Section 4: Grantee Requirements

Recipients under any FTA funding program must meet specific requirements outlined in this section. Information on these requirements is due either annually or on a periodic basis.

Certifications and Assurances

Each Federal Fiscal Year, FTA publishes in the Federal Register the Annual Certifications and Assurances (C&As). The C&As contain various terms and conditions that grant recipients must comply with. FTA requires all its direct grantees to annually sign (PIN) the C&As in FTA's Transportation Electronic Award and Management (TEAM) system before requesting a grant under any FTA funding program.

In order to comply with the terms and conditions of the C&As the State agency as the applicant must obtain signed C&As from each subrecipient. The C&As signed by the subrecipients are maintained on file with the State agency and available to FTA upon request. If you have any questions regarding the C&As please do not hesitate to contact FTA Regional Counsel for assistance.

Drug and Alcohol Compliance (Exempt if receive 5310 funds ONLY)

Section 3037, 5309 and 5311 grant recipients are required to comply with FTA's Drug and Alcohol regulations that require drug and alcohol testing for employees who perform safety-sensitive functions. Covered employees include bus and van operators, dispatchers and those maintaining revenue service vehicles and equipment. These regulations do not apply to an employer in areas under 200,000 in population who contract out service; or to contractors who provide service on ad hoc or one-time basis.

Rules do not apply to taxicab drivers when patrons (using publicly subsidized vouchers) or transportation providers can choose from a variety of taxicab operators.

These regulations also apply to volunteers if they are required to hold Commercial Drivers Licenses (CDL) to operate the vehicles, or if they perform a safety-sensitive function and receive payment in excess of actual expenses incurred while engaged in the volunteer activity.

49 CFR Part 655 and DOT-wide regulations, 49 CFR Part 40

The rules require that direct recipients and subrecipients annually prepare and maintain a summary of the results of their testing programs during the previous calendar year. When requested by FTA, each direct recipient and subrecipient shall submit to FTA, by March 15, a report covering the previous calendar year summarizing the results of its anti-drug and alcohol misuse programs. Reports containing positive test results shall be submitted on Management Information Systems (MIS) forms, and reports containing negative test results shall be submitted on the "EZ" short form

http://transit-safety.volpe.dot.gov/data/damis.asp

Planning Requirements

All FTA funded projects must be included in the current year of the Federally approved

State Transportation Improvement Program (STIP). The STIP is a programming document that is developed through the local and statewide planning process and lists projects slated for funding. No project may receive Federal funding unless it is included in a current Federally approved STIP.

• Section 5311 (Non-urbanized) - In the STIP, the State may program 5311 funding as one aggregate project, list projects by subrecipients, or list groups of projects, such as, vehicle acquisitions, operating assistance, intercity bus projects, State administration and training and technical assistance (RTAP).

• Section 5310 (Elderly and Persons with Disabilities) - In the STIP, the State may program 5310 funding as one aggregate project or list individual projects.

• Section 5309 (Capital program) and 3037 (Job Access and Reverse Commute Program) - These are discretionary programs that are usually earmarked by Congress. Therefore, the funds are not available until appropriated by Congress. If an earmark is anticipated, it can be so indicated in the STIP with the following footnote. 'These funds represent an anticipated earmark. At such time as funds are appropriated for this project, the STIP will be adjusted to indicate actual amount and availability'. The State must notify FTA of this adjustment to the STIP before a grant application can be submitted.

Civil Rights Requirements

Title VI of the Civil Rights Act of 1964 requires that direct grant recipients and subrecipients provide all services and benefits without regard to race, color or national origin. All direct grantees must submit the general reporting requirements as described in FTA Circular 4702.1 on a periodic basis. Grantees located in areas with a population of 200,000 or more must submit program specific requirements. FTA Circular 4702.1

Equal Employment Opportunity Program (EEO) requires direct grant recipients and subrecipients to provide equal opportunity to its workforce and job applicants without regard to race, color, creed, national origin, disability, sex or age.

A direct grant recipient must submit an EEO program if it received $1 million dollars or more in the previous Federal fiscal year, or if it expects to receive $1 million dollars in the year of its application and employs 50 or more people in transit-related positions. The EEO program consists of provisions for the designation of an EEO Officer, policy, utilization analysis, and goals and timetables, and must be submitted on a periodic basis. FTA Circular 4704.1

Disadvantaged Business Enterprise Program (DBE) requires direct grant recipients to assure that DBEs, including women-owned firms, have the maximum opportunity to compete for and participate in FTA-assisted contracts and procurements.

If the State or other direct recipient projects having $250,000 or more in prime contracts they must submit a DBE program and DBE overall goal for the year. Prime contracts include goods as well as contracts for services. Once the DBE program is approved it does not expire. Annual DBE goals must be submitted for each year that is projected to have $250,000 or more in prime contracts. The goal is an evaluation of the kind of contracting opportunities that will be available in the Federal fiscal year and an assessment of those firms that are likely to be ready, willing, and able to perform the intended work. The annual goal must be developed with a public participation process prior to publication of the goal for public comment. The notice of publication should state that the goal is available for review for 30 days, with a 45-day comment period. The submission to FTA should include supporting documentation, i.e. meeting notices, publication copies and methodology for developing the goal. The annual DBE goal must be submitted to FTA by August 1 each year.

As of March 4, 2002 all FTA direct recipients must have signed an agreement to be part of a Unified Certification Program (UCP) in their area. The UCP requires one entity to register and certify DBE firms and also to serve as a single location for DOT recipients to search for certified DBE firms.
Federal Register 49 CFR. Parts 23 & 2: Click here to search for this Federal Register: http://www.gpoaccess.gov/fr/browse.html

Americans with Disabilities Act of 1990 (ADA): The ADA is a comprehensive Civil Rights law for people with disabilities, providing protections similar to those provided on the basis of race, color, sex, national origin, age and religion. It guarantees equal opportunity for individuals with disabilities in public accommodations, employment, transportation, State and local government services, and telecommunications. Requirements for transportation services - public and private - are found in regulations issued by the U.S. Department of Transportation (49 CFR Parts 27, 37 and 38). In general, these regulations contain accessibility requirements for vehicles, facilities, and nondiscriminatory provision of service. For FTA grantees, compliance with these regulations is a condition of eligibility to receive Federal funding.
Federal Register, 49 CFR Parts 27, 37 and 38

http://www.fta.dot.gov/civilrights/civil_rights_2360.html