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FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
MAP-21 cross-cutting requirements that apply.
(Separate Certifications and Assurances have been established for an Indian tribe that is
an Applicant for a Tribal Transit Project financed with funding made available for
49 U.S.C. 5311(c).)
Before FTA may provide funding for your Applicant’s Project under any of the Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 17, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group 17 that does not apply will
not be enforced.
17.A. Formula Grants for Rural Areas Program.
If your Applicant seeks FTA funding for its Project under the Formula Grants for Rural
Areas Program, 49 U.S.C. 5311, as amended by MAP-21, the Certifications in
Group 17.A apply to your Applicant, except as FTA determines otherwise in writing.
The following Certifications apply to each State or State organization serving as your
Applicant for funding appropriated or made available for the Rural Areas Formula
Project authorized by 49 U.S.C. 5311(b). On its behalf, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its State program has provided for a fair distribution of Federal funding appropriated
or made available for 49 U.S.C. 5311(b), within the State, including Indian
reservations,
5. Its program provides or will provide the maximum feasible coordination of public
transportation service funded by 49 U.S.C. 5311(b), with transportation service
funded by other Federal sources,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
6. Its Projects in its Formula Grants for Rural Areas Program are included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement Program,
7. It:
a. Has or will have the amount of funds required for the local share, as required by
49 U.S.C. 5311(g),
b. Will provide the local share funds from sources approved by FTA, and
c. Will provide the local share funds when needed,
8. It may transfer a facility or equipment acquired using a grant under 49 U.S.C. 5311(b)
to any other Recipient eligible to receive assistance under 49 U.S.C. chapter 53, if:
a. The Recipient in possession of the facility or equipment consents to the transfer,
and
b. The facility or equipment will continue to be used as required under 49 U.S.C.
5311, and
9. 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 facilities,
(3) Joint-use facilities,
(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 from the
Governor of the State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State’s intercity bus service needs are being met adequately.
17.B. Formula Grants for Other Than Urbanized Areas Program.
If your Applicant seeks FTA funding for its Project under the Formula Grants for Other
Than Urbanized Areas Program, former 49 U.S.C. 5311 in effect in FY 2012 or a
previous fiscal year, the Certifications in Group 17.B apply to your Applicant, except as
FTA determines otherwise in writing.
The following Certifications apply to each State or State organization serving as your
Applicant for funding appropriated or made available for the Formula Grants for Other
Than Urbanized Areas Project authorized by former 49 U.S.C. 5311(b)(1) in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply. On its behalf, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its State program required under former 49 U.S.C. 5311(b)(2) has provided for a fair
distribution of Federal funding appropriated or made available for former 49 U.S.C.
5311(b), within the State, including Indian reservations,
5. Its State program required under former 49 U.S.C. 5311(b)(2) provides or will
provide the maximum feasible coordination of public transportation service funded by
former 49 U.S.C. 5311(b), with transportation service funded by other Federal
sources,
6. Its Projects in its Formula Grants for Other than Urbanized Areas Program are
included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement Program,
7. It:
a. Has or will have the amount of funds required for the local share, as required by
former 49 U.S.C. 5311(g),
b. Will provide the local share funds sources approved by FTA, and
c. Will provide the local share funds when needed,
8. It may transfer a facility or equipment acquired using a grant under former 49 U.S.C.
5311(b) in effect in FY 2012 or a previous fiscal year to any other Recipient eligible
to receive assistance under 49 U.S.C. chapter 53, if:
a. The Recipient in possession of the facility or equipment consents to the transfer, and
b. The facility or equipment will continue to be used as required under former
49 U.S.C. 5311, and
9. Each fiscal year:
a. It will spend at least fifteen (15) percent of its former 49 U.S.C. 5311 funding
available for 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 from the Chief
Executive Officer of the State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State’s intercity bus service needs are being met adequately.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
17.C. Appalachian Development Public Transportation Assistance Program.
If your Applicant seeks FTA funding for its Project under the Appalachian Development
Public Transportation Assistance Program, 49 U.S.C. 5311(c)(2), the Certification in
Group 17.C applies to your Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify and assure that, in addition to other
Certifications and Assurances it must provide, if it is unable to use its funding made
available or appropriated for public transportation operating assistance, in accordance
with 49 U.S.C. 5311(c)(2)(D), it may use the funding for a highway Project only after:
1. It provides notice and an opportunity for comment and appeal to affected public
transportation providers,
2. It approves for such use in writing, and
3. In approving the use, it determines that local transit needs are being addressed.
17.D. Over-the-Road Bus Accessibility Program.
If your Applicant seeks FTA funding for its Project under the Over-the-Road Bus
Accessibility Program, section 3038 of TEA-21, as amended by section 3039 of
SAFETEA-LU, 49 U.S.C. 5310 note, the Assurances in Group 17.D apply to your
Applicant, except as FTA determines otherwise in writing.
Your Applicant assures that it will comply with all applicable Federal statutes and
regulations, and follow applicable Federal guidance in carrying out any Over-the-Road
Bus Accessibility Project supported by the FTA grant. It acknowledges that it is under a
continuing obligation to comply with the terms and conditions of the grant agreement
issued for its Project with FTA. It understands that Federal laws, regulations, policies,
and administrative practices might be modified from time to time and affect the
implementation of the Project.
It assures that the Federal requirements for the Over-the-Road Bus Accessibility Program
during FY 2012 will apply to the Project, except as FTA determines otherwise in writing.
Certifications and Assurances for funding to be awarded under this program in FY 2014
are included in these FTA Certifications and Assurances for FY 2014. Each Applicant
must submit Group 01 (“Required Certifications and Assurances for Each Applicant”).
Each Applicant seeking more than $100,000 in Federal funding must provide both Group
01, and Group 02, (“Lobbying”).
GROUP 18. TRIBAL TRANSIT PROGRAMS.
The Certifications in Group 18 are required for funding under:
• The Public Transportation on Indian Reservations Formula Program, 49 U.S.C.
5311(c)(1), as amended by MAP-21, and
• The Public Transportation on Indian Reservations Discretionary Program,
49 U.S.C. 5311(c)(1).
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Before FTA may provide funding for your Applicant’s Project under either Program
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 18, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the
