HomeMy WebLinkAbout12334RESOLUTION NO. 12334
A RESOLUTION AUTHORIZING THE PRESIDENT OF
CITY COUNCIL TO MAKE, EXECUTE AND DELIVER IN
THE NAME OF THE CITY OF PUEBLO, FEDERAL FISCAL
YEAR 2012 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE
PROGRAMS AND TO BIND THE CITY OF PUEBLO’S
COMPLIANCE THEREWITH
BE IT RESOLVED BY THE CITY COUNCIL OF PUEBLO, that:
SECTION 1.
The President of City Council is authorized to make, execute and deliver in the
name of the City of Pueblo, Federal Fiscal Year 2012 Certifications and Assurances for
Federal Transit Administration (FTA) Assistance Programs which are attached hereto
and to bind the City of Pueblo’s compliance therewith.
SECTION 2.
This Resolution shall become effective immediately upon final passage and
approval.
INTRODUCED: March 26, 2012
BY: Leroy Garcia
COUNCIL PERSON
Background Paper for Proposed
RESOLUTION
AGENDA ITEM # M-1
DATE: March 26, 2012
DEPARTMENT: PUEBLO TRANSIT
BRENDA BROYLES
DIRECTOR OF PUEBLO TRANSIT
TITLE
A RESOLUTION AUTHORIZING THE PRESIDENT OF CITY COUNCIL TO MAKE,
EXECUTE AND DELIVER IN THE NAME OF THE CITY OF PUEBLO, FEDERAL
FISCAL YEAR 2012 CERTIFICATIONS AND ASSURANCES FOR FEDERAL
TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS AND TO BIND THE CITY
OF PUEBLO’S COMPLIANCE THEREWITH
ISSUE
Should City Council authorize the President of City Council to make, execute and
deliver in the name of the City of Pueblo, Federal Fiscal Year 2012 certifications and
assurances for Federal Transit Administration Assistance Programs and to bind the City
of Pueblo’s compliance therewith?
RECOMMENDATION
Approval of Resolution.
BACKGROUND
FTA’s comprehensive compilation of the Federal Fiscal Year 2012 certifications and
assurances must be approved and binding on the City for all Federal assistance
programs FTA administers during Federal Fiscal year 2012, as required by 49 U.S.C.
5323(n).
FINANCIAL IMPACT
Failure to approve this Resolution will result in FTA’s withholding of an estimated
allocation of $1,802,065 for Transit Operating funds for calendar year 2012.
APPENDIX A
FEDERAL FISCAL YEAR 2012 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
PREFACE
Before the Federal Transit Administration (FTA or We) may award Federal transit assistance
(funding or funds) to support a project, an authorized representative (you) of the project sponsor
(Applicant) must provide certain certifications and assurances required by Federal law or
regulation. You must provide all certifications and assurances required ofyour Applicant to
support its applications for FTA funding during Federal fiscal year (FY) 2012.
We request that you read each certification and assurance carefully and select all certifications
and assurances that might apply to all projects for which your Applicant might seek FTA
funding. We can award FTA funding for your Applicant's project only if your Applicant
provides adequate certifications and assurances on your Applicant's behalf as required by
Federal law or regulation.
We have consolidated our certifications and assurances into 24 groups. At a minimum, you must
provide the assurances in Group 01. If your Applicant requests more than $100,000, you must
also provide the Lobbying certification in Group 02, unless your Applicant is an Indian tribe or
organization or a tribal organization. Depending on the nature ofyour Applicant and its
project, your Applicant may need to provide some of the certifications and assurances in
Groups 03 through 24. However, instead of selecting individual groups of certifications and
assurances, you may make a single selection that will encompass all groups of certifications and
assurances applicable to all our programs. FTA and your Applicant understand and agree that
not every provision of these certifications and assurances will apply to every Applicant or every
project we fund. The type of project and Applicant will determine which certifications and
assurances apply.
Your Applicant also understands and agrees that these certifications and assurances are special
pre -award requirements and do not include all Federal requirements that may apply to your
Applicant or its project. Our Master Agreement MA(18) for Federal Fiscal Year 2012,
http://www.fia.dot.gov/documents/18-Master.pdf, contains a list of most of those requirements.
Except in limited circumstances, your Applicant is ultimately responsible for compliance with the
certifications and assurances that apply to itself or its project irrespective of subrecipient
participation in the project. Because many FY2012 certifications and assurances will require
subrecipient compliance, we strongly recommend that you take appropriate measures to assure
the validity of your Applicant's certifications and assurances. Your Applicant understands and
agrees that when you apply for funding on behalf of a consortium, joint venture, partnership, or
team, each member of that consortium, joint venture, partnership, or team is responsible for
compliance with the certifications and assurances you select on your Applicant 's behalf
We expect you to submit your Applicant's FY 2012 certifications and assurances in TEAM -Web,
and its applications for funding as well. Thus you will need to be registered in TEAM -Web to act
APPENDIX A
on your Applicant's behalf. The TEAM -Web "Recipients" option at the "Cent 's & Assurances"
tab of the "View /Modify Recipients " page contains fields for selecting among the 24 groups of
certifications and assurances and a designated field for selecting all 24 groups. If you cannot
submit your Applicant's FY 2012 certifications and assurances electronically, you must submit
the Signature Page(s) in Appendix A of this Notice marked to show the groups of certifications
and assurances your Applicant is providing.
GROUP 01. ASSURANCES REQUIRED FOR EACH APPLICANT
You must select the following assurances in Group 01 on behalf of your Applicant unless we
expressly determine otherwise in writing.
A. Assurance of Authority of the Applicant and Its Representative.
Both you and the Applicant's attorney who sign these certifications, assurances, and agreements,
affirm that both the Applicant and you as its authorized representative may, under their State,
local, or Indian tribal law and regulations, and the Applicant's by -laws or internal rules,
undertake the following activities on behalf of the Applicant:
1. Execute and file its application for Federal funds,
2. Execute and file its certifications, assurances, and agreements binding its compliance, and
3. Execute. Grant Agreements or Cooperative Agreements, or both, with FTA.
B. Standard Assurances.
The Applicant assures that:
1. It has sufficient authority under its State, local, or Indian tribal law, regulations by -laws and
internal rules to carry out each FTA funded project as required by Federal laws and regulations,
2. It will comply with all applicable Federal statutes and regulations to carry out any FTA
funded project,
3. It is under a continuing obligation to comply with the terms and conditions of the FTA Grant
Agreement or Cooperative Agreement for the project, including the FTA Master Agreement
incorporated by reference and made part of the latest amendment to Grant Agreement or
Cooperative Agreement,
4. It recognizes that Federal laws and regulations may be modified from time to time and those
modifications may affect project implementation,
5. It understands that Presidential executive orders and Federal directives, including Federal
policies and program guidance, may be issued concerning matters affecting the Applicant or its
project, and
6. It agrees that the most recent Federal laws, regulations, and directives will apply to the
project, unless FTA determines otherwise in writing.
C. Intergovernmental Review Assurance.
This assurance does not apply to Indian tribe or organization or a tribal organization that
applies for funding under FTA 's Tribal Transit Program, 49 U.S.C. 5311(c)(1).
The Applicant assures that it has or will submit each Federal funding application to the
appropriate State and local agencies for intergovernmental review to facilitate compliance with
U.S. Department of Transportation (U.S. DOT) regulations, "Intergovernmental Review of
Department of Transportation Programs and Activities," 49 CFR part 17.
APPENDIX A
D. Nondiscrimination Assurance.
1. The Applicant assures that it will comply with the following laws and regulations so that no
person in the United States will be denied the benefits of, or otherwise be subjected to
discrimination in any U.S. DOT or FTA funded program or activity (particularly in the level and
quality of transportation services and transportation - related benefits on the basis of race, color,
national origin, creed, sex, or age:
a. Federal transit law, specifically 49 U.S.C. 5332 (prohibiting discrimination on the basis
of race, color, creed, national origin, sex, or age, and in employment or business opportunity),
b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, and
c. U.S. DOT regulations, "Nondiscrimination in Federally- Assisted Programs of the
Department of Transportation - Effectuation of Title VI of the Civil Rights Act," 49 CFR part 21.
2. As required by 49 CFR 21.7, the Applicant assures that:
a. It will comply with 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 in the manner:
(1) It conducts each project,
(2) It undertakes property acquisitions, and
(3) It operates the project facilities, including:
(a) Its entire facilities, and
(b) Its facilities operated in connection with its project,
b. This assurance applies to its entire project and entire facilities, including facilities
operated in connection with its project,
c. It will promptly take the necessary actions to carry out this assurance, including:
(1) Notifying the public that discrimination complaints about transportation- related
services or benefits may be filed with U.S. DOT or FTA, and
(2) Submitting information about its compliance with these provisions to U.S. DOT or
FTA upon their request,
d. If it transfers FTA funded real property, structures, or improvements to another party, any
deeds and instruments recording that transfer will contain a covenant running with the land
assuring nondiscrimination:
(1) While the property is used for the purpose that the Federal funding is extended,
(2) While the property is used for another purpose involving the provision of similar
services or benefits,
e. The United States has a right to seek judicial enforcement of any matter arising under:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) This assurance,
f. It will make any changes in its Title VI implementing procedures as U.S. DOT or FTA
may request to comply with:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) Federal transit law, 49 U.S.C. 5332,
g. It will extend the requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21
to each third party participant, including:
(1) Any subrecipient,
(2) Any transferee,
(3) Any third party contractor or subcontractor at any tier,
APPENDIX A
(4) Any successor in interest,
(5) Any lessee, or
(6) Any other participant in the project,
h. It will include adequate provisions to extend the requirements of 49 U.S.C. 5332,
42 U.S.C. 2000d, and 49 CFR part 21 to each third party agreement, including:
(1) Each subagreement,
(2) Each property transfer agreement,
(3) Each third party contract or subcontract at any tier,
(4) Each lease, or
(5) Each participation agreement,
i. The assurances it has made will remain in effect for the longest of the following:
(1) As long as Federal funding is extended to the project,
(2) As long as the Project property is used for a purpose for which the Federal funding is
extended,
(3) As long as the Project property is used for a purpose involving the provision of
similar services or benefits, or
(4) As long as the Applicant retains ownership or possession of the project property.
E. Assurance of Nondiscrimination on the Basis of Disability.
1. The Applicant assures that it and its project implementation and operations will comply with
all applicable requirements of:
a. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq.,
b. The Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq.,
c. U.S. DOT regulations, specifically 49 CFR parts 27, 37, and 38, and
d. Any other applicable Federal laws that may be enacted or Federal regulations that may be
promulgated,
2. As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving or Benefiting from Federal Financial Assistance," 49 CFR
part 27, specifically 49 CFR 27.9, the Applicant assures that:
a. The following prohibition against discrimination on the basis of disability is a condition
to the approval or extension of any FTA funding awarded to:
(1) Construct any facility,
(2) Obtain any rolling stock or other equipment,
(3) Undertake studies,
(4) Conduct research, or
(5) Participate in or obtain any benefit,from any FTA administered program,
b. In any program or activity receiving or benefiting from Federal funding FTA or any
entity within U.S. DOT administers, no otherwise qualified people with a disability will, because
of their disability, be:
(1) Excluded from participation,
(2) Denied benefits, or
(3) Otherwise subjected to discrimination.
F. Suspension and Debarment.
1. U.S. DOT regulations, "Nonprocurement Suspension and Debarment," 2 CFR part 1200,
which adopts and supplements the provisions of U.S. Office of Management and Budget
APPENDIX A
(U.S. OMB) "Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement)," 2 CFR part 180, permit certifications to assure the Applicant acknowledges
that:
2. The Applicant certifies to the best of its knowledge and belief that, it, its principals, and first
tier subrecipients:
a. Are eligible to participate in covered transactions of any Federal department or agency
and are not presently:
(1) Debarred,
(2) Suspended,
(3) Proposed for debarment,
(4) Declared ineligible, or
(5) Voluntarily excluded, or
(6) Disqualified,
b. Have not within a three -year period preceding its latest application or proposal been
convicted of or had a civil judgment rendered against any of them for:
(1) Commission of fraud or a criminal offense in connection with obtaining, attempting
to obtain, or performing a public (Federal, State, or local) transaction, or contract under a public
transaction,
(2) Violation of any Federal or State antitrust statute, or
(3) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making any false statement, or receiving stolen property,
c. Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State, or local) with commission of any of the offenses listed in the
preceding Section 2.b of this certification,
d. Have not had one or more public transactions (Federal, State, or local) terminated for
cause or default within a three -year period preceding this certification,
e. Will promptly provide any information to the FTA if at a later time any information
contradicts the statements of subparagraphs (1) through (4) above, and
f. Will treat each lower tier contract or lower tier subcontract under the Project as a covered
lower tier contract for purposes of 2 CFR part 1200 and 2 CFR part 180 if it:
(1) Equals or exceeds $25,000,
(2) Is for audit services, or
(3) Requires the consent of a Federal official,
g. Will require that each covered lower tier contractor and subcontractor:
(1) Comply with the Federal requirements of 2 CFR part 1200 and 2 CFR part 180, and
(2) Assure that each lower tier participant in the Project is not presently declared by any
Federal department or agency to be:
(a) Debarred from participation in the federally funded project,
(b) Suspended from participation in the federally funded project,
(c) Proposed for debarment from participation in the federally funded project,
(d) Declared ineligible to participate in the federally funded project,
(e) Voluntarily excluded from participation in the federally funded project, or
(0 Disqualified from participation in the federally funded Project.
3. The Applicant will provide a written explanation indicated on its Signature Page or a page
attached in FTA's TEAM if it or any of its principals, including any of its first tier subrecipients
or lower tier participants, is unable to certify to the preceding statements in this certification.
APPENDIX A
G. U.S. OMB Assurances in SF -424B and SF -424D.
(These assurances are consistent with U.S. OMB assurances required in SF -424B and SF- 424D.)
1. Administrative Activities. The Applicant assures that:
a. For every project described in any application it submits, it has adequate resources to
properly plan, manage, and complete the project, including:
(1) The legal authority to apply for Federal funding, and
(2) The institutional capability,
(3) The managerial capability, and
(4) The financial capability (including funds sufficient to pay the non - Federal share of
project cost).
b. It will give access and the right to examine project - related materials, including but not
limited to:
(1) FTA,
(2) The Comptroller General of the United States, and,
(3) If appropriate, the State, through any authorized representative,
c. It will establish a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
d. It will establish safeguards to prohibit employees from using their positions for a purpose
that:
(1) Results in a personal or organizational conflict of interest, or personal gain, or
(2) Presents the appearance of a personal or organizational conflict of interest or
personal gain.
2. Project Specifics. The Applicant assures that:
a. Following receipt of FTA award, it will begin and complete Project work within the
applicable time periods,
b. For FTA funded construction projects:
(1) It will comply with FTA provisions concerning the drafting, review, and approval of
construction plans and specifications
(2) It will to the extent practicable provide and maintain competent and adequate
engineering supervision at the construction site to assure that the completed work conforms with
the approved plans and specifications,
(3) It will include a covenant in the title of federally funded real property acquired to
assure nondiscrimination during the useful life of the project,
(4) To the extent FTA requires, it will record the Federal interest in the title to FTA
assisted real property or interests in real property, and
(5) To the extent practicable, without permission and instructions from FTA, it will not
alter the site of the FTA funded construction project or facilities by:
(a) Disposing of the underlying real property or other interest in the site and
facilities,
(b) Modifying the use of the underlying real property or other interest in the site and
facilities, or
(c) Changing the terms of the underlying real property title or other interest in the
site and facilities.
c. It will furnish progress reports and other information as FTA or the State may require.
3. Statutory and Regulatory requirements. The Applicant assures that:
APPENDIX A
a. It will comply with all applicable Federal statutes relating to nondiscrimination including,
but not limited to the:
(1) Prohibitions against discrimination on the basis of race, color, or national origin of
Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) Prohibitions against discrimination on the basis of sex of:
(a) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 —
1683, and 1685 — 1687, and
(b) U.S. DOT regulations, "Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance," 49 CFR part 25,
(3) Prohibitions against discrimination on the basis of age in federally assisted programs
of the Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101 — 6107,
(4) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, which
prohibits discrimination on the basis of disability,
(5) Prohibitions against discrimination on the basis of disability of Section 504 of the
Rehabilitation Act of 1973, as amended, 29 U.S.C. 794,
(6) Nondiscrimination requirements relating to the sale, rental, or financing of housing
of Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq.,
(7) Prohibitions against discrimination on the basis of drug abuse of the Drug Abuse
Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101 et seq.,
(8) Prohibitions against discrimination on the basis of alcohol abuse of the
Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, as amended, 42 U.S.C.
4541 et seq.,
(9) Confidentiality requirements for the records of alcohol and drug abuse patients of the
Public Health Service Act, as amended, 42 U.S.C. 290dd — 290dd -2, and
(10)Nondiscrimination provisions of any other statute(s) that may apply to the project,
b. Regardless of whether Federal funding has been provided for any of the real property
acquired for Project purposes, it will provide for fair and equitable treatment of displaced
persons or persons whose property is acquired as a result of federally assisted programs, and:
(1) It has the necessary legal authority under State and local law to comply with:
(a) The Uniform Relocation Assistance and Real Property Acquisition Policies Act
of 1970, as amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq., as specified by
sections 210 and 305 of that Act, 42 U.S.C. 4630 and 4655, respectively, and
(b) U.S. DOT regulations, "Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs," 49 CFR part 24, specifically 49 CFR
24.4.
(2) It has complied with or will comply with the Uniform Relocation Act and
implementing U.S. DOT regulations including but not limited to doing the following:
(a) It will adequately inform each affected person of the benefits, policies, and
procedures provided for in 49 CFR part 24,
(b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part 24, it will
provide fair and reasonable relocation payments and assistance for displacement, resulting from
any FTA funded project, of:
1 Families and individuals,
2 Partnerships, corporations, or associations,
(c) As provided by 42 U.S.C. 4625 and 49 CFR part 24, it will provide relocation
assistance programs offering the services described in to the U.S. DOT regulations to such
APPENDIX A
displaced:
1 Families and individuals,
2 Partnerships, corporations, or associations,
(d) As required by 42 U.S.C. 4625(c)(3), within a reasonable time before
displacement it will make available comparable replacement dwellings to families and
individuals,
(e) It will:
1 Carry out the relocation process to provide displaced persons with uniform
and consistent services, and
2 Make available replacement housing in the same range of choices with
respect to such housing to all displaced persons regardless of race, color, religion, or national
origin,
(f) It will be guided to the greatest extent practicable under State law, by the real
property acquisition policies of 42 U.S.C. 4651 and 4652,
(g) It will pay or reimburse property owners for their necessary expenses as
specified in 42 U.S.C. 4653 and 4654, understanding that FTA will provide Federal funding for
its eligible costs of providing payments for those expenses, as required by 42 U.S.C. 4631,
(h) It will execute the necessary implementing amendments to third party contracts
and subagreements financed with FTA funding, and
(i) It will execute, furnish, and be bound by such additional documents as FTA may
determine necessary to effectuate or implement these assurances, and
(j) It will incorporate these assurances by reference into and make them a part of
any third party contract or subagreement, or any amendments thereto, relating to any FTA
funded project involving relocation or land acquisition, and
(k) It will provide in any affected document that these relocation and land
acquisition provisions must supersede any conflicting provisions,
c. To the extent practicable, it will comply with the Lead -Based Paint Poisoning Prevention
Act, 42 U.S.C. 4831(b), which prohibits the use of lead -based paint in the construction or
rehabilitation of residence structures,
d. It will, to the extent practicable, comply with the protections for human subjects involved
in research, development, and related activities supported by Federal funding of:
(1) The National Research Act, Pub. L. 93 -348, July 12, 1974, as amended, 42 U.S.C.
289 et seq., and
(2) U.S. DOT regulations, "Protection of Human Subjects," 49 CFR part 11,
e. It will, to the extent practicable, comply with the labor standards and protections for
federally funded projects of:
(1) The Davis -Bacon Act, as amended, 40 U.S.C. 3141 et seq.,
(2) Sections 1 and 2 of the Copeland "Anti- Kickback" Act, as amended, ' 18 U.S.C. 874,
and 40 U.S.C. 3145, respectively,
(3) The Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et
seq.,
f. It will, to the extent practicable, comply with any applicable environmental standards that
may be prescribed to implement the following Federal laws and executive orders, including but
not limited to the following:
(1) It will comply with the institution of environmental quality control measures under
the National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 — 4335 and
APPENDIX A
Executive Order No. 11514, as amended, 42 U.S.C. 4321 note,
(2) It will comply with notification of violating facilities pursuant to Executive Order
No. 11738, 42 U.S.C. 7606 note,
(3) It will comply with protection of wetlands pursuant to Executive Order No. 11990,
42 U.S.C. 4321 note,
(4) It will comply with evaluation of flood hazards in floodplains in accordance with
Executive Order No. 11988, 42 U.S.C. 4321 note,
(5) It will comply with an assurance of project consistency with the approved State
management program developed pursuant to the requirements of the Coastal Zone Management
Act of 1972, as amended, 16 U.S.C. 1451 — 1465,
(6) It will comply with Conformity of Federal actions to State (Clean Air)
Implementation Plans under section 176(c) of the Clean Air Act of 1955, as amended, 42 U.S.C.
7401— 7671q,
(7) It will comply with protection of underground sources of drinking water under the
Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f— 300j -6,
(8) It will comply with protection of endangered species under the Endangered Species
Act of 1973, as amended, 16 U.S.C. 1531 —1544, and
(9) It will comply with environmental protections for Federal transportation programs,
including, but not limited to, protections for parks, recreation areas, or wildlife or waterfowl
refuges of national, State, or local significance or any land from a historic site of national, State,
or local significance to be used in a transportation project as required by 49 U.S.C. 303(b) and
303(c),
(10) It will comply with protection of the components of the national wild and scenic
rivers systems, as required under the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C.
1271 -1287, and
(11)It will comply with and facilitate compliance with
(a) Section 106 of the National Historic Preservation Act of 1966, as amended,
16 U.S.C. 470f,
(b) The Archaeological and Historic Preservation Act of 1974, as amended,
16 U.S.C. 469 — 469c, and
(c) Executive Order No. 11593 (identification and protection of historic properties),
16 U.S.C. 470 note,
g. To the extent practicable, it will comply with Federal requirements for the care, handling,
and treatment of warm blooded animals held or used for research, teaching, or other activities
supported by Federal funding of:
(1) The Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and
(2) U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR subchapter A,
parts 1, 2, 3, and 4,
h. To the extent practicable, before accepting delivery of any FTA funded building it will
obtain a certificate of compliance with the seismic design and construction requirements of
U.S. DOT regulations, "Seismic Safety," 49 CFR part 41, specifically 49 CFR 41.117(d),
i. To the extent practicable, it and its subrecipients located in special flood hazard areas will
comply with section 102(a) of the Flood Disaster Protection Act of 1973, as amended, 42 U.S.C.
4012a(a), by:
(1) Participating in the Federal flood insurance program,
(2) Purchasing flood insurance if the total cost of insurable construction and acquisition
APPENDIX A
is $10,000 or more,
j. To the extent practicable, it will comply with:
(1) The Hatch Act, 5 U.S.C. 1501 — 1508, 7324 — 7326, which limits the political
activities of State and local agencies and their officers and employees whose primary
employment activities are financed in whole or part with Federal funds including a Federal loan,
grant agreement, or cooperative agreement, and
(2) 49 U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), which provide an exception from Hatch
Act restrictions for a nonsupervisory employee of a public transportation system (or of any other
agency or entity performing related functions) receiving FTA funding to whom the Hatch Act
does not otherwise apply,
k. It will have performed the financial and compliance audits as required by:
(1) The Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et seq.,
(2) U.S. OMB Circular A -133, "Audits of States, Local Governments, and Non - Profit
Organizations," Revised, and
(3) The most recent applicable U.S. OMB A -133 Compliance Supplement provisions for
the U.S. DOT, and
1. It will, to the extent practicable, comply with all applicable provisions of all other Federal
laws or regulations, and follow Federal directives governing the project, except to the extent that
FTA has expressly approved otherwise in writing.
GROUP 02. LOBBYING CERTIFICATION
You must select the following certifications in Group 02 if you apply on behalf of your Applicant
for a Federal grant or cooperative agreement exceeding $100,000, or a loan (including a line of
credit), loan guarantee, or loan insurance exceeding $150,000, except if you are applying on
behalf of an Indian tribe, tribal organization, or other Indian organization or if we determine
otherwise in writing.
As required by 31 U.S.C. 1352 and U.S. DOT regulations, "New Restrictions on Lobbying,"
specifically 49 CFR 20.110, you and your Applicant understand that:
a. The lobbying restrictions of your certification apply your Applicant's requests for:
(1) $100,000 or more in Federal funding for a grant or cooperative agreement, and
(2) $150,000 or more in Federal funding for a loan, line of credit, or loan guarantee,
b. Its certification covers the lobbying activities of:
(1) It,
(2) Its principals, and
(3). Its first tier subrecipients:
Therefore, on behalf of your Applicant, you certify to the best of your knowledge and belief,
that:
1. No Federal appropriated funds have been or will be paid by or on its behalf to any person:
a. To influence or attempt to influence:
(1) An officer or employee of any Federal agency,
(2) A Member of Congress, an employee of a member of Congress, or an officer or
employee of Congress,
b. Regarding the award of a:
(1) Federal grant or cooperative agreement, or
APPENDIX A
(2) Federal loan, line of credit, loan guarantee, or loan insurance
2. It will submit a complete OMB Standard Form -LLL, "Disclosure of Lobbying Activities
(Rev. 7 -97)," in accordance with its instructions, if any funds other than Federal appropriated
funds have been or will be paid to any person:
a. To influence or attempt to influence:
(1) An officer or employee of any Federal agency,
(2) A Member of Congress, an employee of a Member of Congress, or an officer or
employee of Congress, or
b. Regarding any application for a:
(1) Federal grant or cooperative agreement,
(2) Federal loan, line of credit, loan guarantee, or loan insurance, and
3. It will include the language of this certification in the award documents for all subawards at
all tiers including, but not limited to:
a. Subcontracts,
b. Subgrants,
c. Subagreements, and
d. Third party contracts under a:
(1) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan insurance, and
4. It understands that:
a. This certification is a material representation of fact that the Federal Government relies
on, and
b. It must submit this certification before the Federal Government may award funding for a
transaction covered by 31 U.S.C. 1352, including a:
(1) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan insurance, and
5. It also understands that any person who does not file a required certification will be subject to
a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
GROUP 03. PROCUREMENT COMPLIANCE
We request that you provide the following procurement certification, on behalf of your Applicant
by selecting Group 03, especially if your Applicant is a State, local, or Indian tribal government
with a certified procurement system, as provided in 49 CFR 18.36(g)(3)(ii).
The Applicant certifies that its procurements and procurement system will comply with all
applicable Federal laws and regulations in accordance with applicable Federal directives, except
to the extent FTA has approved otherwise in writing.
GROUP 04. PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS
You must select the following certifications in Group 04 on behalf of your Applicant if it is a
State, local, or Indian tribal government and you are applying for or will apply for 49 U.S.C.
chapter 53 funding to:
• Acquire property of a private transit operator, or
® Operate public transit in competition with or in addition to a private transit provider.
APPENDIX A
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that:
1. Before it:
a. Acquires the property or an interest in the property of a private provider of public
transportation, or
b. Operates public transportation equipment or facilities:
(1) In competition with transportation service provided by an existing public
transportation company, or
(2) In addition to transportation service provided by an existing public transportation
company,
2. It has or will have:
a. Determined that the funding is essential to carrying out a program of projects as required
by 49 U.S.C. 5303, 5304, and 5306,
b. Provided for the participation of private companies engaged in public transportation to
the maximum extent feasible, and
c. Paid just compensation under State or local law to the company for any franchise or
property acquired.
GROUP 05. PUBLIC HEARING
You must select the following certifications in Group 05 on behalf of your Applicant if you apply
for 49 U.S.C. chapter 53 funding for a capital project that will substantially affect a community
or its transit service.
As required by 49 U.S.C. 5323(b), the Applicant certifies that:
1. Before submitting an application for a capital project that:
a. Will substantially affect:
(1) A community, or
(2) The public transportation service of a community, and
b. Also will affect:
(1) Significant economic interests,
(2) Significant social interests, or
(3) Significant environmental interests,
It will:
(1) Provide an adequate opportunity for public review and comment on the project, after
giving notice that:
(a) Includes a concise description of the proposed project; and
(b) Has been published in a newspaper of general circulation in the geographic area
the project.
(2) Hold a public hearing on the project if the project affects:
(a) Significant economic, interests,
(b) Significant social, interests, or
(c) Significant environmental interests,
2. It will have considered the economic, social, and environmental effects of the project, and
3. It will have determined that the project is consistent with official plans for developing the
community.
APPENDIX A
GROUP 06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE
You must select the following certification on behalf of your Applicant in Group 06 if you apply
for 49 U.S.C. chapter 53 funding to acquire any rolling stock for use in revenue service.
The Applicant certifies that in procuring revenue service rolling stock, it will comply with:
1. Federal transit law, specifically 49 U.S.C. 5323(m),
2 FTA regulations, "Pre-Award and Post - Delivery Audits of Rolling Stock Purchases,"
49 CFR part 663, specifically 49 CFR 663.7, as modified by amendments authorized by
section 3023(k) of SAFETEA -LU, including the requirements to:
a. Conduct or cause to be conducted the required preaward and post delivery reviews, and
b. Maintain on file the certifications required by 49 CFR part 663, subparts B, C, and D.
GROUP 07. ACQUISITION OF CAPITAL ASSETS BY LEASE
You must select the following certifications in Group 07 if you apply on behalf of your Applicant
for 49 U.S.C. chapter 53 funding to acquire capital assets by lease.
As required by FTA regulations, "Capital Leases," 49 CFR part 639, specifically 639.15(b)(1)
and 639.21, if the Applicant acquires any capital asset by lease financed with Federal funding
authorized under 49 U.S.C. chapter 53, the Applicant certifies as follows:
1. It will not use Federal funding authorized under 49 U.S.C. chapter 53 to finance the cost of
leasing any capital asset until:
a. It performs calculations demonstrating that leasing the capital asset would be more cost -
effective than purchasing or constructing a similar asset, and
b. It completes these calculations before the later of:
(1) Entering into the lease, or
(2) Receiving a capital grant for the asset, and
2. It will not enter into a capital lease for which FTA can provide only incremental Federal
funding unless it has adequate financial resources to meet its future lease obligations if Federal
funding is not available.
GROUP 08. BUS TESTING
You must select the following certification in Group 08 if you apply on behalf of your Applicant
for 49 U.S.C. chapter 53 funding to acquire any new or newly configured bus or a bus with new
major components.
The Applicant certifies that:
1. It will comply with Federal transit law, specifically 49 U.S.C. 5318,
2. FTA regulations, "Bus Testing," 49 CFR part 665, specifically 49 CFR 665.7, requires that
a. Before:
(1) Spending any Federal funds to acquire:
(a) The first bus of any new bus model,
(b) The first bus with a new major change in configuration or components, or
APPENDIX A
(2) Authorizing final acceptance of a new bus model or a bus model with a major change
in components or configuration:
b. It will:
(1) Ensure that the bus model has been tested at FTA's bus testing facility, and
(2) Have received a copy of the test report prepared on the bus model.
GROUP 09. CHARTER SERVICE AGREEMENT
You must enter in the Charter Service Agreement in Group 09 on behalf of your Applicant if you
apply for funding to acquire or operate transit facilities and equipment, unless your Applicant
qualifies for an exception under Federal law and regulations.
As required by 49 U.S.C. 5323(d) and (g) and FTA regulations, "Charter Service," 49 CFR part
604, specifically 49 CFR 604.4, the Applicant understands and agrees that:
1. Except in certain circumstances described in its regulations, FTA's "Charter Service"
regulations restrict transportation by charter service using facilities and equipment acquired by
FTA for transportation projects with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
2. FTA's charter service restrictions extend to:
a. The Applicant when it becomes a recipient of Federal funding under:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
b. Any third party participant that receives Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
c. A third party participant includes a:
(1) Subrecipient at any tier,
(2) Lessee,
(3) Third party contractor or subcontractor at any tier, and
(4) Other participant in the project,
3. Neither the Applicant nor any third party participant involved in its Project will engage in
charter service operations, except as permitted under:
a. Federal transit laws, specifically 49 U.S.C. § 5323(d) and (g),
b. FTA regulations, "Charter Service," 49 C.F.R. Part 604,
c. Any other Federal Charter Service regulations, or
d. Federal directives, except as FTA determines otherwise in writing.
4. The Applicant agrees that the latest Charter Service Agreement it has selected in its latest
annual Certifications and Assurances is incorporated by reference in and made part of the
underlying Agreement accompanying an award of FTA funding.
5. The Applicant agrees that:
a. FTA may require corrective measures or impose remedies on it or any subrecipient that
has engaged in a pattern of violations of FTA's Charter Service regulations by:
(1) Conducting charter operations prohibited by Federal transit laws and FTA's Charter
Service regulations, or
APPENDIX A
(2) Otherwise violating the Applicant's Charter Service Agreement it has elected in its
latest annual Certifications and Assurances.
b. These corrective measures and remedies may include:
(1) Barring it or any third party participant operating public transportation under the Project
that has provided prohibited charter service from receiving FTA funds, or
(2) Withholding an amount of Federal funds as provided by Appendix D to FTA's Charter
Service regulations.
GROUP 10. SCHOOL TRANSPORTATION AGREEMENT
You must enter in the School Transportation Agreement in Group 10 on behalf of your Applicant
if you apply for funding to acquire or operate transit facilities and equipment, unless your
Applicant qualifies for an exception under Federal law and regulations.
As required by 49 U.S.C. 5323(0 and (g) and FTA regulations, "School Bus Operations,"
49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(0 and (g), the Applicant
understands and agrees that:
1. FTA's "School Bus Operations" regulations restrict school bus service as defined in the FTA
regulations using facilities and equipment acquired with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
2. FTA's school bus operations restrictions extend to:
a. The Applicant when it becomes a recipient of Federal funding under:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
b. Any third party participant that receives Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
c. A third party participant includes a:
(1) Subrecipient at any tier,
(2) Lessee,
(3) Third party contractor or subcontractor at any tier, and
(4) Other participant in the project,
3. Neither the Applicant nor any third party participant involved in its Project will engage in
school transportation operations in competition with private operators of school transportation,
except as permitted under:
a. Federal transit laws, specifically 49 U.S.C. § 5323(0 and (g),
b. FTA regulations, "School Bus Operations," 49 C.F.R. Part 605, to the extent consistent
with 49 U.S.C. § 5323(0 and (g),
c. Any other Federal School Transportation regulations, or
d. Federal directives, except as FTA determines otherwise in writing.
4. The Applicant agrees that the latest School Transportation Agreement it has selected in its
latest annual Certifications and Assurances is incorporated by reference in and made part of the
underlying Agreement accompanying an award of FTA funding.
APPENDIX A
5. The Applicant agrees that FTA will bar the Applicant or any third party participant that has
violated this School Transportation Agreement from receiving Federal transit funding in an
amount FTA considers appropriate.
GROUP 11. DEMAND RESPONSIVE SERVICE
You must select the following certification in Group 11 on behalf of your Applicant if your
Applicant operates demand responsive service and you apply for 49 U.S.C. chapter 53 funding to
acquire non rail transit vehicles.
As required by U.S. DOT regulations, "Transportation Services for Individuals with Disabilities
(ADA)," 49 CFR part 37, specifically 49 CFR 37.77(d), the Applicant certifies that:
1. The following public transportation services it offers are equivalent in level and quality of
service:
a. Its demand responsive service offered to individuals with disabilities, including
individuals who use wheelchairs,
b. Its service offered to individuals without disabilities,
2. Viewed in its entirety, the Applicant's service for individuals with disabilities is:
a. Provided in the most integrated setting feasible, and
b. Equivalent to the service it offers individuals without disabilities with respect to:
(1) Response time,
(2) Fares,
(3) Geographic service area,
(4) Hours and days of service,
(5) Restrictions on trip purpose,
(6) Availability of information and reservation capability, and
(7) Constraints on capacity or service availability.
GROUP 12. ALCOHOL MISUSE AND PROHIBITED DRUG USE
You must select the following certification in Group 12 on behalf of your Applicant if FTA
regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,"
49 CFR part 655, require your Applicant to provide a certification concerning its activities to
prevent alcohol misuse and prohibited drug use in its public transportation operations.
As required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operations," specifically 49 CFR part 655, subpart I, the Applicant certifies that it:
1. Has established and implemented:
a. An alcohol misuse program and
b. An anti -drug program, and
2. Has complied with or will comply with all applicable requirements of this part.
GROUP 13. INTEREST AND OTHER FINANCING COSTS
You must select the following certification in Group 13 if the your Applicant intends to reimburse
interest or other financing costs with Urbanized Area Formula Program, Capital Investment
APPENDIX A
Program, or Paul S. Sarbanes Transit in Parks Program funding.
The Applicant certifies that:
1. It will not seek reimbursement for interest or other financing costs:
a. Unless it is eligible to receive Federal funding for those costs,
b. Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs, to the extent FTA may require, and
2. It will comply with:
a. Urbanized Area Formula Program interest provisions of 49 U.S.C. 5307(g)(3),
b. Capital Investment Program provisions of 49 U.S.C. 5309(g)(2)(B)(iii),
c. Capital Investment Program provisions of 49 U.S.C. 5309(g)(3)(B)(iii),
d. Capital Investment Program provisions of 49 U.S.C. 5309(i)(2)(C), and
e. Paul S. Sarbanes Transit in Parks Program provisions of 49 U.S.C. 5320(h)(2)(C).
GROUP 14. INTELLIGENT TRANSPORTATION SYSTEMS
Select the following assurance in Group 14 if you apply on behalf of your Applicant for an
Intelligent Transportation Systems (ITS) project or a project in support of an ITS project. An
Applicant for ITS project funding that fails to provide this assurance, without providing other
documentation assuring its commitment to comply with applicable Federal ITS standards and
protocols, may be ineligible for award of Federal funding for that ITS project.
As used in this assurance, the term Intelligent Transportation Systems (ITS) project is defined to
include any project that in whole or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision of one or more ITS user
services as defined in the "National ITS Architecture." The Applicant assures that:
1. As provided in subsection 5307(c) of SAFETEA -LU, 23 U.S.C. 512 note:
a. "Intelligent transportation system projects carried out using funds made available from
the Highway Trust Fund, including funds made available under this subtitle to deploy intelligent
transportation system technologies, [will] conform to the national architecture, applicable
standards or provisional standards, and protocols developed under subsection (a) [of section
5307 of SAFETEA -LU]."
b. ITS standards will not apply if it obtains an exception to subsection 5307(c) of
SAFETEA -LU, 23 U.S.C. 512 note.
2. It will use its best efforts to assure that any ITS project it undertakes will not preclude
interface with other intelligent transportation systems in the Region, if supported with Federal
funding not derived from:
a. Title 49, United States Code, or
b. Title 23, United States Code.
3. To facilitate compliance with subsection 5307(c) of 23 U.S.C. 512 note, except as the Federal
Government determines otherwise in writing, the Applicant assures that it will comply with:
a. FTA Notice, "FTA National ITS Architecture Policy on Transit Projects," 66 FR 1455,
January 8, 2001, specifically:
(1) Applicable provisions of Section V (Regional ITS Architecture, and
(2) Section VI (Project Implementation), and
b. Other FTA policies that may be issued in connection with any ITS project it undertakes
APPENDIX A
financed with funds authorized under Title 49 or Title 23, United States Code,
GROUP 15. URBANIZED AREA FORMULA PROGRAM
You must select the following certifications and assurances in Group 15 if you apply on behalf of
your Applicant for Urbanized Area Formula Program funding, 49 U.S.C. 5307. Your Applicant
is ultimately responsible for compliance with its certifications and assurances even though a
subrecipient, lessee, third party contractor, or other participant may participate in that project,
unless FTA determines otherwise in writing. Consequently, we strongly encourage your
Applicant to take the appropriate measures including, but not limited to, obtaining sufficient
documentation from each subrecipient, to assure the validity of all certifications and assurances
it has made.
Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to spend at least one (1) percent of its
Urbanized Area Formula Program funding for public transportation security projects, unless it
has certified that such expenses are not necessary. Information about its intentions must be
recorded in the "Security" tab page of the TEAM -Web "Project Information" window when it
submits its Urbanized Area Formula Program application in TEAM -Web.
We may not award Urbanized Area Formula Program funding to any Applicant that is required
by 49 U.S.C. 5307(d)(1)(K) to spend one (1) percent of its Urbanized Area Formula Program
funding for eligible transit enhancements unless its quarterly report for the fourth quarter of the
preceding Federal fiscal year has been submitted to FTA and includes the required list or
sufficient information to demonstrate that the Designated Recipients in its area together have
spent one (1) percent of the amount of Urbanized Area Program funding made available to them
for transit enhancement projects or have included the same information in a separate report
attached in TEAM -Web.
The following certifications apply to each Applicant for funding under the Urbanized Area
Formula Program authorized under 49 U.S.C. 5307. The Applicant certifies that:
1. As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
a. Legal capacity to carry out its proposed projects,
b. Financial capacity to carry out its proposed projects,
c. Technical capacity to carry out its proposed projects,
d. Safety aspects of its proposed projects, and
e. Security aspects of its proposed projects,
2. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have satisfactory continuing control
over the use of project equipment and facilities,
3. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the project equipment and facilities
adequately,
4. As required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the following individuals will be
charged not more than fifty (50) percent of the peak hour fare for transportation during non -peak
hours using or involving project facilities or equipment supported under 49 U.S.C. 5307:
a. Elderly individuals,
b. Individuals with disabilities, or
c. Individuals presenting a Medicare card issued to himself or herself pursuant to title II or
APPENDIX A
title XVIII of the Social Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.),
5. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under 49 U.S.C.
5307, it will:
a. Use competitive procurement (as defined or approved by FTA),
b. Not use exclusionary or discriminatory specifications in its procurements,
c. Comply with applicable Buy America laws, and
d. Comply with the:
(1) General provisions for FTA programs of 49 U.S.C. 5323, and
(2) Third party procurement requirements of 49 U.S.C. 5325,
6. As required by 49 U.S.C. 5307(d)(1)(F), it has complied with or will comply with 49 U.S.C.
5307(c) because it:
a. Has informed or will inform the public of the amounts of its Urbanized Area Formula
Program funds available under 49 U.S.C. 5307, and the projects it proposes to undertake,
b. Has developed or will develop, in consultation with interested parties including private
transportation providers, the projects proposed to be funded,
c. Has published or will publish a list of its projects in a way that affected citizens, private
transportation providers, and local elected officials will have an opportunity to examine and
submit comments on the proposed projects and its performance,
d. Has provided or will provide an opportunity for a public hearing to obtain the views of
citizens on the proposed projects,
e. Has assured or will assure that the proposed projects provide for coordination of
transportation services assisted under 49 U.S.C. 5336 with federally assisted transportation
services supported by a Federal Government source other than U.S. DOT,
f. Has considered or will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of projects, and
g. Has made or will make the final list of projects available to the public,
7. As required by 49 U.S.C. 5307(d)(1)(G), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
c. Will provide the local share funds when needed,
8. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
a. The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(1) Maximize the safe, secure, and efficient mobility of people,
(2) Minimize environmental impacts, and,
(3) Minimize transportation - related fuel consumption and reliance on foreign oil,
b. The requirements of 49 U.S.C. 5301(d) for special efforts to:
(1) Design public transportation for elderly individuals and individuals with disabilities,
and
(2) Provide public transportation for elderly individuals and individuals with disabilities,
and
c. The requirements of 49 U.S.C. 5303 — 5306 for:
(1) Metropolitan and State Planning, and
(2) Private enterprise participation,
9. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally developed process to solicit and
consider public comment before:
APPENDIX A
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
10. As required by 49 U.S.C. 5307(d)(1)(J), if it serves an urbanized area with a population of at
least 200,000:
a. Each fiscal year, it will spend at least one (1) percent of its 49 U.S.C. 5307 funding for
public transportation security projects (limited to capital projects in the case of an Applicant
serving an urbanized area with a population of 200,000 or more), or
b. That fiscal year, it will certify that such expenses for transportation security projects are
not necessary,
c. Public transportation security projects include:
(1) Increased lighting in or adjacent to a public transportation system (including bus
stops, subway stations, parking lots, and garages),
(2) Increased camera surveillance of an area in or adjacent to that system,
(3) Emergency telephone line or lines to contact law enforcement or security personnel
in an area in or adjacent to that system, and
(4) Any other project intended to increase the security and safety of an existing or
planned public transportation, and
11. As required by 49 U.S.C. 5307(d)(1)(K), if it serves an urbanized area with a population of at
least 200,000:
a. Each fiscal year, it or all the Recipients of 49 U.S.C. 5307 funding in its urbanized area
will spend at least one (1) percent of that funding for transit enhancements, as defined in
49 U.S.C. 5302(a),
b. It will include in its quarterly report for the fourth quarter of the preceding Federal fiscal
year a list of the projects during that Federal fiscal year using those 49 U.S.C. 5307 funds, and
c. The report of its transit enhancement projects is or will be incorporated by reference and
made part of its certifications and assurances.
GROUP 16. CLEAN FUELS GRANT PROGRAM
You must select the following certifications and assurances in Group 16 if you apply on behalf of
your Applicant for Clean Fuels Grant Program funding, 49 U.S.C. 5308. Your Applicant itself is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient, lessee, third party contractor, or other participant may participate in that project,
unless FTA determines otherwise in writing. Consequently, we strongly encourage your
Applicant to take the appropriate measures including, but not limited to, obtaining sufficient
documentation from each subrecipient, to assure the validity of all certifications and assurances
it has made.
The following certifications apply to each Applicant for funding under the Clean Fuels Grant
Program authorized under 49 U.S.C. 5308:
1. As required by FTA regulations, "Clean Fuels Grant Program, 49 CFR part 624, specifically
49 CFR 624.7, the Applicant certifies it will operate vehicles purchased with Federal funding
provided under the Clean Fuels Grant Program, 49 U.S.C. 5308 only with clean fuels.
2. Under 49 U.S.C. 5308(d)(1), the requirements of 49 U.S.C. 5307 apply to the Clean Fuels
Grant Program. To comply with those requirements, as specified under 49 U.S.C. 5307(d)(1),
the Applicant certifies that:
APPENDIX A
a. As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have satisfactory continuing
control over the use of project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the project equipment and
facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the following individuals will
be charged not more than fifty (50) percent of the peak hour fare for transportation during non -
peak hours using or involving project facilities or equipment supported under 49 U.S.C. 5308:
(1) Elderly individuals,
(2) Individuals with disabilities, or
(3) Individuals presenting a Medicare card issued to himself or herself pursuant to title II
or title XVIII of the Social Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.),
e. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under
49 U.S.C. 5308, it will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
f. As required by 49 U.S.C. 5307(d)(1)(F), it has complied with or will comply with
49 U.S.C. 5307(c) because it:
(1) Has informed or will inform the public of the amounts of its Clean Fuels Grant
Program funds available under 49 U.S.C. 5308, and the projects it proposes to undertake,
(2) Has developed or will develop, in consultation with interested parties including
private transportation providers, the projects proposed to be funded,
(3) Has published or will publish a list of its projects in a way that affected citizens,
private transportation providers, and Local elected officials will have an opportunity to examine
and submit comments on the proposed projects and its performance,
(4) Has provided or will provide an opportunity for a public hearing to obtain the views
of citizens on the proposed projects,
(5) Has assured or will assure that the proposed projects provide for coordination of
transportation services assisted under 49 U.S.C. 5336 with federally assisted transportation
services supported by a Federal government source other than U.S. DOT,
(6) Has considered or will consider the comments and views received, especially those
of private transportation providers, in preparing its final list of projects, and
(7) Has made or will make the final list of projects available to the public,
g. As required by 49 U.S.C. 5307(d)(1)(G), it:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
(3) Will provide the local share funds when needed,
APPENDIX A
h. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation- related fuel consumption and reliance on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with
disabilities, and
(b) Provide public transportation for elderly individuals and individuals with
disabilities, and
(3) The requirements of 49 U.S.C. 5303 — 5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation, and
i. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally developed process to solicit and
consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 17. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES
FORMULA GRANT PROGRAM AND PILOT PROGRAM
You must select the following certifications and assurances in Group 17 if you apply on behalf of
your State or State organization as the direct Applicant for Elderly Individuals and Individuals
with Disabilities Formula Grant Program funding 49 U.S.C. 5310, and, if qualified, for Elderly
Individuals and Individuals with Disabilities Pilot Program funding, subsection 3012(b) of
SAFETEA -LU. Only a State or a State organization acting as the Recipient on behalf of a State
may be a direct recipient of this funding. Your State or State organization Applicant is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient, lessee, third party contractor, or other participant may participate in that project,
unless FTA determines otherwise in writing. Consequently, we strongly encourage your State or
State organization Applicant to take the appropriate measures including, but not limited to,
obtaining sufficient documentation from each subrecipient, to assure the validity of all
certifications and assurances it has made.
The following certifications and assurances apply to each State or State organization serving as
Applicant for funding and each subrecipient of funding under the Elderly Individuals and
Individuals with Disabilities Formula Grant Program authorized under 49 U.S.C. 5310, and the
Elderly Individuals and Individuals with Disabilities Pilot Program authorized under
subsection 3012(b) of SAFETEA-LU.
1. The State or State organization Applicant assures that:
a. Each subrecipient is:
(1) 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
(2) A public body that has met the statutory requirements to receive Federal funding
authorized for 49 U.S.C. 5310,
b. The State or State organization Applicant can conclude from information in a private
APPENDIX A
nonprofit subrecipient's application for 49 U.S.C. 5310 funding that:
(1) The transit service provided or offered to be provided by existing public or private
transit operators cannot meet the special needs of elderly individuals and individuals with
disabilities, because it is:
(a) Unavailable,
(b) Insufficient, or
(c) Inappropriate,
c. As required by 49 U.S.C. 5310(d)(2)(A) and subsection 3012(b)(2) of SAFETEA -LU, the
State certifies that, before it transfers funds to a project funded under 49 U.S.C. 5336, the project
has been or will have been coordinated with private nonprofit providers of services under
49 U.S.C. 5310,
d. As required by 49 U.S.C. 5310(d)(2)(C), the Applicant certifies that allocations to,
subrecipients 49 U.S.C. 5310 funding or subsection 3012(b) funding will be distributed on a fair
and equitable basis, and
e. As required by 49 U.S.C. 5310(d)(2)(B) and subsection 3012(b)(2) of SAFETEA -LU, the
Applicant certifies that:
(1) The projects it has selected or will select for funding under that program were
derived from a public transit -human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated, and
(2) That locally developed, coordinated plan was produced through a process that
included:
(a) Representatives of public, private, and nonprofit transportation providers,
(b) Representatives of public, private, and nonprofit human services providers, and
(c) Participation by the public.
2. As permitted by 49 U.S.C. 5310(d), the Federal Transit Administrator has selected certain
requirements of 49 U.S.C. 5307 to be appropriate for the Elderly Individuals and Individuals
with Disabilities Formula Grant Program authorized by 49 U.S.C. 5310, and the Elderly
Individuals and Individuals with Disabilities Pilot Program authorized by subsection 3012(b) of
SAFETEA -LU, 49 U.S.C. 5310 note, of which some require certifications. Therefore, as
specified under 49 U.S.C. 5307(d)(1), the State or State organization Applicant certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it and each subrecipient has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it and each subrecipient has or will have
satisfactory continuing control over the use of project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it and each subrecipient will maintain the
project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under the
Elderly Individuals and Individuals with Disabilities Formula Grant Program authorized by
49 U.S.C. 5310, or the Elderly Individuals and Individuals with Disabilities Pilot Program
authorized by subsection 3012(b) of SAFETEA-LU, 49 U.S.C. 5310 note, it and each
subrecipient will:
APPENDIX A
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
e. As required by 49 U.S.C. 5307(d)(1)(G), it and each subrecipient:
(1) Has or will have the amount of funds required for the local share,
(a) As required by 49 U.S.C. 5310(c), and
(b) Subsections 3012(b)(3) and (4) of SAFETEA -LU, if applicable,
(2) Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
(3) Will provide the local share funds when needed, and
f. As required by 49 U.S.C. 5307(d)(1)(H), it and each subrecipient will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation - related fuel consumption and reliance on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with
disabilities, and
(b) Provide public transportation for elderly individuals and individuals with
disabilities, and
(3) The requirements of 49 U.S.C. 5303 — 5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation.
GROUP 18. NONURBANIZED AREA FORMULA PROGRAM FOR STATES
You must select the following certifications and assurances in Group 18 if you apply on behalf of
your Applicant for Nonurbanized Area Formula Program funding, 49 U.S.C. 5311(b). Your
Applicant itself is ultimately responsible for compliance with its certifications and assurances
even though a subrecipient, lessee, third party contractor, or other participant may participate in
that project, unless FTA determines otherwise in writing. Consequently, we strongly encourage
your Applicant to take the appropriate measures including, but not limited to, obtaining
sufficient documentation from each subrecipient, to assure the validity of all certifications and
assurances it has made.
Only a State or a State organization acting as the Recipient on behalf of a State (State) may be a
direct recipient of this Nonurbanized Area Formula Program funding. Separate certifications
and assurances have been established in Group 22 for an Indian tribe that is an Applicant for
Tribal Transit Program funding, 49 U.S.C. 5311(c)(1).
The following certifications and assurances apply to each State or State organization serving as
the Applicant for funding under the Nonurbanized Area Formula Program authorized under
49 U.S.C. 5311. The Applicant assures that:
1. It has or will have the necessary legal, financial, and managerial capability to:
APPENDIX A
a Apply, receive and disburse 49 U.S.C. 5311(c)(1) funding, and
b. Carry out each project, including the:
(1) Safety aspects of its proposed projects, and
(2) Security aspects of its proposed projects,
2. It has or will have satisfactory continuing control over the use of project equipment and
facilities,
3. The project equipment and facilities will be adequately maintained,
4. As required by 49 U.S.C. 5311(b)(2)(C)(i), its program has provided for a fair distribution of
Federal funding authorized for 49 U.S.C. 5311 within the State, including Indian reservations
within the State,
5. As required by 49 U.S.C. 5311(b)(2)(C)(ii), its program provides or will provide the
maximum feasible coordination of public transportation service to receive funding under
49 U.S.C. 5311 with transportation service assisted by other Federal sources,
6. The projects in its Nonurbanized Area Formula Program are included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a metropolitan Transportation Improvement Program,
7. It has or will have the amount of funds required for the local share, as required by 49 U.S.C. - --
5311(g), and
(2) Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
(3) Will provide the local share funds when needed, and
8. As required by 49 U.S.C. 5311(0, each fiscal year:
a. It will spend at least fifteen (15) percent of its 49 U.S.C. 5311 funding available that
fiscal year to develop and support intercity bus transportation within the State, with eligible
activities including:
(1) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus shelters,
(3) Joint -use stops and depots,
(4) Operating grants through purchase -of- service agreements, user -side subsidies, and
demonstration projects, and
(5) Coordinating rural connections between small public transportation operations and
intercity bus carriers, or
b. It will provide to the Federal Transit Administrator a certification of the State's chief
executive officer that:
(1) After consulting with the affected intercity bus service providers about the intercity
bus needs of the State,
(2) The State's intercity bus service needs are being met adequately.
GROUP 19. JOB ACCESS AND REVERSE COMMUTE (JARC)
FORMULA GRANT PROGRAM
You must select the following certifications and assurances in Group 19 if you apply on behalf of
your Applicant for Job Access and Reverse Commute (JARC) Formula Grant funding, 49 U.S.C.
5316. Your Applicant is ultimately responsible for compliance with its certifications and
assurances even though a subrecipient, lessee, third party contractor, or other participant may
participate in that project, unless FTA determines otherwise in writing. Consequently, we
APPENDIX A
strongly encourage your Applicant to take the appropriate measures including, but not limited
to, obtaining sufficient documentation from each subrecipient, to assure the validity of all
certifications and assurances it has made.
The following certifications and assurances apply to each Applicant for and subrecipient of
funding under the Job Access and Reverse Commute (JARC) Formula Grant funding authorized
under 49 U.S.C. 5316.
1. The Applicant certifies that:
a. As required by 49 U.S.C. 5316(d)(4), it will make awards of JARC funding on a
competitive basis following:
(1) An areawide solicitation in cooperation with the appropriate metropolitan planning
organization for applications for funding under 5316(c)(1)(A) (see 49 U.S.C. 5316(d)(1)), and
(2) A statewide solicitation for applications for JARC funding under 49 U.S.C.
5316(c)(1)(B) or 49 U.S.C. 5316(c)(1)(C), (see 49 U.S.C. 5316(d)(2)) and
b. As required by 49 U.S.C. 5316(0(2), any allocations to subrecipients of funding
authorized under 49 U.S.C. 5316 will be distributed on a fair and equitable basis,
c. As required by 49 U.S.C. 5316(g)(3):
(1) The projects it has selected or will select for funding under that program were
derived from a public transit -human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed, coordinated plan was produced through a process that
included:
(a) Representatives of public, private, and nonprofit transportation providers,
(b) Representatives of public, private, and nonprofit human services providers, and
(c) Participation by the public, and
d. As required by 49 U.S.C. 5316(g)(2), before it transfers funds to a project funded under
49 U.S.C. 5336, that project has been or will have been coordinated with private nonprofit
providers of services, and
e. As required by 49 U.S.C. 5316(c)(3), before using funds apportioned for projects serving
an area other than that for which funding was apportioned under 49 U.S.C. 5316(c)(1)(B) or (C):
(1) The State's chief executive officer, or his or her designee, will have certified that all
the JARC program objectives of 49 U.S.C. 5316 are being met in the area from which the
funding would be derived,
(2) If the State has a statewide program for meeting the JARC program objectives of
49 U.S.C. 5316, the funds can be used for projects anywhere in the State.
2: Under 49 U.S.C. 5316(0(1), the requirements of 49 U.S.C. 5307 apply to the JARC Program,
authorized under 49 U.S.C. 5316. Therefore, as specified under 49 U.S.C. 5307(d)(1), the
Applicant certifies that
a. As required by 49 U.S.C. 5307(d)(1)(A), it and each subrecipient has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
APPENDIX A
b. As required by 49 U.S.C. 5307(d)(1)(B), it and each subrecipient has or will have
satisfactory continuing control over the use of project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it and each subrecipient will maintain the
project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(D), it and each subrecipient will ensure that the
following individuals will be charged not more than fifty (50) percent of the peak hour fare for
transportation during non -peak hours using or involving project facilities or equipment supported
under 49 U.S.C. 5316:
(1) Elderly individuals,
(2) Individuals with disabilities, or
(3) Individuals presenting a Medicare card issued to himself or herself pursuant to title II
or title XVIII of the Social Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.),
e. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under the
JARC Program, 49 U.S.C. 5316, it will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws,
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
f. As required by 49 U.S.C. 5307(d)(1)(F), it and each subrecipient has complied with or
will comply with 49 U.S.C. 5307(c) because it:
(1) Has informed or will inform the public of the amount of its JARC Program funds
available under 49 U.S.C. 5316, and the projects it proposes to undertake,
(2) Has developed or will develop, in consultation with interested parties including
private transportation providers, the projects proposed to be funded,
(3) Has published or will publish a list of its projects in a way that affected citizens,
private transportation providers, and local elected officials will have an opportunity to examine
and submit comments on the proposed projects and its performance,
(4) Has provided or will provide an opportunity for a public hearing to obtain the views
of citizens on the proposed projects,
(5) Has assured or will assure that the proposed projects provide for coordination of
transportation services assisted under 49 U.S.C. 5336 with federally assisted transportation
services supported by a Federal government source other than U.S. DOT,
(6) Has considered or will consider the comments and views received, especially those
of private transportation providers, in preparing its final list of projects, and
(7) Has made or will make the final list of projects available to the public,
g. As required by 49 U.S.C. 5307(d)(1)(G), it and each subrecipient:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
(3) Will provide the local share funds when needed,
h. As required by 49 U.S.C. 5307(d)(1)(H), it and each subrecipient will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation - related fuel consumption and reliance on foreign oil,
APPENDIX A
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with
disabilities, and
(b) Provide public transportation for elderly individuals and individuals with
disabilities, and
(3) The requirements of 49 U.S.C. 5303 — 5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation, and
i. As required by 49 U.S.C. 5307(d)(1)(I), it and each subrecipient has a locally developed
process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 20. NEW FREEDOM PROGRAM
You must select the following certifications and assurances in Group 20 if you apply on behalf of
your Applicant for New Freedom Program funding, 49 U.S.C. 5317. Your Applicant is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient, lessee, third party contractor, or other participant may participate in that project,
unless FTA determines otherwise in writing. Consequently, we strongly encourage your
Applicant to take the appropriate measures including, but not limited to, obtaining sufficient
documentation from each subrecipient, to assure the validity of all certifications and assurances
it has made.
1. The Applicant certifies that:
a. As required by 49 U.S.C. 5317(d)(4), it will make awards of New Freedom funding on a
competitive basis following:
(1) An areawide solicitation in cooperation with the appropriate metropolitan planning
organization for applications for funding under 5317(c)(1)(A) (see 49 U.S.C. 5317(d)(1)), and
(2) A statewide solicitation for applications for JARC funding under 49 U.S.C.
5317(c)(1)(B) or 49 U.S.C. 5317(c)(1)(C), (see 49 U.S.C. 5317(d)(2)),
b. As required by 49 U.S.C. 5317(e)(2), any allocations to subrecipients of funding
authorized under 49 U.S.C. 5317 will be distributed on a fair and equitable basis,
c. As required by 49 U.S.C. 5317(0(3):
(1) The projects it has selected or will select for funding under that program were
derived from a public transit -human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed, coordinated plan was produced through a process that
included:
(a) Representatives of public, private, and nonprofit transportation providers,
(b) Representatives of human services public, private, and nonprofit providers, and
(c) Participation by the public, and
d. As required by 49 U.S.C. 5316(0(2), before it transfers funds to a project funded under
49 U.S.C. 5336, that project has been or will have been coordinated with private nonprofit
providers of services.
APPENDIX A
2. As permitted by 49 U.S.C. 5317(e)(1), the Federal Transit Administrator has selected certain
requirements of 49 U.S.C. 5310 and 49 U.S.C. 5307 to be appropriate for the New Freedom
Program, of which some require certifications. Therefore, as specified under 49 U.S.C.
5307(d)(1), the Applicant certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it and each subrecipient has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it and each subrecipient has or will have
satisfactory continuing control over the use of project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it and each subrecipient will maintain the
project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under the New
Freedom Program authorized by 49 U.S.C. 5317, it and each subrecipient will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
e. As required by 49 U.S.C. 5307(d)(1)(G), it and each subrecipient:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
(3) Will provide the local share funds when needed, and
f. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation - related fuel consumption and reliance on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with
disabilities, and
(b) Provide public transportation for elderly individuals and individuals with
disabilities, and
(3) The requirements of 49 U.S.C. 5303 — 5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation.
GROUP 21. PAUL. S. SARBANES TRANSIT IN PARKS PROGRAM
You must select the following certifications and assurances in Group 21 if you apply on behalf of
your Applicant for Paul S. Sarbanes Transit in Parks Program (Parks Program) funding,
49 U.S.C. 5320.
APPENDIX A
The following certifications apply to each Applicant for funding under the Paul S. Sarbanes
Transit in Parks Program (Parks Program) authorized under 49 U.S.C. 5320:
1. As required by 49 U.S.C. 5320(e)(D), the Applicant assures that it will consult with the
appropriate Federal land management agency during the planning process.
2. As permitted by 49 U.S.C. 5320(i), the Federal Transit Administrator has selected certain
requirements of 49 U.S.C. 5307 to be appropriate for the Parks Program, of which some require
certifications. Therefore as specified under 49 U.S.C. 5307(d)(1), the Applicant certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have satisfactory continuing
control over the use of project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the project equipment and
facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under the
Parks Program, 49 U.S.C. 5320, it will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
e. As required by 49 U.S.C. 5307(d)(1)(F) and 49 U.S.C. 5320(e)(2)(C), it has complied
with or will comply with the requirements of 49 U.S.C. 5307(c). Specifically, it:
(1) Has made available, or will make available, to the public information on the amounts
available for the Parks Program, 49 U.S.C. 5320, and the projects it proposes to undertake,
(2) Has developed or will develop, in consultation with interested parties including
private transportation providers, projects to be financed,
(3) Has published or will publish a list of proposed projects in a way that affected
citizens, private transportation providers, and local elected officials have the opportunity to
examine the proposed projects and submit comments on the proposed projects and the
performance of the Applicant,
(4) Has provided or will provide an opportunity for a public hearing to obtain the views
of citizens on the proposed projects,
(5) Has considered or will consider the comments and views received, especially those
of private transportation providers, in preparing its final list of projects, and
(6) Has made or will make the final list of projects available to the public,
f. As required by 49 U.S.C. 5307(d)(1)(G), it:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
(3) Will provide the local share funds when needed,
g. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
APPENDIX A
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation - related fuel consumption and reliance on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with
disabilities, and
(b) Provide public transportation for elderly individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303 — 5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation, and
h. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally developed process to solicit and
consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 22. TRIBAL TRANSIT PROGRAM
You must select the following certifications and assurances in Group 22 if you apply on behalf of
your Applicant for Tribal Transit Program funds, 49 U.S.C. 5311 (c)(1).
As permitted by 49 U.S.C. 5311(c)(1) the Federal Transit Administrator has established terms
and conditions for direct grants funded under FTA's Tribal Transit Program authorized under
49 U.S.C. 5311(c)(1) for Indian tribal governments. To ensure compliance with those
requirements, the Indian tribal government serving as the Applicant certifies and assures that:
1. It has or will have the necessary legal, financial, and managerial capability to:
a. Apply, receive and disburse 49 U.S.C. 5311(c)(1) funding, and
b. Carry out each project, including the:
(1) Safety aspects of its proposed projects, and
(2) Security aspects of its proposed projects,
2. It has or will have satisfactory continuing control over the use of project equipment and
facilities,
3. The project equipment and facilities will be adequately maintained,
4. Its project will achieve maximum feasible coordination with transportation service assisted
by other Federal sources,
5. It will:
a. Have a procurement system that complies with U.S. DOT regulations, "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments," 49 C.F.R. part 18, specifically 49 CFR 18.36, or
b. Inform FTA promptly that its procurement system does not comply with those U.S. DOT
regulations, and
6. It will comply with the certifications, assurances, and agreements in:
a. Group 08 (Bus Testing),
b. Group 09 (Charter Bus Agreement),
c. Group 10 (School Transportation Agreement),
d. Group 11 (Demand Responsive Service),
e. Group 12 (Alcohol Misuse and Prohibited Drug Use), and
APPENDIX A
f. Group 14 (National Intelligent Transportation Systems Architecture and Standards).
GROUP 23. TIFIA PROJECTS
You must select the following certifications and assurances in Group 23 if you apply on behalf of
your Applicant for Transportation Infrastructure Finance and Innovation Act ( TIFIA) credit
assistance authorized under 23 U.S.C. chapter 6.
The following certifications apply to each Applicant for funding under the Transportation
Infrastructure Finance and Innovation Act ( TIFIA) Program authorized under 23 U.S.C.
chapter 6:
1. Federal transit law, specifically 49 U.S.C. 5323(o) requires an Applicant for TIFIA credit
assistance funded under 23 U.S.C. chapter 6 and its project to comply with 49 U.S.C. 5307. As
required by 49 U.S.C. 5307(d)(1), the Applicant certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have satisfactory continuing
control over the use of project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the project equipment and
facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the following individuals will
be charged not more than fifty (50) percent of the peak hour fare for transportation during non -
peak hours using or involving project facilities or equipment supported under 23 U.S.C.
chapter 6:
(1) Elderly individuals,
(2) Individuals with disabilities, or
(3) Individuals presenting a Medicare card issued to himself or herself pursuant to title II
or title XVIII of the Social Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.),
e. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement supported with
TIFIA funding under 23 U.S.C. chapter 6, it will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
f. As required by 49 U.S.C. 5307(d)(1)(F), it has complied or will comply with 49 U.S.C.
5307(c) because it:
(1) Has informed or will inform the public of the amounts of its TIFIA credit assistance
available under 23 U.S.C. chapter 6, and the projects it proposes to undertake,
(2) Has developed or will develop, in consultation with interested parties including
private transportation providers, the projects it proposes to fund,
(3) Has published or will publish a list of its projects in a way that affected citizens,
APPENDIX A
private transportation providers, and local elected officials will have an opportunity to examine
and submit comments on the proposed projects and its performance,
(4) Has provided or will provide an opportunity for a public hearing to obtain the views
of citizens on the proposed projects,
(5) Has assured or will assure that the proposed projects provide for coordination of
transportation services assisted under 49 U.S.C. 5336 with federally assisted transportation
services supported by a Federal government source other than U.S. DOT,
(6) Has considered or will consider the comments and views received, especially those
of private transportation providers, in preparing its final list of projects, and
(7) Has made or will make the final list of projects available to the public,
g. As required by 49 U.S.C. 5307(d)(1)(G), it:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
(3) Will provide the local share funds when needed,
h. As required by 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation - related fuel consumption and reliance on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with
disabilities, and
(b) Provide public transportation for elderly individuals and individuals with
disabilities, and
(3) The requirements of 49 U.S.C. 5303 — 5306
(a) Metropolitan and State Planning, and
(b) Private enterprise participation,
i. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally developed process to solicit and
consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation,
j. As required by 49 U.S.C. 5307(d)(1)(J), if it serves an urbanized area with a population
of at least 200,000:
(1) Each fiscal year it will spend at least one (1) percent of its funding attributed to
49 U.S.C. 5307 for public transportation security projects, or
(2) That fiscal year, it will certify that such expenses for transportation security projects
are not necessary,
(3) Public transportation security projects include:
(a) Increased lighting in or adjacent to a public transportation system (including bus
stops, subway stations, parking lots, and garages),
(b) Increased camera surveillance of an area in or adjacent to that system,
(c) Emergency telephone line or lines to contact law enforcement or security
personnel in an area in or adjacent to that system, and
(d) Any other project intended to increase the security and safety of an existing or
planned public transportation, and
APPENDIX A
k. As required by required by 49 U.S.C. 5307(d)(1)(K), if it serves an urbanized area with a
population of at least 200,000:
(1) Each fiscal year, it or all the Recipients of 49 U.S.C. 5307 funding in its urbanized
area will spend at least one (1) percent of that funding for transit enhancements, as defined at
49 U.S.C. 5302(a),
(2) It will include in its quarterly report for the fourth quarter of the preceding Federal
fiscal year a list of the projects during that Federal fiscal year using those 49 U.S.C. 5307 funds,
and
(3) The report of its transit enhancement projects is or will be incorporated by reference
and made part of its certifications and assurances.
2. Federal transit law at 49 U.S.C. 5323(o) requires an Applicant for TIFIA credit assistance
funded under 23 U.S.C. chapter 6 and its project to comply with 49 U.S.C. 5309. As required by
49 U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and 5309(i)(2)(C), the Applicant certifies that it
will not seek reimbursement for interest and other financing costs incurred in connection with the
Project unless:
a. It is eligible to receive Federal funding for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs, to the extent FTA may require.
GROUP 24. DEPOSITS OF FEDERAL FINANCIAL FUNDING
TO STATE INFRASTRUCTURE BANKS
We request that you select the following certifications and assurances in Group 24 if you apply
for 49 U.S.C. chapter 53 funding on behalf of a State Applicant that intends to deposit the
funding in a State Infrastructure Bank (SIB). Unless we determine otherwise in writing, the State
Applicant itself is ultimately responsible for compliance with its certifications and assurances
even though the SIB and a subrecipient may participate in a project financed with our funds
deposited in the SIB. Consequently, we encourage the Applicant to take appropriate measures to
obtaining sufficient documents from the SIB and each subrecipient, to assure the validity of all
certifications and assurances the State Applicant has made.
The following certifications apply to each Applicant for funding under the State Infrastructure
Bank Program authorized under 23 U.S.C. 610. The State organization, serving as the Applicant
for funding for its State Infrastructure Bank (SIB) Program, assures the agreement of both its SIB
and each recipient of SIB funding (subrecipient) that each public transportation project financed
with SIB funds will be administered in accordance with:
1. The applicable Federal laws establishing the various SIB programs since 1995:
a. Section 1602 of SAFETEA -LU, now codified in 23 U.S.C. 610, or
b Section 1511 of TEA -21, 23 U.S.C. 181 note, or
c. Section 350 of the National Highway System Designation Act of 1995, as amended,
23 U.S.C. 181,
2. The Cooperative Agreement establishing the State's SIB program between:
a. The State Applicant and Federal parties (FHWA, FRA, and FTA), or
b. The State Applicant and Federal parties (FHWA and FTA),
APPENDIX A
3. The Grant Agreement with the State Applicant that provides FTA funding for the SIB, except
that any provision of the FTA Master Agreement incorporated by reference into that Grant
Agreement will not apply if it conflicts with any provision of:
a. Section 1602 of SAFETEA -LU, now codified in 23 U.S.C. 610,
b. Section 1511 of TEA -21, 23 U.S.C. 181 note, or section 350 of the National Highway
System Designation Act of 1995, as amended, 23 U.S.C. 181 note, or
c. Federal guidance pertaining to the SIB Program,
d. The Cooperative Agreement establishing the State's SIB Program, or
e. The FTA Grant Agreement,
4. As required by 49 U.S.C. 5323(o), Federal transit laws, specifically 49 U.S.C. 5307 and 49
U.S.C. 5309, apply to any project under 49 U.S.C. chapter 53 that receives SIB support or
financing under 23 U.S.C. 610 (or any support from 23 U.S.C. 601 — 608.). Therefore:
a. To comply with 49 U.S.C. 5307, specifically 49 U.S.C. 5307(d)(1), the Applicant
certifies that:
(1) As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
(a) Legal capacity to carry out its proposed projects,
(b) Financial capacity to carry out its proposed projects,
(c) Technical capacity to carry out its proposed projects,
(d) Safety aspects of its proposed projects, and
(e) Security aspects of its proposed projects,
(2) As required by 49 U.S.C. 5307(d)(1)(B), it has or will have satisfactory continuing
control over the use of project equipment and facilities,
(3) As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the project equipment and
facilities adequately,
(4) As required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the following individuals
will be charged not more than fifty (50) percent of the peak hour fare for transportation during
non -peak hours using or involving project facilities or equipment supported under 23 U.S.C.
chapter 6:
(a) Elderly individuals,
(b) Individuals with disabilities, or
(c) Individuals presenting a Medicare card issued to himself or herself pursuant to
title II or title XVIII of the Social Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.),
(5) As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement supported
by the SIB program, 23 U.S.C. 610, it will:
(a) Use competitive procurement (as defined or approved by FTA),
(b) Not use exclusionary or discriminatory specifications in its procurements,
(c) Comply with applicable Buy America laws, and
(d) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(e) Comply with the third party procurement requirements of 49 U.S.C. 5325,
(6) As required by 49 U.S.C. 5307(d)(1)(F), it has complied with or will comply
49 U.S.C. 5307(c) because it:
(a) Has informed or will inform the public of the amounts of its SIB funding under
23 U.S.C. 610, and the projects it proposes to undertake,
(b) Has developed or will develop, in consultation with interested parties including
private transportation providers, the projects proposed to be funded,
(c) Has published or will publish a list of its projects in a way that affected citizens,
APPENDIX A
private transportation providers, and local elected officials will have an opportunity to examine
and submit comments on the proposed projects and its performance,
(d) Has provided or will provide an opportunity for a public hearing to obtain the
views of citizens on the proposed projects,
(e) Has assured or will assure that the proposed projects provide for coordination of
transportation services assisted under 49 U.S.C. 5336 with federally assisted transportation
services supported by a Federal government source other than U.S. DOT,
(0 Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final list of projects, and
(g) Has made or will make the final list of projects available to the public,
(7) As required by 49 U.S.C. 5307(d)(1)(G), it:
(a) Has or will have the amount of funds required for the local share,
(b) Will provide the local share funds from approved non - Federal sources except as
permitted by Federal law, and
(c) Will provide the local share funds when needed,
(8) As required by 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(a) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
1 Maximize the safe, secure, and efficient mobility of people,
2 Minimize environmental impacts, and
3 Minimize transportation - related fuel consumption and reliance on foreign oil,
(b) The requirements of 49 U.S.C. 5301(d) for special efforts to:
1 Design public transportation for elderly individuals and individuals with
disabilities, and
2 Provide public transportation for elderly individuals and individuals with
disabilities, and
(c) The requirements of 49 U.S.C. 5303 — 5306 for:
1 Metropolitan and State Planning, and
2 Private enterprise participation,
(9) As required by 49 U.S.C. 5307(d)(1)(I), it has a locally developed process to solicit
and consider public comment before:
(a) Raising a fare, or
(b) Implementing a major reduction of public transportation,
(10) As required by 49 U.S.C. 5307(d)(1)(J), if it will be using 49 U.S.C. 5307 funds and
it serves an urbanized area with a population of at least 200,000:
(a) Each fiscal year, it will spend at least one (1) percent of its 49 U.S.C. 5307
funding for public transportation security projects, or
(b) That fiscal year, it will certify that such expenses for transportation security
projects are not necessary,
(c) Public transportation security projects include:
1 Increased lighting in or adjacent to a public transportation system (including
bus stops, subway stations, parking lots, and garages),
2 Increased camera surveillance of an area in or adjacent to that system,
3 Emergency telephone line or lines to contact law enforcement or security
personnel in an area in or adjacent to that system, and
4 Any other project intended to increase the security and safety of an existing
or planned public transportation project, and
APPENDIX A
(11)As required by 49 U.S.C. 5307(d)(1)(K), if it will be using 49 U.S.C. 5307 funds and
it serves an urbanized area with a population of at least 200,000:
(a) Each fiscal year, it or all the Recipients of 49 U.S.C. 5307 funding in its
urbanized area will spend at least one (1) percent of that funding for transit enhancements, as
defined in 49 U.S.C. 5302(a),
(b) It will include in its quarterly report for the fourth quarter of the preceding
Federal fiscal year a list of the projects during that Federal fiscal year using those 49 U.S.C. 5307
funds, and
(c) The report of its transit enhancement projects is or will be incorporated by
reference and made part of its certifications and assurances.
b. To comply with 49 U.S.C. 5309, specifically 49 U.S.C. 5309(g)(2)(B)(iii),
5309(g)(3)(B)(iii), and 5309(i)(2)(C), the Applicant certifies that it will not seek reimbursement
for interest and other financing costs incurred in connection with the Project unless:
(1) It is eligible to receive Federal funding for those expenses, and
(2) Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs, to the extent FTA may require.
3. Federal guidance that may be issued and amendments thereto, unless FTA has provided
written approval of an alternative procedure or course of action.
Selection and Signature Page(s) follow.
APPENDIX A
FEDERAL FISCAL YEAR 2012 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature page alternative to providing Certifications and Assurances in TEAM -Web)
Name of Applicant: City of Pueblo
The Applicant agrees to comply with applicable provisions of Groups 01— 24. X
OR
The Applicant agrees to comply with applicable provisions of the Groups it has selected:
Group Description
01. Assurances Required For Each Applicant.
02. Lobbying.
03. Procurement Compliance.
04. Protections for Private Providers of Public Transportation.
05. Public Hearing.
06. Acquisition of Rolling Stock for Use in Revenue Service.
07. Acquisition of Capital Assets by Lease.
08. Bus Testing.
09. Charter Service Agreement.
10. School Transportation Agreement.
11. Demand Responsive Service.
12. Alcohol Misuse and Prohibited Drug Use.
13. Interest and Other Financing Costs.
14. Intelligent Transportation Systems.
15. Urbanized Area Formula Program.
16. Clean Fuels Grant Program.
17. Elderly Individuals and Individuals with Disabilities Formula Program and Pilot Program.
18. Nonurbanized Area Formula Program for States.
19. Job Access and Reverse Commute (JARC) Program.
20. New Freedom Program.
21. Paul S. Sarbanes Transit in Parks Program.
22. Tribal Transit Program.
23. TIFIA Projects
24. Deposits of Federal Financial Funding to a State Infrastructure Banks.
APPENDIX A
FEDERAL FISCAL YEAR 2012 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants for FTA funding and all FTA Grantees with an active capital or formula project)
AFFIRMATION OF APPLICANT
Name of Applicant: City of Pueblo
Name and Relationship of Authorized Representative: Chris Kaufman, President of City Council
BY SIGNING BELOW, on behalf of the Applicant, I 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 and regulations, and follow applicable Federal directives, and comply with the certifications and
assurances as indicated on the foregoing page applicable to each application it makes to the Federal Transit
Administration (FTA) in Federal Fiscal Year 2012.
FTA intends that the certifications and assurances the Applicant selects on the other side of this document, as
representative of the certifications and assurances, should apply, as provided, to each project for which the Applicant
seeks now, or may later seek FTA funding during Federal Fiscal Year 2012.
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in the
statements submitted with this document and any other submission made t� FTA, and acknowledges that the
Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations,
"Program Fraud Civil Remedies," 49 CFR part 31 apply to any certification, assurance or submission made to FTA.
The criminal provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection
with a Federal public transportation program authorized in 49 U.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing certifications and assurances, and
any other statemen ad") e on s - half of the Applicant are true and accurate.
Si afar March 26, 2012
gn - /� /AV Date:
Name hris Kaufman President of City Council
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
For (Name of Applicant): City of Pueblo
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority
under State, local, or tribal government law, as applicable, 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 to the Applicant 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.
ek
Signature ! � Date: 3 /3//2/ 2--
Name Thomas J. Florczak
Attorney for Applicant
Each Applicant for FTA funding and each FTA Grantee with an active capital or formula project must provide an Affirmation of Applicant's
Attorney pertaining to the Applicant's legal capacity. The Applicant may enter its signature in lieu of the Attorney's signature, provided the
Applicant has on file this Affirmation, signed by the attomey and dated this Federal fiscal year.
DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348 -0046
(See reverse for public burden disclosure.)
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
B a. contract A a. bid /offer /application A I a. initial filing
b. grant b. initial award — J b. material change
c. cooperative agreement c. post -award For Material Change Only:
d. loan year quarter
e. loan guarantee date of last report
f. loan insurance
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is a Subawardee, Enter Name
a Prime ❑ Subawardee and Address of Prime:
Tier , if known: City of Pueblo
Pueblo Transit
350 S. Grand Avenue
Pueblo, CO 81003
Congressional District, if known: 4 c Congressional District, if known:
6. Federal Department/Agency: 7. Federal Program Name /Description:
Dept. of Transportation/Federal Transit Administration
CFDA Number, if applicable:
8. Federal Action Number, if known: 9. Award Amount, if known:
10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if
(if individual, last name, first name, MI): different from No. 10a)
Kogovsek & Associates (last name, first name, MI):
215 W 2nd Street Ray Kogovsek
Pueblo, CO 81003
Information re through this form is authorized by tide 31 US.C. section • 414k
11. S _ s., _ _
135 2. This dis of lobb a ctivities is a materi representation a fad
upon which reliance was placed by the tier above when this transaction was made print Name: Brenda Broyles r
or entered into. This disdosure is required pursuant to 31 U.S.C. 1352. This
information will be available for public Inspection. My person who fails to file the
required disclosure shad be subject to a civil penalty of not less than 510.000 and Title: Director of Transit
not more than 8100,000 for eadr such failure .
Telephone No.: 719 - 553 -2725 Date: 3/26/12
:Ac;; 0 Authorized for Local Reproduction
. 0 . Standard Form LLL Rev. 7 -97)
DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348 -0046
(See reverse for public burden disclosure.)
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
B a. contract A a. bid /offer /application A a. initial filing
b. grant b. initial award b. material change
c. cooperative agreement c. post -award For Material Change Only:
d. loan year quarter
e. loan guarantee date of last report
f. loan insurance
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is a Subawardee, Enter Name
0 Prime ❑ Subawardee and Address of Prime:
Tier , if known : City of Pueblo
Pueblo Transit
350 S. Grand Avenue
Pueblo, CO 81003
Congressional District, if known : 4 c Congressional District, if known :
6. Federal Department/Agency: 7. Federal Program Name /Description:
Dept. of Transportation/Federal Transit Administration
CFDA Number, if applicable:
8. Federal Action Number, if known : 9. Award Amount, if known :
$
10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if
(if individual, last name, first name, MI): different from No. 10a)
Patton Boggs, LLP (last name, first name, MI ):
2550 M St. NW
Miano, Anne
Washington, DC 20037 -1350
Information requested through this form is authorized by title 31 U.S.C. section e
11 Signa
• �� /,...„. Li
1352. This disclosure of lobbying activities Is a material representation of fact ,
upon whidi reliance was placed by the tier above when this transaction was made Brenda Broyles
or entered into. Thts disclosure is required pursuant to 31 U.S.C. 1352. This Print Name:
information will be available for public inspection. Any person who fails to file the I
required disclosure shall be subJed to a civil penalty of not less than $10,000 and Title: Director o f Transit
not more than 5100,000 for each such failure .
Telephone No.: 719 - 553 -2725 Date: 3/26/12
eVIV;161 ,, r., " di Authorized for Local Reproduction
* a , Standard Form LLL (Rev. 7 -97)