HomeMy WebLinkAboutItem 5i. Adopt SLO Transit's FY 2025-26 Public Transportation Agency Safety Plan and authorize execution of required Federal Transit Administration certfications and assurances Item 5i
Department: Public Works
Cost Center: 5201
For Agenda of: 6/2/2026
Placement: Consent
Estimated Time: N/A
FROM: Aaron Floyd, Public Works & Utilities Director
Prepared By: Jennifer Rice, Public Works Deputy Director of Mobility Services; Alex
Fuchs, Mobility Services Business Manager
SUBJECT: ADOPT SLO TRANSIT’S FY 2025-26 PUBLIC TRANSPORTATION
AGENCY SAFETY PLAN AND AUTHORIZE EXECUTION OF REQUIRED
FEDERAL TRANSIT ADMINISTRATION CERTIFICATIONS AND
ASSURANCES
RECOMMENDATION
1. Adopt a Draft Resolution entitled, “A Resolution of the City Council of the City of San
Luis Obispo, California, approving San Luis Obispo (SLO) Transit’s Fiscal Year 2025-
26 Public Transportation Agency Safety Plan” (Attachment A); and
2. Authorize SLO Transit’s Accountable Executive, the City Manager, to sign the FY
2025-26 Public Transportation Agency Safety Plan (Attachment B); and
3. Authorize the City Manager to execute the FY 202 5-26 Certifications and Assurances
(Attachment C).
REPORT-IN-BRIEF
Adoption of the FY 2025-26 Public Transportation Agency Safety Plan (PTASP) and
execution of the Federal Transit Administration (FTA) annual Certifications and
Assurances (C&As) are federally required annual compliance actions necessary for the
City to remain eligible for federal transit funding.
The PTASP is a federally mandated safety management document that is required to be
reviewed, updated, and adopted annually by the City Council. The FY 2025 -26 update
incorporates new federal requirements resulting from the Bipartisan Infrastructure Law,
including expanded Safety Performance Targets (such as collision rates and worker
safety metrics), enhanced safety management practices, and formal coordination with
frontline transit workers. The update also removes outdated provisions no longer required
under federal regulations. Attachment A is a draft Resolution approving the FY 2025-26
PTASP and authorizing the City Manager, as the designated Account Executive, to
execute the final version of the plan.
The FTA’s annual C&As are a required, legally binding attestation that the City will comply
with all applicable federal laws and regulations associated with transit funding. Execution
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of the Certifications and Assurances (C&As) is a prerequisite for applying for and
receiving federal grant funds. The City Attorney’s Office has reviewed the FY 2025-26
C&As and found no issues that would prevent execution.
There is no immediate fiscal impact associated with these actions. However, failure to
adopt the PTASP and execute the C&As would render the City ineligible for FTA funding,
including approximately $4.5 million in anticipated Section 5307 funds budgeted for transit
operations and capital projects.
POLICY CONTEXT
The City Council is the governing body for San Luis Obispo (SLO) Transit and has the
authority to adopt Resolutions, approve programs, establish fees, and appropriate funds
for the operation of transit services.
The FTA requires transit agencies to review, update as necessary, and have adopted
annually by their governing board a PTASP. Adoption of the annual PTASP update is
required for the City to certify compliance and remain eligible to apply for and receive
federal financial assistance through FTA grant programs.
Additionally, the FTA requires transit agencies to execute and upload annual C&As as
part of the grant application process. The C&As are a consolidation of applicable federal
laws and regulations for FTA programs that recipients must agree to comply with to be
eligible for and receive federal financial assistance. As a recipient of FTA funding, the City
must comply with these requirements.
DISCUSSION
The PTASP and annual Certifications and Assurances are presented together because
both are federally required annual actions tied to the City’s continued eligibility for Federal
Transit Administration funding. While the PTASP focuses on transit safety management
and performance monitoring, the Certifications and Assurances serve as the City’s formal
attestation that it will comply with applicable federal grant requirements.
Public Transportation Agency Safety Plan
The PTASP is a federally required plan (under 49 Code of Federal Regulations (CFR)
Part 673) that explains how a transit agency manages safety on a day-to-day basis. The
PTASP includes processes for spotting hazards, reducing risks, training employees, and
tracking safety performance. The plan also includes Safety Performance Targets which
are measurable goals that a transit agency sets to track how safely its system is operating.
The plan must be reviewed and updated annually to ensure that the Safety Performance
Targets accurately reflect prior years’ operational performance data. The plan, however,
does not report on whether the Safety Performance Targets for the prior year were met
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but rather sets new targets for the current fiscal year. Performance monitoring1 is reported
monthly through the FTA’s National Transit Database reporting system. There are no
automatic penalties or noncompliance findings for not meeting the Safety Performance
Targets. If any of the Safety Performance Targets are not met in a given year, then the
Safety Management System is assessed to identify any contributing factors and to
determine if additional mitigation measures and or corrective actions are needed.
In April 2024, the FTA published an updated PTASP Final Rule to implement provisions
of the Bipartisan Infrastructure Law and strengthen transit safety requiremen ts. The FY
2024-25 PTASP, adopted by Council in March 2025, included only updates to the annual
Safety Performance Targets while staff sought clarification from the FTA as to which plan
elements needed updating to align with the Final Rule provisions. Staff received
clarifications in summer 2025 and moved forward with incorporating the necessary
revisions into the FY 2025-26 PTASP to align the plan with the updated federal
requirements.
The Final Rule introduces several new requirements for small, urbanized area transit
agencies2, primarily focused on strengthening safety management practices, increasing
frontline worker involvement, and expanding safety performance tracking. Transit
agencies must now update their PTASP in cooperation with frontline transit worker
representatives and document that coordination. Additionally, the rule expands required
Safety Performance Targets to include new measures such as collision rates (including
pedestrian and vehicular collisions), transit worker-specific injury and fatality rates, and
assaults on transit workers. These new requirements apply to both the current operation
and maintenance services contractor as well as the new contractor, MV Transportation.
Table 1 shows the Safety Performance Targets for FY 2 025-26 including the new
measures required by the Final Rule. Some of the figures are fractional because the
targets are calculated based on a rolling three-year average of actual reported dates from
prior fiscal years. For example, a target of 0.3 for Major Events means that, on average,
there were approximately 0.3 reportable major events per year over the three -year
calculation period.
These changes include updates to the definitions section to align with current federal
regulations, inclusion of the new Safety Performance Targets, documentation of frontline
worker participation, removal of a section focused on minimizing exposure to infectious
diseases, and other miscellaneous updates. Attachment B is a final version of the FY
2025-26 PTASP presented for Council adoption.
1 As of May 2026, the City is meeting its FY 2025-26 Safety Performance Targets except for Total Injuries
due to a bus colliding with another vehicle in July 2025 in which two passengers were transported to the
hospital. The collision was investigated by Transdev and initially found that the collision was not the fault of
the bus driver.
2 The City provides service in a small, urbanized area (an urbanized area with a population of less than
200,000).
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Table 1 - FY 2025-26 Safety Performance Targets
Safety Performance Targets3
Based on the safety performance measures established under the National Public Transportation Safety Plan
Mode of
Transit
Service
Major
Events
NEW
Collisions
NEW
Pedestrian
Collisions
NEW
Vehicular
Collisions
Fatalities
NEW
Transit
Worker
Fatalities
Injuries
NEW
Transit
Worker
Injuries
NEW
Assaults
on
Transit
Workers
System
Reliability
(VRM /
failures)
Total 0.3 N/A N/A N/A 0 N/A 1 N/A 3.7 N/A
Rate per
Vehicle
Revenue
Mile (VRM)
0 0 0 0 0 0 0 0 0 3,315
Annual Certifications and Assurances
The FTA annual C&As are federally required compliance documents tied to transit funding
under 49 U.S. Code Chapter 53. As federal transit programs expanded over time,
including formula funding programs like Section 5307 , Congress and FTA established a
standardized mechanism for grant recipients to affirm compliance with a wide range of
federal laws and regulations. To streamline this process, FTA consolidated these
requirements into a single, annual set of C&As that recipients must execute and upload
through FTA’s grant management system. This approach replaced the need for agencies
to submit multiple individual compliance statements and ensures consistency across all
recipients.
The C&As serve as a formal, legally binding attestation that a transit agency will comp ly
with all applicable federal requirements tied to FTA funding and accepts responsibility for
ongoing compliance as a condition of receiving federal assistance .
Execution of the C&As is required annually and is a prerequisite for applying for and
receiving FTA grants. Attachment C is a copy of the FY 2025-26 C&As which the City
Attorney’s Office reviewed and has affirmed that it does not contain language that would
otherwise prohibit the City from executing the document or applying for FTA financial
assistance.
Previous Council or Advisory Body Action
City Council approved the initial PTASP in 2020 and subsequent updates annually. The
most recent FY 2024-25 PTASP update approval is listed below.
1. On March 18, 2025, City Council adopted Resolution No. 11550 (2025 Series)
approving SLO Transit’s FY 2024-25 Public Transportation Agency Safety Plan
and authorized the City Manager to execute the FY 2025 Certifications and
Assurances.
Public Engagement
3 ‘N/A’ means that the Federal Transit Administration does not require agencies to set or monitor said target
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The PTASP is an internal safety management document containing technical,
operational, and compliance-driven information that does not directly affect service levels,
fares, or equitable access. Similarly, the execution of the annual C&As is a federally
mandated, non-discretionary compliance attestation that does not establish or modify
local transit policy. Public comment can be provided to City Council through written
correspondence prior to the meeting or public testimony during the meeting.
CONCURRENCE
The FTA requires the designated Metropolitan Planning Organization (MPO) to review
the updated Safety Performance Targets prior to adoption of the PTASP. The designated
MPO for SLO Transit is the San Luis Obispo Council of Governments (SLOCOG).
SLOCOG staff reviewed and concurs with the FY 2025-26 Safety Performance Targets.
The FTA also requires that the Safety Performance Targets are developed in cooperation
with frontline transit worker representatives. The City’s current transit operations and
maintenance contractor, Transdev, reviewed and concurs with the FY 2025-26 Safety
Performance Targets. The City’s new transit operations and maintenance contractor, MV
Transportation, will be required to review and concur with Safety Perform ance Targets
established in future PTASP updates adopted during the new contract term.
The City Attorney’s Office reviewed and concurs with the FY 2025-26 C&As and affirmed
that it does not contain concerning language that would prohibit the City from ex ecuting
the document or applying for FTA financial assistance.
ENVIRONMENTAL REVIEW
The California Environmental Quality Act (CEQA) does not apply to the recommended
action because the action does not constitute a “Project” under CEQA Guidelines Sec.
15378.
FISCAL IMPACT
Budgeted: Yes Budget Year: On-going
Funding Identified: Yes
Fiscal Analysis:
Funding
Sources
Total Budget
Available
Current
Funding
Request
Remaining
Balance
Annual
Ongoing
Cost
General Fund $ 0 $ 0 $ 0 $ 0
Transit Fund $ 0 $ 0 $ 0 $ 0
State $ 0 $ 0 $ 0 $ 0
Federal $ 0 $ 0 $ 0 $ 0
Fees $ 0 $ 0 $ 0 $ 0
Total $ 0 $ 0 $ 0 $ 0
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Item 5i
There is no immediate fiscal impact to the recommended actions of this report; however,
failure to adopt an updated PTASP and failure to execute the annual C&As will prohibit
the City from applying for future FTA Section 5307 program grants. These grants a re one
of the primary funding sources for both operating expenses and capital expenditures of
the Transit program. In the proposed FY 2026-27 Supplemental Budget, the Transit Fund
has budgeted $4,485,677 in FTA Section 5307 program funds to cover anticipat ed
expenditures. These funds would be unavailable if the PTASP and C&As activities are
not completed and alternative funding sources would need to be identified and secured.
ALTERNATIVES
1. Council could decide not to approve the FY 2025-26 Public Transportation
Agency Safety Plan or to authorize the City Manager to sign the final version of
the plan. Should Council pursue this option, the City would be unable to apply for
Federal Transit Administration financial assistance, which is one of the Tran sit Fund’s
primary funding sources. State and local fund sources are not sufficient alone to
support budgeted operating expenses and capital projects.
2. Council could decide not to authorize the City Manager to execute the FY 2025-
26 Certifications and Assurances. Should Council pursue this option, the City would
be unable to apply for Federal Transit Administration financial assistance, which is
one of the Transit Fund’s primary funding sources. State and local fund sources are
not sufficient alone to support budgeted operating expenses and capital projects.
3. Council could decide to direct staff to make changes to either of the documents.
Should Council pursue this option, staff will make the necessary changes and return
at the next available meeting for Council’s consideration.
ATTACHMENTS
A - Draft Resolution approving SLO Transit’s FY 2025-26 Public Transportation Agency
Safety Plan
B - FY 2025-26 Public Transportation Agency Safety Plan – Final Draft
C - FY 2025-26 Certifications and Assurances
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R ______
RESOLUTION NO. _____ (2026 SERIES)
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS
OBISPO, CALIFORNIA, APPROVING SAN LUIS OBISPO (SLO)
TRANSIT’S FISCAL YEAR 2025-26 PUBLIC TRANSPORTATION
AGENCY SAFETY PLAN
WHEREAS, the City of San Luis Obispo receives federal financial assistance from
the Federal Transit Administration (FTA) under the Urbanized Area Formula Grants
(Section 5307) program; and
WHEREAS, the FTA requires transit operators to develop, implement, and
annually review and update a Public Transportation Agency Safety Plan (PTASP) in
accordance with 49 CFR Part 673 as a condition of receiving Section 5307 funds; and
WHEREAS, the City has prepared an update to the PTASP in accordance with 49
CFR Part 673, as amended by the FTA’s Final Rule published on April 11, 2024 which
implements provisions of the Bipartisan Infrastructure Law; and
WHEREAS, the San Luis Obispo Council of Governments (SLOCOG), as the
Metropolitan Planning Organization, and the City’s third-party transit operations
contractor have reviewed and concur with the updates to the annual Safety Performance
Targets contained in the PTASP.
NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis
Obispo as follows:
1. Approve San Luis Obispo (SLO) Transit’s Fiscal Year 2025-26 Public
Transportation Agency Safety Plan; and
2. Authorize San Luis Obispo (SLO) Transit’s Accountable Executive, the City
Manager for the City of San Luis Obispo, to sign the final version of the
Fiscal Year 2025-26 Public Transportation Agency Safety Plan.
SECTION 1. Environmental Review. The California Environmental Quality Act
(CEQA) does not apply to the recommended action because the action d oes not
constitute a “Project” under CEQA Guidelines Sec. 15378.
Upon motion of Council Member ___________, seconded by Council Member
___________, and on the following roll call vote:
AYES:
NOES:
ABSENT:
The foregoing resolution was adopted this 2nd day of June 2026.
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Resolution No. _____ (2026 Series) Page 2
R ______
___________________________
Mayor Erica A. Stewart
ATTEST:
______________________
Teresa Purrington
City Clerk
APPROVED AS TO FORM:
______________________
J. Christine Dietrick
City Attorney
IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the
City of San Luis Obispo, California, on ______________________.
___________________________
Teresa Purrington
City Clerk
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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City of San Luis Obispo
San Luis Obispo (SLO) Transit
990 Palm Street
San Luis Obispo, CA 93401
Public Transportation Agency Safety Plan (PTASP)
[Adopted – MMMM, DD, YYYY]
_____________________________________ ______________
Signature of Accountable Executive Date
Whitney McDonald, City Manager
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Table of Contents
Definitions .................................................................................................................................................... 3
Section 1 Transit Agency Information ..................................................................................................... 5
Subsection 1.1 Accountable Executive ................................................................................................... 5
Subsection 1.2 Chief Safety Officer ........................................................................................................ 5
Section 2 Plan Development, Approval, and Updates ......................................................................... 5
Subsection 2.1 Drafting the Plan ............................................................................................................. 6
Subsection 2.2 Signature by the Accountable Executive and Approval by the Board .................... 6
Subsection 2.3 Certification of Compliance ........................................................................................... 6
Subsection 2.4 Plan Review and Updates ............................................................................................. 6
Section 3 Safety Performance Targets (SPTs) ..................................................................................... 8
Subsection 3.1 Target Development ....................................................................................................... 8
Section 5 Safety Management Systems (SMS) .................................................................................... 9
Section 6 Safety Management Policy ................................................................................................... 10
Subsection 6.1 Safety Management Policy Statement ...................................................................... 10
Subsection 6.2 Safety Management Policy Communication ............................................................. 10
Subsection 6.3 Transit Worker Safety Reporting Program ................................................................ 11
Subsection 6.4 SMS Authorities, Accountabilities, and Responsibilities ......................................... 12
Section 7 Safety Risk Management (SRM) .......................................................................................... 15
Subsection 6.1 Hazard Identification ..................................................................................................... 15
Subsection 7.2 Safety Risk Assessment .............................................................................................. 16
Subsection 7.3 Safety Risk Mitigation ................................................................................................... 18
Section 8 Safety Assurance ................................................................................................................... 19
Subsection 8.1 Safety Performance Monitoring and Measurement ................................................. 19
Section 9 Safety Promotion .................................................................................................................... 21
Subsection 9.1 Safety Communication ................................................................................................. 21
Section 10 Documentation ...................................................................................................................... 23
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Definitions
Accountable Executive means the single, identifiable person who has ultimate responsibility for
carrying out the Public Transportation Agency Safety Plan of the Agency; responsibility for
carrying out the Agency’s Transit Asset Management Plan; and control or direction over the
human and capital resources needed to develop and maintain both the Agency’s Public
Transportation Agency Safety Plan, in accordance with 49 U.S.C. § 5329(d), and the Agency’s
Transit Asset Management Plan in accordance with 49 U.S.C. § 5326.
Assault on a transit worker means, as defined under 49 U.S.C. 5302, a circumstance in which an
individual knowingly, without lawful authority or permission, and with intent to endanger the safety
of any individual, or with a reckless disregard for the safety of human life, interferes with, disables,
or incapacitates a transit worker while the transit worker is performing the duties of the transit
worker.
Agency or Transit Agency means the City of San Luis Obispo Transit (SLO Transit).
San Luis Obispo City Council means governing body of SLO Transit.
Caltrans means the California Department of Transportation
Chief Safety Officer means an adequately trained individual who has responsibility for safety and
reports directly to the Transit Agency’s chief executive officer.
CFR means Code of Federal Regulations
FTA means the Federal Transit Administration, an operating administration within the United
States Department of Transportation.
Hazard means any real or potential condition that can cause injury, illness, or death, damage to
or loss of the facilities, equipment, rolling stock, or infrastructure of the system, or damage to the
environment.
Injury means any harm to persons as a result of an event that requires immediate medical
attention away from the scene.
Investigation means the process of determining the causal and contributing factors of a safety
event or hazard, for the purpose of preventing recurrence and mitigating safety risk.
National Public Transportation Safety Plan means the plan to improve the safety of all public
transportation systems that receive federal financial assistance under 49 U.S.C. Chapter 53.
Part 673 means 49 CFR (Code of Federal Regulations) Part 673.
Performance Measure means an expression based on a quantifiable indicator of performance or
condition that is used to establish targets and to assess progress toward meeting the established
targets.
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Performance target means a quantifiable level of performance or condition, expressed as a value
for the measure, to be achieved within a time period required by the Federal Transit Administration
(FTA).
Risk means the composite of predicted severity and likelihood of the potential effect of a hazard.
Risk mitigation means a method or methods to eliminate or reduce the effects of hazards.
Safety Assurance means processes within the Transit Agency’s Safety Management Systems
that function to ensure the implementation and effectiveness of safety risk mitigation, and to
ensure that the Transit Agency meets or exceeds its safety objectives through the collection,
analysis, and assessment of information.
Safety event means an unexpected outcome resulting in injury or death; damage to or loss of the
facilities, equipment, rolling stock, or infrastructure of a public transportation system; or damage
to the environment.
Safety Management Policy means the Transit Agency’s documented commitment to safety, which
defines the Transit Agency’s safety objectives and the accountabilities and responsibilities of its
employees in regard to safety.
Safety Management Systems (SMS) means the formal, top-down, organization-wide approach to
managing safety risk and assuring the effectiveness of a Transit Agency’s safety risk mitigation.
SMS includes systematic procedures, practices, and policies for managing risks and hazards.
Safety Performance Target (SPT) means a Performance Target related to safety management
activities.
Safety Promotion means a combination of training and communication of safety information to
support SMS as applied to the Transit Agency’s public transportation system.
Safety Risk Assessment (SRA) means the formal activity whereby the Transit Agency determines
Safety Risk Management priorities by establishing the significance or value of its safety risks.
Safety Risk Management (SRM) means a process within the Transit Agency’s Public
Transportation Agency Safety Plan for identifying hazards and analyzing, assessing, and
mitigating the safety risk of their potential consequences.
Safety risk mitigation means a method or methods to eliminate or reduce the severity and/or
likelihood of a potential consequence of a hazard.
State of Good Repair (SGR) means the condition in which a capital asset is able to operate at a
full level of performance.
Transit Asset Management Plan means the strategic and systematic practice of procuring,
operating, inspecting, maintaining, rehabilitating, and replacing transit capital assets to manage
their performance, risks, and costs over their life cycles, for the purpose of providing safe, cost-
effective, and reliable public transportation, as required by 49 U.S.C. 5326 and 49 CFR part 625.
U.S.C. means United States Code.
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Section 1 Transit Agency Information
The City of San Luis Obispo Transit (referred to in this plan as Agency, Transit Agency
or SLO Transit), a program of the City’s Public Works Department, is the local fixed-route
public transit operation within the city limits of San Luis Obispo and California Polytechnic
State University (Cal Poly). SLO Transit only serves a Small Urbanized Area (a
designated census area with a population between 50,000 and 199,999) as defined by
the Federal Transit Administration (FTA). Service operations and vehicle maintenance
are provided by a third-party contractor (Transdev U.S., Inc.). SLO Transit is a recipient
of FTA Section 5307 funds and does not provide transportation services on behalf of
another entity. Additional agency information can be found at www.slotransit.org.
Subsection 1.1 Accountable Executive
SLO Transit’s Accountable Executive is the City Manager for the City of San Luis Obispo.
The City Manager is the single, identifiable person who has ultimate responsibility for
carrying out this Agency Safety Plan and the Transit Asset Management (TAM) Plan, and
control or direction over the human and capital resources needed to develop and maintain
both this Plan and the TAM Plan.
The City Manager is accountable for ensuring that the Agency’s Safety Management
Systems (SMS) are effectively implemented throughout the Agency’s public
transportation system. The City Manager is accountable for ensuring action is taken, as
necessary, to address substandard performance in the Agency’s SMS. The City Manager
may delegate specific responsibilities, but the ultimate accountability for the Transit
Agency’s safety performance cannot be delegated and always rests with the City
Manager.
Subsection 1.2 Chief Safety Officer
As a small public transportation provider, SLO Transit’s designated Chief Safety Officer
is the contracting General Manager who has the authority and responsibility for day-to-
day implementation and operation of the Agency’s SMS. The Chief Safety Officer has a
strong working relationship with SLO Transit’s operations and asset management
functions.
Section 2 Plan Development, Approval, and Updates
Caltrans developed the contents of this SLO Transit plan to meet requirements specified
in 49 CFR Part 673 and comply with Part 673.11(d) regarding Caltrans’ responsibility to
develop an ASP for any small public transportation provider that is located in California.
This Plan is based on the four (4) principles or pillars of the Safety Management Systems
(SMS). SMS is defined as the formal, top-down, organization-wide, data-driven approach
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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to managing safety risk and assuring the effectiveness of safety mitigations. It includes
systematic policies, procedures, and practices for the management of safety risk. The
four principles or pillars of SMS are: (1) Safety Management Policy; (2) Safety Risk
Management; (3) Safety Assurance; and (4) Safety Promotion.
Subsection 2.1 Drafting the Plan
Caltrans drafted this Plan, thus meeting the requirements of 49 CFR Part 673.11(d). FTA
will oversee compliance with the requirements of Part 673 through the existing Triennial
Review processes.
Should SLO Transit no longer meet the definition of a small public transportation provider
or choose to opt-out of the Caltrans Agency Safety Plan, within one year from the date of
notifying the State of either development SLO Transit will draft and certify its own Agency
Safety Plan. If SLO Transit operates more than 100 vehicles SLO Transit must fulfill
requirements of systems operating more than 100 vehicles.
Subsection 2.2 Signature by the Accountable Executive and Approval by the Board
Pursuant to 49 CFR Part 673.11 (a)(1), this Agency Safety Plan and subsequent updates
must be signed by the Accountable Executive and approved by SLO Transit’s Board.
Documentation of Board approval is found in Appendix A.
Subsection 2.3 Certification of Compliance
Pursuant to 49 CFR Parts 673.13(a) and 6 73.13(b), Caltrans certifies that it has
established this Agency Safety Plan, meeting the requirements of 49 CFR Part 673 by
July 20, 2020 and will certify its compliance with 49 CFR Part 673.
FTA published a Notice of Enforcement Discretion on April 22, 2020, effectively extending
the PTASP compliance deadline from July 20, 2020 to December 31, 2020. Transit
operators must certify they have a safety plan in place meeting the requirements of the
rule by December 31, 2020. The plan must be updated and certified by the transit agency
annually.
After Caltrans initial certification, and on an annual basis, SLO Transit must update this
Agency Safety Plan. All Agency Safety Plan updates shall be signed by the Accountable
Executive and approved by SLO Transit’s Board.
FTA does not require this plan to be submitted to FTA. Instead, Caltrans will certify that it
has established this Safety Plan, which fulfills the requirements under Part 673. FTA
annually amends and issues the list of Certifications and Assurances. Caltrans will review
such guidance for incorporation into the safety program as necessary.
Subsection 2.4 Plan Review and Updates
SLO Transit updates this Safety Plan when information, processes or activities change
within the Agency and/or when Part 673 undergoes significant changes, or annually,
whichever comes sooner. As SLO Transit collects data through its Safety Risk
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Management and Safety Assurance processes, shared with the Agency’s third-party
contractor and the local Metropolitan Planning Organization (MPO) as described in
Section 4 below, the third-party contractor and the MPO will evaluate SLO Transit’s Safety
Performance Targets (SPTs) to determine whether they need to be changed.
This Plan will be jointly reviewed and updated annually by the Agency’s Transit
Coordinator, with the assistance of subject matter experts, and in cooperation with
frontline transit worker representatives. The Accountable Executive will approve the final
ASP update after Board approval.
Cooperation from frontline transit worker representatives and the timeline in which
feedback is received and included in the update of the ASP are as follows:
July: Review prior-year safety performance data. Meet with third-part contractor
and frontline transit worker representatives to review potential risks and hazards.
August: Update Safety Performance Targets and mitigation strategies, if needed,
based on meeting with contractor and frontline transit workers. Provide updated
ASP to contractor, frontline workers, and MPO for review and comment.
September: Finalize ASP and draft staff report and Resolution for Council action.
October: Council adoption and Accountable Executive approval of ASP update.
This Plan may need to be reviewed and updated more frequently based on the following:
We determine our approach to mitigating safety deficiencies is ineffective;
We make significant changes to service delivery;
We introduce new processes or procedures that may impact safety;
We change or re-prioritize resources available to support SMS; or
We significantly change our organizational structure.
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Version Number and Updates
Record the complete history of successive versions of this plan.
Version
Number
Section/Pages
Affected Reason for Change Date Issued
1.0 All Original Plan Developement 11/17/2020
2.0 Various Annual Plan Update 3/2023
3.0 Various Annual Plan Update 3/2024
4.0 Various Annual Plan Update 3/2025
5.0 Various Incorporate changes based on FTA Final Rule
and Annual Plan Update TBD
Section 3 Safety Performance Targets (SPTs)
Subsection 3.1 Target Development
SLO Transit includes SPTs in this Safety Plan. These targets are specific numerical
targets set by SLO Transit and based on the Safety Performance Measures established
by FTA in the National Public Transportation Safety Plan. In the most recent version, the
2024 NSP, FTA adopted the following Safety Performance Measures: Major Events,
Collisions (incl. pedestrian and vehicular), Fatalities, Injuries, Assault on a Transit
Workers, and System Reliability.
SLO Transit developed Safety Performance Targets that it will review and update
annually. The specific Safety Performance Targets are based on the Safety Performance
Measures established under the National Public Transportation Safety Plan and the
safety performance goals based on the past three (3) fiscal years of data. The Safety
Performance Targets for SLO Transit for the Fiscal Year 2025-26 are expected to stay
within one percent +/- of previous three years data pertaining to fatalities, injuries, safety
events, and system reliability.
SLO Transit established Safety Performance Targets for the period of July 1, 2025,
through June 30, 2026, based on Safety Performance Measures established under the
National Public Transportation Safety Plan. See Appendix B for Safety Performance
Targets.
Section 4 Coordination with Metropolitan, Statewide, and Non-metropolitan
Planning Processes
Updated Safety Performance Targets (SPTs) are transmitted to the Metropolitan Planning
Organization (MPO) as well as to the third-party contractor for review and concurrence.
If the MPO or the contractor, representing frontline transit workers, requests a change to
one or more of the updated SPTs, then Agency staff will review the requested change
and any supporting documentation. If any requested changes are accepted, then the
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revised SPTs will be re-transmitted to the MPO and contractor for further review and
concurrence.
The Agency will also make the SPTs available to the state to aid in the planning process.
Additionally, to the maximum extent possible, the Agency will coordinate with the state
and MPO in the selection of their respective SPTs.
Safety Performance Target Coordination
Targets Transmitted to the
Metropolitan Planning
Organization
Metropolitan Planning Organization Name Date Targets Transmitted
San Luis Obispo Council of Governments
(SLOCOG) February 2026
Targets Transmitted to the
Third-party Contractor (for
frontline transit worker
cooperation)
Third-party Contractor Name Date Targets Transmitted
Transdev February 2026
Section 5 Safety Management Systems (SMS)
SMS is a comprehensive, collaborative approach that brings management and labor
together to build on the transit industry’s existing safety foundation to control risk better,
detect and correct safety problems earlier, share and analyze safety data more
effectively, and measure safety performance more carefully. SLO Transit’s SMS focuses
on applying resources to risk and is based on ensuring that SLO Transit has the
organizational infrastructure to support decision-making at all levels regarding the
assignment of resources. Some key parts of SLO Transit’s SMS include:
Defined roles and responsibilities;
Strong executive safety leadership;
Formal safety accountabilities and communication;
Effective policies and procedures; and
Active employee involvement
Furthermore, SLO Transit’s SMS have four distinct components, which are discussed in
subsequent sections to this Safety Plan:
Safety Policy
Safety Risk Management
Safety Assurance
Safety Promotion
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Section 6 Safety Management Policy
The first component and foundational element of SLO Transit’s SMS is the Safety
Management Policy. It clearly states the organization’s safety objectives and sets forth
the policies, procedures, and organizational structures necessary to accomplish the
safety objectives. The Safety Management Policy clearly defines management and
employee responsibilities for safety throughout the organization. It also ensures that
management is actively engaged in the oversight of the system’s safety performance by
requiring regular review of the Safety Management Policy, budget and program by the
designated Accountable Executive.
Subsection 6.1 Safety Management Policy Statement
Safety is a core value at SLO Transit, and managing safety is a core business function.
SLO Transit will develop, implement, maintain, and continuously improve processes to
ensure the safety of our customers, employees, and the public. SLO Transit’s overall
safety objective is to proactively manage safety hazards and their associated safety risk,
with the intent to eliminate unacceptable safety risk in our transit operations.
SLO Transit will:
Clearly, and continuously explain to all staff that everyone working within SLO
Transit must take part and be responsible and accountable for the development
and operation of the Safety Management System (SMS).
Work continuously to minimize safety risks. Work to comply with and, wherever
possible, exceed legislative and regulatory requirements and standards for
passengers and employees.
Work to ensure that all employees are provided appropriate safety information and
training, are competent in safety matters, and assigned tasks commensurate with
duties and skills.
Reaffirm that responsibility for making our operations safer for everyone lies with
all employees – from executive management to frontline employees. Each
manager is responsible for implementing the SMS in their area of responsibility
and will be held accountable to ensure that all reasonable steps are taken to
perform activities established through the SMS.
Caltrans established initial Safety Performance Targets to help measure the overall
effectiveness of our processes and ensure we meet our safety objectives. SLO Transit
will keep employees informed about safety performance goals and objectives to ensure
continuous safety improvement.
Subsection 6.2 Safety Management Policy Communication
The Safety Management Policy is communicated throughout the Agency, to all
employees, managers, and executives, as well as contractors, and to the Board.
This is accomplished through various processes such as:
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Review Sessions – Conducted by Agency Management and Transit staff. Once
this Plan or any update to this Plan has been signed by the Accountable Executive
and approved by the Board it will become standard practice in perpetuity for the
Chief Safety Officer to conduct safety meetings to review safety program with all
staff.
New Hire Safety Orientation – The Chief Safety Officer will oversee that all new
employees regardless of their classifications will be trained about their roles and
responsibilities pertaining to PTASP and the SMS principles.
Safety bulletins, email safety newsletter blasts to staff, and monthly safety
meetings
Subsection 6.3 Transit Worker Safety Reporting Program
SLO Transit implemented a process that allows transit workers to report safety conditions
to senior management and protections for transit workers who report safety conditions to
senior management. The purpose, description, and protections for transit workers to
report unsafe conditions and hazards are described in the Transit Worker Safety
Reporting Program below:
Purpose:
a) To establish a system for transit workers to identify unsafe conditions or hazards at
work and report them to their department management without fear of reprisal. However,
disciplinary action could result if the condition reported reveals the transit worker willfully
participated in or conducted an illegal act, gross negligence or deliberate or willful
disregard of regulations or procedures, including reporting to work under the influence of
controlled substances, physical assault of a coworker or passe nger, theft of agency
property, unreported safety events, unreported collisions, and unreported passenger
injuries or fatalities.
b) To provide guidelines for facilitating the timely correction of unsafe conditions or
hazards by senior management.
Description:
a) This program provides a method for senior management to identify, evaluate, and
correct or avoid unsafe conditions or hazards, procedural deficiencies, design
inadequacies, equipment failures, or near misses that adversely affect the safety of
employees.
Examples of voluntary safety reports include:
Safety hazards in the operating environment (for example, road conditions),
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Policies and procedures that are not working as intended (for example, insufficient
time to complete pre-trip inspection),
Events that senior managers might not otherwise know about (i.e., assaults on
transit workers, near misses, unsafe acts or conditions), and
Information about why a safety event occurred (for example, radio communication
challenges).
b) The program also involves recommending corrective actions and resolutions of
identified unsafe conditions or hazards and/or near miss.
c) All workers have the obligation to report immediately any unsafe conditions or hazards
and near miss to their immediate supervisor /department manager and may do so without
fear of reprisal.
d) Unsafe conditions or hazards may also be identified as a result of occupational injury
or illness investigations and/or by accident investigation.
e) Other means by which hazards may be identified are inspections/audits or
observations made by the supervisors/management staff as referenced in agency’s
Safety Inspection Program.
f) Findings will be published immediately following mitigation actions. If employee
identification is available, direct feedback regarding mitigation will be provided.
Subsection 6.4 SMS Authorities, Accountabilities, and Responsibilities
This Plan has assigned specific SMS authorities, accountabilities, and responsibilities to
the designated Accountable Executive; Chief Safety Officer; Agency’s
Leadership/Executive Management; and Key Staff/Employees as described below and
displayed in Appendix C:
Subsection 6.4.1 Accountable Executive
SLO Transit’s Accountable Executive is the City Manager for the City of San Luis Obispo.
The City Manager is accountable for ensuring that the Agency’s SMS is effectively
implemented throughout the Agency’s public transportation system. The City Manager is
accountable for ensuring action is taken, as necessary, to address substandard
performance in the Agency’s SMS. The City Manager may delegate specific
responsibilities, but the ultimate accountability for SLO Transit’s safety performance
cannot be delegated and always rests with the City Manager. The City Manager is
accountable for ensuring that the Agency’s SMS is effectively implemented, and that
action is taken, as necessary, to address substandard performance in the Agency’s SMS.
The Accountable Executive may delegate specific responsibilities, but not accountability
for SLO Transit’s safety performance.
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The City Manager’s roles include, but are not limited to:
Decision-making about resources (e.g. people and funds) to support asset
management, SMS activities, and capital investments;
Signing SMS implementation planning documents;
Endorsing SMS implementation team membership; and
Ensuring safety concerns are considered and addressed in the agency’s ongoing
budget planning process.
Ensuring transparency in safety priorities: for the Board and for the em ployees.
Establishing guidance on the level of safety risk acceptable to the agency.
Assuring safety policy is appropriately communicated throughout the agency.
Other duties as assigned/necessary.
Subsection 6.4.2 Chief Safety Officer
The Chief Safety Officer is the Agency’s Contracting General Manager and has the
authority and responsibility for day-to-day implementation and operation of SLO Transit’s
SMS.
Chief Safety Officer’s Roles include:
Decision-making about resources (e.g., people and funds) to support asset
management, SMS activities, and capital investments;
Overseeing the safety risk management program by facilitating hazard
identification, safety risk assessment, and the development and implementation of
safety risk mitigations.
Monitoring safety risk mitigation activities;
Providing periodic reports on safety performance;
Briefing the Accountable Executive on SMS implementation progress;
Planning safety management training; and
Developing and organizing annual audits/reviews of SMS processes and the
Agency Safety Plan to ensure compliance with 49 CFR Part 673 requirements.
Maintaining safety documentation.
Other duties as assigned/necessary.
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Subsection 6.4.3 Agency Leadership and Executive Management
The contracting General Manager, Operations Manager, Safety Manager, and
Maintenance Manager comprise Agency Leadership. Some of their responsibilities
include:
Day-to-day implementation of the Agency’s SMS throughout their department and
the organization.
Communicating safety accountability and responsibility from the frontline
employees to the top of the organization.
Ensuring employees are following their working rules and procedures, safety rules
and regulations in performing their jobs, and their specific roles and responsibilities
in the implementation of this Agency Safety Plan and the Agency’s SMS.
Ensuring that employees comply with the safety reporting program and are
reporting unsafe conditions and hazards to their department management; and
making sure reported unsafe conditions and hazards are addressed in a timely
manner.
Ensuring that resources are sufficient to carry out employee training/certification
and re-training as required by their job classifications.
Subsection 6.4.4 Key Staff
The agency Key Staff may include managers, supervisors, specialists, analysts, database
administrators, etc. who are performing highly technical work and overseeing employees
performing critical tasks and providing support in the implementation of this Agency
Safety Plan and SMS principles in various departments throughout the agency. SLO
Transit’s Key Staff/Employees responsibilities include:
Ensuring that employees are complying with the safety reporting program.
Ensuring supervisors are conducting their toolbox safety meetings
Promoting safety in employee’s respective area of responsibilities – That means:
zero accidents; absence of any safety concerns; perfect employee performance;
and compliance with agency rules and procedures and regulatory requirements.
Ensuring safety of passengers, employees, and the public.
Responding to customer complaints and expectations for frequency, reliability, and
convenience of service.
Replacing and maintaining aging facilities, equipment, and infrastructure.
Meeting increasing demands for fixed route, commuter service and paratransit
service.
Developing and maintaining programs to gather pertinent data elements to develop
safety performance reports and conduct useful statistical analyses to identify
trends and system performance targets.
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Establishing clear lines of safety communication and holding accountability for
safety performance.
Assisting as subject matter experts in safety risk assessment and safety risk
mitigation processes.
Section 7 Safety Risk Management (SRM)
The second component of SLO Transit’s SMS is Safety Risk Management, which
includes processes and procedures to provide an understanding of the Agency’s
operations and vehicle maintenance to allow individuals to identify hazards associated
with those activities.
SLO Transit has implemented a Safety Risk Management process for all elements of its
transportation system. The Safety Risk Management process includes the following
activities: safety hazard identification, safety risk assessment, and safety risk mitigation.
Subsection 6.1 Hazard Identification
Hazard identification is the first step in the Safety Risk Management process and a key
component. It involves these fundamental safety-related activities: Identifying safety
hazards and their consequences; assessing the risks associated with the consequences
of the hazards; and developing mitigations to reduce the potential consequences of the
identified hazards.
The following is SLO Transit’s methods and processes to identify hazards. The Agency
considers, as a source for hazard identification, data and information provided by an
oversight authority and the FTA. Hazards are identified through a variety of sources,
including:
Employee safety reporting,
Review of vehicle camera footage,
Review of monthly performance data and Safety Performance Targets,
Observations from supervisors,
Maintenance reports,
Comments from general public, passengers, and other third parties,
Safety committee, driver and all-staff meetings,
Results of audits and inspections of vehicles and facilities,
Results of training assessments
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Investigations into safety events, and driver assaults,
Safety concerns identified through the Agency’s Safety Assurance activities,
Data and information regarding exposure to infectious diseases provided by the
Centers for Disease Control (CDC) or a state health authority, and
Data and information provided by the FTA and other oversight authorities.
When a hazard has been identified, whatever the source, it is reported to the Chief Safety
Officer, who enters it into the Hazard Log. The Chief Safety Officer also may enter
hazards into this log based on reviews of operations and maintenance activities and
procedures.
The Chief Safety Officer will investigate hazards to collect information and determine if
hazards need to be entered into the safety risk assessment process . In following up on
identified hazards, the Chief Safety Officer may:
Reach out to the reporting party, if available, to gather all known information about
the reported hazard,
Conduct a walkthrough of the affected area, assessing the possible hazardous
condition, generating visual documentation (photographs and/or video), and taking
any measurements deemed necessary,
Conduct interviews with employees in the area to gather potentially relevant
information on the reported hazard,
Review any documentation associated with the hazard (records, reports,
procedures, inspections, technical documents, etc.),
Contact other departments that may have association with or technical knowledge
of relevant to the reported hazard,
Review any past reported hazards of a similar nature, and
Evaluate tasks and/or processes associated with the reported hazard.
Any identified hazard that poses an immediate risk to transit operations, the health and
safety of employees or the public, or equipment must immediately be brought to the
attention of the Accountable Executive an d placed through the Safety Risk Management
process for safety risk assessment and mitigation. Otherwise, hazards will be prioritized
for further Safety Risk Management activity.
Subsection 7.2 Safety Risk Assessment
Safety risk assessment defines the level or degree of the safety risk by assessing the
likelihood and severity of the consequences of hazards and prioritizes hazards based on
the safety risk. The Chief Safety Officer, with assistance from key staff subject matter
experts, is responsible for assessing identified hazards and ratings using the safety risk
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matrix below. Prioritizing safety risk provides the Accountable Executive with the
information needed to make decisions about resource application.
The following matrix, adopted from the Transportation Safety Institute (TSI) Participation
Guide – SMS Principles for Transit, facilitates the ranking of hazards based on their
probability of occurrence and severity of their outcome.
Safety Risk Probability Levels
Description Level Specific Individual Item Fleet Inventory
Frequent A Likely to occur often in the life of an
item. Continuously experienced.
Probable B Will occur several times in the life of
an item. Will occur frequently.
Occasional C Likely to occur sometime in the life of
an item. Will occur several times.
Remote D Unlikely, but possible to occur in the
life of an item.
Unlikely, but can reasonably be
expected to occur.
Improbable E
So unlikely, it can be assumed
occurrence man not be experienced in
the life of an item.
Unlikely to occur, but possible.
Eliminated F
Incapable of occurrence. This level is
used when potential hazards are
identified and later eliminated.
Incapable of occurrence. This level is
used when potential hazards are
identified and later eliminated.
The measuring goes from “A” to “F” with “A” being frequent or likely to occur frequently
and “E” being improbable or expected that this event will most likely never occur. The
designation “F” is used when potential hazards are identified and later eliminated.
Safety Risk Severity Levels
Description Level Mishap Result Criteria
Catastrophic 1
Could Result in one or more of the following: death, permanent total disability,
irreversible significant environmental impact, or monetary loss equal to or
exceeding $10M
Critical 2
Could result in one or more of the following: permanent partial disability, injuries
or occupational illness that may result in hospitalization of at least three
personnel, reversible significant environmental impact, or monetary loss equal
to or exceeding $1M but less than $10M
Marginal 3
Could result in one or more of the following: injuries or occupational illness
resulting in one or more lost work day(s), reversible moderate environmental
impact, or monetary loss equal to or exceeding $100k but less than $1M
Negligible 4
Could result in one or more of the following: injuries or occupational illness not
resulting in lost work day, minimum environmental impact. Or monetary loss
less than $100k.
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The Safety Risk Severity Table presents a typical safety risk. It includes four categories
to denote the level of severity of the occurrence of a consequence, the meaning of each
category, and the assignment of a value to each category using numbers. In this table, 1
is considered catastrophic meaning possible deaths and equipment destroyed and 4 is
considered negligible or of little consequence with two levels in between.
Safety Risk Probability and Safety Risk Severity are combined into the Safety Risk Index
Ranking to help prioritize safety risks according to the table below.
Safety Risk Assessment Matrix
Severity
Probability
Catastrophic
1
Critical
2
Marginal
3
Negligible
4
A-Frequent 1A 2A 3A 4A
B- Probable 1B 2B 3B 4B
C-Occasional 1C 2C 3C 4C
D- Remote 1D 2D 3D 4D
E- Improbable 1E 2E 3E 4E
F- Eliminated
Safety Risk Index Ranking
1A, 1B, 1C, 2A, 2B High Unacceptable
1D, 2C, 3A, 3B Serious Undesirable - With management decision required
1E, 2D, 2E, 3C, 3D, 3E, 4A, 4B, Medium Acceptable - with review by management
4C, 4D, 4E Low Acceptable - without review
The Chief Safety Officer documents recommendations regarding hazard rating and mitigation
options and reports this information to the Accountable Executive.
Subsection 7.3 Safety Risk Mitigation
The Chief Safety Officer, assisted by Key Staff subject matter experts, reviews current
safety risk mitigations and establishes procedures to 1) eliminate; 2) mitigate; 3) accept
specific risks. Prioritization of safety remediation measures is based on risk analysis and
a course of action acceptable to SLO Transit management.
The safety risk must be mitigated if ranked as Unacceptable (High-Red). Those safety
risks that have been mitigated, even those mitigated risks shown as Acceptable status
(Low-Green) undergo regular and consistent monitoring to ensure the mitigation strategy
is effective.
Key strategies to minimize the types of risks that potentially exist include:
Development and deployment of policies and procedures that address known
hazards and risks,
Discussion of other actions, strategies and procedures that might help safeguard
against unknown/unforeseen risks,
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Training of drivers and other agency staff on all safety policies and procedures,
Training of drivers and other agency staff on methodologies for handling
emergencies, and
Training of drivers and staff on proper and effective use of emergency equipment
and communication technologies and protocol.
Safety risk mitigations are tracked and updated in the Hazard Log by the Chief Safety
Officer.
Section 8 Safety Assurance
The third component of the Agency’s SMS is Safety Assurance, which ensures the
performance and effectiveness of safety risk controls established under safety risk
management. Safety assurance also helps ensure that the organization meets or exceeds
its safety objectives through the collection, analysis, and assessment of data regarding
the organization's performance. Safety assurance includes inspection activities to support
oversight and performance monitoring.
SLO Transit monitors its operations and maintenance protocols and procedures, and any
safety risk mitigations to ensure that it is implementing them as planned. Furthermore,
the Agency investigates safety events (as defined in Appendix D) and any reports of non-
compliance with applicable regulations, standards, and legal authority. Finally, the
Agency continually monitors information reported to it through any internal safety
reporting programs, including the employee safety reporting program.
Key elements of SLO Transit’s Safety Performance Monitoring and Measurement are
listed in subsection 8.1 below.
Subsection 8.1 Safety Performance Monitoring and Measurement
As part of the Safety Assurance Process, SLO Transit:
Monitors the system for compliance with, and sufficiency of , the Agency’s
procedures for operations and maintenance through:
o Safety audits,
o Informal inspections,
o Regular review of on-board camera footage to assess drivers and specific
incidents,
o Safety surveys,
o Employee safety reporting program,
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o Investigation of safety occurrences,
o Safety review prior to the launch or modification of any facet of service,
o Daily data gathering and monitoring of data relating to the delivery of
service,
o Regular vehicle inspections and preventative maintenance, and
o Continuous feedback loop between leadership and all levels of the agency.
Monitors its operations to identify any safety risk mitigations that may be
ineffective, inappropriate, or were not implemented as intended through:
o Reviewing results from accident, incident, and occurrence investigations,
o Monitoring employee safety reporting,
o Reviewing results of internal safety audits and inspections, and
o Analyzing operational and safety data to identify emerging safety concerns.
Conducts investigations of safety events to identify causal factors; and
Monitors information reported through any internal safety reporting programs.
o The Chief Safety Officer routinely reviews safety data captured in employee
safety reports, safety meeting minutes, customer complaints, and other
safety communication channels. When necessary, the Chief Safety Officer
ensures that the issues and concerns are investigated or analyzed through
the safety risk assessment process.
o The Chief Safety Officer also reviews the results of internal and external
reviews, including audits and assessments, with findings affecting safety
performance, compliance with operations and maintenance procedures, or
the effectiveness of safety risk mitigations. The Chief Safety Officer
discusses relevant safety issues and concerns with the Accountable
Executive and executive management and documents the results of these
reviews in the Hazard Log.
o Monitors and assesses safety performance annually through the processes
detailed in Subsection 2.4 – Plan Review and Updates.
Identifies deficiencies in SMS and performance against the agency’s established
Safety Performance Targets through the following process:
o Monthly evaluation of performance against established performance targets
using reported safety events, collisions, and injuries.
o Calculate rate of safety events using miles between incidents.
o Compliance with operational guidelines and policies.
o Hazard and incident reports submitted by contractor.
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Develops a mitigation and corrective action plan to address deficiencies identified
through the safety performance assessment.
In the event of a fatality, SLO Transit will comply with all FTA drug and alcohol
requirements.
In California, every driver involved in an accident that results in death, injury, or property
damage over $1,000, effective January 1, 2017, must report the accident on a Report of
Traffic Accident Occurring in California (SR 1) form to DMV. The report forms are
available at www.dmv.ca.gov, by calling 1-800-777-0133, and at CHP and DMV offices.
Also, under California Vehicle Code §16002(b) the driver of a vehicle that is owned or
operated by a publicly owned or operated transit system, or that is operated under
contract with a publicly owned or operated transit system, and that is used to provide
regularly scheduled transportation to the general public or for oth er official business of
the system shall, within ten (10) days of the occurrence of the accident, report to the
transit system any accident of a type otherwise required to be reported pursuant to
subdivision (a) of Section 16000. SLO Transit requires immediate driver notification to
SLO Transit and maintains records of any report filed pursuant to this paragraph.
Section 9 Safety Promotion
The fourth component of the Agency’s SMS is Safety Promotion, which includes a
combination of training and communication of safety information to employees to enhance
the Agency’s safety performance. Safety Promotion sets the tone for the SMS and helps
SLO Transit to establish and maintain a robust safety culture. Safety Promotion has two-
components: (1) Safety Communication; and (2) Competencies an d Training.
Subsection 9.1 Safety Communication
SLO Transit communicates safety and safety performance information throughout the
organization that, at a minimum, conveys information on hazards and safety risks relevant
to employees’ roles and responsibilities and informs employees of safety actions taken in
response to reports submitted through an employee safety reporting program.
Ongoing safety communication is critical and SLO Transit ensures communication occurs
up, down, and across all levels of the organization. Any lessons learned are
communicated to all concerned. Management commitment to address safety concerns
and hazards is communicated on a regular basis. Management encourages and
motivates employees to communicate openly, authentically, and without concern for
reprisal; ensures employees are aware of SMS principles and understand their safety-
related roles and responsibilities; conveys safety critical information such as accident
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data, injuries, and reported safety concerns and hazards and their resolutions to
employees. SLO Transit’s tools to support safety communication include:
Safety bulletins
Safety notices
Posters
Online safety video access
Newsletters
Briefings or Toolbox talks
Seminars and workshops
New employee training and refresher training
Intranet or social media
Monthly Safety Meetings
Results of cooperation with frontline transit worker representatives are tracked and
compiled through email correspondence, meeting minutes, and official memos
documenting risk mitigation and safety tracking. This documentation is reviewed and used
in updating the ASP.
Competencies and Training: Executive Management ensures that all employees
complete the safety trainings appropriate for their respective positions upon hire and
annual refresher trainings, as necessary, to understand their specific roles and
responsibilities for the implementation of SMS. SLO Transit provides SMS training in the
following areas:
All Employees:
Understanding of Safety Performance Targets
Understanding of fundamental principles of SMS
Understanding of Safety Reporting Program – Reporting unsafe conditions and
hazards/near misses
Understanding of their individual roles and responsibilities under SMS
Managers and Supervisors:
Understanding of Safety Risk Management
Understanding of Safety Assurance
Understanding of Safety Promotion
Understanding of their individual roles and responsibilities for SMS
Executive Management:
Understanding of management commitment to and support of all SMS activities.
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All employees are required to acquire the competencies and knowledge for the consistent
application of their skills as they relate to safety performance objectives. SLO Transit
dedicates resources to conduct effective safety-related skill training. The scope of the
safety training is appropriate to each employee’s individual safety -related job
responsibilities and their role in SMS. Components of SLO Transit’s skill-related training
include:
Conducting training needs analyses to ensure that the right information is being
given to the right employees using the most efficient training methods.
Communicating purpose, objectives, and outcome.
Ensuring relevant content by directly linking training to the trainee’s job
experiences so trainees are more motivated to learn.
Using active hands-on demonstrations and practice to demonstrate skills that are
being taught and provide opportunities for trainees to practice skills.
Providing regular feedback during hands-on practice and exercises.
Reinforcing training concepts in the post-training work environment by giving
employees opportunities to perform what they’ve learned.
Conflict de-escalation training
Safety concern identification and reporting training
Section 10 Documentation
Pursuant to 49 CFR Part 673.31, SLO Transit maintains document records related to this
Safety Plan, including but not limited to implementation of the SMS, results from the SMS
processes and activities, and those that describe the programs, policies, and procedures
used to carry out the Safety Plan; for a minimum of three years. These documents include
but are not limited to the results from SMS processes and activities. SLO Transit will make
these documents available to FTA Region 9, Caltrans, and other Federal and state
agencies upon request.
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Appendices
A – Council Resolution – SLO Transit Public Transportation Agency Safety Plan (PTASP)
B – Safet Performance Targets
C – Organizational Chart (FY 2025-26)
D – Examples of Safety Event Investigation
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Appendix A – Board Approval – Signed Council Resolution
Signed Council Resolution will be included following Board approval.
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Appendix B – Safety Performance Targets
Safety Performance Targets
Based on the safety performance measures established under the National Public Transportation Safety Plan
Mode of
Transit
Service
Major
Events Collisions Pedestrian
Collisions
Vehicular
Collisions Fatalities
Transit
Worker
Fatalities
Injuries
Transit
Worker
Injuries
Assaults
on
Transit
Workers
System
Reliability
(VRM/failures)
Total 0.3 N/A N/A N/A 0 N/A 1 N/A 3.7 N/A
Rate per
Vehicle
Revenue
Mile (VRM)
0 0 0 0 0 0 0 0 0 3,315
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Appendix C - Organizational Chart FY 2025-26
Approving Board
San Luis Obispo City
Council
Accountable Executive
City Manager
Chief Safety Officer
Contracting General
Manager
Key Staff
Contracting Safety
Manager
Key Staff
Contracting Operations
Manager
Key Staff
Contracting
Maintenance Manager
Supporting Review
Team
Mobility Services
Business Manager &
Transit Coordinator
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Appendix D – Examples of Safety Event Investigation
Report of Unusual Incident
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Near Miss and Hazard Report
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Root Cause Analysis
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Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
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Not every provision of every certification will apply to every applicant or award. If a provision
of a certification does not apply to the applicant or its award, FTA will not enforce that
provision.
Text in italic is not part of a certification and is of no legal effect. Its purpose is to provide
explanation and context for the certification.
CATEGORY 1. CERTIFICATIONS AND ASSURANCES REQUIRED OF EVERY
APPLICANT.
All applicants must make the certifications in this category.
1.1. Standard Assurances.
The certifications in this subcategory appear as part of the applicant’s registration or annual
registration renewal in the System for Award Management (SAM.gov) and on the Office of
Management and Budget’s standard form 424B “Assurances—Non-Construction Programs”.
This certification has been modified in places to include analogous certifications required by
U.S. DOT statutes or regulations.
As the duly authorized representative of the applicant, you certify that the applicant:
(a) Has the legal authority to apply for Federal assistance and the institutional, managerial
and financial capability (including funds sufficient to pay the non-Federal share of project
cost) to ensure proper planning, management and completion of the project described in
this application.
(b) Will give the awarding agency, the Comptroller General of the United States and, if
appropriate, the State, through any authorized representative, access to and the right to
examine all records, books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted accounting standards
or agency directives.
(c) Will establish safeguards to prohibit employees from using their positions for a purpose
that constitutes or presents the appearance of personal or organizational conflict of
interest, or personal gain.
(d) Will initiate and complete the work within the applicable time frame after receipt of
approval of the awarding agency.
(e) Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728–
4763) relating to prescribed standards for merit systems for programs funded under one
of the 19 statutes or regulations specified in Appendix A of OPM’s Standards for a Merit
System of Personnel Administration (5 CFR 900, Subpart F).
(f) Will comply with all Federal statutes relating to nondiscrimination. These include but are
not limited to:
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(1) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin, as effectuated by U.S.
DOT regulation 49 CFR Part 21, including any amendments thereto;
(2) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681–
1683, and 1685–1686), which prohibits discrimination on the basis of sex, as
effectuated by U.S. DOT regulation 49 CFR Part 25;
(3) Section 5332 of the Federal Transit Law (49 U.S.C. § 5332), which prohibits any
person being excluded from participating in, denied a benefit of, or discriminated
against under, a project, program, or activity receiving financial assistance from
FTA because of race, color, religion, national origin, sex, disability, or age.
(4) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794),
which prohibits discrimination on the basis of handicaps, as effectuated by U.S.
DOT regulation 49 CFR Part 27;
(5) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101–6107),
which prohibits discrimination on the basis of age;
(6) The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug abuse;
(7) The comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L. 91–616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism;
(8) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290
dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug
abuse patient records;
(9) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental, or financing of housing;
(10) Any other nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; and,
(11) the requirements of any other nondiscrimination statute(s) which may apply to the
application.
(g) Will comply, or has already complied, with the requirements of Titles II and III of the
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(“Uniform Act”) (P.L. 91-646) which provide for fair and equitable treatment of persons
displaced or whose property is acquired as a result of Federal or federally-assisted
programs. These requirements apply to all interests in real property acquired for project
purposes regardless of Federal participation in purchases. The requirements of the
Uniform Act are effectuated by U.S. DOT regulation 49 CFR Part 24.
(h) Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§ 1501–1508
and 7324–7328) which limit the political activities of employees whose principal
employment activities are funded in whole or in part with Federal funds.
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(i) Will comply, as applicable, with the provisions of the Davis–Bacon Act (40 U.S.C.
§§ 276a to 276a-7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. § 874), and the
Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327–333), regarding labor
standards for federally assisted construction sub-agreements.
(j) Will comply, if applicable, with flood insurance purchase requirements of Section 102(a)
of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a
special flood hazard area to participate in the program and to purchase flood insurance if
the total cost of insurable construction and acquisition is $10,000 or more.
(k) Will comply with environmental standards which may be prescribed pursuant to the
following:
(1) Institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO)
11514;
(2) Notification of violating facilities pursuant to EO 11738;
(3) Protection of wetlands pursuant to EO 11990;
(4) Evaluation of flood hazards in floodplains in accordance with EO 11988;
(5) Assurance of project consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451
et seq.);
(6) 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 et
seq.);
(7) Protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended (P.L. 93-523); and
(8) Protection of endangered species under the Endangered Species Act of 1973, as
amended (P.L. 93–205).
(l) Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)
related to protecting components or potential components of the national wild and scenic
rivers system.
(m) Will assist the awarding agency in assuring compliance with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593
(identification and protection of historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. §§ 469a-1 et seq.).
(n) Will comply with P.L. 93-348 regarding the protection of human subjects involved in
research, development, and related activities supported by this award of assistance.
(o) Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended,
7 U.S.C. §§ 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded
animals held for research, teaching, or other activities supported by this award of
assistance.
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(p) Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et
seq.) which prohibits the use of lead-based paint in construction or rehabilitation of
residence structures.
(q) Will cause to be performed the required financial and compliance audits in accordance
with the Single Audit Act Amendments of 1996 and 2 CFR Part 200, Subpart F, “Audit
Requirements”, as adopted and implemented by U.S. DOT at 2 CFR Part 1201.
(r) Will comply with all applicable requirements of all other Federal laws, executive orders,
regulations, and policies governing the program under which it is applying for assistance.
(s) Will comply with the requirements of Section 106(g) of the Trafficking Victims
Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104) which prohibits grant
award recipients or a subrecipient from:
(1) Engaging in severe forms of trafficking in persons during the period of time that
the award is in effect;
(2) Procuring a commercial sex act during the period of time that the award is in
effect; or
(3) Using forced labor in the performance of the award or subawards under the
award.
1.2. Standard Assurances: Additional Assurances for Construction Projects.
This certification appears on the Office of Management and Budget’s standard form 424D
“Assurances—Construction Programs” and applies specifically to federally assisted projects for
construction. This certification has been modified in places to include analogous certifications
required by U.S. DOT statutes or regulations.
As the duly authorized representative of the applicant, you certify that the applicant:
(a) Will not dispose of, modify the use of, or change the terms of the real property title or
other interest in the site and facilities without permission and instructions from the
awarding agency; will record the Federal awarding agency directives; and will include a
covenant in the title of real property acquired in whole or in part with Federal assistance
funds to assure nondiscrimination during the useful life of the project.
(b) Will comply with the requirements of the assistance awarding agency with regard to the
drafting, review, and approval of construction plans and specifications.
(c) Will provide and maintain competent and adequate engineering supervision at the
construction site to ensure that the complete work confirms with the approved plans and
specifications, and will furnish progressive reports and such other information as may be
required by the assistance awarding agency or State.
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1.3. Procurement.
The Uniform Administrative Requirements, 2 CFR § 200.325, allow a recipient to self-certify
that its procurement system complies with Federal requirements, in lieu of submitting to certain
pre-procurement reviews. Additionally, 2 CFR § 200.216(e) states that by accepting a grant, the
recipient is certifying its compliance with that section (“Prohibition on certain
telecommunications and video surveillance equipment or services”).
The applicant certifies that its procurement system complies with:
(a) U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards,” 2 CFR Part 1201, which incorporates by
reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, particularly 2
CFR §§ 200.317–200.327 “Procurement Standards;
(b) Federal laws, regulations, and requirements applicable to FTA procurements; and
(c) The latest edition of FTA Circular 4220.1 and other applicable Federal guidance.
(d) 2 CFR § 200.216, “Prohibition on certain telecommunications and video surveillance
equipment or services.”
1.4. Increased Micro-Purchase Threshold.
A recipient may establish a micro-purchase threshold that is higher than the Federal micro-
purchase threshold. Pursuant to 2 CFR § 200.320(a)(1)(iv), the recipient may self-certify a
micro-purchase threshold up to $50,000. Pursuant to 2 CFR § 200.320(a)(1)(v), the recipient
may set a micro-purchase threshold higher than $50,000, but only with the approval of the
recipient’s Federal cognizant agency for indirect costs. To determine an applicant’s cognizant
agency for indirect costs, consult the definition of “cognizant agency for indirect costs” in 2
CFR § 200.1.
If the recipient uses a micro-purchase threshold that is higher than the Federal micro-purchase
threshold, the recipient certifies:
(a) The recipient’s micro-purchase threshold does not exceed $50,000, or the recipient has
approval from its Federal cognizant agency for indirect costs to use a higher micro-
purchase threshold;
(b) The recipient has a written justification for its micro-purchase threshold; and
(c) The recipient has supporting documentation of any of the following:
(1) The recipient qualifies as a low-risk auditee, in accordance with the criteria in 2
CFR § 200.520 for the most recent audit;
(2) The recipient has an annual internal institutional risk assessment to identify,
mitigate, and manage financial risks; or
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(3) For public institutions, a higher threshold is consistent with State law.
1.5. Suspension and Debarment.
Pursuant to Executive Order 12549, as implemented at 2 CFR Parts 180 and 1200, prior to
entering into a covered transaction with an applicant, FTA must determine whether the applicant
is excluded from participating in covered non-procurement transactions. For this purpose, FTA
is authorized to collect a certification from each applicant regarding the applicant’s exclusion
status. 2 CFR § 180.300. Additionally, each applicant must disclose any information required by
2 CFR § 180.335 about the applicant and the applicant’s principals prior to entering into an
award agreement with FTA. This certification serves both purposes.
The applicant certifies, to the best of its knowledge and belief, that the applicant and each of its
principals:
(a) Is not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily or involuntarily excluded from covered transactions by any Federal
department or agency;
(b) Has not, within the preceding three years, been convicted of or had a civil judgment
rendered against him or her for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public or private agreement or
transaction; violation of Federal or State antitrust statutes, including those proscribing
price fixing between competitors, allocation of customers between competitors, and bid
rigging; commission of embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, tax evasion, receiving stolen property, making false
claims, or obstruction of justice; or commission of any other offense indicating a lack of
business integrity or business honesty;
(c) Is not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State, or local) with commission of any offense described in paragraph
(b) of this certification; and
(d) Has not, within the preceding three years, had one or more public transactions (Federal,
State, or local) terminated for cause or default.
1.6. Lobbying.
If the applicant will apply for a grant or cooperative agreement exceeding $100,000, or a loan,
line of credit, loan guarantee, or loan insurance exceeding $150,000, it must make the following
certification and, if applicable, make a disclosure regarding the applicant’s lobbying activities.
This certification is required by 49 CFR § 20.110 and app. A to that part.
This certification does not apply to an applicant that is an Indian Tribe, Indian organization, or
an Indian tribal organization exempt from the requirements of 49 CFR Part 20.
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1.6.1. Certification for Contracts, Grants, Loans, and Cooperative Agreements.
The undersigned certifies, to the best of his or her knowledge and belief, that:
(a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract, grant, loan, or cooperative agreement.
(b) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure
Form to Report Lobbying,” in accordance with its instructions.
(c) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who
fails to file the required certification shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
1.6.2. Statement for Loan Guarantees and Loan Insurance.
The undersigned states, to the best of his or her knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee
of Congress, or an employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the undersigned shall complete and
submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its
instructions.
Submission of this statement is a prerequisite for making or entering into this transaction
imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement
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shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.
1.7. Real Property Use
This certification responds to Recommendation #7 in the U.S. Department of Transportation’s
Office of Inspector General Report FS2024025 (May 20, 2024).
If the applicant will use assistance provided by the Federal Transit Administration to acquire or
improve real property, the applicant certifies that it will comply with the requirements of 2 CFR
§ 200.311, including but not limited to, requirements to use the property for the purposes
authorized in its award, and to seek disposition instructions from FTA when the property no
longer is needed for any authorized purpose.
CATEGORY 2. PUBLIC TRANSPORTATION AGENCY SAFETY PLANS
This certification is required of each applicant under the Urbanized Area Formula Grants
Program (49 U.S.C. § 5307), each rail operator that is subject to FTA’s state safety oversight
programs, and each State that is required to draft and certify a Public Transportation Agency
Safety Plan on behalf of a Small Public Transportation Provider (as that term is defined at 49
CFR § 673.5) pursuant to 49 CFR § 673.11(d).
This certification is required by 49 U.S.C. § 5307(c)(1)(L), 49 U.S.C. § 5329(d)(1), and 49 CFR
§ 673.13. This certification is a condition of receipt of Urbanized Area Formula Grants Program
(49 U.S.C. § 5307) funding.
This certification does not apply to any applicant that only receives financial assistance from
FTA under the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C.
§ 5310), the Formula Grants for Rural Areas Program (49 U.S.C. § 5311), or combination of
these two programs, unless it operates a rail fixed guideway public transportation system.
If the applicant is an operator, the applicant certifies that it has established a Public
Transportation Agency Safety Plan meeting the requirements of 49 U.S.C. § 5329(d)(1) and
49 CFR Part 673; including, specifically, that the board of directors (or equivalent entity) of the
applicant has approved, or, in the case of an applicant that will apply for assistance under 49
U.S.C. § 5307 that is serving an urbanized area with a population of 200,000 or more, the safety
committee of the entity established under 49 U.S.C. § 5329(d)(5), followed by the board of
directors (or equivalent entity) of the applicant has approved, the Public Transportation Agency
Safety Plan or any updates thereto; and, for each recipient serving an urbanized area with a
population of fewer than 200,000, that the Public Transportation Agency Safety Plan has been
developed in cooperation with frontline employee representatives.
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If the applicant is a State that drafts and certifies a Public Transportation Agency Safety Plan on
behalf of a public transportation operator, the applicant certifies that:
(a) It has drafted and certified a Public Transportation Agency Safety Plan meeting the
requirements of 49 U.S.C. § 5329(d)(1) and 49 CFR Part 673 for each Small Public
Transportation Provider (as that term is defined at 49 CFR § 673.5) in the State, unless
the Small Public Transportation Provider provided notification to the State that it was
opting out of the State-drafted plan and drafting its own Public Transportation Agency
Safety Plan; and
(b) Each Small Public Transportation Provider within the State that opts to use a State-
drafted Public Transportation Agency Safety Plan has a plan that has been approved by
the provider’s Accountable Executive (as that term is defined at 49 CFR § 673.5), Board
of Directors or Equivalent Authority (as that term is defined at 49 CFR § 673.5), and, if
the Small Public Transportation Provider serves an urbanized area with a population of
200,000 or more, the safety committee of the Small Public Transportation Provider
established under 49 U.S.C. § 5329(d)(5).
CATEGORY 3. TAX LIABILITY AND FELONY CONVICTIONS.
If the applicant is a business association (regardless of for-profit, not for-profit, or tax-exempt
status), it must make this certification. Federal appropriations acts since at least 2014 have
prohibited FTA from using funds to enter into an agreement with any corporation that has
unpaid Federal tax liabilities or recent felony convictions without first considering the
corporation for debarment. E.g., Consolidated Appropriations Act, 2026, Pub. L. 119-75, div. E,
tit. VII §§ 744-745. U.S. DOT Order 4200.6 defines a “corporation” as “any private
corporation, partnership, trust, joint-stock company, sole proprietorship, or other business
association”, and applies the restriction to all tiers of subawards. As prescribed by U.S. DOT
Order 4200.6, FTA requires each business association applicant to certify as to its tax and
felony status.
If the applicant is a private corporation, partnership, trust, joint-stock company, sole
proprietorship, or other business association, the applicant certifies that:
(a) It has no unpaid Federal tax liability that has been assessed, for which all judicial and
administrative remedies have been exhausted or have lapsed, and that is not being paid in
a timely manner pursuant to an agreement with the authority responsible for collecting
the tax liability; and
(b) It has not been convicted of a felony criminal violation under any Federal law within the
preceding 24 months.
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CATEGORY 4. PRIVATE SECTOR PROTECTIONS.
If the applicant will apply for funds that it will use to acquire or operate public transportation
facilities or equipment, the applicant must make the following certification regarding protections
for the private sector.
4.1. Charter Service Agreement.
To enforce the provisions of 49 U.S.C. § 5323(d), FTA’s charter service regulation requires each
applicant seeking assistance from FTA for the purpose of acquiring or operating any public
transportation equipment or facilities to make the following Charter Service Agreement. 49 CFR
§ 604.4.
The applicant agrees that it, and each of its subrecipients, and third-party contractors at any level
who use FTA-funded vehicles, may provide charter service using equipment or facilities
acquired with Federal assistance authorized under the Federal Transit Laws only in compliance
with the regulations set out in 49 CFR Part 604, the terms and conditions of which are
incorporated herein by reference.
4.2. School Bus Agreement.
To enforce the provisions of 49 U.S.C. § 5323(f), FTA’s school bus regulation requires each
applicant seeking assistance from FTA for the purpose of acquiring or operating any public
transportation equipment or facilities to make the following agreement regarding the provision
of school bus services. 49 CFR § 605.15.
(a) If the applicant is not authorized by the FTA Administrator under 49 CFR § 605.11 to
engage in school bus operations, the applicant agrees and certifies as follows:
(1) The applicant and any operator of project equipment agrees that it will not engage
in school bus operations in competition with private school bus operators.
(2) The applicant agrees that it will not engage in any practice which constitutes a
means of avoiding the requirements of this agreement, part 605 of the Federal
Mass Transit Regulations, or section 164(b) of the Federal-Aid Highway Act of
1973 (49 U.S.C. 1602a(b)).
(b) If the applicant is authorized or obtains authorization from the FTA Administrator to
engage in school bus operations under 49 CFR § 605.11, the applicant agrees as follows:
(1) The applicant agrees that neither it nor any operator of project equipment will
engage in school bus operations in competition with private school bus operators
except as provided herein.
(2) The applicant, or any operator of project equipment, agrees to promptly notify the
FTA Administrator of any changes in its operations which might jeopardize the
continuation of an exemption under § 605.11.
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(3) The applicant agrees that it will not engage in any practice which constitutes a
means of avoiding the requirements of this agreement, part 605 of the Federal
Transit Administration regulations or section 164(b) of the Federal-Aid Highway
Act of 1973 (49 U.S.C. 1602a(b)).
(4) The applicant agrees that the project facilities and equipment shall be used for the
provision of mass transportation services within its urban area and that any other
use of project facilities and equipment will be incidental to and shall not interfere
with the use of such facilities and equipment in mass transportation service to the
public.
CATEGORY 5. TRANSIT ASSET MANAGEMENT PLAN.
If the applicant owns, operates, or manages capital assets used to provide public transportation,
the following certification is required by 49 U.S.C. § 5326(a).
The applicant certifies that it is in compliance with 49 CFR Part 625.
CATEGORY 6. ROLLING STOCK BUY AMERICA REVIEWS AND BUS TESTING.
6.1. Rolling Stock Buy America Reviews.
If the applicant will apply for an award to acquire rolling stock for use in revenue service, it
must make this certification. This certification is required by 49 CFR § 663.7.
The applicant certifies that it will conduct or cause to be conducted the pre-award and post-
delivery audits prescribed by 49 CFR Part 663 and will maintain on file the certifications
required by Subparts B, C, and D of 49 CFR Part 663.
6.2. Bus Testing.
If the applicant will apply for funds for the purchase or lease of any new bus model, or any bus
model with a major change in configuration or components, the applicant must make this
certification. This certification is required by 49 CFR § 665.7.
The applicant certifies that the bus was tested at the Bus Testing Facility established in
accordance with 49 U.S.C. § 5318 (currently the Larson Transportation Institute’s Bus Research
and Testing Center at Pennsylvania State University) and that the bus received a passing test
score as required by 49 CFR Part 665. The applicant has received or will receive the appropriate
full Bus Testing Report and any applicable partial testing reports before final acceptance of the
first vehicle.
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CATEGORY 7. URBANIZED AREA FORMULA GRANTS PROGRAM.
If the applicant will apply for an award under the Urbanized Area Formula Grants Program
(49 U.S.C. § 5307), or any other program or award that is subject to the requirements of
49 U.S.C. § 5307, including the Formula Grants for the Enhanced Mobility of Seniors Program
(49 U.S.C. § 5310); “flex funds” from infrastructure programs administered by the Federal
Highways Administration (see 49 U.S.C. § 5334(i)); projects that will receive an award
authorized by the Transportation Infrastructure Finance and Innovation Act (“TIFIA”)
(23 U.S.C. §§ 601–609) or State Infrastructure Bank Program (23 U.S.C. § 610) (see 49 U.S.C.
§ 5323(o)); formula awards or competitive awards to urbanized areas under the Grants for
Buses and Bus Facilities Program (49 U.S.C. § 5339(a) and (b)); or low or no emission awards
to any area under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339(c)), the
applicant must make the following certification. This certification is required by 49 U.S.C.
§ 5307(c)(1).
The applicant certifies that it:
(a) Has or will have the legal, financial, and technical capacity to carry out the program of
projects (developed pursuant 49 U.S.C. § 5307(b)), including safety and security aspects
of the program;
(b) Has or will have satisfactory continuing control over the use of equipment and facilities;
(c) Will maintain equipment and facilities in accordance with the applicant’s transit asset
management plan;
(d) Will ensure that, during non-peak hours for transportation using or involving a facility or
equipment of a project financed under this section, a fare that is not more than 50 percent
of the peak hour fare will be charged for any—
(1) Senior;
(2) Individual who, because of illness, injury, age, congenital malfunction, or any
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design; and
(3) Individual presenting a Medicare card issued to that individual under title II or
XVIII of the Social Security Act (42 U.S.C. §§ 401 et seq., and 1395 et seq.);
(e) In carrying out a procurement under 49 U.S.C. § 5307, will comply with 49 U.S.C.
§§ 5323 (general provisions) and 5325 (contract requirements);
(f) Has complied with 49 U.S.C. § 5307(b) (program of projects requirements);
(g) Has available and will provide the required amounts as provided by 49 U.S.C. § 5307(d)
(cost sharing);
(h) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304
(statewide and nonmetropolitan transportation planning);
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(i) Has a locally developed process to solicit and consider public comment before raising a
fare or carrying out a major reduction of transportation;
(j) Either—
(1) Will expend for each fiscal year for public transportation security projects,
including increased lighting in or adjacent to a public transportation system
(including bus stops, subway stations, parking lots, and garages), increased
camera surveillance of an area in or adjacent to that system, providing an
emergency telephone line to contact law enforcement or security personnel in an
area in or adjacent to that system, and any other project intended to increase the
security and safety of an existing or planned public transportation system, at least
1 percent of the amount the recipient receives for each fiscal year under 49 U.S.C.
§ 5336; or
(2) Has decided that the expenditure for security projects is not necessary;
(k) In the case of an applicant for an urbanized area with a population of not fewer than
200,000 individuals, as determined by the Bureau of the Census, will submit an annual
report listing projects carried out in the preceding fiscal year under 49 U.S.C. § 5307 for
associated transit improvements as defined in 49 U.S.C. § 5302; and
(l) Will comply with 49 U.S.C. § 5329(d) (public transportation agency safety plan).
CATEGORY 8. FORMULA GRANTS FOR RURAL AREAS.
If the applicant will apply for funds made available to it under the Formula Grants for Rural
Areas Program (49 U.S.C. § 5311), it must make this certification. Paragraph (a) of this
certification helps FTA make the determinations required by 49 U.S.C. § 5311(b)(2)(C).
Paragraph (b) of this certification is required by 49 U.S.C. § 5311(f)(2). Paragraph (c) of this
certification, which applies to funds apportioned for the Appalachian Development Public
Transportation Assistance Program, is necessary to enforce the conditions of 49 U.S.C.
§ 5311(c)(2)(D).
(a) The applicant certifies that its State program for public transportation service projects,
including agreements with private providers for public transportation service—
(1) Provides a fair distribution of amounts in the State, including Indian reservations;
and
(2) Provides the maximum feasible coordination of public transportation service
assisted under 49 U.S.C. § 5311 with transportation service assisted by other
Federal sources; and
(b) If the applicant will in any fiscal year expend less than 15% of the total amount made
available to it under 49 U.S.C. § 5311 to carry out a program to develop and support
intercity bus transportation, the applicant certifies that it has consulted with affected
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intercity bus service providers, and the intercity bus service needs of the State are being
met adequately.
(c) If the applicant will use for a highway project amounts that cannot be used for operating
expenses authorized under 49 U.S.C. § 5311(c)(2) (Appalachian Development Public
Transportation Assistance Program), the applicant certifies that—
(1) It has approved the use in writing only after providing appropriate notice and an
opportunity for comment and appeal to affected public transportation providers;
and
(2) It has determined that otherwise eligible local transit needs are being addressed.
CATEGORY 9. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS AND THE
EXPEDITED PROJECT DELIVERY FOR CAPITAL INVESTMENT GRANTS
PILOT PROGRAM.
If the applicant will apply for an award under any subsection of the Fixed Guideway Capital
Investment Program (49 U.S.C. § 5309), including an award made pursuant to the FAST Act’s
Expedited Project Delivery for Capital Investment Grants Pilot Program (Pub. L. 114-94, div. A,
title III, § 3005(b)), the applicant must make the following certification. This certification is
required by 49 U.S.C. § 5309(c)(2) and Pub. L. 114-94, div. A, title III, § 3005(b)(3)(B).
The applicant certifies that it:
(a) Has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award,
(b) Has or will have satisfactory continuing control over the use of equipment and facilities
acquired or improved under its Award.
(c) Will maintain equipment and facilities acquired or improved under its Award in
accordance with its transit asset management plan; and
(d) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304
(statewide and nonmetropolitan transportation planning).
CATEGORY 10. GRANTS FOR BUSES AND BUS FACILITIES AND LOW OR NO
EMISSION VEHICLE DEPLOYMENT GRANT PROGRAMS.
If the applicant is in an urbanized area and will apply for an award under subsection (a)
(formula grants), subsection (b) (buses and bus facilities competitive grants), or subsection (c)
(low or no emissions grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C.
§ 5339), the applicant must make the certification in Category 7 for Urbanized Area Formula
Grants (49 U.S.C. § 5307). This certification is required by 49 U.S.C. § 5339(a)(3), (b)(6), and
(c)(3), respectively.
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If the applicant is in a rural area and will apply for an award under subsection (a) (formula
grants), subsection (b) (bus and bus facilities competitive grants), or subsection (c) (low or no
emissions grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339), the
applicant must make the certification in Category 8 for Formula Grants for Rural Areas
(49 U.S.C. § 5311). This certification is required by 49 U.S.C. § 5339(a)(3), (b)(6), and (c)(3),
respectively.
Making this certification will incorporate by reference the applicable certifications in
Category 7 or Category 8.
If the applicant will receive a competitive award under subsection (b) (buses and bus facilities
competitive grants), or subsection (c) (low or no emissions grants) of the Grants for Buses and
Bus Facilities Program (49 U.S.C. § 5339) related to zero emissions vehicles or related
infrastructure, it must make the following certification. This certification is required by 49
U.S.C. § 5339(d).
The applicant will use 5 percent of grants related to zero emissions vehicles (as defined in 49
U.S.C. § 5339(c)(1)) or related infrastructure under 49 U.S.C. § 5339(b) or (c) to fund workforce
development training as described in section 49 U.S.C. § 5314(b)(2) (including registered
apprenticeships and other labor-management training programs) under the recipient’s plan to
address the impact of the transition to zero emission vehicles on the applicant’s current
workforce; or the applicant certifies a smaller percentage is necessary to carry out that plan.
CATEGORY 11. ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH
DISABILITIES PROGRAMS.
If the applicant will apply for an award under the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program (49 U.S.C. § 5310), it must make the
certification in Category 7 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This
certification is required by 49 U.S.C. § 5310(e)(1). Making this certification will incorporate by
reference the certification in Category 7, except that FTA has determined that (d), (f), (i), (j), and
(k) of Category 7 do not apply to awards made under 49 U.S.C. § 5310 and will not be enforced.
In addition to the certification in Category 7, the applicant must make the following certification
that is specific to the Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program. This certification is required by 49 U.S.C. § 5310(e)(2).
The applicant certifies that:
(a) The projects selected by the applicant are included in a locally developed, coordinated
public transit-human services transportation plan;
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(b) The plan described in clause (a) was developed and approved through a process that
included participation by seniors, individuals with disabilities, representatives of public,
private, and nonprofit transportation and human services providers, and other members of
the public;
(c) To the maximum extent feasible, the services funded under 49 U.S.C. § 5310 will be
coordinated with transportation services assisted by other Federal departments and
agencies, including any transportation activities carried out by a recipient of a grant from
the Department of Health and Human Services; and
(d) If the applicant will allocate funds received under 49 U.S.C. § 5310 to subrecipients, it
will do so on a fair and equitable basis.
CATEGORY 12. STATE OF GOOD REPAIR GRANTS.
If the applicant will apply for an award under FTA’s State of Good Repair Grants Program
(49 U.S.C. § 5337), it must make the following certification. Because FTA generally does not
review the transit asset management plans of public transportation providers, the asset
management certification is necessary to enforce the provisions of 49 U.S.C. § 5337(a)(4). The
certification with regard to acquiring restricted rail rolling stock is required by 49 U.S.C.
§ 5323(u)(4). Note that this certification is not limited to the use of Federal funds.
The applicant certifies that the projects it will carry out using assistance authorized by the State
of Good Repair Grants Program, 49 U.S.C. § 5337, are aligned with the applicant’s most recent
transit asset management plan and are identified in the investment and prioritization section of
such plan, consistent with the requirements of 49 CFR Part 625.
If the applicant operates a rail fixed guideway service, the applicant certifies that, in the fiscal
year for which an award is available to the applicant under the State of Good Repair Grants
Program, 49 U.S.C. § 5337, the applicant will not award any contract or subcontract for the
procurement of rail rolling stock for use in public transportation with a rail rolling stock
manufacturer described in 49 U.S.C. § 5323(u)(1).
CATEGORY 13. INFRASTRUCTURE FINANCE PROGRAMS.
If the applicant will apply for an award for a project that will include assistance under the
Transportation Infrastructure Finance and Innovation Act (“TIFIA”) Program (23 U.S.C.
§§ 601–609) or the State Infrastructure Banks (“SIB”) Program (23 U.S.C. § 610), it must make
the certifications in Category 7 for the Urbanized Area Formula Grants Program, Category 9
for the Fixed Guideway Capital Investment Grants program, and Category 12 for the State of
Good Repair Grants program. These certifications are required by 49 U.S.C. § 5323(o).
Making this certification will incorporate the certifications in Categories 7, 9, and 12 by
reference.
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CATEGORY 14. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.
If the applicant will apply for an award under FTA’s Urbanized Area Formula Grants Program
(49 U.S.C. § 5307), Fixed Guideway Capital Investment Program (49 U.S.C. § 5309), Formula
Grants for Rural Areas Program (49 U.S.C. § 5311), or Grants for Buses and Bus Facilities
Program (49 U.S.C. § 5339) programs, the applicant must make the following certification. The
applicant must make this certification on its own behalf and on behalf of its subrecipients and
contractors. This certification is required by 49 CFR § 655.83.
The applicant certifies that it, its subrecipients, and its contractors are compliant with FTA’s
regulation for the Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,
49 CFR Part 655.
CATEGORY 15. RAIL SAFETY TRAINING AND OVERSIGHT.
If the applicant is a State with at least one rail fixed guideway system, or is a State Safety
Oversight Agency, or operates a rail fixed guideway system, it must make the following
certification. The elements of this certification are required by 49 CFR §§ 672.31 and 674.39.
The applicant certifies that the rail fixed guideway public transportation system and the State
Safety Oversight Agency for the State are:
(a) Compliant with the requirements of 49 CFR Part 672, “Public Transportation Safety
Certification Training Program”; and
(b) Compliant with the requirements of 49 CFR Part 674, “Sate Safety Oversight”.
CATEGORY 16. DEMAND RESPONSIVE SERVICE.
If the applicant operates demand responsive service and will apply for an award to purchase a
non-rail vehicle that is not accessible within the meaning of 49 CFR Part 37, it must make the
following certification. This certification is required by 49 CFR § 37.77.
The applicant certifies that the service it provides to individuals with disabilities is equivalent to
that provided to other persons. A demand responsive system, when viewed in its entirety, is
deemed to provide equivalent service if the service available to individuals with disabilities,
including individuals who use wheelchairs, is provided in the most integrated setting appropriate
to the needs of the individual and is equivalent to the service provided other individuals with
respect to the following service characteristics:
(a) Response time;
(b) Fares;
(c) Geographic area of service;
(d) Hours and days of service;
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(e) Restrictions or priorities based on trip purpose;
(f) Availability of information and reservation capability; and
(g) Any constraints on capacity or service availability.
CATEGORY 17. INTEREST AND FINANCING COSTS.
If the applicant will pay for interest or other financing costs of a project using assistance
awarded under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), the Fixed
Guideway Capital Investment Grants Program (49 U.S.C. § 5309), or any program that must
comply with the requirements of 49 U.S.C. § 5307, including the Formula Grants for the
Enhanced Mobility of Seniors Program (49 U.S.C. § 5310), “flex funds” from infrastructure
programs administered by the Federal Highways Administration (see 49 U.S.C. § 5334(i)), or
awards to urbanized areas under the Grants for Buses and Bus Facilities Program (49 U.S.C.
§ 5339), the applicant must make the following certification. This certification is required by
49 U.S.C. §§ 5307(e)(3) and 5309(k)(2)(D).
The applicant certifies that:
(a) Its application includes the cost of interest earned and payable on bonds issued by the
applicant only to the extent proceeds of the bonds were or will be expended in carrying
out the project identified in its application; and
(b) The applicant has shown or will show reasonable diligence in seeking the most favorable
financing terms available to the project at the time of borrowing.
CATEGORY 18. CYBERSECURITY CERTIFICATION FOR RAIL ROLLING STOCK
AND OPERATIONS.
If the applicant operates a rail fixed guideway public transportation system, it must make this
certification. This certification is required by 49 U.S.C. § 5323(v). For information about
standards or practices that may apply to a rail fixed guideway public transportation system, visit
https://www.nist.gov/cyberframework and https://www.cisa.gov/.
The applicant certifies that it has established a process to develop, maintain, and execute a
written plan for identifying and reducing cybersecurity risks that complies with the requirements
of 49 U.S.C. § 5323(v)(2).
CATEGORY 19. PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS
FORMULA AND DISCRETIONARY PROGRAM (TRIBAL TRANSIT
PROGRAMS).
Before FTA may provide Federal assistance for an Award financed under either the Public
Transportation on Indian Reservations Formula or Discretionary Program authorized under
49 U.S.C. § 5311(c)(1), as amended by the FAST Act, (Tribal Transit Programs), the applicant
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must select the Certifications in this Category, except as FTA determines otherwise in writing.
Tribal Transit Program applicants may certify to this Category and Category 1 (Certifications
and Assurances Required of Every Applicant) and need not make any other certification, to meet
Tribal Transit Program certification requirements. If an applicant will apply for any program in
addition to the Tribal Transit Program, additional certifications may be required.
FTA has established terms and conditions for Tribal Transit Program grants financed with
Federal assistance appropriated or made available under 49 U.S.C. § 5311(c)(1). The applicant
certifies that:
(a) It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award.
(b) It has or will have satisfactory continuing control over the use of its equipment and
facilities acquired or improved under its Award.
(c) It will maintain its equipment and facilities acquired or improved under its Award, in
accordance with its transit asset management plan and consistent with FTA regulations,
“Transit Asset Management,” 49 CFR Part 625. Its Award will achieve maximum
feasible coordination with transportation service financed by other federal sources.
(d) With respect to its procurement system:
(1) It will have a procurement system that complies with U.S. DOT regulations,
“Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards,” 2 CFR Part 1201, which incorporates by reference
U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, for
Awards made on or after December 26, 2014,
(2) It will 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 CFR Part 18, specifically former 49 CFR
§ 18.36, for Awards made before December 26, 2014, or
(3) It will inform FTA promptly if its procurement system does not comply with
either of those U.S. DOT regulations.
(e) It will comply with the Certifications, Assurances, and Agreements in:
(1) Category 4.1 and 4.2 (Charter Service Agreement and School Bus Agreement),
(2) Category 5 (Transit Asset Management Plan),
(3) Category 6.1 and 6.2 (Rolling Stock Buy America Reviews and Bus Testing),
(4) Category 8 (Formula Grants for Rural Areas),
(5) Category 14 (Alcohol and Controlled Substances Testing), and
(6) Category 16 (Demand Responsive Service).
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CATEGORY 20. EMERGENCY RELIEF PROGRAM.
An applicant to the Public Transportation Emergency Relief Program, 49 U.S.C. § 5324, must
make the following certification. The certification is required by 49 U.S.C. § 5324(f) and must be
made before the applicant can receive a grant under the Emergency Relief program.
The applicant certifies that the applicant has insurance required under State law for all structures
related to the emergency relief program grant application.
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FEDERAL FISCAL YEAR 2026 CERTIFICATIONS AND ASSURANCES FOR FTA
ASSISTANCE PROGRAMS
(Signature pages alternate to providing Certifications and Assurances in TrAMS.)
Name of Applicant:_____________________________________________________
The Applicant certifies to the applicable provisions of all categories: (check here) _______.
Or,
The Applicant certifies to the applicable provisions of the categories it has selected:
Category Certification
01 Certifications and Assurances Required of Every Applicant
02 Public Transportation Agency Safety Plans
03 Tax Liability and Felony Convictions
04 Private Sector Protections
05 Transit Asset Management Plan
06 Rolling Stock Buy America Reviews and Bus Testing
07 Urbanized Area Formula Grants Program
08 Formula Grants for Rural Areas
09 Fixed Guideway Capital Investment Grants and the Expedited
Project Delivery for Capital Investment Grants Pilot Program
10 Grants for Buses and Bus Facilities and Low or No Emission
Vehicle Deployment Grant Programs
11 Enhanced Mobility of Seniors and Individuals with Disabilities
Programs
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12 State of Good Repair Grants
13 Infrastructure Finance Programs
14 Alcohol and Controlled Substances Testing
15 Rail Safety Training and Oversight
16 Demand Responsive Service
17 Interest and Financing Costs
18 Cybersecurity Certification for Rail Rolling Stock and
Operations
19 Tribal Transit Programs
20 Emergency Relief Program
CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
AFFIRMATION OF APPLICANT
Name of the Applicant:
BY SIGNING BELOW, on behalf of the Applicant, I declare that it has duly authorized me to make these
Certifications and Assurances and bind its compliance. Thus, it agrees to comply with all federal laws, regulations,
and requirements, follow applicable federal guidance, and comply with the Certifications and Assurances as
indicated on the foregoing page applicable to each application its Authorized Representative makes to the Federal
Transit Administration (FTA) in the federal fiscal year, irrespective of whether the individual that acted on his or
her Applicant’s behalf continues to represent it.
The Certifications and Assurances the Applicant selects apply to each Award for which it now seeks, or may
seek in the future, of federal assistance to be awarded by FTA during the federal fiscal year.
The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the
statements submitted with this document and any other submission made to 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 by 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 statements made by me on behalf of the Applicant are true and accurate.
Signature Date:
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Name Authorized Representative of Applicant
AFFIRMATION OF APPLICANT’S ATTORNEY
For (Name of Applicant):
As the undersigned Attorney for the above-named Applicant, I hereby affirm the Applicant has the 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 it.
I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that
might adversely affect the validity of these Certifications and Assurances, or of the performance of its FTA
assisted Award.
Signature Date:
Name Attorney for Applicant
Each Applicant for federal assistance to be awarded by FTA must provide an Affirmation of Applicant’s Attorney
pertaining to the Applicant’s legal capacity. The Applicant may enter its electronic signature in lieu of the
Attorney’s signature within TrAMS, provided the Applicant has on file and uploaded to TrAMS this hard-copy
Affirmation, signed by the attorney and dated this federal fiscal year.
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