Public Transportation on Indian Reservations Program; Tribal Transit Program, 29569-29577 [E8-11338]
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Federal Register / Vol. 73, No. 99 / Wednesday, May 21, 2008 / Notices
business hours (9 a.m.–5 p.m.) at the
above facility. All documents in the
public docket are also available for
inspection and copying on the Internet
at the docket facility’s Web site at https://
www.regulations.gov.
Anyone is able to search the
electronic form of any written
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submitted on behalf of an association,
business, labor union, etc.). You may
review DOT’s complete Privacy Act
Statement in the Federal Register
published on April 11, 2000 (Volume
65, Number 70; Pages 19477–78).
Issued in Washington, DC, on May 15,
2005.
Grady C. Cothen, Jr.,
Deputy Associate Administrator for Safety
Standards and Program Development.
[FR Doc. E8–11362 Filed 5–20–08; 8:45 am]
BILLING CODE 4910–06–P
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Public Transportation on Indian
Reservations Program; Tribal Transit
Program
Federal Transit Administration
(FTA), DOT.
ACTION: Notice of Funding Availability:
Solicitation of Grant Applications for
FY 2008 Tribal Transit Program Funds.
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AGENCY:
SUMMARY: This notice announces the
availability of Fiscal Year (FY) 2008
funds for the Public Transportation on
Indian Reservations Program, a program
authorized by the Safe, Accountable,
Flexible, Efficient Transportation Equity
Act: A Legacy for Users (SAFETEA–LU),
Section 3013 (c). This notice includes a
national solicitation for Grant
Applications for FY 2008 Tribal Transit
Program (TTP) funds to be selected on
a competitive basis; the grant terms and
conditions that apply to this program;
and grant application procedures and
selection criteria for FY 2008 projects.
The Federal Transit Administration
(FTA) expects to have a total of $12
million for FY 2008. For more
information on the program and a list of
projects currently funded go to
https://www.fta.dot.gov/funding/grants/
grants_financing_3553.html
ADDRESSES: This announcement is
available on the FTA Web site at
https://www.fta.dot.gov. FTA will post a
synopsis of this announcement on the
government-wide electronic grants Web
site at: https://www.grants.gov.
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Applicants may submit applications in
one of three ways: delivering five hard
copies to Federal Transit
Administration, 1200 New Jersey
Avenue, SE., Washington, DC, 20590
Attention: Lorna R. Wilson; sending by
e-mail to fta.tribalprogram@dot.gov, or
filing electronically through the
grants.gov Web site at https://
www.grants.gov. Applicants applying by
e-mail must fax signature documents to
202–366–7951, Attention: Lorna Wilson.
FTA will announce final selections on
the Web site and in the Federal
Register.
DATES: Applicants must submit
completed applications by August 19,
2008. Anyone intending to apply
electronically should initiate the
process of registering on the grants.gov
site immediately to ensure completion
of registration before the deadline for
submission. FTA will announce grant
selections in the Federal Register when
the competitive selection process is
complete.
Applicants should be aware that
materials sent through the U.S. Postal
Service are subject to significant delays
in delivery due to the security screening
process. Use of courier or express
delivery services is recommended.
FOR FURTHER INFORMATION CONTACT:
Contact the appropriate FTA Regional
Tribal Liaison (Appendix B) for
application-specific information. For
general program information, contact
Lorna R. Wilson, Office of Transit
Programs, at (202) 366–2053, e-mail:
Lorna.Wilson@dot.gov. A TDD is
available at 1–800–877–8339 (TDD/
FIRS).
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. Background
III. Funding Opportunity Description
A. Authorized Funding For FY 2008
IV. Award Information
V. Eligibility Information
A. Eligible Applicants
B. Eligible Projects
VI. Cost Sharing or Matching
VII. Terms and Conditions
VIII. Guidelines for Preparing Grant
Application
IX. Application Content
A. Application Information
B. Technical, Legal, and Financial Capacity
C. Project Information
D. Application Evaluation Criteria
E. Submission Dates and Times
F. Intergovernmental Review
G. Funding Restrictions
H. Other Submission Requirements
X. Application Review Process
A. Competitive Selection Process
B. Evaluation Criteria
i. Criterion 1: Project Planning And
Coordination
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ii. Criterion 2: Demonstration Of Need
iii. Criterion 3: Benefits Of Project
iv. Criterion 4: Financial Commitment And
Operating Capacity
C. Proposals for Planning Grants
D. Review and Selection Process
E. Continuation Projects
XI. Award Administration Information
XII. Other Information
A. Technical Assistance
B. Certifications and Assurances
C. Reporting
D. Agency Contact(s)
Appendices
Appendix A. Federal Fiscal Year 2008
Certifications and Assurances for the
Federal Transit Administration Public
Transportation on Indian Reservation
Program
Appendix B. FTA Regional Offices and
Tribal Liaison
Appendix C. Technical Assistance
Contacts
I. Overview
Section 3013 of SAFETEA–LU, [Pub.
L. 109–59 (August 10, 2005)] amended
49 U.S.C. 5311(c) by establishing the
Public Transportation on Indian
Reservations Program (Tribal Transit
Program). This program authorizes
direct grants ‘‘under such terms and
conditions as may be established by the
Secretary’’ to Indian tribes for any
purpose eligible under FTA’s
Nonurbanized Area Formula Program,
49 U.S.C. 5311. The funding increases
from $8 million in FY 2006 to $15
million in FY 2009. The Conference
Report to SAFETEA–LU indicated that
the funds set aside for Indian tribes in
the TTP are not meant to replace or
reduce funds that Indian tribes receive
from States through FTA’s
Nonurbanized Area Formula Program.
The Catalog of Federal Domestic
Assistance (CFDA) number for the
program is 20.509.
II. Background
Prior to SAFETEA–LU, the Section
5311 program did not include a separate
public transit program for tribes. Tribes
were eligible under the Section 5311
program only as subrecipients.
SAFETEA–LU authorized a TTP and
authorized tribes to be direct recipients
of Section 5311 Program funds. As
expressed in the Conference Report for
SAFETEA–LU Congress intended that
the funds available for the TTP should
not replace or reduce funds tribes
receive from States under the Section
5311 program. FTA previously
published Notices of Funding
Availability for FY 2006 and FY 2007.
For more information on the program
and a list of projects currently funded go
to https://www.fta.dot.gov/funding/
grants/grants_financing_3553.html.
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III. Funding Opportunity Description
A. Authorized Funding for FY 2008
Section 3013 of SAFETEA–LU
established the TTP. The funds are to be
apportioned for grants to Indian tribes
for any purpose eligible under the
Nonurbanized Area Formula Program
(Section 5311 program). In FY 2008, $12
million is available for allocation to
projects selected through the process
announced in this notice.
IV. Award Information
The number and size of awards will
be determined through a competitive
process. Funding is available for startup services, enhancements or expansion
of existing transit services, and for
planning studies and operational
planning. Planning grants will be
limited to $25,000 per applicant. Tribes
may apply for FY 2008. Priority for FY
2008 funding will be given to
continuation projects selected in FY
2006 and FY 2007 that are in an active
status. All tribes seeking FY 2008 funds
must submit grant applications to FTA
by August 19, 2008.
V. Eligibility Information
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A. Eligible Applicants
Eligible applicants include Federallyrecognized Indian tribes or Alaska
Native villages, groups, or communities
as identified by the Bureau of Indian
Affairs (BIA) in the Department of the
Interior (DOI). To be an eligible
recipient, a tribe must have the requisite
legal, financial and technical
capabilities to receive and administer
Federal funds under this program. A
tribe may submit a copy of the most upto-date Federal Register Notice
published by DOI, BIA: Entities
Recognized and Eligible to Receive
Service from the United States Bureau
of Indian Affairs.
B. Eligible Projects
Eligible recipients may use TTP funds
for any purpose authorized under the
Section 5311 program. This means that
grants can be awarded to recipients
located in rural and small urban areas
with populations under 50,000 not
identified as an urbanized area by the
Bureau of the Census. The grants may be
used for public transportation capital
projects, operating costs of equipment
and facilities for use in public
transportation, planning, and the
acquisition of public transportation
services, including service agreements
with private providers of public
transportation services. Under
Department of Transportation (DOT)
Americans with Disabilities Act of 1990
(ADA) regulations, public fixed route
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operators are required to provide ADA
complementary paratransit service to
individuals who cannot use the fixed
route due to their disability.
Coordinated human service
transportation that primarily serves
elderly persons and persons with
disabilities, but that is not restricted
from carrying other members of the
public, is considered available to the
general public if it is marketed as public
transportation.
VI. Cost Sharing or Matching
No cost sharing is required for this
program. However, FTA encourages
tribes to leverage the program funds and
demonstrate commitment to the project
through in-kind contributions and use
of other funding sources that are
available to support public
transportation service.
VII. Terms and Conditions
Section 3013 of SAFETEA–LU
amended 49 U.S.C. 5311(c) by
authorizing funds for the TTP ‘‘under
such terms and conditions as may be
established by the Secretary.’’ Pursuant
to this discretionary statutory authority
in SAFETEA–LU, FTA published a
Federal Register notice dated March 22,
2006 (71 FR 14618), ‘‘Public
Transportation on Indian Reservations
Program (49 U.S.C. 5311(c)(1)): Notice of
Public Meetings, Proposed Grant
Program Provisions,’’ and proposed
certain statutory and regulatory terms
and conditions that should apply to
grants awarded under the TTP.
FTA received a substantial number of
comments from Indian tribes and other
groups concerning certain proposed
terms and conditions for the TTP. FTA
addressed these comments in the
Federal Register notice dated August
10, 2005, (71 FR 46878) and established
appropriate grant requirements for the
TTP.
The following terms and conditions
apply to the TTP:
1. Common Grant Rule (49 CFR part
18), ‘‘Uniform Administrative
Requirements for Grants and
Cooperative Agreements to State and
Local Governments.’’ This is a
government-wide requirement that
applies to all Federal assistance
programs.
2. Civil Rights Act of 1964, as
amended (42 U.S.C. 2000d). Unless
Indian tribes are specifically exempted
from civil rights statutes, compliance
with civil rights statutes is required,
including compliance with equity in
service. However, Indian tribes will not
be required to comply with FTA
program-specific guidance for Title VI
and Title VII
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3. Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C.
794), and the Americans with
Disabilities Act (ADA) requirements in
49 CFR parts 27, 37, and 38. These are
government-wide requirements that
apply to all Federal programs.
4. Drug and Alcohol Testing
requirements (49 CFR part 655). FTA
will apply this requirement because it
addresses a national safety issue for
operators of public transportation.
5. National Environmental Policy Act,
as amended (42 U.S.C. 4321 et seq). This
is a government-wide requirement that
applies to all Federal programs.
6. Charter Service and School Bus
transportation requirements in 49 CFR
parts 604 and 605. The definition of
‘‘public transportation’’ in 49 U.S.C.
5302 specifically excludes school bus
and charter service.
7. National Transit Database (NTD)
Reporting requirement. Title 49 U.S.C.
5335 requires NTD reporting for
recipients of Section 5311 funds. The
TTP is a Section 5311 program that will
provide funds directly to Indian tribes.
Therefore, this reporting requirement
applies.
8. Bus Testing requirements (49 CFR
part 665). To ensure that vehicles
acquired under this program will meet
adequate safety and operational
standards, this requirement will apply.
A comprehensive list and description
for all of the statutory and regulatory
terms and conditions that apply to the
TTP are set forth in FTA’s Master
Agreement for the TTP available on
FTA’s Web site at: https://
www.fta.dot.gov/
17861_18441_ENG_HTML.htm. Selected
grantees are required to have a signed
Certifications and Assurances for the FY
in which they apply for a grant. The
Certification and Assurances must be
signed by a legal entity. FTA has
provided information concerning
Certifications and Assurances in
Appendix A of this notice. Tribes are
required to select categories 01 and 22
for the purpose of the Tribal Transit
Program.
VIII. Guidelines for Preparing Grant
Application
FTA will divide the applications into
three categories for the purpose of
reviewing and selecting projects to be
funded:
A. Start ups—applications for funding
of new transit service;
B. Existing transit services—
applications for funding of
enhancements or expansion of existing
transit services (including continuation
of funding for start-ups selected for FY
2008 funding); and
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C. Planning—applications for funding
of planning studies and operational
planning.
The application should provide
information on all items for which tribes
are requesting funding in FY 2008, and
indicate the specific category in which
the tribe is applying.
IX. Application Content
A. Applicant Information
1. Name of Federally recognized tribe
and, if appropriate, the specific tribal
agency submitting the application.
2. Dun and Bradstreet (D&B) Data
Universal Numbering System (DUNS)
number if available. (Note: If selected,
applicant will be required to provide
DUNS number prior to grant award, and
DUNS number is required for
submitting through grants.gov).
3. Contact information including:
Contact name, title, address, fax and
phone number, and e-mail address if
available.
4. Description of public transportation
services including areas currently
served by tribe, if any.
5. Name of person (s) authorized to
apply on behalf of tribe (signed
transmittal letter should accompany
application if the application is
submitted in hard copy or e-mail).
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B. Technical, Legal, and Financial
Capacity to Implement the Proposed
Project
Tribes that cannot demonstrate
adequate capacity in technical, legal and
financial areas will not be considered
for funding. Every application must
describe the tribe’s technical, legal, and
financial capacity to implement the
proposed project.
1. Legal Capacity: Provide
documentation or other evidence to
show that the applicant is a Federally
recognized tribe. Also, who is the
authorized representative to execute
legal agreements with FTA on behalf of
the tribe? If currently operating transit
service, does the tribe have appropriate
Federal or State operating authority?
2. Technical Capacity: Give examples
of the tribe’s management of other
Federal projects. What resources does
the tribe have to implement a transit
project?
3. Financial Capacity: Does the tribe
have adequate financial systems in
place to receive and manage a Federal
grant? Describe the tribe’s financial
systems and controls.
C. Project Information
1. Budget: Provide the Federal amount
requested for each purpose for which
funds are sought and any funding from
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other sources that will be provided. If
applying for a multi-year project (not to
exceed 2 years), show annual request for
each year by budget line item.
2. Project Description: Indicate the
category for which funding is requested;
i.e., start-ups, enhancements or
replacements of existing transit services
or planning studies or operational
planning grants. Provide a summary
description of the proposed project and
how it will be implemented (e.g.,
number and type of vehicles, service
area, schedules, type of services, fixed
route or demand responsive), route
miles (if fixed route), major origins and
destinations, population served, and
whether the tribe provides the service
directly or contracts for services and
how will vehicles be maintained.
3. Project Timeline: Include
significant milestones such as date of
contract for purchase of vehicle(s),
actual or expected delivery date of
vehicles, and service start up dates.
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X. Application Review Process
A. Competitive Selection Process
Applications for funding of transit
services should address the application
criteria based on project to be funded
(for more detail see section X).
1. Criterion 1: Project Planning and
Coordination.
2. Criterion 2: Demonstration of Need.
3. Criterion 3: Benefits of Project.
4. Criterion 4: Financial Commitment
and Operating Capacity.
Applications for planning grants
should address the criteria in section X,
C of this notice.
FTA will divide applications into
three categories. The three evaluation
categories are as follows:
• Start-ups—Applications for funding
of new transit service.
• Existing transit services—
Applications for funding of
enhancements or expansion of existing
transit services.
• Planning—Applications for funding
of transit planning studies and/or
operational planning.
Applications will be grouped into
their respective category for review and
scoring purposes. Applications for
planning will be evaluated using a pass/
fail system, whereas start-up and
existing transit services applications
will be scored based on the evaluation
criteria to determine rank for funding
award determination purposes. An
applicant can receive up to 25 points for
each evaluation criterion, up to a total
score of 100.
FTA intends to award the full amount
of funding available in FY 2008 for the
TTP. FTA encourages applicants to
review the evaluation criteria and all
other related application information
prior to preparation of an application.
Applicants may receive technical
assistance for application development
by contacting their FTA regional Tribal
liaison, Tribal Transportation
Assistance Program (TTAP) center, or
the National Rural Transportation
Assistance Program (RTAP) office.
Contact information for technical
assistance can be found in Appendix C.
E. Intergovernmental Review
B. Evaluation Criteria
This program is not subject to
Executive Order 12372,
‘‘Intergovernmental Review of Federal
Programs.’’
1. Project Planning and Coordination
(25 Points)
D. Application Evaluation Criteria
F. Funding Restrictions
FTA will consider applications for
funding only from eligible recipients for
eligible activities (see section V). Due to
funding limitations, applicants that are
selected for funding may receive less
than the amount requested. The
application process will allow an Indian
tribe to apply for multiple years of
funding not to exceed two years. No
more than $25,000 in funding will be
awarded per planning grant. The
remaining funds will be made available
for applications for funding of start-up
or new systems, and enhancements or
expansion of existing transit service.
Current TTP grantees applying for FY
2008 projects must be in an active status
to receive additional funding.
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In this section, the applicant should
describe how the proposed project was
developed and demonstrate that there is
a sound basis for the project and that it
is ready to implement if funded.
Information may vary depending upon
whether the tribe has a formal plan that
includes transit.
a. Applicants without a formal plan
that includes transit are advised to
consider and address the following
areas:
i. Provide a detailed project
description including the proposed
service, vehicle and facility needs, and
other pertinent characteristics of the
proposed service implementation.
ii. Identify existing transportation
services available to the tribe and
discuss whether the proposed project
will provide opportunities to coordinate
service with existing transit services,
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including human service agencies,
intercity bus services, or other public
transit providers.
iii. Discuss the level of support either
by the community and/or tribal
government for the proposed project.
iv. Describe the implementation
schedule for the proposed project, such
as time frame, staffing, and
procurement.
b. Applicants with a formal transit
plan are advised to consider and
address the following areas:
i. Describe the planning document
and/or the planning process conducted
to identify the proposed project.
ii. Describe how the mobility and
client-access needs of tribal human
service agencies were considered in the
planning process.
iii. Describe what opportunities for
public participation were provided in
the planning process and how the
proposed transit service or existing
service has been coordinated with
transportation provided for the clients
of human service agencies, with
intercity bus transportation in the area,
or with any other rural public transit
providers.
iv. Describe how the proposed service
complements rather than duplicates any
currently available services.
v. Describe the implementation
schedule for the proposed project,
including time frame, staffing,
procurement, etc.
vi. Describe any other planning or
coordination efforts that were not
mentioned above.
c. Based on the information provided
as discussed in the above section,
proposals will be rated on the following:
i. Is there a sound basis for the
proposed project?
ii. Is the project ready to implement?
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2. Demonstration of Need (25 Points)
In this section, the application should
demonstrate the transit needs of the
tribe and discuss how the proposed
transit improvements will address the
identified transit needs of the tribe.
Applications may include information
such as destinations and services not
currently accessible by transit, need for
access to jobs or health care, special
needs of the elderly and individuals
with disabilities, income-based
community needs, or other mobility
needs.
Based on the information provided,
the proposals will be rated on the
following:
a. Is there a demonstrated need for the
project?
b. How well does the project fulfill
the need?
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3. Benefits of Project (25 Points)
In this section, applications should
identify expected project benefits.
Possible examples include increased
ridership and daily trips, improved
service, improved operations and
coordination, and economic benefits to
the community.
Benefits can be demonstrated by
identifying the population of tribal
members and non-tribal members in the
proposed project service area and
estimating the number of daily one-way
trips the transit service will provide and
or the number of individual riders.
There may be many other, less
quantifiable, benefits to the tribe and
surrounding community from this
project. Please document, explain or
show the benefits in whatever format is
reasonable to present them.
Based on the information provided
proposals will be rated based on:
a. Will the project improve transit
efficiency or increase ridership?
b. Will the project improve mobility
for the tribe?
c. Will the project improve access to
important destinations and services?
d. Are there other qualitative benefits?
4. Financial Commitment and Operating
Capacity (25 Points)
In this section, the application should
identify any other funding sources used
by the tribe to support existing or
proposed transit services, including
human service transportation funding,
Indian Reservation Roads, or other FTA
programs such as Job Access and
Reverse Commute (JARC), New
Freedom, section 5311, section 5310, or
section 5309 bus and bus facilities
funding.
For existing services, the application
should show how TTP funding will
supplement (not duplicate or replace)
current funding sources. If the transit
system was previously funded under
section 5311 through the State’s
apportionment, describe how requested
TTP funding will expand available
services.
Describe any other resources the tribe
will contribute to the project, including
in-kind contributions, commitments of
support from local businesses,
donations of land or equipment, and
human resources, and describe to what
extent the new project or funding for
existing service leverages other funding.
The tribe should show its ability to
manage programs by demonstrating the
existing programs it administers in any
area of expertise such as human
services. Based upon the information
provided, the proposals will be rated on
the extent to which the proposal
demonstrates that:
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a. This project provides new services
or complements existing service;
b. TTP funding does not replace
existing funding;
c. The tribe has or will provide nonfinancial support to project;
d. The tribe has demonstrated ability
to provide other services or manage
other programs; and
e. Project funds are used in
coordination with other services for
efficient utilization of funds.
C. Proposals for Planning Grants
For planning grants, the application
should describe, in no more than three
pages, the need for and a general scope
of the proposed study.
1. Criteria: Need for Planning Study
Based on the information provided,
proposals will be rated pass/fail based
on the following:
a. Is the tribe committed to planning
for transit?
b. Is the scope of the proposed study
for tribal transit?
D. Review and Selection Process
Each application will be screened by
a panel of members, including FTA
Headquarters and regional staff.
Incomplete or non-responsive
applications will be disqualified. FTA
will make an effort to award grants to as
many qualified applicants as possible.
E. Continuation Projects
If an applicant is proposing a
continuation project, using FY 2008
funding, tribes must demonstrate that
their project(s) are in an active status to
receive additional funding. Along with
the criteria listed in Section B,
proposals should state that the applicant
is a current TTP grantee and provide
information on their transit project(s)
status including services now being
provided and how the new funding will
complement the existing service. Please
provide any extenuating data that would
be helpful to project evaluators; i.e.,
ridership, increased service hours,
extended service routes, stops, etc. If
you received a planning grant in FY
2006 or in FY 2007, please indicate the
status of your planning study and how
this project relates to that study.
XI. Award Administration Information
FTA will award grants directly to
federally recognized Indian tribes for
the projects selected through this
competition. Following publication of
the selected recipients, projects, and
amounts, FTA regional staff will assist
the successful applicants in preparing
electronic applications for grant awards.
At that time, the tribe will be required
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to sign the Certification and Assurances
contained in Appendix A. The Master
Agreement is available on FTA’s Web
site at https://www.fta.dot.gov/
17861_18441_ENG_HTML.htm.
Applicants that are selected for grant
awards under the TTP will be required
to formally designate, by resolution or
other formal tribal action, an authorized
representative who will have the
authority to execute grant agreements on
behalf of the Indian tribe with FTA and
who will also have the authority on
behalf of the Indian tribe to execute
FTA’s Annual List of Certifications and
Assurances.
FTA will notify all applicants, both
those selected for funding and those not
selected, when the competitive selection
process is complete. Projects selected
for funding will be published in a
Federal Register notice.
XII. Other Information
A. Technical Assistance
Technical assistance regarding these
requirements is available from each FTA
regional office. The regional offices will
contact those applicants selected for
funding regarding procedures for
making the required certifications and
assurances to FTA before grants are
made and will provide assistance in
preparing the documentation necessary
for the grant award.
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B. Certifications and Assurances
Applicants that are selected for grant
awards under the TTP will be required
to formally designate, by resolution or
other formal tribal action, an authorized
representative who will have the
authority to execute grant agreements on
behalf of the Indian tribe with FTA and
who will also have the authority on
behalf of the Indian tribe to execute
FTA’s Annual List of Certifications and
Assurances. The Annual List of
Certifications and Assurances is
attached in Appendix A for
informational purposes only.
C. Reporting
Title 49 U.S.C. 5335 requires
recipients, including tribes, of Section
5311 program funds to report data, as
specified in 49 U.S.C. 5311(b)(4), to the
National Transit Database (NTD).
Specific procedures and data
requirements for tribes are being
developed and will be available on the
NTD Web site. For technical assistance,
contact Lauren Tuzikow at 703–462–
5233, e-mail:
Lauren.tuzikow@TSPUSA.com. For
NTD program information, contact Gary
DeLorme at 202–366–1652. Annual
progress reports and financial status
reports will be required of all recipients.
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D. Agency Contact(s)
Contact the appropriate FTA regional
Tribal Liaison (Appendix B) for
application specific information and
issues For general program information,
contact Lorna R. Wilson, Office of
Transit Programs, at (202) 366–2053, email: Lorna.Wilson@dot.gov. A TDD is
available at 1–800–877–8339 (TDD/
FIRS).
Issued in Washington, DC, this 15th day of
May, 2008.
James S. Simpson,
Administrator.
Appendix A. Federal Fiscal Year 2008
Certifications and Assurances for the
Federal Transit Administration Public
Transportation on Indian Reservation
Program
Federal Fiscal Year 2008 Certifications and
Assurances for Federal Transit
Administration Assistance Programs
Preface
In accordance with 49 U.S.C. 5323(n), the
following certifications and assurances have
been compiled for Federal Transit
Administration (FTA) assistance programs.
FTA requests each Applicant to provide as
many certifications and assurances as needed
for all programs for which the Applicant
intends to seek FTA assistance during
Federal Fiscal Year 2008. Twenty-four (24)
Categories of certifications and assurances
are listed by numbers 01 through 24 in the
TEAM–Web ‘‘Recipients’’ option at the
‘‘Cert’s & Assurances’’ tab of ‘‘View/Modify
Recipients.’’ Category 01 applies to all
Applicants. Category 02 applies to all
applications for Federal assistance in excess
of $100,000. Categories 03 through 24 will
apply to and be required for some, but not
all, Applicants and projects. FTA’s annual
certifications and assurances permit the
Applicant to select a single certification
which can cover all the programs for which
it anticipates submitting an application. FTA
requests the Applicant to read each
certification and assurance carefully and
select all certifications and assurances that
may apply to the programs for which it
expects to seek Federal assistance.
FTA and the Applicant understand and
agree that not every provision of these
certifications and assurances will apply to
every Applicant or every project for which
FTA provides Federal financial assistance
through a Grant Agreement or Cooperative
Agreement. The type of project and the
section of the statute authorizing Federal
financial assistance for the project will
determine which provisions apply. The terms
of these certifications and assurances reflect
applicable requirements of FTA’s enabling
legislation currently in effect.
The Applicant also understands and agrees
that these certifications and assurances are
special pre-award requirements specifically
prescribed by Federal law or regulation and
do not encompass all Federal laws,
regulations, and directives that may apply to
the Applicant or its project. A comprehensive
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list of those Federal laws, regulations, and
directives is contained in the current FTA
Master Agreement MA(14) for Federal Fiscal
Year 2008 at the FTA Web site https://
www.fta.dot.gov/documents/14-Master.pdf.
The certifications and assurances in this
document have been streamlined to remove
most provisions not covered by statutory or
regulatory certification or assurance
requirements.
Because many requirements of these
certifications and assurances will require the
compliance of the subrecipient of an
Applicant, we strongly recommend that each
Applicant, including a State, that will be
implementing projects through one or more
subrecipients, secure sufficient
documentation from each subrecipient to
ensure compliance, not only with these
certifications and assurances, but also with
the terms of the Grant Agreement or
Cooperative Agreement for the project, and
the Master Agreement or an alternative
Master Agreement for its project, if
applicable, incorporated therein by reference.
Each Applicant is ultimately responsible for
compliance with the provisions of the
certifications and assurances applicable to
itself or its project irrespective of
participation in the project by any
subrecipient.
01. Assurances Required for Each Applicant
Each Applicant for FTA assistance must
provide all assurances in this Category ‘‘01.’’
Except to the extent that FTA expressly
determines otherwise in writing, FTA may
not award any Federal assistance until the
Applicant provides the following assurances
by selecting Category ‘‘01.’’
A. Assurance of Authority of the Applicant
and Its Representative
The authorized representative of the
Applicant and the attorney who sign these
certifications, assurances, and agreements
affirm that both the Applicant and its
authorized representative have adequate
authority under applicable State, local, or
Indian tribal law and regulations, and the
Applicant’s by-laws or internal rules to:
(1) Execute and file the application for
Federal assistance on behalf of the Applicant;
(2) Execute and file the required
certifications, assurances, and agreements on
behalf of the Applicant binding the
Applicant; and
(3) Execute grant agreements and
cooperative agreements with FTA on behalf
of the Applicant.
B. Standard Assurances
The Applicant ensures that it will comply
with all applicable Federal statutes and
regulations in carrying out any project
supported by an FTA grant or cooperative
agreement. The Applicant agrees that it is
under a continuing obligation to comply with
the terms and conditions of the grant
agreement or cooperative agreement issued
for its project with FTA. The Applicant
recognizes that Federal laws and regulations
may be modified from time to time and those
modifications may affect project
implementation. The Applicant understands
that Presidential executive orders and
Federal directives, including Federal policies
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and program guidance may be issued
concerning matters affecting the Applicant or
its project. The Applicant agrees that the
most recent Federal laws, regulations, and
directives will apply to the project, unless
FTA issues a written determination
otherwise.
C. Intergovernmental Review Assurance
Except if the Applicant is an Indian tribal
government seeking assistance authorized by
49 U.S.C. 5311(c)(1), the Applicant ensures
that each application for Federal assistance it
submits to FTA has been submitted or will
be submitted for intergovernmental review to
the appropriate State and local agencies as
determined by the State. Specifically, the
Applicant ensures that it has fulfilled or will
fulfill the obligations imposed on FTA by
U.S. Department of Transportation (U.S.
DOT) regulations, ‘‘Intergovernmental
Review of Department of Transportation
Programs and Activities,’’ 49 CFR part 17.
This assurance does not apply to Applicants
for Federal assistance derived from FTA’s
Tribal Transit Program, 49 U.S.C. 5311(c)(1).
D. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which
prohibits discrimination on the basis of race,
color, creed, national origin, sex, or age, and
prohibits discrimination in employment or
business opportunity), by Title VI of the Civil
Rights Act of 1964, as amended, 42 U.S.C.
2000d, and by U.S. DOT regulations,
‘‘Nondiscrimination in Federally-Assisted
Programs of the Department of
Transportation—Effectuation of Title VI of
the Civil Rights Act,’’ 49 CFR Part 21 at 21.7,
the Applicant ensures that it will comply
with all requirements imposed by or issued
pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d,
and 49 CFR Part 21, so that no person in the
United States, on the basis of race, color,
national origin, creed, sex, or age will be
excluded from participation in, be denied the
benefits of, or otherwise be subjected to
discrimination in any program or activity
(particularly in the level and quality of
transportation services and transportationrelated benefits) for which the Applicant
receives Federal assistance awarded by the
U.S. DOT or FTA.
Specifically, during the period in which
Federal assistance is extended to the project,
or project property is used for a purpose for
which the Federal assistance is extended or
for another purpose involving the provision
of similar services or benefits, or as long as
the Applicant retains ownership or
possession of the project property, whichever
is longer, the Applicant ensures that:
(1) Each project will be conducted,
property acquisitions will be undertaken, and
project facilities will be operated in
accordance with all applicable requirements
imposed by or issued pursuant to 49 U.S.C.
5332, 42 U.S.C. 2000d, and 49 CFR part 21,
and understands that this assurance extends
to its entire facility and to facilities operated
in connection with the project.
(2) It will promptly take the necessary
actions to effectuate this assurance, including
notifying the public that complaints of
discrimination in the provision of
transportation-related services or benefits
may be filed with U.S. DOT or FTA. Upon
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request by U.S. DOT or FTA, the Applicant
ensures that it will submit the required
information pertaining to its compliance with
these provisions.
(3) It will include in each subagreement,
property transfer agreement, third party
contract, third party subcontract, or
participation agreement adequate provisions
to extend the requirements imposed by or
issued pursuant to 49 U.S.C. 5332, 42 U.S.C.
2000d and 49 CFR Part 21 to other parties
involved therein including any subrecipient,
transferee, third party contractor, third party
subcontractor at any level, successor in
interest, or any other participant in the
project.
(4) Should it transfer real property,
structures, or improvements financed with
Federal assistance provided by FTA to
another party, any deeds and instruments
recording the transfer of that property shall
contain a covenant running with the land
assuring nondiscrimination for the period
during which the property is used for a
purpose for which the Federal assistance is
extended or for another purpose involving
the provision of similar services or benefits.
(5) The United States has a right to seek
judicial enforcement with regard to any
matter arising under the Act, regulations, and
this assurance.
(6) It will make any changes in its Title VI
implementing procedures as U.S. DOT or
FTA may request to achieve compliance with
the requirements imposed by or issued
pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d,
and 49 CFR Part 21.
E. Assurance of Nondiscrimination on the
Basis of Disability
As required by U.S. DOT regulations,
‘‘Nondiscrimination on the Basis of Handicap
in Programs and Activities Receiving or
Benefiting from Federal Financial
Assistance,’’ at 49 CFR 27.9, the Applicant
ensures that, as a condition to the approval
or extension of any Federal assistance
awarded by FTA to construct any facility,
obtain any rolling stock or other equipment,
undertake studies, conduct research, or to
participate in or obtain any benefit from any
program administered by FTA, no otherwise
qualified person with a disability shall be,
solely by reason of that disability, excluded
from participation in, denied the benefits of,
or otherwise subjected to discrimination in
any program or activity receiving or
benefiting from Federal assistance
administered by the FTA or any entity within
U.S. DOT. The Applicant ensures that project
implementation and operations so assisted
will comply with all applicable requirements
of U.S. DOT regulations implementing the
Rehabilitation Act of 1973, as amended, 29
U.S.C. 794, et. seq., and the Americans with
Disabilities Act of 1990, as amended, 42
U.S.C. 12101 et. seq., and implementing U.S.
DOT regulations at 49 CFR Parts 27, 37, and
38, and any other applicable Federal laws
that may be enacted or Federal regulations
that may be promulgated.
F. U.S. Office of Management and Budget
(OMB) Assurances
Consistent with OMB assurances set forth
in SF–424B and SF–424D, the Applicant
ensures that, with respect to itself or its
project, the Applicant:
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(1) Has the legal authority to apply for
Federal assistance and the institutional,
managerial, and financial capability
(including funds sufficient to pay the nonFederal share of project cost) to ensure
proper planning, management, and
completion of the project described in its
application;
(2) Will give FTA, 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;
(3) 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;
(4) Will initiate and complete the work
within the applicable project time periods
following receipt of FTA approval;
(5) Will comply with all applicable Federal
statutes relating to nondiscrimination
including, but not limited to:
(a) Title VI of the Civil Rights Act, 42
U.S.C. 2000d, which prohibits discrimination
on the basis of race, color, or national origin;
(b) Title IX of the Education Amendments
of 1972, as amended, 20 U.S.C. 1681 through
1683, and 1685 through 1687, and U.S. DOT
regulations, ‘‘Nondiscrimination on the Basis
of Sex in Education Programs or Activities
Receiving Federal Financial Assistance,’’ 49
CFR part 25, which prohibit discrimination
on the basis of sex;
(c) Section 504 of the Rehabilitation Act of
1973, as amended, 29 U.S.C. 794, which
prohibits discrimination on the basis of
disability;
(d) The Age Discrimination Act of 1975, as
amended, 42 U.S.C. 6101 through 6107,
which prohibits discrimination on the basis
of age;
(e) The Drug Abuse Office and Treatment
Act of 1972, as amended, 21 U.S.C. 1101 et
seq., relating to nondiscrimination on the
basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and
Alcoholism Prevention Act of 1970, as
amended, 42 U.S.C. 4541 et seq. relating to
nondiscrimination on the basis of alcohol
abuse or alcoholism;
(g) The Public Health Service Act of 1912,
as amended, 42 U.S.C. 201 et seq., relating to
confidentiality of alcohol and drug abuse
patient records;
(h) Title VIII of the Civil Rights Act, 42
U.S.C. 3601 et seq., relating to
nondiscrimination in the sale, rental, or
financing of housing; and
(i) Any other nondiscrimination statute(s)
that may apply to the project;
(6) To the extent applicable, will comply
with, or has complied with, the requirements
of Titles II and III of the Uniform Relocation
Assistance and Real Property Acquisition
Policies Act of 1970, as amended, (Uniform
Relocation Act) 42 U.S.C. 4601 et seq.,
which, among other things, provide for fair
and equitable treatment of persons displaced
or persons whose property is acquired as a
result of Federal or federally assisted
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programs. These requirements apply to all
interests in real property acquired for project
purposes and displacement caused by the
project regardless of Federal participation in
any purchase. As required by sections 210
and 305 of the Uniform Relocation Act, 42
U.S.C. 4630 and 4655, and by U.S. DOT
regulations, ‘‘Uniform Relocation Assistance
and Real Property Acquisition for Federal
and Federally Assisted Programs,’’ 49 CFR
24.4, the Applicant ensures that it has the
requisite authority under applicable state and
local law to comply with the requirements of
the Uniform Relocation Act, 42 U.S.C. 4601
et seq., and U.S. DOT regulations, ‘‘Uniform
Relocation Assistance and Real Property
Acquisition for Federal and Federally
Assisted Programs,’’ 49 CFR part 24, and will
comply with that Act or has complied with
that Act and those implementing regulations,
including but not limited to the following:
(a) The Applicant will adequately inform
each affected person of the benefits, policies,
and procedures provided for in 49 CFR part
24;
(b) The Applicant will provide fair and
reasonable relocation payments and
assistance as required by 42 U.S.C. 4622,
4623, and 4624; 49 CFR part 24; and any
applicable FTA procedures, to or for families,
individuals, partnerships, corporations, or
associations displaced as a result of any
project financed with FTA assistance;
(c) The Applicant will provide relocation
assistance programs offering the services
described in 42 U.S.C. 4625 to such
displaced families, individuals, partnerships,
corporations, or associations in the manner
provided in 49 CFR part 24;
(d) Within a reasonable time before
displacement, the Applicant will make
available comparable replacement dwellings
to displaced families and individuals as
required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the
relocation process in such manner as to
provide displaced persons with uniform and
consistent services, and will make available
replacement housing in the same range of
choices with respect to such housing to all
displaced persons regardless of race, color,
religion, or national origin;
(f) In acquiring real property, the Applicant
will be guided to the greatest extent
practicable under state law, by the real
property acquisition policies of 42 U.S.C.
4651 and 4652;
(g) The Applicant will pay or reimburse
property owners for necessary expenses as
specified in 42 U.S.C. 4653 and 4654, with
the understanding that FTA will provide
Federal financial assistance for the
Applicant’s eligible costs of providing
payments for those expenses, as required by
42 U.S.C. 4631;
(h) The Applicant will execute such
amendments to third party contracts and
subagreements financed with FTA assistance
and execute, furnish, and be bound by such
additional documents as FTA may determine
necessary to effectuate or implement the
assurances provided herein; and
(i) The Applicant agrees to make these
assurances part of or incorporate them by
reference into any third party contract or
subagreement, or any amendments thereto,
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15:18 May 20, 2008
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relating to any project financed by FTA
involving relocation or land acquisition and
provide in any affected document that these
relocation and land acquisition provisions
shall supersede any conflicting provisions;
(7) To the extent applicable, will comply
with the Davis-Bacon Act, as amended, 40
U.S.C. 3141 et seq., the Copeland ‘‘AntiKickback’’ Act, as amended, 18 U.S.C. 874,
and the Contract Work Hours and Safety
Standards Act, as amended, 40 U.S.C. 3701
et seq., regarding labor standards for federally
assisted projects;
(8) To the extent applicable, will comply
with the flood insurance purchase
requirements of section 102(a) of the Flood
Disaster Protection Act of 1973, as amended,
42 U.S.C. 4012a(a), requiring the Applicant
and its subrecipients in a special flood
hazard area to participate in the program and
purchase flood insurance if the total cost of
insurable construction and acquisition is
$10,000 or more;
(9) To the extent applicable, will comply
with the Lead-Based Paint Poisoning
Prevention Act, 42 U.S.C. 4831(b), which
prohibits the use of lead-based paint in the
construction or rehabilitation of residence
structures;
(10) To the extent applicable, 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 on which a
construction project supported with FTA
assistance takes place without permission
and instructions from FTA;
(11) To the extent required by FTA, will
record the Federal interest in the title of real
property, and will include a covenant in the
title of real property acquired in whole or in
part with Federal assistance funds to ensure
nondiscrimination during the useful life of
the project;
(12) To the extent applicable, will comply
with FTA provisions concerning the drafting,
review, and approval of construction plans
and specifications of any construction project
supported with FTA assistance. As required
by U.S. DOT regulations, ‘‘Seismic Safety,’’
49 CFR 41.117(d), before accepting delivery
of any building financed with FTA
assistance, it will obtain a certificate of
compliance with the seismic design and
construction requirements of 49 CFR part 41;
(13) To the extent applicable, will provide
and maintain competent and adequate
engineering supervision at the construction
site of any project supported with FTA
assistance to ensure that the complete work
conforms with the approved plans and
specifications, and will furnish progress
reports and such other information as may be
required by FTA or the state;
(14) To the extent applicable, will comply
with any applicable environmental standards
that may be prescribed to implement the
following Federal laws and executive orders:
(a) Institution of environmental quality
control measures under the National
Environmental Policy Act of 1969, as
amended, 42 U.S.C. 4321 through 4335 and
Executive Order No. 11514, as amended, 42
U.S.C. 4321 note;
(b) Notification of violating facilities
pursuant to Executive Order No. 11738, 42
U.S.C. 7606 note;
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(c) Protection of wetlands pursuant to
Executive Order No. 11990, 42 U.S.C. 4321
note;
(d) Evaluation of flood hazards in
floodplains in accordance with Executive
Order No. 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with
the approved state management program
developed pursuant to the requirements of
the Coastal Zone Management Act of 1972, as
amended, 16 U.S.C. 1451 through 1465;
(f) 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 through 7671q;
(g) Protection of underground sources of
drinking water under the Safe Drinking
Water Act of 1974, as amended, 42 U.S.C.
300f through 300j-6;
(h) Protection of endangered species under
the Endangered Species Act of 1973, as
amended, 16 U.S.C. 1531 through 1544; and
(i) Environmental protections for Federal
transportation programs, including, but not
limited to, protections for parks, recreation
areas, or wildlife or waterfowl refuges of
national, state, or local significance or any
land from a historic site of national, State, or
local significance to be used in a
transportation project as required by 49
U.S.C. 303(b) and 303(c);
(j) Protection of the components of the
national wild and scenic rivers systems, as
required under the Wild and Scenic Rivers
Act of 1968, as amended, 16 U.S.C. 1271
through 1287; and
(k) Provision of assistance to FTA in
complying with section 106 of the National
Historic Preservation Act of 1966, as
amended, 16 U.S.C. 470f; with the
Archaeological and Historic Preservation Act
of 1974, as amended, 16 U.S.C. 469 through
469c; and with Executive Order No. 11593
(identification and protection of historic
properties), 16 U.S.C. 470 note;
(15) To the extent applicable, will comply
with the requirements of the Hatch Act, 5
U.S.C. 1501 through 1508 and 7324 through
7326, which limit the political activities of
State and local agencies and their officers
and employees whose primary employment
activities are financed in whole or part with
Federal funds including a Federal loan, grant
agreement, or cooperative agreement except,
in accordance with 49 U.S.C. 5307(k)(2) and
23 U.S.C. 142(g), the Hatch Act does not
apply to a nonsupervisory employee of a
public transportation system (or of any other
agency or entity performing related
functions) receiving FTA assistance to whom
that Act does not otherwise apply;
(16) To the extent applicable, will comply
with the National Research Act, Public Law
93–348, July 12, 1974, as amended, 42 U.S.C.
289 et seq., and U.S. DOT regulations,
‘‘Protection of Human Subjects,’’ 49 CFR Part
11, regarding the protection of human
subjects involved in research, development,
and related activities supported by Federal
assistance;
(17) To the extent applicable, will comply
with the Laboratory Animal Welfare Act of
1966, as amended, 7 U.S.C. 2131 et seq., and
U.S. Department of Agriculture regulations,
‘‘Animal Welfare,’’ 9 CFR subchapter A, parts
1, 2, 3, and 4, regarding the care, handling,
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and treatment of warm blooded animals held
or used for research, teaching, or other
activities supported by Federal assistance;
(18) Will have performed the financial and
compliance audits as required by the Single
Audit Act Amendments of 1996, 31 U.S.C.
7501 et seq., OMB Circular A–133, ‘‘Audits
of States, Local Governments, and Non-Profit
Organizations,’’ Revised, and the most recent
applicable OMB A–133 Compliance
Supplement provisions for the U.S. DOT; and
(19) To the extent applicable, will comply
with all applicable provisions of all other
Federal laws, regulations, and directives
governing the project, except to the extent
that FTA has expressly approved otherwise
in writing.
Selection and Signature Page(s) follow
FEDERAL FISCAL YEAR 2008
CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION
ASSISTANCE PROGRAMS
(Signature page alternative to providing
Certifications and Assurances in TEAM-Web)
Name of Applicant:
lllllllllllllllllllll
The Applicant agrees to comply with
applicable provisions of Categories 01–24.
OR
The Applicant agrees to comply with
applicable provisions of the Categories it has
selected:
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Category
Each Applicant for Tribal Transit Program
assistance must provide all certifications and
assurance set forth below. Except to the
extent that FTA determines otherwise in
writing, FTA may not award any Federal
assistance under the Tribal Transit Program
until the Applicant provides these
certifications and assurances by selecting
Category ‘‘22.’’
In accordance with 49 U.S.C. 5311(c)(1)
that authorizes the Secretary of
Transportation to establish terms and
conditions for direct grants to Indian tribal
governments, the Applicant certifies and
ensures as follows:
A. The Applicant ensures that:
(1) It has or will have the necessary legal,
financial, and managerial capability to apply
for, receive, and disburse Federal assistance
authorized for 49 U.S.C. 5311; and to carry
out each project, including the safety and
security aspects of that project;
(2) It has or will have satisfactory
continuing control over the use of project
equipment and facilities;
(3) The project equipment and facilities
will be adequately maintained; and
(4) Its project will achieve maximum
feasible coordination with transportation
service assisted by other Federal sources.
B. In accordance with 49 CFR
18.36(g)(3)(ii), the Applicant certifies that its
procurement system will comply with the
requirements of 49 CFR 18.36, or will inform
FTA promptly that its procurement system
does not comply with 49 CFR 18.36.
C. To the extent applicable to the
Applicant or its Project, the Applicant
certifies that it will comply with the
certifications, assurances, and agreements in
Category 08 (Bus Testing), Category 09
(Charter Bus Agreement), Category 10
(School Transportation Agreement), Category
11 (Demand Responsive Service), Category 12
(Alcohol Misuse and Prohibited Drug Use),
and Category 14 (National Intelligent
Transportation Systems Architecture and
Standards) of this document.
D. If its application exceeds $100,000, the
Applicant agrees to comply with the
certification in Category 02 (Lobbying) of this
document.
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18 .........
19 .........
20 .........
21 .........
22 .........
22. Tribal Transit Program
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Category
Jkt 214001
01 .........
02 .........
03 .........
04 .........
05 .........
06 .........
07 .........
08 .........
09 .........
10 .........
11 .........
12 .........
13 .........
14 .........
15 .........
16 .........
17 .........
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Description
Assurances Required For
Each Applicant.
Lobbying ..........
Procurement
Compliance.
Protections for
Private Providers of Public Transportation.
Public Hearing
Acquisition of
Rolling Stock
for Use in
Revenue
Service.
Acquisition of
Capital Assets by Lease.
Bus Testing ......
Charter Service
Agreement.
School Transportation
Agreement.
Demand Responsive
Service.
Alcohol Misuse
and Prohibited Drug Use.
Interest and
Other Financing Costs.
Intelligent
Transportation Systems.
Urbanized Area
Formula Program.
Clean Fuels
Grant Program.
Elderly Individuals and Individuals with
Disabilities
Formula Program and
Pilot Program.
Frm 00099
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23 .........
24 .........
Description
Nonurbanized
Area Formula
Program for
States.
Job Access and
Reverse
Commute
Program.
New Freedom
Program.
Alternative
Transportation in
Parks and
Public Lands
Program.
Tribal Transit
Program.
Infrastructure Finance
Projects.
Deposits of
Federal Financial Assistance to a
State Infrastructure
Banks.
FEDERAL FISCAL YEAR 2008 FTA
CERTIFICATIONS AND ASSURANCES
SIGNATURE PAGE
(Required of all Applicants for FTA
assistance and all FTA Grantees with an
active capital or formula project)
AFFIRMATION OF APPLICANT
Name of Applicant:
lllllllllllllllllllll
Name and Relationship of Authorized
Representative:
lllllllllllllllllllll
BY SIGNING BELOW, on behalf of the
Applicant, I declare that the Applicant has
duly authorized me to make these
certifications and assurances and bind the
Applicant’s compliance. Thus, the Applicant
agrees to comply with all Federal statutes,
regulations, executive orders, and directives,
and with the certifications and assurances as
indicated on the foregoing page applicable to
each application it makes to the Federal
Transit Administration (FTA) in Federal
Fiscal Year 2008.
FTA intends that the certifications and
assurances the Applicant selects on the other
side of this document, as representative of
the certifications and assurances in this
document, should apply, as provided, to each
project for which the Applicant seeks now,
or may later, seek FTA assistance during
Federal Fiscal Year 2008.
The Applicant affirms the truthfulness and
accuracy of the certifications and assurances
it has made in the statements submitted
herein with this document and any other
submission made to FTA, and acknowledges
that the 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
E:\FR\FM\21MYN1.SGM
21MYN1
Federal Register / Vol. 73, No. 99 / Wednesday, May 21, 2008 / Notices
fraud provisions of 18 U.S.C. 1001 apply to
any certification, assurance, or submission
made in connection with a Federal public
transportation program authorized in 49
U.S.C. chapter 53 or any other statute. In
signing this document, I declare under
penalties of perjury that the foregoing
certifications and assurances, and any other
statements made by me on behalf of the
Applicant are true and correct.
Signature llllllllllllllll
Date: llllllllllllllllll
Name llllllllllllllllll
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT’S
ATTORNEY
For (Name of Applicant):
lllllllllllllllllllll
As the undersigned Attorney for the above
named Applicant, I hereby affirm to the
Applicant that it has authority under State,
local, or tribal government law, as applicable,
to make and comply with the certifications
and assurances as indicated on the foregoing
pages. I further affirm that, in my opinion,
the certifications and assurances have been
legally made and constitute legal and binding
obligations on the Applicant.
I further affirm to the Applicant that, to the
best of my knowledge, there is no legislation
or litigation pending or imminent that might
adversely affect the validity of these
certifications and assurances, or of the
performance of the project.
Signature llllllllllllllll
Date: llllllllllllllllll
Name llllllllllllllllll
Attorney for Applicant
Each Applicant for FTA financial
assistance and each FTA Grantee with an
active capital or formula project must
provide an Affirmation of Applicant’s
Attorney pertaining to the Applicant’s legal
capacity. The Applicant may enter its
signature in lieu of the Attorney’s signature,
provided the Applicant has on file this
Affirmation, signed by the attorney and dated
this Federal fiscal year.
cprice-sewell on PROD1PC69 with NOTICES
Appendix B—FTA Regional Offices and
Tribal Transit Liaisons
Region I—Massachusetts, Rhode Island,
Connecticut, New Hampshire, Vermont
and Maine.
Richard H. Doyle, FTA Regional
Administrator, Volpe National
Transportation Systems Center, Kendall
Square, 55 Broadway, Suite 920,
Cambridge, MA 02142–1093, Phone:
(617) 494–2055, Fax: (617) 494–2865.
Regional Tribal Liaison: Judi Molloy.
Region II—New York, New Jersey.
Brigid Hynes-Cherin, FTA Regional
Administrator, One Bowling Green,
Room 429, New York, NY 10004–1415,
Phone: (212) 668–2170, Fax: (212) 668–
2136. Regional Tribal Liaison: Rebecca
Reyes-Alicea.
Region III—Pennsylvania, Maryland,
Virginia, West Virginia, Delaware,
Washington, DC.
Letitia Thompson, FTA Regional
Administrator, 1760 Market Street, Suite
VerDate Aug<31>2005
15:18 May 20, 2008
Jkt 214001
500, Philadelphia, PA 19103–4124,
Phone: (215) 656–7100, Fax: (215) 656–
7260.
Region IV—Georgia, North Carolina, South
Carolina, Florida, Mississippi,
Tennessee, Kentucky, Alabama, Puerto
Rico, Virgin Islands.
Yvette G. Taylor, FTA Regional
Administrator, 230 Peachtree St., NW.,
Suite 800, Atlanta, GA 30303, Tel.: (404)
865–5600, Fax: (404) 865–5605. Regional
Tribal Liaisons: Jamie Pfister and James
Garland.
Region V—Illinois, Indiana, Ohio, Wisconsin,
Minnesota, Michigan.
Marisol R. Simon, FTA Regional
Administrator, 200 West Adams Street,
Suite 320, Chicago, IL 60606–5232,
Phone: (312) 353–2789, Fax: (312) 886–
0351. Regional Tribal Liaisons: William
Wheeler, Joyce Taylor.
Region VI—Texas, New Mexico, Louisiana,
Arkansas, Oklahoma.
Robert Patrick, FTA Regional
Administrator, 819 Taylor Street, Room
8A36, Ft. Worth, TX 76102, Phone: (817)
978–0550, Fax: (817) 978–0575. Regional
Tribal Liaison: Lynn Hayes.
Region VII—Iowa, Nebraska, Kansas,
Missouri.
Mokhtee Ahmad, FTA Regional
Administrator, 901 Locust Street, Suite
404, Kansas City, MO 64106, Phone:
(816) 329–3920, Fax: (816) 329–3921.
Regional Tribal Liaisons: Joni Roeseler
and Cathy Monroe.
Region VIII—Colorado, North Dakota, South
Dakota, Montana, Wyoming, Utah.
Terry Rosapep, FTA Regional
Administrator, 12300 West Dakota
Avenue, Suite 310, Lakewood, CO
80228–2583, Phone: (720) 963–3300,
Fax: (720) 963–3333. Regional Tribal
Liaisons: Jennifer Stewart and David
Beckhouse.
Region IX—California, Arizona, Nevada,
Hawaii, American Samoa, Guam.
Leslie Rogers, FTA Regional Administrator,
201 Mission Street, Suite 1650, San
Francisco, CA 94105–1831, Phone: (415)
744–3133, Fax: (415) 744–2726. Regional
Tribal Liaison: Lorraine Lerman.
Region X—Washington, Oregon, Idaho,
Alaska.
Richard Krochalis, FTA Regional
Administrator, Jackson Federal Building,
915 Second Avenue, Suite 3142, Seattle,
WA 98174–1002, Phone: (206) 220–7954,
Fax: (206) 220–7959. Regional Tribal
Liaisons: Bill Ramos and Annette
Clothier.
Appendix C—Technical Assistance
Contacts
Tribal Technical Assistance Program (TTAP)
Centers
TTAP-Alaska
Alaska Tribal Technical Assistance Program,
NW & AK TTAP, 329 Harbor Dr. #208,
Sitka, AK 99835, Contact: Dan Moreno,
Telephone: (800) 399–6376, Fax: (907)
747–5032, E-mail: dmoreno@mail.ewu.edu.
Web: https://www.ewu.edu/TTAP.
PO 00000
Frm 00100
Fmt 4703
Sfmt 4703
29577
TTAP-California
TTAP-California-Nevada, The National
Center for American Indian Enterprise
Development, 11138 Valley Mall, Suite
200, El Monte, CA 91731, Contact: Lee
Bigwater, Telephone: (626) 350–4446, Fax:
(626) 442–7115.
TTAP-Colorado
Tribal Technical Assistance Program at
Colorado State University, Rockwell Hall,
Rm. 321, Colorado State University, Fort
Collins, CO 80523–1276, Contact: Ronald
Hall, Telephone: (800) 262–7623, Fax:
(970) 491–3502, E-mail:
ronald.hall@colostate.edu. Web: https://
ttap.colostate.edu/.
TTAP-Michigan
Tribal Technical Assistance Program, 301–E
Dillman Hall, Michigan Technological
University, 1400 Townsend Dr., Houghton,
MI 49931–1295, Contact: Bernard D.
Alkire, Telephone: (888) 230–0688, Fax:
(906) 487–1834, E-mail: balkire@mtu.edu.
Web: https://www.ttap.mtu.edu.
TTAP-North Dakota
Northern Plains Tribal Technical Assistance
Program, United Tribes Technical College,
3315 University Drive, Bismarck, ND
58504, Contact: Dennis Trusty, Telephone:
(701) 255–3285 ext. 1262, Fax: (701) 530–
0635, E-mail: nddennis@hotmail.com or
dtrusty@uttc.edu. Web: https://
www.uttc.edu/organizations/ttap/ttap.asp.
TTAP-NW
Northwest Tribal Technical Assistance
Program, Eastern Washington University
Department of Urban Planning, Public &
Health Administration, 216 Isle Hall,
Cheney, WA 99004, Contact: David Frey,
Telephone: (800) 583–3187, Fax: (509)
359–7485, E-mail: rrolland@ewu.edu. Web:
https://www.ewu.edu/TTAP.
TTAP-Oklahoma
Tribal Technical Assistance Program at
Oklahoma State University, Oklahoma
State University, 5202 N. Richmond Hills
Road, Stillwater, OK 74078–0001, Contact:
James Self, Telephone: (405) 744–6049,
Fax: (405) 744–7268, E-mail:
jim.self@okstate.edu. Web: https://
ttap.okstate.edu.
Additional Technical Assistance Resources
National RTAP (National Rural Transit
Assistance Program), E-mail:
nationalrtap@apwa.net. https://
www.nationalrtap.org/. Dave Barr 202–
218–6722.
Community Transportation Association of
America, The Resource Center—800–891–
0590. https://www.ctaa.org/.
[FR Doc. E8–11338 Filed 5–20–08; 8:45 am]
BILLING CODE 4910–57–P
E:\FR\FM\21MYN1.SGM
21MYN1
Agencies
[Federal Register Volume 73, Number 99 (Wednesday, May 21, 2008)]
[Notices]
[Pages 29569-29577]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-11338]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Public Transportation on Indian Reservations Program; Tribal
Transit Program
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice of Funding Availability: Solicitation of Grant
Applications for FY 2008 Tribal Transit Program Funds.
-----------------------------------------------------------------------
SUMMARY: This notice announces the availability of Fiscal Year (FY)
2008 funds for the Public Transportation on Indian Reservations
Program, a program authorized by the Safe, Accountable, Flexible,
Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU),
Section 3013 (c). This notice includes a national solicitation for
Grant Applications for FY 2008 Tribal Transit Program (TTP) funds to be
selected on a competitive basis; the grant terms and conditions that
apply to this program; and grant application procedures and selection
criteria for FY 2008 projects. The Federal Transit Administration (FTA)
expects to have a total of $12 million for FY 2008. For more
information on the program and a list of projects currently funded go
to https://www.fta.dot.gov/funding/grants/grants_financing_3553.html
ADDRESSES: This announcement is available on the FTA Web site at http:/
/www.fta.dot.gov. FTA will post a synopsis of this announcement on the
government-wide electronic grants Web site at: https://www.grants.gov.
Applicants may submit applications in one of three ways: delivering
five hard copies to Federal Transit Administration, 1200 New Jersey
Avenue, SE., Washington, DC, 20590 Attention: Lorna R. Wilson; sending
by e-mail to fta.tribalprogram@dot.gov, or filing electronically
through the grants.gov Web site at https://www.grants.gov. Applicants
applying by e-mail must fax signature documents to 202-366-7951,
Attention: Lorna Wilson. FTA will announce final selections on the Web
site and in the Federal Register.
DATES: Applicants must submit completed applications by August 19,
2008. Anyone intending to apply electronically should initiate the
process of registering on the grants.gov site immediately to ensure
completion of registration before the deadline for submission. FTA will
announce grant selections in the Federal Register when the competitive
selection process is complete.
Applicants should be aware that materials sent through the U.S.
Postal Service are subject to significant delays in delivery due to the
security screening process. Use of courier or express delivery services
is recommended.
FOR FURTHER INFORMATION CONTACT: Contact the appropriate FTA Regional
Tribal Liaison (Appendix B) for application-specific information. For
general program information, contact Lorna R. Wilson, Office of Transit
Programs, at (202) 366-2053, e-mail: Lorna.Wilson@dot.gov. A TDD is
available at 1-800-877-8339 (TDD/FIRS).
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. Background
III. Funding Opportunity Description
A. Authorized Funding For FY 2008
IV. Award Information
V. Eligibility Information
A. Eligible Applicants
B. Eligible Projects
VI. Cost Sharing or Matching
VII. Terms and Conditions
VIII. Guidelines for Preparing Grant Application
IX. Application Content
A. Application Information
B. Technical, Legal, and Financial Capacity
C. Project Information
D. Application Evaluation Criteria
E. Submission Dates and Times
F. Intergovernmental Review
G. Funding Restrictions
H. Other Submission Requirements
X. Application Review Process
A. Competitive Selection Process
B. Evaluation Criteria
i. Criterion 1: Project Planning And Coordination
ii. Criterion 2: Demonstration Of Need
iii. Criterion 3: Benefits Of Project
iv. Criterion 4: Financial Commitment And Operating Capacity
C. Proposals for Planning Grants
D. Review and Selection Process
E. Continuation Projects
XI. Award Administration Information
XII. Other Information
A. Technical Assistance
B. Certifications and Assurances
C. Reporting
D. Agency Contact(s)
Appendices
Appendix A. Federal Fiscal Year 2008 Certifications and
Assurances for the Federal Transit Administration Public
Transportation on Indian Reservation Program
Appendix B. FTA Regional Offices and Tribal Liaison
Appendix C. Technical Assistance Contacts
I. Overview
Section 3013 of SAFETEA-LU, [Pub. L. 109-59 (August 10, 2005)]
amended 49 U.S.C. 5311(c) by establishing the Public Transportation on
Indian Reservations Program (Tribal Transit Program). This program
authorizes direct grants ``under such terms and conditions as may be
established by the Secretary'' to Indian tribes for any purpose
eligible under FTA's Nonurbanized Area Formula Program, 49 U.S.C. 5311.
The funding increases from $8 million in FY 2006 to $15 million in FY
2009. The Conference Report to SAFETEA-LU indicated that the funds set
aside for Indian tribes in the TTP are not meant to replace or reduce
funds that Indian tribes receive from States through FTA's Nonurbanized
Area Formula Program. The Catalog of Federal Domestic Assistance (CFDA)
number for the program is 20.509.
II. Background
Prior to SAFETEA-LU, the Section 5311 program did not include a
separate public transit program for tribes. Tribes were eligible under
the Section 5311 program only as subrecipients. SAFETEA-LU authorized a
TTP and authorized tribes to be direct recipients of Section 5311
Program funds. As expressed in the Conference Report for SAFETEA-LU
Congress intended that the funds available for the TTP should not
replace or reduce funds tribes receive from States under the Section
5311 program. FTA previously published Notices of Funding Availability
for FY 2006 and FY 2007. For more information on the program and a list
of projects currently funded go to https://www.fta.dot.gov/funding/
grants/grants_financing_3553.html.
[[Page 29570]]
III. Funding Opportunity Description
A. Authorized Funding for FY 2008
Section 3013 of SAFETEA-LU established the TTP. The funds are to be
apportioned for grants to Indian tribes for any purpose eligible under
the Nonurbanized Area Formula Program (Section 5311 program). In FY
2008, $12 million is available for allocation to projects selected
through the process announced in this notice.
IV. Award Information
The number and size of awards will be determined through a
competitive process. Funding is available for start-up services,
enhancements or expansion of existing transit services, and for
planning studies and operational planning. Planning grants will be
limited to $25,000 per applicant. Tribes may apply for FY 2008.
Priority for FY 2008 funding will be given to continuation projects
selected in FY 2006 and FY 2007 that are in an active status. All
tribes seeking FY 2008 funds must submit grant applications to FTA by
August 19, 2008.
V. Eligibility Information
A. Eligible Applicants
Eligible applicants include Federally-recognized Indian tribes or
Alaska Native villages, groups, or communities as identified by the
Bureau of Indian Affairs (BIA) in the Department of the Interior (DOI).
To be an eligible recipient, a tribe must have the requisite legal,
financial and technical capabilities to receive and administer Federal
funds under this program. A tribe may submit a copy of the most up-to-
date Federal Register Notice published by DOI, BIA: Entities Recognized
and Eligible to Receive Service from the United States Bureau of Indian
Affairs.
B. Eligible Projects
Eligible recipients may use TTP funds for any purpose authorized
under the Section 5311 program. This means that grants can be awarded
to recipients located in rural and small urban areas with populations
under 50,000 not identified as an urbanized area by the Bureau of the
Census. The grants may be used for public transportation capital
projects, operating costs of equipment and facilities for use in public
transportation, planning, and the acquisition of public transportation
services, including service agreements with private providers of public
transportation services. Under Department of Transportation (DOT)
Americans with Disabilities Act of 1990 (ADA) regulations, public fixed
route operators are required to provide ADA complementary paratransit
service to individuals who cannot use the fixed route due to their
disability. Coordinated human service transportation that primarily
serves elderly persons and persons with disabilities, but that is not
restricted from carrying other members of the public, is considered
available to the general public if it is marketed as public
transportation.
VI. Cost Sharing or Matching
No cost sharing is required for this program. However, FTA
encourages tribes to leverage the program funds and demonstrate
commitment to the project through in-kind contributions and use of
other funding sources that are available to support public
transportation service.
VII. Terms and Conditions
Section 3013 of SAFETEA-LU amended 49 U.S.C. 5311(c) by authorizing
funds for the TTP ``under such terms and conditions as may be
established by the Secretary.'' Pursuant to this discretionary
statutory authority in SAFETEA-LU, FTA published a Federal Register
notice dated March 22, 2006 (71 FR 14618), ``Public Transportation on
Indian Reservations Program (49 U.S.C. 5311(c)(1)): Notice of Public
Meetings, Proposed Grant Program Provisions,'' and proposed certain
statutory and regulatory terms and conditions that should apply to
grants awarded under the TTP.
FTA received a substantial number of comments from Indian tribes
and other groups concerning certain proposed terms and conditions for
the TTP. FTA addressed these comments in the Federal Register notice
dated August 10, 2005, (71 FR 46878) and established appropriate grant
requirements for the TTP.
The following terms and conditions apply to the TTP:
1. Common Grant Rule (49 CFR part 18), ``Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local
Governments.'' This is a government-wide requirement that applies to
all Federal assistance programs.
2. Civil Rights Act of 1964, as amended (42 U.S.C. 2000d). Unless
Indian tribes are specifically exempted from civil rights statutes,
compliance with civil rights statutes is required, including compliance
with equity in service. However, Indian tribes will not be required to
comply with FTA program-specific guidance for Title VI and Title VII
3. Section 504 of the Rehabilitation Act of 1973, as amended (29
U.S.C. 794), and the Americans with Disabilities Act (ADA) requirements
in 49 CFR parts 27, 37, and 38. These are government-wide requirements
that apply to all Federal programs.
4. Drug and Alcohol Testing requirements (49 CFR part 655). FTA
will apply this requirement because it addresses a national safety
issue for operators of public transportation.
5. National Environmental Policy Act, as amended (42 U.S.C. 4321 et
seq). This is a government-wide requirement that applies to all Federal
programs.
6. Charter Service and School Bus transportation requirements in 49
CFR parts 604 and 605. The definition of ``public transportation'' in
49 U.S.C. 5302 specifically excludes school bus and charter service.
7. National Transit Database (NTD) Reporting requirement. Title 49
U.S.C. 5335 requires NTD reporting for recipients of Section 5311
funds. The TTP is a Section 5311 program that will provide funds
directly to Indian tribes. Therefore, this reporting requirement
applies.
8. Bus Testing requirements (49 CFR part 665). To ensure that
vehicles acquired under this program will meet adequate safety and
operational standards, this requirement will apply.
A comprehensive list and description for all of the statutory and
regulatory terms and conditions that apply to the TTP are set forth in
FTA's Master Agreement for the TTP available on FTA's Web site at:
https://www.fta.dot.gov/17861_18441_ENG_HTML.htm. Selected grantees
are required to have a signed Certifications and Assurances for the FY
in which they apply for a grant. The Certification and Assurances must
be signed by a legal entity. FTA has provided information concerning
Certifications and Assurances in Appendix A of this notice. Tribes are
required to select categories 01 and 22 for the purpose of the Tribal
Transit Program.
VIII. Guidelines for Preparing Grant Application
FTA will divide the applications into three categories for the
purpose of reviewing and selecting projects to be funded:
A. Start ups--applications for funding of new transit service;
B. Existing transit services--applications for funding of
enhancements or expansion of existing transit services (including
continuation of funding for start-ups selected for FY 2008 funding);
and
[[Page 29571]]
C. Planning--applications for funding of planning studies and
operational planning.
The application should provide information on all items for which
tribes are requesting funding in FY 2008, and indicate the specific
category in which the tribe is applying.
IX. Application Content
A. Applicant Information
1. Name of Federally recognized tribe and, if appropriate, the
specific tribal agency submitting the application.
2. Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS)
number if available. (Note: If selected, applicant will be required to
provide DUNS number prior to grant award, and DUNS number is required
for submitting through grants.gov).
3. Contact information including: Contact name, title, address, fax
and phone number, and e-mail address if available.
4. Description of public transportation services including areas
currently served by tribe, if any.
5. Name of person (s) authorized to apply on behalf of tribe
(signed transmittal letter should accompany application if the
application is submitted in hard copy or e-mail).
B. Technical, Legal, and Financial Capacity to Implement the Proposed
Project
Tribes that cannot demonstrate adequate capacity in technical,
legal and financial areas will not be considered for funding. Every
application must describe the tribe's technical, legal, and financial
capacity to implement the proposed project.
1. Legal Capacity: Provide documentation or other evidence to show
that the applicant is a Federally recognized tribe. Also, who is the
authorized representative to execute legal agreements with FTA on
behalf of the tribe? If currently operating transit service, does the
tribe have appropriate Federal or State operating authority?
2. Technical Capacity: Give examples of the tribe's management of
other Federal projects. What resources does the tribe have to implement
a transit project?
3. Financial Capacity: Does the tribe have adequate financial
systems in place to receive and manage a Federal grant? Describe the
tribe's financial systems and controls.
C. Project Information
1. Budget: Provide the Federal amount requested for each purpose
for which funds are sought and any funding from other sources that will
be provided. If applying for a multi-year project (not to exceed 2
years), show annual request for each year by budget line item.
2. Project Description: Indicate the category for which funding is
requested; i.e., start-ups, enhancements or replacements of existing
transit services or planning studies or operational planning grants.
Provide a summary description of the proposed project and how it will
be implemented (e.g., number and type of vehicles, service area,
schedules, type of services, fixed route or demand responsive), route
miles (if fixed route), major origins and destinations, population
served, and whether the tribe provides the service directly or
contracts for services and how will vehicles be maintained.
3. Project Timeline: Include significant milestones such as date of
contract for purchase of vehicle(s), actual or expected delivery date
of vehicles, and service start up dates.
D. Application Evaluation Criteria
Applications for funding of transit services should address the
application criteria based on project to be funded (for more detail see
section X).
1. Criterion 1: Project Planning and Coordination.
2. Criterion 2: Demonstration of Need.
3. Criterion 3: Benefits of Project.
4. Criterion 4: Financial Commitment and Operating Capacity.
Applications for planning grants should address the criteria in
section X, C of this notice.
E. Intergovernmental Review
This program is not subject to Executive Order 12372,
``Intergovernmental Review of Federal Programs.''
F. Funding Restrictions
FTA will consider applications for funding only from eligible
recipients for eligible activities (see section V). Due to funding
limitations, applicants that are selected for funding may receive less
than the amount requested. The application process will allow an Indian
tribe to apply for multiple years of funding not to exceed two years.
No more than $25,000 in funding will be awarded per planning grant. The
remaining funds will be made available for applications for funding of
start-up or new systems, and enhancements or expansion of existing
transit service. Current TTP grantees applying for FY 2008 projects
must be in an active status to receive additional funding.
X. Application Review Process
A. Competitive Selection Process
FTA will divide applications into three categories. The three
evaluation categories are as follows:
Start-ups--Applications for funding of new transit
service.
Existing transit services--Applications for funding of
enhancements or expansion of existing transit services.
Planning--Applications for funding of transit planning
studies and/or operational planning.
Applications will be grouped into their respective category for
review and scoring purposes. Applications for planning will be
evaluated using a pass/fail system, whereas start-up and existing
transit services applications will be scored based on the evaluation
criteria to determine rank for funding award determination purposes. An
applicant can receive up to 25 points for each evaluation criterion, up
to a total score of 100.
FTA intends to award the full amount of funding available in FY
2008 for the TTP. FTA encourages applicants to review the evaluation
criteria and all other related application information prior to
preparation of an application. Applicants may receive technical
assistance for application development by contacting their FTA regional
Tribal liaison, Tribal Transportation Assistance Program (TTAP) center,
or the National Rural Transportation Assistance Program (RTAP) office.
Contact information for technical assistance can be found in Appendix
C.
B. Evaluation Criteria
1. Project Planning and Coordination (25 Points)
In this section, the applicant should describe how the proposed
project was developed and demonstrate that there is a sound basis for
the project and that it is ready to implement if funded. Information
may vary depending upon whether the tribe has a formal plan that
includes transit.
a. Applicants without a formal plan that includes transit are
advised to consider and address the following areas:
i. Provide a detailed project description including the proposed
service, vehicle and facility needs, and other pertinent
characteristics of the proposed service implementation.
ii. Identify existing transportation services available to the
tribe and discuss whether the proposed project will provide
opportunities to coordinate service with existing transit services,
[[Page 29572]]
including human service agencies, intercity bus services, or other
public transit providers.
iii. Discuss the level of support either by the community and/or
tribal government for the proposed project.
iv. Describe the implementation schedule for the proposed project,
such as time frame, staffing, and procurement.
b. Applicants with a formal transit plan are advised to consider
and address the following areas:
i. Describe the planning document and/or the planning process
conducted to identify the proposed project.
ii. Describe how the mobility and client-access needs of tribal
human service agencies were considered in the planning process.
iii. Describe what opportunities for public participation were
provided in the planning process and how the proposed transit service
or existing service has been coordinated with transportation provided
for the clients of human service agencies, with intercity bus
transportation in the area, or with any other rural public transit
providers.
iv. Describe how the proposed service complements rather than
duplicates any currently available services.
v. Describe the implementation schedule for the proposed project,
including time frame, staffing, procurement, etc.
vi. Describe any other planning or coordination efforts that were
not mentioned above.
c. Based on the information provided as discussed in the above
section, proposals will be rated on the following:
i. Is there a sound basis for the proposed project?
ii. Is the project ready to implement?
2. Demonstration of Need (25 Points)
In this section, the application should demonstrate the transit
needs of the tribe and discuss how the proposed transit improvements
will address the identified transit needs of the tribe. Applications
may include information such as destinations and services not currently
accessible by transit, need for access to jobs or health care, special
needs of the elderly and individuals with disabilities, income-based
community needs, or other mobility needs.
Based on the information provided, the proposals will be rated on
the following:
a. Is there a demonstrated need for the project?
b. How well does the project fulfill the need?
3. Benefits of Project (25 Points)
In this section, applications should identify expected project
benefits. Possible examples include increased ridership and daily
trips, improved service, improved operations and coordination, and
economic benefits to the community.
Benefits can be demonstrated by identifying the population of
tribal members and non-tribal members in the proposed project service
area and estimating the number of daily one-way trips the transit
service will provide and or the number of individual riders. There may
be many other, less quantifiable, benefits to the tribe and surrounding
community from this project. Please document, explain or show the
benefits in whatever format is reasonable to present them.
Based on the information provided proposals will be rated based on:
a. Will the project improve transit efficiency or increase
ridership?
b. Will the project improve mobility for the tribe?
c. Will the project improve access to important destinations and
services?
d. Are there other qualitative benefits?
4. Financial Commitment and Operating Capacity (25 Points)
In this section, the application should identify any other funding
sources used by the tribe to support existing or proposed transit
services, including human service transportation funding, Indian
Reservation Roads, or other FTA programs such as Job Access and Reverse
Commute (JARC), New Freedom, section 5311, section 5310, or section
5309 bus and bus facilities funding.
For existing services, the application should show how TTP funding
will supplement (not duplicate or replace) current funding sources. If
the transit system was previously funded under section 5311 through the
State's apportionment, describe how requested TTP funding will expand
available services.
Describe any other resources the tribe will contribute to the
project, including in-kind contributions, commitments of support from
local businesses, donations of land or equipment, and human resources,
and describe to what extent the new project or funding for existing
service leverages other funding.
The tribe should show its ability to manage programs by
demonstrating the existing programs it administers in any area of
expertise such as human services. Based upon the information provided,
the proposals will be rated on the extent to which the proposal
demonstrates that:
a. This project provides new services or complements existing
service;
b. TTP funding does not replace existing funding;
c. The tribe has or will provide non-financial support to project;
d. The tribe has demonstrated ability to provide other services or
manage other programs; and
e. Project funds are used in coordination with other services for
efficient utilization of funds.
C. Proposals for Planning Grants
For planning grants, the application should describe, in no more
than three pages, the need for and a general scope of the proposed
study.
1. Criteria: Need for Planning Study
Based on the information provided, proposals will be rated pass/
fail based on the following:
a. Is the tribe committed to planning for transit?
b. Is the scope of the proposed study for tribal transit?
D. Review and Selection Process
Each application will be screened by a panel of members, including
FTA Headquarters and regional staff. Incomplete or non-responsive
applications will be disqualified. FTA will make an effort to award
grants to as many qualified applicants as possible.
E. Continuation Projects
If an applicant is proposing a continuation project, using FY 2008
funding, tribes must demonstrate that their project(s) are in an active
status to receive additional funding. Along with the criteria listed in
Section B, proposals should state that the applicant is a current TTP
grantee and provide information on their transit project(s) status
including services now being provided and how the new funding will
complement the existing service. Please provide any extenuating data
that would be helpful to project evaluators; i.e., ridership, increased
service hours, extended service routes, stops, etc. If you received a
planning grant in FY 2006 or in FY 2007, please indicate the status of
your planning study and how this project relates to that study.
XI. Award Administration Information
FTA will award grants directly to federally recognized Indian
tribes for the projects selected through this competition. Following
publication of the selected recipients, projects, and amounts, FTA
regional staff will assist the successful applicants in preparing
electronic applications for grant awards. At that time, the tribe will
be required
[[Page 29573]]
to sign the Certification and Assurances contained in Appendix A. The
Master Agreement is available on FTA's Web site at https://
www.fta.dot.gov/17861_18441_ENG_HTML.htm.
Applicants that are selected for grant awards under the TTP will be
required to formally designate, by resolution or other formal tribal
action, an authorized representative who will have the authority to
execute grant agreements on behalf of the Indian tribe with FTA and who
will also have the authority on behalf of the Indian tribe to execute
FTA's Annual List of Certifications and Assurances.
FTA will notify all applicants, both those selected for funding and
those not selected, when the competitive selection process is complete.
Projects selected for funding will be published in a Federal Register
notice.
XII. Other Information
A. Technical Assistance
Technical assistance regarding these requirements is available from
each FTA regional office. The regional offices will contact those
applicants selected for funding regarding procedures for making the
required certifications and assurances to FTA before grants are made
and will provide assistance in preparing the documentation necessary
for the grant award.
B. Certifications and Assurances
Applicants that are selected for grant awards under the TTP will be
required to formally designate, by resolution or other formal tribal
action, an authorized representative who will have the authority to
execute grant agreements on behalf of the Indian tribe with FTA and who
will also have the authority on behalf of the Indian tribe to execute
FTA's Annual List of Certifications and Assurances. The Annual List of
Certifications and Assurances is attached in Appendix A for
informational purposes only.
C. Reporting
Title 49 U.S.C. 5335 requires recipients, including tribes, of
Section 5311 program funds to report data, as specified in 49 U.S.C.
5311(b)(4), to the National Transit Database (NTD). Specific procedures
and data requirements for tribes are being developed and will be
available on the NTD Web site. For technical assistance, contact Lauren
Tuzikow at 703-462-5233, e-mail: Lauren.tuzikow@TSPUSA.com. For NTD
program information, contact Gary DeLorme at 202-366-1652. Annual
progress reports and financial status reports will be required of all
recipients.
D. Agency Contact(s)
Contact the appropriate FTA regional Tribal Liaison (Appendix B)
for application specific information and issues For general program
information, contact Lorna R. Wilson, Office of Transit Programs, at
(202) 366-2053, e-mail: Lorna.Wilson@dot.gov. A TDD is available at 1-
800-877-8339 (TDD/FIRS).
Issued in Washington, DC, this 15th day of May, 2008.
James S. Simpson,
Administrator.
Appendix A. Federal Fiscal Year 2008 Certifications and Assurances for
the Federal Transit Administration Public Transportation on Indian
Reservation Program
Federal Fiscal Year 2008 Certifications and Assurances for Federal
Transit Administration Assistance Programs
Preface
In accordance with 49 U.S.C. 5323(n), the following
certifications and assurances have been compiled for Federal Transit
Administration (FTA) assistance programs. FTA requests each
Applicant to provide as many certifications and assurances as needed
for all programs for which the Applicant intends to seek FTA
assistance during Federal Fiscal Year 2008. Twenty-four (24)
Categories of certifications and assurances are listed by numbers 01
through 24 in the TEAM-Web ``Recipients'' option at the ``Cert's &
Assurances'' tab of ``View/Modify Recipients.'' Category 01 applies
to all Applicants. Category 02 applies to all applications for
Federal assistance in excess of $100,000. Categories 03 through 24
will apply to and be required for some, but not all, Applicants and
projects. FTA's annual certifications and assurances permit the
Applicant to select a single certification which can cover all the
programs for which it anticipates submitting an application. FTA
requests the Applicant to read each certification and assurance
carefully and select all certifications and assurances that may
apply to the programs for which it expects to seek Federal
assistance.
FTA and the Applicant understand and agree that not every
provision of these certifications and assurances will apply to every
Applicant or every project for which FTA provides Federal financial
assistance through a Grant Agreement or Cooperative Agreement. The
type of project and the section of the statute authorizing Federal
financial assistance for the project will determine which provisions
apply. The terms of these certifications and assurances reflect
applicable requirements of FTA's enabling legislation currently in
effect.
The Applicant also understands and agrees that these
certifications and assurances are special pre-award requirements
specifically prescribed by Federal law or regulation and do not
encompass all Federal laws, regulations, and directives that may
apply to the Applicant or its project. A comprehensive list of those
Federal laws, regulations, and directives is contained in the
current FTA Master Agreement MA(14) for Federal Fiscal Year 2008 at
the FTA Web site https://www.fta.dot.gov/documents/14-Master.pdf. The
certifications and assurances in this document have been streamlined
to remove most provisions not covered by statutory or regulatory
certification or assurance requirements.
Because many requirements of these certifications and assurances
will require the compliance of the subrecipient of an Applicant, we
strongly recommend that each Applicant, including a State, that will
be implementing projects through one or more subrecipients, secure
sufficient documentation from each subrecipient to ensure
compliance, not only with these certifications and assurances, but
also with the terms of the Grant Agreement or Cooperative Agreement
for the project, and the Master Agreement or an alternative Master
Agreement for its project, if applicable, incorporated therein by
reference. Each Applicant is ultimately responsible for compliance
with the provisions of the certifications and assurances applicable
to itself or its project irrespective of participation in the
project by any subrecipient.
01. Assurances Required for Each Applicant
Each Applicant for FTA assistance must provide all assurances in
this Category ``01.'' Except to the extent that FTA expressly
determines otherwise in writing, FTA may not award any Federal
assistance until the Applicant provides the following assurances by
selecting Category ``01.''
A. Assurance of Authority of the Applicant and Its Representative
The authorized representative of the Applicant and the attorney
who sign these certifications, assurances, and agreements affirm
that both the Applicant and its authorized representative have
adequate authority under applicable State, local, or Indian tribal
law and regulations, and the Applicant's by-laws or internal rules
to:
(1) Execute and file the application for Federal assistance on
behalf of the Applicant;
(2) Execute and file the required certifications, assurances,
and agreements on behalf of the Applicant binding the Applicant; and
(3) Execute grant agreements and cooperative agreements with FTA
on behalf of the Applicant.
B. Standard Assurances
The Applicant ensures that it will comply with all applicable
Federal statutes and regulations in carrying out any project
supported by an FTA grant or cooperative agreement. The Applicant
agrees that it is under a continuing obligation to comply with the
terms and conditions of the grant agreement or cooperative agreement
issued for its project with FTA. The Applicant recognizes that
Federal laws and regulations may be modified from time to time and
those modifications may affect project implementation. The Applicant
understands that Presidential executive orders and Federal
directives, including Federal policies
[[Page 29574]]
and program guidance may be issued concerning matters affecting the
Applicant or its project. The Applicant agrees that the most recent
Federal laws, regulations, and directives will apply to the project,
unless FTA issues a written determination otherwise.
C. Intergovernmental Review Assurance
Except if the Applicant is an Indian tribal government seeking
assistance authorized by 49 U.S.C. 5311(c)(1), the Applicant ensures
that each application for Federal assistance it submits to FTA has
been submitted or will be submitted for intergovernmental review to
the appropriate State and local agencies as determined by the State.
Specifically, the Applicant ensures that it has fulfilled or will
fulfill the obligations imposed on FTA by U.S. Department of
Transportation (U.S. DOT) regulations, ``Intergovernmental Review of
Department of Transportation Programs and Activities,'' 49 CFR part
17. This assurance does not apply to Applicants for Federal
assistance derived from FTA's Tribal Transit Program, 49 U.S.C.
5311(c)(1).
D. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on
the basis of race, color, creed, national origin, sex, or age, and
prohibits discrimination in employment or business opportunity), by
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000d, and by U.S. DOT regulations, ``Nondiscrimination in
Federally-Assisted Programs of the Department of Transportation--
Effectuation of Title VI of the Civil Rights Act,'' 49 CFR Part 21
at 21.7, the Applicant ensures that it will comply with all
requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42
U.S.C. 2000d, and 49 CFR Part 21, so that no person in the United
States, on the basis of race, color, national origin, creed, sex, or
age will be excluded from participation in, be denied the benefits
of, or otherwise be subjected to discrimination in any program or
activity (particularly in the level and quality of transportation
services and transportation-related benefits) for which the
Applicant receives Federal assistance awarded by the U.S. DOT or
FTA.
Specifically, during the period in which Federal assistance is
extended to the project, or project property is used for a purpose
for which the Federal assistance is extended or for another purpose
involving the provision of similar services or benefits, or as long
as the Applicant retains ownership or possession of the project
property, whichever is longer, the Applicant ensures that:
(1) Each project will be conducted, property acquisitions will
be undertaken, and project facilities will be operated in accordance
with all applicable requirements imposed by or issued pursuant to 49
U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21, and understands
that this assurance extends to its entire facility and to facilities
operated in connection with the project.
(2) It will promptly take the necessary actions to effectuate
this assurance, including notifying the public that complaints of
discrimination in the provision of transportation-related services
or benefits may be filed with U.S. DOT or FTA. Upon request by U.S.
DOT or FTA, the Applicant ensures that it will submit the required
information pertaining to its compliance with these provisions.
(3) It will include in each subagreement, property transfer
agreement, third party contract, third party subcontract, or
participation agreement adequate provisions to extend the
requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42
U.S.C. 2000d and 49 CFR Part 21 to other parties involved therein
including any subrecipient, transferee, third party contractor,
third party subcontractor at any level, successor in interest, or
any other participant in the project.
(4) Should it transfer real property, structures, or
improvements financed with Federal assistance provided by FTA to
another party, any deeds and instruments recording the transfer of
that property shall contain a covenant running with the land
assuring nondiscrimination for the period during which the property
is used for a purpose for which the Federal assistance is extended
or for another purpose involving the provision of similar services
or benefits.
(5) The United States has a right to seek judicial enforcement
with regard to any matter arising under the Act, regulations, and
this assurance.
(6) It will make any changes in its Title VI implementing
procedures as U.S. DOT or FTA may request to achieve compliance with
the requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42
U.S.C. 2000d, and 49 CFR Part 21.
E. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, ``Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or Benefiting
from Federal Financial Assistance,'' at 49 CFR 27.9, the Applicant
ensures that, as a condition to the approval or extension of any
Federal assistance awarded by FTA to construct any facility, obtain
any rolling stock or other equipment, undertake studies, conduct
research, or to participate in or obtain any benefit from any
program administered by FTA, no otherwise qualified person with a
disability shall be, solely by reason of that disability, excluded
from participation in, denied the benefits of, or otherwise
subjected to discrimination in any program or activity receiving or
benefiting from Federal assistance administered by the FTA or any
entity within U.S. DOT. The Applicant ensures that project
implementation and operations so assisted will comply with all
applicable requirements of U.S. DOT regulations implementing the
Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et. seq., and
the Americans with Disabilities Act of 1990, as amended, 42 U.S.C.
12101 et. seq., and implementing U.S. DOT regulations at 49 CFR
Parts 27, 37, and 38, and any other applicable Federal laws that may
be enacted or Federal regulations that may be promulgated.
F. U.S. Office of Management and Budget (OMB) Assurances
Consistent with OMB assurances set forth in SF-424B and SF-424D,
the Applicant ensures that, with respect to itself or its project,
the Applicant:
(1) 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 its application;
(2) Will give FTA, 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;
(3) 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;
(4) Will initiate and complete the work within the applicable
project time periods following receipt of FTA approval;
(5) Will comply with all applicable Federal statutes relating to
nondiscrimination including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which
prohibits discrimination on the basis of race, color, or national
origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20
U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT
regulations, ``Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance,'' 49
CFR part 25, which prohibit discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, which prohibits discrimination on the basis of
disability;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 through 6107, which prohibits discrimination on the basis of
age;
(e) The Drug Abuse Office and Treatment Act of 1972, as amended,
21 U.S.C. 1101 et seq., relating to nondiscrimination on the basis
of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention
Act of 1970, as amended, 42 U.S.C. 4541 et seq. relating to
nondiscrimination on the basis of alcohol abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C.
201 et seq., relating to confidentiality of alcohol and drug abuse
patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq.,
relating to nondiscrimination in the sale, rental, or financing of
housing; and
(i) Any other nondiscrimination statute(s) that may apply to the
project;
(6) To the extent applicable, will comply with, or has complied
with, the requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq.,
which, among other things, provide for fair and equitable treatment
of persons displaced or persons whose property is acquired as a
result of Federal or federally assisted
[[Page 29575]]
programs. These requirements apply to all interests in real property
acquired for project purposes and displacement caused by the project
regardless of Federal participation in any purchase. As required by
sections 210 and 305 of the Uniform Relocation Act, 42 U.S.C. 4630
and 4655, and by U.S. DOT regulations, ``Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs,'' 49 CFR 24.4, the Applicant ensures that it has
the requisite authority under applicable state and local law to
comply with the requirements of the Uniform Relocation Act, 42
U.S.C. 4601 et seq., and U.S. DOT regulations, ``Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs,'' 49 CFR part 24, and will comply with that Act
or has complied with that Act and those implementing regulations,
including but not limited to the following:
(a) The Applicant will adequately inform each affected person of
the benefits, policies, and procedures provided for in 49 CFR part
24;
(b) The Applicant will provide fair and reasonable relocation
payments and assistance as required by 42 U.S.C. 4622, 4623, and
4624; 49 CFR part 24; and any applicable FTA procedures, to or for
families, individuals, partnerships, corporations, or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs
offering the services described in 42 U.S.C. 4625 to such displaced
families, individuals, partnerships, corporations, or associations
in the manner provided in 49 CFR part 24;
(d) Within a reasonable time before displacement, the Applicant
will make available comparable replacement dwellings to displaced
families and individuals as required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such
manner as to provide displaced persons with uniform and consistent
services, and will make available replacement housing in the same
range of choices with respect to such housing to all displaced
persons regardless of race, color, religion, or national origin;
(f) In acquiring real property, the Applicant will be guided to
the greatest extent practicable under state law, by the real
property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for
necessary expenses as specified in 42 U.S.C. 4653 and 4654, with the
understanding that FTA will provide Federal financial assistance for
the Applicant's eligible costs of providing payments for those
expenses, as required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party
contracts and subagreements financed with FTA assistance and
execute, furnish, and be bound by such additional documents as FTA
may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or
incorporate them by reference into any third party contract or
subagreement, or any amendments thereto, relating to any project
financed by FTA involving relocation or land acquisition and provide
in any affected document that these relocation and land acquisition
provisions shall supersede any conflicting provisions;
(7) To the extent applicable, will comply with the Davis-Bacon
Act, as amended, 40 U.S.C. 3141 et seq., the Copeland ``Anti-
Kickback'' Act, as amended, 18 U.S.C. 874, and the Contract Work
Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq.,
regarding labor standards for federally assisted projects;
(8) To the extent applicable, will comply with the flood
insurance purchase requirements of section 102(a) of the Flood
Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a),
requiring the Applicant and its subrecipients in a special flood
hazard area to participate in the program and purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more;
(9) To the extent applicable, will comply with the Lead-Based
Paint Poisoning Prevention Act, 42 U.S.C. 4831(b), which prohibits
the use of lead-based paint in the construction or rehabilitation of
residence structures;
(10) To the extent applicable, 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 on which a construction project
supported with FTA assistance takes place without permission and
instructions from FTA;
(11) To the extent required by FTA, will record the Federal
interest in the title of real property, and will include a covenant
in the title of real property acquired in whole or in part with
Federal assistance funds to ensure nondiscrimination during the
useful life of the project;
(12) To the extent applicable, will comply with FTA provisions
concerning the drafting, review, and approval of construction plans
and specifications of any construction project supported with FTA
assistance. As required by U.S. DOT regulations, ``Seismic Safety,''
49 CFR 41.117(d), before accepting delivery of any building financed
with FTA assistance, it will obtain a certificate of compliance with
the seismic design and construction requirements of 49 CFR part 41;
(13) To the extent applicable, will provide and maintain
competent and adequate engineering supervision at the construction
site of any project supported with FTA assistance to ensure that the
complete work conforms with the approved plans and specifications,
and will furnish progress reports and such other information as may
be required by FTA or the state;
(14) To the extent applicable, will comply with any applicable
environmental standards that may be prescribed to implement the
following Federal laws and executive orders:
(a) Institution of environmental quality control measures under
the National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321 through 4335 and Executive Order No. 11514, as amended, 42
U.S.C. 4321 note;
(b) Notification of violating facilities pursuant to Executive
Order No. 11738, 42 U.S.C. 7606 note;
(c) Protection of wetlands pursuant to Executive Order No.
11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance
with Executive Order No. 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved state
management program developed pursuant to the requirements of the
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451
through 1465;
(f) 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 through 7671q;
(g) Protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f
through 300j-6;
(h) Protection of endangered species under the Endangered
Species Act of 1973, as amended, 16 U.S.C. 1531 through 1544; and
(i) Environmental protections for Federal transportation
programs, including, but not limited to, protections for parks,
recreation areas, or wildlife or waterfowl refuges of national,
state, or local significance or any land from a historic site of
national, State, or local significance to be used in a
transportation project as required by 49 U.S.C. 303(b) and 303(c);
(j) Protection of the components of the national wild and scenic
rivers systems, as required under the Wild and Scenic Rivers Act of
1968, as amended, 16 U.S.C. 1271 through 1287; and
(k) Provision of assistance to FTA in complying with section 106
of the National Historic Preservation Act of 1966, as amended, 16
U.S.C. 470f; with the Archaeological and Historic Preservation Act
of 1974, as amended, 16 U.S.C. 469 through 469c; and with Executive
Order No. 11593 (identification and protection of historic
properties), 16 U.S.C. 470 note;
(15) To the extent applicable, will comply with the requirements
of the Hatch Act, 5 U.S.C. 1501 through 1508 and 7324 through 7326,
which limit the political activities of State and local agencies and
their officers and employees whose primary employment activities are
financed in whole or part with Federal funds including a Federal
loan, grant agreement, or cooperative agreement except, in
accordance with 49 U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), the Hatch
Act does not apply to a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing
related functions) receiving FTA assistance to whom that Act does
not otherwise apply;
(16) To the extent applicable, will comply with the National
Research Act, Public Law 93-348, July 12, 1974, as amended, 42
U.S.C. 289 et seq., and U.S. DOT regulations, ``Protection of Human
Subjects,'' 49 CFR Part 11, regarding the protection of human
subjects involved in research, development, and related activities
supported by Federal assistance;
(17) To the extent applicable, will comply with the Laboratory
Animal Welfare Act of 1966, as amended, 7 U.S.C. 2131 et seq., and
U.S. Department of Agriculture regulations, ``Animal Welfare,'' 9
CFR subchapter A, parts 1, 2, 3, and 4, regarding the care,
handling,
[[Page 29576]]
and treatment of warm blooded animals held or used for research,
teaching, or other activities supported by Federal assistance;
(18) Will have performed the financial and compliance audits as
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501
et seq., OMB Circular A-133, ``Audits of States, Local Governments,
and Non-Profit Organizations,'' Revised, and the most recent
applicable OMB A-133 Compliance Supplement provisions for the U.S.
DOT; and
(19) To the extent applicable, will comply with all applicable
provisions of all other Federal laws, regulations, and directives
governing the project, except to the extent that FTA has expressly
approved otherwise in writing.
22. Tribal Transit Program
Each Applicant for Tribal Transit Program assistance must
provide all certifications and assurance set forth below. Except to
the extent that FTA determines otherwise in writing, FTA may not
award any Federal assistance under the Tribal Transit Program until
the Applicant provides these certifications and assurances by
selecting Category ``22.''
In accordance with 49 U.S.C. 5311(c)(1) that authorizes the
Secretary of Transportation to establish terms and conditions for
direct grants to Indian tribal governments, the Applicant certifies
and ensures as follows:
A. The Applicant ensures that:
(1) It has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal
assistance authorized for 49 U.S.C. 5311; and to carry out each
project, including the safety and security aspects of that project;
(2) It has or will have satisfactory continuing control over the
use of project equipment and facilities;
(3) The project equipment and facilities will be adequately
maintained; and
(4) Its project will achieve maximum feasible coordination with
transportation service assisted by other Federal sources.
B. In accordance with 49 CFR 18.36(g)(3)(ii), the Applicant
certifies that its procurement system will comply with the
requirements of 49 CFR 18.36, or will inform FTA promptly that its
procurement system does not comply with 49 CFR 18.36.
C. To the extent applicable to the Applicant or its Project, the
Applicant certifies that it will comply with the certifications,
assurances, and agreements in Category 08 (Bus Testing), Category 09
(Charter Bus Agreement), Category 10 (School Transportation
Agreement), Category 11 (Demand Responsive Service), Category 12
(Alcohol Misuse and Prohibited Drug Use), and Category 14 (National
Intelligent Transportation Systems Architecture and Standards) of
this document.
D. If its application exceeds $100,000, the Applicant agrees to
comply with the certification in Category 02 (Lobbying) of this
document.
Selection and Signature Page(s) follow
FEDERAL FISCAL YEAR 2008 CERTIFICATIONS AND ASSURANCES FOR FEDERAL
TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature page alternative to providing Certifications and
Assurances in TEAM-Web)
Name of Applicant:
-----------------------------------------------------------------------
The Applicant agrees to comply with applicable provisions of
Categories 01-24.
OR
The Applicant agrees to comply with applicable provisions of the
Categories it has selected:
------------------------------------------------------------------------
Category Description
------------------------------------------------------------------------
01.............................. Assurances ..................
Required For Each
Applicant.
02.............................. Lobbying.......... ..................
03.............................. Procurement ..................
Compliance.
04.............................. Protections for ..................
Private Providers
of Public
Transportation.
05.............................. Public Hearing.... ..................
06.............................. Acquisition of ..................
Rolling Stock for
Use in Revenue
Service.
07.............................. Acquisition of ..................
Capital Assets by
Lease.
08.............................. Bus Testing....... ..................
09.............................. Charter Service ..................
Agreement.
10.............................. School ..................
Transportation
Agreement.
11.............................. Demand Responsive ..................
Service.
12.............................. Alcohol Misuse and ..................
Prohibited Drug
Use.
13.............................. Interest and Other ..................
Financing Costs.
14.............................. Intelligent ..................
Transportation
Systems.
15.............................. Urbanized Area ..................
Formula Program.
16.............................. Clean Fuels Grant ..................
Program.
17.............................. Elderly ..................
Individuals and
Individuals with
Disabilities
Formula Program
and Pilot Program.
18.............................. Nonurbanized Area ..................
Formula Program
for States.
19.............................. Job Access and ..................
Reverse Commute
Program.
20.............................. New Freedom ..................
Program.
21.............................. Alternative ..................
Transportation in
Parks and Public
Lands Program.
22.............................. Tribal Transit ..................
Program.
23.............................. Infrastructure ..................
Finance Projects.
24.............................. Deposits of ..................
Federal Financial
Assistance to a
State
Infrastructure
Banks.
------------------------------------------------------------------------
FEDERAL FISCAL YEAR 2008 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE
PAGE
(Required of all Applicants for FTA assistance and all FTA Grantees
with an active capital or formula project)
AFFIRMATION OF APPLICANT
Name of Applicant:
-----------------------------------------------------------------------
Name and Relationship of Authorized Representative:
-----------------------------------------------------------------------
BY SIGNING BELOW, on behalf of the Applicant, I declare that the
Applicant has duly authorized me to make these certifications and
assurances and bind the Applicant's compliance. Thus, the Applicant
agrees to comply with all Federal statutes, regulations, executive
orders, and directives, and with the certifications and assurances
as indicated on the foregoing page applicable to each application it
makes to the Federal Transit Administration (FTA) in Federal Fiscal
Year 2008.
FTA intends that the certifications and assurances the Applicant
selects on the other side of this document, as representative of the
certifications and assurances in this document, should apply, as
provided, to each project for which the Applicant seeks now, or may
later, seek FTA assistance during Federal Fiscal Year 2008.
The Applicant affirms the truthfulness and accuracy of the
certifications and assurances it has made in the statements
submitted herein with this document and any other submission made to
FTA, and acknowledges that the 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
[[Page 29577]]
fraud provisions of 18 U.S.C. 1001 apply to any certification,
assurance, or submission made in connection with a Federal public
transportation program authorized in 49 U.S.C. chapter 53 or any
other statute. In signing this document, I declare under penalties
of perjury that the foregoing certifications and assurances, and any
other statements made by me on behalf of the Applicant are true and
correct.
Signature--------------------------------------------------------------
Date:------------------------------------------------------------------
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 to the Applicant that it has authority under State,
local, or tribal government law, as applicable, to make and comply
with the certifications and assurances as indicated on the foregoing
pages. I further affirm that, in my opinion, the certifications and
assurances have been legally made and constitute legal and binding
obligations on the Applicant.
I further affirm to the Applicant that, to the best of my
knowledge, there is no legislation or litigation pending or imminent
that might adversely affect the validity of these certifications and
assurances, or of the performance of the project.
Signature-----------------------------------------------------------