seq., c. U.S. DOT regulations„specifically°49 CFR parts 27, 37; and 38; and d. Any other applicable Federal laws that may be enacted or Federal regulations that may be promulgated, 2'.'As required by U.S. DOT regulations. "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance,”'49 CFR part 27, specifically'49 CFR•27.9, the Applicant assures that: a. The following prohibition against discrimination on the.basis of disability is a condition to the approval or extension of any FTAafunding awarded to: (1)Construct any facility, (2)Obtain any rolling stock or other equipment, (3) Undertake studies; (4)Conduct research, or (5) Participate in or obtain anybenefit from any FTA administered program, b l.ln any program or=attiVity receiving or benefiting':from,Federal funding FTA or any entity within _`U S.,DOT`administers,.no.otherwise qualified people with a-disability will, because.of theii disability,be:° • • (1) Excluded':from participation, (2) Denied benefits; or (3) Otherwise subjected to discrimination. F. Suspensionand,'Debarrnent. . I. U.S; DOT regulations, "Nonprocurement Suspension and Debarment," 2 CFR part 1200, which adopts and supplements the'provisions of U.S. Office of Management and Budget 28 (U.S. OMB) "Guidelines to•Agencies.on GovernmentwideDebannent;and Suspension (Nonprocurement)," 2 CFR part 180, permit certifications:toassure the Applicant acknowledges that: 2. The Applicant certifies to the best of its knowledge and belief that, it, its principals, and first tier subrecipients; a. Are eligible to participate in covered transactions of any Federal department or agency and are not presently: (1) Debarred, (2) Suspended, (3) Proposed for debarment, (4)+Declared ineligible, or (5) Voluntarily excluded,or (6) Disqualified, b. Have not within a three-year period preceding its latest application or proposal been convicted of or had a civil judgment,rendered against any of them for: (1)Commission of fraud•or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local)transaction, or contract under a public transaction, (2) Violation of any Federal or State antitrust statute, or • (3) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making any false statement, or receiving stolen property, c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal,,State, or local) with commission of any of the offenses listed in the preceding Section 2.6 of this certification, d. Have not,had one or more public transactions (Federal, State, or local) terminated for cause or default within a three-year period preceding this certification, e. Will promptly provide any information to the FTA if at a later time anyinformationcontradicts the. statements of subparagraphs (1) through (4) above, and f. Will treat each lower tier contract or lower tier subcontract under the Project as a covered lower tier contract for purposes oft CFR part 1200 and 2 CFR part 180 if it: . (I) Equals or exceeds$25,000, • . (2) Is for audit services, or (3)Requires the consent of a Federal official, g.Will:require that each covered lower tier contractor and subcontractor: (1)Comply with the Federal requirements of 2 CFR part 1200 and 2 CFR part 180, and (2)Assure that each lower tier participant in the Project is•not presently declared by any Federal department or agencyto;be: • (a) Debarred`from';participation in the federally funded project, (b) Suspended from participation in the federally funded project, (c) Proposed for debarment from participation in the federally funded project, (d) Declared ineligible to.participate in the federally funded project, (e) Voluntarily excluded from participation in the federally funded project, or (f) Disqualified from participation in the federally funded Project. 3. The Applicant will provide a written explanation indicated on its Signature Page or a page attached in FTA's TEAM if it-or any of its principals, including any.of its first tier subrecipients or lower tier participants, is unable to certify to the preceding statements in this certification. • 29 • • • Q.,U.5?OMB Assurances;in SF-4248 and:SF-424D: (These ("sc e-wit:es rote consisteni'with US.. OMB assurances required.:in SF-424B and SF-424D.) 1 =Administrative Activities.,The Applicant assures that a. Forrever)",project described in any application it submits, it has adequate;resources to properly plan,manage, and complete the project, including: (l)The legal;authority to apply for Federal funding, and (2)The institutional capability; (3)The managerial capability, and (4)The financial capability(including funds•sufficient+to pay the non-Federal'share of project cost). b. It will give access and the right to examine project-relatedmaterials, including but not limited to (d) FTA, ,(2)The Comptroller General of the United States, and, ' • (3).lf:approptiate,the-State,through any authorized representative, 'c. It will establish a proper accounting system in accordance with generally accepted accounting • standards or agency directives. • d. It will establish safeguards,to prohibit,employees from using their positions fora purpose that (1) Results iii a personal or organizational conflict Of interest, or personal gain, or (2) Presents the appearance of a personal or organizational conflict of interest or personal gain. 2. Project.Spec•ifics. The Applicant assures that a:-Following receipt of FTA_award; it will begin and complete Project work within the applicable timesperiods, b: For FTA funded construction projects: (1) It will comply with FTA provisions concerning the drafting, review,and approval of construction plans'and specifications (2) It will to the extent.practicable provide and maintain,competent and•adequate engineering. supervision at the'constructiotisite'to assure that the completed work conforms with the approved plans and specifications, (3) 'twill include'a covenant in the title of federally funded real property acquired to assure nondiscrimination during the useful life-Of the project, • (4)To the extent FTA requires, it will record the Federal interest in the title to FTA assisted real property or iiiterestsin real property,.and (5)To the extent practicable, without permission and instructions,from FTA, it will not alter the site of the:FTA funded construction project or facilities by: (a) Disposing of the underlying real property or other interest in,the site and facilities, (b) Motlifyi'ng the use of the underlying real property or other interest in the site and facilities, or, (c) Changing.theterms of the underlying real property title or other interest-inrthe,site:arid facilities: ci-It will"furnish•progress reports and other information as,FTA or the State;may,require. 3.;Statutorytand'Regulatoky reijuiremeuts. The Applicant assures that: • 30 • a. It will comply with all applicable Federal statutes relating to nondiscrimination including, but not l i m ited'to the: • • (1) Prohibitions against discrimination on the basis of race,.color, or national origin of Title VI of the Civil.Rights Act, 42 U.S.C. 2000d, (2);Prohibitions:against discrimination on the basis of sex of (a)Title IX'of the Education Amendments of 1972,as amended, 20 U.S.C. 1681 — 1683,and'1685 — 1687, and (b) U.S. DOT regulations, "Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving:Federal Financial Assistance,",49 CFR part 25; (3) Prohibitions against discrimination on the basis of age in federally,assisted programs of the Age Discrimination Act of 1975, as amended,42 U.S.C. 6101 —6107, (4)Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C: 794, which prohibits discrimination on the basis of disability, '(5) Prohibitions against discrimination on the basis of disability of Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, • (6)Nondiscrimination requirements relating to the sales rental, or financing of housing of Title VIII of the Civil Rights Act, 42;U S.C. 3601 et seq., (7) Prohibitions against discrimination on the basis of drug abuse of the Drug,Abuse Office and Treatment Act of 1972, as amended,.21 U.S.C. 1 101 et.seq., (8):Prohibitions against discrimination on the basis of alcohol abuse of the Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, as amended, 42 U.S.C. 4541 et seq., (9) Confidentiality requirements for the records of alcohol and drug abuse patients of the Public Health Service Act, as aniended,42 U.S.C. 290dd —290dd-2, and (I0)Nondiscrimination provisions of any other statute(s) that may apply to the project, b. Regardless of whether Federalfunding has beenprovided.forany of the real propertyacquired'for Project purposes, it will provide for fair;and equitable treatment'of displaced persons or persons whose property is acquired as a result of federall •assisted programs, and: • (I) It has the necessary legal authority under State and local law to comply with: (a)The Uniform,Relocation Assistance and Real Property.AcquisitionrPolicies Act of 1970, as amended, (Uniform Relocation Act)42 U.S.C. 4601 et seq., as specified by sections 210 and 305 of that Act; 42 U.S,C. 4630 and 4655, respectively, and (b)U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 CFR part 24; specifically 49<CFR 24.4. (2) It has complied with or will comply with the Uniform Relocation Act and implementing U.S: DOT regulations including.but not limited to doing the following: (a);Itwilladequately inform each affected person of the benefits, policies, and procedures,provided form•49 CFR part24, . (b)As required by•42 U.S':C. 4622, 4623, and 4624,and 49 CFR part 24, it will provide fair and . reasonable relocation payments and assistance for displacement,resulting from any FTA funded' project, of: 1 Families and individuals, 2 Partnerships, corporations, or associations, (c)As provided by 42 U.S.C. 4625 and 49 CFR part 24, it will provide relocation assistance programs offering the services described in to the U.S. DOT regulations to such 31 • displaced: 1 Families and individuals, 2 Partnerships,corporations, or associations, (d),As;required:by 42 U.S.C. 4625(c)(3), within a reasonable time before displacement it will make available.comparable replacement dwellings to families and individuals, (e)�It willi I Carry out the•relocation process to provide displaced persons with uniform and consistent services, and 2 Make available replacement housing in the same range of choices with respect to such housing to all displaced persons regardless of race,color, religion, or national origin, (f) It will be guided to the=greatest extent practicable under State law, by the real property acquisition policies of 42 U.S.C. 4651 and 4652, (g) It will pay or reimburse property owners for their,necessary expenses as specified in 42 U.S.C. 4653 and 4654, understanding that FTA will provide Federal funding for its eligible costs of providing payments for those.expehses, as required by 42 U.S.C. 4631, (h) It will execute the necessary:implementing amendments to third party contracts and subagreements financed with FTA•funding, and (i) It will execute, furnish, and be bound by such additional documents as FTA may determine necessary to effectuate or,implement these assurances, and 0) It will incorporate these assurances by reference into and make them a part of any third party contract or subagreement, orany amendments thereto, relating to any FTA funded project involving ' relocation or land acquisition, and (k) It will provide in any affected,document,that these relocation and land acquisition provisions must supersede any conflicting provisions, c. to the extent practicable, it will comply'.with the Lead-Based.Paint Poisoning Prevention Act, 42 U.S.C. 4831(6), which'prohibits the use of lead-based paint in the construction or rehabilitation of residence structures, d. It will, to the extent practicable,,complywiththe protections for human subjects involved in research, development, and related activities'supported by Federal funding of • (1)The National Research Act, Pub..L. 93-348, July 12, 1974, as amended,42 U.S.C. 289 el seq... and (2),U.S. DOT regulations, "Protection of Human Subjects,"49 CFR part 11, e. It will to"the extent practicable, comply with the labor standards and protections for federally funded'projects of (11 The Davis-Bacon Act as amended,40 U.S.C. 3141 et seq., (2).Sections 1 and 2',ofthe Copeland'Anti-Kickback" Act, as amended, 18 U.S.C. 874. and 40 U.'SSC. 3145,=respectively, . t. (3)1The Contract Work Hours and Safety Standards Act, as amended, 40 U:S.C.,3701 Viet seq., ..f. It will, to the extent practicable, comply with-any applicable environmental standards thaTmay be prescribedto implement the following Federal laws and executive orders, including but not limited to the:'following: (I) It will comply with the institution of environmental quality control measures under the National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 —4335 and 32 Executive,Order°No. 11514, as amended,42 U.S.C. 4321 mote; • (2) It will comply with notification of violating facilities pursuant to Executive Order No 1 1738,42 U.S.C. 7606 note, (3) It will comply with protection of wetlands pursuant to Executive Order No. 11990, 42 U.S:C:I 4321 note, (4) It will comply with evaluation of flood,hazards in floodplains in accordance with Executive Order No. 11 988, 42 U.S.C. 4321 note, (5)-It will comply with an_assurance of project consistency with the approved State management prograih developed pursuant to the requirements of the Coastal Zone Management Act of 1972,as amended, 16 U.S.C. 145.1 —.1'465, (6)!It will Comply with Conformity of Federal actions to State(Clean Air) Implementation Plans .• under section 176(c) of the Clean Air Act.of 1955, as amended,42 U.S.C. 7401 —7671q, (7) It willcomply with protection.of underground sourceaof drinking water under the Safe Drinking Water Act of 1974,.as:amended, 42 U.S.C. 300f-3003-6,. (8) It will comply with protection of endangered species under the Endangered Species Act of 1973, as amended, 16 U.S.C. 1531 —.1544, and (9) It will comply with environmental protections for Federal transportation programs, including, but not limited to, protections for parks, recreation areas, or wildlife or waterfowl refuges of national, State, or„local significance or any land from a historic site:of national, State,or local significance to be used in transportation project as required by 49 U.S.C. 303(6)and 303(c), (10)it will comply with protection of the components of the national wild and scenic rivers systems, as required under the Wild and Scenic Rivers Act of 1968;as amended,.16 U.S.C. 1271 — 1287, and - (11) It will comply with and facilitate'compliance with (a) Section 106 of the National Historic Preservation Act of 1966, as amended, 16 U.S.C. 470f (b) The Archaeological and Historic Preservation Act of 1974, as amended, 16 U.S.C. 469—469c, and (c) Executive.Order No. 11593 (identification and protection of historic.properties); 16 U.S.C. 470 note,, • g. To theextent practicable, it will comply with Federal requirements for the care, handling,,and treatment of warm blooded`animals held or used for research, teaching, or other activities supported by Federal funding of: (1)The•Animal Welfare Act, as:amended,7 U.S.C. 2131 et seq., and (2) U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR subchapter A, parts I, 2, 3, and 4, h: To theextent practicable, before accepting delivery of any FTA funded building it will obtain a certificate•of compliance with the seismic design and construction requirements of U.S DOTS regulations, "Seismic'Safety,' 49 CFR part 41, specifically 49 CFR 41.117(d), i; To the extent,practicable, it and its subrecipients located in special flood hazardlareaswill comply with;section 102(a)oftlie Flood Disaster Protection Act of 1971 as amended, 42 U.S:C. 40I2a(a), by: (I) Participating in theFederal flood insurance program, (2) Purchasing'flood insurance if the total cost of insurable construction and acquisition 33 • is'$ 0,000 or more, • • j. To the extent practicable. it will comply with: • (1)The Hatch Act, 5 U.S.C. 1501 — 1508, 7324—7326, which limits the political activities of State and local agencies and their officers and employees whose primary employment activities are financed in whole'or part with Federal.funds including a Federal loan, grant agreement, or cooperative agreement,.and (2)49:U.S.C. 5307(k)(2)and23 U.S.C. 142(g), which provide an exception from,Hatch Act restrictions for a.nonsupervisory employee of public transportation system (or of any other agency orr'entity performing related functions) receiving FTA funding to whom the Hatch Act does not otherwise apply,. k. It will have'performed the financial and compliance audits'as required by (1)The Single Audit Act Amendments of 1996, 31 U.S.C'. 7501 et seq., (2) U.S..OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit • Organizations,"Revised, and (3)The most recent applicable U.S'. OMB A-133 Compliance Supplement provisions for the U.S. DOT, and I. It will, to the extent,practicable, comply with all applicable provisions.of all other Federal laws,or regulations, and follow Federal.ditectives governing the project, except to the extent that FTA has expressly approved otherwise in writing. GROUP 02: LOBBYING CERTIFICATION You must select the following certifications in Group 02 if you apply on behalf of your Applicant for a Federal grant or cooperative agreement exceeding 5100,00a or a loan (including a line.of credit), loan guarantee, or loan:insurance exceeding$150,000, except f you are applying on behalf of an Indian tribe, tribal organization, or other Indian organization or if we determine otherwise in writing. As required by 31 U.S.C. 1352 and U.S. DOT regulations', "New Restrictions on Lobbying," specifically 49 CFR 20.110; you and your Applicant understand that: a. The lobbying restrictions of your certification'apply your Applicant's requests for (l)•$100,000 or more in Federal funding for a grant or cooperative agreement,-and • (2)'$150,000 or niore in"Federal funding for a loan, line of credit, or loan guarantee, ' b. Its certification covers the lobbying activities of (1) It, (2)rlts principals, and (3). lts'first tier subrecipietits:' • Therefore, on behalf of your Applicant, you certify to the best of your knowledge+and belief,j,that:. I. No`Federal appropriated funds have been or will be paid by or on its behalf to any person: • a. To influence or attempt.to influence: (1)An officer or employee of any Federal agency, • (2) A Member of Congress, an employee of a member of Congress, or an officer or employee of Congress, b. Regardingthe award of a: (I) Federal grantor'cooperative,agreement, or 34 • (2) Federal loan,fine;of.credit, loan'.guarantee, or loan insurance 2. It will submit,a complete 0MB Standard Form-LLL "Disclosure of Lobbying Activities(Rev. 7- 97)," in accordance with its instructions, if any funds other than Federal appropriated funds have been or will be paid to any person: a. To influence br attempt to influence: (i)Amofficer or employee of any Federal agency, (2).A Member of Congress,.an employee ofa`Member of Congress, or an officer or employee of Congress, or b. Regarding any application for a:, (1) Federal grant or cooperative agreement, (2).Federal loan, line of credit, loan guarantee, or loan insurance, and 3. it will include the language of this certification in the award documents for all subawardsat all tiers including, but not limited to: a. Subcontracts, b. Subgrants, c. Subagreements,and d. Third party contracts upder a: (I) Federal grant or cooperative.agreement, or (2) Federal loan, line of credit, loan guarantee, or loan insurance, and 4. It understands that a. This certification is a material representation of fact that the Federal Government relies on and b. It must submit this certification before the Federal Government may award funding for a transaction covered by 31 U:S.C. 1352„including a: (I) Federal grantor cooperative agreement, or (2) Federal loan, line of credit, loan guarantee, or loan insurance, and 5. It also understands that any person who does not file a required certification will be subject to a civil penalty of not less'than $10,000 and not more than $100,000 for each such failure. GROUP 03. PROCUREMENT COMPLIANCE We requesi'that'you provide the following procurement certification, on behalf of your Applicant by selecting Group 03, especially iifyour Applicant is a State, local, or Indian tribal government with a certified system, as provided in 49 CFR-I8.36(g)(3)(ii). • • The Applicant,certifies that its procurements and procurement system will comply with all applicable Federal laws and regulations in accordance with applicable Federal directives,except to the extent FTA has approved otherwise in writing. , GROUP 04:PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS You must`select the following certifications in Group 04 on behalf of your.Applicant if it is aState, local, or Indian tribal government and you are applying for or will apply for 49 U.S.C. chapter 53 funding to: •Acquire property of a private transit operator, or • Operate public transit in competition with or in addition to a private transit provider. 35 • Asrequired.by 49 U.S.C. 5323(a)(I); the Applicant certifies that 1-. Beforedit: a. Acquiresthe;property or an interest in the property ofa private provider of public transportation; or b: Operates public transportation equipment or facilities: (I) In competition with transportation service provided by an existing public transportation company, or . • • (2) In addition to transportation service provided by an existing public transportation company, 2. Ithas or will have: • a. Determined that the funding is essential to carrying out a program of projects as required by 49 U.S.C. 5303, 5304,.and 5306, b. Provided for the participation of private companies engaged in public transportation to the maximum extent feasible, and c. Paid just compensation under State or local law to the company for any franchise or property acquired. GROUP 05. PUBLIC HEARING You must select the following certifications in Group 05 on behalf of,.your Applicant f you apply fir 49 U.S.0 chapter 53 funding for capital project that will substantially'affect,a community or its transit service. • As required by 49 U.S.C. 5323(b), the Applicant certifies'that: I. Before°submitting'an application for a capital project that: a. W 11 substantially affect: (I) A community, or (2)The public transportation service ofa community, and b. Also will affect: (1):Significant economic interests, (2)`Significantsocial interests„or (3);Significant environmental interests, lt•,will:- (I) Provide an adequate opportunity for public review and comment on the project, after giving notice.that: (a),Includes;a concise description of the proposed project;+and • (b)`Has,been published`;ina newspaper of general circulation in the geographic area the project. (2),Hold a public hearing on the project if the project affects: (a),Significant.economic, interests; (b)ySignificantsocial, interests,,or (c) Significant environmental interests, 2. It will have,considered the economic, social, and environmental effects of the project, and 3. It will have-determined that the project is consistent with official plans for developing the community. 36 • GROUP 06. ACQUISITION OF ROLLING STOCK FOR::USE IN REVENUE SERVICE You must select the following certification on behalf of your Applicant in Group 06 f you apply for' 49 U.S.C. chapter 53 funding to acquire any rolling stock for use in revenue service. The Applicant certifies that in procuring revenue service rolling stock, it will comply with I. Federal'transitdaw,.specifically 49 U.S.C. 5323(m), 2 FTA regulations, "Pre-Award and Post-Delivery'Audits of Rolling Stock Purchases,"49 CFR part 663, specifically 49 CFR 663.7, as modified by amendments authorized by section3023(k)of SAFETEA-LU, including the requirements to: a. Conduct o"r causeto be conducted the required preaward and post delivery reviews, and b. Maintain on file the certifications required by 49 CFR part 663, subparts B, C,and D. GROUP 07. ACQUISITION OF CAPITAL ASSETS BY LEASE You must.select the following certifications in Group 07 if you apply on behalf of your Applicant for 19 U.S.C:chapter 53 fimding•to acquire capital assets by lease. As required by FTA regulations, "Capital;Leases," 49 CFR part 639, specifically 639.15(b)(I) and 639.21, if the Applicant acquires any;capital asset by lease_financed with Federal funding authorized under49 U.S.C. chapter 53;the Applicant certifies as follows: L It will not use Federal funding authorized under 49 U.S.C. chapter 53 to finance the cost of leasing any capital asset until: a. It performs calculations demonstrating that leasing the capital asset would be more cost-effective than purchasing or constructing a.similar asset, and b. It completes these:calculations before the later of: (I) Entering into the lease, or . •(2)•Receiving a capital grant for the asset, and 2. It will notenter intoa capital,lease for which FTA can provide onlyincremental..Federal funding unless it has adequate financial resources to meet its future lease obligations if Federal funding is not available. GROUP 08. BUS TESTING You must the following certification in Group 08 if you apply on behalf of your Applicant for 49 U.S.0 chapter 53 funding to acquire any new or newly configured bus or a-bus with;new,major components. The'Applicant certifies that: • 1. [t will comply with Federal transit law, specifically 49 U.S.C. 5318, • 2. F,TA regulations, "Bus Testing;"49 CFR part 665, specifically 49 CFR 665.7, requires that a. Before: (I)iSpending•any'Federal funds to acquire: (a)The first'bus of any new bus model, (b)°Thefirsf bus with^a new major change in configuration or components, or 37 • (2),Authorizing final acceptance of a new bus model or a,bus_model.with a major change in components or configuration: b: It-will: (I)Ensure that the bus model.has been tested at FTA's bus testing facility, and (2)Have received a copy of the test report prepared on the bus model. GROUP 09. CHARTER SERVICE AGREEMENT You must enter in the Charter Service Agreement in Group 09 on behalf of your Applicant ifyou apply for funding to acquire or operate transit facilities and equipment; unless your Applicant qualifies for an exception underiFederal law and regulations. As required by 49 U.S.C. 5323(d) and(g)and FTA regulations, -Charter Service," 49 CFR part 604, specifically 49 CFR 604.4, the Applicant understands and agrees that: I. Except in certain circumstances described in its,regulations, FTA's "Charter Service" regulations restrict transportation bycharterservice using facilities and equipment acquired by FTA for transportation projects with Federal funding derived from (1) Federal transit laws, 49 U.S.C. chapter 53, or (2) 23 U.S.C. §§ 133 or 142, 2. FTA's charter service restrictions.extend.to: a. The Applicant when it becomes'a recipient of Federal funding under: • (I) Federal transit laws, 49 U.S.C. chapter 53, or • (2)-23 U.S.C. §§ 133 or 142, b. Any third party participant that receives Federal funding derived from: (I) Federal transit laws,49 U.S.C.-chapter 53, or (2) 23 U.S.C. §§ 133 or 142, c. A third party participant includes a: (I).Subrecipient at any tier, (2) Lessee, (3) Third party contractor or subcontractor at any tier, and (4) Other participant in the project, 3. Neither the Applicant nor any third party participant involved in its Project will engage in charter • service operations, except as permitted under: a. Federal transit laws, specifically 49 U.S.C. § 5323(d) and.(g), b. FTA regulations, `Charter Service,"49 C.F.R. Part 604, c. Any other Federal Charter Service regulations. or • d. Federatdirectives, except as FTA determines otherwise in writing. 4.The Applicant agrees that the latest Charter Service Agreement it has selected in its latest annual Certifications and.Assurances is incorporated by reference,in and made part of the underlying Agreement accompanying=an award of FTA funding. . 5. The Applicant agrees that:. • a.FTA may require:.corrective measures or impose remedies omit or any subrecipierit that has engaged in a pattern of violations of FTA's Charter Service regulations by (1):Conducting charter operations prohibited by Federal transit laws and FTA's Charter Service regulations, or 38 (2) Otherwise violating the Applicant's Charter Service Agreement it has elected in its latest annual Certifications and Assurances. b. These'correcti've measures and remedies may include: (I) Barring it or any.third`party participant operating public transportation under the Project that has provided prohibited charter:service from receiving FTA,funds, or (2) Withholding an amount of Federal funds as provided by Appendix D to FTA's Charter Service regulations. GROUP 10.-SCHOOL TRANSPORTATION AGREEMENT You must enter in the School Transportation Agreement in Group 10 on behalf of your Applicant if you apply for funding to acquire or operate transit facilities and equipment, unless your Applicant qualifies for an exception under Federal law and regulations. As required by 49 U.S.0 5323(f) and (g)and FTA regulations, "School Bus Operations," 49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(0 and (g), the Applicant understands and agrees that: I.;FTA's "School Bus.Operations" regulations restrict school bus service,as defined in the FTA regulations using facilities and equipment acquired with Federal funding derived from (1.) Federal,transit;laws, 49 U.S.C. chapter 53, or (2)23 U.S.C. §§ 133 or 142,, 2. FTA's school,bus operations restrictions extend to: a. The Applicant when it becomes a recipient of Federal funding under: (1) Federal transit:laws, 49 U.S:C. chapter 53, or (2)23 U.S:C. §§ 133 or 142, b. Any third party participant that receives Federal funding derived from: (1)'Federal transit laws,49 U.S.C. chapter 53, or (2)23 U.S.C. §§ 133 or 142, c,A third party participant includes a: (1),Subrecipient at any tier, (2) Lessee, (3)Third party'contractor or subcontractor at any tier, and (4) Other participant in the project, 3. Neither the Applicant nor any third party participant involved in its Project will engage in school transportation operations in competition with private operators of school transportation, except as permitted under: Federal.transit laws, specifically 49 U.S.C. § 5323(0 and(g), b.,FTA<regulations, "School Bus Operations,"49 C.F.R. Part 605,to the extent consistent with 49 us.C.§53234)and,(g), c.,Any.other Federal School Transportation regulations, or d Federal directives, except as FTA determines otherwise in writing. 4. The Applicant agrees thafthe latest School Transportation.Agreement it has selected in its latest annual Certifications;and Assurances is incorporated by reference in and made part of the underlying Agreement accompanying an award of FTA funding. • 39 5 The Applicant agrees that'FTA;will bar the Applicant or any third party participant that has violated this School.Transportation Agreement from receiving:Federal transit funding in an amount, FTA cot siders.appropriate. GROUP.11. DEMAND.RESPONSIVE SERVICE You must select the following cer tifcation in Group 11 on behalf of your Applicant if,your Applicant operates.demand'responsive service and you aptly for 49 U.S.C. chapter 53 funding to acquire non rail transit vehicles. As required by U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADM',"49 CFR part 37,specifically 49 CFR 37.77(d), the Applicant certifies that: I. The following public transportation services it offers are equivalent in level and quality-of service: a. Its demand responsive service offered to individuals with disabilities, including individuals who use wheelchairs, b.its service offeredto individuals without disabilities, 2. Viewed`in its entirety. the Applicant's service for individuals with disabilities is a. Provided in the most integrated setting feasible, and b. Equivalent to the service it offers individuals without disabilities with respect to: • (I) Response time, (2) Fares, (3) Geographic service area, (4) Hours and days of service, • (5) Restrictions on trip purpose,. (6) Availability of information:and reservation capability,.and (7)Constraints on capacity or service availability. GROUP 12. ALCOHOL MISUSE AND PROHIBITED DRUG USE You must select the following certification in Group 12 on behalf ofyour Applicant if regulations, 'Prevention ofAlcohol Misuse and Prohibited Drug Use in Transit Operations, " 49 • CFR part 655, require your Applicant to provide a certification concerning its activities to prevent alcohol misuse and prohibited drug use in its public transportation operations. As required'by.FTA•regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit 'Operations,"specifically 49 CFR part 655, subpart I, the Applicant certifies that it I. Has established'and implemented: a:Aii alcohol misuse program and b. An anti=drug,program, and 2 ,Has complied withtir will comply with all applicable requirements of this part. GROUP,13:\-INTEREST.AND OTHER FINANCING COSTS You must,select the following certification in Group 13 if the your Applicant intends to reimburse interest or other financing costs with Urbanized Area Formula Program, Capital Investment 40 • • • • Program, or Paul S. Sarbanes Transit in Parks Program finding. The Applicant certifiesithat: 1. It will not seek reimbursement for interest or other financing costs: -a. Unless it is eligible to receive Federal funding for thosecosts, b: Its records demonstrate that it has used reasonable diligence in seeking the most favorable financing terms underlying those costs, to the extent FTA'May require, and 2: It will comply with: a. Urbanized Area.Formula-Program interest provisions of49 U.S.C. 5307(g)(3), b. Capital Investment Program provisions of U.S.C. 5309(g)(2)(B)(iii), c. Capital Investment Program provisions of49 U.S.C. 5309(g)(3)(B)(iii), d. Capital Investment Program.provisions of 49 U.S.C. 5309(i)(2)(C), and e. Paul S. Sarbanes Transit in Parks Program provisions of 49 U.S.C. 5320(h)(2)(C). GROUP 14. INTELLIGENT TRANSPORTATION SYSTEMS Select the following,assurance in Group 14 if you apply on behalf ofyour Applicant for an Intelligent Transportation Systems (ITS)project or a project in support of an ITS project. An Applicant for ITS project funding that fails to provide this assurance, without providing other documentation assuring its commitment to comply with'applicable Federal ITS standards,and-protocols, may be ineligible for award of Federal funding for that ITS project. As used in this assurance, the term Intelligent Transportation Systems (ITS) project is defined to include any-project that in whole or in part-finances the acquisition of technologies or systems of technologies that provide-or significantly contribute to the provision of one or more ITS user services as defined in the "National ITS Architecture."The Applicant assures that: 1. As provided in subsection 5307(c) of SAFETEA-LU,23 U.S.C. 512 note: a. "Intelligenf transportation system projects carried out using funds made available from the Highway Trust Fund, including funds made'available under this subtitle to deploy intelligent transportation system technologies, [will] conform to the national architecture, applicable-standards or provisional standards, and'protocols'developedunder subsection (a) [of section 5307 of SAFETEA-LU]." b. ITS standards will not apply if it obtains an exception to subsection 5307(c) of SAFETEA-LU, 23 U.S.C. 512 note. - -2. It will use its best efforts to assure that any ITS project it undertakes will not preclude interface with,otherintelligent transportation systems in the Region, if supported with Federal funding not derived from:. a. Title 49, United States Code, or .b. Title 23, United States Code. 3-To_facilitate compliance;with subsection 5307(c)of 23 U.S.C. 512 note, except asthe,Federal 'Government-determines°otherwise in writing, the Applicant assures that;itwill comply with:' a. FTA Notice, `FTA National ITS Architecture Policy on Transit Projects," 66 FR 1455,January 8. 2001, specifically: (I) Applicable provisions of Section V (Regional ITS Architecture, and (2) Section VI (Project Implementation), and b. Other FTA policies that may be issued in connection with any ITS project it undertakes 41 • financed with funds'.authorizedunder'Title;49 or Title 23„United:States Code; GROUP 15..URBANIZED AREA FORMULA PROGRAM You must select the following certifications and assurances in Group 15 if you apply on behalf of, your Applicant for"Urbanized Area Formula Program funding. 49 U.S.C. 5307. Your Applicant'is ultimately responsible for,coMpliance wit/tits certifications and assurances even though a subrecipient, lessee. third partycontractor, or other participant may participate in thatproject, unless-FTA determines otherwise in writing..Consequently,-we strongly encourage your Applicant to take the appropriate measures including, but not liinited.to. obtaining sufficient documentation from each-subrecipient, to assure the validity of all certifications and assurances it has made. Each Applicant is required by 49 USC._5307(d)(1)(J) to spend at least-one (1)percent of its Urbanized Area Formula Program funding for public transportation security projects, Unless it has certified that such expenses are not necessary Information about its intentions must be recorded in the :Security-tab page of the•TEAM-Web "Project Information"window when it submits its • Urbanized Area Formula Program application in TEAM-Web. We may not award Urbanized Area Formula Program funding to any Applicant that is required by • d9 U.S.C. 5307(d)(1)(K) to'spend.one (1)percent of its Urbanized Area Formula Program funding for eligible transit enhancements unless its quarterly report forthe fourth.quarter of the preceding Federal.fiscal year has;been;submitted to FTA and includes the required list or sufficient ii formation to demonstrate that,the Designated Recipients in its area together have spent one,(1)percentt of the amount of Urbanized Arca Pro gram funding made available to them for transit enhancement projects or have included the same-information in a separate-report attached in TEAM-Web. The following certifications,apply to each Applicant for funding tinder the Urbanized Area Formula Program authorized under 49 U.S:C. 5307: The Applicant_certifies that 1. As required'liy 49 U.S.C.5307(d)(I)(A), it has or will have the: a. Legal capacity to carry ouf its proposed projects, b. Financial capacity to carryout its proposed projects, c.Technical capacity to carry out its;proposedprojects, d. Safety`aspects.of its proposed projects, and e. Security aspects of its proposed projects, • 2. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have satisfactory continuing control over the use of project equipment and facilities, 3,As required by 49 U.S.C. 5307 (d)(I)(C), it will maintain the project equipment and facilities adequately,. 4: As requiredby.49 U.S.C. 5307(d)(I)(D), it will ensure that the=following,individuals:.willbe charged not more fifty(50) percent of the peak hour tare for transportation during non-peak hours'using or involving project facilities or equipment supported unde •49 U.S:C. 5307: a. Elderly individuals, b. Individuals With disabilities, or • c. Individuals presenting a Medicare card issued to himself or herself pursuant to title II or 42 • title XVIII of the Social SecurityAct(42 U.S.C. 401 et seg. or.4211.S.C. 1395 et seq.),, 5. As required by'49 U.S.C. 5307(d)(l)(E), when-carrying out a procurement under 49 U.S.0._5307;, it will: a. Use competitive procurement (as defined or approved by FTA), b. Not use exclusionary or discriminatory specifications in its procurements, • c. Comply with applicable Buy America laws, and d. Comply with the: (I)General provisions for FTA programs of 49.U.S.C. 5323, and (2)Third party procurement requirements of 49 U.S'.C. 5325, 6. As required by 49 U.S.C.•5307(d)(I)(F), it has complied with or will comply with 49 U.S.C. 5307(c) because it: a. Has informed or will inform the public of the amounts of its Urbanized Area Formula Program fundssavailable under 49 U:SiC. 5307yand the projects it proposestto undertake, b. Has developed or will develop, in consultation with interested parties including private transportation providers, the projects proposed to be funded„ c. Has published or will publish alist of its projects in a way that affected citizens,private transportation providers, and local elected,officials will have an,opportunityto examine and submit comments on the proposed projects and its,performance, d. Has.provided orwill.provide an opportunity for a public hearing,to'obtain the views of citizens on the proposed projects, e. Has assured or will assure that the proposed projects provide for coordination of transportation services assisted under 49 U:S.C. 5336 with federally assisted transportation services supported by a Federal Government source.otherthan U.S. DOT, f. Has considered or will,consider'the comments and views received, especially those of private transportation providers, in preparing its final list of projects,'and g. Has made or will make the final list of projects available to the public, 7. As required by 49 U.S.C. 5307(d)(I)(G)„it: a.:Has or will have the amount of funds'required for the local share, b. Will'provide the local share funds from approved non-Federal sources except as permitted by Federal:law,and c. Willprov_ide the Ideal share funds when needed, 8. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with: a The requirements'of 49 D.S.C. 5301(a) for public transportation system_ s that (I)•Maximize the safe, secure; and efficient mobility of people, (2)Minimize:environmental impacts; and (3) Minimize,transportation-related fuel consumption and reliance on foreign oil, b. Tlie requirements•of49 U.S.C. 5301(d) for special efforts to: • (I) Design.publictransportation for elderly individuals and-individuals with disabilities,:and. (2) Provide:public transportation for elderly individuals and'individualswnth disabilities, and c. The requirements of49'U.S.C. 5303 —5306 for: (I),Metropolitan;and State Planning, and (2) Private enterpriseparticipation, 9. As required by49.U,S.C'. 5307(d)(l)(I), it has a locally developed process to solicit and consider public comment before:. 43 • a. Rai'sing;a'fare, or �b..lmplementingca major reduction of public transportation, 10. As required by 49:U.S.C. 5307(d)(1)(J), if it serves an urbanized area with a population of at least 200,000: a. Each fiscal year, it will spend at least one (1) percent of its 49 U.S.C. 5307 funding for public transportation;security`projects(limited to capital projects in the case of an Applicant serving an urbanized area with a,population of 200,000 or more), or b. That fiscal year, it will certify that such expenses for transportation security projects are not necessary, c. Public transportation security projects include: (I) lnereased lighting-in or-adjacent to a public transportation system (including bus stops, subway stations, parking lots,and garages), (2)Increased camera surveillance of an area in or adjacent to that system, (3) Emergency telephone line or lines to contact law enforcement or security personnel in an area in or adjacent to that system, and (4) Any other project intended to increase the security and safety of an existing or planned public transportation, and 11. As required by 49 U.S.G. 5307(d)(l)(K), if it serves an urbanized area with a population of at least 200,000: a. Each fiscal year, it or all the Recipients of 49 U.S.C. 5307 funding in its urbanized area will spend at least,one (I) percent of that funding for transit enhancements, as defined in 49 U.S.C. 5302(a), b. It will include in its quarterly report for the fourth quarter of the preceding Federal fiscal year a list of the projects during that Federal fiscal,year using those 49 U.S.C. 5307 funds, and c. The report of its transit enhancement projects is or will be incorporated by reference and made part of its certifications and assurances. GROUP 16. CLEAN FUELS GRANT PROGRAM You must select the following certifications and assurances in Group 16 if you apply on behalf of your Applicant for Clean Fuels Grant Program funding, 49 U.S.C. 5308. Your Applicant itself is ultimately responsible for compliance with its certifications and assurances even though.a • subrecipient, lessee, third party contractor, or other participant may participate in that project, unless.FM determines otherwise in writing. Consequently: we strongly encourage your Applicant to takethe appropriate measures including, but not limited to. obtaining sufficient documentation from each subrecipient, to assure the validity of all certifications and assurances it has made. The following certifications apply to each Applicant for funding under the Clean Fuels Grant Program authorized under 49 U.S.C. 5308: 'I. Asp required by:FTA regulations, "Clean Fuels Grant Program, 49 CFR part 624, specifically,49 CFR 624.7, the Applicant certifies it will operate vehicles purchased with Federal funding provided under theClemr Fuels Grant Program, 49 U.S.C. 5308 only with clean fuels. 2. Under 49 U.S.C. 5308(d)(1), the requirements of 49 U.S.C.5307 apply to the Clean•Fuels Grant Program. To comply with those requirements, as specified under-49 U.S.C. 5307(d)(1), the Applicant certifies that: • • • 44 • a, As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the: (1)Legal capacity to carry-out<its proposed projects, (2)FinanciaLcapacity to carry out its proposed projects, (3)Technical capacity to carry out its proposed projects, (4):Safety aspects of its proposed projects,and (5):Security'aspects of its proposed projects, b. As'required`by 49 U.S.C. 5307(d)(t)(B), it has or will have satisfactory continuing control over the use of project equipment and facilities; c. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the project equipment and facilities adequately, d..As required by49 U.S.C..5307(d)(1)(D),.it will ensure that the following individuals will be charged not more than fifty(50) percent of the peak hour fare for transportation during non-peak.. hours using or involving project facilities or equipment supported under 49 U.S.C. 5308: (l) Elderly individuals; (2) Individuals with-disabilities, or (3) Individuals presenting'a Medicare card issued to himself or herself pursuant to title II or title XVIII of the Social Security Act'(42 U.S.C. 4W et,seg. or 42 U.S.C. 1395,et seq.),. e. Asrequired by 49 U.S.C. 5307(d)(I)(E),when carrying out a procurement under 49 U.S.C. 5308, it will: (1) Use competitive procurement(as defined or approved by FTA), (2)Not use exclusionary:or discriminatory specifications in its procurements, (3)Comply with applicable Buy America laws, and (4)Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and (5)Comply with the third party procurement requirements of 49 U.S.C. 5325, f. As_required by 49 U.S.C. 5307(d)(1)(F), it has complied with or will comply with 49 U.S.C. 5307(c) because it: (1) Has informed or will inform the public of the amounts of its Clean Fuels Grant Program funds available under 49 U.S.C. 5308, and the projects it proposes to undertake, (2) Has developed or will develop, in consultation with interested parties including private transportation providers, the projects proposed to be funded, (3) Has,published or will publish a list of its projects in a way that affected citizens, private transportation providers, and local elected officials will have an opportunity to examine and submit comments on the proposed projects and`its performance, (4) Has prodidedbor will provide an opportunity for a public hearing to obtain the views of citizens on theproposed projects, (5) Flas;assured or will assure that the proposed projects provide for;coordination of transportation' services assisted under:49 U.S.C. 5336 with federally assisted transportation services supported by a Federal,goyernmentsource other than U.S. DOT, (6) Has Considered Or will consider the comments and views:received, especiallythoseof private transportation providers, in preparing its final list of projects, and (7) Has made;orwill make the final list of projects available to the public, g. As required by 49 U.S.C. 5307(d)(1)(G), it: (I) Has or will have the amount of funds required for the local share; (2) Will provide thefocal share hinds from approved non-Federal sources except as permitted by Federal law,and . (3) Will provide the local share funds when needed, 45 h. AS equired by 49 U.S.C. 530,7(d)(1)(14), it will comply with: (1)Therrequirements of 49 U.S.Ct.5301(a) for public transportation systems that (a):Maxiinize the safe,,secure, and efficient:inobility of people, (b) Minimize,environmental impacts, and (c).Mininiizetransportation-related fuel consumption and.reliance on foreign oil, (2)The,requirements of 49 U:S.C. 5301(d) for special efforts to: (a) Design publidtransportation for elderly individuals and individuals with disabilities, and (l) Provide.public transportation for elderly individuals and individuals:with disabilities, and (3)The requirements of 49 U.S.C. 5303 —5306`for: (a) Metropolitan and'State Planning, and. (b) Private enterprise,partieipation, and i. As required by 49 U.S.C. 5307(d)(I)(I), it has a locally developed process to solicit and consider public comment before: (I)Raising.a fare,or (2).hiiplementing amajorreduction of public transportation. GROUP 17: ELDERLY'INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES FORMULA GRANT PROGRAM AND PILOT PROGRAM You must.select'the following certifications and assurances in Group 17°ify_ou apply on behalf of yourState or State organization as the direct Applicant for Elderly Individuals and Individuals with Disabilities Formula Grant`Program funding 49 US C. 5310, and,,,if qualified,for Elderly Individuals.and Individuals with.Disabilities Pilot Program funding,subsection 3012(b) of SAFETEA-LU Only a State or'a State organization acting as the Recipient on behalf of a Stale may be a direct recipient of[his funding. Your State or State oganizatiori:Applicant is ultimately responsible for-compliance with,its certifications and assurances even,though'a subrecipient, lessee; thirdpartgcontract-Or, or other participant n y participate in that project. unless ETA determines otherwise in writing Consequently, we strongly encourage your'State or State organization Applicdntto take the appropriate measures including, but not limited to, obtaining sufficient documentation from each subrecipient, to assure the validity of all cert fcutions and assurances it has:made. The following certifications and assiirancesapply to each State.or State organization serving as Applicant for funding,and each subrecipient of funding under the Elderly Individuals and Individuals • with Disabilities Formula Grant Program authorized under 49'U.S.C. 5310„and the Elderly ' Individuals_and Ind ividuals with Disabilities PilotProgramauthorizediunder subsection 3012(b)of S'A'FETEA-LU.. I. The State or State organization Applicant assures that: a: Each subrecipientis;, (I) Recognized under'State law as a privateinonprofit organization with the.legal capability to contract-with the State to,carry out the proposed project, or (2) A public body that has met the statutory requirements to receive Federal funding authorized for 49 U.S.C. 5310, b. The State or Stateorganization Applicant can conclude from information in a private 46 nonprofit subrecipient''s application for 49 U.S.C. 5310 fundingthat:.: (I)The transit service provided or offeredto be provided by.existing public or private transit operators'cannot meet the special needs of elderly individuals and individuals with disabilities, because'it is: (a)`UnEVai lab le, • (b),Instifficient, or (c) Inappropriate, • c. As required by 49 U.S.C. 5310(d)(2)(A) and subsection 3012(6)(2)of SAFETEA-LU, the State certifies'that,.before it transfers funds to a project funded':under 49 U.S.C. 5336, the project has been or will have been coordinated with private nonprofit providers of services under 49 U.S.C. 5310, d:As required by 49 U.S.C. 5310(d)(2)(C),the Applicant tertifies'that allocations to subrecipients 49 U.S.C. 5310 funding or subsection 3012(6) funding will be distributed on a fair and equitable basis, and e.As required by U.S.C. 5310(d)(2)(B) and subsection 3012(b)(2)of the Applicant certifies that: (1)The projects it has selected or will select for funding under that-program were derived from a public transit-human services transportation plan that has;been: (a).Locally developed, and (b) Coordinated, and (2) That locally developed coordinated plan was produced through a process that included: (a) Representatives of public, private, and nonprofit transportation providers, (6) Representatives of public, private,and nonprofit human services providers, and (c) Participation by the public. 2. As permitted by49 U.S.C.5310(d), the Federal Transit Administrator has selected certain requirements of 49 U.S.C.5307 t6 be appropriate for the Elderly Individuals and Individuals with Disabilities Formula Grant Program authorized by 49 U.S.C. 5310, and the Elderly Individuals and . Individuals with Disabilities Pilot Program authorized by subsection 3012(6) of SAFETEA-LU, 49 -U.S.C. 53.10 note, of which some require certifications. Therefore,as specified under 49 U.S.C. 5307(d)(1), theState or State organization Applicant certifies that: a:;As required by 49 U.S.C, 5307(d)(I)(A), it and each subrecipient has or will have the (1):Legal capacity to carry out-its proposed projects, (2) Financial capacity to carry out its proposed projects,' (3)Technical capacityto carry out it ;proposed projects, (4) Safety aspects of its proposed projects, and (5) Security'aspectsof its proposed projects, b.As required liyr49'.U.S.C'. 5307(d)(1)(B), it and each subrecipient has,or will have satisfactory continuing control over the.use of project equipment and facilities, c:,As required by49 U.S.C. 5307(d)(1)(C), it and each subrecipient will maintain`the project equipment andfacilities adequately, d. As required by 49 U.S.C.,5307(d)(I)(E), when carrying out a procurement under the Elderly Individuals and Individuals with'Disabilities Formula Grant Program authorized by 49 U.S.C. 5310, or the Elderly Individuals and Individuals with Disabilities Pilot Program authorized by subsection 3012(b)of-SAFETEA-LU,.49 U.S.C. 5310 note, it and each subrecipient will: 47 • (I) Use competitive procurement(assdefinedor-approved by FTA), (2)Not'use:''exclusionary or discriminatory specifications:in'its procurements, • (3)Comply with-applicable Buy America laws, and (4)'Comply with the general provisions for FTA programs of49 U.S.C. 5323, and -(5)'Comply with the third party procurement requirements of 49 U.S.C. 5325, • e. As required by 49 U.S.C. 5307(d)(1)(G), it and each subrecipient: (1) Has or will`have,the amount of funds required for the local share, (a) As required by 49 U.S.C. 5310(c), and (b):Subsections 3012(b)(3)'and,(4),of SAFETEA-LU, if applicable, (2) Will.'provide the local share funds from approved non-Federal sources except as,permitted by Federal,law, and (3) Will provide the local share funds when needed, and f.As required by 49 U.S.C. 5307(d)(1)(H), it and each;subrecipient,will comply with (1)The requirements of49'U.S:C. 5301(a) for public transportation systems that (a).MaSiinize the safe,secure, and efficient-mobility df people, (b) Minim izeenvironmental'impacts, and (c) Minimize transportation-related fuel consumption and reliance on foreign oil, (2)The requirements.of 49 U.S.C. 5301(d) for special efforts to: (a) Design public transportation for elderly individuals and individuals,with disabilities,and (by Provide-public transportation for elderly individuals and individuals with disabilities, and (3)The requirements,of 49 U.S.C. 5303 — 5306 for: (a) Metropolitan and State;Planning, and (b) Private enterprise participation. GROUP 18. NONURBANIZED AREA FORMULA PROGRAM FOR STATES You must select thefollowing certifications and assurances in Group 18 if you apply on be ha/f of your.Applicant for Nonurban'ized Area Formula Program funding; 49 U.S.C. 5311(b). Your Applicant itsef is ultimately responsible for compliance with its certifications and assurances even though a subr_ec'ipient, lessee;`third party,contractor, or, other participant may participate in.that project. unless.FTA*deterntines.-otherwise in writing. Consequently we strongly encourage your Applicant to take the appropriate measures including but not limited'to obtaining_sufficient documentation from each subrecipient,'to assure the validity of all certifications antiassnrances it has made. - • Only a State or a State organization acting as the,Recipient on behalf of a State (State) maybe a direct recipient:of this Nonurbanized Area Formula Program funding. Separate certifications;and assurances have beemestablished.in Group 22 for an,Indian tribe that is an AppliccnitforTribal .Transit Migrant funding, 49,US_C 5311(c)(1). The following certifications and assurances apply to each State-or State organization-serving-as the ._ Applicant for funding under the Nonurbanized.Area Formula Program authorized under 49 U.S.C. 5311. The.Applicant assures that: 1. It has or will have the necessary legal, financial, and managerial capability to: • 48 a•Apply,,receive and disburse'49 J.S.C. 5311(c)(1)funding, and. .b.Carryout each project, including the (I) Safety aspects of its proposed projects, and (2) Security aspects of its proposed projects, 2. It-has will-have satisfactory continuing control over the use of project equipment and facilities;, 3. The project equipment and facilities will be adequately maintained, 4.-As'required by 49 U.S`C. 531 I(b)(2)(C)(i), its program has,provided for a fair distribution of Federal funding:authorized.for 49 U.S.C. 5311 within the State, including Indian reservations within the State,, 5. As,required by-49 U.S.C. 531 l(b)(2)(C)(ii), its program provides or will provide the maximum feasible ceordination'ofpublie transportation service to receive funding-under 49 U.S.C. 531 I with transportation service assisted by other Federal sources, 6.The projects in its Nonurbanized Area Formula Program are included in: a. The Statewide Transportation Improvement Program, and b. To,the extent-applicable, a.metropolitan Transportation Improvement Program, • 7. It has or will have the amount of funds required for the local share, as required by 49 U.S.C. 5311(g), and (2) Will provide the local share funds from approved non-Federal sources except as permitted by Federal law, and (3) Will provide the local share funds when needed, and 8. As required by 49 U.S.C. 53 11(t), each fiscal year: a. It will spend at least fifteen (15) percent of its 49 U.S.C..531 1 funding available that fiscal year to develop and support intercity bus transportation within the State, with eligible activities including: (1) Planning and marketing for intercity bus transportation, (2)Capital grants for,intercity bus shelters, (3)Joint-use stops and•depots, (4)Operating grants through purchase-of-service agreements, user-side,subsidies, and demonstration projects, and (5) Coordinating rural connections between small public transportation operations and intercity bus carriers, or b. It will provide to the Federal Transit Administrator a certification of the State's chief executive officer that: (I) Aftar,consulting with the affected intercity bus service providers about the intercity bus needs of • the State;. (2) file State's intercity bus service needs are being met adequately. GROUP 19.JOB>ACCESS AND REVERSE COMMUTE (JARC) FORMULA GRANT PROGRAM . You must select the following certifications and assurances in Group l9 if you apply,.-on behalf of • . your Applicant for Job Access and Reverse Commute (JARC) Formula Grant funding, 49 U.S.0 5316..Your Applicant is'ultimately responsible for compliance with its certifications and assurances even though a•subrecipient, lessee, third party contractor or other participant may participate in • that project, unless FTA determines otherwise in writing. Consequently, we 49 'strongly encourage your Applicant to take the appropriate measures''including, but not limited to, obtaining-"sufficient documentation from each subrecipient, to assure the validity of all certiifications and assurances it has made. The.following certifications and assurances apply to each Applicant for and subrecipient of funding under the Job Access and Reverse Commute(JARC) Formula Grant funding authorized under 49 3.S.C.•5316. I.The Applicant certifies that: a. As"required by 49 U.S.C. 5316(d)(4), it will make awards of JARC funding on a competitive basis following: (1) An areawide solicitation in cooperation with the appropriate metropolitan planning organization for applications for funding under5316(c)(I)(A)(see 49 U.S.C. 5316(d)(I)), and (2) Aatatewide solicitation for applications for JARC funding under 49 U.S.C. 53.16(c)(I)(B)or 49 U.S.C:-53I6(c)(I)(C), (see 49 U.S.C. 5316(d)(2)) and b. As required by 49 U.S.C. 5316(f)(2),,any allocations to.subrecipients of funding authorized under 49 U.S.C. 5316 will be distributed on-a fair and equitable basis, c. As required by 49 U.S.C. 5316(g)(3): (l)'The projects it has selected or will select for funding under that program were derived from a public transit-human services transportation plan that has been (a) Locally developed, and (b)'Coordinated, (2)That locally developed, coordinated plan was produced through a process that included: (a),Representatives of public, private, and nonprofit transportation'providers, • (b) Representatives of public, private,and nonprofit human services providers, and (c) Participation by the public, and d. As required.by.49'U.S.C. 5316(g)(2), before it transfers funds.to-a project funded under 49 U.S.C. 5336, that project has been or will have been coordinated with private nonprofit providers of services, and e. As required by 49 U.S.C. 5316(c)(3), before using funds apportioned for projects serving an area other than that for which finding was apportioned under 49 U'.S:C. 53 l'6(c)(I)(B)or(C): (I)The State's chief executive officer, or his or her designee, will have certified that all the JARC 'program objectives of49U.S.C. 5316 are being met in the area from-which the funding'would be derived, • • (2) Ifthe State-has.a statewide program for meeting the JARC program objectives of 49 U.S.C. 5316, the fundscan be used,for projects anywhere in the State. 2.,Under4911iS.C. 5316(f)(1), the requirements of 49 U.S.C. 5307 apply to the JARC,Program, authorized under 49 U.S.C. 5316. Therefore, as specified under 49 U.S.C. 5307(d)(I.), the Applicant ceitifiesthat a. As required by.49'U'.S.C. 530,7(d)(I)(A), it and each subrecipient has Or will have the: (1) Legal capacity to carry out its proposed.projects, (2) Financial capacity tip carry out its proposed projects, (3) Technical capacity to carry out its proposed projects, • (4) Safety aspects of its proposed projects, and (5) Security aspects of its proposed projects, 50 b. As required by 49 U.S.C. 5307(d)(1)(B), it and eachsubrecipienthas or will have satisfactory continuing control over the use of project equipment and facilities, a.-Ass required by 49 U.S.C. 5307(d)(I)(C), it and each subrecipient will maintain the project equipment and facilities adequately, d As required by 49 U.S.C. 5307(d)(I)(D), it and each subrecipient will ensure that the following, individuals will be charged not more than fifty(50) percent`ofthe peak hour fare for transportation during non-peak hours using-or involving.project facilities or equipment supported under 49 U.S.C. 5316:' (1) Elderly individuals, (2) Individuals with disabilities, or (3) Individuals presenting a Medicare card issued to himself or herself pursuant to title I I or title XVIII of the Social Security Act,(42 U.S.C. 401 et seq. or42 U.S.C. 1395 et seq.), e. As required.by 49 UIS.C. 5307(d)(I)(E), when carrying out a procurement under the JARC Program;/49 U.S.C. 5316, it will: (1) Use competitive procurement(as defined or approved by FTA), (2)Not use exclusionary or discriminatory specifications in its procurements, (3)'Coniply with applicable Buy/America laws, (4)Comply.with the general provisions for FTA programs of 49 U.S.C. 5323,and (5)Comply with the third party procurement requirements of 49 U.S.C. 5325, •f. As/required by 49 U,;S.C. 5307(d)(l)(F), it and each subrecipient has complied with or will comply with.49'U.S.C. 5307(c) because it: (1) Has informed or will inform,the public of the amount of its JARC Program funds available under 49.U.S:C. 5316, and the projects itproposes to undertake, (2) Has developed or will develop, in consultation with interested parties including private transportation providers;,the projects proposed to be funded, (3) Has published or will publish a list of its projects in a way thataffecte_d citizens, private •transportation providers, and local elected officials Will have an opportunity to examine and submit comments:on the proposed projects and its performance, (4) Has provided or will provide an opportunity for a public hearing to obtain the views of citizens on the proposed projects, (5) Has assured or will assure that the-proposed projects provide for coordination of transportation services assisted under 49 U.S.C. 5336 with federally assisted transportation services supported by a Federal governmentsource other than U.S. DOT, (6) Has considered or will consider the comments and views received, especially those of private transportation providers„in preparing its final list of projects, and (7).Has made:or,will make,the final list of projects available to the public, g.,As required by 49 U.S.C. 5307(d)(I)(G), it and each subrecipient: 0I):Has orv'will have?the amount of funds required for the local share, (2)l Will provide the local share funds from approved non=Federal sources except as permitted by Federal law,.and (3) Will provide the local share funds when needed, h. As required by 49 U.S.C. 5307(d)(I)(H), it and each subrecipient will comply with: (1)The requirements of 49 U.S.C. 5301(a) for public transportation systems that: (a) Maximizethe safe, secure, and efficient mobility of people, (b) Minimize environmental impacts, and. (c) Minimize transportation-related fuel consumption and reliance on foreign oil, 51 • . • (2):The,requiremeiits,of49 U.S.C. 5301(d)Afor special efforts;;to . (a) Design public.transportation for elderly individuals;and individuals with disabilities, and (b) Provide,public transportation for elderly individuals and individuals with disabilities, and (3)The requirements,of 49 U:S.C.,5303 —5306 for: (a) Metropolitan and State Planning, and (b);Private enterprise participation,and • i. As required by 49 U.S.C. 5307(d)(1)(1), it and each,subrecipient has a locally developed process to • solicit and consider public comm ent before: (1) Raising a fare, or" (2) Implementing a•major reduction of public transportation. ;GROUP 20. NEW FREEDOM PROGRAM You must select the following certifications and assurances in Group 10 if you apply on behalf of your.Applicant for New Freedom Program funding, 49 U.S.C. 5317. Your Applicant is ultimately responsible for compliance its,certifications and assurances even though a subrecipient; lessee, third party contractor, or other participant may participate in thatproject, unless FTA,determines otherwise in writing. Consequently we strongly encourage your Applicant to take the appropriate measures including, but notdiniited to, obtaining sufficient documentation from each subrecipient, to assure the ivalidity of all certifications and assurances it has made. • 1. The Applicant certifies that: a..As'required by 49 U.S,C. 531;7(d)(4), it will make awards of New Freedom funding on a competitive basis following: (1) An areawide solicitation in cooperation with the appropriate metropolitan planning organization for applications for funding under 5317(c)(I)(A)(see 49 U.S.C. 5317(d)(1)), and (2)A statewide solicitation for applications for JARC funding under 49 U.S.C. 5317(c)(l)(B) or 49 U:S:C. 53 17(c)(I)(C), (see 49 U.S.C. 5317(d)(2)), • b: As required by 49 U.S.C. 531`7(e)(2), any allocations to subrecipients of funding authorized under 49'U:S.C. 5317 will'be distributed on a fair and equitable basis, d. As required by 49.U.S.C. 531.7(1)(3): (I)•The,projects it.has selected or will select for funding under that program were derived from.a public'transit-human services transportation plan that has been (a),Locally and (b);Coordinated, (2)'Thatlocally developed, coordinated plan was produced through a process that included: (a)Representatives of public, private,,and nonprofit transportation providers, (l)Representativesofhuman services public, private, and nonprofit providers, and (c) Participation by the public, and d', As required by 49U.S,C.'53'16(0(2), before it transfers funds to a project funded under 49 U.S.C: 5336,.that project has been or will have been coordinated with private nonprofit providers of services. 52 2. As permitted by 49 U.S.C..5317(e)(1), the:Federal Transit AUrnini'strator hasselected certain requirements of 49 U.S.C. 5310 and 49 U:S.C.5307 to be;appropriate for the New Freedom Program, of whicli.some require certifications. Therefore, as specified under 49 U.S.C. 5307(d)(I),the Applicant certifies'that: a. As required.by 49 U.S.C. 5307(d)(1)(A), it each subrecipient has or will have the: (I)Legal capacity to.carry out its proposed projects, (2)•Financial.capacity to carry out its proposed projects, (3)Technical capacity to carry out its proposed projects, (4)Safety aspects of its proposed projects, and (5) Security aspects of its proposed projects, b. As required by 49 U.S.C. 5307(d)(I)(13), it and each subrecipient has or will have satisfactory continuing control over the use of project equipment and facilities, c. As required,by 49 U.S.C. 5307(d)(I)(C), it and each subrecipient will maintain the project equipment and facilities adequately; d. As required by 49 U.S.C. 5307(d)(I)(E), when carrying out a procurement under the New Freedom Program authorized by 49 U.S.C. 5317, it and each subrecipientwill: (1) Use competitive procurement(as defined or,approved by FTA), (2).Not,use exclusionary or discriminatory specifications in its procurements, (3) Comply with applicable'Buy America laws, and (4)'Comply withrthe general provisions for FTA programs of 49 U.S.C. 5323, and (5)'Comply'with the third party procurement requirements,of 49 U.S.C. 5325, • e..ASrequired by'49 U.S.C..5307(d)(I)(G), it and each subrecipient: (t) Has or will'have the amount of funds required for the local share, (2) Will provide the local share funds"from approved non-Federal sources except as permitted by Federal law,and (3) Will provide•the local shire funds when needed, and f. As:required.by.49 U.S.C. 5307(d)(I)(H), it will comply with: (I)The requirements of49 U.S.C. 5301(a) for public transportation systems that: (a).Maximize the,safe,:secure, and efficient mobility of people, (b) Minimize environmental impacts, and (c)Minimize transportation-related fuel consumption and reliance on foreign oil, (2)"The;requirements'of49 U.S.C..5301(d) for speèial efforts to: (a) Design public transportation for elderly individuals and individuals with disabilities, and • (b) Provide public transportation for elderly individuals and individuals with disabilities, and (3)The requirements of 49 U.S.0 •5303 —'5306 for: (a) Metropolitan:and State Planning, and • (b);Private-enterprise:participation. GROUP 21: PAUL S. SARBANES TRANSIT IN PARKS,PROGRAM You must select the following certifications and assurances in Group 21 if you apply on'b'eha f of your Applicant for Paul S. Sarbanes Transit in Parks Program (Parks Program)funding. 49 U.S.C. 5320. 53 • • The following certifications-apply to each Applicant for:funding;underthe Paul S. Sarbanes Transit in Parks Program':(Parks,Progranl)authorized under 49 U.S.C. 5320: .• .1. As required by 491U.S.C.-5320(e)(D),the Applicant assures,that it will consult with the • appropriate Federal land management agency during the planning process. 2.As.permitted by 49•U.S.C. 53200), the:Federal Transit Administrator has selected certain requirements of 49 U.S.C. 5307 to be appropriate for the Parks Program, of which some require • certifications. Therefore as specified under 49 U.S.C.,5307(d)(I), the Applicant certifies that a: As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the • (.1)'Legal capacity to carry omits proposed projects, (2) Financial capacity to carry out its°proposed projects, (3) Technical capacity carry to carout its proposed'projects, (4)2Safety aspects of its proposed projects, and (5)Security aspects of its proposed projects, b. As required by 49 U.S.C.;5307(d)(I)(B), it has or will}lave satisfactory continuing control over the use of project equipment and facilities,. c. As required by 49 U.S.C..5307(d)(l)(C), it will maintain the project equipment and facilities adequately, d. As required by 49 U.S.C. 5307(d)(I)(E), when carrying out procurement under the Parks Program, 49 U.S.C. 5320, it will: (1) Use competitive procurement(as defined or approvedby FTA), (2)Not use exclusionary or discriminatory specifications in its procurements, • (3),Comply with applicable Buy,America laws, and (4)Comply with the general pro visions.for.FTA programs of 49 U.S:C. 5323, and (5)Comply with the third party procurement requirements of 49 U.S.C. 5325, e. As required by 49,U.S.C..5307(d)(I)(F)."and 49 U.S.C. 5320(e)(2)(C), it has complied with or will •comply with the requirements of49.U.S.C. 5307(c). Specifically, it: (1) Has made available, or will',make available,to the public information on the amounts available for the Parks Program;;49 U.S.C. 5320, and the•projects it proposes to undertake, (2) Has•developed o •will develop, in consultation with interested parties including private transportation providers,projects to,be•financed, '(3) Has published or will publish,a list of proposed projects in away`that affected citizens, private transportation providers, and local elected'otticials have the,opportunity to examine the proposed projects and submit comments on the proposed projects and the performance of the Applicant, (4) Has provided or will provide an opportunity for a public hearing to obtain the•views of citizens on the,proposed projects. • (5) I-las considered or will consider the comments and views received especially those of private • transportation,providers, in preparing its final list of projects, and (6) Has made or will make•the?final list of projects available to the public, • f. A"s-required by49 U.S.C. 5307(d)(l)(G), it: • (I) Has or will have the amount of funds required for the local share, (2) Will provide the local funds from approved non-Federal sources except as permitted by Federal law, and (3) Will provide the local,share funds when needed, g. As required by 49 U.S.C.-530.7(d)(I)(H), it will comply with: (I)The requirements'of'49 U.S.C. 53-01(a) for public transportation systems;that: 54 (a) Maximize the safe, secure, and,efficient.mobility of people, (b) Minimize environmental impacts, and (c) Minimize transportation-related fuel consumption'aiidreliance on foreign oil, (2)The requirements of 49 U.S.C. 5301(d) for special efforts to: (a) Design public transportation for elderly individuals and individuals with disabilities;.and • (by provide for elderly individuals with disabilities, and (3)The requirements of 49 U.S.C. 5303 —5306 for: (a)Metropolitan and State Planning,.and (h) Private enterprise participation, and h. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally developed process to solici •and consider • public comment before: (I)°Raising a°fare, or • (2)Implementing a major reduction of public transportation. GROUP 22. TRIBAL TRANSIT PROGRAM You must select the following certifications and assurances in.Group'22 if you apply on behalf of your Applicant for Tribal Transit Program funds, 49 U.S.C. 5311(c)(4 As permitted by49 U.S.C..531 l(c)(1)theFederal Transit Admiiiistrator has established terms and conditions for direct grants funded under FTA's Tribal Transit Program authorized under 49 U.S.C. 5311(c)(1)for Indian tribal governments. To ensure compliance with those requirements, the Indian tribal government serving as;the Applicant certifies and assures that: 1. It has or will have the necessary legal, financial, and.managerial capability to: a. Apply, receive and disburse 49 U.S.C. 5311(c)(1) funding, and b. Carry out each project, including the: (1) Safety aspects of its proposed projects, and • • (2) Security aspects of its proposed projects, • 2. It has or will have satisfactory continuing-control over.the use of project equipment and facilities, 3. The project equipment and facilities will be adequately maintained, 4. Its,project will achieveimaximum feasible coordination with transportation service assisted by other Federal sources, 5: It will: a. Have a procurement:system that complies with U.S. DOT regulations,"Uniform Administrative Requirements•for Grains and Cooperative Agreements to State and Local Governments,"49 C.F.R. Part 18, specifically 49 CFR 18.36, or I):Inform.FTA•,promptly that its procurement system does notcomply with those U.S. DOT regulations;and 6. It will complywith the certifications, assurances, and agreements in a. Group.08(Bus Testing), b. Grou f09"(Charter Bus Agreement), c. Group 10 (School Transportation Agreement), d. Group 11 (Demand Responsive Service), e. Group 12 (Alcohol Misuse and Prohibited Drug Use), and 55 • f.Group 14 Nationa( Intelligent Transportation Systems=Architecture and Standards). GROUP 23:'TIFIA PROJECTS You:must rselecethe following certifications and assurances in Group 23.ifyou apply on behalf of your Applicant for Transportation Infrastructure Finance and Innovation Act(TIFIA) credit assistance authorized under 23 U.S.C. chapter 6. The following certifications apply to each Applicant for funding under the Transportation Infrastructure Finance and Innovation Act(TIFIA) Program authorized under 23 U.S.C. chapter 6: 1.. Federal transit law; specifically 49 U.S.C. 5323(o) requires an Applicant for TIFIA credit assistance funded under 23 U.S.C. chapter andits project to comply with 49 U.S.C. 5307. As required by 49 U.S.C. 5307(d)(I-), the Applicant certifies that: a. As required by 49 U.S.C. 5307(d)(I)(A), it has or will have the: (1) Legal capacity to carry out its proposed projects, (2) Financial capacity totarry'out its proposed projects, (3)Technical capacity to carry out its projects, (4) Safety aspects of its proposed projects; and (5) Security aspects of its proposed projects, b. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have satisfactory continuing control over the use of project equipment and facilities, . c. As required by 49 U.S.C,5307(d)(I)(C), it will maintain the project equipment and facilities adequately, d. As required by 49 U.S.C. 5307(d)(I)(D), it will ensure that the following individuals will be charged not more than fifty(50)percent of the peak hour fare transportation during non-peak hours using or involving project facilities or equipment supported under 23 U.S.C. chapter 6: (I) Elderly individuals, (2) Individuals with disabilities, or (3)•Individuals presenting a Medicare card issued to himself or herself pursuant to title II or title XVIII of the Social Security Act(42 U.S.C. 401 et seq. or 42 U.S.C. 1395 etseq.), e. As required by 49 U.S.C. 5307(d)(I)(E), when carrying out a procurement supported with TIFIA funding under.23 U.S.C. chapter 6, it will: - (I) Use competitive procurement(as defined or approved by FTA), (2) Not use-exclusionary or discriminatory specifications in its procurements, (3)'Coniply withsapplicable.,Buy America laws, and (4)Comply with'the.general;provisions for FTA programs of 49 U.S.C;. 5323, and (54iCo hply,with(the third party procurement requirements of 49'U.S.C. 5325, f:.As=requiied;by 49 U.S.C. 5307(d)(l)(F), it has complied or will comply with 49 U.S'IC. 5307(c) because<it:' (I) Has informed or;will inform the public of the amounts of its TIFIA credit assistance available under 23 U.S.C: chapter 6: and the projects it proposes to undertake, (2) Has'developed or will develop, in consultation with interested parties including private transportation providers,the projects it proposes to fund, - (3) Has-published or will publish a list of its projects in a way that affected citizens, 56 privatetransportation providers, and local'elected officialswill,haye an opportunity to examine and submit comments on the proposed projects and its performance, (4)-Has provided or will provide an opportunity for a public hearing to obtain the views of citizens on the proposed projects, (5) Has assured or will assure that the proposed projects provide for coordination of transportation services'assistedunder 49 U.S.C. 5336 with federally assisted transportation services supported by a Federal;government source other than U.S. DOT, (6) Has considered or will consider the comments and views received, especially those of private transportation providers, in preparing:its final list of projects, and (7) Has-made or will make the final list of projects-available to the public, g. As required by U.S.C.,5307(d)(1)(G), it: (I) Has have the amount of funds,required for the local share, (2)`Will_provide thelocal share funds from approved non-Federal sources except as permitted by Federal'law, and (3)`Will'provide the local share funds when needed, h. As required by 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with (I)The requirements of 49 U.S.C. 5301(x)-for public transportation systems that: (a) Maximize the safe, secure, and:efficient mobility of people, (b) Minimize environmental impacts, and . (c) Minimize transportation-related fuel consumption and reliance on foreign oil, (2)The requirements of 49.U.S.0 5301(d) for special efforts to: (a) Design public transportation for elderly individuals and individuals with disabilities; and (b) Provide public transportation for elderly individuals and individuals with disabilities, and (3)The requirements of 49 U.S.C. 5303 —5306 (a) Metropolitan and State.Planning, and (b) Private'enterprise:participation, i. AS required by 49 U.S.C. 5307(d)(I)(I), it has a locally developed process to solicit and consider . public comment before: (I).Raising a fare, or (2)1mplementing a;'major reduction of public transportation, j. As required by 49 U.S.C. 5307(d)(1)(J), if it serves an urbanized area with a population of at least 200,000: (1) Each fiscal year it will spend a€least one (I) percent of its funding attributed to 49 U.S.C. 5307 for,public transportation security projects, or (2)That fiscal year it will certify that such expenses for transportation security projects are not necessary, (3) Public transportation security projects include: (a) Increased lighting in or adjacent to a public transportation system.(including bus stops, subway stations, parking lots, and garages), (b) Increased camera surveillance of an area'in or adjacent to that system, • (c) Emergencytelephone line or lines to contact law enforcement or security personnel in an area in or adjacent to that system, and • (d) Any other project intended to increase the security and safety of an existing or planned public transportation, and 57 • k.,As required by required by,49"U.S.C. 5307(d)(I)(K), if it urbanized area with:a population of atleast 200,000:, (1) Each fiscal.year,it or all the Recipients of 49 U.S.C. 5307 funding in its urbanized.area will spend•at.least one (I)percentof that funding for transit enhancements, as defined at 49 U-.S.C. 5302(a), (2) It will include in its.quarterly report for the fourth quarter of the preceding Federal fiseaI'yeara list of the projects duringthat Federal fiscal year using those 49 U.S.C.5307 funds, and (3)Theireport.of its transit enhancement projects is or will be incorporated by reference and made part of its certifications'and assurances. 2. Federal transit law at 491J.S.C. 5323(0) requires an Applicant for TIFIA credit assistance funded • unders23 U.S.C..chapter 6'and its-.project to comply with 49 U.S.C. 5309. As required b •49 U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii),and 5309(i)(2)(C), the Applicant certifies that it will not seek reimbursement for interest and other financing costs incurred in connection with the Project unless: a. It is eligible to receive,Federal funding for those expenses, and b. Its records demonstrate that it has used reasonable diligence'imseeking the most favorable financing terms underlying those costs, to the extent FTA may require. H GROUP 24. DEPOSITS:,OF'FEDERAL FINANCIAL FUNDING TO STATE INFRASTRUCTURE BANKS We request that you select the following certifications and assurances in Group 24 if you apply for 49 US.C. chapter 53 funding..on.behalf of a State Applicant that intends to deposit the funding in a State Infrastructure Bank(SIB). Unless we determine otherwise in writing, the State Applicant itself is ultimately responsible for compliance with its certifications and assurances even though the SIB and a subrecipient may participate in a project financed with our funds deposited in the SIB. Consequently,,we encourage the Applicant to take appropriate measures to obtaining sufficient documents from the SIB'=and each•subrecipient, to assure the validity of all certifications and assurances the State Applicant has made. The following,certifications apply to each Applicant for funding under the State Infrastructure Bank Program authorized under 23 U.S.C. 610.The-State organization, serving as the Applicant for funding for its State Infrastructure-Bank (SIB) Program, assures the agreement of both its SIB,and each recipient'ofSIB funding(subrecipient)that each public transportation project financed with SIB funds will,b'e administered-id accordance'with: I.Theapplicable':Federal laws establishing the various SIB programs since 1995: • a.'Section 1'602 of SAFETEA-LU, now codified in 23 U.S.C. 610, or b Sedtionl=5.14 of TEA-21, 23 U.S.C. 18I note, or . c.!Section 350 of the;National'Highway System Designation Act of 1995, as amended, 23•U':S.C. 181 2. The Cooperative Agreement establishing the State's SIB program between: a. The State Applicant'and Federal parties(FHWA, FRA, and FTA), or b. The State Applicant and Federal parties (FHWA and FTA), 58 3::The Grant Agreement with the,State Applicant that provides FTA funding for the SIB, except that any provision of the:FTA Master Agreement incorporated.by reference'into that Grant Agreement will notsapply if it conflicts with any provision of .a. Section 1602.o'fSAFETEA-LU, now codified in 23 U.S.C. 610, b./Seection 1511 of TEA-21, 23 U.S.C. 181 note, or section 350 of the National Highway System Designation Act of 1995, as•amended,23 U.S.C. 181 note, or c. Federal guidance pertaining to the SIB Program,, d.The Cooperative Agreement establishing the State's SIB Program, or e. The FTA Grant Agreement, 4. As required by 49 U.S.C. 5323(o), Federal transit laws,.specifically 49 U.S.C. 5307 and 49 U.S.C. 5309, apply to any project under 49 U.S.C. chapter'53,that.receives SIB support or financing under 23 U.S.C. 610(or any support 23 U.S.C. 601 —608.).Therefore: a. To comply with 49 U.S.C. 5307,specifically 49 U.S.C. 5307(d)(1), the Applicant certifies that: (1)) As:required by 49 U.S.C. 5307(d)(1)(A), it has or will have the: (a) Legal capacity to carry out its proposed projects, (b) Financial capacity to carry our its proposed projects, (c) Technical capacity to carry out,its proposed projects, (d)Safety aspects of its proposed projects, and (e) Security aspects of its proposed projects, (2) As required by 49 U.S.C. 5307(d)(I)(B), it has or will have satisfactory continuing control over the use of project equipment acid facilities, (3) As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the project equipment and facilities adequately,. (4).As;required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the following individuals will be charged not more,than fifty (50) percent of the peak hour fare for transportation during non-peak hours using or involving project facilities or equipment supported.under 23 U.S.C. chapter 6: (a) Elderly individuals, (b) Individuals with disabilities, or (c) Individuals presenting a Medicare card issued to himself or herself pursuant to title II or title XVIII of the Social Security Act(42 U.S.C. 401 el seq. or 42 U.S.C. 1395 et seq.), (5)As.required.by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement supported by the SIB program, 23 U.S:C. 610, it will: (a) Use competitive procurement (as defined or approved by FTA), (b)Not use exclusionary or,discriminatory specifications in its procurements; (c)`Comply/with.applicable Buy America laws, and (d)Comply;withthe general provisions for FTA programs of 49 U.S.C. 5323, and (e) Comply the third party procurement requirements of49 U.S.C. 5325, (6) As,re9uired"by 49 U.S':C. 5307(d)(1)(F), it has complied with or will comply 49.U.S.C. 5307(c) because (a) Has informed or will inform the public of the amounts,of its SIB funding under 23 U.S.C. 610, and the projects it proposes'to'undertake, (b) Has developed or will develop, in consultation with interested parties including private transportation providers; the projects proposed to be funded, (c) Has published or will publish a list of its projects in a way that affected citizens, 59 • private transportation providers;and local elected officialswill have an opportunity to examine and submit comments',on the proposed projects and its performance, (d) Haprovided or will provide an opportunity for a public hearing to obtain the views of citizens on the proposed Projects, (e) Has assured or will assure that the proposed_projects provide for coordination of transportation services:assisted under 49 U.S.C. 5336 with..federally assisted transportation services supported by'a Federal government source other than U.S. DOT, (f) Has considered or will consider the commentsiand views received, especially those of private transportation providers, in preparing its final list of projects, and .(g),Has made or will make the final list of projects"available.to the public, - (7).Asrequired'by49U.S:C. 5307(d)(I)(G), it: • (a) Has or will have the amount of funds required for the local share, (b) Willprovide the local share funds from approved.non=Federalsources except as permitted by Federal law,and (c) Will provide the local share funds when needed, (8) As required by 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with (a)The requirements of 49 U.S.C. 5301(a),for public transportation-systems that I Maximize the'safe, secure,•and efficient mobility of people, 2 Minimize environmental impacts, and 3 Minimize transportation-related fuel consumption and reliance on foreign oil, (b) The requirements;of 49 U.S.C. 5301(d) for special efforts to I Design public transportation for elderly individuals and individuals with disabilities, and 2 Provide public'transportation for elderly individuals and individualswith disabilities,:and (c)'The requirements;of49 U.S.C. 5303 —5306 For 1 Metropolitan and State+P.lanning,,and 2 Private enterprise participation, (9) As required by 49'U.S.C. 5307(d)(1)0), it has a locally developed process to solicit and consider public comment,before: (a) Raising,a fare, or (6i-implementing a major reduction of public transportation, (10)As required by 49 U.S.C. 5307(d)(1)(1), if it will be using 49 U.S.C. 5307 funds and it serves an urbanized area'witha.population of at least 200,000: (a) Each ffsdaf year, it will spend at least one(I),percent of its.49 U.S.C. 5307 funding for public transportation security projects, or (b)That fiscal year it will certify that,such,expenses for transportation security projects are not inecess'ary; - (c)Publictransportation+security projects include: • I:Increased lighting in or adjacent to a public transportation system (including bus stops, subway stations, parking lois, and garages), 24ncreased camera surveillance of an area in or adjacentto that system, 3 Emergency telephone line or lines to contact law enforcement or security personnel in an area in or adjacent to that system, and 4-Any other project intended to increase the,security'and safety of an existing or planned public transportation project, and • 60 • (1 1)As required by 49 U.S.C. 5307(d)(I)(K),;if it will,berusing49:.U.S.C. 5307 funds and it serves an urbanized;area with;a population'of at least 200,000: (a) Eachtfiscal year, it or all the Recipients of 49 U.S.C. 5307 funding in its urbanized area will spend at least one (I) percentof.tt at funding for transit enhancements, as defined in 49 U.S,C. 5302(a), (b) It will include in its quarterly report for the fourth quarter of the preceding Federal fiscal year a list of the projects during that Federal fiscal year using those 49 U.S'.C: 5307 funds,and (c)The report of its transit enhancement projects is or wil l'be incorporated by reference and made part of its certifications and assurances. b. To comply with 49 U.S.C. 5309, specifically49 U.S'.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and 5309(i)(2)(C), the Applicant certifies that it will not seek reimbursement for interest and other financing costs-ineurred in connection with the Project unless: (1) It is eligible to receive Federal funding for those expenses, and (2) Its records demonstrate-that it has.used reasonable diligence in seeking the most favorable financing teens underlying those costs,to the extent FTA may require. 3. Federal guidance that may be issued.and amendments thereto, unless FTA has provided written approval of an alternative procedure or course of action. • • 61