Georgia administrative guide to implement the FTA Urbanized Area Formula Program for urbanized areas under 200,000 population Title 49 U.S.C. Section 5307 (Formerly the Section 9 Grant Program) [1997]

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~~7 Georgia Administrative Guide

To Implement the FTA Urbanized Area Formula Program . For Urbanized Areas Under 200,000 Population
Title 49 U.S.C. Section 5307 (Formerly the Section 9 Grant Program)

Georgia Department of Transportation Office of lntermodal Programs
1997

TABLE OF CONTENTS
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
FTA Urbanized Area Formula Program (Title 49 U.S.C. Section 5307) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Funding Distribution ............... : . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Relationship to Capital Program {Title 49 U.S.C. Section 5309) ................................ 4 Surface Transportation Program {STP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Eligible Grant Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Annual State Program of Projects and Budget . . . . . . . . . . . . . . . . . . . . . . . . . 7 Program Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Federal Requirements Associated with the Urbanized Area Formula Grant Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 National Transit Database Reporting System . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Certification Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Annual Audit and Triennial Reviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Certifications Particular to the Urbanized Area Formula Program . . . . . . . . . . . 8 Program of Projects and Public Participation Requirements . . . . . . . . . . . . . . 10 Associated Capital Maintenance Items . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Buses ........................................................ 10
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TABLE OF CONTENTS (continued)
Bus Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Clean Air Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Drug-Free Workplace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Drug and Alcohol Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Environmental Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Integrity- Debarment and Suspension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Intergovernmental Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Labor Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Lease vs. Buy Considerations ..................................... 14 Lobbying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 New Starts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 New Technology Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Nondiscrimination-Civil Rights Requirements ......................... 15 Private Enterprise Concerns .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Real Property Acquisition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Relocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Seismic Design and Construction Standards .......................... 16
FTA Urbanized Area Formula Program Application Procedures ................ 17 Application Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Instructions for Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
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TABLE OF CONTENTS (continued)
EXHIBITS
Exhibit 1 - Sample Letter of Transmittal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Exhibit 2 - Urbanized Area Formula Program Funding Form
and Capital Program Justification .............................. 21 Exhibit 3 - Program of Projects and Budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Exhibit 4 - Project Budget Worksheet for Operating Assistance Only . . . . . . . . . . . . 23 Exhibit 5 - Project Implementation Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Exhibit 6- Authorizing Resolution ....................................... 26 Exhibit 7 - Federal FY 1997 Certifications and Assurances . . . . . . . . . . . . . . . . . . . . 27 Exhibit 8 - FTA Title VI Data Collection and Reporting . . . . . . . . . . . . . . . . . . . . . . . 29 Exhibit 9 - Application Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
APPENDICES Appendix A - Quarterly Progress Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Appendix B- Administrative Guidelines for Transit Projects
Planning, Design and Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Appendix C- Procurement Guidelines .................................... 39 Appendix D- Financial Administration Guidelines ........................... 40 Appendix E - Codification of Federal Transit Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Appendix F - FTA Budget Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 Appendix G- Federal RegisterNol61, No. 195 (10-7-96) ..................... 51
Annual Listing of Certifications and Assurances for FTA Assistance
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INTRODUCTION
This document describes the Georgia Department of Transportation's (GDOT) procedures for the administration of the Federal Transit Administrations's (FTA) Urbanized Area Formula Program (Title 49 U.S.C. Section 5307) program for urbanized areas in Georgia under 200,000 population1 The Section 5307 program was authorized to provide assistance to urban areas operating public transit systems. These funds were made available for capital, planning and operating assistance purposes beginning Fiscal Year 1984.
GDOT is the designated recipient of FTA Section 5307 funds for areas under 200,000 population. In Georgia, seven urbanized areas fall within the under 200,000 population classification. These are Albany, Athens, Brunswick, Macon, Rome, Savannah and Warner Robins. Urbanized areas over 200,000 are Atlanta, Augusta and Columbus; these three metropolitan areas receive Section 5307 funds directly from FTA.
The Department administers the Section 5307 program in accordance with federal and state requirements. As a part of the statewide public transportation effort, the Section 5307 program is coordinated with the Non-urbanized Area Formula Program (Section 5311) and the Metropolitan Planning Programs (Section 5303) to provide the state with the optimum mix of resources that can be applied to public transportation.
The Department's goal is to work with local governments to provide effective utilization of resources and to deliver safe, efficient and responsive public transportation services. This effort is a joint endeavor of the Department and local governments working together for a common purpose.
1 Public Law No. 103-272, dated July 5, 1994 codified the Federal Transit Act as amended as Chapter 53 of Title 49 of the United States Code which required new citations for all Federal Transit Laws. The Public Law repealed the Federal Transit Act and related provisions and reenacted them as Chapter 53
of Title 49 U.S. C. There were no substantive changes to the law due to codification.
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FTA URBANIZED AREA FORMULA PROGRAM 2 (TffLE 49 U.S.C. SECTION 5307)
Roles and Responsibilities As designated recipient of Section 5307 funds for areas under 200,000, the Georgia Department of Transportation has the following responsibilities:



Allocate and program funds



Review application components from local areas



Prepare the statewide grant application for funding of local

projects



Contract with FTA and with local areas



Monitor the progress of projects



Report on project performance to FTA; and



Monitor compliance with federal and state project requirements

The local Metropolitan Planning Organization (MPO) is responsible for meeting the planning requirements for projects programmed for federal and state funding. As the designated planning organization for the area, the MPO works closely with the transit operator to evaluate transit operations and finances, identify and prioritize new projects, develop the Transportation Improvement Program {TIP), and carry out the transit planning work programs.
Eligible capital and operating projects .m..u..st be programmed in the urban area's TIP for inclusion
in the Statewide Transportation Improvement Program (STIP}. Planning projects utilizing

2 The information contained in this document is based on FTA Circular 9030. 18, "Urbanized Area Formula Program: Grant Application Instructions", the Georgia Department of Transportation Manual of Guidance and other pertinent Federal and State regulatory guidance. The information presented herein is not intended to be all inclusive; contact the Office of lntermodal Programs for more detailed instructions related to any topic presented in the document.
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Section 5307 funding~ be included in the Unified Planning Work Program (UPWP), the local TIP and the STIP.
Funding Distribution
The FTA Section 5307 funds are authorized by Congress to assist eligible recipients in the financing of public transportation capital, operating and planning projects. The Federal match for planning and/or capital assistance under Section 5307 is 80 percent of the net project cost. The Federal match for operating assistance will not exceed 50 percent of the net project cost. There are three exceptions to the 80 percent Federal match for capital projects: Bicycle facilities, Americans with Disabilities Act (ADA) and Clean Air Act (CAA) equipment.
Under the Section 5307 program, the Federal match is 90% for those projects designed to (1) provide access for bicycles to public transportation facilities, (2) provide shelters and parking facilities for bicycles in or around public transportation facilities and (3) install racks or other equipment for transporting bicycles on public transportation vehicles.
Title Ill of the lntermodal Surface Transportation Efficiency Act (ISTEA) of 1991 included a provision for Americans with Disabilities Act and Clean Air Act compliance. In the capital assistance category, funding for projects to meet the ADA and CAA requirements are eligible for 90 percent federal assistance. Vehicle-related equipment required by the CAA or ADA should be add-ons to the basic vehicle that will enhance accessibility as required by the ADA or to allow the vehicle to conform to the CAA.
Applicants should identify in their applications the vehicle-related equipment necessary to meet the requirements of the two Acts. The 90% federal assistance applies only to the difference between normal capital costs and the additional cost incurred to meet ADA and/or CAA requirements.
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The distribution of funding for the Section 5307 program is as follows:

Project Type
Operating
Capital ADA Capital CAACapital Bicycle Facilities PlanninQ

Federal Sources
Up to 50% of the operatinQ deficit 80 percent 90 percent 90 percent 90 percent 80 percent

State Sources
-0-
10 percent 5 percent 5 percent 5 percent 10 percent

Local Sources
50% or more of the operating deficit 10 percent 5 percent 5 percent 5 percent 10 percent

Bicycle facilities, along with ADA and CAA vehicle-related projects will be funded at 90 percent Federal, 5 percent State and 5 percent local share. State match for marketing projects will continue to be funded at 50 percent of the local share.

Basic comprehensive planning activities should be funded under the Metropolitan Planning Program which is the primary source of FTA planning funds. Urbanized Area Formula funds should be used for technical studies of special interest to transit operators, such as maintenance or operational plans when the basic planning funds are insufficient to meet all of the planning needs.

Relationship to Capital Program ITitle 49 U.S.C. Section 5309J

The Section 5309 discretionary capital grant program funding should be used to supplement Section 5307 formula funds. Urbanized Area Formula funds are intended to be the primary resource for routine capital needs. Discretionary Capital funds will be used as a resource for major bus or rail projects that require Federal funding beyond what is available under FTA Urbanized Area Formula funds.

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The purpose of this funding is to capitalize transit facilities, and to help bring those facilities up to a level of acceptable safety, reliability and efficiency. Critical bus capital projects that cannot be accommodated under the Urbanized Area Formula Program will be considered for discretionary capital funding.
The most recent guidance regarding Section 5309 indicated that FTA's highest priorities in consideration of Section 5309 discretionary requests are those that will enable states and transit authorities to meet federally imposed ADA and Clean Air requirements. This would include alternative fuel vehicles and ADA compliance equipment and purchase of new rolling stock. Priority consideration will also be given to requests to fund intermodal facilities. This would include passenger terminals that would serve both bus and rail transfer points, enable transit passengers to transfer from one transportation mode to another and/or from one bus service _ provider to another.
Application procedures for the Discretionary Capital Program are similar to those outlined in this Urbanized Area Formula Program Administrative Guide with some additional documentation dependent upon the capital equipment applied for. Interested Grantees should contact the Office of lntermodal Programs at (404) 651-9200 for detailed application procedures.
Surface Transportation Program (STP}
ISTEA established a new Surface Transportation Program (STP) which provides block grant type funding to the Federal Highway Administration (FHWA) to be used for highway or transit capital projects. Section 1007(a) of ISTEA outlines project eligibility for (STP) funds. Possible transit and transit-related projects include any capital project normally eligible under the Urbanized Area Formula and Discretionary Capital programs, some of which are listed in the next section. A transit project using STP funds must be included in the local TIP and the STIP. Contact the appropriate MPO and the Office of lntermodal Programs for detailed information on funding availability and the application process.
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Eligible Grant Activities
Projects to be funded from the Urbanized Area Formula Program fall into the three general categories of operating, capital or planning and may be selected from the following listing. Applicants should verify that projects are eligible as outlined in this section.

Operating: Capital:
Planning:

Eligible Items
Provides for financing the operating deficit that may result from transit operations and maintenance. Marketing is a part of the transit operations and may include service promotions, development of logos, and publishing materials such as schedules, etc.
Bus purchase (new or used), replacement, rehabilitation, rebuilding or remanufacture
Expansion of bus fleets
Overhaul of buses (including paratransit vehicles)
Bicycle facilities
Crime prevention and security equipment
Purchase and installation of service and support equipment
Construction or rehabilitation of maintenance facilities including land acquisition, design and engineering, demolition, relocation, etc.
Construction of other facilities, e.g. transfer facilities, intermodal terminals and bus shelters, including design and engineering, land acquisition, etc.
Associated capital maintenance items
Capital support equipment, including computer hardware/software, bus diagnostic equipment, and other equipment that enhances operating efficiency.
Leasing capital assets
Capital cost of contracting, the capital portion of costs for service or maintenance provided under contract (includes direct costs, depreciation and interest)
Education and Training
Design and Art in Transit
Non-traditional projects such as Innovative financing, joint development, livable communities and technology introduction
Planning, engineering design and evaluation of transit projects as well as other technical studies.

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Annual State Program of Projects and Budget
The Department will program and submit for funding, a single Urbanized Area Formula annual
application to FTA. The State's Program of Projects and Budget will be submitted to FTA by .J..u.h!
~. Applications from local areas must be submitted to the Department by May 19th in order to be included in the July submission. Completed applications from the local areas should include all necessary documentation.
Program Requirements
Once applications are approved and contracted, Grant~es must adhere to administrative procedures and guidelines. The purpose of these guidelines is to provide uniform instructions to Grantees, ensure compliance with Federal and State rules and regulations and to facilitate a systematic approach to managing public transportation programs and activities in Georgia.
In addition to the Urbanized Area Formula Program and application requirements outlined in this document, grantees must comply with GDOT and FTA guidelines for planning, capital and operations activities during the project period. Some of these requirements are detailed in the Appendix. This document is not intended to summarize all Federal and State requirements applicable to the Section 5307 program. A brief summary of FTA Program requirements is outlined in the next section; complete Federal guidance may be found in FTA Circulars related to this program. The Office of lntermodal Programs may be contacted for Federal or State requirements.
The Department reserves the right to review vehicle specifications, construction plans, bid proposals, awards, etc. Third party contracts must be approved by the Department Jl[iQr to execution. Procurement procedures should meet State requirements and those in FTA Circular 4220.1 D, "Third Party Contracting Requirements". When implementing Section 5307 projects, grantees must follow State procedures and project management guidelines outlined in FTA Circular 5010.1 B, "Grant Management Guidelines", which includes the submission of various reports and conforming to OMB A-128 Audit procedures. A summary of administrative guidelines for capital purchases, construction planning, design, and monitoring/management, audit procedures, and submission of quarterly reports can be found in the Appendices.
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Federal Requirements Associated with The Urbanized Area Formula Grant Program (Abbreviated Version)

1.

National Transit Database Reporting System

All grantee receiving funds under the Section 5307 Program must maintain and report financial and

operating information on an annual basis. The FTA Uniform System of Accounts and the Reporting

System were designed to provide information on which to base planning for public transportation

services and public sector investment decisions at all levels of government.

2.

Certification Procedures

ISTEA amended Federal transit law to provide that certifications and assurances by a grant

applicant may be consolidated into a single document which will be submitted annually as part of

the grant application. These certifications and assurances will be published annually by FTA in the

Federal Register. They are included in this document as Appendix G.

3.

Annual Audit and Triennial Reviews

Congress has charged FTA with conducting audits or requiring grantees to have independent audits

to determine that recipients have carried out their activities in accordance with program

requirements and certifications. In particular, FTA must conduct a full review and evaluation of

grantee performance as outlined in FTA Circular 9010.1 B, at least every three years. These

"Triennial Reviews" allows FTA to determine if the grantee is complying with the certifications it has

made.

4.

Certifications Particular to the Urbanized Area Formula Program

There are specific elements to which a grant applicant must certify when applying for Section 5307

funding. A brief description of each is outlined below.

(al Legal Caoacity- The applicant must be eligible and authorized under state or local law to request, receive and spend FTA funds to administer the program. Officials acting on behalf of the applicant must have the appropriate authority to do so.
(bl Financial Caoacity - Recipients must be able to match and manage funds through long-term reliable sources and to maintain and operate federally funded facilities and equipment. FTA's Financial Capacity Policy focuses on (1) general financial condition which refers to historical trends and current situations which may affect the ability to maintain present levels of service and (2) financial capability which focuses on the applicanfs ability to cover operating deficits and capital costs.
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(c) Technical Caoacity- Involves the Applicant's ability to carry out and manage federal grants in accordance with the grant agreement and with applicable laws and regulations, using sound management practices. Grantee responsibility in this regard are outlined in FTA Circular 5010.1 B, "FTA Grant Management Guidelines". Procurement practices are also related to technical capacity.
(cl) Satisfactozy Continuing Control- Grantees must maintain control over federally funded property, ensure that it is used in transit service and dispose of it in accordance with Federal requirements. Satisfactory control includes safeguards against loss, theft or damage. In addition, fixed asset and inventory records must be kept current in accordance with FTA Circular 5010.1 B.
(e) Maintenance - Grantees must keep equipment and facilities purchased with Federal funds in good operating order. Each grant recipient must have a maintenance plan which outlines the goals and objectives of its maintenance program.
(f) Bates Charged Elderlv and Persons with Disabilities During Non-Peak Hours Grantees must ensure that rates charged the elderly and persons with disabilities during nonpeak hours for fixed-route transportation using facilities and equipment financed with Federal assistance will not exceed one-half of the rates generally charged other persons at peak hour.
(aJ Rates Charged Person Presenting a Medicare Card- Grantees must extend the half-fare rate to any person presenting a Medicare card issued to that person under the Social Security Act.
(h) Competitive Procurement- Grantees must use competitive procurement to obtain goods and services and are prohibited from utilizing exclusionary or discriminatory specifications. All procurements financed with FTA funds must conform to the requirements of FTA Circular 4220.1 D, "Third Party Contracting Requirements". State or local preference provisions are generally prohibited.
(/)Buy America Provisions- Federal transit assistance may not be used to finance the acquisition of iron, steel, or manufactured goods that are not produced in the United States unless the acquisition qualifies for a waiver. The requirements for rolling stock is significantly different from non .rolling stock items. Waivers may be issued in the public interest, when goods are not available, and for price differentials of at least 25% between the U.S. and the foreign product. A general interest waiver has been issued to exempt all small purchases, defined as those of $100,000 or less, from the Buy America Requirement.
aJ Public Participation- Grantees should make available to the public, the amount
of funds available and activities to be financed. The comments and views of citizens and private operators should be considered and if appropriate, the listing of projects should be modified before the final version is made available to the public.
(k) Availability of Local Funds Availability- Local matching funds must be available to carry out the proposed projects.
(/) Improve Mobility. Fuel Consumption and Air Pollution - National Policy indicates that it is in the best interest of the United States to encourage the development of
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transportation systems that embrace various modes of transportation efficiently, maximize the mobility of individuals and goods in and through urbanized areas and minimize transportation-related fuel consumption and air pollution.
(m/ Metrapolitan Planning Requirements- Projects must appear in a TIP and STIP jointly approved by FTA and FHWA. Planning projects should appear in an approved UPWP and may appear in the TIP/STIP for information purposes. Before inclusion in the TIP/STIP projects should be consistent wit the area's Long Range Plan and conform to joint Metropolitan Planning Regulations issued by FTA and FHWA.
(n/ Elder/vPersons and Individuals with Disabilities National Policy- Elderly persons and individuals with disabilities have the same rights as other individuals to use transit service and facilities. Thus, grantees must make special efforts in planning and designing transit service and facilities to ensure that transit can be used by this segment of the population.
(q/ Public Comment of Fare and Service Chanr;es- Grantees should have a written policy describing the public comment processes on increases in the basic fare structure and for major service reductions. The policy should provide an opportunity for a public hearing or public meeting, describe how meetings will be conducted and how the meeting results will be considered in the process of changing fares or reducing service
(p) Transit Security Prqjects Expenditures- Grantees must expend at least one
percent (1 %) of funds received each fiscal year on transit security projects or certify that these expenditures are not necessary. Security projects may be operating or capital.

5.

Program of Projects (POP) and Public Participation ReQuirements - The POP should be

developed in consultation with interested parties and an opportunity for public hearing must be

offered to the public. POP development should provide for the coordination of transit services of

other federally assisted projects and should be selected from an approved TIP/STIP.

6.

Associated Capital Maintenance Items -These items are defined as equipment, tires, tubes

and materials, each of which costs no less than one-half of one percent of the current fair market

value of rolling stock comparable to the rolling stock for which the equipment, tires, tubes and

materials are to be used. Purchase of these items is considered a capital expense reimbursable at

80% subject to certain provisions.

7.

Buses - FTA has established several policies that are meant to ensure that buses purchased

with FTA funds are maintained and remain in transit use for a minimum normal service life. The

policies also intend to ensure that buses acquired are necessary for regularly scheduled revenue

service, meet peak requirements, and have a reasonable allowance for spares. FTA bus policies

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fall into four categories: Service Life, Bus Replacement, Bus Purchase, and Buses in Service. The suggested seNice life outlined below refers to time spent in normal seNice, not time spent stockpiled or otherwise unavailable for regular transit seNice.
A. Service Life

Transit Bus
Large, heavy duty Medium size heavy duty Medium-size, medium duty Medium-size, light-duty
Other light duty_{vans, etc.)

Size 35' to 40' 30' approx. 30' approx. 25' to 35'
-

Service Life
12 years 10 years ?years 5 years
4years

Service Mileaae 500,000 miles 350,000 miles 200,000 miles 150,000 miles
100,000 miles

B. Bus Replacement Policies

(1 J Reolacement at End of Minimum Normal Service Life. - Vehicles to be replaced should have achieved the minimum normal seNice life. The age of the bus is its years of seNice or mileage at the time the new bus will be put into seNice.
(2) Earlv Disposition Policy - If a vehicle is replaced before it has reached the minimum normal seNice life, the grantee has the option of returning the Federal interest to FTA or placing the remaining Federal interest into the new vehicle (likekind exchange policy).
(3) Like-kind Exchange Policv - Under this policy, the trade-in value or sales proceeds from a vehicle replaced before the end of its normal seNice life are not returned to FTA but rather applied towards the purchase of a "like-kind" replacement vehicle. Like-kind is defined as a vehicle for a vehicle with similar seNice life.
(4) Rebuilding Policies- Buses to be rebuilt should be at the end of the minimum normal seNice life and in need of major structural or mechanical rebuilding. The age of the bus is its years of seNice at the time the rebuilding work begins.
(5) Vehicle Overhauls- Federal capital assistance of up to 20% of annual vehicle maintenance is eligible for vehicle overhaul work. This eligibility also applies to leasing and contracted seNice.

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(6) SPare Ratio Policies - The number of spare buses in the active fleet for grantees operating 50 or more revenue vehicles should not exceed 20% of the number of vehicles operated in maximum service. Similar spare ratios are recommended for smaller fleets although local circumstance may be considered in determining a reasonable spare ratio for individual grantees. Spare ratio is defined as the number of spare vehicles divided by the vehicles required for annual maximum service (peak service).
(7) Contingencv Fleets- Buses may be stockpiled in preparation for emergencies. Buses held in a contingency fleet must be properly stored, maintained, and documented in a contingency plan. The plan should be kept up to date to support the continuance of an inactive contingency fleet. Buses may not be stockpiled before the end of their minimum normal service life.

C. Purchase of New Buses

(1) Fleet and Service Exaansion - Applicants seeking to expand service and fleets

should describe new markets to be served. Vehicle needs, fleet size, projected

ridership, operating cost, revenues, and spare ratios should also be documented.

More detailed analysis may be requested.



(2) Buv America - Applicants are required to comply with Buy America Provisions.

(3) Warranties- A warranty that is an industry standard is an eligible capital cost as part of the acquisition of a bus or any other capital asset.

(4) Bus Testing- Any new model bus or ones with significant model changes must be tested at the FTA-sponsored test facility in Altoona, Pennsylvania before Federal funds can be used. Vehicles are tested for maintainability, reliability, safety, performance, structural integrity, fuel economy and noise. Bus testing is not required for unmodified, mass produced vans.

(5) Pre-Award and Post Delivety Review of Buses - Grantees must undertake reviews of rolling stock before award of the bid, during manufacture and following . vehicle delivery. The reviews are intended to improve compliance with Buy America requirements, bid specifications, and Federal Motor Vehicle Safety Standards. Reviews may be conducted by staff or a contractor.

D. Buses in Service

(1) Commercial Driver's License (CDLJ- All drivers of vehicles designed to transport more than 15 people must have a CDL. Mechanics who drive these vehicles must also have a CDL.
(2) Charter Bus Qperations- Charter service regulations prohibit FTA recipients from providing service using FTA funded equipment or facilities if there is at least one private charter operator willing and able to provide the service. Before a transit
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operator may provide service, the operator must publish a notice at least annually to determine if there are private operators willing and able to provide the service. There are exceptions and a specific process for making those requests. Each grantee is required to agree not to engage in charter service unless permitted by FTA charter service regulations
(3) School Bus Operations- Grantees seeking to provide school bus service must agree not to engage in exclusive service to students and school personnel in competition with private school bus operators. This prohibition does not apply to "Tripper Service", defined as regularly scheduled transit service which is open to the public and designed or modified to accommodate the needs of school students and personnel, using various fare collection and subsidy systems.
8. Bus Facilities - FTA will assist in financing facilities that support transit operations and provide passenger amenities, administrative buildings, maintenance garages, terminals, stations, shelters and park and ride lots. FTA also supports facilities that are transit-related and will participate in those portions of facilities physically or functionally connected to transit. FTA will participate on a pro rata basis in lntermodal facilities, based on the transit portion of the project.
(a) Facility Size- FTA's general policy is to provide assistance for facilities that are adequate for the grant applicanfs present needs and that will realistically meet future needs.
(b) Project Staging - Applicants must be able to fully describe the project and estimate the cost of the facility.
(c) Planning Justifications - There must be a planning basis for every project, therefore, appropriate planning studies should be undertaken in support of projects to acquire, install or construct major transit facilities.
9. Clean Air Act - Long-Range Plans, TIPs and projects must conform to State Implementation Plans (SIPs) for air quality. This is primarily applicable to areas designated as "nonattainmenf' or "maintenance" areas. Many smaller transit projects are exempt by regulation from the conformity requirements.
10. Drug-Free Workplace - Grantees are required to maintain a drug-free workplace for all employees and to have an anti-drug policy and awareness program. This includes among other things, a written policy statement, notification to all employees of the program, and an ongoing awareness program.
11. Drug and Alcohol Testing - Grantees must establish programs designed to prevent accidents and injuries resulting from misuse of alcohol or the use of prohibited drugs by employees
13

who perform safety sensitive functions either directly or under contract. Two regulations have been published, one for drugs and one for alcohol which contains the details of the program. Each regulation requires that FTA recipients follow the drug and alcohol testing procedures found in the U.S. DOT regulation. Annual MIS reports must be submitted to GDOT and FTA.
12. Environmental Protection - Proposed projects must comply with FTA environmental review procedures implementing the National Environmental Policy Act (NEPA). Review procedures are classified based on the significance of their probable impacts. All other applicable environmental protection requirements should be coordinated with the NEPA compliance process.
13. lntegri1y - Debarment and Suspension - All grantees should only do business with responsible parties. U.S. DOT Policy requires grantees to ensure that it and its contractors and subcontractors have not been debarred, suspended, nor ineligible or voluntarily excluded from participation in federally assisted transactions.
14. Intergovernmental Review - Grantees must ensure that appropriate authorities are informed about and have an opportunity to comment on projects involving Federal assistance within the State. They must comply with the State's Intergovernmental Review Process.
15. Labor Standards - Grantees must ensure that laborers and mechanics employed for construction projects covered by the Davis-Bacon Act will be paid the prevailing wages for their locality as determined by the Department of Labor (DOL). This applies to authorized transit construction projects. In addition, fair and equitable arrangements must be made to protect the interests of transit employees affected by the proposed FTA assistance. The protections must be afforded to all transit employees in the service area (Applicant, other FTA grantees, and Public and Private Contract Providers).
16. Lease vs~ Buy Considerations - Grantees must make a written comparison of the cost of leasing assets with the cost of purchase or construction. They must certify that leasing is more costeffective than purchase or construction.
17. Lobbying- All recipients and contractors receiving $100,000 or more must certify that the funds were not used to influence or attempt to influence transactions involving Federal grants, contracts or cooperative agreements. In some cases, a disclosure form must also be submitted. Lobbying activities are not prohibited, however, using Federal funds to pay for such activities is
14

prohibited. Only the activities of hired lobbyists and newly hired officers and employees must be disclosed.
18. New Starts - Occasionally Section 5307 funds are used to support a new fixed guideway or its extension. It can also involve development of transit corridors and markets to support the eventual construction of fixed guideway systems, including purchase of land to protect rights-of-way or construction of park-and-ride lots.
19. New Technology Introduction- Formula funds may be used for projects that introduce new technology and adopt innovative techniques and methods. FTA encourages suppliers to produce, and transit providers to introduce new technology in transit service in the form of innovative and improved products.
20. Nondiscrimination - Civil Rights Reguirements - Grantees must comply with all civil rights program requirements that apply to transit-related proj~cts. Applicable program areas are Title VI of the Civil Rights Act of 1964, as amended (nondiscrimination in the delivery of service and benefits), Equal Employment Opportunity (EEO), Disadvantaged Business Enterprise and Americans with Disabilities Program (Section 504/ADA).
(a) Title VI - Grantees must submit a program that addresses Civil Rights requirements. In this documentation, they must assure that transit services and benefits provided with FTA assistance will be provided in a nondiscriminatory manner, without regard to race, color, national origin, creed, age or sex. This includes but is not limited to land acquisition, relocation, route placement, vehicle assignments, and availability of transit amenities. There are general and specific reporting requirements to assess compliance applicable to grant recipients.
(b) EQual Emplovment Opportunity - Applicable to grantees with 50 or more employees that have received $1 million or more dollars in the previous fiscal year. The major focus of this program is the grantee must conduct a workforce analysis to identify job categories and levels of employment in which minorities and women are under represented and take corrective action.
(c) Disadvantaged Business Enterprise - ISTEA requires that not less than ten percent (1 0%) of authorized funds for transit be spent with DBEs (women and minority firms). There are reporting requirements associated with the DBE program.
(d) Transportation of Persons with Disabilities- Grantees must not discriminate on the basis of handicap or disability. ADA contains:
(1) requirements for vehicle accessibility (public and private; fixed route and demand responsive),
15

(2) accessibility requirements in the design and construction of new transportation facilities, alterations to existing facilities and key stations on rail transit, (3) provisions for complementary paratransit service to people who cannot use fixed route service, and (4) service requirements intended to ensure that people with disabilities are afforded equal opportunity to use transportation vehicles and facilities.
21. Private Enterprise Concerns - Grantees must include the private sector in developing local transit programs, ensure adequate compensation if a state or local government purchases the facilities and equipment of a private provider, and protect the private provider from competing with federally assisted transit projects. Planning requirements specify that private enterprise participation be encouraged to the maximum extent feasible. Private providers of charter and school bus service are afforded certain protections from competition with public transit operators.
22. Real Property Acguisition - Grantees must ensure that displaced persons and the owners of real property are treated fairly and consistently and displaced persons will not suffer disproportionately as a result of a federally assisted project. The regulations must be implemented in a cost efficient and cost effective manner in accordance with requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970.
23. Relocation - When a federally assisted project requires displacement of individuals, corporations, etc., no financial assistance can be extended unless an adequate relocation program is in place for persons to be displaced by the project.
24. Seismic Design and Construction Standards - Any new building or addition to a building built with federal assistance, must be designed and constructed in accordance with seismic safety standards.
16

FTA URBANIZED AREA FORMULA PROGRAM APPLICATION PROCEDURES
Application Requirements In order to participate in the Urbanized Area Formula grant program, eligible recipients must complete the following application components. Urbanized Area Formula application packages must be submitted by May 19. 1997 in order to be included in the State Program of Projects to be submitted to FTA on July 1, 1997. The grant application consists of the following documentation:
Exhibits 1. Letter of Transmittal
2. Urbanized Area Formula Funding Form I Capital Program Justification
3. Program of Projects and Budget 4. Project Budget Worksheet (Operating Assistance Only) 5. Project Implementation Schedule (Capital and/or Planning) 6. Authorizing Resolution 7. Annual List of Certifications and Assurances 3
Supplemental Exhibits 8. Civil Rights Program Information 9. Application Checklist
All applications should be completed in the .Qida( shown in this manual. Completed applications should have original signatures. An original and one copy of the application should be submitted to the Department. Original documents should be prepared on standard 8 Y2 by 11 paper size.
s In lieu qf annual submissions to GDOT, certain program compliance documentation must continue to be developed and maintained by grantees. Such documentation will be examined during the FTA Triennial Review but may be requested by GDOT or FTA at any time during the project period.
17

Instructions for Applications The completed applications should include only the items listed in the preceding section. A brief description of each component is outlined below. The Department reserves the right to request additional documentation as needed.
1. Letter of Transmittal - The applicant should utilize the sample letter of transmittal in Exhibit 1. It is important to identify the b!Q,e of grant and the amount of financial assistance requested.
2. Urbanized Area Formula Funding Form -The purpose of this form is to identify the amounts of federal, state and local funding requested. The Congressional District of the project, the project duration. The Clearinghouse number and date approved should also be provided.
The Capital Program Justification should be brief yet descriptive of the capital projects requested. It should also correlate to items identified in the TIP/STIP.
The funding form and capital justification should be included in the application as Exhibit 2.
3. Program of Projects and Budget- Each grant recipient is required to develop a Program of Projects and Budget that has undergone a public review process. The public review process undertaken for the Local TIP will satisfy this application requirement.
The Program of Projects and Budget describes the general purpose of the proposed projects and should include a listing of all capital, operating and planning projects (Exhibit 3). Capital and operating projects must be part of the current approved local Transportation Improvement Program (TIP) and Statewide Transportation Improvement Program (STIP).
Budget Codes and standard project descriptions must be used and may be found in Appendix F.
4. Project Budget Worksheet For Operating Assistance - For transit operating projects, a worksheet (Exhibit 4) must be completed and attached to the application.
5. Project Implementation Schedule - Each grant application for capital and/or planning projects should include a completed Project Implementation Schedule (Exhibit 5). This would relate to the acquisition, construction and disposition of capital projects or funding of technical assistance projects. This schedule should be monitored during the life of the project. Any changes made to the schedule after grant approval should be attached to the quarterly progress reports submitted to the Department by the 15th day following each quarter.
6. Authorizing Resolution - The resolution must be executed by the governing body of the applicant. The resolution authorizes the applicant to file an Urbanized Area Formula Program application with the Georgia Department of Transportation and the U.S. DOT and it alsoidentifies the person authorized to execute a grant on behalf of the applicant. A sample resolution is in Exhibit 6.
18

7. Annual Listing of Certifications and Assurances- To receive a Federal grant for mass transportation purposes from FTA, an applicant must provide certain certifications and assurances required by Federal laws and regulations which change from time to time. FTA will annually publish in the Federal Register, a listing of certifications and assurances that pertain to all mass transportation assistance grants applied for during the current Federal Fiscal Year. The notice applicable to this year's grant applications (FY 98) was published in the Federal RegisterNol 61, No. 195/ Monday, October 7, 1996, page 52561. A copy of the notice is included in this document as Appendix G. The certification that must be signed consists of two pages and should be included in the application as Exhibit 7.
8. Civil Rights - All applicants for Urbanized Area Formula assistance must have completed civil rights program information as required in FTA Circular 4702.1. Title VI updates must be submitted to the Georgia Department of Transportation annually. An updated submission of the Title VI Data Collection, reporting and monitoring activities should be included in the grant application as Exhibit 8. (If additional time is needed, this information may be submitted at a later date but no later than October 31, 1997.)
9. Application Checklist - A completed application checklist should be included at the end of the application (Exhibit 9). This is provided to each applicant to ensure the application includes all necessary components. The completed checklist form must be signed.
19

EXHIBITS

EXHIBIT 1 SAMPLE LETTER OF TRANSMITTAL

Mr. Luke Cousins, Administrator Office of lntermodal Programs Georgia Department of Transportation 276 Memorial Drive S.W. Atlanta, Georgia 30303-3743

Attention: Mr. Steve Kish

Dear Mr. Cousins:

The (Applicant) is applying for an FTA Urbanized Area Formula Program

!capital/operating/planning) grant to aid in the transit operation of the (transit agency). The

capital and/or operating assistance requested in this project has been reviewed and

approved by the local transportation planning process and is listed in the current

Transportation Improvement Program/Statewide Transportation Improvement Program.

We are requesting federal assistance in the amount of $

for capital

assistance, $

for operating assistance and $

for planning

assistance. State assistance in the amount of $

is also requested which will

be matched with local assistance in the amount of $_ _ _ __

We attest that all of the information contained in this Urbanized Area Formula request is correct and the applicant has the legal, financial and technical capacity to carry out the proposed project.

If you have any questions on this request, please contact (principal contact) at (phone number).

Sincerely,

Signature of Designated Official Title

20

EXHIBIT 2
URBANIZED AREA FORMULA PROGRAM FUNDING FORM AND
CAPITAL PROGRAM JUSTIFICATION

Name of Applicant Congressional District: Project Start Date: Clearinghouse Number:
Preposed Fund"mg:

Project Duration: Approval Date:

_ _ _(months)

Federal

State

Local

Other

Total

Capital

$

$

$

$

$

ADA Capital*

CAA Ccmital *

Bicycle Capital

Operating

PlanninQ

TOTAL

$

$

$

$

$

" Vehicle-related equipment only.

Capital Program Description and Justification:

The applicant's project and justification for the capital program should be the same as what was listed in the Local TIP.

Example: Transit Operating Assistance for FY 1998; purchase of two 35' transit coaches and one van.

The transit coaches will replace two buses that have reached the end of their useful life. The van will be used to provide ADA service.

21

Name of Applicant:
Protect Description
I. CAPITAL PROJECTS: (80/10/10) (1)
(2) ADA CAPITAL PROJECTS: (901515) (1)
(2) CAA CAPITAL PROJECTS: (901515) (1)
(2) BICYCLE CAPITAL PROJECTS:
(901515) (1)
(2) Subtotal gapltal

EXHIBIT3 PROGRAM OF PROJECTS AND BUDGET

Budget Codes

Total $

Federal $

Slate $

Local $

IL OPERATING ASSISTANCE:

From:

To:

Subtotal O(JElratlng

Budget Codes 30.09.00

Total

Federal

Slate

Local

Budget Codes

Total

Federal

Slate

Local

10. PLAtNNG ASSISTANCE:

Subtotal Plannln!l

I

I I III

. TOTAL PROGRAMMED: Vehlcleo#'elatled equipment only

Bud!let Codes

Total

Federal

Slate

Local

I

I I I I I $

$

$

$

22

EXHIBIT 4 PROJECT BUDGET WORKSHEET FOR OPERATING ASSISTANCE ONLY
Transit Operator: _ _ _ _ _ _ _ __ Operating Period: _ _ _ __ (1) TOTAL OPERATING EXPENSES (Itemize)

TOTAL OPERATING EXPENSES

(2)

LESS ELIMINATIONS

(a)

Less Ineligible Expenses (Itemize)

(b)

Less Non-Mass Transportation Expenses

(Itemize)

(c)

Less Contra-Expenses (Itemize)

(d) Less Other Exclusions (Itemize)

TOTAL ELIMINATIONS

(3)

ELIGIBLE OPERATING EXPENSES (Line 1 - Line 2)

(4) LESS FAREBOX AND OTHER REVENUES NOT INCLUDED

AS LOCAL SHARE

(Itemize)

TOTAL FAREBOX AND OTHER REVENUE APPLIED AGAINST ELIGIBLE EXPENSES NOT INCLUDABLE AS LOCAL SHARE:

(5)

NET PROJECT COST (Line 3 - Line 4)

(6)

LOCAL SHARE (Itemize)

TOTAL LOCAL SHARE

(7)

NET EXPENSES BEFORE APPLYING FTA FUNDS

(Line 5 - Line 6)

(8) TOTAL FTA FUNDS REQUESTED

$_ _ _ _ _ _(1)

$_ _ _ _ _ _(2)

$

(3)

$_ _ _ _ _ _(4)

$

(5)

$._ _ _ _ __.:(6)

$._ _ _ _ _ _ _(7)

$

(8)

23

EXHIBIT 5 PROJECT IMPLEMENTATION SCHEDULE
(For Capital and/or Planning Grants Only) 1. Name of Applicant: 2. Contact Person and Telephone Number: 3. Schedule of Activities (use appropriate format):

A. CONSTRUCTION PROJECTS



DesiQn notice to proceed date:



Design completion date:



Design services cost estimate:



Construction bid advertisement date:



Construction contract award date:



Construction completion date:



Estimated cost for 100% completion:

B. EQUIPMENT PURCHASE



Start date for preparing bid specifications:



Completion date forpreparinQ bid specifications:



Bid advertisement date:



Bid award date:



Delivery date(s):



Acceptance date(s):



Estimated cost:

24

EXHIBIT 5 (continued) PROJECT IMPLEMENTATION SCHEDULE

C. TECHNICAL STUDIES:



Start date for agency projects:



Notice to proceed date for all pass through projects

(third party contracts):



Contract award date for all pass through projects:



Draft report completion date:



Final report completion date:



100% completion date:



Estimated cost for 100% completion:

D. DISPOSITION ACTIVITY (i.e., equipment or real property)



Description of disposition action:



Starting date(s):



Ending date(s):

4. Overall Project Completion Date: 5. Narrative explanations as required:

25

EXHIBIT 6

AUTHORIZING RESOLUTION

Resolution authorizing the filing of an application with Department of Transportation, United States of America, and the Georgia Department of Transportation for a grant under Title 49 U.S.C.

WHEREAS, the Secretary of U.S. Department of Transportation and Commissioner of the Georgia Department of Transportation are authorized to make grants for a mass transportation Program of Projects and Budgets;

WHEREAS, the contract for financial assistance will impose certain obligations upon the Applicant, including the provision of its local share of the project costs in the program;

WHEREAS, it is required by the U.S. 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 Title 49 U.S.C., the applicant gives an assurance that it will comply with Title VI of the Civil Rights Act of 1964 and other pertinent directives and the U.S. Department of Transportation requirements thereunder; and

WHEREAS, it is the goal of the Applicant that Minority Business Enterprise (Disadvantaged Business Enterprise and Woman Business Enterprise) be utilized to the fullest extent possible in connection with this/these project(s), and that definite procedures shall be established and administered to ensure that minority business shall have the maximum feasible opportunity to compete for contracts and purchase orders when procuring construction contracts, supplies, equipment contracts, or consultant and other services.

NOW, THEREFORE, BE IT RESOLVED BY (Governing Body of Applicant)

1.

That (Title of Designated Official) is authorized to execute and file (an) application(s) on behalf of (Legal Name of Applicant)

with the Georgia Department of Transportation to aid in the financing of marketing, planning, capital and/or operating assistance

projects pursuant to Title 49 U.S.C. Urbanized Area Formula Program.

2.

That (Title of Designated Official) is authorized to execute and file with such applications an assurance or any other

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

of Title VI of the Civil Rights Act of 1964.

3.

That (Title of Designated Official) is authorized to furnish such additional information as the U.S. Department of

Transportation and the Georgia Department of Transportation may require in connection with the application for the Program of

Projects and Budget.

4.

That ffitle of Designated Official) is authorized to set forth and execute affirmative minority business policies in connection

with the Program of Projects and Budget's procurement needs.

5.

That lTitle of Designated Official) is authorized to execute grant agreements on behalf of (Legal Name of Applicant) with

the Georgia Department of Transportation for aid in the financing of the marketing, planning, capital and/or operating assistance

requested in the Program of Projects and Budget.

CERTIFICATION

The undersigned duly qualified and acting (Title of Designated Official) of the (Legal Name of Applicant) certifies that the foregoing is a true and correct copy of a resolution, adopted at a legally convened meeting of the (Governing Body of Applicant) held on - - - - - - - - - 19_ _.
If applicant has an official seal, impress here.

Signature of Recording Officer

Title of Recording Officer

Date

26

EXHIBIT7
FEDERAL FY 1997 CERTIRCATIONS AND ASSURANCES FOR FTA ASSISTANCE* Both pages of this Signature document must be completed and signed where indicated. (Page 1 of2)

The applicant agrees to comply with applicable requirements of Categories I - XV. (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

II.

Lobbying Certification.

Ill.

Effects on Private Mass Transportation Companies

IV.

Public Hearing Certification for Major Projects with Substantial Impacts.

V.

Certification for the Purchase of Rolling Stock.

VI.

Bus Testing Certification.

VII. Charter Service Agreement.

VIII. School Transportation Agreement.

IX.

Certification for Demand Responsive Service.

X.

Substance Abuse Certifications.

XI.

Assurances for Projects Involving Real Property.

XII. Certifications for the Urbanized Area Formula Program.

XIII. Certifications for the Elderly and Persons with Disabilities Program

XIV. Certifications for the Nonurbanized Area Formula Program.

XV. Certifications for the State Infrastructure Bank (SIB) Program.

*Federal Register/Vol61, No. 195/Mon 10-7-96/pg. 52561/(see Appendix G of this document).
Page 27

EXHIBIT 7 continued

. FTA CERTIFICATIONS AND ASSURANCES FOR FEDERAL ASSISTANCE FY 1997*

Both pages of this Signature document must be completed and signed where indicated. (page2of2)

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

Name and Relationship of Authorized Representative:------------

BY SIGNING BELOW I,

(name) on behalf of the Applicant, declare that the Applicant has duly

authorized me to make these certifications and assurances 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 1997.

FTA intends that the certifications and assurances the Applicant selects on page 1 of this document, as representative of the certifications and assurances in Appendix A*, should apply, as required, to each project for which the applicant seeks now, or may later, seek FTA assistance during Federal Fiscal Year 1997.

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 et .g., 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

(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 imminent 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 promptly.

Date:_ _ _ _ __

Applicant's Attorney

*Federal RegisterNol61, No. 195/Mon 10796 lpg. 52562 (see Appendix G of this document).
Page 28

EXHIBIT 8

FTATITLE VI DATA COLLECTION AND REPORTING

(Page 1 of 4)

All applicants for FTA Urbanized Area Formula assistance must have completed civil rights program information as required in FTA Circular 4702.1. The Title VI Status Report and Monitoring Plan for the reporting period must be included in the grant application identified as Exhibit 8.

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 1 - General Requirements and Part 2 Monitoring Procedures. Updated information should be provided to the Department as conditions warrant but at a minimum, Parts 1 and 2 should be updated 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 1 - 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 purpose or 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.

4.

Construction Projects - A fixed-facility impact analysis should be conducted to

assess the effects on minority communities. If this information has been prepared

as a result of an environmental assessment or environmental impact statement,

the applicant, recipient, or subrecipient should reference the relevant information by

29

EXHIBIT 8 (continued) document, page number(s), and date of submission to FTA.

(Page 2 of 4)

(a) A discussion of the potential impact on minority communities and minority-owned businesses during and after construction;
(b) A discussion of all potential negative environmental impact, such as noise, air, or water pollution;
(c) A detailed list of minority-owned businesses and households that will be affected by the construction project;
(d) A description of other significant changes or impacts on the minority community, such as increased traffic, reductions in the amount of available parking, etc.; and
(e) A description of the relocation program and/or other measures adopted by the applicant that will be used to mitigate any identified adverse social, economic, or environmental effect of the proposed construction project.

5.

Changes in Service Features- Provide a description of the type of service changes (e.g.)

route extensions, deletions, etc. including any changes as a result of contracting out

transit service and a statement of the effect of these changes on minority communities

and minority transit users. In particular, the transit system must describe significant

service changes relating to hours or days of operation, headways or fares, etc. and

provide the schedule reflecting such changes.

6.

Information Dissemination- Provide a description of the methods used to inform minority

communities of service changes (e.g. public notices, public hearings, or other formal or

informal public discussions, presentations, meetings, etc.) relating to transit service and

improvements.

7.

Minority Representation on Decision making Bodies- Provide a racial breakdown of

transit-related non-elected Boards, Advisory Councils or Committees which are integral

parts of the transit agency's planning process. Implementation of programs and other

related activities. Provide a description of the efforts made to encourage minorities to

participate on such Boards, Councils or Committees.

8.

Multilingual Reguirements - Assess the bilingual needs of the service area. Where a

significant number or portion of the population to be served needs service or information

in a language other than English to participate in FTA assisted programs, the recipient

shall take every reasonable step to provide information in appropriate languages.

30

EXHIBIT 8 (continued)

(Page 3 of 4)

Part 2 - Data Collection Requirements:

Please supply documentation of level of service and quality of service monitoring activities as outlined in Part 2, for the reporting period.

Monitoring Procedures - For the purpose of this section, FTA is requiring that all grantees 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:

1. Level of Service Methodology - For the purpose of this methodology, minority communities must be identified by census tracts or traffic analysis zones. Service provided to these communities will be measured in terms of the service policies and standards adopted by the recipient (i.e., vehicle load, vehicle assignment, headways, transit amenities, transit access, etc.). Recipients shall as a part of their internal monitoring procedure undertake the following:

a. Select an appropriate sample size. At a minimum, the sample must include each tract or zone that has a minority population (minority census tract) that is equal to or above the total percentage of all minorities within the service area. In addition, at least ten percent (10%) of all the census tracts or traffic analysis zones in the service area should be monitored.

b. Inventory the transit service provided in the selected sample areas.

c. Assess the performance of each route operating within the selected areas for each of grantee's service standards and policies.

d. Compare the transit service provided to minority areas to the recipient's service policies and standards, and review and take action in all cases in which the service to minority areas do not meet the stated service policy or standards of the grantee.

e. Compare the average performance for each route in the transit system to the grantee's service policies and standards, and take action on the observed differences.

31

EXHIBIT 8 (continued)
(Page 4 of 4)
2. Quality of Service Methodology - This methodology 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. Recipients shall utilize the following methodology to assess equity in the quality of service provided:
a. Identify an appropriate number of minority census tracts or traffic analysis zones and a corresponding number of comparable nonminority census tracts or traffic analysis zones. The number of census tracts or analysis zones selected should be based on the population within the service area. For service areas with a population of 200,000 or below, at least three minority and nonminority census tracts or traffic analysis zones must be selected.
b. Conduct a survey of transit riders in the identified areas to determine travel patterns (work trip destination) and opinions on the transit service provided. Census data may also be used to model transit travel patterns in an urbanized area.
c. Summarize the travel patterns of transit users in the selected census tracts or traffic analysis zones, and summarize comments or opinions about the transit service.
d. Using transit travel time and fare matrices, and/or other appropriate indices, information must be monitored for the top three most-traveled destinations. All values below emanate from the centroid of selected census tracts or traffic analysis zones to the centroid of destination:
1. Average peak hour travel time to destination;
2. Number of transfers/bus stops before reaching destination;
3. Total cost of trip to destination; and
4. Cost per mile of trip to destination.
e. In using this methodology, the grantee must compare the quality of service of minority census tracts or traffic analysis zones with nonminority census tracts or traffic analysis zones, and take action on the disparities.
32

EXHIBIT 9 APPLICATION CHECKLIST

Please check off items as being completed:
1. Exhibit 1 - Letter of Transmittal
2. Exhibit 2 -Urbanized Area Formula Funding Form I
-Capital Program Justification 3. Exhibit 3 - Program of Projects and Budget 4. Exhibit 4 - Project Budget Worksheet for Operating Assistance 5. Exhibit 5 - Project Implementation Schedule (Capital/Planning) 6. Exhibit 6 - Authorizing Resolution 7. Exhibit 7 -Annual List of Certifications and Assurances
Supplemental Exhibits 8. Exhibit 8 - Civil Rights Documentation 9. Exhibit 9 - Application Checklist

Signed by Official

Title of Official

Date

33

APPENDIX

APPENDIX A

Quarterly Progress Reports

Grant Management Guidelines (FTA Circular 5010.18) requires Urbanized Area Formula Program recipients to complete quarterly progress reports for grants which include capital and/or planning assistance. For operating assistance projects only, a quarterly Statement of Revenues and Expenses is required. At a minim.um the progress reports should include the following:



A description of budget or schedule changes during the

reporting period;



A comparison of scheduled activities and budgeted

expenditures with actual accomplishments for the period;



A summary of reasons why any scheduled milestones were not

met and a remedy to resolve the problems; delays should also

be discussed alonQ with steps outlined to minimize them;



A list of all outstanding claims exceeding $100,000 and all

claims settled during the reporting period. There should also be

a brief description and reasons for the claims;



Projected activities planned for the next quarter and the steps

proposed to carry them out;



Any expected changes in the scheduled activities; and



Any available photoQraphs of the project.

The report also should contain some budget information (changes, amount spent, etc.) in a specified format. Contact the Office of lntermodal Programs for a sample report.

An original and two copies of the quarterly progress reports must be submitted to the GDOT (Atlanta) Office by the 15th day after the end of the quarter. A copy of the report should be sent to the GDOT District Office.

34

APPENDIX A (continued) BUS PROCUREMENT MILESTONES - QUARTERLY REPORT
In order to improve the reporting and management of major grant activities, FTA has developed a set of standard milestones for certain grant activities or scopes, such as bus purchases, maintenance facilities, etc. The first standard set implemented is for bus procurement.
Please provide the following information on your bus procurement activities with each quarterly report:

Original Estimated Completion Date

Revised Estimated Completion
Date

Actual Completion
Date

Comments

RFBIIFB Out for Bid

Contract Awarded

Rrst Bus Delivered

All Buses Delivered

Contract Complete

Type of Vehicle:
Name of Contractor/Manufacturer:
A separate milestone .Qb.ar::t is required for each of the following types of vehicle purchased:
Standard 40-foot, 35-foot, less than 30-foot, articulated, commuter/suburban, intercity, standard trolley, and articulated trolley buses. In completing the chart, the original estimated completion date should be the first estimate only, which was made at grant award time, and should not change throughout the life of a grant. The revised estimated completion date should be provided when there is slippage from the original estimate. When available, the actual completion date and the contractor/manufacturer name should be reported.

35

APPENDIX B
ADMINISTRATIVE GUIDELINES FOR TRANSIT PROJECTS PLANNING, DESIGN AND CONSTRUCTION

The following guidelines are to be used by a City, County, or an Authority, hereinafter referred to as Local Government, for the planning, design and construction of transit projects in which the Georgia Department of Transportation, Office of lntermodal Programs is contractually providing federal and/or state funds. Transit projects as used in these guidelines will mean any building, facility, or structure to be used in connection with the operation of a public transit system.

PLANNING AND DESIGN OF PUBLIC TRANSPORTATION PROJECTS

The following are alternatives and/or elements for implementing projects:

1. The Local Government may use its own personnel or contract with a qualified consultant for project design.

2.

If a consultant is to be employed, the request for proposal (RFP) generally outlining the

scope of services being requested will be submitted to the GDOT for review and approval

prior to advertisement. The Scope of Services should be descriptive and to inform the

prospective consultants if they are both interested and qualified to respond. The Scope of

Services should specify any division of labor or materials between the consultant and the

Local Government. The RFP may also state a project cost range and will be awarded as

a negotiated lump sum contract.

3. All projects will require a graphic work program depicting the tasks to be performed and a schedule to illustrate the flow of work. This work program becomes a basis for establishing monthly progress payments.

4. It is recommended that the Local Government include in any agreement for design, a provision for the consultant to maintain oversight responsibility during construction. A detailed schedule of architectural and engineering work to be performed through construction should be included.
36

APPENDIX B (continued) 5. The Local Government shall notify the GDOT such that the Department shall be a party to
all project progress meetings with the consultant as called for in the work program and schedule. 6. Project plans and specifications should be in compliance with the applicable GDOT, Federal Transit Administration (FTA) as well as Local Government codes and standards. 7. The final plans, specifications and bid documents, including the official cost estimate, will be provided to GDOT for review and approval prior to advertisement of the project. 8. Upon approval of the final plans and specifications, the Local Government will prepare the project bid package for advertisement and shall provide a complete bid package including advertisements to GDOT. Parties responsible for bid preparation and construction monitoring should be specified. 9. The project will be let for bid by the Local Government in accordance with its established proc~dures, practices and laws. 10. The Local Government will provide GDOT with a complete tabulation of the bids and recommendations for award of the project contract.
37

APPENDIX B (continued)

CONSTRUCTION OF PUBLIC TRANSPORTATION PROJECTS

1.

The Local Government and/or its agent is directly responsible for the supervision and control of

the contractor and overall construction of the project.

2.

The Local Government shall appoint a project engineer and/or project manager to supervise

project construction and administer the construction contract.

3.

The Local Government shall assure that the designated project engineer/manager is adequately

trained in the construction involved, familiar with the plans, specifications, and project schedule

and is regularly on the site during construction.

4.

The Local Government shall notify the GDOT of any preconstruction conference with the

contractor and any additional project meetings with the contractor.

5.

The Local Government shall establish a formal procedure for the review and approval of change

orders and supplemental agreements relating to the project.

6.

The Local Government project engineer/manager shall be responsible for documenting work

performed and maintaining adequate project records in order to authorize progress payments.

7.

Any work stoppage, failure to comply with contract terms or other significant development should

be reported immediately to GDOT. Schedule and work order changes should also be promptly

reported.

8.

The Local Government will submit billings in suitable detail to the GDOT for payment along with

a construction progress report. Invoices submitted should always reference contracted work

items.

9.

The final inspection and acceptance of the project shall include the GDOT and the appropriate

parties.

38

APPENDIXC PROCUREMENT GUIDELINES
Capital Purchases
For contracted items to be purchased, Federal and State regulations require competitive procurement. Purchases up to $5,000 do not require prior approval by the GDOT if the following procedures are followed:
Small purchases of less than $500 require only telephone bids. Items costing between $500 and $1 ,500 can be purchased with a minimum of three telephone bids. Items costing between $1 ,501 and $5,000 can be purchased with a minimum of three written bids. Items over $5,000 will require sealed bids as well as prior approval of the Department. Statewide contracts should be checked for availability and cost of items to be purchased.
Bid documents should be submitted to GDOT for approval prior to contracting for any item. Whenever possible, the low bidder should be selected. If the low bidder is not selected, an explanation should be provided. Local Governments are not authorized to contract for capital items prior to GDOT approval.
All purchases regardless of the size should be in compliance with local, State and Federal purchasing regulations. The Transit System is responsible for documenting the purchasing process and compliance with all applicable rules, regulations and guidelines.
Third Party Management Contracts
All Third Party Management Contracts must be submitted to the Department for approval prior to execution. The approval request and Legal documents must be signed by the Chief Elected Official (local Government) or Chairman of the Board (Transit Authority). The approval letter should attest to the following:
(1) FTA Third Party Contracting guidelines were followed in consultant selection and procurement of professional services. (2) All applicable Federal and State regulations have been incorporated in the contracting document, and (3) The appropriate detailed documentation is on file for review in local project files
39

APPENDIX D FINANCIAL ADMINISTRATION GUIDELINES
State and local governments are accountable for all financial matters and for compliance with program requirements. Program administration should follow OMB A-128 regulations providing continuous administrative and management oversight of project operations. In part, this administrative oversight responsibility involves maintaining separate accounts of charter operations and conduct of annual independent audits.
STATE REQUIREMENTS
Standards for state financial management systems:
A State must expand and account for grant funds in accordance with State laws and procedures for expending and accounting for its own funds. Fiscal control and accounting procedures of the State, as well as its subgrantees and cost-type contractors, must be sufficient to:
1) Permit preparation of reports required by 49 CFR Part 18 and the statutes authorizing the grant; and
2) Permit the tracing of funds to a level of expenditures adequate to establish that such funds have not been used in violation of the restrictions and prohibitions of applicable statutes.
LOCAL GOVERNMENT REQUIREMENTS
The financial management systems of local government grantees should meet the following Standards.
1) Financial reporting. Accurate, current, and complete disclosure of the financial results of financially assisted activities must be made in accordance with the financial reporting requirements of the grant or subgrant.
40

APPENDIX D (continued)

2)

Accounting records. Grantees and subgrantees must maintain records which adequately

identify the source and application of funds provided for financially-assisted activities. These

records must contain information pertaining to grant or subgrant awards and authorization,

obligations, unobligated balances, assets, liabilities, outlays or expenditures, and income.

3)

Internal control. Effective control and accountability must be maintained for all grant and

subgrant case, real, and personal property, and other assets. Grantees and subgrantees

must adequately safeguard all such property and must assure that it is used solely for

authorized purposes.

4)

Budget control. Actual expenditures or outlays must be compared with budgeted amounts for

each grant or subgrant. Financial information must be related to performance or productivity

data, including the development of unit cost information whenever appropriate or specifically

required in the grant or subgrant agreement. If unit cost data are required, estimates based

on available documentation will be accepted whenever possible.

5)

Allowable cost. Applicable OMB cost principles, agency program regulations, and terms of

grant and subgrant agreements will be followed in determining the reasonableness,

allowability, and allocability of costs.

6)

Source documentation. Accounting records must be supported by such source

documentation as canceled checks, paid bills, payrolls, time and attendance records, contract

and subgrant award documents, etc.

7)

Cash Management. An awarding agency may review the adequacy of the financial

management system of any applicant for financial assistance as part of a preaward review or

at any time subsequent to award.

ALLOWABLE COSTS: Applicable cost principles. For the costs of a State or local government, use the principles in OMB Circular A-87.

41

APPENDIX D (continued) NON-FEDERAL UNIT: Basic Rule. Grantees and subgrantees are responsible for obtaining audits in accordance with the Single Audit Act of 1984 (31 USC 7501-7) and federal agency implementing regulations. The audits shall be made by an independent auditor in accordance with generally accepted government auditing standards covering financial and compliance audits. Subgrantees. State or local governments ... that receive Federal financial assistance and provide $25,000 or more of it in a fiscal year to a subgrantee shall: 1) Determine whether local subgrantees have met the audit requirements of the Act ... 2) Determine whether the subgrantee spent Federal assistance funds provided in accordance
with applicable laws and regulations ... 3} Ensure that appropriate corrective action is taken within six months after receipt of the audit
report in instance of noncompliance with Federal laws and regulations.
42

APPENDIX E
CODIFICATION OF FEDERAL TRANSIT LAWS
. On July 5, 1994, President Clinton signed Public Law 103-272, repealing the Federal Transit Act and related transit provisions and reenacting them as chapter 53 of title 49, United States Code.
Chapter 53 uses new language in some instances and generally rearranges the old provisions with which we are all familiar; however, it effects no substantive changes to the law. A listing of the most commonly used citations is listed below:

Subject

Federal Transit Act

Capital Program Urbanized Area Formula Program Nonurbanized Area Formula Program Labor Protection Certifications Elderly and Persons w/Disabilities Program Metropolitan Planning Program State Planning and Research Program National Transit Database

Section 3 Section 9 Section 18 Section 13 (c) Section 16 Section 8 Section 26 Section 15

49 u.s.c.
5309 5307 5311 5333(b) 5310 5303 5313/5314 5335

A detailed listing of citations is available upon request from GDOT or FTA. 43

APPENDIX F

Fl'A C 9030.18

10/10/96

FTA Budget Codes

~--=-.-a===~~~~-==-~--~--~~~ty Line Items GRANTS MANAGEMENT INFORMATION SYSTEM

ACTIVITY LINE ITD C:OJ)E CHAJtT

. 01 Bu STJ) 40 FT

FOR CAPITAL BXPENDITORBS

. 02 .01 .04

Bw. Bw. Bu

S1cT0J3)0r3rr5rP'l'

:I 1CXA.PXITXA.XLX

t Engineering
XX.ll.XX

"

J)eign

t Purcbae
XX.12 .XX

-

Replacement

OS Bw. School

.06 8\18 Articulated

.07 8\18 Coamuter/Surb

.01 Bw. Intercit~

09 Bu Trolley TJ)

.10 Bw. Trolley Artie.

.11 Bu J)ouble J)eck

.12 .13

Bu Oed School &u

o. .d

.14 Dual Moc!e Bw.

XPuXr.cl3b.XaXe - Expauion

.15 Van8 .16 Sedan/Station Wagon

Revenue Rolling Stock

t RXXeh.l4a.bXiXlitation/Rebuild

.20 Rail Car - LRT . 2212 RRaaiill ccaarr C- CRftaiipiUidter Self Prop .23 Rail Car Commuter Trailer

XX.1X.XX

.24 Locomotive J)ieel Electric

_t Mid Life Rebuild
XX.1S .XX

(Rail)

.25 Locomotive Electric . 26 Rail can Oed .27 Locomotive Oed

.28 Rail J)ieel Self-Pro

.30 Cable Car

Lease XX.l6 .XX

.31 People Mover .32 Car, Incline Railway

t rtBllu.Xs X.XX

Veh OVerhaul (up to 20\

.33 Ferry Boat .38 Leaed Replacement Vehicle .39 Transferred Vehicles .40 Spar~ Parts/~qc. Capital

vehicle maintenance)

Ma1ntenanee Items

XX.l7.00

* (2Se-edilgaittAfatgerenoaftiveexhFiubeitl for

Codes required for all bu

rolling tock purebae.l

HR12A.IXLX .XX ~

J Engineering
XX.21.XX

'

J)eign

~N1E3.WXXS.TXAXRTt

Transitway
Lines XX.2X.XX

Ae~isition
XX.22 .XX Construction XX.23.XX Rehab/Renovation XX.24.XX

.01 .02

TBursavnanyt

Mall

. 03 Line Equipment/Struc. Mise .

.04 Twmels

_t .OS Bridges .06 Elevated Structures

.07 People Mover

t .20 Miscellaneous Equipment

Lease XX.26

.xx

Station TeSrmt9iPnSa{s XX.3X.XX

Engineering XX.31.XX

'

J)esign

Ac~iition
XX.32.XX

Construction XX.33 .XX

Rehab/Renovation XX. 34 .XX

Lease XX.36.XX

. 01 Terminal, 8\18 .02 Station 03 Terminal! InterftiOd.al .04 Park de Lot .OS Ferry Terminal .06 Fare COllection lquip.
(Stationary) 07 Surveillance&Seeurity Sys. .01 FurDiture raphics
t .09 Route Sip~ .120o MPaissc:erl:r&:rDelobusilters



GRANTS MANAGEMENT INFORMATION SYSTEM ACTIVITY LINE ITEM CODE CHART FOR CAPITAL EXPENDITURES

FTA Budget Codes Activity Line Items

APPENDIX F
FTA C 9030.1B 10/10/96

~1CXAP.XIXTA. .LXXI

nEngineering .XX.41 . .XX

"

Design

HAcquisition XX. 42. XX

H Support

F"aciEl1qutiieps

Construction XX. 43 . .XX

XX. 4X .XX

HRehab/Renovation .XX.44 .XX

~L.XeXas.4e6.XX

I .01 Admin Building .02 Maintenance Facil .03 Admin/Maint Facil .04 Storage Facility

_t .OS .06

Yards " Shops
Sh~ E~ipment

.07 ADP Hardware

.08 ADP Software

t .09 Surveilliance/Securitl .10 Fare Collection (Hobi e) .11 Sup~ort Vehicles .12 Wor Trains

I .20 .40

Miscellaneous Excl Bicycles

E~i~ent
Ve icle

.41 Excl Bicycles Equi~ment

.42 Excl Bicycles Faci ity

.43 ADA Vehicle Equipment

.44 CAA Vehicle Equi~ment

.45 OIAQ Demo (Opera ingl

rlBlUlS. .XX . .XX ~

n I Engineering .XX.Sl.XX

"

Design

r HRl2A.XILX . .XX

Electrification,
Power Dist XX. 5X .XX

H Acq\J,isition XX. 52 .XX
HConstruction .XX.53.XX
HRehab/Renovation XX. 54 .XX

J .Ol Traction Power .02 AC Power Lighting
r .03 Power Distr1bution Sub-Station .04 Vehicle Locator System. .20 Miscellaneous
I

NEW START l3.XX . .XX

SCoigmnmaulni"cation
XX.6X.XX

Lease .XX.56 .XX

_t

i Exnxg.inn.e.xexr,ing " Design i Acq\J,isition
.XX.62.XX
HxCxo.nns.txruxction
H Rehab/Renovation XX.64 . .XX

t
j
.01 Train Control/Signal System
_t .02 Communications System. .03 Radios .20 Miscellaneous Equipment
r

I Lease XX.66 .XX

r

45
. 04/12/96

APPENDIX F
FI'A C 9030.18 10/10/96

FTA Budget Codes Activity Line Items

GRANTS MANAGEMENT INFO~TION SYSTEM
ACTIVITY LINE ITBM CODE CHART
FOR CAPITAL ANtl OPERATING EXPENDITURES

i :I ClXA.XPIXTA.XLX

1 nBlUl.XS X.XX

Other Capital Program Items XX. 7X.XX

nX3rXd.7Pl.XarXty Contract
H XFXo.r 7c2e.XAXc c o u n t
1XCXon.7t3in. g0encies
i XPuXb.7li4c.0B0 uyout

t .01 Prelimina~ Engineering ..0032 PFrinoajel catna;~:gerem1negnt .04 Construction Management OS Inaurance ..0067 A~uailt .08 Construction (Force Account) .09 Rollin~ Stock Rehab (FA) .10 Inspec ion (FA) .11 Other .12 ~ital Cost of ontractinj .13 Contracted ervice<EPD>

I HR12A.IXLX.XX
~N1E3.WXXST.XAXRT

i XRXea.7l5.EXsXtate (R/W)
~ XRXea.7l6.EXsXtate (Other)
H XPrXo. ~e7c.0t0Income

r ..9921 RAecroociastiitoionn (ACtual) .93 Demolition .94 ~praisal .95 1lity Relocation .96 Construction .97 Rehabilitation .98 Lease

State Adminis-
xtxr.aaoti.ooon

C&~ital Project ncome
XX.78.00 ~ XPXro. i9e.c0t0Admin

OPerating Expenses

3b.09.00

.

Bote: Please use the 30.09.00 Operating ZXpenae Code for all Sections.

~/12196
46

FTA Budget Codes Activity Line Items
GRANTS MANAGEMENT INFORMATION SYSTEM ACTIVITY LINE ITEM CODE CHART FOR PLANNING EXPENDITURES

APPENDIX F
FTA C 9030.1B 10/10/96

'P4LlA.XNXN.IXNXG/

n

Pr~ram Support/Administration XX. l.OO

I

H I General Development/Comprehensive

XX.l2.00

Planning

H Lon! Range Transportation Planning XX. 3.XX

.01 System Level .02 Project Level

H I Short Range Tranportation Planning XX.14.00 (Metropolitan/Statewide}

I I Transportation Improvement Program XX.lS.OO (Metropolitan/Statewide}

.01 ADA . 02 Clean Air Planning .06 Financial Planning

.07 Management Systems

H ~ecial Projects .16.XX

_I .08 Publ1c Participation .10 Livable Commun1ties .12 Safety/Drug/Alcohol Planning

.13 Planning "Back to Basics"

H Other Activities XX.l7.00

.14 Congest1on Management

I

Plannin~
.15 Implemen ation of ADA

----1 Highwa~ Planning XX.l8. 0
----1 Accounting Classification XX.20.XX

I

.Ol Personnel .02 Fringe Benefits .03 Travel

.04 Equi~ment

_t- .OS .06

Sup~
Con

r

aieestu

a

l

.07 Other

.08 Inciireet Charges

Fund Allocations XX.30.XX

_t- .Ol MPO Activities .02 Transit Operator Activities .03 State/Loeal Agency Activities

04/12/96
47

APPENDIX F
fTA C 9030.18
10/10/96

FTA Budget Codes Activity Line Items

GRANTS MAHAGBME!n' INFORMATION SYSTEM ACTIVITY LINE ITEM CODE CHART
FOR RTAP AND MANAGEMENT TRAINING

Rural Transit Assistance Program
43.XX.XX
Management Training
50.XX.OO

I TUr.a5i0n.i0ny

I!

l Technical ~aiatance 43.50.02

I

I Transit Research 43.50.03

I

I Related Support Service 43.50.04

I

i 4P3r.~roa.omsReserve

J

Travel
50.10.00
Tuition/Fees
50.20.00
Housing/Meals
50.30.00

48

FTA budget Codes Activity Line Items
GRANTS MANAGEMENT INFORMATION SYSTEM ACTIVITY LINE ITEM CODE CHART
FOR RESEARCH AND OTHER EXPENDITURES

APPENDIX F
FTA C 9030.1B 10/10/96

I Research Projects 55.XX.XX

lt----f .10. 00 Personnel .13.00 Clerical .14.00 Managerial, Technical ' Professional .15.00 Construction work .19.00 Other .20.00 Travel .30.00 Fringe Benefits .40.00 Equipment .41.00 ADP Purchase Lease or Rental .42.00 Material ' E~ip-Purchase/Lease/Rent .43.00 Equip~ent Design or Manufacture .49.00 Suppl.l.es .50.00 Contractual .51.00 Service Improvements .52.00 Consultant Services .53.00 ADP Services .54.00 Other .56.00 Construction .6l.OO FAC; Renov; Purchase,Lease,Rental .62.00 Construction Work .70.00 Other . 7l.OO Administrative Costs . 72.00 Service Operations .73.00 Contingencies .74.00 Other Project Costs .75.00 Diversion Payments .76.00 Profit or Fee .80.00 Indirect Costs .81.00 OVerhead .82.00 General ' Administrative .90.00 Income .91.00 Project Income .92.00 Investment Income .93.00 Proceeds, Sale of Non-Expen Pro .94.00 Farebox Revenue

I University Research 70.XX.XX

1-----1 .10. 00 Faculty Salaries ' Wages

1

.13.00 Secretarial ' Clerical Costs .20.00 Emploree Benefits

.30.00 Trave

.44.00 Automatic Data Processing Services

.49.00 Services

.50.00 Expendable Supplies ' Material

.51.00 Seminar Support

.52.00 Student Stl.pend/Tuition

.53.00 Publishing Costs

.65.00 university OVerhead

.80.01 Student Salaries

.80.02 Other Direct Costs

.80.03 Other Indirect Costs

.90.00 Cost Share or Grantee Local Share

ADA/CAA Non-Add Scope!

99.60.00

.

(OLD CAA EXPENSES) 99.70.00

Contingency Projects 99.99.00

ADA/CAA Increased Federal Share (i.e. alternate Federal Share matches such as
90/10 and 83/17) NO LONGER VALID BEGINNING FY94
Line Item Adjustment 99.99.99

04!12/96
49

APPENDIX F
FI'A C 9030.1B 10/10/96

FTA Budget Codes Activity Line Items
GRANTS MANAGEMENT INFORMATION SYSTEM ALTERNATIVE FUEL TYPE CODES FOR BUS PURCHASES
DF - DIESEL FUEL DP - DIESEL (PARTIC'tl'LATE TRAP) CN - COMPRESSED NATtJRAI.. GAS LN - LIQUEFIED NATORAI. GAS LP - LIQUEFIED PETROLEUM GAS M'l' - METHANOL ET - ETHANOL EP - ELECTRIC PROPULSION GA GASOLINE SF - BUNKER FOEL OR - OTHER

04/12/96
50

APPENDIXG
FEDERAL REGISTER MONDAY, OCTOBER 7, 1996 DEPARTMENT OF TRANSPORTATION FEDERAL TRANSIT ADMINISTRATION
Grants and Cooperative Agreements; Fiscal Year 1997 Annual List of
Certifications and Assurances; Notice
51

Monday October 7, 1996
Part Ill
Department of Transportation
Federal Transit Administration Fiscal Year 1997 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements; Notice

52540

Federal Register I Vol. 61, No. 195 I Monday, October 7, 1996 I Notices

DEPARTMENT OF TRANSPORTATION Region 7: Kansas City

agreement in managing its ITA assisted

Federal Transit Administration
Fiscal Year 1997 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements
AGENCY: Federal Transit Administration, DOT. ACTION: Notice.

States served: Missouri, Iowa, Kansas, and Nebraska, Telephone # 816-5230204.
Region 8: Denver
States served: Colorado, Utah, Wyoming, Montana, North Dakota, South Dakota, Arizona,1 and Nevada,t
Region 9: San Francisco
States served: California, Hawaii,

projects and their budgets. All applicants are encouraged to participate in the On-Line Program, which includes the opportunity to certify compliance electronically for all certifications and assurances selected among those in Appendix A. The Electronic Grant Making and Management initiative (EGMM) pilot program also initiated in Federal Fiscal Year-1995 has proved so successful in reducing time and paper

SUMMARY: This Notice contains ITA's Guam, American Samoa, and the

that EGMM will continue to be offered

comprehensive compilation of the

Northern Mariana Islands, Telephone # to more applicants. Applicants may

Federal Fiscal Year 1997 certifications 415-744-3133.

contact their Regional Office shown

and assurances to be used in connection with all Federal assistance programs

Region 10: Seattle

above for more information. This 1997 Annual Certifications and

administered by ITA during Federal

States served: Idaho, Oregon,

Assurances document contains changes

Fiscal Year 1997. (See Appendix A.)

Washington, and Alaska, Telephone# to the previous year's Federal Register

These certifications and assurances

206-220-7954.

publication. One change is the addition

include aU annual certifications required by 49 U.S.C. 5307(d)(1) for

SUPPLEMENTARY INFORMATION: Before ITA may award a Federal grant or

of Category III, Effects On Private Mass Transportation Companies. Please read

FTA's Urbanized Area Formula Program cooperative agreement, the applicant

this category in Appendix A before

as well as other certifications and

must provide to ITA all certifications certifying. Another change occurs at

assurances needed for compliance with and assurances required by Federal laws Category XV, Certifications and

various other Federal statutes and

and regulations for the applicant or its Assurances for the State Infrastructure

regulations affecting ITA's assistance project.

Bank Program. This new category

programs.

This Notice provides the text of

concerns grant applicants requesting

EFFECTIVE DATE: October 7, 1996.
FOR FURTHER INFORMATION CONTACT:
Linda Watkins Sorkin, Office of the Chief Counsel, Federal Transit Administration, (202) 366-1936; or contact ITA staff in the appropriate Regional Office listed below.

certifications and assurances that may be required by law for the various Federal assistance programs administered by ITA including the Capital Program, the Urbanized Area Formula Program; the Nonurbanized Area Formula Program, the Metropolitan Planning Program, the

Federal assistance for deposit in the Transit Account of the State Infrastructure Bank (SIB). Additional changes have been made to the Annual Certifications and Assurances, which may include clarification and reference sources.
In Category I-G, Assurance of

Region 1: Boston

Rural Transit Assistance Program, the Nondiscrimination on the Basis of

States served: Maine, New Hampshire, Vermont, Connecticut, Rhode Island, and Massachusetts, Telephone# 617-494-2055.

Elderly and Persons With Disabilities Program, the Human Resource Program, the National Training Institute Program, the State Planning and Research Program, and the National Planning and

Disability, a revision occurred in the regulation for compliance, CFR 49 Part 27. (see Federal Register of May 21, 1996, p 25416.) This 1997 certification therefore either assures ITA of the

Region 2: New York

Research Program, all codified at 49

applicant's full implementation of ADA

States served: New York, New Jersey, and Virgin Islands, Telephone# 212264-8162.
Region 3: Philadelphia
States served: Pennsylvania, Delaware, Maryland, Virginia, West

U.S.C. chapter 53. When administering Federal assistance programs authorized by other Federal statutes, such as Title 23, United States Code, ITA uses these same certifications and assurances during Federal Fiscal Year 1997.
This Notice provides the applicant

paratransit service requirements by January 26, 1997 with no further need to submit annual plan update; or, if not in compliance, of the applicant's intent to submit a 1997 plan update with a valid request for a time extension, in order to remain eligible for Federal

Virginia, and District.of Columbia,

with a single Signature Page on which funding. Each applicant is advised to

Telephone # 215-656-6900.

the applicant and its attorney certifies read the entire 1997 Certifications and

Region 4: Atlanta
States served: Kentucky, North Carolina, South Carolina, Georgia, Florida, Alabama, Mississippi, Tennessee, and Puerto Rico, Telephone

compliance with all certifications and assurances applicable to each grant or
cooperative agreement for which the
applicant wishes to apply in Federal Fiscal Year 1997. (See Appendix B.)
ITA is expanding the use of the two

Assurances to be confident of their responsibilities and committments. The applicant may signify compliance with all Categories by placing a single "X" in the appropriate space at the top of the Signature Selection Page in Appendix

# 404-562-3500.

electronic programs for applicants

A. However, the applicant's Attorney

Region 5: Chicago

introduced in 1995. The On-Line

Affirmation continues to be required as

Program is offered to applicants through indicated on the Signature Page at the

States served: Minnesota, Wisconsin, the Grant Management Information

end of Appendix B, regardless of the

Michigan, Illinois, Indiana, and Ohio, System (GMIS). This is a computerized applicant's selection of a single

Telephone# 312-353-2789.

system designed to assist the ITA

selection for all fifteen Categories or

Region 6: Da'uas/Ft. Worth

grantee or recipient of a cooperative

options selection from the fifteen Categories.

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

1 Transportation projects for these states are administered by Region 8 but are geographically in Region 9) Telephone # 304-844-3242.

FTA directs your attention to FTA Circular 9300.1, "Capital Program Grant Application Instructions," which was

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published on September 29, 1995. That 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 this Notice supersede conflicting statements in that circular. Note especially that the Applicant must use the most current Signature Pages shown in this Federal Fiscal Year 1997 Federal Register document or provided concurrently through the EGMM initiative discussed above.
Background
With the publication of the Federal Fiscal Year 1995 counterpart of this Notice, certifications and assurances for Federal assistance programs administered by ITA were for the first time consolidated into one document. This marked the beginning of an effort to assist applicants in reducing time and paper work in certifying compliance with various Federal laws and regulations. It coincided with the OnLine Program and the EGMM initiative described above, which also reduced the

time and paper required to process an application.
ITA intends to continue publishing this document annually with any changes or additions specifically highlighted, in conjunction with its publication of the FTA annual apportionment Notice, which allocates funds in accordance with the latest U.S. Department of Transportation (U.S. DOT) annual appropriations act.
Procedures
Following is a detailed compilation of Certifications and Assurances (Appendix A), followed by a Signature Page (Appendix B). The Signature Page is to be signed by the applicant's authorized representative and its attorney (the attorney's current affirmation may be on file in some instances), and sent to the appropriate FTA Regional office by: (1) The firstquarter application submission date published in ITA's Federal Fiscal Year 1997 apportionment announcement; or (2) with the applicant's first Federal assistance application in Federal Fiscal Year 1997.

The Signature Page, when properly signed and submitted to ITA, assures FTA that the applicant intends to comply with the requirements for the specific program involved. Both sides of the Signature Page must be completed, first by marking where appropriate with an "X" on the category selection side, and then signifying compliance by signing the signature side. (See Appendix B.)
An applicant participating in the OnLine Program or the EGMM Program described above, may submit its Signature Page (both the selection side and the signature side) electronically. The applicant should not hesitate to consult with the appropriate Regional Office or Headquarters Office before submitting its certifications and assurances.
References: 49 U.S.C. chapter 53, Title 23 U.S.C., 42 U.S.C. 4151, Title VI and Title VII of the Civil Rights Act, FTA regulations under 49 CFR, and FTA Circulars,
Issued On: September 30, 1996.
Gordon J. Linton,
Administrator.
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FEDERAL FISCAL YEAR 1997 CERTIFICATIONS AND ASSURANCES FOR FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
Each Applicant is requested to provide as many of the following certifications and assurances as possible to cover the various types of Federal assistance programs for which the Applicant intends to seek Federal assistance from FTA in Federal Fiscal Year 1997. A state making certifications and assurances on behalf of its prospective subrecipients is expected to obtain sufficient documentation from those subrecipients as necessary for the state to make informed certifications and assurances. The fifteen categories of certifications and assurances are listed by Roman numerals I through XV on the other side
of the Signature Page document. Categories n through XV will apply to some, but not all
applicants. The categories correspond to the following descriptions of circumstances mandating submission of specific certifications, assurances, or agreements:

I. CERTIFICATIONS AND ASSURANCES REQUIRED OF EACH APPLICANT
Each Applicant for Federal assistance awarded by FI'A.!!!!!!! make all certifications and assurances in this Category L Accordingly, FTA may not award any Federal assistance until the Applicant provides assurance of compliance by selecting Category I on the Signature Page at the end of this document.
A. Authority of Applicant and Its Representative
The authorized representative ofthe Applicant and legal counsel who sign these certifications, 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: (1) Execute and file the application for Federal assistance on behalf ofthe Applicant, (2) Execute and fde the required certifications, assurances, and agreements on behalf ofthe Applicant binding the Applicant, and (3) Execute grant and cooperative agreements with FTA on behalf ofthe Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable Federal statutes, regulations, executive orders, FTA circulars, and other Federal administrative requirements in carrying out any grant or cooperative agreement awarded by FTA. The Applicant acknowledges that it is under a continuing obligation to comply with the terms and conditions of the grant or cooperative agreement issued for its 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 written determination otherwise.
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C. Debarment. Suspension. and Other Responsibility Matters -- Primcuy Covered Transactions
As required by U.S. DOT regulations on Govemmentwide Debarment and Suspension (Nonprocurement) at 49 CFR 29.510: ( 1) The Applicant (Primary Participant) certifies to the best ofits knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;
(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission offraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) transaction or contract under a public transaction; violation ofFederal or state antitrust statutes; or commission ofembezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a govemmental.entity (Federal, state, or local) with commission ofany 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 default. (2) The Applicant also certifies that if, later, it becomes aware of any information contradicting the statements of paragraphs (a) through (d) above, it will promptly provide that information toFTA. (3) Ifthe Applicant (Primary Participant) 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 FTA.
D. Drug-Free Workplace Certification
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 of a controlled substance is prohibited 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 assistance programs; and (d) the penalties that may be imposed upon its employees for drug abuse violations occurring in the workplace; (3) Making it a requirement that each of its employees to be engaged in the performance ofthe grant or cooperative agreement be given a copy ofthe statement required by paragraph (I); (4) Notifying each ofits employees in the statement required by paragraph (1) that, as a condition of employment financed with Federal assistance provided by the grant or cooperative agreement, the employee will: (a) abide by the terms ofthe statement, and (b) notify the employer (Applicant)

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in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than 5 calendar days after that conviction; (5) Notifying FTA in writing, within 10 calendar days after receiving notice required by paragraph (4)(b) above from an employee or otherwise receiving actual notice ofthat conviction. The Applicant, which is the employer of any 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 shall include the identification number(s) ofeach affected grant or cooperative agreement. (6) Taking one ofthe following actions within 30 calendar 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 including termination, consistent with the requirements ofthe Rehabilitation Act of 1973, as amended, or (b) by requiring that employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, state, or local health, law enforcement, or other appropriate agency; (7) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (1), (2), (3), (~), (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 supported by FTA are conducted.

E. Intergovernmental Review Assurance

The Applicant assures that each application for Federal assistance submitted to FTA has been or will 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 part 17.

F. Nondiscrimination Assurance

As required by 49 U.S.C. 5332, Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, and U.S. DOT regulations, "Nondiscrimination in Federally-Assisted Programs ofthe Department ofTransportation- Effectuation ofTitle VI ofthe Civil Rights Act," 49 CFR part 21 at 21.7, the Applicant assures that it will comply with all requirements of49 CFR part 21; FTA Circular 4702.1, "Title VI Program Guidelines for Federal Transit Administration Recipients"; and oth~r 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 participation in, be denied the benefits of, or otherwise be subjected to discrimination in any program or activity (particularly 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: (I) 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. 5332 and 49 CFR part 21, and understands that this assurance extends to its entire facility and to facilities operated in connection with the project.

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(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 part 21. (3) The Applicant assures that it will promptly take the necessary actions to effectuate this assurance, including notifYing the public that complaints of discrimination in the provision of transportation-related services or benefits may be filed with U.S. DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures that it will submit the required information pertaining to its compliance with these requirements. (4) The Applicant assures that it will make any changes in its 49 U.S. C. 5332 and Title V1 implementing procedures as U.S. DOT or FTA may request. (5) As required by 49 CFR 21.7(a)(2), 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 of real property, structures, improvements.
G. Assurance ofNondiscrimination on the Basis ofDisability
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 part 27, implementing the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990, as amended, 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 FfA, no otherwise qualified person with a disability shall be, solely by reason of that disability, excluded from participation in, denied the benefits ot: 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 ofU.S. DOT regulations implementing the Rehabilitation Act of 1973, as amended, . and the Americans with Disabilities Act of 1990, as amended, at 49 CFR parts27, 37, and 38, and
any applicable regulations and directives issued by other Federal departments or agencies.
H. Procurement Compliance
The Applicant certifies that its procurements and procurement system will comply with all applicable requirements imposed by Federal laws, executive orders, or regulations and the requirements ofFTA Circular 4220.1D, "Third Party Contracting Requirements," and other implementing requirements FTA may issue. The Applicant certifies that it will include in its contracts financed in whole or in part with FTA assistance all clauses required by Federal laws, executive orders, or regulations, and will ensure that each subrecipient and contractor will also include in its subagreements and contracts financed in whole or in part with FTA assistance all applicable clauses required by Federal laws, executive orders, or regulations.

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D. LOBBYING CERTIFICATION REQUIRED FOR EACH APPLICATION EXCEEDING $100,000
An Applicant that submits, or intends to submit this fiScal year, an application for Federal assistance exceeding $100,000 must provide the following certification. ITA may not provide Federal assistance for an application exceeding $100,000 until the Applicant
provides this certification by selecting Category n on the Signature Page.
A. As required by U.S. DOT regulations, "New Restrictions on Lobbying," at 49 CFR 20.1 10, the Applicant's authorized representative certifies to the best ofhis or her knowledge and belief that for each application for a Federal assistance exceeding $100,000:- (1) No Federal appropriated funds have been or will be paid, by or on behalfofthe Applicant, to any person for influencing or attempting to influence an officer or employee ofany agency, a Member of Congress, an officer or employee of Congress, or an employee ofa Member of Congress pertaining to the award ofany Federal assistance, or the extension, continuation, renewal, amendment, or modification of any Federal assistance agreement; and (2) Ifany funds other than Federal appropriated funds have been or will be paid to any person for influencing or attemp1..ng to influence an officer or employee ofany agency, a Member ofCongress, an officer or employee ofCongress, or an employee ofa Member of Congress in connection with any application to FTA for Federal assistance, the Applicant assures that it will complete and submit Standard Fonn-LLL, "Disclosure Fonn to Report Lobbying," including the infonnation required by the fonn's instructions, which may be amended to omit such infonnation as peimitted by 31 U.S.C. 1352.
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. 1352. The Applicant also understands that any person who fails to file a required certification shall be subject to a civil penalty ofnot less than $10,000 and not more than $100,000 for each such failure.

ill. EFFECTS ON PRIVATE MASS TRANSPORTATION COMPANIES
An Applicant that iS a state or local government seeking Federal assistance under 49 U.S.C. chapter 53 to acquire property or an interest in property of a private mass transportation company or operate mass transportation equipment or a facility in competition with or in addition to transportation service provided by an existing mass transportation company must provide the following certification. FTA may not award that Federal assistance until
the Applicant provides this certification by selecting Category m on the Signature Page.
As required by 49 U.S.C. 5323{a)(I)(B) or 5323{a)(I)(C), the Applicant certifies that before it acquires property or an interest in property ofa private mass transportation company or operates mass transportation equipment or a facility in competition with or in addition to transportation service provided by an existing mass transportation company it has or will have:

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A. Provided for the participation of private mass transportation companies to the maximum extent feasible; and B. Paid or will pay just compensation under state or local law to a private mass transportation company for its franchises or property acquired.

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IV. PUBLIC HEARING CERTIFICATION REQUIRED FOR EACH PROJECT <EXCEPT URBANIZED AREA FORMULA PROJECTS) THAT Wll..L
SUBSTANTIALLY AFFECT A COMMUNITY 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 service must provide the foUowing certification. FI'A may not award that Federal assistance until the Applicant provides this certification by selecting Category IV on the Signature Page.
As required by 49 U.S.C. 5323(b), the Applicant certifies that it has, or before submitting its application, will have: A. Provided an adequate opportunity for a public hearing with adequate prior notice ofthe proposed project published in a newspaper ofgeneral circulation in the geographic area to be served; B. Held that hearing and provided FfA a transcript or detailed report summarizing the issues and responses, unless no one with a significant economic, social, or environmental interest requests a hearing; C. Considered the economic, social, and environmental effects ofthe project; and D. Determined the project to be consistent with official plans for developing the urban area.

V. 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 FI'A
An Applicant seeking FI'A assistance to purchase rolling stock must make the following certification. FI'A may not provide assistance for any rolling stock acquisition until the Applicant provides this certification by selecting Category V 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 part 663, in the course of purchasing revenue service rolling stock. Among other things, the Applicant will conduct or cause to be conducted the prescribel pre-award and post-delivery reviews, and will maintain on file the certifications required by 49 CFR part 663, subparts B, C, and D.

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VI. BUS TESTING CERTIFICATION REQUIRED FOR NEW BUSES
An Applicant seeking FTA assistance to acquire new buses must make the foUowing certification. FTA may not provide assistance for the acquisition of new buses until the Applicant provides this certification by selecting Category VI on the Signature Page.
As required by FTA regulations, "Bus Testing," at 49 CFR 665.7, the Applicant certifies that before expending any Federal assistance to acquire the first bus 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 part 665): A. The model of the bus will have been tested at a bus testing facility approved by FTA; and B. It will have received a copy ofthe test report prepared on the bus model.

Vll. CHARTER SERVICE AGREEMENT
An Applicant seeking FI'A assistance to acquire or operate transportation equipment or facilities acquired with Federal assistance authorized by 49 U.S.C. chapter 53 (except 49 ' U.S.C. 5310) or Tide 23, U.S.C. must enter into the following charter service agreement. FI'A may not provide assistance for those projects until the Applicant enters into this agreement by selecting Category Vll on the Signature Page.
A. As required by49 U.S.C. 5323(d) and FTAregulations, "Charter Service," at49 CFR 604.7, the Applicant agrees that it and its recipients will: (1) provide charter service that uses equipment or facilities acquired with Federal assistance authorized for 49 U.S.C. 5307, 5309, or 5311 or Title 23 U.S.C., only to the extent that there are no private charter service operators willing and able to provide the charter service that it or its recipients d~sire to provide, unless one or more of the exceptions in 49 CFR 604.9 applies, and (2) comply with the provisions of49 CFR part 604 before they provide any charter service using equipment or facilities acquired with Federal assistance authorized for the above statutes.
B. The Applicant understands that the requirements of49 CFR part 604 will apply to any charter
service provided, the definitions in 49 CFR part 604 apply to this agreement, and violation ofthis agreement may require corrective measures and the imposition of penalties, including debannent from the receipt offurther Federal assistance for transportation.
vm. SCHOOL TRANSPORTATION AGREEMENT
An Applicant seeking FTA assista~ce to acquire or operate transportation facilities and equipment acquired with Federal assistance authorized by 49 U.S.C. chapter 53 must agree as foUows. FTA may not provide assistance for transportation facilities until the Applicant enters into this Agreement by selecting Category VID on the Signature Page.

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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: (I) engage in school transportation operations in competition with private school transportation operators only to the extent pennitted by an exception provided by 49 U.S.C. 5323(f), and implementing regulations, and (2) comply with the requirements of49 CFR part 605 before providing any school transportation 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 transportation projects. B. The Applicant understands that the requirements of49 CFR part 605 will apply to any school transportation it provides, the definitions of49 CFR part 605 apply to this school transportation agreement, and a violation ofthis agreem~nt may require corrective measures and the imposition of penalties, including debarment from the receipt offurther Federal assistance for transportation.

IX. CERTIFICATION REQUIRED FOR THE DIRECI' AWARD OF FfA ASSISTANCE TO AN APPLICANT FOR ITS DEMAND RESPONSIVE SERVICE
An Applicant seeking Federal assistance uirecdy to support its demand responsive service must provide the foUowing certification. FfA may not award Federal assistance directly to an Applicant to support its demand responsive service until the Applicant provides this certification by selecting Category IX on the Signature Page.
As required by U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," at 49 CFR 37.77, the Applicant certifies that its demand responsive service offered to persons with disabilities, including persons who use wheelchairs, is equivalent to the level and quality 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 with respect to: (1) response time, (2) fares, (3) geographic service area, (4) hours and days of service, (5) restrictions on trip purpose, (6) availability ofInformation and reservation capability, and (7) constraints on capacity or service availability.

X. SUBSTANCE ABUSE CERTIFICATIONS
If the Applicant is required by Federal regulations to provide the foUowing substance abuse certifications, FTA may not provide Federal assistance until the Applicant bas selected Category X on the Signature Page.
A. Alcohol Testing Certification
As required by FTA regulations, "Prevention ofAlcohol Misuse in Transit Operations," at 49 CFR 654.83, the Applicant certifies that it has established and implemented an alcohol misuse prevention program complying with the requirements of49 CFR part 654; and ifthe Applicant has employees regulated by the Federal Railroad Administration (FRA}, the Applicant also

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certifies that it has for those employees an alcohol misuse prevention program complying with the requirements ofFRA's regulations, "Control ofAlcohol and Drug Use," 49 CFR part 219.
B. Anti-Drug Program Certification
As required by FTA regulations, ''Prevention ofProhibited Drug Use in Transit Operations,11 at 49 CFR 653.33, the Applicant certifies that it has established and implemented an anti-drug program and has conducted employee training complying with the requirements of49 CFR part 653; and ifthe Applicant has employees regulated by the Federal Railroad Administration (FRA), the Applicant also certifies that it has for those employees an anti-drug program complying with the requirements ofFRA's regulations, "Control ofAlcohol and Drug Use,11 49 CFR part 219.

XL ASSURANCES REOUIRED FOR PROJECTS INVOLVING REAL PROPERTY

The Applicant must provide the following assurances in connection with each application for Federal assistance to acquire (purchase or lease) real property. FI'A may not award Federal assistance for a project involving real property until the Applicant provides these assurances shown by selecting Category XI on the Signature Page.

A. Relocation and Real PropeJtt Acquisition Assurance

As required by U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," at 49 CFR24.4, and sections 210 and 305 ofthe Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (Uniform Relocation Act), 42 U.S.C. 4~30 and 4655, the Applicant assures that it has the requisite authority under applicable state and local law and will comply with the requirements ofthe Uniform Relocation Act, 42 U.S.C. 4601 et ~.,and U.S. DOT regulations, 11Unifonn Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 CFR part 24 including, but not limited to the following: (I) The Applicant will adequately infonn each affected person ofthe benefits, policies, and procedures provided for in 49 CFR part 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 part 24; and any applicable FrA procedures, to or for families, individuals, partnerships, corporations or associations displaced as a result ofany project financed with FrA assistance; (3) The Applicant will provide relocation assistance programs offering the services described in 42 U.S.C. 4625 to such displaced families, individuals, partnerships, corporations or associations in the manner provided in 49 CFR part 24 and FrA procedures; (4) Within a reasonable time before displacement, the Applicant will make available comparable replacement dwellings to displaced families and individuals as required by 42 U.S.C. 462S(c)(3); (5) The Applicant will cany 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

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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 property, the Applicant will be guided to the greatest extent practicable under state law, by the real property acquisition policies of42 U.S.C. 4651 and 4652; (7) The Applicant will pay or reimburse property owners for necessary expenses as specified in 42 U.S.C. 4653 and 4654, understanding that FI'A 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 such amendments to third party contracts and subagreements financed with FI'A assistance and execute, furnish, and be bound by such additional documents as FTA may determine necessary to effectuate or implement the assurances provided herein; and (9) The Applicant agrees to make these assurances part of or incorporate them by reference into any third party contract or subagreement, or any amendments thereto, 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 Coverage
As required by section 102(a) ofthe Flood Disaster Protection Act of 1973, 42 U.S.C. 4012a(a), the Applicant assures that in the course ofimplementing each project financed with Federal assistance, the Applicant will 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 Applicant understands that such insurance is available in the participating area through the U.S. Federal Emergency Management Agency's National Flood Insurance Program.
C. Seismic Assurance
As required by U.S. DOT regulations, "Seismic Safety," 49 CFR. 41.117(d), the Applicant assures that before it accepts 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 part 41.

Xll. CERTIFICATIONS REQUIRED FOR THE URBANIZED AREA FORMULA PROGRAM
Eac~ Applicant to FI'A for Urbanized Area Formula Program assistance authorized for 49 U.S.C. 5307 must provide the following certifications in connection with its application. FI'A may not award Urbanized Area Formula Program assistance to the Applicant until the Applicant provides these certifications and assurances shown by selecting Category XD on the Signature Page.

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Appendix A

As required by 49 U.S.C. 5307(d)(l)(A) through (J), the Applicant certifies that:

(1) It has or will have the legal, financial, and technical capacity to carry out the proposed

program of projects;

(2) It has or will have satisfactory continuing control over the use ofthe equipment and facilities;

(3) It will adequately maintain the equipment and facilities;

(4) It will ensure that the elderly and handicapped persons, or any person presenting a Medicare

:xvm card issued to himself or herselfunder title n or title

ofthe Social Security Act (42 U.S.C.

401 et ~- or 42 U.S. C. 1395 et ~.), will be charged during non-peak hours for transportation

using or involving a facility or equipment ofa project financed with Federal assistance authorized

for 49 U.S. C. 5307 not more than 50 percent ofthe peak hour fare;

(5) In 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 procurement using exclusionary or discriminatory

specifications, and it will comply with applicable Buy America laws in carrying out a procurement;

(6) It has complied or will comply with the requirements of49 U.S.C. 5307(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. 5307 and the program

of projects it proposes to undertake with those funds; (b) develop, in consultation with interested

parties, including private transportation providers, a proposed program ofprojects for activities to

be financed; (c) publish a proposed program of projects in a way that affected citizens, private

transportation providers, and local elected officials have the opportunity to examine the proposed

program and submit comments on the proposed program and the performance ofthe Applicant;

(d) provide an opportunity for a public hearing to obtain the views ofcitizens on the proposed

program of projects; and (e) ensure that the proposed program ofprojects provides for the

coordination oftransportation services assisted under 49 U.S.C. 5336 with transportation services

assisted by another Federal Government source; (f) consider comments and views received,

especially those of private transportation providers, in preparing the final program of projects;

and (g) make the final program of projects available to the public;

(7) It has or will have available and will provide the amount offunds required by 49 U.S.C.

5307{e) and applicable FTA policy (specifying Federal and local shares of project costs);

(8) It will comply with: (a) 49 U.S.C. 5301{a) (requirements to develop transportation systems

that maximize mobility and minimize fuel consumption and air pollution); (b) 49 U.S.C. 530l(d)

(requirements for transportation of the elderly and persons with disabilities); (c) 49 U.S.C. 5303

through 5306 (planning requirements); and (d) 49 U.S.C. 5310(a) through(d) (programs for the

elderly and persons with disabilities);

(9) It has a locally 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. 5307(d)(l){J), it will expend at least one percent ofthe amount of

Federal assistance it receives for this fiscal year apportioned 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 lots, and garages), increased camera surveillance ofan area in or

adjacent to that system, emergency telephone line or lines to contact law enforcement or security

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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 of that Federal assistance this fiscal year for transit security projects.
B. Certification Required for Capital Leasing
As required by FTA regulations, "Capital Leases;" 49 CFR at 639.1 5(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 undertakes calculations demonstrating that it is more cost-effective 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 tilto a capital lease for which FTA can only provide incremental funding unless it has the financial capacity to meet its future obligations under the lease in the event Federal assistance is not available for capital projects in subsequent years.
C. Certification Required for Sole Source Purchase of Associated Capital Maintenance Item
As required by 49 U.S.C. 5325(c), to the extent that the Applicant procures an associated capital
maintenance item under the authority of49 U.S.C. 5307(b)(l), the Applicant certifies 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 ofthe item is no more than the price similar customers pay for the item, and maintain sufli.cient records pertaining to each such procurement on file easily retrievable for FTA inspection.

xm. CERTIFICATIONS AND ASSURANCES FOR
THE ELDERLY AND PERSONS WITH DISABILITIES PROGRAM.
An Applicant that intends to administer, on behalf ofthe state, the Elderly and Persons with Disabilities Program must provide the following certifications and assurances. FTA may not award assistance for the Elderly and Persons with Disabilities Program until the
Applicant provides these certifications and assurances by selecting Category xm on the
Signature Page~
Based on its own knowledge and, as necessary, on information submitted by the subrecipient, the Applicant administering on behalf ofthe state the Elderly and Persons with Disabilities Program authorized by 49 U.S. C. 5310 certifies and assures that the following requirements and conditions will be fulfilled:

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A. The state organization serving as the Applicant and each subrecipient has or will have the necessary legal, financial, and managerial capability to apply for, receive, and disburse Federal assistance authorized for 49 U.S.C. 5310; and to implement and manage the project. B. The state assures that each subrecipient either is recognized under state law as a private nonprofit organization with the legal capability to contract with the state to carry out the proposed project, or is a public body that has met the statutory requirements to receive Federal assistance authorized for 49 U.S.C. 5310. C. The subrecipient's application for 49 U.S.C. 5310 assistance contains information from which the state concludes that the transit service provided or offered to be provided by existing public or private transit operators is unavailable, insufficient, or inappropriate to meet the special needs of the elderly and persons with disabilities. D. The state assures that sufficient non-Federal funds have been or will be committed to provide the required local share. E. The subrecipient has, or will have by the time of delivery, sufficient funds to operate and maintain the vehicles and equipment purchased with Federal assistance awarded for this project. F. The state assures that before issuing the state's formal approval ofa project, its Elderly and Persons with Disabilities Formula Program i~ included in the Statewide Transportation Improvement Program as required by 23 U.S.C. 135; all projects in urbanized areas recommended for approval are included in the annual element ofthe metropolitan Transportation Improvement Program in which the subrecipient is located; and it has obtained from any public body that is a prospective subrecipient ofcapital assistance a certification that an opportunity for a public hearing has been provided. G. The subrecipient has, to the maximum extent feasible, coordinated with other transportation 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 Nondiscrimination Assurance. (Category I.F., "Certifications and Assurances Required of Each Applicant.") I. The subrecipient will comply with applicable requirements ofU.S. DOT regulations on participation of disadvantaged business enterprises in U.S. DOTprograms. J. The state will comply with all existing Federal requirements regarding transportation of elderly persons and persons with disabilities. The subrecipient has provided to the state an Assurance of Nondiscrimination on the Basis ofDisability, as set forth in the Certifications aild Assurances required of each Applicant for FTA assistance. (Category I.G., "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 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 of service the public entity offers to persons without disabilities. (See Category IX, "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: (I) response time, (2} fares, (3) geographic service area, (4) hours and days of service, (5) restrictions or restraints on trip

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purpose, (6) availability of information and reservation capability, and (7) constraints on capacity or service availability. K. The subrecipient has certified to the state that it wilJ comply with applicable provisions of 49 CFR part 605 pertaining to school transportation operations. (See Category VIII, "School Transportation Agreement.") L. Unless otherwise noted, each of the subrecipient's projects qualifies for a categorical exclusion
and does not require further environmental approvals, as described in the joint FHWA/FTA
regulations, "Environmental Impact and Related Procedures," at 23 CFR 771.117(c). The state certifies that financial assistance will not be provided for any project that does not qualify for a categorical exclusion described in 23 CFR 771.117(c) until FTA has made the required environmental finding. The state further certifies that no financial assistance will be provided for a project requiring a conformity finding in accordance with the Environmental 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 certification that its procurements and procurement system will comply with all applicable requirements imposed by Fedt;rallaws, executive orders, or regulations and the requirements ofFTA Circular 4220.ID, "Third Party Contracting Requirements," and other implementing requirements FTA may issue; a certification that its project provides for the participation of private mass transportation companies to the maximum extent feasible; a certification it has paid or will pay just compensation under state or local law to each private mass transportation company for its franchise or property acquired under the project; 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 $100,000. Certifications and assurances applicable to and submitted by the subrecipient should be substantially similar to the text ofparallel certifications and assurances text of Categories I-XI ofthis document, but modified as necessary to accommodate the subrecipient's circumstances. 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.

XIV. CERTIFICATIONS AND ASSURANCES FOR THE
NONURBAN~EDAREAFORMULAPROGRAM
An Applicant that intends to administer, on behalf of the state, the Nonurbanized Area Formula Program must provide the following certifications and assurances. FTA may not award Nonurbanized Area Formula Program assistance to the Applicant until the Applicant provides these certifications and assurances shown by selecting Category XIV on the Signature Page.

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Based on its own knowledge and, as necessary, on information submitted by the subrecipient, the Applicant administering on behalfofthe state the Nonurbanized Area Formula Program authorized by 49 U.S.C. 5311 certifies and assures that the following requirements and conditions will be fulfilled: A. The state organization serving as the Applicant and each subrecipient has or will have the necessary legal, financial, and managerial capability to apply for, receive and disburse Federal assistance authorized for 49 U.S.C. 5311; and to. implement and manage the project. B. The state assures that sufficient non-Federal funds have been or will be committed to provide the required local share. C. The subrecipient has, or will have by the time of delivery, sufficient funds to operate and maintain the vehicles and equipment purchased with Federal assistance authorized for this project. D. The state assures that before issuing the state's formal approval ofthe project, its Nonurbanized Area Formula Program is included in the Statewide Transportation Improvement Program as required by 23 U.S.C. 135; to the exient applicable, projects are included in a metropolitan Transportation Improvement Program, and it has obtained from the prospective subrecipient ofcapital assistance a certification that an opportunity for a public hearing has been provided. E. The state has provided for a fair and equitable distribution ofFederal assistance authorized for 49 U.S.C. 5311 within the state, including Indian reservations within the state. F. The subrecipient has, to the maximum extent feasible, coordinated with other transportation 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.F, "Certifications and Assurances Required of Each 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 transportation ofelderly persons and persons with disabilities. The subrecipient haS provided to the state an Assurance of Nondiscrimination on the Basis ofDisability, as set forth in the Certifications and Assurances required of each 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 from 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 of service the public entity offers to persons without disabilities. (See Category I.G, "Certifications and Assurances Required ofEach Applicant.") 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 service area, (4) hours and days of service, (5) restrictions and restraints on trip purpose, (6) availability of information and reservation capability, and (7) constraints on capacity or service availability. (See Category IX, "Certifications Required for the Direct Award ofFTA Assistance to an Applicant for its Demand Responsive Service.") J. The subrecipient has complied with the transit employee protective provisions of49 U.S.C. 5333(b), by one ofthe following actions: (I) signing the Special Warranty for the Nonurbanized

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Area Formula Program, (2) agreeing to alternative comparable arrangements approved by the Department ofLabor (DOL), or (3) obtaining a waiver from DOL; and the state has certified the subrecipient's compliance to DOL. K. The subrecipient has certified to the state that it will comply with 49 CFR part 604 in the provision ofany charter service provided with equipment or facilities acquired with FTA assistance, and will also comply with applicable provisions of 49 CFR part 605 pertaining to school transportation operations. (See Category VII, "Charter Service Agreement," and Category Vlll, "School Transportation Agreement.") L. Unless otherwise noted, each of the subrecipient's projects qualifies for a categorical exclusion and does not require further environmental approvals, as described in the joint FHWAIFTA regulations, "Environmental Impact and Related Procedures," at 23 CFR 771.117(c). The state certifies that financial assistance will not be provided for any project that does not qualify for a categorical exclusion described in 23 CFR 771.117(c) until FTA has made the required environmental finding. The state further certifies that no financial assistance will be provided for a project requiring a conformity finding in accordance with the Environmental Protection Agency's Clean Air Conformity regulations at 40 CFR parts 51 and 93, until FTA makes the required conformity finding. M. The subrecipient has submitted (or will submit) all certifications and assurances currently required, including but not limited to: a certification that its procurements and procurement system will comply with all applicable requirements imposed by Federal laws, executive orders, or regulations and the requirements ofFTA Circular 4220.1D,."Third Party Contracting Requirements," and other implementing requirements FTA may issue, a certification that its project provides for the participation ofprivate mass transportation companies to the maximum extent feasible; a certification it has paid or will pay just compensation under state or local law to each private mass transportation company for its franchise or property acquired under the project; a nonprocurement suspension and debarment certification; a bus testing certification for new bus models; a pre-award and post-delivery review certification; a lobbying certification for each
application exceeding $100,000; and if required by FTA, ail anti-drug program certification and
an alcohol testing certification. Certifications and assurances applicable to and submitted by the subrecipient should be substantially similar to the text of parallel certifications and assurances text ofCategories I-XI ofthis document, but modified as necessary to accommodate the subrecipient's circumstances. N. The state will enter into a written agreement with each subrecipient stating the terms and conditions of assistance by which the project will be undertaken and completed. 0. The state recognizes FTA's authority to conduct audits to verify compliance with the foregoing requirements and stipulations. P. As required by 49 U.S. C. 5311(f), it will expend not less than fifteen percent of the Federal assistance authorized for 49 U.S. C. 5311(f) it receives during this fiscal year to carry out a program to develop and support intercity bus transportation, unless the chief executive officer of the state or his or her duly authorized designee certifies that the intercity bus service needs of the state are being adequately met.

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XV. CERTIFICATIONS AND ASSURANCES FOR THE STATE INFRASTRUCTURE BANK PROGRAM

A state Applicant for a grant of Federal assistance for deposit in the Transit Account of the State Infrastructure Bank (Sffi) within that state must provide the following certifications and assurances. The Federal Transit Administration {FTA) may not award Federal
assi!ltance to capitalize a sm until the state Applicant provides these certifications and
assurances.

Based on its own knowledge and, as necessary, on requisite infonnation submitted by the

participating parties, the state Applicant for Federal assistance for the Transit Account of its state

SID program, authorized by section 350 ofthe National Highway System Designation Act of

1995 (NHS Act), as amended, 23 U.S.C. 101 note, certifies and assures that the following

requirements and conditions will be fulfilled pertaining to any project financed with Federal

assistance derived from the Transit Account ofthe SID:

A. The state organization serving as the Applicant (state) agrees and assures the agreement ofthe

SID and each recipient ofFederal assistance derived from the Transit Account ofthe SID within

the state (subrecipient) that each Project financed with Federal assistance derived from the Transit

Account will be administered in accordance with: (I) the requirements of section 350 ofthe

National Highway System Designation Act of 1995 (NHS Act}, Pub. L. 104-59, Nov. 28, 1995,

23 U.S.C. 101 note, (2) the provisions ofFTA's NHS Guidelines, and any amendments thereto,

(3) the provisions ofFHWA and FTA Cooperative Agreement with the state to establish the

state's SID program, and (4) the provisions ofthe FTA Grant Agreement with the state obligating

Federal assistance for the Transit Account ofthe SID, except that any provision ofthe Federal

Transit Administration Master Agreement incorporated by reference into that Grant Agreement

that conflicts with any provision ofFTA's NHS Guidelines, the provisions ofthe Cooperative
Agreement establishing the sm program within the state, or the text within the Grant Agreement

will not apply.



sm B. The state agrees to comply with and assures the compliance ofthe and each subrecipient

of all applicable requirements for the sm program, as those requirements may be amended from

time to time.
C. The state assures that the sm will provide Federal assistance from its Transit Account only

for transit capital projects eligible under section 350 ofthe NHS Act, and that those projects will

fulfill all requirements imposed on comparable capital transit projects financed by FTA.

D. The state understands that the total amount offunds to be awarded for a Grant Agreement

will not be immediately available for draw down. Consequently, the state assures that it will limit

the amount ofFederal assistance it draws down for deposit in the Transit Account ofits SID to

amounts that do not exceed the limitations specified in the underlying Grant Agreement or the

Approved Project Budget for that Grant Agreement.

E. The state assures that each subrecipient has or will have the necessary legal, financial, and

managerial capability to apply for, receive, and disburse Federal assistance authorized by Federal
statute for use in the Transit Account ofthe sm, and to implement, manage, operate, and

maintain the project and project property for which such assistance will support.

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F. The state assures that the SID will provide Federal assistance derived from the Transit Account only to a subrecipient that is either a public or private entity recognized under state law as having the legal capability to contract with the state to carry out its proposed project. G. The state assures that sufficient non-Federal funds have been or will be committed to provide the required local share.
sm H. The state assures that the will enter into a written agreement with each subrecipient
stating the terms and conditions of assistance by which the project will be undertaken and
sm completed, including specific provisions that any security or debt financing instrument the
may issue will contain an express statementthat the security or instrument does not constitute a commitment, guarantee, or obligation of the United States.
sm I. The state assures that before the enters into an agreement with a subrecipient under which
Federal assistance within the Transit Account of the SID will be disbursed to the subrecipient, the subrecipient's project is included in the Statewide Transportation Improvement Program; all projects in urbanized areas recommended for approval are included in the annual element of the metropolitan Transportation Improvement Program in which the subrecipient is located; and it has obtained from each subrecipient of capital assistance that is also a public body a certification that an opportunity for a public hearing has been provided. J. The state assures that the subrecipient has, to the maximum extent feasible, coordinated with other transportation providers and users, and other interested parties within the area. K. The state assures that the subrecipient is in compliance with all applicable civil rights requirements, and has signed the Nondiscrimination Assurance. (See Category I.F, "Certifications and Assurances Required ofEach Applicant," ofthe Federal Fiscal Year 1997 Certifications and Assurances for the Federal Transit Administration Programs.) . L. The state assures that the subrecipient will comply with applicable requirements ofU.S. DOT regulations on participation ofdisadvantaged business enterprises in U.S. DOT programs. M. To the extent applicable, the state will comply with all existing Federal requirements regarding transportation of elderly persons and persons with disabilities. The state assures that the SID will provide to the state an Assurance ofNondiscrlmination on the Basis ofDisability from each subrecipient, as set forth in the Certifications and Assurances required of each Applicant for FTA assistance. (See Category I.G, "Certifications and Assurances Required of Each Applicant,11 of the Federal Fiscal Year 1997 Certifications and Assurances for the Federal Transit Administration Programs.) If non-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 subrecipient a "Certification ofEquivalent Service, 11 which states that the public entity's d\!mand 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 IX, "Certifications Required for the Direct Award ofFTA Assistance to an Applicant for its Demand Responsive Service, 11 of the Federal Fiscal Year I997 Certifications and Assurances for the Federal Transit Administration Programs.) 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: (I) response time, (2) fares, (3) geographic service area, (4) hours and days of service, (5) restrictions or restraints on trip purpose, (6) availability of information and reservation capability, and (7) constraints on capacity or service availability.

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N. The state assure!! that before the SID provides Federal assistance from the Transit Account, each subrecipient will have complied with the applicable transit employee protective provisions of 49 U.S.C. 5333(b) as required for that subrecipient and its project. 0. The state assures that each subrecipient has certified or will certifY to the state that it will comply with 49 CFR part 604 in the provision ofany charter service provided with equipment or facilities acquired with FTA assistance, and will also comply with applicable provisions of49 CFR part 605 pertaining to school transportation operations. (See Category VTI, "Charter Service Agreement," and Category Vlll, "School Transportation Agreement," ofthe Federal Fiscal Year 1997 Certifications and Assurances for the Federal Transit Administration Programs.) P. Unless otherwise noted, the state assures that each ofthe subrecipient's projects qualifies for a categorical exclusion and does not require further environmental approvals, as described in Q. Unless otherwise noted, the state assures that each ofthe subrecipient's projects qualifies for a categorical exclusion and does not require further environmental approvals, as described in the joint FHWAIFTA regulations, "Environmental Impact and Related Procedures," at 23 CFR
771.117(c). The state certifies that the sm will not provide financial assistance from the Transit
Account 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. .i'he state further certifies that the SID will provide no financial assistance from its Transit Account for a project requiring a . conformity finding in accordance with the Environmental Protection Agency's Clean Air Conformity regulations at 40 CFR parts 51 and 93, until FTA makes the required conformity finding. Q. The state assures that the subrecipient has submitted (or will submit), when applicable, all certifications and assurances currently required, including, but not limited to: a certification that its procurements and procurement system will comply with all applicable requirements imposed by Federal laws, executive orders, or regulations and the requirements ofFTA Circular 4220.1D, "Third Party Contracting Requirements," and other implementing requirements FTA may issue; a certification that its project provides for the participation '!f private mass transportation companies to the maximum extent feasible; a certification it has paid or will pay just compensation under state or local law to each private mass transportation company for its franchise or property acquired under the project; 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 $100,000; assurances FTA requires for projects involving real property; and if required by FTA, an anti-drug program certification and an alcohol testing certification. Certifications and assurances applicable to and submitted by the subrecipient should be substantially similar to the text of parallel certifications and assurances of Categories I-XI ofthe Federal Fiscal Year 1997 Certifications and Assurances for the Federal Transit Administration Programs, but modified as necessary to accommodate the SID and the subrecipient's circumstances.
R. The state agrees and assures that the sm and each subrecipient will agree to permit FTA,
U.S. DOT, and the Comptroller General to conduct audits to verify compliance with the foregoing requirements and stipulations.
##

Selection and Signature Pages follow.

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Appendix A FEDERAL FY 1997 CERTIFICATIONS AND ASSURANCES FOR FI'AASSISTANCE

Name of Applicant:-----------------The Applicant agrees to comply with applicable requirements of Categories I- XV. __
(The Applicant may make this selection in lieu ofindividual 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.
n. Lobbying Certification.
ill. Effects on Private Mass Transportation Companies. IV. Public Hearing Certification for Major Projects with Substantial Impacts. V. Certification for the Purchase ofRolling Stock. VI. Bus Testing Certification. Vll. Charter Service Agreement. Vlll. School Transportation Agreement. IX. Certification for Demand Responsive Service. X. Substance Abuse Certifications. XI. Assurances Projects Involving Real Property. XII. Certifications for the Urbanized Area Formula Program. XID. Certifications for the Elderly and Persons with Disabilities Program. XIV. Certifications for the Nonurbanized Area Formula Program. XV. Certifications for the State Infrastructure Bank (Sffi) Program (Both sides of this Signature Page must be appropriately completed and signed where indicated.)

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FrA CERTIFICATIONS AND ASSURANCES FOR FEDERAL FISCAL YEAR 1997

Name of A p p l i c a n t : - - - - - - - - - - - - - - - - - - - - - - -

Name and Relationship of Authorized Representative:-----------------

BY SIGNING BELOW I,

(name), on behalfof the Applicant, declare that the

Applicant has duly authorized me to make these certifications and assurances and bind the Applicant's compliance.

1 bus, the Applicant agrees to comply with all Federal statutes, regulations, executive orders, and administrative

guidance required for each application it makes to the Federal Ttansit Administration (FTA) in Federal Fiscal

Year 1997.

FTA intends that the certifications and assurances the Applicant selects on the other side ofthis document, as representative of the certifications and assurances in Appendix A, should apply, as required, to each project for which the Applicant seeks now, or may later, seek FTA assistance during Federal Fiscal Year 1997.

The Applicant affirms the truthfulness and accu.racy ofthe 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 U.S.
DOT reguJations, "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 ofpeljury that the foregoing certifications and assurances, and any other statements made by me on behalf of the Applicant are true and correct.

Date: - - - - - - - -

a. _ _ _ _ _ _ _ _ _ _ _ _ _ _ ___ Authorized Representative of 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 imminent that might adversely affect the validity of these certifications and assurances, or of the performance ofthe project. Furthermore, if I become aware of circumstances that change the accu.racy of the foregoing statements, I will notifY the Applicant and FTA promptly.

Date: - - - - - - - -

b. _______________________
Applicant's Attorney

Date:--------

c. ___________________

Unless the Applicant seeks only an FTA university and research wining grant authorized by 49 U.S.C. 5312(b), the Applicant's legal counsel is required to affum the legal capacity ofthe Applicant The Altomey's Alfumation for a previous FTA project is generally valid in Fiscal Year 1997,
provided the Applicant's circumstances have not changed in a way that makes the certifications invalid and the Altomey's Alfumations remains on file in the Applicant's offices readily available to FTA In that case, line "b" should remain blank, and the same Authorized Representative signs "a." and "c." See Procedu= in introduction section. Note: FTA, however, reserves the right to require an Altomey's signature on line "b."

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[FR Doc. 96-25249 Filed 10-04-96; 8:45am]
BILUNG CODE 4910-67-<: