Georgia state management plan and administrative guide for rural public transportation programs under section 5311 of the Federal Transit Act [1996]

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GEORGIA STATE MANAGEMENT PLAN AND
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ADMINISTRATIVE GUIDE FOR RURAL PUBLIC TRANSPORTATION PROGRAMS
UNDER SECTION 5311 OF THE FEDERAL TRANSIT ACT
Prepared By Office of lntermodal Programs Georgia Department of Transportation
1996

TABLE OF CONTENTS
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
GEORGIA STATE MANAGEMENT PLAN
Introduction ............ ; . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . 2 State Program Goals ......................................................_.. 2 State Role in Program Administration ........................................... 2 Planning Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Local Role in Program Administration and Operations .............................. 3 Public Transportation System Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Types of Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Service Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Criteria for Project Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Eligible Project Expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Capital Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Operating Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Local Match Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Project Duration ............................................................. 8 Additional Regulatory Requirements ............................................ 8
RURAL PUBLIC TRANSPORTATION APPLICATION
PART 1- PROJECT DESCRIPTION ............................................ 9 Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 The Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 The Market . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 The Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 The Marketing Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Financial Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . 19
PART II - COMPLIANCE REQUIREMENTS ..................................... 20 Annual Listing of FTA's Certifications and Assurances ........................ 20 Intergovernmental Review Process ....................................... 20 Authorizing Resolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Private Enterprise Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Public Involvement ................................................... 23
- Labor Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

EXHIBITS

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Exhibit 1 - Section 5311 Application Budget ........................................... 24 Exhibit 2 - Estimate of Fully Allocated Cost ............................ ; .............. 26
Expense Assignment Worksheet ........................... ,-................ 27 Exhibit 3 - Federal FY 1997 Certifications and Assurances for FTA Assistance ........ _. ...... 28 Exhibit 4 - Georgia Intergovernmental Cooridnation Form ................................ 30 __ Exhibit 5 - Authorizing Resolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Exhibit SA-Private Enterprise Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Exhibit SB-Public Notice for Private Enterprise Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Exhibit SC-Notice of Opportunity for a Public Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Exhibit SD-Notice for Public Hearing and Transportation for Disabled ....................... 37 Exhibit SE-Private Enterprise Coordination for the Disabled . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Exhibit 7 - Special Section 13{c) Warranty ............................................ 39 Exhibit BA-Section 5311 Grant Application Checklist/ Project Description ................... 45 Exhibit BB-Section 5311 Checklist/ Compliance Requirements ............................ 46

APPENDICES

Appendix A: GDOT District Office Map .............................................. 47 Appendix B: Sample Purchase of Service Agreement .................................. 48 Appendix C: General Operating Guidelines for Rural Public Transportation .................. 49 Appendix D: Private Enterprise Coordination Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 Appendix E: Public Hearing Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Appendix F: FTA Title VI Data Collection and Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Standard Monitoring Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 Appendix G: Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Appendix H: Federal Register ...................................................... 61 Appendix I: Section 5311 Application Schedule ........................................ 84

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INTRODUCTION The Georgia State Management Plan and Administrative Guide for Rural Public Transportation Programs are two documents consolidated that provide information and instructions under the Federal Transit Administration (FTA) Section 5311 Program. The Georgia State Management Piao includes the procedures and policies that have been established by the Georgia Department of Transportation (GDOT) for the implementation of the Section 5311 Rural Public Transportation Program. The Administrative Guide for Rural Public Transportation Programs outlines the necessary application procedures for grant recipients under the Section 5311 Program. Major emphasis is given to development of the Project Description which reflects the Rural Public Transportation
Program's orientation to functioning as a government operated enterprise.
The application consists of the Project Description which includes a detailed summary of the existing or proposed public transportation programs. The Compliance Requirements portion of the application is made up of certifications, assurances, resolutions and other requirements that are standard to federally sponsored projects.
The Section 5311 Program has had a significant influence on mobility in rural communities. Ridership continues to increase while these programs provide the necessary mobility to non-urban local areas. A successful Section 5311 Program requires a close partnership between the local and state interests. The success of this partnership will continue to influence mobility for rural residents.
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GEORGIA STATE MANAGEMENT PLAN
Introduction
The Section 5311 Program offers local areas an opportunity to provide transit services improving access to business, commercial and activity centers. The Georgia Department of Transportation (GDOT) is responsible for administering the program. The Georgia State
Management Piao outlines the policies and procedures which have been established for
the Section 5311 Program in Georgia.
State Program Goals The goal of the rural public transportation program is to provide transportation for community residents to area destinations. Facilitating access to business, commercial, educational and other activities supports local economic development. In this way the GDOT's investment in public transportation complements other publicly financed initiatives stimulating economic development. Monies provided through this program cannot supplant or substitute for other federal funds.
This program also supports the national transportation policy as stated in ISTEA: nTo develop a National lntermodal Transportation System that is economically efficient and environmentally sound, and which includes significant improvements in public transportation necessary to achieve national goals for improved mobility for elderly persons, persons with disabilities, and economically disadvantaged persons in urban and rural areas of the country."
State Role In Program Administration The GDOT shares a partnership role with local governments committed to operating rural public transportation programs. As Administrator of the funds, the Department assumes responsibility for the organization and management of the assistance. In this capacity, the State functions as a conduit for funds and financial programming. The Department also
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responds to the Federal funding agency (Federal Transit Administration - FTA) and to the State Legislature for program administration. The GDOT develops criteria for application approval, notifies eligible local recipients of the availability of program funds, reviews and selects applicants for funding, ensures compliance with federal requirements, and monitors project activity.
Planning Requirements
All sub-recipients are required to have an updated Rural Transportation Improvement Program (RTIP) annually. The RTIP is the programming document for projecting capital and operating expenditures for a three year period and in turn serves as the basis for developing the Section 5311 application each year. Additionally, under Section 135 of Title I of the ISTEA, all federal funds programmed for transit projects must be included in a Statewide Transportation Improvement Program (STIP). Section 5311 is included in this requirement. Metropolitan Planning Organizations (MPO) are responsible for transportation planning and programming in metropolitan areas. Where Section 5311 projects are being proposed within the MPO's current planning/study area boundaries, or which may include areas expected to become urbanized within twenty years, they must be included in the MPO's Transportation Improvement Program {TIP) and subsequently in the STIP. The GDOTs Office of lntermodal Programs is responsible for insuring that Section 5311 projects are included in the STIP.
Local Role in Program Administration and Operations
Local county governments are eligible recipients for the Section 5311 Program and the operations of public transportation services. A city government may apply if no county program is available or programmed. The public agency may elect to operate the system by pontract through a third party operator. If the third party option is used, the public agency continues to have full contract responsibility and fiscal accountability. The public agency is accountable for all financial matters and for compliance with Federal and State program requirements. These are outlined in the following documents:
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1). Georgia State Management Plan; 2). Administrative Guide for Rural Public Transportation Programs; 3). FTA Circular 9040.1 C.
Program administration by the public agency should follow required FTA Circular 9040.1C regulations providing continuous administrative and management oversight of project operations. In part, this administrative and oversight responsibility also involves maintaining separate accounts of Charter operations and conducting an annual independent audit report which reflects the revenues and expenses incurred and supported to the project.
The public agency is responsible for the conduct and submission of an annual audit under the Single Audit Act of 1984, following the guidelines set forth in 0MB Circular A-128. The audit should be performed by an independent certified public accountant and include; 1) a report of federal financial assistance, 2) the auditor's report on the study and evaluation of internal control systems, 3) compliance with applicable laws and regulations and 4) a report of any findings or questioned costs. The public agency is responsible for the submission of the audit report to the Department within 30 days of its completion and not later than one year from the fiscal period covered by the audit. The public agency has six months to file notice of corrective action it has taken upon notification of any findings or questioned costs.
Requests for payment to contracts should be made using the approved GDOT reimbursement form. Computer facsimiles of the approved form will be accepted. It is a goal of the Department that all payment requests be error free when submitted for approval. If corrections need to be made, the erroneous figure should be crossed out and the correct number entered in red and initialed. Errors that are not obvious (e.g. arithmetic or transposition) may require an explanation.
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Public Transportation System Goals The public transportation system goal is to develop and maintain an effective and efficient network of transportation services available to the public. The system should be safe, clean, reliable and responsive to travel needs of all citizens. It should also be supportive of local economic activity by facilitating access to local markets, industries and commerce.

Public transportation service operations have the characteristics of a business with operating costs, payrolls and revenues. As a publicly supported operating service, it has the added responsibility of public accountability. The aim of system's operations should be to serve the community. Service should be funded to the maximum extent possible by the generation of revenues through the farebox.

Types of Service
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The following types of service are appropriate for rural public
transportation programs:

A) Demand response, or route deviation service; 8) Contract and subscription service.

Service Criteria Transit programs are expected to meet minimum criteria established in GDOT's Rural Public Transportation Service Policy. The Policy criteria establishes a guide for evaluation of the program operations and applications for funding. These are as follows:

- A) 8) C)
D)

Services should not be duplicative of other transportation services; Monthly ridership should exceed 500 person trips per vehicle; Vehicle utilization should exceed 120 hours per month per vehicle; Vehicles should be available for service on a daily basis;

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E) Vehicle trips for contract, charter or subscription service should recover fully allocated costs;
F) Service ridership should exceed 0.5 passenger per vehicle service mile; G) System should recover a minimum of 20% of its operating cost from farebox
revenues generated through regular operations.
Criteria for Project Approval
A project may be approved if the costs are reasonable and justified. In addition, project approval is dependent on the following:
1. Compliance with Service Policy as guidelines; 2. Completion of an application including the Project Description and
Compliance Requirements; 3. Inclusion of capital and/or operating assistance requests in the Rural
Transportation Improvement Program.
Eligible Project Expenses CAPITAL ASSISTANCE: Eligible capital expenses may include the following:
1. Vehicles 2. Radios and communication equipment 3. Wheelchair Lifts 4. Equipment installation costs 5. Computer equipment and software
Local funding for capital acquisition will at a minimum be 10% of the costs. Local
participation could be greater depending upon the availability of State and Federal funds.
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Federal regulations under the Americans with Disabilities Act (ADA) of 1990 require ... "that prior to purchasing or leasing of new vehicles for use in a system, the operator shall ensure that the vehicle is readily accessible to and useable by individuals with dfsabilities.11 The exception to this is..."if the system,- when viewed in its entirety, provides a level of service to individuals with disabilities, including individuals who use wheelchairs, equivalent to the level of service it provides to individuals without disabilities, it may purchase new vehicles that are not readily accessible to and usable by individuals with disabilities." Equivalent service should be evaluated with respect to the following service characteristics:

(1) Response time {2) Fares (3) Geographic area of service (4) Hours and days of service

(5) Restrictions on trip purpose
(6) Availability of information and reservations capability
(7) Capacity constraints

Applicants must demonstrate compliance with the above prior to receiving vehicles not equipped with accessible equipment (see Compliance Section). Additionally, all systems must have at a minimum, one wheelchair equipped vehicle available for service.
OPERATING ASSISTANCE: The FTA's Rural Public Transportation Program allows for a maximum of 80% of the administrative deficit and a maximum of 50% of the operating deficit to be reimbursed from Section 5311 funds. Since 1979, GDOT has had sufficient funding from FTA to reimburse all rural programs at 80% of the administrative deficit and 50% of the operations deficit. However, Georgia's allocation from FTA for 1996 has dropped to $3.8 million from $4.6 million in 1995 and funds are insuffficient to maintain the current funding level. Therefore, GDOT has amended the federal reimbursement for the administrative deficit to be decreased form 80% to 50% effective the 1997 funding cycle.

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Federal funding may be applied to system operations deficits subject to the availability of funds. Federal participation is allowed up to 50% of the eligible net operating deficit (gross eligible operating expenses less revenues). These expenses must be justified. Eligible operating expenses include driver, mechanic, and dispatcher salaries and fringe benefits, licenses, fuel, oil, repairs, and maintenance.
Costs attributable to the Administration of the programs may be reimbursed up to 50% subject to available federal funds. Typical allowable costs can include supervisory,
bookkeeper, and secretary salaries, vehicle insurance, office supplies, audit, telephone, marketing, and drug and alcohol testing. It is the Department's goal to limit administrative expenses to 20% of total operating expenses. Drug and alcohol testing should not exceed $1250.00 per program.
Local Match Requirements
Capital contracts must be matched with a minimum of 10% local funds. Operating contracts may be matched with cash and/or in kind services. This applies only to operating assistance and not to capital.
Purchase of service contract revenues may also be used to offset the local match up to the maximum level of local match funding. Any excess purchase of service contract revenues above the maximum local match requirement will offset the federal funding under this project(s).
Project Duration
All Section 5311 operating project(s) should cover .onJ a 12 month period to end in December.
Projects will be funded on a yearly basis. The only exception is for new programs scheduled to initiate service at mid year. These applications should cover a period of less than two years ending in December. For example, a new system beginning operation in August should apply for funding for a period of 17 months ending in December of the following year. See APPENDIX I for this year's Section 5311 application schedule.
Additional Regulatory Requirements
APPENDIX G provides additional information regarding regulatory requirements of the Rural Public Transportation Program.
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RURAL PUBLIC TRANSPORTATION APPLICATION

The Rural Public Transportation Application is made up of two parts:
Part I - Project Description Part II - Compliance Requirements
The Project Description outlines what the public transportation program will accomplish and how it will approach management of resources and operations. The Compliance Requirements are necessary to receive federal funds.
The following instructions should be followed carefully while developing the application:

PART I - PROJECT DESCRIPTION

The Project Description should outline the public transportation program operations and finances clearly and its relation to Local and State public transportation system goals. The Project Description serves as the basis for the application as well as an annual operations program for the transit service. The following sections should be included in the Project Description:

EXECUTIVE SUMMARY
The Executive Summary is a one page outline of the Project's key elements. Information about the following items should be included:

1. - 2.
3.
4. 5.

Who is the applicant? If there is a Third Party Operator, give legal name
Specify the number of years that the rural transportation program has been operating
Summary of program objectives for the application period
Brief description of markets being served

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6. Brief description of benefits to the community (economic and non-economic) 7. Number of vehicles in total fleet 8. Number of lift equipped vehicles in total fleet 9. Number of mobile radios in total fleet 1O*. Description of capital items requested for application period 11. Brief description of marketing methods proposed 12. Total federal and local operating funds budgeted 13. Total federal, state, and local capital funds budgeted 14. Revenue target from purchase of service income The dollar amounts listed in the Executive Summary should match those listed in the financial portion of the Project Description including the proposed budget.
* If vehicles are being requested for expansion purposes, show an "E" beside
description. If vehicles are being requested for replacement purposes, show the four digit number of the vehicle which will be replaced beside the vehicle description.
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The format for the Executive Summary is outlined below:

EXECUTIVE SUMMARY 1. APPLICANT:._ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ 2. OPERATOR:_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ___,.._ _ __
3. NUMBER OF YEARS PROGRAM HAS BEEN OPERATING:_ __ 4. PROGRAM OBJECTIVES:_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __

5. MARKETS SERVED (including purchase of service):_ _ _ _ _ _ _ _ _ _ __ 6. COMMUNITY BENEFITS:._ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __

7. NUMBER OF VEHICLES IN PROGRAM:_ _ 8. NUMBER THAT ARE LIFT EQUIPPED:_ _ 9. NUMBER OF MOBILE RADIOS: _ __ 10. DESCRIPTION OF CAPITAL ITEMS BEING REQUESTED:_ _ _ _ _ _ _ _ __
11. DESCRIPTION OF PROPOSED MARKETING EFFORTS:._ _ _ _ _ _ _ _ __

TOTAL BUDGET REQUESTED:

12. Operating: Federal$______

Local:$_ _ _ _ __

13. Capital: Federal$______ State$._ _ _ _ Local$_ _ __

14. REVENUE TARGET FROM P.O.S.: $._ _ _ _ __

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THE ORGANIZATION This section describes in detail the management and objectives of the operation. It also explains the organizational position held by the transit operations within the local government structure. The section should include the following:
1. Identify the Local Government - the names and positions should be outlined for those responsible for setting objectives for the rural public transportation system.
2. List the near-term (one-year) objectives for the local government.
3. Identify the Transit System Management Team - their names, positions (titles) and qualifications should be stated.
4. List the near term (one-year) objectives of the management team. These may differ from those of the local government but should not conflict. The local government may have adopted transit program objectives complementing other local development initiatives. The transit system management team's objectives may be focused on transit operations improvements. The two should be complementary and represent the transit operation's program objectives for the application year.
5. A description of the organizational position of the transit operations within the local government structure needs to be included. It would be appropriate to delineate how the other departments of the local government relate to the activities of the transit program. The description should also reference the flow of information to the Commission or Council.
6. If the local government has selected a Third Party Operator (TPO) through the privatization process, this section should identify the responsibilities of the TPO and the local government. At a minimum, the following areas should be described in detail:
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A. Describe how the local government monitors the TPO contract. B. Describe the flow of data, especially financial data. C. Amount the TPO is charging for the services? D. Basis for the changes (i.e. cost per passenger, miles, hour etc..)?
Proposed Third Party Operator contract(s) must be submitted for Department review and
reo approval with the Proiect Description. Upon execution a copy of the signed contract
must be submitted to GDOT.
THE MARKET This section focuses on the main purpose of the transit business being provided to the community. Markets can be classified in a variety of ways. They can be geographic markets (e.g. north end of the County), target markets (e.g. the commuter market) and location markets (e.g. trade school, industrial park). Some of the service to markets are financed through Purchase of Service (POS) Contracts, others are public transportation and some may be charter.
In this section there should be a description of the markets being served by the transit operation including any proposed purchase of service or charter. Services provided by purchase of service contracts and charter should not interfere with the provision of regular public transportation services. Any proposed expansions into new markets by the system should be described. All service modifications that will be made to serve new markets or to better serve existing markets should be included.
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THE OPERATIONS The Operations Section should provide insight into the functioning of the transit system.

The following should be included in this section:

Describe the capital resources available for providing the service. This should include an inventory of vehicle(s) by four digit ID number, description, mileage as of June 30th of the current year, and condition of vehicle (See the following sample format).

DOT Vehicle Number
1443*
1500

Description
1987 Ford Van, 12 Passenger, Lift, MR
1988 Ford Van, 15 Passenaer, MR

Mileage as of June 30, 1996
101,000

Condition
Poor

75,000

Good

If a new vehicle is being requested in this application, justification must be included. Also indicate whether the requested vehicle(s) is for expansion of the fleet or replacement of an existing vehicle. If it is to replace an existing vehicle, identify the vehicle to be replaced with an asterisk beside the DOT vehicle number in the above inventory. (See above
example for vehicle number 1443). If mobile radio equipment is being requested, a copy
of the current unexpired license and frequency must be attached to the application and identified as such.

All capital equipment being requested should be included in the Rural Transportation Improvement Program (RTIP) and the Metropolitan Planning Organization's TIP if the project
is within an MPO planning/study boundary (See Section on Planning Reguirements). The
Department is responsible for inclusion of these projects in the STIP.

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This section should also include a description of the operations format that describes the service being provided and how operations are organized. How are calls for services scheduled? What array of services are provided (charter, purchase of service, commuter)? What efforts have been made towards coordination of service? Are there any local service policies in place?

Quality control of operations is an important item. Describe the following: 1. How customer complaints are handled 2. How the budget is monitored 3. How the operating and financial data is captured

A description of operating performance for each vehicle should be included for: 1. The last calendar year 2. The projected current year
3. The projected application period. Note: Please use the following format.

1 0 1perafinQ p erformance for LastCaIendar Year:

l~hicle#

OWPT/Mo.

HRS./Mo.

Miles/Mo.

PT/Mile

2. 01peratinQ performance pro,.ectedfor Current y ear:

IVehicle#

I I OWPT/Mo.

HRS./Mo.

I Miles/Mo.

I PT/Mile

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3. 01peratino p.erformance Projected for Apolication Period:

Vehicle#

OWPT/Mo.

HRS./Mo.

Miles/Mo.

PT/Mile

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If service criteria was not met during the current year, then the steps should be outlined in this section that will be implemented during the remainder of the current year and, if necessary, during the application period to improve the operating performance.
General Operating Guidelines In addition to the service criteria, rural public transportation programs are encouraged to meet several general operating guidelines (Appendix C).
THE MARKETING PROGRAM Marketing of system services is an important function which serves to provide information to customers, develops community recognition of the public transportation services and stimulates new ridership. The following should be included: 1. Describe marketing methods planned for the application period. 2. What are they intended to accomplish? 3. Give an estimated cost breakdown for each of the planned marketing methods.
(The total should agree with the marketing line item in the budget). 4. Describe the methods in place for evaluating the effectiveness of the marketing
system and who is responsible for this evaluation.
Marketing funds may be used to offset the cost of printed materials, for example:
schedules, flyers, posters, etc. With prior GDOT approval. marketing funds may also be
used to offset the cost of creating radio and/or television spots, for example: renting audio and video equipment. It is expected that feature articles or public service announcements will be used to inform the public concerning the services provided by the rural transit system:
FINANCIAL DATA Successful management of a business operation can be linked to budget administration. In this section the financial portion of the transit system will be detailed. The following should be included:
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1. Begin this section with an explanation of the most recent year's financial
performance, including any balances left in the budget and/or expenses incurred but
not reimbursed. (A copy of December's reimbursement reguest or the final
-
reimbursement reguest for the most recent year must be attached).

2. An explanation of the program income, excluding capital, must be included for the last calendar year, the projected current year and the projected application period (See the following example).

P.O.S. (AQencv) P.O.S. (AQencv) Medicaid Transportation Fares Section 5311 Local Share Other (specify)
TOTAL

PROGRAM INCOME:

Last Calendar Year

Projected Current Year

Projected Aoolication Period

3. All active and proposed Purchase of Service Contract(s) (POS) must be attached along with the Estimated Fully Allocated Cost Table and Expense Assignment Worksheet found in Exhibit 2.

4. Applicants should forward to the Department copies of all Purchase of Service Contract(s) executed after the application is submitted. Purchase of Service Contract(s) will then become a part of the Section 5311 contract documentation.

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5. The Purchase of Service Contract(s) should follow the example in Appendix B. At a minimum the contract must include the following:
A) Date of contract execution B) Legal names of contracting parties C) Details of transportation services to be provided, for example;
1. Number of hours per day 2. Number of days per week 3. Number of vehicles to be used per day 4. Service destinations.
D) What will be the basis for payment to the provider? (Total payments must at a minimum cover fully allocated costs as outlined in the Estimate of Fully Allocated Cost Table Exhibit 2).
E) Contract duration; start and end dates. If possible, the Purchase of Service contract should run concurrently with the Section 5311 operating contract period.
6. Services provided for the Department of Medical Assistance (OMA) patrons must be reimbursed in an amount sufficient to cover the fully allocated cost. An Estimated Fully Allocated Cost Table and Expense Assignment Worksheet (Exhibit 2) must be submitted to show that this is being done.
7. The new budget for the application period should be presented using the format shown in Exhibit 1 of this guide. (Projected expenses should balance with projected revenues for the application period).
8. All increases in budget line items from the current year's budget must be explained and justified. Separate accounts for farebox, purchase of service, and charter revenues (if applicable) must be documented.
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9. Twenty percent (20%) of the total administrative and operating budget must come from farebox revenues.
CHECKLIST - Exhibit SA lists the necessary components for the Project Description portion (Part I) of the grant application and should be used to insure that all required paperwork has been included.
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PART II - COMPLIANCE REQUIREMENTS
All applicants must include the following certification and assurances in order to receive Federal funds for the purpose of providing rural public transportation. Also, additional regulatory requirements must be reported in order to participate in the program.
1. Annual Listing of EIA's Certifications and Assurances
The certifications and assurances required for this year's (FY 97) grant application was published in the Federal Register/ Vol 60, No 226 / Friday, November 24, 1995.
This register (Appendix H) contains FTA's comprehensive compilation of the fiscal year 1997 certifications and assurances to be used in connection with all Federal assistance programs. The thirteen categories of certifications and assurances are listed by roman numerals I through XIII on the other side of the signature page document.
The certification consists of two pages that must be signed and included in the application
(Exhibit 3). Please be aware that this process .o.nI. excludes you from submitting
documents previously required with your application, NOT from collecting documents and having them on file.
2. Intergovernmental Review Process
The applicant should submit the results of an intergovernmental consultation review from both the state, regional and metropolitan clearinghouses as applicable (Exhibit 4). The State Clearinghouse Office provides the application identifier designation number.
20

3. Authorizing Resolution
The authorizing resolution is a resolution passed by the ruling council or commission of the local area authorizing the filing of an application naming the person authorized to execute
the contract and sign assurances on behalf of the public body (Exhibit 5). If a commission
is comprised of a sole commissioner, the resolution should reflect this in the title of the designated official. Note that the resolution must be witnessed, notarized and have a county seal. If the county does not have a county seal, then so indicate.
4. Private Enterprise Coordination {Exhibits 6A and 6B)
A requirement of the Section 5311 Program is to insure, to the maximum extent feasible, that private for-profit transportation providers have been given a fair and timely opportunity to participate in the development of the local transportation plans and program, and have been afforded every feasible opportunity to provide the proposed transit service.
To insure that all private for-profit providers have been notified of the proposed project and that they have had adequate opportunity to present their views and to offer their own service proposals for consideration, the applicant should satisfy the following requirements:
A. List private providers operating in the service area B. Notify private providers through one of the following methods:
1. Public notice published in newspaper, or 2. Letter sent to each private provider
C. Complete and sign Exhibit 6A.
If the applicant chooses to publish a public notice in the newspaper, this notice can be
separated or combined with the Opportunity for Public Hearing Notice (See Exhibit 6C). If the Private Enterprise Notice is combined with the Opportunity for Public Hearing Notice,
the Opportunity of Public Hearing Notice requirements must be met completely, i.e., a second notice must be published if no responses are received. Only one publisher's affidavit is needed per combined notice. After the date of publication, a minimum of fifteen
(15) days should be allowed for public comment. If there is a major capital project change {project description and/or expense), a second Notice for Opportunity for
21

Pubic Hearing is required.
However, to avoid a second notice of "No Response", have the publisher to print in the advertisement that if there is no response by the deadline date, GDOT will proceed with the project(s) as described.
Also submit correspondence to the Office of lntermodal Programs and maintain a file that there was no response for a public hearing. This requirement is applicable for separate as well as combined notices.
Exhibit 68 is an example of Public Notice for Private Enterprise Q.O,h! while Exhibits 6C, 6D, and 6E are examples of combined notices.
Note - The Private Enterprise Notice does not substitute for the Charter Service Notice. These are two separate program requirements and should not be confused. Also, comments resulting from the Public Notice should be included in the application. Please indicate if no response was received.
Appendix D outlines other ongoing requirements which is not a part of the application process but documents must be maintained on file.
If the County/City elects to operate the system through a third party operator, each of the
criteria outlined in Appendix D must be followed. Documentation of steps 5-8 inyolying the selection process of the public/private provider must accompany the grant application along with the Third Party Agreement,
22

, ..

5. Public Involvement

An applicant for Capital Program Assistance or other federal assistance (except Urbanized

Area Formula Program Assistance), that will substantially affect a community or its transit

service must provide the following certification. FTA may not award federal assistance until

the applicant provides their certification by selecting Category Ill on the Signature page

(Exhibit 3, Category Ill) of the Comprehensive Certification/Assurance document.

Notices should be published in a newspaper of general circulation. The notice should allow
interested persons to comment within 15 days following publication of the notice. A copy
of the advertisement along with the publisher's affidavit should be included in the grant application.

Public hearing requirements are for grants requesting capital assistance. See Exhibits 6C, 6D, and 6E for examples and Appendix E for public hearing requirements.
6. Labor Protection
Compliance with fair labor practices is required. All applicants must agree in writing to accept the standard terms and conditions of the Section 13(c) Labor Warranty for the Section 5311 programs, as outlined in Exhibit 7 .
.
Even though FTA has incorporated the Labor and Protection Certification/Assurances into their comprehensive certification and assurance checklist, the Department of Labor still requires that the labor protection documents be signed and reported to their Department
before a contract is executed. Signed agreement ('.Exhibit Z) must be in the Office of
lntermodal Pr~rams PY November 1, 1996 if application is not already submitted.
7. Checklist
Exhibit 8B lists the necessary components for the Compliance Requirements Section of a grant application and should be used to determine if all paperwork has been included. As a point of contact for GDOT staff, include the name and telephone number of the person responsible for compilation of the application.

23

EXHIBIT 1

SECTION 5311 APPLICATION BUDGET

Date:._ _ _ _ _ _ _ _ _ _ __

Page 1 of2

Operating Period: From _ _ _ _ _ _ _ _ _ _ _ _ To _ _ _ _ _ _ _ _ _ _ _ _ County/City:.__.-_ _ _ _ _ _ __

PART A: EXPENDITURES ESTIMATE

1. Supervisory Salary 2. Bookkeeper Salary 3. Secretarv Salarv 4. Office Supplies 5. Audit 6. Teleohone 7. Marketina 8.

Line Item Description

A
Projected Costs

B
In-Kind Costs

C
Budgeted Costs

9. Driver Salarv 10. Dispatcher Salary 11. Mechanic Salarv 12. Fuel&Oil 13. Maintenance & Repairs 14. Vehicle Insurance 15. Drug & Alcohol Testina 16. 17. EXPENSE TOTAL: (Sum of lines 1 thru 16} 18. LESS FARE REVENUES: (20% of line 17} 19. NET OPERATING DEFICIT: (line 17 minus 18)

PART B NET DEFICIT FINANCIAL SUMMARY

20. PURCHASE OF SERVICE INCOME:

21. NET LOCAL MATCH: (50% of line 19\

22. EXCESS PURCHASE OF SERVICE INCOME ABOVE LOCAL MATCH: (line 20 minus 21)

*

* -o-. If zero or less, enter If greater than zero, enter the amount here and on line 24 columns A and B.
NOTE: All figures to be rounded to the nearest dollar.

FORM DATED 6/96

24

EXHIBIT 1 SECTION 5311 APPLICATION BUDGET (Continued)

County/City:._ _ _ _ _ _ _ _ _ _ __ PART C: NET OPERATING BUDGET
Line Item Description

Date:_ _ _ _ _ _ _ _ _ _ __
A Budgeted Costs

23. Net Ooeratina Deficit: /line 19) 24. Less Excess Purchase of Service Income above Local Match: (line 22) 25. OPERATING BUDGET TOTAL: (line 23 minus 24)

PART D: CAPITAL EXPENDITURES ESTIMATE Equipment Description

A No. of Units

26. Standard Van 27. Modified Van 28. Conversion Van 29. Conversion Van / Lift 30. Mini Bus 31. Mini Bus/ Lift 32. Shuttle Bus 33. Shuttle Bus / Lift 34. Mobile Radio Unit 35. 36. 37. CAPITAL BUDGET TOTAL: (Sum of lines 26 thru 36)

B
Budgeted Costs

PARTE BUDGET SUMMARY
BudaetTotafs 38. OperaUng Budaet Total: lline 25) 39. Capital Budaet Total: (line 37\ 40. GRAND TOTAL: (Sum of lines 38 and 39)

A Total

C Federal (80%)
B Federal

B Federal (50%)
D State (10%)
C State
xxxxxxxx

NOTE: All figures to be rounded to the nearest dollar.

Page 2 of 2 C Local (50%)
xxxxxxxx
E Local (10%)
D Local

FORM DATED 6/96
25

EXHIBIT 2
ESTIMATE OF FULLY ALLOCATED COST For Period _ _ _ _ _ _ _ _ _ _ _ __ to Transportation Purchaser ______________________

(Page 1 of 2)

Resource Variable

*Average Unit

X

Amount of Resource

=

Cost$

Contracted

Hours Miles Vehicles

X

=

X

=

X

=

Total Cost$

Total Cost

$

OR

Resource *Average Unit Cost$ X

Amount of Resource

=

Variable

Contracted

Passengers

Total Cost$

Total Cost

$

*Average unit costs should be based on the proposed budget for the application period.
The expenses assignment worksheet, located on the next page, should be used when calculating fully allocated costs. A copy of the worksheet should be included in the agplication as an attachment to the fully allocated cost table(s).

26

EXHIBIT 2

(Page 2 of 2)

EXPENSE ASSIGNMENT WORKSHEET

County/City: _ _ _ _ _ _ __

Period _ _ _ _ _ _ _ to _ _ _ _ _ __

Based on the proposed budqet for aoolication period)

Expense Account Title

Amount

Hours

Supervisor Salary

Bookkeeper Salary

Secretary Salary

Vehicle Insurance

Office Supplies

Audit

Phone

Marketing

Drug & Alcohol Testing

Driver Salary

Dispatcher Salary

Mechanic Salary

Fuel & Oil

Maint. & Repairs

TOTALS

(A)

(8)

Resource Variables Miles

Vehicles

(C)

(D)

Value of Resource Variable

Hours

Miles

Vehicles

Average Cost Per Hour Average Cost Per Mile Average Cost Per Vehicle

(B)/Hours = $ (C)/Miles =$ (D)Nehicles =$

Number Of One-Way Passenger Trips (OWPT) In The
Period
IAverage Cost Of A OWPT

(A)/(E) = $

27

EXHIBIT 3
FEDERAL FY 1997 CERTIFICATIONS AND ASSURANCES FOR FTA ASSISTANCE

(Page 1 of 2)

The applicant agrees to comply with applicable requirements of Categories I - XIII. (The Applicant may make this selection in lieu of individual selections below.}
OR The Applicant agrees to comply with the applicable requirements of the following categories it has selected:

I.

Certifications and Assurances Required of Each Applicant

(Previous Category II Procurement, is now Category I, paragraph H.}

II. Lobbying Certification.

Ill. Public Hearing Certification for Major Projects with Substantial Impacts.

IV. Certification for the Purchase of Rolling Stock*.

V. Bus Testing Certification*.

VI. Charter Bus Agreement.

VII. School Bus Agreement.

VIII. Certification for Demand Responsive Service.

IX. Substance Abuse Certifications Required by January 1, 1996.

X. Assurances for Projects Involving Real Property*.

XI. Certifications for the Urbanized Area Formula Program*.

XII. Certifications for Formula Assistance for the Elderly and Individuals with Disabilities Program*.

XIII. Certifications for the Nonurbanized Area Formula Program.

Not applicable to Section 5311 programs. Federal Register/Vol 60, No. 226/Fri 11-24-95/pg. 58193 (see Appendix Hof this document)
28

EXHIBIT 3

FTA CERTIFICATIONS AND ASSURANCES FOR FEDERAL ASSISTANCE FY 1997*

Name of Applicant:._ _ _ _ _ _ _ __

(Page 2 of 2)

Name and Relationship of Authorized Representative: _ _ _ _ _ _ _ _ _ _ __
BY SIGNING BELOW I, _ _ _ _ _ _ _ _(name) declare that I the Applicant have been duly authorized to make these certifications and assurances on the Applicant's behalf and bind the Applicant's compliance. Thus, the Applicant agrees to comply with all Federal statutes, regulations, executive orders, and administrative guidance required for each application it makes to the Federal Transit Administration (FTA) in Federal Fiscal Year 1996.

FTA intends that the certifications and assurances the Applicant selects on page 1 of this form, as representative of the certifications and assurances in Appendix A*, should apply, as required, to each project for which the applicant seeks now, or may later, seek FTA assistance during Federal fiscal year 1996.

The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in the statements submitted herein with this document and any other submission made to FTA, and acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 ~ ~-, as implemented by the U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR part 31 apply to any certification, assurance or submission made to FTA. The criminal fraud provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection with the Urbanized Area Formula Program, 49 U.S.C. 5307, and may apply to any other certification, assurance, or submission made in connection with any other program administered by FTA.

In signing this document, I declare under penalties of perjury that the foregoing certifications and assurances, and any other statements made by me on behalf of the Applicant are true and correct.

Date:._ _ _ _ __

Authorized Representative of Applicant

(Except in the case of projects under FTA's university and research training program authorized by 49 U.S.C. 5312 (b), the Applicant's legal counsel is required to affirm the legal capacity of the Applicant.)

AFFIRMATION OF APPLICANT'S ATTORNEY for ___________(Name of Applicant)

As the undersigned legal counsel for the above named Applicant I hereby affirm that the Applicant has authority under state and local law to make and comply with the certifications and assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the certifications and assurances have been legally made and constitute legal and binding obligations on the Applicant.
I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or threatened that might adversely affect the validity of these certifications and assurances, or of the performance of the project. Furthermore, if I become aware of circumstances that change the accuracy of the foregoing statements, I will notify the Applicant and FTA.

Date:._ _ _ _ __

Applicant's Attorney

Federal RegisterNol 60, No. 226/Fri 11-24-95/pg. 58194 (see Appendix Hof this document)

29

EXHIBIT 4*

Georgia Intergovernmental Consultation Process

Intergovernmental Coordjnat;on Form

Applicant: Project Name: Applicant's Address: Name and Title of Contact Person: Impacted City/Cities: Impacted County/Counties: Project Description (Nature, Purpose, Location):

.-
Phone:

(If necessary, continue on a supplemental remarks page.)

Source

Funding
s Amount

Federal Catalog Number~ 20.509
Federal Program Name: Section 5311

Basic Federal Grant

Federal Agency Name: Federal Transit Administration

State Matching Grant Local Matching Grant

Federal Agency's Address:
1720 Peachtree Road, N.W.
Suite400 Atlanta, Georgia 30309

Other Matching Grant

Name and Title of Contact Person: Roslyn Harper, Transp. Representative

Total Cost

Telephone: (404) 347-0226

Impacted Regional and Metropolitan Clearinghouses:

Signature of Authorizing Official

Title

-

Date

Please send completed form to: State Clearinghouse, do Tripp Reid, Office of Planning and Budget, 254 Washington Street, S. W, Atlanta, Georgia 30334. Phone (404) 656-3855

send copy to the affected MPO (except Atlanta) if appropriate. Do not send for to the Regional Development Center (RDC)

30

EXHIBIT 4*

(Page 2 of 2)

The original form should be sent to the State Clearinghouse, c/o Tripp Reid, Office of Planning and

Budget, 254 Washington Street, S.W., Atlanta, Georgia 30334. If the project is to be located in a locale

served by a Metropolitan Clearinghouse, a legible copy must be sent to the appropriate MPO for

review and approval (except in Atlanta).



When completing the Intergovernmental Consultation Form, the applicant must be sure to include the following information:

A). Identification of the applicant.

8). Federal program title, number and agency under which assistance is sought as listed in the latest Catalog of federal Domestic Assistance.

C). Geographic location of the project accompanied by a map (physical development only).

D). Brief description of the proposed project by type, purpose, general size or scale, estimated cost, beneficiaries or other characteristic details.

*Note: The State Clearinghouse will coordinate area wide clearinghouse responses with the respective Regional
Development Centers) including ARC. Do not send a form to the RDC.

31

EXHIBIT 5

AUTHORIZING RESOLUTION

RESOLUTION AUTHORIZING THE FILING OF AN APPLICATION WITH THE GEORGIA DEPARTMENT OF TRANSPORTATION AND THE DEPARTMENT OF TRANSPORTATION, UNITED STATES OF AMERICA, FOR A GRANT FOR PUBLIC TRANSPORTATION ASSISTANCE UNDER SECTION 5311 OF THE FEDERAL TRANSIT ACT.

WHEREAS, the Federal Transit Administration and the Georgia Department of Transportation are authorized to make grant to non-urbanized areas for mass transportation projects; and

WHEREAS, the contract for financial assistance will impose certain obligations upon applicant, including the provision by it of the local share of project costs; and

WHEREAS, it is required by the United States Department of Transportation and the Georgia Department of Transportation in accord with the provisions of Title VI of the Civil Rights Act of 1964, that -~ in connection with the filing of an application for assistance under the Federal Transit Act, the applicant gives an assurance that it will comply with Title VI of the Civil Rights Act of 1964 and the United States Department of Transportation requirements thereunder; and

NOW THEREFORE, BE IT RESOLVED BY (Applicant's Legal Name) , hereinafter referred to as
the uApplicant",

1. That the (Title of Designated Official)

hereinafter referred to as the "Official",

is authorized to execute and file an application on behalf of the Applicant, a City/County

government, with the Georgia Department of Transportation to aid in the financing of public

transportation assistance pursuant to Section 5311 of the Federal Transit Act..

2. That the Official is authorized to execute and file such application and assurances or .aD.

other document required by the U.S. Department of Transportation and the Georgia

Department of Transportation effectuating the purposes of Title VI of the Civil Rights Act

of 1964.



3. That the Official is authorized to execute and file all other standard assurances or .aD.
other document required by the Georgia Department of Transportation or the U.S.
Department of Transportation in connection with the application for public transportation _
assistance.

4. That the Official is authorized to furnish such additional information as the U.S. Department _ of Transportation or the Georgia Department of Transportation may require in connection
- with the application of the project.

32

EXHIBIT 5

(Page 2 of 2)

5. That the Official is authorized to execute grant contract agreements on behalf of the Applicant with the Georgia Department of Transportation in connection with the application for public transportation assistance.

6. That the applicant while making application to or receiving grants from the Federal Transit Administration will comply with the Federal statutes, regulations, executive orders and administrative requirements as listed in Appendix 1 of FTA Circular 9100.1 B and as also included in Appendix H of the Georgia State Management Piao and Administrative Guide for Rural and Small Urban Areas inclusive.

7. That the Applicant has or will have available in the General Fund the required non-federal funds to meet local share requirements.

APPROVED AND ADOPTED this _ _ day of _ _ _ _ _ _ _ _ _ _, 19_ _ __

Chairman of Commission or Sole Commissioner
Type Name and Title
Signed, sealed and delivered this _ _ day of _ _ _ _ _ _ _ _ _ _ _ _, 19_ _ _ _ in the presence of

Witness

Notary Public Notary Seal

CERTIFICATE

The undersigned duly qualified and acting (Title of Certifying!Attesting Official) of {Applicant's
Legal Name) certifies that the foregoing is a true and correct copy of a resolution adopted at a legally
convened-meeting held on _ _ _ _ _ _ _ _ _ _, 19_ _ _ __

Name of Certifying/Attesting Officer
Title of Certifying/Attesting Officer 33

County Seal

EXHIBIT 6A PRIVATE ENTERPRISE COORDINATION List of private providers operating in the service area:

Date Notified:

Attach Notice and Affidavit from newspaper * or letter sent to private providers.

Last Day to Respond:

(Legal Name of City/County)

will annually review existing service

and any proposed service changes to determine the feasibility of private providers providing the public

service. An annual review will be scheduled and a review format will be developed to carry out this task.

Private providers will be, notified and their interest in the service provision will be assessed. Private

providers will be invited to attend and be a part of the annual review process. Additional Private

Enterprise requirements are outlined in Appendix D.

Date:

Signature of Authorized Officer

Name and Title of Authorized Officer

only one publisher's affidavit is needed per notice if combined with Public Hearing Notice.

34

EXHIBIT 6B PUBLIC NOTICE FOR PRIVATE ENTERPRISE COORDINATION

(Legal Name of City/County)

is applying for funding assistance under

Section 5311 of Federal Transit Act pertaining t9 rural and small urban areas.

The (City/County) will offer general public transportation to all citizens of

(Legal Name of

City/County

for any worthwhile purpose, including but not limited to shopping, medical

treatment, social services and other purposes.

To assure that private for-profit transportation operators have a fair and timely opportunity to participate in the development of this program the (City/ County) solicits private sector input and participation during the planning process.

Any private for-profit transportation provider interested in providing any or all of the above services should submit a written notice of intent no later that fifteen (15) days from date of this publication to:

Please note in the advertisement if no response by deadline date, GDOT will proceed with the projects as described above.

35

EXHIBIT 6C
NOTICE OF OPPORTUNITY FOR A PUBLIC HEARING PRIVATE ENTERPRISE COORDINATION

(Legal Name of County)

is applying for funding assistance under Section 5311

of Federal Act pertaining to rural and small urban areas.

Interested persons are invited to request that a public hearing be held to discuss the services being offered or development of the application.

The (City/County) will offer general public transportation to all citizens of

(Legal Name of

City/County)

for any worthwhile purpose, including but not limited to shopping, medical

treatment, social services and other purposes.

To assure that private for-profit transportation operators have a fair and timely opportunity to participate in the development of this program, the (City/County) solicits private sector input and participation during the planning process.

Written requests for a public hearing and/or written notice of intent by private for-profit transportation operators to provide or participate in any or all of the above should be submitted no later than fifteen (15) days from date of this publication to:

Please note in the advertisement that if no response by deadline date, GDOT will proceed with the projects as described above.

36

EXHIBIT 6D
NOTICE OF OPPORTUNITY FOR A PUBLIC HEARING AND TRANSPORTATION FOR THE DISABLED

(Legal Name of City/County)

is applying for funding assistance under Section 5311

of Federal Transit Act pertaining to rural and small urban areas.

The (City/county) will offer general purpose transportation to all citizens of

(Legal Name of

City/County)

for any worthwhile purpose, including but not limited to shopping, medical treatment,

recreation, social services, and other purposes.

The (City/County) proposes to operate a fleet of vehicles to provide public transportation services to all residents of the (City/County) including elderly, disabled, minorities, and non-ambulatory persons. Services detailed herein will be available to all citizens without regard to sex, race or national origin.

To assure that issues relating to the disabled are addressed in the proposed service, the disabled population and organizations representing them are especially encouraged to comment during the planning process.

Those persons interested in commenting on the grant application should respond no later than fifteen (15) days from the date of this publication to:

Please note in the advertisement that if no response by deadline date, GDOT will proceed with the projects as described above.

37

EXHIBIT 6E

NOTICE OF OPPORTUNITY FOR A PUBLIC HEARING PRIVATE ENTERPRISE COORDINATION TRANSPORTATION FOR THE DISABLED

(Legal Name of City/County)

is applying for funding assistance under Section

5311 of Federal Transit Act pertaining to rural and small urban areas.

The (City/County) will offer general purpose transportation to all citizens of

(Legal Name of

City/County)

for any worthwhile purpose, including but not limited to shopping, medical

treatment, recreation, social services, and other purposes.

The City/County solicits private sector input and participation to assure that private for-profit transportation operators have a fair and timely opportunity to participate in the development of this program.

The City/County also solicits comments and concerns from the disabled population and their representatives to assure that issues relating to the disabled are addressed in the service design proposed during the planning process.

Interested persons are invited to request that a public hearing be held to discuss the services being offered or development of the application.

Written comments, requests for a public hearing and/or written notice of intent by private for-profit transportation operators to provide or participate in any or all of the above services should be submitted no later than fifteen (15) days from date of this publication to:

Please note in the advertisement if no response by deadline date, GDOT will proceed with the projects as described above.

38

EXHIBIT7
SPECIAL SECTION 13{c) WARRANTY FOR APPLICATION TO THE SMALL URBAN AND RURAL PROGRAM
The following language shall be made a part of this contract of assistance with the State or other public body charged with allocation and administration of funds provided under Section 5311 of this Act:
A. General Application
The Public Body Georgia Department of Transportation agrees that, in the absence of waiver by the Department of Labor, the terms and conditions of this warranty, as set forth below, shall apply for the protection of the transportation related employees of any employer providing transportation services assisted by the Project (Name of Application) , and the transportation related employees of any other surface public transportation providers in the transportation service area of the project.
The Public Body shall provide to the Department of Labor and maintain at all times during the Project an accurate, up-to-date listing of all existing transportation providers which are eligible Recipients of transportation assistance funded by the Project, in the transportation service area of the Project, and any labor organizations representing the employees of such providers.
Certification by the Public Body to the Department of Labor that the designated Recipients have indicated in writing acceptance of the terms and conditions of the warranty arrangements will be sufficient to permit the flow of Section 18 funding in the absence of a finding of non-compliance by the Department of Labor.
8. Standard Terms and Conditions
(1) The Project shall be carried out in such a manner and upon such terms and conditions as will not adversely affect employees of the Recipient and of any other surface public transportation provider in the transportation service area of the Project. It shall be an obligation of the Recipient and any other legally responsible party designated by the Public Body to assure that any and all transportation services assisted by the Project are contracted for and operated in such a manner that they do not impair the rights and interests of affected employees. The term "Project", as used herein, shall not be limited to the particular facility, service, or operation assisted by Federal funds, but shall include any changes, whether organizational, operational, technological, or otherwise, which are a result of the assistance provided. The phrase "as a result of the Project", shall, when used in this arrangement, include events related to the Project occurring in anticipation of, during, and subsequent to the Project and any other program of efficiencies or economies related thereto; provided, however, that volume and character of employment brought about by causes other than the-Project (including any economies of efficiencies unrelated to the Project) are not within the purview of this arrangement.
39

EXHIBIT 7

(Page 2 of 6)

An employee covered by this arrangement, who is not dismissed, displaced or otherwise worsened in his position with regard to this employment as a result of the Project, but who is dismissed, displaced or otherwise worsened solely because of the total or partial termination of the Project, discontinuance of Project services, or exhaustion of Project funding shall not be deemed eligible for a dismissal for displacement allowance within the meaning of paragraphs (6) and (7) of the Model agreement or application provisions of substitute comparable arrangements.

(2)(a) Where employees of a Recipient are represented for collective bargaining purposes, all Project services provided by that Recipient shall be provided under and in accordance with any collective bargaining agreement applicable to such employees which is then in effect.

(2)(b) The Recipient or legally responsible party shall provide to all affected employees sixty (60) days' notice of intended actions which may result in displacements or dismissals or rearrangements of the working forces. In the case of employees represented by a union, such notice shall be provided certified mail through their representatives. The notice shall contain a full and adequate statement of the proposed changes, and an estimate of the number of employees affected by the intended changes, and the number and classifications of any jobs in the Recipients's employment available to be filled by such affected employees.

(2)(c) The procedures of this subparagraph shall apply to cases where notices involve employees represented by a union for collective bargaining purposes. At the request of either the Recipient or the representatives of such employees negotiations for the purpose of reaching agreement with respect to the application of the terms and conditions of this arrangement shall commence immediately. If no agreement is reached within twenty (20) days from the commencement of negotiations, any party to the dispute may submit the matter to dispute settlement procedures in accordance with paragraph (4) of this warranty. The foregoing procedures shall be complied with and carried our prior to the institution of the intended action.

(3) For the purpose of providing the statutory required protections including those specifically mandated by Section 13(c) of the Act1, the Public Body will assure as a condition of the release of funds that the Recipient agrees to be bound by the terms and conditions of the National (Model) Section 13(c) Agreement executed

1 Such protective arrangements shall include, without being limited to, such provisions as may be necessary for (1) the preservation ofrights, privileges, and benefits (including continuation of pension rights and benefits) under existing collective bargaining agreements or otherwise; (2) the continuations of collective bargaining rights; (3) the protection of individual employees against a worsening of their positions with respect to their employment; (4) assurances of employment to employees of acquired mass transportation systems and priority of reemployment of employees terminated or laid off; and (5) paid training and retraining programs. Such a"angements shall include provisions protecting individual employees against a worsening of their positions with respect to their employment which shall in no event provide benefits less than those established pursuant to Section (5) (2) (f) of the Act of February 4, 1987 (24 Stat. 379), as amended.
40

EXHIBIT7

(Page 3 of 6)

July 23, 1975, identified below2, provided that other comparable arrangements may be substituted therefore, if approved by the Secretary of Labor and certified for inclusion in these conditions.

(4) Any dispute or controversy arising regarding the application, interpretation, or enforcement of any of the provisions of this arrangement which cannot be settled by and between the parties at interest within thirty (30) days after the dispute or controversy first arises, may be referred by any such party to any final and binding disputes settlement procedure acceptable to the parties, or in the event they cannot agree upon such procedure, to the Department of Labor or an impartial third party designated by the Department of Labor or an impartial third party designated by the Department of Labor for final and binding determination. The compensation and expenses of the impartial third party, and any other jointly incurred expenses, shall be borne equally by the parties to the proceeding and all other expenses shall be paid by the party incurring them.

In the event of any dispute as to whether or not a particular employee was affected by the Project, it shall be his obligation to identify the Project and specify the pertinent facts of the Project relied upon. It shall then be the burden of either the Recipient or other party legally responsible for the application of these conditions to prove that factors other than the Project affected the employees. The claiming employee shall prevail if it is established that the Project had an effect upon the employee even if other factors may also have affected the employee.

(5) The Recipient or other legally responsible party designated by the Public Body will be financially responsible for the application of these conditions and will make the necessary arrangements so that any employee covered by these arrangements, or the union representatives of such employee may file claim of violation of these arrangements with the Recipient with sixty (60) days of the date he is terminated or laid off as a result of the Project, or within eighteen (18) months of the date his position with respect to his employment is otherwise worsened as a result of the Project. In the latter case, if the events giving rise to the claim have occurred over an extended period, the 18-month limitation shall be measured from the last such event. No benefits shall be payable for any period prior to six (6) months from the date of the filing of any claim.

(6) Nothing in this arrangement shall be construed as depriving any employee of any rights or benefits which such employee may have under existing employment or collective bargaining agreements, nor shall this arrangement be deemed a waiver of any right of any union or of any represented employee derived from any other agreement or provision of federal, state, or local law.

2 For purposes of this wan-anty an-angement paragraph (1); (2); {5); (15); (22); (23); (24); (26); (27); (28); and (29) of the Model Section 13 Agreement, executed July 23, 1975 are to be omitted.
41

EXHIBIT7

(Page 4 of 6)

(7) In the event any employee covered by these arrangements is terminated or laid off as a result of the Project, he shall be granted priority of employment or reemployment to fill any vacant position within the control of the Recipient for which he is, or by training or retaining within a reasonable period, can become qualified. In the event training or retaining is required by such employment or reemployment, the Recipient or other legally responsible party designated by the _ Public Body shall provide or provide for such training or retaining at no cost to the employee.

(8) The Recipient will post, in a prominent and accessible place, a notice stating that the recipient __ has received federal assistance under the Federal Transit Act and has agreed to comply with the provisions of Section 13(c) of the Act. This notice shall also specify the terms and conditions set forth herein for the protection of employees. The recipient shall maintain and keep on file all relevan't books and records in sufficient detail as to provide the basic information necessary to the proper application, administration, and enforcement of these arrangements and to the proper determination of any claims arising thereunder.

(9) Any labor organization which is the collective bargaining representative of employees covered by these arrangements, may become a party to these arrangements by serving written notice of its desire to do so upon the Recipient and the Department of Labor. In the event of any disagreement that such labor organization represents covered employees, or is otherwise eligible to become a party to these arrangements, as applied to the Project, the dispute as to whether such organization shall participate shall be determined by the Secretary of Labor.

(10) In the event the Project is approved for assistance under the Act, the foregoing terms and conditions shall be made part of the contract of assistance between the federal government and the Public Body or Recipient of federal funds; provided, however, that this arrangement shall not merge into the contract of assistance, but shall be independently binding and enforceable by and upon the parties thereto, and by any covered employee or his representative, in accordance with its terms, nor shall any other employee protective agreement merge into this arrangement, but each shall be independently binding and enforceable by and upon the parties hereto, in accordance with its terms.
c. Waiver

As a part of the grant approval process, either the Recipient or other legally responsible party _.. designated by the Public Body may in writing seek from the Secretary of Labor a waiver of the statutory required protections. The Secretary will waive these protections in cases, where at the time of the requested waiver, the Secretary determines that there are no employees of the Recipient of any other surface public transportation providers in the transportation service area who could be potentially affected by the Project. A 30-day notice of proposed waiver will be given by the Project. A 30-day notice of proposed waiver will be given by the Department of Labor and -, in the absence of timely objection, the waiver will become final at the end of the 30-day notice period. In the event of timely objection, the Department of Labor will review the matter and determine whether a waiver shall be granted. In the absence of waiver, these protections shall - apply to the Project.

42

D. Acceptance

EXHIBIT 7

(Page 5 of 6)

The

(Name of Applicant)

does hereby adopt and accept all terms and

conditions of the Special 13(c) Warranty. Furthermore, the

(Name of Applicant) assures

that this agreement will be in force during the contractual period with the Georgia Department of

Transportation for assistance under Section 5311 of the Federal Transit Act.

Executed this _ _ _ day of _ _ _, 19_.

Signature of Authorized Officer Title of Authorized Officer

43

EXHIBIT7

(Page 6 of 6)

Listing of Recipients, Eligible Surface Public Transportation Providers and Labor Representation

Project

Recipients

Application for

,GA

public

transportation

funds under

Section 5311

Formula Grant

Program for general

transportation

service in

,GA

Other Surface Public
Transportation Providers

Union Representation of Employees, If Any

"'Due to the Office of lntermodal Programs, Planning Department, by November 1, 1996 for reporting purposes to the Department of Labo~

44

'.J. '
EXHIBIT BA

SECTION 5311 GRANT APPLICATION CHECKLIST PART 1- PROJECT DESCRIPTION

City/County _ _ _ _ __

Prepared by _ _ _ _ __

Phone _ _ _ _ __

Indicate by N/A any items that are not applicable.

PART I - PROJECT DESCRIPTION
Executive Summary
The Organization
The Market
The Operations
The Marketing Program
Financial Data
Budget
Copy of December Reimbursement Request or Final Request
Purchase of Service Agreement (If Applicable)
Cost Allocation Table(s) (If Applicable)
Third Party Operator Agreement (If Applicable)
Copy of Mobile Radio License (When purchasing mobile radio equipment)

Page Number

45

EXHIBIT 8B
SECTION 5311 GRANT APPLICATION CHECKLIST PART 11- COMPLIANCE REQUIREMENTS

City/County _ _ _ _ _ _ _ _ _ __

Prepared by _ _ _ _ _ _ _ _ _ __

Phone - - - - - -

Indicate by N/A any items that are not applicable.

PART II - COMPLIANCE REQUIREMENTS

1. Annual Listing of Certification and Assurances (Exhibit 3, Appendix H)
2. Intergovernmental Consultation Process Intergovernmental Coordination Form (Exhibit 4) State Review Results Areawide Review Result MPO Review Results
3. Authorizing Resolution (Exhibit 5)
4. Private Enterprise Coordination (Exhibit 6A, 6B, 6C, 6D, and 6E)
5. Labor Protection Warranty (Exhibit 7)

Page Number
- - -~
--- --
--
--
--

46

47

APPENDIX B SAMPLE PURCHASE OF SERVICE AGREEMENT

THIS AGREEMENT, executed this (Day) Of (Month) , (Vear) , between the - (Transportation Provider), hereinafter referred to as the "PROVIDER" , and the (Transportation Purchaser). hereinafter referred to as the "PURCHASER".
WHEREAS, the PURCHASER is in need of transportation services from the PROVIDER,
NOW, THEREFORE, the PROVIDER and the PURCHASER do mutually agree as follows:
1. The PROVIDER will provide transportation services for patrons of the PURCHASER to (Service Destination).
2. The PROVIDER will provide transportation services (Monday) through (Frjday), between the hours of __ a.m. and_ p.m. excluding the following: (list all days excluded, i,e, weekends, holidays, etc,).
3. The PROVIDER will furnish driver, vehicles, maintenance and repair of vehicles; liability insurance on vehicles; and all other costs for the vehicles used to carry out this AG REEM ENT.
4. .The PROVIDER will bill the PURCHASER each month based on the fully allocated costs illustrated in Exhibit A, as attached hereto and is incorporated as if fully set out herein. The PURCHASER will pay such billings within thirty {30) days of its receipt of the invoice. The PROVIDER will provide documentation of the number of hours, miles, vehicles provided and the number of one-way passenger trips.
5. The transportation services provided pursuant to this AGREEMENT SHALL BEGIN ON (Start Date) and shall continue through (Ending Date) unless sooner terminated as provided herein. Either party will have the right to terminate this AGREEMENT as of the first day of the month without liability for unperformed services by giving the other party written notice of such termination thirty {30) days in advance of the etfective date thereto.
6. This AG REEMENT may be amended by mutual consent of the contracting parties. Such amendments must be made in writing to the PROVIDER and signed by both parties, attached and made a part of this AGREEMENT.
7. The PURCHASER hereby agrees to comply with Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 793, and with the Americans with Disabilities Act of 1990.
IN WITNESS WHEREOF, the PROVIDER and the PURCHASER have executed this AGREEMENT as of the date first written above.

Name of PROVIDER Organization
By:----------Name and Title of Authorized Official

Witness: _ _ _ _ _ _ _ _ _ __ Notary:

Name of PURCHASING Organization By:------------

Witness: _ _ _ _ _ _ _ _ _ __ Notary: _ _ _ _ _ _ _ _ _ _ __

48

I.:;__,
APPENDIX C

GENERAL OPERATING GUIDELINES FOR RURAL PUBLIC TRANSPORTATION PROGRAMS

Operating Statistics Guidelines:



Average one-way passenger trips (OWPTs) per vehicle per month are at a minimum of 500



Average operating hours per vehicle, per month are at a minimum of 120



OWPTs per mile, per vehicle, per month are a minimum of 0.5 or outline steps for improvement

Budget Guidelines:



Administrative to Operating Ratio does not exceed 20%



Maintenance/Repairs + Mechanic's Salary line items should not exceed the summation of the rule

of thumb for each vehicle in the fleet ($500 x age of vehicle, maximum $2,500 per vehicle)



Vehicle insurance should not exceed $1,600 per vehicle per year



All increases in line items must be explained and justified



Fares must equal a minimum of 20% of the total administrative/operating budget



Copies of Purchase of Service Agreements with completed allocation table attached, if applicable



Copy of Third Party Operator Agreement attached, if applicable



Drug and alcohol testing cost not to exceed $1,250.00 per program



Total Section 5311 Administrative and Operating dollars do not exceed last year's contract

BJIP Guidelines



Budget cannot exceed RTIP or STIP figures (Administrative/Operating and Capital)



Equipment budgets cannot exceed RTIP or STIP



Vehicles to be replaced should be identified by the four digit DOT number in the RTIP and the Project

Description

Capital Guidelines



Capital Equipment, if requested, must be in the RTIP



Copy of unexpired Mobile Radio license attached, if applicable



Capital items must reflect the pre-published budget prices



At least one vehicle per fleet is equipped with a lift



Vehicles to be replaced are older than five years and no less than 100,000 miles



Expansion Vehicles are adequately justified and are included in the Comments section of the Section

5311 Application Submission Sheet.

49

APPENDIX D PRIVATE ENTERPRISE COORDINATION REQUIREMENTS Requirements 1-3 are addressed in the application process (Exhibit 6A). 1. The current participation of private providers in Section 5311 supported services. 2. All efforts to provide written notice to private providers of proposed services. 3. All forums. meetings, hearings, or other opportunities for involving the private sector early in the project development process. The remaining requirements 4-9 are to be addressed, as appropriate, maintained on file and kept current by the applicant. 4. Methods for periodically reviewing services to determine whether they can be provide more efficiently by the private sector. 5. Description of private sector proposals, if any, offered for consideration, and the rationale for inclusion or exclusion. 6. Any locally established criteria for making public/private service decisions. 7. The local methodology for making true cost comparisons when there are two or more operators -interested in providing service. 8. Any complaints from private operators and how these were resolved. 9. The local mechanism for resolving conflicts or complaints involving private operators.
50

APPENDIX E
PUBLIC HEARING REQUIREMENTS (For capital assistance projects that require a public hearing)
The application should include the results of a public hearing. The procedures relating to the public hearing format are outlined below:
1. Notice of Public Hearing
A) When a public hearing is to be held, a notice of public hearing shall be published at least twice in a newspaper having federal circulation in the vicinity of the proposed undertaking. The notice should also be published in any newspaper having a substantial circulation in the area concerned; such as foreign language newspapers and local community newspapers. The first of the required publications shall be from 30-40 days before the
date of the hearing, and the second shall be from 5 to 12 days before the date of the
hearing. The timing of additional publications is optional.
8) Each notice of public hearing shall specify the date, time, and place of the hearing and shall contain a description of the proposal. To promote public understanding, the inclusion of a map or other drawing as part of the notice is encouraged.
2. Conduct of Public Hearing
A) Public hearings are to be held at a place and time generally convenient for persons affected by the proposed undertaking.
B) If a hearing is scheduled, it must be conducted even it no one form the public sector is in
attendance. The hearing should be opened and the contents of the application presented. After the presentation, the opportunity for oral comment should be given prior to closing the hearing. The transcript of the hearing should reflect that the contents of the application were presented and the opportunity for public comment given.
C) Provisions shall be made for submission of written statements and other exhibits in place of, or in addition to, oral statements at a public hearing. The procedure for the submissions shall be described in the notice of public hearing. The final date for receipt of such
statements or exhibits shall be at least .ten days after the public hearing.
3. Transcript
A) _ The APPLICANT shall provide for the transcript of the oral proceedings at each public hearing. A copy of the transcript, advertisements and publisher's affidavit to be incorporated into the grant application.
51

APPENDIX F*

FTATITLE VI DATA COLLECTION AND REPORTING

(Page 1 of 3)

All applicants for FTA funding are required to maintain and provide GDOT and FTA with certain Title VI information. The required information is outlined in Part I - General Requirements. Updated information should be provided to the Department as conditions warrant but at a minimum, Part I should be provided every three years (1996, 1999, 2002, etc.).

Part II - Grantees Monitoring Procedures - For the purpose of this section, FTA is requiring that all grants that provide public transit service develop and implement procedures to monitor their level and quality of transit service to determine compliance with Title VI. These comparisons of the level and quality of transit service provided to the minority community, against overall system averages, will measure the actual realization of established service policies and standards. FTA requests that the following methodologies be incorporated in the grantee's monitoring procedures for reviewing levels and quality of service (this is to be done annually). The information should be relevant to the organizational entity actually submitting the application, not necessarily the larger agency or department of which the entity is a part.

Part I- General Reporting Requirements:

1. A list of any active lawsuits or complaints naming the applicant which allege discrimination on the basis of race, color, or national origin with respect to service or other transit benefits. The list should include:

(a) The date the lawsuit or complaint was filed; (b) A summary of the allegation; and (c) The status of the lawsuit or complaint.

2. A description of all pending applications for financial assistance, and financial assistance currently provided by other federal agencies.
3. A summary of all civil rights compliance review activities conducted in the last three years. The summary should include:

(a) The proposed reason for the review; (b) The name of the agency or the organization that performed the review; (c) A summary of the findings and recommendations of the review; and
(d) A report on the status and/or disposition of such findings and recommendations.

Please submit to the Office of lntermodal Programs by November 1, 1996.
52

APPENDIX F*
STANDARDIZED MONITORING PROCEDURES

(Page 2 of 3)

Part II - Grantees Monitoring Procedures

I. Level of Service Methodology- This section will examine the recipients, minority community, service policy and standards. Census breakdowns must be obtained from the latest U.S. Census report , which is available at any RDC, MPO or County Commissioner's Office.

A. Select Cities/Counties that have a minority population which can be monitored and analyzed when collecting data (service should be monitored at a minimum of one month).

1. Select City/County where Section 5311 transportation is provided. 2. Look at each City/County area where service is provided and determine the
percentage of minority population to total population.

8. Using the criteria listed below, provide an overview of the transit service:

1. Type of service 2. Days and hours of operation 3. Number of vehicles 4. Number of wheelchair equipped vehicles 5. Total seating capacity 6. Service area

C. Conduct a survey using the criteria listed below to determine the performance of rural transit in the area:

1. Total number of trips 2. Total number of trips provided to minorities 3. Percentage total (minority trips/ total number of trips)

D. Review the transit service provided and the provider's standards and policies. Make sure
all State, Federal, Civil Rights and Title VI mandates and requirements are met. Also, in
cases where there are findings, give recommendations.

E. Compare the average performance for each City/County transit system to the grantee's service policies and standards. If there are findings, give recommendations.

II. - Quality of Service Methodology - This section will determine whether the quality of service is consistent among different user groups and the degree to which transit service is responsive to minority needs (service should be monitored at a minimum of one month).
A. Select Cities/Counties where rural transit service is provided.
8. Conduct a survey and identify the users travel pattern (shopping trips, work trips, medical trips, etc.).

53

APPENDIX F*

(Page 3 of 3)

C. Conduct a survey and identify the travel pattern for minorities and non-minorities (shopping trips, work trips, medical trips, etc.).

D. Give a transit cost analysis using the survey results which identify the minority and nonminority travel pattern. Select the top three most traveled destinations and respond to the questions listed below:

1. Cost per hour for transit service 2. Total cost of trip destination 3. Cost per mile of trip to destination

E. In using this methodology, the grantee must compare the overall quality of service of minorities with non-minorities and take action on the disparities

*Please submit to the Office of lntermoda/ Programs by November 1, 1996.

54

APPENDIXG
REGULATORY REQUIREMENTS OF THE RURAL PUBLIC TRANSPORTATION PROGRAM

(Page 1 of 6)

ETA Title v1 Data Collection and Reporting
Grantees Monitoring Procedures - For the purpose of this section, FTA is requiring that all grants providing public transportation services develop and implement procedures to monitor their level and quality of transit service provided to the minority community, against overall system averages, measure the actual realization of established service policies and standards. FTA requests that the following methodologies be incorporated into the grantee's monitoring procedures for reviewing levels and quality of service (Appendix F). Reports must be in the Office of lntermodal Programs by November 1,
1996.
Distribution of Funds
The distribution of funds for the Section 5311 Program, the non-urbanized population of each County is taken into account in the allocation of funds. The Section 5311 formula for allocation proportions project funds based on non-urbanized population and land area relative to the total for the state. Only 70% of the project monies are apportioned; 30% is set aside for discretionary programs and to supplement County and Congressional District allocations for eligible projects.
Annual Program of Projects
The Program of Projects is developed annually as part of the Department's submission to the Federal Transit Administration. The Program of Projects reflects the results of statewide planning and of application submitted by the Counties for Section 5311 Programs. The Program of Projects reflects the Department's estimated program of Section 5311 activities for the following year. Before a project can be included in Category A of the Program of Projects, it must meet all the criteria set forth for fundable projects. Category B projects may be included if it is the County's intention to complete the eligibility requirements within the period of the grant. Category C projects are not identified; this represents a temporary category for unexpected requirements of projects listed in Categories A and B or any new projects which might be identified after the application cycle has been completed.
State Administrative and Technical Assistance
The GDOT through its District Offices, workshops and seminars provides technical assistance in the preparation of grant applications as well as program development, administration and operation. The DepartmeQt utilizes 15 percent of apportioned funds for administration, planning and technical assistance in support of these programmed activities. Funding for additional technical assistance and training is provided through the Rural Transportation Assistance Program (see RTAP).

55

coordjnauon

APPENDIXG

(Page 2 of 6) _

The Department coordinates with other State agencies to encourage coordination at the local level. Through the state's Intergovernmental Consultation Process, projects are coordinated with all relevant state agencies and local agencies. This assures that the scope and nature of the proposed project is known to all interested individuals and they can comment on how the project complements other activities.

The Department also encourages coordination with other projects and transportation consumers. The Department has a Service Policy which sets out major criteria for project operations. The Service Criteria requires that the system should recover a minimum, 20% of its operating cost from farebox revenue generated through regular operations. Cooperative agreements with other transportation consumers may be obtained through purchase of service agreements.

Incidental use

During periods when a vehicle is not needed for specific grant related purposes, it may be used for other services only if such use is incidental to the primary purpose of the vehicle and does not interfere with the use of the vehicle for its grant intended purposes.

Private Enterprise coordination

As part of the application approval process each applicant must assure that all private for-profit providers have been notified of the proposed project and that they have had adequate opportunity to present their views and offer service proposals for consideration. Other requirements of the ongoing program are reviewed annually in the program compliance certification review described later in this document.

Complaints should be resolved at the local level. Accordingly, a discrete local mechanism, preferably independent, should be established for resolving disputes in a manner which assure fairness to all parties. Complaints which cannot be resolved at the local level will be resolved at the State level according to the Rules and Regulations of Georgia Chapter 672-05 "Contested Cases Under the Administrative Procedure Act".

Computer Equipment and Software

The use of computers can assist public transportation operators by facilitating the effective use of operations and fiscal information to improve public services. A computer utilization plan must be prepared prior to filing and application.
Systems making initial application for computer equipment or requesting an upgrade must comply with the Department's Computer Utilization Plan requirements. Computer usage should equar or exceed 15 hours per week. Generally, a system having four (4) rural public transportation vehicles, or over 4,000 passengers per month should meet the above criteria. The public transportation operation should be ,able to identify one or more persons who will be working with the computer equipment. These individuals should have computer aptitude and once trained, be responsible for computer system management, i.e., computer program preparation, maintenance of programs, training in-house staff, and other associated tasks. Contact your GDOT District Representative for more information.

56

Intercity Bus Transportation

APPENDIXG

(Page 3 of 6)

The Georgia Intercity Bus Study was completed late 1994. A Steering Committee convened in 1995 to evaluate the recommendations outlined in the document. Possible projects may include the purchase of over-the-road wheelchair accessible coaches by GDOT and leased to the private intercity bus operations. Other options include a marketing and Signage program.

Buy America Public Interest Waiver

On Wednesday, March 15, 1995, FTA issued a public interest waiver under 49 U.S.C. and 49 C.F.R. 661.7(b) to exempt from its Buy America requirements, all purchases made with FTA financial assistance, including capital, planning and operating where the cost is $2,500.00 or less. This exemption covers many small purchases including office and janitorial supplies, furnishings, maintenance supplies, equipment and other small purchases. The goal of this public interest waiver is to eliminate or reduce the administrative burdens associated with FTA requirements. On July 24, 1995, FTA raised the threshold for a small purchase to $100,000.

Vehicle Insurance and Driver Requirements

The Georgia codes and federal regulations require the following:

1. Vehicles with maximum capacity of 15 passengers or less - Liability coverage in an amount of
$100,000 for death or injury of one (1) person, $300,000 in the event of injury or death of two (2) or more
persons in a single accident including liability to and employees engaged in operation of the vehicles,
and $50,000 for property damage.

2. Vehicles with capacity over 15 passengers - Liability coverage in an amount of $100,000 for the death
or injury of one (1) person, $500,000 in the event of injury or death of two (2) or more persons in a single
accident including liability to any employees engaged in operation of the vehicles, and $50,000 for
property damage.

3. Collision, fire, theft and comprehensive coverage in an amount required to pay for any damages to the project vehicles and equipment.

4. All drivers of project equipment must possess a valid license. Georgia law requires a Commercial Driver's License (CDL) to operate a vehicle designed to transport more than 15 passengers (including driver). The CDL also requires a phisical examination every two years. Contact the Department of Public Safety for details regarding licensing requirements. These requirements apply to drivers involved with charter service as well.

57

State Program Management

APPENDIX G

(Page 4 of 6)

1. Use - Equipment shall be used for the purposes detailed in the grant application to the -State. The conditions of the State application and capital contract apply for as long as the equipment is needed or for the useful life of the equipment. When no longer needed for the purposes outlined in the application, or after useful life is completed, equipment may be used in other activities as approved by the State. At no time may equipment be used to compete unfairly with private companies.

2. Management of Equipment - Property must be maintained to include the following:



description of the property



serial number or other identification number



the source of property



identification of title holder



acquisition date



original cost of property



date of disposal



sale price of property

The State will maintain property records; local areas are required to report any change in status immediately. Local area operators are required to follow manufacturer's recommended maintenance schedule for property.

3. Capital Disposition - The District Representative, using any or all of the evaluation criteria listed
below as a general guidance, will make an evaluation of a vehicle's condition and useful life. In the event the District Representative concludes that the vehicle should be surplused, then a recommendation will be made to the Office of lntermodal Programs.

Criteria for Replacement of Vehicles

A. 100,000 miles

8. Five years old

__

C. The vehicle is unserviceable and rehabilitation Is not cost effective

- D. Vehicle generally meets current operating criteria

The disposition of property shall follow the Department's Manual of Guidance Subject Number 3530-6.1.

58

APPENDIX G

(Page 5 of 6)

4. Procurement - Procurement must conform with the Official Code of Georgia Annotated Title 50,
Chapter 5, Article 3, State Purchasing. The State of Georgia AGENCY PURCHASING MANUAL issued
by the Department of Administrative Services details requirements. Procurement must be approved prior
to purchase. Purchase of unnecessary or duplicative items must be avoided. Grantees are required to analyze procurement and to investigate alternatives that will result in an economical approach. Records at a minimum must include the following:



method of procurement



selection of contract type



selection of contractor



basis for procurement

Purchases should be made through DOAS unless otherwise approved.

5. Vehicle Monitoring Program - All public transportation vehicles and equipment will be inspected annually in March by GDOT personnel. It is not intended that the vehicle inspection should substitute for or satisfy in any way State or Federal requirements for vehicular or passenger safety. However, should the vehicle condition result in reasonable doubt relative to the contractual requirement that the vehicle be maintained in good operating condition, the inspector may request the vehicle be withdrawn from service pending evaluation and correction of the deficiency. The District Representative may require non-critical deficiencies be corrected within 15 days of the inspection without the withdrawal of the vehicle from service.

6. Program Monitoring - Monitoring of service is an established part of the program. The various monitoring activities assure compliance with the contract agreement, service goals, objectives, types of service provided and service criteria. Examples of monitoring techniques include site inspections, riding vehicles and interviews with system directors, transportation coordinators, dispatchers and drivers.

Performance reports are required:



monthly reporting forms



vehicle monitoring forms

Grantees must retain and provide access to program records and other records that are maintained as a part of the program regulations or the grant agreement, or otherwise pertinent to the program. Records must be r~tained for three years after the disposition of the equipment.

7. Financial Management - The Department's Fiscal Accounting and Control System (FACS) facilitates preparation of federally mandated program reports. The FACS tracks expenditures to assure conformance with these requirements.

59

APPENDIX G

(Page 6 of 6)

8. Reimbursement Guidelines - The Section 5311 program is an ACTUAL COST reimbursement
program which uses 0 generally accepted accounting principles" and the Standard for Audits of
Governmental Organizations, Programs, Activities, and Functions, developed by the Comptroller General, dated February 27, 1981. Rural Public Transportation Programs are a partnership between the County/City and the Georgia Department of Transportation. The contract between the two parties is for -a specific period of time, usually one year, and specifies a financial relationship between the parties. The financial relationship, which involves cost sharing throughout the contract performance period, must be consistent throughout the Section 5311 program. It is expected that each line item within the budget will be reimbursed through the life of the contract. If there are six months remaining on a twelve month contract, it is expected that approximately half of each line item would still be available for reimbursement.

Rural Transit Assistance Program (RTAP)

The Rural Transit Assistance Program is intended to be a broad and flexible program of training, technical assistance, research, and other support services for non-urbanized transit.

In keeping with the RTAP program objectives, the Department will place particular emphasis on fostering the development of State and local capacity for addressing the training and technical assistance needs to the rural/small urban transportation community. Additionally, the State Program will strive to improve the quality of information and technical assistance available through the development of training and technical assistance resource materials.

60

APPENDIX H
Grants and Cooperative Agreements; Fiscal Vear 1996 Annual List of
Certifications and Assurances; Notice

lo ~\-.e ox-; 5\ ""'-\ c oy\eS

0~ --l\-.e \'a' \ou.)'1n5 f'--5es

t l - \ V'\6 ~ 5 '.\-1"' c\- v-- 1 n

D-V\O\

, s e 0l o -C: ~ o n t\-\e

61

Friday November 24, 1995
Part IV .
Department of Transportation
Federal Transit Administration Grants and Cooperative Agreements; Fiscal Year 1996 Annual List of Certifications and Assurances; Notice

S8176

Federal Register / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

DEPARTMENT OF TIIANSPORTATION Region 7: Kansas City

system designed to assist the FTA

Federal Tran1h Administration
Fl1cal Year 1996 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements

States served: Missouri, Iowa, Kansas, and Nebraska. Telephone I 816-5230204
Region 8: Denver
States served: Colorado, Utah, Wyoming, Montana, North Dakota,

grantee or recipient of a cooperative agreement in managing its FTA assisted projects and their budgets. All applicants are encouraged to particip--e
in the On-Line Program. which inclu 5 the opportunity to certify complianc1, electronicaUy for all certifications and

AGENCY: Federal Transit Administration, South Dakota, Arizona 1, and

DOT.

Nevada 1 Telephone I 303-844-3242

ACTION: Notice.

Region 9: San Francisco

assurances selected among those in Appendix A. The Electronic Grant Making and Management initiative (EGMM) pilot program initiated in

SUMMARY: This Notice contains FTA's States served: California, Hawaii, Guam, Federal Fiscal Year - 1995 has provecLo;c

comprehensive compilation of the fiscal American Samoa, and the Northern successful in reducing time and pap1

year 1996 certifications and assurances Mariana Islands. Telephone I 415- that EGMM will continue to be offen

to be used in connection with all

744-3133

to more applicants. Applicants may

Federal assistance programs administered by FTA during fiscal year 1996. (See Appendix A.) These certifications and assurances include all annual certifications required by 49 U.S.C. 5307(d)(l) for FTA's Urbanized Area Formula.Program as well as other certifications and assurances needed for compliance with various other Federal statutes and regulations affecting FTA's assistance programs.
11FECTIVE DATE: November 24, 1995.
FOR FURTHER INFORMATION CONTACT:
Linda Watkins Sorkin, Office of the Chief Counsel, Federal Transit Administration. (202) 366-1936: or contact FTA staff in the appropriate Regional Office listed below.
Region 1: Boston
States served: Maine, New Hampshire, Vermont, Connecticut, Rhode Island, and Massachusetts. Telephone I 617494-2055
Region 2: New York
States served: New York, New Jersey, and Virgin Islands. Telephone I 212264-8162
Region 3: Philadelphia
States served: Pennsylvania, Delaware, Maryland, Virginia, West Virginia, and District of Columbia. Telephone I 215-656-6900
Region 4: Atlanta
States served: Kentucky, North Carolina, South Carolina, Georgia, Florida, Alabama, Mississippi, Tennessee, and Puerto Rico. Telephone I 404-347-
- 3948
Region S: Chicago
States served: Minnesota, Wisconsin, Michigan, Illinois, Indiana, and Ohio. Telephone I 312-353-2789
Region 8: Dallas/Ft.Worth

Region 10: Seattle

contact their Regional Office shown

above for more information.



States served: Idaho, Oregon,

This 1996 Annual Certifications at

Washington, and Alaska. Telephone# Assurances document contains changes

206-220-7954

to the previous year's Federal Register

SUPPLEMENTARY INFORMATION: Before

publication. Specifically, the separa1-

FTA may award a Federal grant or

Category selection for Procurement I ,

cooperative agreement, the applicant been eliminated. In its place. paragrr.,...,

must provide to FTA aU certifications "H" has been added to Category I. This

and assurances required by Federal laws affects each applicant which is now --

and regulations for the applicant or its required by FTA Circular 4220.lC.

project.

"Third Party Contracting Requireme ;'

This Notice provides the text of

dated October 1, 1995, to self-certif\' its

certifications and assurances that may procurement system's compliance. _

be required by law for the various

Three additional changes have been

Federal assistance programs

made to the Annual Certifications at

administered by FTA including the

Assurances. One is the Urbanized Area

Capital Program, the Urbanized Area

Formula Program certification

Formula Program: the Nonurbanized

requirement for sole source purchas,- o

Area Formula Program, the

associated capital maintenance item:

Metropolitan Planning Program, the

which bas been added as paragraph "-

Rural Transit Assistance Program. the in Category XI. FTA has also redrafted

Elderly and Persons With Disabilities the previous transit security and

Program, the Human Resource Program, intercity bus expenditure requireme1 ;

the National Training Institute Program, to remove the need for the Applicanl >

the State Planning and Research

indicate whether or not it will expend

Program, and the National Planning and the percentage of funds at issue. with_

Research Program, aU codified at 49

the result that the applicant is no lor. i1

U.S.C. chapter 53. When administering required to indicate which option it s

Federal assistance programs authorized selected. This decision can be made at

by other Federal statutes, such as Title a later date and documentation ma,

23, United States Code, FTA uses these then be made available to FTA when-.

same certifications and assurances

requested. See paragraph A(l0) of

during Federal fiscal year 1996.

Category XI and paragraph P of Categor:

This Notice also provides the applicant with a single Signature Page

XIII. These changes eliminate previous
options under Categories XI and xm-

on which the applicant and its attorney now permitting the applicant to sign

certifies compliance with all

compliance with all Categories by

certifications and assurances applicable placing a single "X" in the appropriate

to each grant or cooperative agreement space at the top of the Signature --

for which the applicant wishes to apply In Federal Fiscal Year 1996. (See Appendix B.)
FTA is expanding the use of the two electronic programs for applicants introduced last year. The On-Line Program is offered to applicants through the Grant Management Information System (GMIS). This is a computerized

Selection Page in Appendix A. FTA directs your attention to FTA
Circular 9300.1, "Capital Program Grant Application Instructions," which wa$_ published on September 29.1995. Tt
circular contains a previous draft
version of the Annual Certifications and Assurances which includes some but not all of the most current and valid -
changes. Therefore the provisions of ii

States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico. Telephone I 817-860-9663

1 Tra111portatlo11 profects for thne states are admlnlatered by Region I but an posrapblcally In
Realonll.

Notice supersede conflicting statements in that circular. Note especially that the Applicant must use the most current-'

18176

Federal Register / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

DEPARTMENT OF TRANSPORTATION a.gion7:KauaaCity

system designed to usist the FrA

Federal Tranalt Admlnlatratlon
Flacal YNr 1"8 Annual Uat of Certifications and Aasuranca for Federal Transit Administration Granta and Cooperative Agreementa

States N?Yed: Miuouri, Iowa, Kansas, and Nebraska. Telephone t 816-5230204
Region I: Dnftr
States served: Colorado, Utah, Wyoming, Montana, North Dakota,

grantee or recipient of a cooperative agreement in managing its FI'A assiste projects and their budgets. All.
applicants are encouraged to participa in the On-Line Program, which includ, the opportunity to certify compliance
electronically for all certifications and

ACIINCY: Federal Transit Admlniatration, South Dakota, Arizona 1, and

usurances selected among those iD

DOT.

Nevada 1 Telephone I 303-844-3242 Appendix A. The Electronic Grant

ACTION: Notice.

&egion I: Su Fruc:iaco

Making and Management initiative (EGMM) pilot program initiated in

IUMMARY: Thia Notice contains Fl'A'a States served: California, Hawaii, Guam, Federal Fiscal Year- 1995 has proved:

comprehensive compilation of the fiscal American Samoa, and the Northern successful iD reducing time and paper

year 1996 certifications and assurances Mariana Islands. Telephone I 415- that EGMM will continue to be offered

to be used in connection with all

744-3133

.

to more applicants. Applicants may

Federal usiatance programs administered by Fl'A during fiscal year 1996. (See Appendix A.) These certifications and uaurances include all annual certifications required by 49 U.S.C. 5307(d)(l) forFl'A's Urbanized
Ana Fmmula Program u well u other
certifications and IIIU1'IDCel needed for compliance with various other Federal "statutes and regulations affecting Fl'A's usistance programs.
IFFECTIYE DATE: November 24, 1995.

Region 10: Seattle
States served: Idaho, Oregon, Wahington, and Alub. Telephone, 206-220-7954
IUPPLEMENTARY WFORMATION: Before FI'A may award a Federal grant or cooperative agreement, the applicant must provide to Fl'A all certifications and assurances required by Federal laws and regulations for the applicant orits project.
'I'his Notice provides the text of

contact their Regional Office shown above for more information.
This 1996 Annual c:ertifications and Assurances document contains change to the previous year's Federal llegister
publication. Specifically, the separate
Category selection for Procurement ha!
been eliminated. In its place, paragrapl H" has been added to Category L Thu
affects each applicant which is now required by FTA Circular 4220.lC, ..Third Party Contracting Requirement: dated October 1, 1995, to self-certifv it:

FOR FURTHER WFORIIATION CONTACT: Linda Watkins Sorkin, omce of the Chief Counsel, Federal Transit Administration, (202) 366-1936; or
contact Fl'A staff in the appropriate Regional omce listed below.

certifications and usurances that may be required by law for the various Federal assistance programs administered by FrA including the Capital Program, the Urbanized Area Formula Ptogram; the Nonurbanized

procurement system's compliance. Three additional changes have been made to the Annual Certifications and Assurances. One is the Urbanized AreE Formula Program certification requirement for sole source purchases

&egion 1: BOiton

Ana Formula Program, the M.etropolitan Planning Program, the

associated capital maintenance items. which has been added as paragraph C.

States served: Maine, New Hampshire, Rural Transit Auistance Program, the in Category XI. FTA has also redrafted

Vermont, Connecticut, Rhode Island, Elderly and Persons With Disabilities the previous transit security and

and Massachusetts. Telephone t 617- Program, the Human Resource Program, intercity bus expenditure requirement!

494-2055

the National Train.ins Institute Program, to remove the need for the Applicant tc

&egion 2: New York States Nl'Ved: New York, New Jersey,

the State Plamling and Research

indicate whether or not it will expend

Program, and the National Planning and the percentage of funds at issue, \\ith

Research Program, all codified at 49

the result that the applicant is no long,

and Vbgin Islanda. Telephone I 212- U.S.C. chapter 53. When administering required to indicate which option it ha

264-8162

Federal usistance programs authorized selected. This decision can be made at

Region 3: Philadelphia

by other Federal statutes, such u Title a later date and documentation ma, 23, United States Code, Fl'A uses these then be made available to FTA when

States 1erved: Pennsylvania, Delaware, IUlle certifications and assurances

requested. See paragraph A(l0) of

Maryland, VirRinia, West Virginia,

during Federal fiscal year 1996.

Category XI and paragraph P or Catego1

and District of Columbia. Telephone I 215-65~900

This Notice also provides the applicant with a single Signature Page

oXplltli.oTnhseusnedcehraCngateesgeolriimesinXaItaenpdrexvmio.us

Regicna4:Atlanta

on which the applicant and Its attorney now permitting the applicant to signify

certifies compliance with all

compliance with all Categories by

States served: Kentucky, North Carolina, certifications and assurances applicable placing a single ..X" in the appropriate

South Carolina, Georgia, Florida, . to each grant or cooperative agreement apace at the top of the Signature

Alabama, Mississippi, Tennessee, and Puerto Rico. Telephone I 404-347- 3948
&egion S: <Jaicago
States served: Minnesota. Wilconsin, Michigan, Illinois, Indiana, and Ohio. TelephODe t 312-353-2789
&egion I: DallulFI.Wortb

for which the applicant wishes to apply in Federal Fiscal Year 1996. (See Appendix B.) .
Fl'A is expanding the use of the two electronic programs for applicants introduced last year. The OnLine
Program is offered to applicants throup
the Grant Management Infomation System (GMIS). This is a computerized

Selection Page iD Appendix A. . Fl'A directs your attention to FTA
CAiprpculilcaarti9o3n00In.1s,truCctaipointasl,"Prwohgricamh wGas~
published on September 29, 1995. That c:trcular contains a previous draft .
version of the Annual Certifications anc
Assurances which includes some but
not all of the most current and valid : changes. Therefore the provisions of thi

States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico. Telephone I 117~3

.......Truapor11tion projlcta far ti..1111191119
admllllatued by Jteaion I but an popapbically In

Notice supersede confiicting statement1 in that c:trcular. Note especially that the

Applicant muat use the most current

----------------------- - ----- -- -

Federal Register / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

58177

Signature Pages shown ln this Federal Continued Validity now no longer

The Signature Page, when properly

-.giller document or provided

required. However, the applicant's

signed and submitted to FTA, assures

concurrently throuRh the EGMM initiative diicusaecfabove.

Attorney Affumation continues to be fTA that the applicant intends to -required as Indicated on the Signature comply with the requirements for the -

Background

Page at the end of Appendix B.

Last year, with the publication of the
Federal filCal year 1995 counterpart of this Notice, certifications and
assurances for Federal assistance programs administered by fTA were for
the first time consolidated Into one document. This marked the beginning of
an effort to assist applicants in nducing time and paper work ln certifying

fTA Intends to continue publishing this document annually with any changes or additions specifically highlighted, ln conjunction with its publication of the FTA annual apportionment Notice, which allocates funds ln accordance with the latest U.S. Department of Transportation (U.S. OOT) annual appropriations act.

specific-program involved. Both sides of tbe Signature Page must be completed, first by marking where appropriate with an X 11 " on the category selection side, and then signifying compliance by signing the signature side. (See Appendix B.)
An applicant participating in the On ~ Line Program or the EGMM Program described above, may submit its

compliance with various Federal Jaws Proc:eclurm

Signature Page (both the selection side

and J'98)1Jations. It coincided with the

and the signature side) electronically.

On-Line Program and the EGMM

Following is a detailed compilation of The applicant should not hesitate to

initiative described above, which also C..rtifications and Assurances

consult with the appropriate Regional

nduced the time and paper required to (Appendix A), followed by a Signature Office or Headquarters Office before

process an a_pplication.

Page (Appendix B). The Signature Page submitting its certifications and

This publication of certifications and is to btt signed by the applicant's

assurances therefore continues to

authorized representative and its

.a.s,s.u.r,a.n.c..es.

supersede the requirements of fTA

attorney (the attorney's current

Circular 8100.tB, dated July 1, 1988, affirmation may be on file ln some

49 U.S.C. chapter 53, Title 23 t:.S.C.. 42

..Standard Assurances for Urban Mus Instances), and sent to the appropriate U.S.C. 4151, Title VJ and Title VII of the CM

Transportation Administration

fTA Regional office by: (1) the first-

Rights Act, FI'A regulations under 49 CFR.

Applications,., which was rescinded. quarter application submission date

and FI'A Circulars.

Other fTA circulan affected by this

published in fTA's Federal fiscal year

Juued: November 17, 1995.

Notice will be revised accordingly. These annual certifications and usurances with the Signature Page also

1996 apportionment announcement: or (2) with the applicant's first Federal
usistance application ln Federal fiscal

Gonion J. Linton,
Administrator.

continue to supersede a Statement of year 1896.

8LUIOCOOl"1M7_..

58178

Federal llegister / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

Appendix A

FEDERAL FISCAL YEAR 1996 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
Each Applicant is requested to provide u many or the followin& certifications and assurances u possible to cover the various types or Federal usistance programs for which the Applicant intends to seek Federal assistance from FTA in Federal Fiscal Year 1996. A state making certifications and assurances on behalf or its prospective subrecipients is apected to obtain sufficient documentation from those subrecipients as necessary for the state to make informed certifications and usurances. Tbe thirteen categories or certifi~tions and assurances are listed by Roman numerals I through XIII on the other aide of the Signature Paa document. Categories D through XW wW apply to some, but ot all applicants. Tbe categories correspond to the following descriptions or circumstances mandating submission or specific certifications, assurances, or agreements:

L CERTIFICATIONS AND ASSURANCES REQUIRED OF EACH APPLICANT
Each Applicant for Federal assistance awarded by FTA D!l!11 make all certifications and assairaiacesin this Category L Accordingly, FTA may not award any Federal usistance until the Applicant provides usurance or compliance by selectina Category I on the Signature Page at the end or this document.

A. Authority of Az>licant and hs Jw,resentative

The authorized representative ofthe Applicant and legal counsel who sign these cenifications,

assurances. and agreements attest that both the Applicant and its authorized representative have

adequate authority under state and local law and the by-laws or internal rules ofthe Applicant

organization to:

(I) Execute and file the application for Federal assistance on behalfofthe Applicant,

(2) Execute and file the required certifications, assurances, and agreements on behalfof the

Applicant binding the Applicant, and

.

(3). Execute grant and cooperative agreements with FTA on behalfofthe Applicant.

B. Standard Assurances
The Applicant assures that it will comply with all applicable Federal statutes, regulations, executive orders, FTA circulars, and other Federaf administrative requirements in carrying out any grant or cooperative agreement awarded by FTA. The Applicant acknowledges that it is under a
its continuing obligation to comply with the terms and conditions ofthe grant or cooperative
agreement issued for approved project with FTA. The Applicant understands that Federal laws, regulations, policies, and administrative practices might be modified from time to time and affect the implementation ofthe project. The Applicant agrees that the most recent. Federal requirements will apply to the project. unless FTA issues a~tten determination otherwise.

FTA Ccnifications and Assunnca for Fasc:al Yar 1996

Federal Register / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

58179

Appendix A

C. Debarment, Suspension, and Other ResponsibilitY Matters - Primatv Covered Transactions

As required by U.S. DOT regulations on Govemmentwide Debarment and S-uspension

(Nonprocurement) at 49 CFR 29.510:

(1) The Applicant (Primary Panicipant) certifies to the best orits knowledge and belief, that it

and its principals:

(a) Are not presently debmed, suspended, proposed for debarment. declared ineligible, or

voJuntariJy acluded fro~ covered transactions by any Federal depanment or agency~

(b) Have not within a three-year period preceding this proposal been convicted of or had a

civil judgment rendered against them for commission orfraud or a criminal offense in COMection

with obtaining. attempting to obtain, or performing a public (Federal, state. or local) transaction

or contract under a public transaction~ violation orFederal or state antitrust statutes~ or

commission ofembezzlement, theft, forgery, bribery, falsification or destruction ofrecords,

making false statements. or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or civilly charged by a

governmental entity (Federal, state. or local) with commission orany ofthe offenses listed in

paragraph (2) ofthis certification~ and

(d) Have not within a three-year period preceding this certification had one or more public

transactions (Federal, state. or local) terminated for cause or defauh.

(2) The Applicant also certifies that if, later, it becomes aware ofany information contradicting

the statements ofparagraphs (a) through (d) above, it will promptly provide that information

toFTA.

.

(3) Ifthe Applicant (Prinwy Panicipant) is unable to certify to the statements within

paragraphs (1) and (2) above, it shall indicate so on its Signature Page and provide a written

explanation to FfA.

D. PiYa-Free Workplace Ccaification

As required by U.S. DOT regulations on Drug-Free Workplace Requirements (Grants) at 49 CFR 29.630, the Applicant certifies that it will provide a drug-free workplace by: (1) Publishing a statement notifying its employees that the unlawful manufacture, distribution. dispensing. possession, or use ofa controlled substance is proluoited in the Applicant's workplace and specifying the actions that will be taken against its employees for violation ofthat prohibition, (2} Establishing an ongoing drug-free awareness program to inform its employees about: (a) the dangers of drug abuse in the workplace~ (b) the Applicant's policy of maintaining a drug-free workplace; (c) any available drug counseling. rehabilitation. and employee usistance programs; and (d) the penalties that may be imposed upon its employees for drug abuse violations occurring
in the workplace; (3) Making it arequirement that each of its employees to be engaged in'the performance of the grant or cooperative agreement be given a copy ofthe sta~ement required by paragraph (1); .. (4) Notifying each ofits employees in the statement required by paragraph (1) that, as a condmon ofcmplo,inent financed with federal assistance provided by the grant or cooperative agreement, the empk>yee will (a) abide by the terms oflhe statement. and (b) notify the employer {Applicant)

fTA Ccrlific:a1ions and Assuranca for Fisc:11 Ycar 1996

2

'
1.J:,_;

58180

Federal lleglster / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

Appendix A

in writing ofhis or her conviction for aviolation ofa criminal drog statute occurring in the workplace no later than S c:aJendar days after that conviction; (S) Notifying FTA in writing. within 1Oc:aJendar days after receiving notice required by paragraph.(4)(b) above fi'om an employee or otherwise receiving actual notice of that conviction. The Applicant, which is the employer ofany convicted employee must provide notice, including position title, to every project officer or other designee on whose project activity the Applicant's
convicted employee was working. Notice shalt indude the identification number(s) ofeach
affected grant or cooperative agreement. (6) Taking one ofthe following actions within 30 c:aJendar days ofreceiving notice under paragraph (4)(b) above with respect to any employee who is so convicted: (a) by taking appropriate personnel action against that employee, up to and induding termination, consistent . with the requirements ofthe Rehabilitation Act of 1973, as amended, or (b) by requiring that employee to participate satisfactorily in a drog abuse assistance or rehabilitation program approved for such purposes by a Federal, state, or local health, law enforcement, or other appropriate agency; (7) Making a good wth eff'on to continue to maintain a drog-free workplace through implementation ofparagraphs (1). (2), (3), (4), (5), and (6) above. The Applicant has or will provide to FTA a list identifying its headquarters location and each workplace it maintains in which project activities Sllpponed by FTA are co~ducted.

E. Imeraovenm,ental Review Assurance

The Applicant assures that each application for Federal assistance submitted to FTA has been or wiJJ be submitted, as required by each state, for intergovernmental review to the appropriate state and local agencies. Specifically, the Applicant assures that it has fulfilled or will fulfill the obligations imposed on FTA by U.S. DOT regulations,. "Intergovernmental Review of Department ofTransportation Programs and Activities." 49 CFR pan 17.

F. Nondiscrimination Assurance
. .
As required by 49 U.S.C. S332, Title VI ofthe Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, ind U.S. DOT regulations, "Nondiscrimination in Federally-Assisted Programs ofthe Department ofTransportation - Eff'ectu~tion ofTitle VI ofthe Civil Rights Act. 49 CFR pan 21 at 21.7. the Applicant assures that it will comply with all requirements of 49 CFR pan 21 ~ FTA Circular 4702.1. "Title VI Program Guidelines for Federal Transit Administration Recipients~ and other applicable directives, so that no person in the United States. on the basis of race, color. . national origin. creed. sex, or age will be excluded from panicipation in be denied the benefits of. or otherwise be subjected to discrimination in any program or activity (p.srticularly in the level and quality oftransportation services and transportation-related benefits) for which the Applicant
receives Federal assistance awarded by the U.S. DOT or FTA as follows: ( 1) The Applicant assures that each project will be conducted, property acquisitions will be undertaken, and project facilities will be operated in accordance with all applicable requirements of49 U.S.C. S332 and 49 CFR part 21. and understands that this assurance extends to its entire
facility and to facilities operated in connection ~ith the project.

FTA CmiflCllions and Auuranc:a for Fiscal ,car 1996

3:

Federal Register / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

5818-

Appendix A

(2) The Applicant assures that it will take appropriate action to ensure that any transferee

receiving property financed with Federal assistance derived from FTA will comply with the

applicable requirements of49 U.S.C. 5332 and 49 CFR pan 21.

,

(3) The Applicant assures that it will promptly take the necessary actions-,u effectuate this

assurance, including notifying the public that complaints of discrimination in the provision of

transponation-related services or benefits may be filed with U.S. DOT or FTA. Upon request by

U.S. DOT or FTA, the Applicant assures that it will submit the required information pertaining to

its compliance with these requirements.

(4) The Applicant assures that it will make any changes in its 49 U.S.C 5332 and Title VI

implementing procedures as U.S. DOT or FTA may request.

(5) As required by 49 CFR 21.7(aX2), the Applicant will include appropriate clauses in each

third party contract or subagreement to impose the requirements of49 CFR part 21 and

49 U.S.C. 5332, and include appropriate provisions imposing those requirements in deeds and

instruments recording the transfer ofreal property, structures, improvements.

G. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, "Nondiscrimination on the Basis ofHandicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance, at 49 CFR 27.9, implementing the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990, the Applicant assures that, as a condition to the approval or extension of any Federal assistance awarded by FTA to construct any facility, obtain any rolling stock or other equipment, undertake studies, conduct research, or to participate in or obtain any benefit from any program administered by FTA, no otherwise qualified person with a disability shall be, solely by reason of that disability, excluded from participation in, denied the benefits of, or otherwise subjected to discrimination in any program or activity receiving or benefiting from Federal assistance .administered by the FTA or any entity within U.S. DOT. The Applicant assures that project implementation and operations so assisted will comply with all applicable requirements of U.S. DOT regulations implementing the Rehabilitation Act of 1973. as amended, and the Americans with Disabilities Act of 1990, and any later amendments thereto. at 49 CFR pans 27, 37, and 38, and any applicable resuJations and directives issued by other Federal departmen!s or agencies .

.H. Procurement Compliance

The Applicant certifies that its procurements and procurement system will comply with all applicable requirements imposed by Federal Jaws. executive orders, or regulations and the requirements ofFTA Circular 4220. IC, Third Party Contracting Requirements, and other implementing guidance or manuals TTA may issue. The Applicant certifies that it will include in
its contracts financed in whole or in part with FTA assistance all clauses required by Federal Jaws,
executive orders, or regulations, and will ensure that each subrecipient and contractor will also
include in ns subagreements and contracts financed in whole or in part with TTA assistance all
applicable dauses required by Federal Jaws, executive orders, or regulations.

n A Ccnificatiom and Assurances for Fiscal Year 1996

.

58182

Federal Register / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

Appendix A

IL LOBBYING CERTIFICATION REQUIRED FOR EACH APPLICATION EXCEEDING $100.000

An Applicant that submits, or intends to submit this rascal year, a~ application for Federal assistance aceedin& SI 00,000 must provide the followin& certification. FTA may not provide Federal assistance for an application uceeding $100,000 until the Applicant
provides this certification by selectin1 Catqory II on the Si1natu~ Page.

A As required by U.S. DOT regulations, New Restrictions on Lobbying. at 49 CFR 20.110, the Applicant's authorized representative certifies to the best ofhis or her knowledge and belief that for each application for a Federal assistance exceeding SI00,000: ()) No Federal appropriated funds have been paid or will be paid, by or on behalfofthe Applicant, to any person for mfluencins or attempting to influence an officer or employee ofany agency, a Member of Congress, an officer or employee ofCongress, or an employee ofa Member ofCongress pertaining to the award ofany Federal assistance, or the extension, continuation, renewal, amendment, or modification ofany Federal grant or cooperative agreement~ and (2) Ifany funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee ofany agency, a Member ofCongress, an officer or employee ofCongress, or an employee ofa Member ofCongress in connection with any application to FTA for Federal assistance, the Applicant assures that it will complete and submit Standard Form-LLL, Disclosure Form to Repon Lobbying, including the information required by the form's instructions. B. The Applicant understands that this certification is a material representation offact upon which reliance is placed and that submission ofthis certification is a prerequisite for providing Federal assistance for a transaction covered by 31 U.S.C. 13S2. The Applicant also understands that any person who fails to file a required cenification shall be subject to a civil penalty of not less than S10,000 and not more than $100,000 for each such failure.

m. PUBLIC HEARING CERTIFJCAnoN REQUIRED FOR EACH PROJECT
lEXCEPT URBANIZED AREA FORMULA PROJECTS} THAT WILL
SUBSTANTIALLy AFFECT A COMMUNID' OR ITS TRANSIT SERVICE

An Applicant for Capital Program assistance or other Federal assistance (except
Urbanized Area Formula Program assistance), that will substantially affect a community or its transit sen-ice must provide the following certification. FTA ma.1 not award that
Federal assistance until the Applicant provides this certification b) selecting Category DI
GD the Si1nature Page.

As required by 49 U.S.C. S323(b), the Applicant certifies that it has, or before submitting its
application, v.iJI have: A. Provided an adequate opponunity for a public hearing with adequate prior notice ofthe proposed project published in a newspaper ofgeneral circulation in the geographic area to be
served~

FrA Ccnifications and Assurances tor Fiscal Ycar 1996

5

Federal Register / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

Appendix A

&. Held that hearing and provided FTA a transcript or detailed repon summarizing the issues and

responses, unless no one. with a significant economic, social, or environmental interest requests a

hearing;



C. Considered the economic, social, and environmental effects ofthe project; and

D. Determined the project to be consistent with official plans for developing the urban area.

JV. CERTIFICATION OF PRE-AWARD AND POST-DELIVERY ROLLING STOCK REVIEWS REQUIRED FOR EACH APPLICANT SEEKING TO PURCHASE
ROLLING STOCK FINANCED WITH FEDERAL ASSISTANCE AWARDED BY ITA
An Applicant seeking FrA assistance to purchase rolling stock must make the following certification. FrA may not provide assistance for any rolling stock acquisition until the Applicant provides this certificaiion by selecting Category JV on the Signature Page.
As required by 49 U.S.C. 5323(1), and implementing FTA regulations at 49 CFR 663.7, the Applicant certifies that it will comply with the requirements of 49 CFR pan 663, in the course of purchasing revenue iervice roJling stock. Amons other things, the Applicant will conduct or cause to be conducted the prescribed pre-award and post-delivery reviews, and will maintain on file the cenifications required by 49 CFR pan 663, subparts B, C, and D.

v. BUS TESTING CERTITICATION REQUIRED FOR NEW BUSES
An Applicant seeking FTA assistance to acquire new buses must make the following certification. FTA may not provide .assistance for the acquisition or ne. buses until the Applicant provides this certification by selecting Category V on thr Signature Page.
As required by FTA regulations, "Bus Testing. at 49 CFR 66S.7, the Applicant certifies that before expending any Federal assistance to acquire the first bus ofany new bus model or any bus model with a new major change in configuration or components or authorizing final acceptance of that bus (as described in 49 CFR pan 66S): A. The model ofthe bus will have been tested at a bus testing facility approved by FTA~ and B. It will have received a copy ofthe test repon prepared on the bus model.

VJ. CHARTERBUSAGREMENT

An Applicant seeking FJ'A assistance to acquire buses must enter into the following chartrr bus agreement. fTA may not provide assistance for bus projects until the Applicant enten into this agreement by selecting Category VJ on the Signature Paae.

A. As required by 49 U.S.C. 5323(d) and FTA regulations. chaffer Service, at 49 CFR 604.7. the Applicant agrees that it and its recipients will: ( 1) provide charter service that uses equipment

FTACenific:auons and Assurances for Filc:ll Year 1996

6

58184

Federal llegister / Vol. 60, No. 226 / Friday, November 24, 1995 / Notices

AppendixA

or facilities acquired with Federal assistance authorized for 49 U.S.C. 5307, 5309, or S311 or
Title 23 U.S.C., only to the extent that there are no private chaner service operators willing and able to provide the chaner service that it or its recipients desire to provide, unless one or more of the exceptions in 49 CFR 604.9 applies, and (2) comply with the provisions of49 CFR pan 604 before they provide any chaner service using equipment or facilities acquired with Federal assistance authorized for the above statutes.
B. The Applicant understands that the requirements of49 CFR pan 604 will apply to any chaner service provided, the definitions in 49 CFR pan 604 apply to this agreement, and violation of this agreement may require corrective measures and the imposition ofpenalties, including debarment fi'om the receipt offurther Federal assistance for transponation.

VD. SCHQQLBUSAGREEMENT
An Applicant seeking FTA assistance to acquire tnnsportation facilities and equipment must agree as follows. FTA may not provide assistance for tnnsportation facilities until the Applicant enten into this ,\p'eement by selectina Category VD on the Signature Page.
.A. As required by 49 U.S.C. 5323(f) and FTA regulations, school Bus Operations, at 49 CFR 605.14, the Applicant agrees that it and all its recipients will: (1) engage in school bus operations in competition with private school bus operators only to the extent permitted by an exception provided by 49 U.S.C. 5323(f), and implementing regulations, and (2) comply with the requirements of49 CFR pan 605 before providing any school bus service using equipment or facilities acquired with Federal assistance authorized by 49 U.S.C. chapter 53 or Title 23 U.S.C. awarded by FTA for transponation projects. B. The Applicant understands that the requirements of49 CFR pan 60S will apply to any school bus service it provides. the definitions.of 49 CFR pan 60S apply to this school bus agreement, and a violation of this agreement may require corrective measures and the imposition ofpenalties. including debarmentirom the receipt offurther Federal assistance for transponation.

VIII. CERTJFJCATJON REQUIRED FOR THE DIRECT AwARD OF UA
ASSISTANCE TO AN APPLICANT FOR ITS DEMAND RESPONSIVE SERVICE

An Applicant steking Federal assistance directly to support its demand responsivt servict must providt tht following certification. ITA may not award Fedtral assistance directly 10 an Applicant to support its demand responsive service until the Applicant provides this certification by selecting Category VIII on tbt Signature Page.

A5 required by U.S. DOT regulations, -Transponation Services for Individuals with Disabilities
(ADA)." at 49 CFR 37.77. the Applicant cenifies that its demand responsive service offered to persons with disabilities. including persons who use wheelchairs, is equivalent to t~ level and quality ofservice offered to persons without disabilities. When viewed in its entirety, its service for persons with disabilities is provided in the most integrated setting feasible and is equivalent

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with respect to: (J) response time, (2) fares, (3) geographic service area, (4) houn and days of service, (5) restrictions on trip purpose, (6) availability ofinformation and reservation capability, and (7) constraints on capacity or service availability.

IX. SUBSTANCE ABUSE CERTIFICATIONS REQUIRED BY JANUARY t. 1996
An Applicant required by Federal regulations to provide the following substance abuse certifications, must do o by January 1, 1996. Fl'A may not provide Federal assistance
antil an Applicant required to provide the followin& certifications by January l, 1996 bas
selected Catqory IX on the Signature Page.
A Alcohol Jestina Certification
As required by FfA regulations, "Prevention ofAlcohol Misuse in Transit Operations, at 49 CFR 654.83, the Applicant certifies that it has or will have, before January 1, 1996, established and implemented an alcohol misuse prevention program complying with the requirements of49 CFR pan 654; and ifthe Applicant has employees regulated by the Federal Railroad Administration (FRA), the Applicant also certifies that it has for those employees an alcohol misuse prevention program complying with the requirements ofFRA's regulations, control of Alcohol and Drug Use, 49 CFR pan 219.
B. Anti-Drys Program Certification
As required by FfA regulations, "Prevention ofProhibited Drug Use in Transit Operations, at 49 CFR 653.83, the Applicant certifies that it has or will have, before January 1, 1996, established
and implemented an anti-drug program and has conducted employee training complying with the requirements of49 CFR pan 653; and ifthe Applicant has employees re~lated by FR.A. the
Applicant also certifies that it has for those employees an anti-drug program complying with the requirements offRA's regulations, control of Alcohol and Drug Use, 49 CFR part 219.

x. ASSURANCES REQUIRED FOR PROJECTS INVOLVING REAL PROPERD'
The Applicant must provide the following assurances in connection with eacb application for Federal assistance to acquitt (purchase or lease) real property. FfA may aot award
Federal usistance for a project involving real property until the Applicant provides these assurances 1bown by selectin& Category X on tbe Signatutt Page.
A. Relocation and Real Prm,erty Acquisition Assurance
As required by U.S. DOT regulations. "Uniform Relocation Assistance and Real ~peny Acquisition for Federal and Federally Assisted Programs, at 49 CFR 24.4, and sections 210

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and 30S ofthe Uniform Relocation Assistance and Real Propeny Acquisition Policies Act of

1970, as amended (Uniform Relocation Act). 42 U.S.C. 4630 and 465S, the Applicant assures

that it has the requisite authority under applicable state and local Jaw and will comply with the
requirements ofthe Uniform Relocation Act. 42 U.S.C. 4601 msg. ana U.S. DOT regulations,

uniform Relocation Assistance and Real Propeny Acquisition for Federal and Federally Assisted

Programs, 49 CFR pan 24 including. but not limited to the following:

(I) The Applicant will adequately inform each affected person ofthe benefits, policies, and

procedures provided for in 49 CFR pan 24;

(2) The Applicant will provide fair and reasonable relocation payments and assistance required by

42 U.S.C. 4622. 4623, and 4624~ 49 CFR pan 24; and any applicable FTA procedures, to or for

families, individuals, partnerships. corporations or associations displaced as a result ofany project

financed with FTA assistance;

(3) The Applicant will provide relocation assistance programs offering the services described in

42 U.S.C. 462S to such displaced families, individuals, partnerships, corporations or associations

in the manner provided in 49 CFR pan 24 and FTA procedures;

(4) Within a reasonable time before displacement, the Applicant will make available comparable

replacement dweJJings to displaced families and individuals as required by 42 U.S.C. 462S(c){l);

(5) The Applicant will carry out the relocation process in such a manner as to provide displaced

persons with uniform and consistent services, and will make available replacement housing in the

same range of choices with respect to such housing to all displaced persons regardless of race.

color. religion. or national origin; and

..

(6) In acquiring real propeny, the Applicant will be guided to the greatest extent practicable

under state Jaw, by the real property acquisition policies of42 U:S.C. 46S J and 4652;

(7) The Applicant will pay or reimburse property owners for necessary ex~s as specified in

42 U.S:C. 46S3 and 46S4, understanding that FTA will participate in the Applicant's costs of

providing those payments and that_ assistance for the project as required by 42 U.S.C. 4631;

(8) The Applicant will execute suchamendments to third party contracts and subagreements

financed with FTA assistance and execute, furnish. and be bound by such additional documents as

FTA may determine necessary to effectuate or implem"Cnt the assurances provided herein; and

(9) The Applicant agrees to make this document part ofand incorporate it by reference in any

third pany contract or subagreement, or any supplements and amendments thereto. relating to any

project financed by FTA involving relocation or land acquisition and provide in any affected

document that these relocation and land acquisition provisions shall supersede any conflicting

provisions.

B. flood Insurance toveraae

As required by section J02(a) ofthe Flood Disaster Protection Act of 1973, 42 U.S.C. 4012a(a). the Applicant assures that in the course of implementing each project financed with Federal assistance, the Applicant wilJ obtain appropriate insurance for any real estate acquired or construction undertaken thereon within any special flood hazard area as identified by the Federal Insurance Administrator. The Applicam understands that such insurance is available in the panicipating area through the U.S. Federal Emergency Management Agency's National Flood
Insurance Program.

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c. Seismic Assurance

As required by U.S. DOT regulations, seismic Safety, 49 CFR 4 l.117(d). the Applicant assures
that before it ~ t s delivery ofany building financed with Federal assistance provided by FTA,
the Applicant will obtain a certificate ofcompliance with the seismic design and construction -- requirements of49 CFR pan 41.

XL CERTIFICATIONS REQUIRED FOR THEURBANIZEDAREAFQRMULAPRQGRAM

Each Applicant to FTA for Urbanized Area Formula Program assistance authorized for 49 U.S.C. !307 must provide the following certifications in connection with its application. FTA may not award Urbanized Area Formula Pro1ram assistance to the Applicant until the Applicant provides these certifications and assurances shown by selectin1 Category XI on the Signature Page.

A Certifications Reguired b.v Swute

As required by 49 U.S.C. S307(d)(J )(A) through (J), the Applicant certifies that: (J) It has or will have the legal. financial, and technical capacity to carry out the proposed program orprojects;
(2) It has or will have satisfactory continwng control over the use orthe equipment and facilities; (3) Jt will adequately maimain the equipment and facilities;
(4) It will ensure that the elderly and. handicapped persons, or any person presenting a Medicare card issued to himselfor herselfunder title II or title XVIII ofthe Social Security Act (42 U.S.C. 401 11 sg. or 42 U.S.C. 139S 11 sg.). will be charged during non-peak hours for transportation using or involving a facility pr equipment ofa project financed with Federal assistance authorized for 49 U.S.C. S307 not more than.SO percent ofthe peak hour fare; (5) Jn carrying out a procurement financed with Federal assistance authorized for the Urbanized Area Formula Program at 49 U.S.C. 5307, it will use competitive procurement (as defined or approved by the Secretary), it will not use a procuremem using exclusionary or discriminatory specifications, and it will comply with applicable Buy America laws in carrying out a procurement; (6) lt has complied or will comply with the requiremems of49 U.S.C. S307(c)~ specifically, it has or before submitting its application it will: (a) make available to the public information on amounts available for the Urbanized Area Formula Program at 49 U.S.C. S307 and the program ofprojects it proposes to undertake with those funds; (b) develop. in consuhation with interested parties, including private transponation providers, a proposed program ofprojects for activities to
be financed; (c) publish a proposed program ofprojects in a way that affected citizens. pri~-ate
transportation providers. and Jocal elected officials have the opponunity to examine the proposed program and submit comments on the proposed program and the performance ofthe Applicam; (d) provide an opponunity for a public hearing to obtain the views of citizens on the proposed program ofprojects; and (e) ensure that the proposed program ofprojects provides for the coordination oftransportation services assisted under 49 U.S.C. S336 with transponation services

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Appendix A

assisted by another Federal Government source; (f) consider comments and views received, especially those ofprivate transportation providers, in preparing the final program ofprojects; and (g) make the final program ofprojects available to the public; (7) It has or wiJJ have available and wiJJ provide the amount of funds_required by 49 U.S.C. S307(e) and applicable FTA policy (specifying Federal and local shares ofproject costs); (8) It wiJJ comply with: (a) 49 U.S.C. S30J(a) (requirements to develop transponation systems that maximize mobility and minimize fuel consumption and air poJlution); (b) 49 U.S.C. 5301(d) (requirements for transportation ofthe elderly and persons with disabilities); (c) 49 U.S.C. 5303 through 5306 (planning requirements); and (d) .49 U.S.C. S310(a) through (d) (programs for the elderly and persons with disabilities); (9) It has a locaJJy developed process to solicit and consider public comment before raising fares or implementing a major reduction oftransportation; and (10) As required by 49 U.S.C. S307(d)(l)(J), it wiJI expend at least one percent ofthe amount of Federal assistance it receives for this fiscal year apponioned by 49 U.S.C. 5336 for transit security projects, including increased lighting in or adjacent to a transit system (including bus stops, subway stations, parking Jots, and garages), increased camera surveiJlance ofan area in or adjacent to that system, providing an emergency telephone line to contact law enforcement or security personnel in an area in or adjacent to that system, and any other project intended to increase the security and safety ofan existing or planned transit system; unless it has decided that it is not necessary to expend one percent ofthat Federal assistance this"fiscaJ year for transit security projects.

B. Certification Reguired for Capital Leasins
. As required by FTA regulations, capital Leases, 49 CFR at 639.1 S(b)(1) and 639.21, to the extent that the Applicant uses Federal assistance authorized for 49 U.S.C. 5307 to acquire any
capital asset by lease, the Applicant certifies that: (1) It will not use Federal assistance authorized for 49 U.S.C. 5307 to finance the cost ofleasing any capital asset until it undenakes calculations demonstrating that it is more cost-effectiye to lease the capital asset than to purchase or construct similar assets; (2) It will complete these calculations before entering into the lease or before receiving a capital
grant for the asset, whichever is later~ and (3) It will not enter into a capital lease for which FTA can only provide incremental funding unless it has the financial capacity to meet its future obligations under the lease in the event Federal assistance is not available for capital projects in subsequent years.

c. Certification Reguired for Sole Source Purchase of Associated C1pita1 Maintenance Item

As required by 49 U.S.C. S325(c). to the extent that the Applicant procures an associated capital

maintenance item under the authority of49 U.S.C. S307(b)(J), the Applicant cenifies that it will

use competition to procure an associated capital maintenance item unless the manufacturer or

supplier ofthat item is the only source for the item and the price of the item is no more than the

price similar customers pay for the item, and maintain sufficient records pertaining to each such

procurement on file easily retrievable for FTA inspection.



.

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XII. CERTIFJCATJONS AND ASSURANCES FOR THE ELDERLY AND PERSONS WITH DISABILITIES PROGRAM

An Applicant that intends to administer, on behalf or the state, the Elderly and Penons
with Disabilities Program must provide the following certifications. n A may not award

assistance for this program until the Applicant provides these certifications and assurances

by selecting Category XII on the Signature Page.



Based on its own knowledge and, as necessary, on information submitted by the subrecipient, the

Applicant administering on behalfofthe state the Elderly and Persons with Disabilities Program

authorized by 49 U.S.C. SJ 10 certifies and assures that the following requirements and conditions

will be fulfilled:
as A. The state organization serving the Applicant and each subrecipient has or will have the

necessary legal, financial, and managerial capability to apply for, receive, and disburse Federal

assistance authorized for 49 U.S.C. 5310; and to implement and manage the project.

B. The state assures that each subrecipient either is recognized under state law as a private

nonprofit organization with the legal capability to contract with the state to carry out the

proposed project, or is a public body that has met the statutory requirements to receive Federal

assistance authorized for 49 U.S.C. 5310.

C. The subrecipient's application _for 49 U.S .C. SJ JO assistance.contains information from which

the state concludes that the transit service provided or offered to be provided by existing public or

private transit operators is unavailable, insufficient, or inappropriate to meet the special needs of

the elderly and persons with disabilities.

D. The state assures that sufficient non-Federal funds have been or will be committed to provide

the required local share.

E. The subrecipient has, or will have by the time ofdelivery, sufficient funds to operate and

maintain the vehicles and equipment purchased with Federal assistance awarded for this project.

F. The state wures that its Elderly and Persons with Disabilities Fonnula Program is included in

the Statewide Transponation Improvement Program as required by 23 l' S.C. 13S; and all

projects in urbanized areas recommended for approval are included in the annual element orthe

metropolitan Transportation Improvement Program in which the subrecipient is located.

G. The subrecipient has, to the maximum extent feasible, coordinated with other transponation

providers and users, including social service agencies authorized to purchase transit service.

H. The subrecipient is in compliance with all applicable civil rights requirements, and has signed

the Nondisaimination Assurance. (Category I, G. cenifications and Assurances Required of

Each Applicant.>

.

J. The subrecipient wi11 comply with applicable requirements ofU.S. DOT regulations on

participation ofdisadvantaged businessenterprises in U.S. DOT programs.

J. The state will comply with all existing Federal requirements regarding transponation ofthe

elderly and persons with disabilities. The subrecipient bas provided to the state an Assurance of

Nondiscrimination on the Basis ofDisability, as set fonh in the Cenifications and Assurances

required oreach Applicant for FTA assistance. (Category I, F certifications and Assurances
Required ofEach Applicant.) Ifnon-accessible vehicles are being_purchased for use by a public

entity in demand responsive service for the general public. the state will obtain from the

n A Certifications and Assurances for Fiscal Year 1996

12

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AppendixA

subrecipient a "Certification ofEquivalent Service," which states that ti:l" public entity's demand

responsive service offered to persons with disabilities, including persons who use wheelchairs, is

equivalent to the level and quality ofservice the public entity offers to persons without disabilities.

(See Category VIII "Certifications Required for the Direct Award ofFTA Assistance to an



Applicant for its Demand Responsive Service.") This "Certification ofEquivalent Service must

also state that the public entity's demand responsive service, when viewed in its entirety, is

provided in the most integrated setting feasible and has equivalent: (1) response time, (2) fares,

(3) geographic servfce area, (4) hours and days ofservice, (5) restrictions or restraints on trip

purpose, (6) availability ofinformation and reservation capability, and (7) constraints on capacity

or service availability.

K. The subrecipient has certified to the state that it will comply with applicable provisions of

49 CFll part 605 pertaining to school bus operations. (See Category VII, "School Bus

Agreement.")

L. Unless otherwise noted, each ofthe subrecipient's projects qualifies for a categorical exclusion

and does not require further environmental approvals, as descn'bed in the joint FHWA/FTA

regulations, "Environmental Impact and Related Procedures," at 23 CFR 771.117(c). The state

certifies that financial assistance will not be provided for any project that does not qualify for a

categorical exclusion described in 23 CFR 771. l 17(c) until FTA has made the required
environmental finding. The state further certifies that no financial assistance will be provided for a

project requiring a conformity finding in accordance with the Environmffltal Protection Agency's

Clean Air Conformity regulations at 40 CFR parts 51 and 93, until FTA makes the required

conformity finding.

.

M. The subrecipient has submitted (or will submit) all certifications and assurances currently

required, including, but not limited to: a nonprocurement suspension and debarment certification;

a bus testing certification for new models; a pre-award and post-delivery review certification; and

a lobbying certification for each application exceeding S100,000.

N. The state will enter into a written agreement with each subrecipient stating the terms and

conditions ofassistance by which the project will be undertaken and completed.

0. The state recognizes FTA's authority to conduct audits to verify compliance with the

foregoing requirements and stipulations.



XDJ. CERTIFICATIONS AND ASSURANCES FOR THE NONURBANIZEDAREAFORMULAPROGRAM
An Applicant that intends to administer, on behalf of the state, the Nonurbanized Area Fo~ula Program must submit the following certifications and assurances. FTA may not award Nonurbanized Area Formula Program assistance to the Applicant until the Applicant provides these certifications and usurances shown by sc fting Category XDI on the Signature Page.
Based on its own knowledge and, as necessary, on information submitted by the subrecipient, the Applicant administering on behalfofthe state the Nonurbanized Area F~uJa Program

fTA Certifications IJld Assunnca for Fiscal Year 1996

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AppendixA

authorized by 49 U.S;C. S31 J certifies and wures that the following requirements and conditions

will be fulfilled:

. -

A The state organization serving -.s the Applicant and each subrecipient has or will have the

necessary legal, financial, and managerial capability to apply for, receive and disburse Federal

assistance authorized for 49 U.S.C. S311; and to implement and manage the project.

B. The state assures that sufficient non-Federal funds have been or will be committed to provide

the required local share.

. C. The subrecipient has, or will have by the time ofdelivery, sufficient funds to operate and

maintain the vehicles and equipment purchased with Federal assistance authorized for this project.

D. The state assures that its Nonurbanized Area Formula Program is included in the Statewide

Transponation Improvement Program asreqwred by 23 U.S.C. 135; and to the extent applicable,

projects are included in a metropolitan Transponation Improvement Program.

E. The state has provided for a fair and equitable distn'bution ofFederal assistance authorized for

49 U.S.C. 531 J within the state, including Indian reservations within the state.

F. The subrecipient has, to the maximum extent feasible, coordinated with other transponation

providers and users, including social service agencies authorized to purchase transit service.

G. The subrecipient is in compliance with all applicable civil rights requirements, and has signed

the Nondiscrimination Assurance. (See Category I, G, cenifications and Assurances Required

ofEach Applicant.>

H. The subrecipient will comply with applicable requirements ofU.S. DOT regulations on

participation ofdisadvantaged business enterprise in U.S. DOT programs.

I. The state will comply with all existing Federal requirements regarding transponation orelderly

persons and ~rsons with disabilities. The subrecipient has provided to the state an Assurance of

Nondiscrimination on the Basis ofDisability, as set fonh in the Certifications and Assurances

required ofeach Applicant for FTA assistance in Category I ofthis document. Ifnon-accessible

vehicles are being purchased for use by a public entity in demand responsive service for the

general public, the state will obtain fi'om the subrecipient a certification ofEquivalent Service,"

which states that the public entity's demand responsive service offered to persons with disabilities,

including persons who use wheelchairs, is equivalent to the level and quality ofservice the public

entity offers to persons without disabilities. (See Category I, F , Certif:cations and Assurances

Required ofEach Applicant.) This cenification ofEquivalent Service must also state that the

public entity's demand responsive service, when viewed in its entirety, is provided in the most

integrated setting feasible and has equivalent: ( l). response time, (2) fares, (3) geographic service

area, (4) hours and days ofservice, (S) restrictions and restraints on trip purpose, (6) availability

ofinformation and reservation capability, and (7) constraints on capacity or service availability.

(See Category VIII, certifications Required for the Direct Award ofFTA Assistance to an

Applicant for its Demand Responsive Service.)

.

J. The subr~ipient bas complied with the transit employee protective provisions or49 U.S.C

S333{b), by one ofthe following actions: (1) signing the Special Warranty for the ~,.:;urbanized

Area Formula Program. (2) agreeing to alternative comparable arrangemems approved by the

Depanment ofLabor (DOL), or (3) obtaining a waiver from DOL; and the state has cenified the

subrecipient's compliance to DOL. K. The subrecipient has cenified to the state that it will comply with 49 CFR pan 604 in the

- provision ofany chaner service provided with equipment or facilities acquired with FTA

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assistance, and will also comply with applicable provisions of49 CFR piin 60S penaining to school bus operations. (See Category VI, Chaner Bus Agreement, and Category VII, school Bus Agreement.) L. Unless otherwise noted, each ofthe subrecipient's projects qualifies for a categorical exclusion and does not require funher environmental approvals, as described in the joint FHWA/FTA regulations, Environmental Impact and Related Procedures: at 23 CFR 77l.l l7(c). The state certifies that financial assistance will not be provided for any project that does not qualify for a categorical exclusion described in 23 CFR 771.117(c) until FTA has made the required environmental finding. The state funher cenifies that no financial assistance will be provided for a project requiring a conformity finding in accordance with the Environmental Protection Agency's Clean Air Conformity regulations at 40 CFR parts SI and 93, until FTA makes the required conformity finding. M. The subrecipient has submitted (or will submit) all certifications and assurances currently Tequired, including but not limited to:. a nonprocurement suspension and debarment cenification; a bus testing cenification for new bus models; a pre-award and post-delivery review certification;
alobbying certification for each application exceeding S100,000; and ifrequired by FTA, an
anti-drug program certification and an ilcohol testing cenification. N. The state wilJ enter into a written agreement with each subrecipient stating the terms and conditions ofassistance by which the project will be undenaken and completed. 0. The state recognizes FTA's authority to conduct audits to verify con1pliance with the foregoing requirements and stipulations. P. As required by 49 U.S.C. S311 (f), it wilJ expend not less thin fifteen percent of the Federal assistance authorized for 49 U.S.C. 531 l(f) it receives during this fiscal year to carry out a program to develop and suppon intercity bus transponation, unless the chiefexecutive officer of the state or his or her duly authorized designee cenifies that the intercity bus service needs of the state are being adequately met.

Selection and Signature Pages follow

FTA Ccnifications and Assurances for fiscal Ycar 1996

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Appendix A

FEDERAL FY 1996 CERTIFICATIONS AND ASSURANCES FOR FTA ASSISTANCE

Name of Applicant: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
The Applicant agrees to comply with applicable requirements of Categories I XIII. __ (The Applicant may make this selection in lieu of individual selections below.)
OR The Applicant agrees to comply with the applicable requirements of the following categories it has selected: I. Certifications and Assurances Required ofEach Applicant.
(Previous Category 11, Procurement. is now Category I, paragraph H.) II. Lobbying Certification. Ill. . Public Hearing Certification for Major Projects with Substantial Impacts. JV. Certification for the Purchase ofRolling Stock. V. Bus Testing Certification. VI. Charter Bus Agreement. VII. School Bus Agreement. VIII. Certification for Demand Responsive Service. IX. Substance Abuse Certifications Required by January 1, 1996. X. Assurances Projects Involving Real Property. Xl. Certifications for the Urbanized Area Formula Program. XII. Certifications for the Elderly and Persons with Disabilities Program. XIII. Certifications for the Nonurbanized Area Formula Program.

(Both sides of this Signature Page must be appropriately completed and signed where indicated.)

FTA Cenifications and Assurances for Fiscal Ycar I996

16

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fTA CERTIFICATIONS AND ASSURANCES FOR FEDERAL FJi,CAL YEAR 1996 Name of Applicant: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __

Name and Relationship or Authorized Representative:_._ _ _ _ _ _ _ _ _ _ _ _ _ _ __

BY SIGNING BELOW I,"_ _ _ _ _ _ _ _ _ (name), declare that I the Applicant has duly authorized me
to make these certifications and assurances on the Applicant's behalf and bind the Applicant's compliance. Thus. the Applicant agrees to comply \\ith all Federal statutes, regulations, executive orders, and administrative guidance required for each application it makes to the Federal Transit Administration (FTA) in Federal Fiscal Year I996.

FTA intends that the certifications and assurances the Applicant selects on the other side or this form, as
representath-e of the cenifications and assurances in Appendix A, should apply, as required, to each project for
'l\'hich the Applicant seeks now, or may later, seek FTA assistance during Federal Fiscal Year 1996.

The Applicant affirms the truthfulness and accuracy or the certifications and assurances it has made in the statements submitted herein \\1th this document and any other submission made to FTA, and acknowledges that the prO\isions of the Program fraud Chil Remedies Act or 1986, 31 U.S.C. 3801 a gg., as implemented by u.S. DOT regulations, Program fraud Ci,il Remedies: 49 CFR pan 31 apply to any certification, assurance or submission made to FTA. The criminal fraud provisions or 18 U.S.C. 1001 ipply to any certification, assurance, or submission made in connection \\ilh the Urbanized Area Formula Program, 49 U.S.C. 5307, and may apply to
any other certification, assurance, or submission made in coMec:t.ion \\ith any other rrogram administered by FTA

In signing this document, I declare under penalties or perjury that the foregoing cenifications and assurances. and any other statements made ~- me on behalf or the Applicant arc true and correct.

Date: _ _ _ _ _ _ __

a. _ _ _ _ _ _ _ _ _ _ _ _ __ Authorized Reprcscntati\-c or Applicant

AFFIRMATION OF APPLICANT'S ATTORNEY

for _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ (Name of Applicant)

As the undersigned legal counsel for the abo\'c named Applicant I he~ affirm that the Applicant has authorit~ under stale and local law to make and comply \\1th the certifications and assurances as indicated on the foregoing pages. I further affirm that, in my opinion. the cenifications and assurances ha,-e been legally made and consutute
legal and binding obligations on the Applicant.

I further affirm that. to the best or~- knO\\iedge. there is no legislation or litigation pending or threatened that might ach-crscl~ affcct the ,-alidity of these certifications and assurances. or of the performance of the project. furthermore. if 1become aware of circumstances that change the accuracy or the foregoing stalcmenlS, I \\ill notify the Applicant and FTA.

Date: _ _ _ _ _ __

b. - - - -Ap-pl-ica-nt's-A.--i>m-ey- - - -

Date: _ _ _ _ _ _ __

C. - - - - - - - - - - - - - -

The Applicant's leaal counsel is required tci affmn tht legal capacity ofthe Applicant, ncq,I 1h11 111 Applicant ICCkillg only an FTA unh-enil) and

march vainillg gram authorized by 49 l:.S.C. 53t2(1t) nccd IICII IUbmi1 an Anome)'s Afrannation. The Anomey's Afrmna1ion used ror a pn,'ious
n A project genrrall~ may be used in fiscal Year 1996. r,cn'ilkd ~ Applican&: circumsUnces ~ve noc_changed in wa~ lhal makes_ lht

ccniflCltims im-alid and the Anc,mev'a Afrmn11icn rcmainJ on file III the Apphcant'I offices readily available to FTA. In 11111 cue, line "'II lhould

mnain bluL and lhe samc Alllhoriucf Rcpresen&a1i,~ lig,,. and "c. Sec Procedwn ill illll bctiau W1ian.

)iacc: fl,\, MWIWf.-

the rip! to nquire M ,\nCIIMtl aipaturc C'III line "b.

FTA Certifac:ations and Assurances for fiscal Year 1996

17

1FR Doc. IS-218ot Filed n-21-ts: 11:07
am)
KutQ CCICII 4tlM7-C

APPENDIX I
SECTION 5311 APPLICATION SCHEDULE FOR 1997

ACTIVITY Submission of Grant Aoolications No Later Than State Contract Date

-DATE October 4, 1996 December, 1996

83