Federal Fiscal Year 2009 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements, 65010-65029 [E8-26030]
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Federal Register / Vol. 73, No. 212 / Friday, October 31, 2008 / Notices
Electronic Access
You may see all the comments online
through the Federal Document
Management System (FDMS) at https://
www.regulations.gov.
Background
Under 49 U.S.C. 31136(e) and 31315,
FMCSA may grant an exemption for a 2year period if it finds ‘‘such exemption
would likely achieve a level of safety
that is equivalent to, or greater than, the
level that would be achieved absent
such exemption.’’ The statute also
allows the Agency to renew exemptions
at the end of the 2-year period. The
comment period ended on October 9,
2008.
Discussion of Comments
FMCSA received no comments in this
proceeding.
Conclusion
The Agency has not received any
adverse evidence on any of these drivers
that indicates that safety is being
compromised. Based upon its
evaluation of the 13 renewal
applications, FMCSA renews the
Federal vision exemptions for Robert L.
Aurandt, Donald Bostic, Jr., Harry R.
Brewer, Clarence N. Florey, Jr., Joseph
H. Fowler, Donald R. Hiltz, Kelly R.
Konesky, Gregory T. Lingard, Hollis J.
Martin, Kevin C. Palmer, Charles O.
Rhodes, Gordon G. Roth, and Daniel A.
Sohn.
In accordance with 49 U.S.C. 31136(e)
and 31315, each renewal exemption will
be valid for 2 years unless revoked
earlier by FMCSA. The exemption will
be revoked if: (1) The person fails to
comply with the terms and conditions
of the exemption; (2) the exemption has
resulted in a lower level of safety than
was maintained before it was granted; or
(3) continuation of the exemption would
not be consistent with the goals and
objectives of 49 U.S.C. 31136 and 31315.
Issued on: October 21, 2008.
Larry W. Minor,
Associate Administrator for Policy and
Program Development.
[FR Doc. E8–26059 Filed 10–30–08; 8:45 am]
BILLING CODE 4910–EX–P
ACTION:
Region 7: Kansas City
Notice.
Pursuant to 49 U.S.C. 5323(n),
FTA is authorized to consolidate the
certifications and assurances required
by Federal law or regulations for its
programs into a single document. FTA
is also required by 49 U.S.C. 5323(n) to
publish a list of those certifications and
assurances annually.
Appendix A of this Notice contains
the comprehensive compilation of
FTA’s Certifications and Assurances for
Federal Fiscal Year (Federal FY) 2009
applicable to the various Federal
assistance programs that FTA will
administer during that Federal FY.
FTA’s Certifications and Assurances for
Federal FY 2009 reflect Federal
statutory, regulatory, and programmatic
changes that have now become effective.
SUMMARY:
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States served: Arizona, California,
Hawaii, Nevada, Guam, American
Samoa, and the Northern Mariana
Islands. Telephone # 415–744–3133.
Region 10: Seattle
States served: Alaska, Idaho, Oregon,
and Washington. Telephone # 206–220–
7954.
Lower Manhattan Recovery Office
Area served: New York Metropolitan
Area. Telephone # 212–668–2201.
Region 1: Boston
Area served: Washington DC
Metropolitan Area. Telephone # 202–
219–3562/219–3565.
States served: Connecticut, Maine,
Massachusetts, New Hampshire, Rhode
Island, and Vermont. Telephone # 617–
494–2055.
Region 2: New York
States served: New York and New
Jersey. Telephone # 212–668–2170.
New York Metropolitan Office
Philadelphia Metropolitan Office
Area served: Philadelphia
Metropolitan Area. Telephone # 215–
656–7070.
Washington DC Metropolitan Office
Chicago Metropolitan Office
Area served: Chicago Metropolitan
Area. Telephone # 312–886–1616.
Los Angeles Metropolitan Office
Region 3: Philadelphia
States served: Delaware, District of
Columbia, Maryland, Pennsylvania,
Virginia, and West Virginia. Telephone
# 215–656–7100.
Area served: Los Angeles
Metropolitan Area. Telephone # 213–
202–3950.
SUPPLEMENTARY INFORMATION:
1. Purposes
Region 4: Atlanta
States served: Alabama, Florida,
Georgia, Kentucky, Mississippi, North
Carolina, Puerto Rico, South Carolina,
Tennessee, and the U.S. Virgin Islands.
Telephone # 404–865–5600.
States served: Illinois, Indiana,
Michigan, Minnesota, Ohio, and
Wisconsin. Telephone # 312–353–2789.
Federal Transit Administration,
Region 9: San Francisco
FTA
staff in the appropriate FTA Regional
Office or FTA Metropolitan Office listed
below. For copies of other related
documents, see the FTA Web site at
https://www.fta.dot.gov or contact FTA’s
Office of Administration at 202–366–
4022.
FOR FURTHER INFORMATION CONTACT:
Federal Transit Administration
DOT.
States served: Colorado, Montana,
North Dakota, South Dakota, Utah, and
Wyoming. Telephone # 720–963–3300.
Area served: Lower Manhattan.
Telephone # 212–668–1770.
Region 5: Chicago
AGENCY:
Region 8: Denver
Effective Date: These FTA
Certifications and Assurances are
effective on October 1, 2008, the first
day of Federal FY 2009.
DATES:
DEPARTMENT OF TRANSPORTATION
Federal Fiscal Year 2009 Annual List of
Certifications and Assurances for
Federal Transit Administration Grants
and Cooperative Agreements
States served: Iowa, Kansas, Missouri,
and Nebraska. Telephone # 816–329–
3920.
Region 6: Dallas/Ft. Worth
States served: Arkansas, Louisiana,
New Mexico, Oklahoma, and Texas.
Telephone # 817–978–0550.
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The purposes of this Notice are to:
• Publish FTA’s Federal FY 2009
Certifications and Assurances for
Applicants for Federal assistance
administered by FTA and the Projects
for which they seek Federal assistance.
• Highlight new changes to the FTA
Certifications and Assurances now in
effect.
• Identify locations where these FTA
Certifications and Assurances may be
viewed, and
• Provide directions for submitting
these FTA Certifications and
Assurances.
2. Background
a. FTA’s Responsibilities. Since
Federal FY 1995, FTA has been
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consolidating the various certifications
and assurances that may be required of
its Applicants and their projects into a
single document for publication in the
Federal Register. FTA intends to
continue publishing this document
annually, when feasible in conjunction
with its publication of the FTA annual
apportionment notice, which sets forth
the allocations of funds made available
by the latest U.S. Department of
Transportation (U.S. DOT) annual
appropriations act. Because U.S. DOT’s
full-year appropriations for Federal FY
2009 were not signed into law on
October 1, 2008 (the first day of Federal
FY 2009), and have not yet been signed
into law, FTA is proceeding with
publication of its Certifications and
Assurances for FY 2009.
b. Applicant’s Responsibilities.
Irrespective of whether a project will be
financed under the authority of 49
U.S.C. chapter 53, Title 23, United
States Code, or another Federal statute,
the Applicant must submit Federal FY
2009 Certifications and Assurances to
FTA applicable to all projects for which
the Applicant seeks funding during
Federal FY 2009.
FTA requests that an Applicant to
submit all of the twenty-four (24)
categories of the Certifications and
Assurances that may be needed for all
projects for which the Applicant intends
to or might seek Federal assistance in
the Federal FY 2009. Selecting and
submitting these Certifications and
Assurances to FTA signifies the
Applicant’s intent and ability to comply
with all applicable provisions thereof.
In order to assure FTA that the
Applicant is authorized under State and
local law to certify compliance with the
FTA Certifications and Assurances it
has selected, FTA requires the
Applicant to obtain a current (Federal
FY 2009) affirmation signed by the
Applicant’s attorney affirming the
Applicant’s legal authority to certify its
compliance with the FTA Certifications
and Assurances that the Applicant has
selected. The Applicant’s attorney must
sign this affirmation during Federal FY
2009. Irrespective of whether the
Applicant makes a single selection of all
twenty-four (24) categories of FTA
Certifications and Assurances or selects
individual categories from the FTA
Certifications and Assurances, the
Affirmation of Applicant’s Attorney
from a previous Federal FY is not
acceptable, unless FTA expressly
determines otherwise in writing.
c. Effect of Subrecipient Participation.
Absent a written determination by FTA
to the contrary, the Applicant itself is
ultimately responsible for compliance
with the FTA Certifications and
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Assurances it has selected even though
the Project may be carried out in whole
or in part by one or more subrecipients.
Thus, if subrecipients will be
participating in the Project, when the
Applicant submits its FTA Certifications
and Assurances, the Applicant is also
signifying that it will be responsible for
compliance, both of itself and of each of
its subrecipients, with the provisions of
the FTA Certifications and Assurances it
has selected. Therefore, in providing
Certifications and Assurances that
necessarily involve the compliance of
any prospective subrecipient, FTA
strongly recommends that the Applicant
take the appropriate measures,
including but not limited to obtaining
sufficient documentation from each
subrecipient participating in the project,
to assure the validity of the Applicant’s
Certifications and Assurances to FTA.
3. Significant Information About FTA’s
Certifications and Assurances for
Federal FY 2009
a. Legal Implications
(1) Binding Commitments. Because
the Applicant is required by Federal law
and regulations to comply with the
applicable provisions of all FTA
Certifications and Assurances it
submits, it is important that the
Applicant be familiar with the
provisions of all twenty-four (24)
categories of FTA Certifications and
Assurances for Federal FY 2009. The
text of those Certifications and
Assurances is contained in Appendix A
of this Notice, and also appears at
https://www.fta.dot.gov/documents/
2009-Certs-Appendix.A.pdf, and in
FTA’s electronic award and
management system, TEAM-Web,
https://ftateamweb.fta.dot.gov, at the
‘‘Cert’s & Assurances’’ tab of the ‘‘View/
Modify Recipients’’ page in the
‘‘Recipients’’ option. Provisions of this
Notice supersede conflicting statements
in any FTA circular containing a
previous version of FTA’s annual
Certifications and Assurances. The
Certifications and Assurances contained
in those FTA circulars are merely
examples, and are not acceptable or
valid for Federal FY 2009.
An Applicant’s annual Certifications
and Assurances to FTA generally
remain in effect for either the duration
of the Grant or Cooperative Agreement
supporting the Project until the Project
is closed out or for the duration of the
Project or Project property when a
useful life or industry standard is in
effect, whichever occurs later. If,
however, the Applicant provides
Certifications and Assurances to FTA in
a later year that differ from the
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Certifications and Assurances
previously provided, the later
Certifications and Assurances will apply
to the Grant, Cooperative Agreement,
Project, or Project property, except to
the extent FTA permits otherwise in
writing.
(2) Penalties for Noncompliance. If
the Applicant makes a false, fictitious,
or fraudulent claim, statement,
submission, certification, assurance, or
representation to the Federal
government or includes a false,
fictitious, or fraudulent statement or
representation in any agreement with
the Federal government in connection
with a Project authorized under 49
U.S.C. chapter 53 or any other Federal
law, the Federal government reserves
the right to impose on the Applicant the
penalties of the Program Fraud Civil
Remedies Act of 1986, as amended, 31
U.S.C. 3801 et seq., and implementing
U.S. DOT regulations, ‘‘Program Fraud
Civil Remedies,’’ 49 CFR part 31, or the
penalties of 49 U.S.C. 5323(l) invoking
the criminal provisions of 18 U.S.C.
1001, or other applicable Federal law to
the extent the Federal government
deems appropriate.
(3) FTA’s Certifications and
Assurances Constitute Only a Partial
List of Federal Requirements. FTA
cautions that the FTA Certifications and
Assurances required by Federal law and
regulations do not address all the
Federal requirements that will apply to
the Applicant and its Project. FTA’s
Certifications and Assurances are
generally pre-award requirements, i.e.,
those requirements of Federal law and
regulations the Applicant must fulfill
before FTA is legally authorized to
award of Federal financial assistance to
an Applicant.
(4) Other Federal Requirements.
Because FTA’s Certifications and
Assurances do not encompass all
Federal requirements that will apply to
the Applicant and its Project, FTA
strongly encourages the Applicant to
review the Federal authorizing
legislation, regulations, and directives
pertaining to the program or programs
for which the Applicant seeks Federal
assistance. The FTA Master Agreement
for Federal FY 2009 at https://
www.fta.dot.gov/documents/15Master.pdf identifies a substantial
number of those Federal laws,
regulations, and directives that apply to
Applicants and their various projects.
b. Importance of FTA’s Certifications
and Assurances for Federal FY 2009.
Following publication of these
Certifications and Assurances, FTA may
not award Federal financial assistance
through a Federal Grant or Cooperative
Agreement until the Applicant submits
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all of the FTA Certifications and
Assurances for Federal FY 2009
pertaining to itself and its project as
required by Federal laws and
regulations. The Applicant’s
Certifications and Assurances for
Federal FY 2009 will be applicable to all
projects for which it seeks Federal
assistance during Federal FY 2009 and
through the next Federal FY until FTA
issues its annual Certifications and
Assurances for Federal FY 2010.
c. Federal FY 2009 Changes. Apart
from minor editorial revisions,
significant changes to FTA’s
Certifications and Assurances include
the following:
(1) In the Introductory paragraphs
preceding the text of FTA’s
Certifications and Assurances:
(a) The FTA Web site for the FTA
Master Agreement for Federal FY 2009
is identified as https://www.fta.dot.gov/
documents/15-Master.pdf.
(b) A new provision has been added
expressly reminding the Applicant that
when it applies for FTA assistance on
behalf of a consortium, joint venture,
partnership, or team, each member of
that consortium, joint venture,
partnership, or team is responsible for
compliance with the certifications and
assurances the Applicant selects
pertaining to any FTA assisted project.
(2) Category 09. The Charter Service
Agreement has been amended for
consistency with the new FTA
regulations, ‘‘Charter Service,’’
published at 73 FR 2325 et seq., January
14, 2008, and amended at 73 FR 44927
et seq., August 1, 2008, and 73 FR 46554
et seq., August 11, 2008.
(3) Categories 13 and 21. Subsection
201(i) of the SAFETEA–LU Technical
Corrections Act, 2008, Pub. L. 110–244,
June 6, 2008, changed the name of the
‘‘Alternative Transportation in Parks
and Public Lands Program’’ to the ‘‘Paul
S. Sarbanes Transit in Parks Program.’’
References to that program have been
amended to reflect the new name
change.
d. When to Submit. All Applicants for
FTA formula program or capital
program assistance, and current FTA
Grantees with an active project financed
with FTA formula program or capital
program assistance, are expected to
provide their FTA Certifications and
Assurances for Federal FY 2009 within
90 days from the date of this publication
or as soon as feasible after their first
application for Federal assistance
authorized or made available for Federal
FY 2009, whichever is earlier. In
addition, FTA encourages Applicants
seeking Federal assistance for other
projects to submit their FTA
Certifications and Assurances to FTA as
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soon as possible to expedite awards of
FTA assistance.
4. Ways to Submit FTA’s Certifcations
and Assurances
As further explained, FTA will accept
an Applicant’s Certifications and
Assurances submitted either in TEAM–
Web at https://ftateamweb.fta.dot.gov, or
on paper containing the text set forth on
the Signature Page(s) of Appendix A of
this Notice. In order of preference, FTA
permits:
a. Electronic Submission in TEAM–
Web. An Applicant registered in TEAM–
Web must submit its FTA Certifications
and Assurances, as well as its
applications for Federal assistance in
TEAM–Web. FTA prefers that other
Applicants for Federal assistance submit
their FTA Certifications and Assurances
through TEAM–Web.
The TEAM–Web ‘‘Recipients’’ option
at the ‘‘Cert’s & Assurances’’ tab of the
‘‘View/Modify Recipients’’ page
contains fields for selecting among the
twenty-four (24) categories of FTA
Certifications and Assurances to be
submitted. There is also a field for
entering a single selection covering all
twenty-four (24) categories of FTA
Certifications and Assurances.
Within the ‘‘Cert’s & Assurances’’ tab
is a field for the Applicant’s authorized
representative to enter his or her
personal identification number (PIN),
which constitutes the Applicant’s
electronic signature for the FTA
Certifications and Assurances selected.
In addition, there is a field for the
Applicant’s attorney to enter his or her
PIN, affirming the Applicant’s legal
authority to make and comply with the
FTA Certifications and Assurances the
Applicant has selected. The Applicant’s
authorized representative may enter his
or her PIN in lieu of the attorney’s PIN,
provided that the Applicant has a
current Affirmation of Applicant’s
Attorney as set forth in Appendix A of
this Notice, written and signed by the
attorney in Federal FY 2009.
For more information, the Applicant
may contact the appropriate FTA
Regional Office or Metropolitan Office
listed in this Notice or the TEAM–Web
Helpdesk.
b. Paper Submission. Only if the
Applicant is unable to submit its FTA
Certifications and Assurances in
TEAM–Web may the Applicant submit
its FTA Certifications and Assurances
on paper.
If an Applicant is unable to submit its
FTA Certifications and Assurances
electronically, it must mark the
categories of FTA Certifications and
Assurances it is making on the
Signature Page(s) in Appendix A of this
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Notice and submit them to FTA. The
Applicant may signify compliance with
all categories by placing a single mark
in the appropriate space or select the
categories applicable to itself and its
projects.
The Applicant must enter its
signature on the Signature Page(s) and
must provide an Affirmation of
Applicant’s Attorney pertaining to the
Applicant’s legal capacity to make and
comply with the Certifications and
Assurances the Applicant has selected.
The Applicant may enter its signature in
lieu of its attorney’s signature in the
Affirmation of Applicant’s Attorney
section of the Signature Page(s),
provided that the Applicant has on file
the Affirmation of Applicant’s Attorney
as set forth in Appendix A of this
Notice, written and signed by the
attorney and dated in Federal FY 2009.
For more information, the Applicant
may contact the appropriate FTA
Regional Office or Metropolitan Office
listed in this Notice.
Authority. 49 U.S.C. chapter 53; the Safe,
Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for
Users (SAFETEA–LU), as amended by the
SAFETEA–LU Technical Corrections Act,
2008, Pub. L. 110–244, June 6, 2008; Title 23,
United States Code (Highways); other Federal
laws administered by FTA; U.S. DOT and
FTA regulations at Title 49, Code of Federal
Regulations; and FTA Circulars.
Issued in Washington, DC, this 27th day of
October 2008.
James S. Simpson,
Administrator.
Federal Fiscal Year 2009 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 2009. 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. An Applicant
may select a single certification that will
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
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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 preaward
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(15) for Federal Fiscal
Year 2009 at the FTA Web site https://
www.fta.dot.gov/documents/15Master.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 assure 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 applicable
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. The
Applicant understands and agrees that
when it applies for FTA assistance on
behalf of a consortium, joint venture,
partnership, or team, each member of
that consortium, joint venture,
partnership, or team is responsible for
compliance with the certifications and
assurances the Applicant selects.
FTA strongly encourages each
Applicant to submit its certifications
and assurances through TEAM-Web,
FTA’s electronic award and
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management system, at https://
ftateamweb.fta.dot.gov. 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.’’ Should the Applicant
choose not to submit its certifications
and assurances through TEAM-Web, the
Applicant may submit its certifications
and assurances on paper by submitting
the Signature Page(s) at the end of this
document, indicating the certifications
and assurances it is making on one side
of the document or on one page, and
signing its affirmation and that of its
attorney on the other side or other page.
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 assures 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
with FTA issued for its project. 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,
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including Federal policies 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 assures 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 assures 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 under 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 FederallyAssisted Programs of the Department of
Transportation-Effectuation of Title VI
of the Civil Rights Act,’’ 49 CFR part 21
at 21.7, the Applicant assures 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,
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whichever is longer, the Applicant
assures that:
(1) Each project will be conducted,
property acquisitions will be
undertaken, and project facilities will be
operated in accordance with all
applicable requirements of 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 assures 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 Title VI of the
Civil Rights Act, U.S. DOT
implementing 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
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Financial Assistance,’’ at 49 CFR 27.9,
the Applicant assures 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 assures
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 assures 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
assure 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
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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 federally assisted
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 assures that it has the
requisite authority under applicable
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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 their
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
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(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 leadbased 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 assure
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
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65015
supported with FTA assistance to assure
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
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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,
Pub. L. 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 Animal Welfare Act, 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, 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 or regulations,
and follow Federal directives governing
the project, except to the extent that
FTA has expressly approved otherwise
in writing.
Category ‘‘03.’’ FTA also requests other
Applicants to provide the following
certification. An Applicant for FTA
assistance to acquire property or
services in support of its project that
fails to provide this certification may be
determined ineligible for award of
Federal assistance for the project, if FTA
determines that its procurement
practices and procurement system fail to
comply with Federal laws or regulations
in accordance with applicable Federal
directives.
The Applicant certifies that its
procurements and procurement system
will comply with all applicable Federal
laws and regulations in accordance with
applicable Federal directives, except to
the extent FTA has expressly approved
otherwise in writing.
02. Lobbying Certification
An Applicant that submits or intends
to submit an application to FTA for
Federal assistance exceeding $100,000
is required to provide the following
certification. FTA may not award
Federal assistance exceeding $100,000
until the Applicant provides this
certification by selecting Category ‘‘02.’’
A. As required by 31 U.S.C. 1352 and
U.S. DOT regulations, ‘‘New
Restrictions on Lobbying,’’ at 49 CFR
20.110, the Applicant’s authorized
representative certifies to the best of his
or her knowledge and belief that for
each application to FTA for Federal
assistance exceeding $100,000:
(1) No Federal appropriated funds
have been or will be paid by or on
behalf of the Applicant to any person to
influence or attempt to influence an
officer or employee of any Federal
agency, a Member of Congress, an
officer or employee of Congress, or an
employee of a Member of Congress
regarding the award of Federal
assistance, or the extension,
continuation, renewal, amendment, or
modification of any Federal assistance
agreement; and
(2) If any funds other than Federal
appropriated funds have been or will be
paid to any person to influence or
attempt to influence an officer or
employee of any Federal agency, a
Member of Congress, an officer or
employee of Congress, or an employee
of a Member of Congress in connection
with any application for Federal
assistance, the Applicant assures that it
will complete and submit Standard
Form–LLL, ‘‘Disclosure Form to Report
Lobbying,’’ including information
required by the instructions
accompanying the form, which form
may be amended to omit such
information as authorized by 31 U.S.C.
1352.
(3) The language of this certification
shall be included in the award
documents for all subawards at all tiers
(including subcontracts, subgrants,
subagreements, and contracts under
grants, loans, and cooperative
agreements).
B. The Applicant understands that
this certification is a material
representation of fact upon which
reliance is placed by the Federal
government and that submission of this
certification is a prerequisite for
providing Federal assistance for a
transaction covered by 31 U.S.C. 1352.
The Applicant also understands that
any person who fails to file a required
certification shall be subject to a civil
penalty of not less than $10,000 and not
more than $100,000 for each such
failure.
03. Procurement Compliance
In accordance with 49 CFR
18.36(g)(3)(ii), each Applicant that is a
State, local, or Indian tribal government
that is seeking Federal assistance to
acquire property or services in support
of its project is requested to provide the
following certification by selecting
05. Public Hearing
An Applicant seeking Federal
assistance authorized under 49 U.S.C.
chapter 53 for a capital project that will
substantially affect a community or a
community’s public transportation
service is required to provide the
following certification. FTA may not
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04. Protections for Private
Transportation Providers
Each Applicant that is a State, local,
or Indian tribal government that is
seeking Federal assistance authorized
under 49 U.S.C. chapter 53 to acquire
any property or an interest in the
property of a private provider of public
transportation or to operate public
transportation equipment or facilities in
competition with, or in addition to,
transportation service provided by an
existing private provider of public
transportation is required to provide the
following certification. FTA may not
award Federal assistance for such a
project until the Applicant provides this
certification by selecting Category ‘‘04.’’
As required by 49 U.S.C. 5323(a)(1),
the Applicant certifies that before it
acquires the property or an interest in
the property of a private provider of
public transportation or operates public
transportation equipment or facilities in
competition with, or in addition to,
transportation service provided by an
existing public transportation company,
it has or will have:
A. Determined that the assistance is
essential to carrying out a program of
projects as required by 49 U.S.C. 5303,
5304, and 5306;
B. Provided for the participation of
private companies engaged in public
transportation to the maximum extent
feasible; and
C. Paid just compensation under State
or local law to the company for any
franchise or property acquired.
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award Federal assistance for a capital
project of that type until the Applicant
provides this certification by selecting
Category ‘‘05.’’
As required by 49 U.S.C. 5323(b), for
a proposed capital project that will
substantially affect a community, or the
public transportation service of a
community, the Applicant certifies that
it has, or before submitting its
application, it will have:
A. Provided an adequate opportunity
for public review and comment on the
proposed project;
B. After providing notice, including a
concise description of the proposed
project, published in a newspaper of
general circulation in the geographic
area to be served, held a public hearing
on the project if the project affects
significant economic, social, or
environmental interests;
C. Considered the economic, social,
and environmental effects of the
proposed project; and
D. Determined that the proposed
project is consistent with official plans
for developing the community.
06. Acquisition of Rolling Stock for Use
in Revenue Service
An Applicant seeking Federal
assistance authorized under 49 U.S.C.
chapter 53 to acquire any rolling stock
for use in revenue service is required to
provide the following certification. FTA
may not award any Federal assistance to
acquire such rolling stock until the
Applicant provides this certification by
selecting Category ‘‘06.’’
As required by 49 U.S.C. 5323(m) and
implementing FTA regulations, ‘‘PreAward and Post-Delivery Audits of
Rolling Stock Purchases,’’ 49 CFR part
663, at 49 CFR 663.7, the Applicant
certifies that it will comply with the
requirements of 49 CFR part 663 as
modified by amendments authorized by
section 3023(k) of SAFETEA–LU when
procuring revenue service rolling stock.
Among other things, the Applicant
agrees to conduct or cause to be
conducted the requisite preaward and
post delivery reviews, and maintain on
file the certifications required by 49 CFR
part 663, subparts B, C, and D.
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07. Acquisition of Capital Assets by
Lease
An Applicant that intends to request
the use of Federal assistance authorized
under 49 U.S.C. chapter 53 to acquire
capital assets by lease is required to
provide the following certifications.
FTA may not provide Federal assistance
to support those costs until the
Applicant provides this certification by
selecting Category ‘‘07.’’
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As required by FTA regulations,
‘‘Capital Leases,’’ 49 CFR part 639, at 49
CFR 639.15(b)(1) and 49 CFR 639.21, if
the Applicant acquires any capital asset
by lease financed with Federal
assistance authorized under 49 U.S.C.
chapter 53, the Applicant certifies as
follows:
(1) It will not use Federal assistance
authorized 49 U.S.C. chapter 53 to
finance the cost of leasing any capital
asset until it performs calculations
demonstrating that leasing the capital
asset would be more cost-effective than
purchasing or constructing a similar
asset; and it will complete these
calculations before entering into the
lease or before receiving a capital grant
for the asset, whichever is later; and
(2) It will not enter into a capital lease
for which FTA can provide only
incremental Federal assistance unless it
has adequate financial resources to meet
its future obligations under the lease if
Federal assistance is not available for
capital projects in the subsequent years.
08. Bus Testing
An Applicant for Federal assistance
appropriated or made available for 49
U.S.C. chapter 53 to acquire any new
bus model or any bus model with a new
major change in configuration or
components is required to provide the
following certification. FTA may not
provide Federal assistance for the
acquisition of any new bus model or bus
model with a major change until the
Applicant provides this certification by
selecting Category ‘‘08.’’
As required by 49 U.S.C. 5318 and
FTA regulations, ‘‘Bus Testing,’’ at 49
CFR 665.7, the Applicant certifies that,
before expending any Federal assistance
to acquire the first bus of any new bus
model or any bus model with a new
major change in configuration or
components, or before authorizing final
acceptance of that bus (as described in
49 CFR part 665):
A. The bus model will have been
tested at FTA’s bus testing facility; and
B. The Applicant will have received
a copy of the test report prepared on the
bus model.
09. Charter Service Agreement
An Applicant seeking Federal
assistance authorized under 49 U.S.C.
chapter 53 (except as permitted by 49
CFR 604.2), or under 23 U.S.C. 133 or
142, to acquire or operate any public
transportation equipment or facilities is
required to enter into the following
Charter Service Agreement. FTA may
not provide Federal assistance
authorized under 49 U.S.C. chapter 53
(except as permitted by 49 CFR 604.2),
or under 23 U.S.C.133 or 142, for such
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projects until the Applicant enters into
this Charter Service Agreement by
selecting Category ‘‘09.’’
A. As required by 49 U.S.C. 5323(d)
and (g) and FTA regulations at 49 CFR
604.4, the Applicant understands and
agrees that it and each subrecipient,
lessee, third party contractor, or other
participant in the project at any tier may
provide charter service for
transportation projects that uses
equipment or facilities acquired with
Federal assistance authorized under the
Federal transit laws (except as permitted
by 49 CFR 604.2), or under 23 U.S.C.
133 or 142, only in compliance with
those laws and FTA regulations,
‘‘Charter Service,’’ 49 CFR part 604, the
terms and conditions of which are
incorporated herein by reference.
B. The Applicant understands and
agrees that:
(1) The requirements of FTA
regulations, ‘‘Charter Service,’’ 49 CFR
part 604, will apply to any charter
service it or its subrecipients, lessees,
third party contractors, or other
participants in the project provide,
(2) The definitions of FTA
regulations, ‘‘Charter Service,’’ 49 CFR
part 604, will apply to this Charter
Service Agreement, and
(3) A pattern of violations of this
Charter Service Agreement may require
corrective measures and imposition of
remedies, including barring the
Applicant, subrecipient, lessee, third
party contractor, or other participant in
the project that has engaged in that
pattern of violations from receiving FTA
financial assistance, or withholding an
amount of Federal assistance as set forth
in FTA regulations, ‘‘Charter Service,’’
49 CFR part 604, Appendix D.
10. School Transportation Agreement
An Applicant that is seeking Federal
assistance authorized under 49 U.S.C.
chapter 53 or under 23 U.S.C. 133 or
142 to acquire or operate public
transportation facilities and equipment
is required to enter into the following
School Transportation Agreement. FTA
may not provide Federal assistance
authorized under 49 U.S.C. chapter 53
or under 23 U.S.C. 133 or 142 for such
projects until the Applicant enters into
this School Transportation Agreement
by selecting Category ‘‘10.’’
A. As required by 49 U.S.C. 5323(f)
and (g) and FTA regulations at 49 CFR
605.14, the Applicant understands and
agrees that it and each subrecipient,
lessee, third party contractor, or other
participant in the project at any tier may
engage in school transportation
operations in competition with private
school transportation operators that uses
equipment or facilities acquired with
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Federal assistance authorized under the
Federal transit laws or under 23 U.S.C.
133 or 142, only in compliance with
those laws and FTA regulations,
‘‘School Bus Operations,’’49 CFR part
605, to the extent consistent with 49
U.S.C. 5323(f) or (g), the terms and
conditions of which are incorporated
herein by reference.
B. The Applicant understands and
agrees that:
(1) The requirements of FTA
regulations, ‘‘School Bus Operations,’’
49 CFR part 605, to the extent consistent
with 49 U.S.C. 5323(f) or (g), will apply
to any school transportation service it or
its subrecipients, lessees, third party
contractors, or other participants in the
project provide,
(2) The definitions of FTA
regulations, ‘‘School Bus Operations,’’
49 CFR part 605 will apply to this
School Transportation Agreement, and
(3) If there is a violation of this School
Transportation Agreement, FTA will bar
the Applicant, subrecipient, lessee,
third party contractor, or other
participant in the project that has
violated this School Transportation
Agreement from receiving Federal
transit assistance in an amount FTA
considers appropriate.
11. Demand Responsive Service
An Applicant that operates demand
responsive service and applies for direct
Federal assistance authorized for 49
U.S.C. chapter 53 to acquire non-rail
public transportation vehicles is
required to provide the following
certification. FTA may not award direct
Federal assistance authorized for 49
U.S.C. chapter 53 to an Applicant that
operates demand responsive service to
acquire non-rail public transportation
vehicles until the Applicant provides
this certification by selecting Category
‘‘11.’’
As required by U.S. DOT regulations,
‘‘Transportation Services for Individuals
with Disabilities (ADA),’’ at 49 CFR
37.77(d), the Applicant certifies that its
demand responsive service offered to
individuals with disabilities, including
individuals who use wheelchairs, is
equivalent to the level and quality of
service offered to individuals without
disabilities. Viewed in its entirety, the
Applicant’s service for individuals with
disabilities is provided in the most
integrated setting feasible and is
equivalent with respect to: (1) Response
time, (2) fares, (3) geographic service
area, (4) hours and days of service, (5)
restrictions on trip purpose, (6)
availability of information and
reservation capability, and (7)
constraints on capacity or service
availability.
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12. Alcohol Misuse and Prohibited Drug
Use
If the Applicant is required by FTA
regulations, ‘‘Prevention of Alcohol
Misuse and Prohibited Drug Use in
Transit Operations,’’ at 49 CFR part 655,
to provide the following certification
concerning its activities to prevent
alcohol misuse and prohibited drug use
in its public transportation operations,
FTA may not provide Federal assistance
to that Applicant until it provides this
certification by selecting Category ‘‘12.’’
As required by FTA regulations,
‘‘Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit
Operations,’’ at 49 CFR part 655, subpart
I, the Applicant certifies that it has
established and implemented an alcohol
misuse and anti-drug program, and has
complied with or will comply with all
applicable requirements of FTA
regulations, ‘‘Prevention of Alcohol
Misuse and Prohibited Drug Use in
Transit Operations,’’ 49 CFR part 655.
13. Interest and Other Financing Costs
An Applicant that intends to request
the use of Federal assistance for
reimbursement of interest or other
financing costs incurred for its capital
projects financed with Federal
assistance under the Urbanized Area
Formula Program, the Capital
Investment Program, or the Paul S.
Sarbanes Transit in Parks Program is
required to provide the following
certification. FTA may not provide
Federal assistance to support interest or
other financing costs until the Applicant
provides this certification by selecting
Category ‘‘13.’’
As required by 49 U.S.C. 5307(g)(3),
5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii),
5309(i)(2)(C), and 5320(h)(2)(C), the
Applicant certifies that it will not seek
reimbursement for interest or other
financing costs unless it is eligible to
receive Federal assistance for those
costs and its records demonstrate that it
has used reasonable diligence in seeking
the most favorable financing terms
underlying those costs, to the extent
FTA may require.
14. Intelligent Transportation Systems
An Applicant for FTA assistance for
an Intelligent Transportation Systems
(ITS) project, defined as any project that
in whole or in part finances the
acquisition of technologies or systems of
technologies that provide or
significantly contribute to the provision
of one or more ITS user services as
defined in the ‘‘National ITS
Architecture,’’ is requested to provide
the following assurance. FTA strongly
encourages any Applicant for FTA
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financial assistance to support an ITS
project to provide this assurance by
selecting Category ‘‘14.’’ An Applicant
for FTA assistance for an ITS project
that fails to provide this assurance,
without providing other documentation
assuring the Applicant’s commitment to
comply with applicable Federal ITS
standards and protocols, may be
determined ineligible for award of
Federal assistance for the ITS project.
As used in this assurance, the term
Intelligent Transportation Systems (ITS)
project is defined to include any project
that in whole or in part finances the
acquisition of technologies or systems of
technologies that provide or
significantly contribute to the provision
of one or more ITS user services as
defined in the ‘‘National ITS
Architecture.’’
A. As provided in SAFETEA-LU
section 5307(c), 23 U.S.C. 512 note,
apart from certain exceptions,
‘‘intelligent transportation system
projects carried out using funds made
available from the Highway Trust Fund,
including funds made available under
this subtitle to deploy intelligent
transportation system technologies,
[shall] conform to the national
architecture, applicable standards or
provisional standards, and protocols
developed under [SAFETEA-LU, section
5307] subsection (a).’’ To facilitate
compliance with SAFETEA-LU section
5307(c), 23 U.S.C. 512 note, the
Applicant assures it will comply with
all applicable provisions of Section V
(Regional ITS Architecture) and Section
VI (Project Implementation) of FTA
Notice, ‘‘FTA National ITS Architecture
Policy on Transit Projects,’’ at 66 FR
1455 et seq., January 8, 2001, and other
FTA policies that may be issued in
connection with any ITS project it
undertakes financed with funds
authorized under Title 49 or Title 23,
United States Code, except to the extent
that FTA expressly determines
otherwise in writing.
B. With respect to any ITS project
financed with Federal assistance
derived from a source other than Title
49 or Title 23, United States Code, the
Applicant assures that it will use its best
efforts to assure that any ITS project it
undertakes will not preclude interface
with other intelligent transportation
systems in the Region.
15. Urbanized Area Formula Program
Each Applicant for Urbanized Area
Formula Program assistance authorized
under 49 U.S.C. 5307 is required to
provide the following certifications on
behalf of itself and any subrecipients
participating in its projects. Unless FTA
determines otherwise in writing, the
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Applicant is ultimately responsible for
compliance with its certifications and
assurances even though a subrecipient,
lessee, third party contractor, or other
participant may participate in that
project. Consequently, in providing
certifications and assurances that
involve the compliance of its
prospective subrecipients, the Applicant
is strongly encouraged to take
appropriate measures, including but not
limited to obtaining sufficient
documentation from each subrecipient,
to assure the validity of all certifications
and assurances the Applicant has made
to FTA. If, however a ‘‘Designated
Recipient’’ as defined at 49 U.S.C.
5307(a)(2)(A) enters into a
Supplemental Agreement with FTA and
a Prospective Grantee, that Grantee is
recognized as the Applicant for
Urbanized Area Formula Program
assistance and must provide the
following certifications and assurances.
Each Applicant is required by 49
U.S.C. 5307(d)(1)(J) to expend at least
one (1) percent of its Urbanized Area
Formula Program assistance for public
transportation security projects, unless
the Applicant has certified that such
expenditures are not necessary.
Information about the Applicant’s
intentions will be recorded in the
‘‘Security’’ tab page of the TEAM-Web
‘‘Project Information’’ window when the
Applicant enters its Urbanized Area
Formula Program application in TEAMWeb.
FTA may not award Urbanized Area
Formula Program assistance to any
Applicant that is required by 49 U.S.C.
5307(d)(1)(K) to expend one (1) percent
of its Urbanized Area Formula Program
assistance for eligible transit
enhancements unless that Applicant’s
quarterly report for the fourth quarter of
the preceding Federal fiscal year has
been submitted to FTA and includes the
requisite list or the Applicant attaches
in TEAM-Web or includes in its
quarterly report information sufficient
to demonstrate that the Designated
Recipients in its area together have
expended one (1) percent of the amount
of Urbanized Area Program assistance
made available to them for transit
enhancement projects.
FTA may not award Federal
assistance for the Urbanized Area
Formula Program to the Applicant until
the Applicant provides these
certifications and assurances by
selecting Category ‘‘15.’’
As required by 49 U.S.C. 5307(d)(1),
the Applicant certifies as follows:
A. In compliance with 49 U.S.C.
5307(d)(1)(A), the Applicant has or will
have the legal, financial, and technical
capacity to carry out its proposed
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program of projects, including the safety
and security aspects of that program;
B. In compliance with 49 U.S.C.
5307(d)(1)(B), the Applicant has or will
have satisfactory continuing control
over the use of Project equipment and
facilities;
C. In compliance with 49 U.S.C.
5307(d)(1)(C), the Applicant will
adequately maintain the Project
equipment and facilities;
D. In compliance with 49 U.S.C.
5307(d)(1)(D), the Applicant will assure
that any elderly individual, any
individual with disabilities, or any
person presenting a Medicare card
issued to himself or herself pursuant to
title II or title XVIII of the Social
Security Act (42 U.S.C. 401 et seq. or 42
U.S.C. 1395 et seq.), will be charged for
transportation during non-peak hours
using or involving a facility or
equipment of a project financed with
Federal assistance authorized for 49
U.S.C. 5307, not more than fifty (50)
percent of the peak hour fare;
E. In compliance with 49 U.S.C.
5307(d)(1)(E), the Applicant, in carrying
out a procurement financed with
Federal assistance authorized under 49
U.S.C. 5307: (1) Will use competitive
procurement (as defined or approved by
FTA), (2) will not use exclusionary or
discriminatory specifications in its
procurements, (3) will comply with
applicable Buy America laws, and (4)
will comply with the general provisions
for FTA assistance of 49 U.S.C. 5323
and the third party procurement
requirements of 49 U.S.C. 5325;
F. In compliance with 49 U.S.C.
5307(d)(1)(F), the Applicant has
complied with or will comply with the
requirements of 49 U.S.C. 5307(c).
Specifically, the Applicant: (1) has
made available, or will make available,
to the public information on the
amounts available for the Urbanized
Area Formula Program, 49 U.S.C. 5307,
and the program of projects it proposes
to undertake; (2) has developed or will
develop, in consultation with interested
parties including private transportation
providers, a proposed program of
projects for activities to be financed; (3)
has published or will publish a
proposed program of projects in a way
that affected citizens, private
transportation providers, and local
elected officials have the opportunity to
examine the proposed program and
submit comments on the proposed
program and the performance of the
Applicant; (4) has provided or will
provide an opportunity for a public
hearing to obtain the views of citizens
on the proposed program of projects; (5)
has assured or will assure that the
proposed program of projects provides
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for the coordination of transportation
services assisted under 49 U.S.C. 5336
with transportation services assisted by
another Federal government source; (6)
has considered or will consider the
comments and views received,
especially those of private
transportation providers, in preparing
its final program of projects; and (7) has
made or will make the final program of
projects available to the public;
G. In compliance with 49 U.S.C.
5307(d)(1)(G), the Applicant has or will
have available and will provide the
amount of funds required by 49 U.S.C.
5307(e) for the local share, and that
those funds will be provided from
approved non-Federal sources except as
permitted by Federal law;
H. In compliance with 49 U.S.C.
5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation
systems that maximize the safe, secure,
and efficient mobility of individuals,
minimize environmental impacts, and
minimize transportation-related fuel
consumption and reliance on foreign
oil); (2) 49 U.S.C. 5301(d) (special efforts
to design and provide public
transportation for elderly individuals
and individuals with disabilities); and
(3) 49 U.S.C. 5303 through 5306
(planning and private enterprise
requirements);
I. In compliance with 49 U.S.C.
5307(d)(1)(I), the Applicant has a locally
developed process to solicit and
consider public comment before raising
a fare or implementing a major
reduction of public transportation;
J. In compliance with 49 U.S.C.
5307(d)(1)(J), each Federal fiscal year,
the Applicant will spend at least one (1)
percent of its funds authorized by 49
U.S.C. 5307 for public transportation
security projects, unless the Applicant
has certified to FTA that such
expenditures are not necessary. Public
transportation security projects include
increased lighting in or adjacent to a
public transportation system (including
bus stops, subway stations, parking lots,
and garages), increased camera
surveillance of an area in or adjacent to
that system, emergency telephone line
or lines to contact law enforcement or
security personnel in an area in or
adjacent to that system, and any other
project intended to increase the security
and safety of an existing or planned
public transportation; and
K. In compliance with 49 U.S.C.
5307(d)(1)(K), if the Applicant is a
Designated Recipient serving an
urbanized area with a population of at
least 200,000, (1) the Applicant certifies
either that it has expended or will
expend for transit enhancements as
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defined at 49 U.S.C. 5302(a)(15) not less
than one (1) percent of the amount of
the Urbanized Area Formula Assistance
it receives this Federal fiscal year, or
that at least one Designated Recipient in
its urbanized area has certified or will
certify that the Designated Recipients
within that urbanized area together have
expended or will expend for transit
enhancements as defined at 49 U.S.C.
5302(a)(15) not less than one (1) percent
of the amount of the total amounts the
Designated Recipients receive each
Federal fiscal year under 49 U.S.C.
5307, and (2) either the Applicant has
listed or will list the transit
enhancement projects it has carried out
with those funds, or at least one
Designated Recipient in the Applicant’s
urbanized area has listed or will list the
transit enhancement projects carried out
with funds authorized under 49 U.S.C.
5307. If the Designated Recipient’s
quarterly report for the fourth quarter of
the preceding Federal fiscal year
includes a list of transit enhancement
projects the Designated Recipients in its
urbanized area have implemented
during that preceding Federal fiscal year
using those funds, the information in
that quarterly report will fulfill the
requirements of 49 U.S.C.
5307(d)(1)(K)(ii), and thus that quarterly
report will be incorporated by reference
and made part of the Designated
Recipient’s and Applicant’s
certifications and assurances.
16. Clean Fuels Grant Program
Each Applicant for Clean Fuels Grant
Program assistance authorized under 49
U.S.C. 5308 is required to provide the
following certifications on behalf of
itself and its subrecipients. Unless FTA
determines otherwise in writing, the
Applicant is ultimately responsible for
compliance with its certifications and
assurances even though a subrecipient,
lessee, third party contractor, or other
participant may participate in that
project. Consequently, in providing
certifications and assurances that
involve the compliance of its
prospective subrecipients, the Applicant
is strongly encouraged to take the
appropriate measures, including but not
limited to obtaining sufficient
documentation from each subrecipient,
to assure the validity of all certifications
and assurances the Applicant has made
to FTA. FTA may not award Federal
assistance for the Clean Fuels Grant
Program until the Applicant provides
these certifications by selecting Category
‘‘16.’’
As required by 49 U.S.C. 5308(d)(1),
which makes the requirements of 49
U.S.C. 5307 applicable to Clean Fuels
Grant Program assistance, and 49 U.S.C.
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5307(d)(1), the designated recipient or
the recipient serving as the Applicant
on behalf of the designated recipient, or
the State or State organization serving as
the Applicant on behalf of the State,
certifies as follows:
A. In compliance with 49 U.S.C.
5307(d)(1)(A), the Applicant has or will
have the legal, financial, and technical
capacity to carry out its proposed
program of projects, including the safety
and security aspects of that program;
B. In compliance with 49 U.S.C.
5307(d)(1)(B), the Applicant has or will
have satisfactory continuing control
over the use of project equipment and
facilities;
C. In compliance with 49 U.S.C.
5307(d)(1)(C), the Applicant will
adequately maintain the project
equipment and facilities;
D. In compliance with 49 U.S.C.
5307(d)(1)(D), the Applicant will assure
that any elderly individual, any
individual with disabilities, or any
person presenting a Medicare card
issued to himself or herself pursuant to
title II or title XVIII of the Social
Security Act (42 U.S.C. 401 et seq. or 42
U.S.C. 1395 et seq.), will be charged for
transportation during non-peak hours
using or involving a facility or
equipment of a project financed with
Federal assistance authorized under 49
U.S.C. 5308, not more than fifty (50)
percent of the peak hour fare;
E. In compliance with 49 U.S.C.
5307(d)(1)(E), the Applicant, in carrying
out a procurement financed with
Federal assistance authorized under 49
U.S.C. 5308: (1) will use competitive
procurement (as defined or approved by
FTA), (2) will not use exclusionary or
discriminatory specifications in its
procurements, (3) will comply with
applicable Buy America laws, and (4)
will comply with the general provisions
for FTA assistance of 49 U.S.C. 5323
and the third party procurement
requirements of 49 U.S.C. 5325;
F. In compliance with 49 U.S.C.
5307(d)(1)(F), the Applicant has
complied with or will comply with the
requirements of 49 U.S.C. 5307(c).
Specifically, the Applicant: (1) Has
made available, or will make available,
to the public information on the
amounts available for the Clean Fuels
Grant Program, 49 U.S.C. 5308, and the
projects it proposes to undertake; (2) has
developed or will develop, in
consultation with interested parties
including private transportation
providers, the proposed projects to be
financed; (3) has published or will
publish a list of the proposed projects in
a way that affected citizens, private
transportation providers, and local
elected officials have the opportunity to
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examine the proposed projects and
submit comments on the proposed
projects and the performance of the
Applicant; (4) has provided or will
provide an opportunity for a public
hearing to obtain the views of citizens
on the proposed projects; (5) has
assured or will assure that the proposed
projects provide for the coordination of
transportation services assisted under
49 U.S.C. 5336 with transportation
services assisted by another Federal
government source; (6) has considered
or will consider the comments and
views received, especially those of
private transportation providers, in
preparing its final list of projects; and
(7) has made or will make the final list
of projects available to the public;
G. In compliance with 49 U.S.C.
5307(d)(1)(G), the Applicant has or will
have available and will provide the
amount of funds required by 49 U.S.C.
5308(d)(2) for the local share, and that
those funds will be provided from
approved non-Federal sources except as
permitted by Federal law;
H. In compliance with 49 U.S.C.
5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation
systems that maximize the safe, secure,
and efficient mobility of individuals,
minimize environmental impacts, and
minimize transportation-related fuel
consumption and reliance on foreign
oil); (2) 49 U.S.C. 5301(d) (special efforts
to design and provide public
transportation for elderly individuals
and individuals with disabilities); and
(3) 49 U.S.C. 5303 through 5306
(planning and private enterprise
requirements);
I. In compliance with 49 U.S.C.
5307(d)(1)(I), the Applicant has a locally
developed process to solicit and
consider public comment before raising
a fare or implementing a major
reduction of public transportation; and
J. The Applicant certifies will operate
vehicles purchased with Federal
assistance provided under the Clean
Fuels Grant Program, 49 U.S.C. 5308
only with clean fuels.
17. Elderly Individuals and Individuals
With Disabilities Formula Grant
Program and Pilot Program
Before FTA may award Elderly
Individuals and Individuals with
Disabilities Formula Grant Program
assistance and, if applicable, Elderly
Individuals and Individuals with
Disabilities Pilot Program assistance to a
State, the U.S. Secretary of
Transportation or his or her designee is
required to make the preaward
determinations required by 49 U.S.C.
5310. Because certain information is
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needed before FTA can make those
determinations, each State is requested
to provide the following certifications
assurances on behalf of itself and its
subrecipients. Unless FTA determines
otherwise in writing, the State itself is
ultimately responsible for compliance
with its certifications and assurances
even though a subrecipient, lessee, third
party contractor, or other participant
may participate in that project.
Consequently, in providing
certifications and assurances that
involve the compliance of its
prospective subrecipients, the State is
strongly encouraged to take the
appropriate measures, including but not
limited to obtaining sufficient
documentation from each subrecipient,
to assure the validity of all certifications
and assurances the State has made to
FTA. A State that fails to provide these
certifications and assurances on behalf
of itself and its subrecipients may be
determined ineligible for a grant of
Federal assistance under 49 U.S.C. 5310
if FTA lacks sufficient information from
which to make those determinations
required by Federal laws and
regulations governing the Elderly
Individuals and Individuals with
Disabilities Formula Grant Program and,
if applicable, the Elderly Individuals
and Individuals with Disabilities Pilot
Program authorized by 49 U.S.C. 5310
and Section 3012 of SAFETEA–LU,
respectively. The State is thus requested
to select Category ‘‘(17).’’
A. As required by 49 U.S.C. 5310(d),
which makes the requirements of 49
U.S.C. 5307 applicable to the Elderly
Individuals and Individuals with
Disabilities Formula Grant Program to
the extent that the Federal Transit
Administrator or his or her designee
determines appropriate, and 49 U.S.C.
5307(d)(1), the State or State
organization serving as the Applicant
(State) and that administers, on behalf of
the State, the Elderly Individuals and
Individuals with Disabilities Program
authorized by 49 U.S.C. 5310, and, if
applicable, the Elderly Individuals and
Individuals with Disabilities Pilot
Program authorized by subsection
3012(b) of SAFETEA–LU, 49 U.S.C.
5310 note, certifies and assures on
behalf of itself and its subrecipients as
follows:
(1) In compliance with 49 U.S.C.
5307(d)(1)(A), the Applicant has or will
have the legal, financial, and technical
capacity to carry out its proposed
program of projects, including the safety
and security aspects of that program;
(2) In compliance with 49 U.S.C.
5307(d)(1)(B), the Applicant has or will
have satisfactory continuing control
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over the use of project equipment and
facilities;
(3) In compliance with 49 U.S.C.
5307(d)(1)(C), the Applicant will
adequately maintain the project
equipment and facilities;
(4) In compliance with 49 U.S.C.
5307(d)(1)(E), the Applicant, in carrying
out a procurement financed with
Federal assistance authorized under 49
U.S.C. 5310 or subsection 3012(b) of
SAFETEA–LU: (1) Will use competitive
procurement (as defined or approved by
FTA), (2) will not use exclusionary or
discriminatory specifications in its
procurements, (3) will comply with
applicable Buy America laws, and (4)
will comply with the general provisions
for FTA assistance of 49 U.S.C. 5323
and the third party procurement
requirements of 49 U.S.C. 5325;
(5) The State has or will have
available and will provide the amount
of funds required by 49 U.S.C. 5310(c),
and if applicable by section 3012(b)(3)
and (4), for the local share, and that
those funds will be provided from
approved non-Federal sources except as
permitted by Federal law; and
(6) In compliance with 49 U.S.C.
5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation
systems that maximize the safe, secure,
and efficient mobility of individuals,
minimize environmental impacts, and
minimize transportation-related fuel
consumption and reliance on foreign
oil); (2) 49 U.S.C. 5301(d) (special efforts
to design and provide public
transportation for elderly individuals
and individuals with disabilities); and
(3) 49 U.S.C. 5303 through 5306
(planning and private enterprise
requirements);
B. The State assures that each
subrecipient either is recognized under
State law as a private nonprofit
organization with the legal capability to
contract with the State to carry out the
proposed project, or is a public body
that has met the statutory requirements
to receive Federal assistance authorized
for 49 U.S.C. 5310.
C. The private nonprofit
subrecipient’s application for 49 U.S.C.
5310 assistance contains information
from which the State concludes that the
transit service provided or offered to be
provided by existing public or private
transit operators is unavailable,
insufficient, or inappropriate to meet
the special needs of the elderly and
persons with disabilities.
D. In compliance with 49 U.S.C.
5310(d)(2)(A) and section 3012(b)(2), the
State certifies that, before it transfers
funds to a project funded under 49
U.S.C. 5336, that project has been or
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will have been coordinated with private
nonprofit providers of services under 49
U.S.C. 5310;
E. In compliance with 49 U.S.C.
5310(d)(2)(C), the State certifies that
allocations to subrecipients of financial
assistance authorized under 49 U.S.C.
5310 or subsection 3012(b) of
SAFETEA–LU will be distributed on a
fair and equitable basis; and
F. In compliance with 49 U.S.C.
5310(d)(2)(B) and Subsection 3012(b)(2)
of SAFETEA–LU, the State certifies that:
(1) projects it has selected or will select
for assistance under that program were
derived from a locally developed,
coordinated public transit-human
services transportation plan; and (2) the
plan was developed through a process
that included representatives of public,
private, and nonprofit transportation
and human services providers and
participation by the public.
18. Nonurbanized Area Formula
Program for States
The provisions of 49 U.S.C. 5311
establishing the Nonurbanized Area
Formula Program for States do not
impose, as a pre-condition of award, any
explicit certification or assurance
requirements established specifically for
that program. Only a State or a State
organization acting as the Recipient on
behalf of a State (State) may be a direct
recipient of this Nonurbanized Area
Formula Program assistance. Separate
certifications and assurances have been
established in Category 22 for an Indian
tribe that is an Applicant for Tribal
Transit Program assistance authorized
by 49 U.S.C. 5311(c)(1).
Before FTA may award Nonurbanized
Area Formula Program assistance to a
State, the U.S. Secretary of
Transportation or his or her designee is
required to make the preaward
determinations required by 49 U.S.C.
5311. Because certain information is
needed before FTA can make those
determinations, each State is requested
to provide the following certifications
and assurances on behalf of itself and its
subrecipients. Unless FTA determines
otherwise in writing, the State itself is
ultimately responsible for compliance
with its certifications and assurances
even though a subrecipient, lessee, third
party contractor, or other participant
may participate in that project.
Consequently, in providing
certifications and assurances that
involve the compliance of its
prospective subrecipients, the State is
strongly encouraged to take the
appropriate measures, including but not
limited to obtaining sufficient
documentation from each subrecipient,
to assure the validity of all certifications
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and assurances the State has made to
FTA. A State that fails to provide these
certifications and assurances on behalf
of itself and its subrecipients may be
determined ineligible for a grant of
Federal assistance under 49 U.S.C. 5311
if FTA lacks sufficient information from
which to make those determinations
required by Federal laws and
regulations governing the Nonurbanized
Area Formula Program authorized by 49
U.S.C. 5311. The State is thus requested
to select Category ‘‘(18).’’
The State or State organization
serving as the Applicant and that
administers, on behalf of the State
(State) the Nonurbanized Area Formula
Program for States authorized by 49
U.S.C. 5311, assures on behalf of itself
and its subrecipients as follows:
A. The State 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;
B. The State has or will have
satisfactory continuing control over the
use of project equipment and facilities;
C. The State assures that the project
equipment and facilities will be
adequately maintained;
D. In compliance with 49 U.S.C.
5311(b)(2)(C)(i), the State’s program has
provided for a fair distribution of
Federal assistance authorized for 49
U.S.C. 5311 within the State, including
Indian reservations within the State;
E. In compliance with 49 U.S.C.
5311(b)(2)(C)(ii), the State’s program
provides or will provide the maximum
feasible coordination of public
transportation service to receive
assistance under 49 U.S.C. 5311 with
transportation service assisted by other
Federal sources;
F. The projects in the State’s
Nonurbanized Area Formula Program
are included in the Statewide
Transportation Improvement Program
and, to the extent applicable, the
projects are included in a metropolitan
Transportation Improvement Program;
G. The State has or will have available
and will provide the amount of funds
required by 49 U.S.C. 5311(g) for the
local share, and that those funds will be
provided from approved non-Federal
sources except as permitted by Federal
law; and
H. In compliance with 49 U.S.C.
5311(f), the State will expend not less
than fifteen (15) percent of its Federal
assistance authorized under 49 U.S.C.
5311 to develop and support intercity
bus transportation within the State,
unless the chief executive officer of the
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State, or his or her designee, after
consultation with affected intercity bus
service providers, certifies to the
Federal Transit Administrator, apart
from these certifications and assurances
herein, that the intercity bus service
needs of the State are being adequately
met.
19. Job Access and Reverse Commute
Formula Grant Program
Each Applicant for Job Access and
Reverse Commute (JARC) Formula Grant
Program assistance authorized under 49
U.S.C. 5316 is required to provide the
following certifications on behalf of
itself and any subrecipient that may be
implementing its project. Unless FTA
determines otherwise in writing, the
Applicant itself is ultimately
responsible for compliance with its
certifications and assurances even
though a subrecipient, lessee, third
party contractor, or other participant
may participate in that project.
Consequently, in providing
certifications and assurances that
involve the compliance of its
prospective subrecipients, the Applicant
is strongly encouraged to take the
appropriate measures, including but not
limited to obtaining sufficient
documentation from each subrecipient,
to assure the validity of all certifications
and assurances the Applicant has made
to FTA. FTA may not award Federal
assistance for the JARC Formula Grant
Program until the Applicant provides
these certifications by selecting Category
‘‘19.’’
A. As required by 49 U.S.C. 5316(f)(1),
which makes the requirements of 49
U.S.C. 5307 applicable to Job Access
and Reverse Commute (JARC) formula
grants, and 49 U.S.C. 5307(d)(1), the
Applicant for JARC Formula Program
assistance authorized under 49 U.S.C.
5316, certifies on behalf of itself and its
subrecipients, if any, as follows:
(1) In compliance with 49 U.S.C.
5307(d)(1)(A), the Applicant has or will
have the legal, financial, and technical
capacity to carry out its proposed
program of projects, including the safety
and security aspects of that program;
(2) In compliance with 49 U.S.C.
5307(d)(1)(B), the Applicant has or will
have satisfactory continuing control
over the use of project equipment and
facilities;
(3) In compliance with 49 U.S.C.
5307(d)(1)(C), the Applicant will
adequately maintain the project
equipment and facilities;
(4) In compliance with 49 U.S.C.
5307(d)(1)(D), the Applicant will assure
that any elderly individual, any
individual with disabilities, or any
person presenting a Medicare card
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issued to himself or herself pursuant to
title II or title XVIII of the Social
Security Act (42 U.S.C. 401 et seq. or 42
U.S.C. 1395 et seq.), will be charged for
transportation during non-peak hours
using or involving a facility or
equipment of a project financed with
Federal assistance authorized under 49
U.S.C. 5316 not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C.
5307(d)(1)(E), the Applicant, in carrying
out a procurement financed with
Federal assistance authorized under 49
U.S.C. 5316: (1) Will use competitive
procurement (as defined or approved by
FTA), (2) will not use exclusionary or
discriminatory specifications in its
procurements, (3) will comply with
applicable Buy America laws, and (4)
will comply with the general provisions
for FTA assistance of 49 U.S.C. 5323
and the third party procurement
requirements of 49 U.S.C. 5325;
(6) In compliance with 49 U.S.C.
5316(f)(1) and 49 U.S.C. 5307(d)(1)(F),
the Applicant certifies that (1) with
respect to financial assistance
authorized under 49 U.S.C. 5316, it will
conduct in cooperation with the
appropriate MPO an areawide
solicitation for applications, and make
awards on a competitive basis and (2)
with respect to financial assistance
authorized under 49 U.S.C. 5316, it will
conduct a statewide solicitation for
applications, and make awards on a
competitive basis; and that these
activities will be carried out in a manner
that complies with or will comply with
49 U.S.C. 5307(c);
(7) The Applicant has or will have
available and will provide the amount
of funds required by 49 U.S.C. 5316(h)
for the local share, and that those funds
will be provided from approved nonFederal sources except as permitted by
Federal law;
(8) In compliance with 49 U.S.C.
5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation
systems that maximize the safe, secure,
and efficient mobility of individuals,
minimize environmental impacts, and
minimize transportation-related fuel
consumption and reliance on foreign
oil); and (2) 49 U.S.C. 5301(d) (special
efforts to design and provide public
transportation for elderly individuals
and individuals with disabilities); and
(3) 49 U.S.C. 5303 through 5306
(planning and private enterprise
requirements).
B. In compliance with 49 U.S.C.
5316(d), the Applicant certifies that (1)
with respect to financial assistance
authorized under 49 U.S.C.
5316(c)(1)(A), it will conduct in
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cooperation with the appropriate MPO
an areawide solicitation for
applications, and make awards on a
competitive basis and (2) with respect to
financial assistance authorized under 49
U.S.C. 5316(c)(1)(B) or 49 U.S.C.
5316(c)(1)(C), it will conduct a
statewide solicitation for applications,
and make awards on a competitive
basis;
C. In compliance with 49 U.S.C.
5316(f)(2), the Applicant certifies that
any allocations to subrecipients of
financial assistance authorized under 49
U.S.C. 5316 will be distributed on a fair
and equitable basis;
D. In compliance with 49 U.S.C.
5316(g)(2), the Applicant certifies that,
before it transfers funds to a project
funded under 49 U.S.C. 5336, that
project has been or will have been
coordinated with private nonprofit
providers of services;
E. In compliance with 49 U.S.C.
5316(g)(3), The Applicant certifies that:
(1) The projects it has selected or will
select for assistance under that program
were derived from a locally developed,
coordinated public transit-human
services transportation plan; and (2) the
plan was developed through a process
that included representatives of public,
private, and nonprofit transportation
and human services providers and
participation by the public; and
F. In compliance with 49 U.S.C.
5316(c)(3), before the Applicant uses
funding apportioned under 49 U.S.C.
5316(c)(1)(B) or (C) for projects serving
an area other than that specified in 49
U.S.C. 5316(2)(B) or (C), the Applicant
certifies that the chief executive officer
of the State, or his or her designee will
have certified to the Federal Transit
Administrator, apart from these
certifications herein, that all of the
objectives of 49 U.S.C. 5316 are being
met in the area from which such
funding would be derived.
20. New Freedom Program
Each Applicant for New Freedom
Program assistance authorized under 49
U.S.C. 5317 must provide the following
certifications on behalf of itself and any
subrecipient that may be implementing
its project. Unless FTA determines
otherwise in writing, the Applicant
itself is ultimately responsible for
compliance with its certifications and
assurances even though a subrecipient,
lessee, third party contractor, or other
participant may participate in that
project. Consequently, in providing
certifications and assurances that
involve the compliance of its
prospective subrecipients, the Applicant
is strongly encouraged to take the
appropriate measures, including but not
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Jkt 217001
limited to obtaining sufficient
documentation from each subrecipient,
to assure the validity of all certifications
and assurances the Applicant has made
to FTA. FTA may not award Federal
assistance for the New Freedom
Program until the Applicant provides
these certifications by selecting Category
‘‘20.’’
A. As required by 49 U.S.C.
5317(e)(1), which makes the
requirements of 49 U.S.C. 5310
applicable to New Freedom grants to the
extent the Federal Transit Administrator
or his or her designee determines
appropriate, by 49 U.S.C. 5310(d)(1),
which makes the requirements of 49
U.S.C. 5307 applicable to Elderly
Individuals and Individuals with
Disabilities Formula grants to the extent
the Federal Transit Administrator or his
or her designee determines appropriate,
and by 49 U.S.C. 5307(d)(1), the
Applicant for New Freedom Program
assistance authorized under 49 U.S.C.
5317 certifies and assures on behalf of
itself and its subrecipients, if any, as
follows:
(1) In compliance with 49 U.S.C.
5307(d)(1)(A), the Applicant has or will
have the legal, financial, and technical
capacity to carry out its proposed
program of projects, including the safety
and security aspects of that program;
(2) In compliance with 49 U.S.C.
5307(d)(1)(B), the Applicant has or will
have satisfactory continuing control
over the use of project equipment and
facilities;
(3) In compliance with 49 U.S.C.
5307(d)(1)(C), the Applicant will
adequately maintain the project
equipment and facilities;
(4) In compliance with 49 U.S.C.
5307(d)(1)(E), the Applicant, in carrying
out a procurement financed with
Federal assistance authorized under 49
U.S.C. 5317: (1) Will use competitive
procurement (as defined or approved by
FTA), (2) will not use exclusionary or
discriminatory specifications in its
procurements, (3) will comply with
applicable Buy America laws, and (4)
will comply with the general provisions
for FTA assistance of 49 U.S.C. 5323
and the third party procurement
requirements of 49 U.S.C. 5325;
(5) The Applicant has or will have
available and will provide the amount
of funds required by 49 U.S.C. 5317(g)
for the local share, and that those funds
will be provided from approved nonFederal sources except as permitted by
Federal law; and
(6) In compliance with 49 U.S.C.
5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation
systems that maximize the safe, secure,
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65023
and efficient mobility of individuals,
minimize environmental impacts, and
minimize transportation-related fuel
consumption and reliance on foreign
oil); (2) 49 U.S.C. 5301(d) (special efforts
to design and provide public
transportation for elderly individuals
and individuals with disabilities); and
(3) 49 U.S.C. 5303 through 5306
(planning and private enterprise
requirements);
B. In compliance with 49 U.S.C.
5317(d), the Applicant certifies that (1)
with respect to financial assistance
authorized under 49 U.S.C.
5317(c)(1)(A), it will conduct in
cooperation with the appropriate MPO
an areawide solicitation for
applications, and make awards on a
competitive basis and (2) with respect to
financial assistance authorized under 49
U.S.C. 5317(c)(1)(B) or 49 U.S.C.
5317(c)(1)(C), it will conduct a
statewide solicitation for applications,
and make awards on a competitive
basis;
C. In compliance with 49 U.S.C.
5317(f)(2), the Applicant certifies that,
before it transfers funds to a project
funded under 49 U.S.C. 5336, that
project has been or will have been
coordinated with private nonprofit
providers of services;
D. In compliance with 49 U.S.C.
5317(e)(2), the Applicant certifies that
any allocations to subrecipients of
financial assistance authorized under 49
U.S.C. 5317 will be distributed on a fair
and equitable basis; and
E. In compliance with 49 U.S.C.
5317(f)(3), the Applicant certifies that:
(1) projects it has selected or will select
for assistance under that program were
derived from a locally developed,
coordinated public transit-human
services transportation plan; and (2) the
plan was developed through a process
that included representatives of public,
private, and nonprofit transportation
and human services providers and
participation by the public.
21. Paul S. Sarbanes Transit in Parks
Program
Each State, tribal area, or local
government authority that is an
Applicant for Paul S. Sarbanes Transit
in Parks Program assistance (Applicant)
authorized by 49 U.S.C. 5320, is
required to provide the following
certifications. FTA may not award
assistance for the Paul S. Sarbanes
Transit in Parks Program to the
Applicant until the Applicant provides
these certifications by selecting Category
‘‘21.’’
A. As required by 49 U.S.C. 5320(i),
which makes the requirements of 49
U.S.C. 5307 applicable to the Paul S.
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Sarbanes Transit in Parks Program to the
extent the Federal Transit Administrator
or his or her designee determines
appropriate, and 49 U.S.C. 5307(d)(1),
the Applicant certifies as follows:
(1) In compliance with 49 U.S.C.
5307(d)(1)(A), the Applicant has or will
have the legal, financial, and technical
capacity to carry out its proposed
project, including the safety and
security aspects of that project;
(2) In compliance with 49 U.S.C.
5307(d)(1)(B), the Applicant has or will
have satisfactory continuing control
over the use of project equipment and
facilities;
(3) In compliance with 49 U.S.C.
5307(d)(1)(C), the Applicant will
adequately maintain the project
equipment and facilities;
(4) In compliance with 49 U.S.C.
5307(d)(1)(E) in carrying out a
procurement financed with Federal
assistance authorized under 49 U.S.C.
5320, the Applicant: (1) will use
competitive procurement (as defined or
approved by FTA), (2) will not use
exclusionary or discriminatory
specifications in its procurements, (3)
will comply with applicable Buy
America laws, and (4) will comply with
the general provisions for FTA
assistance of 49 U.S.C. 5323 and the
third party procurement requirements of
49 U.S.C. 5325;
(5) In compliance with 49 U.S.C.
5307(d)(1)(F) and with 49 U.S.C.
5320(e)(2)(C), the Applicant has
complied with or will comply with the
requirements of 49 U.S.C. 5307(c).
Specifically, it: (1) Has made available,
or will make available, to the public
information on the amounts available
for the Paul S. Sarbanes Transit in Parks
Program, 49 U.S.C. 5320, and the
projects it proposes to undertake; (2) has
developed or will develop, in
consultation with interested parties
including private transportation
providers, projects to be financed; (3)
has published or will publish a list of
projects in a way that affected citizens,
private transportation providers, and
local elected officials have the
opportunity to examine the proposed
projects and submit comments on the
proposed projects and the performance
of the Applicant; (4) has provided or
will provide an opportunity for a public
hearing to obtain the views of citizens
on the proposed projects; (5) has
assured or will assure that the proposed
projects provide for the coordination of
transportation services assisted under
49 U.S.C. 5336 with transportation
services assisted by another Federal
government source; (6) has considered
or will consider the comments and
views received, especially those of
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Jkt 217001
private transportation providers, in
preparing its final list of projects; and
(7) has made or will make the final list
of projects available to the public;
(6) In compliance with 49 U.S.C.
5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation
systems that maximize the safe, secure,
and efficient mobility of individuals,
minimize environmental impacts, and
minimize transportation-related fuel
consumption and reliance on foreign
oil); (2) 49 U.S.C. 5301(d) (special efforts
to design and provide public
transportation for elderly individuals
and individuals with disabilities); and
(3) 49 U.S.C. 5303 through 5306
(planning and private enterprise
requirements).
(7) In compliance with 49 U.S.C.
5307(d)(1)(I), the Applicant has a locally
developed process to solicit and
consider public comment before raising
a fare or implementing a major
reduction of public transportation.
B. In compliance with 49 U.S.C.
5320(e)(2)(A), (B), and (D), the
Applicant assures that it will:
(1) Comply with the metropolitan
planning provisions of 49 U.S.C. 5303;
(2) Comply with the statewide
planning provisions of 49 U.S.C. 5304;
and
(3) Consult with the appropriate
Federal land management agency during
the planning process.
22. Tribal Transit Program
Each Applicant for Tribal Transit
Program assistance must provide all
certifications and assurances 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 assures as follows:
A. The Applicant assures 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
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(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.
23. Infrastructure Finance Projects
Each Applicant for Infrastructure
Finance assistance authorized under 23
U.S.C. chapter 6, is required to provide
the following certifications. FTA may
not award Infrastructure Finance
assistance to the Applicant until the
Applicant provides these certifications
by selecting Category ‘‘23.’’
A. As required by 49 U.S.C. 5323(o),
which makes the requirements of 49
U.S.C. 5307 applicable to Applicants
seeking Infrastructure Finance
assistance authorized under 23 U.S.C.
chapter 6, and by 49 U.S.C. 5307(d)(1),
the Applicant certifies as follows:
(1) In compliance with 49 U.S.C.
5307(d)(1)(A), the Applicant has or will
have the legal, financial, and technical
capacity to carry out its proposed
program of projects, including the safety
and security aspects of that program;
(2) In compliance with 49 U.S.C.
5307(d)(1)(B), the Applicant has or will
have satisfactory continuing control
over the use of project equipment and
facilities;
(3) In compliance with 49 U.S.C.
5307(d)(1)(C), the Applicant will
adequately maintain the project
equipment and facilities;
(4) In compliance with 49 U.S.C.
5307(d)(1)(D), the Applicant will assure
that any elderly individual, any
individual with disabilities, or any
person presenting a Medicare card
issued to himself or herself pursuant to
title II or title XVIII of the Social
Security Act (42 U.S.C. 401 et seq. or 42
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U.S.C. 1395 et seq.), will be charged for
transportation during non-peak hours
using or involving a facility or
equipment of a project financed with
Federal assistance authorized under 23
U.S.C. chapter 6, not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C.
5307(d)(1)(E), the Applicant, in carrying
out a procurement financed with
Federal assistance authorized under 23
U.S.C. chapter 6: (1) will use
competitive procurement (as defined or
approved by FTA), (2) will not use
exclusionary or discriminatory
specifications in its procurements, (3)
will comply with applicable Buy
America laws, and (4) will comply with
the general provisions for FTA
assistance of 49 U.S.C. 5323 and the
third party procurement requirements of
49 U.S.C. 5325;
(6) In compliance with 49 U.S.C.
5307(d)(1)(F), the Applicant has
complied with or will comply with the
requirements of 49 U.S.C. 5307(c).
Specifically, it: (1) Has made available,
or will make available, to the public
information on the amounts available
for Infrastructure Finance assistance, 23
U.S.C. chapter 6, and the projects it
proposes to undertake; (2) has
developed or will develop, in
consultation with interested parties
including private transportation
providers, the proposed projects to be
financed; (3) has published or will
publish a list of projects in a way that
affected citizens, private transportation
providers, and local elected officials
have the opportunity to examine the
proposed projects and submit comments
on the proposed projects and the
performance of the Applicant; (4) has
provided or will provide an opportunity
for a public hearing to obtain the views
of citizens on the proposed projects; (5)
has assured or will assure that the
proposed projects provide for the
coordination of transportation services
assisted under 49 U.S.C. 5336 with
transportation services assisted by
another Federal government source; (6)
has considered or will consider the
comments and views received,
especially those of private
transportation providers, in preparing
its final list of projects; and (7) has made
or will make the final list of projects
available to the public;
(7) In compliance with 49 U.S.C.
5307(d)(1)(G), the Applicant has or will
have available and will provide the
amount of funds required for the local
share, and that those funds will be
provided from approved non-Federal
sources except as permitted by Federal
law;
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(8) In compliance with 49 U.S.C.
5307(d)(1)(H), (1) the Applicant will
comply with: 49 U.S.C. 5301(a)
(requirements for public transportation
systems that maximize the safe, secure,
and efficient mobility of individuals,
minimize environmental impacts, and
minimize transportation-related fuel
consumption and reliance on foreign
oil); (2) 49 U.S.C. 5301(d) (special efforts
to design and provide public
transportation for elderly individuals
and individuals with disabilities); and
(3) 49 U.S.C. 5303 through 5306
(planning and private enterprise
requirements);
(9) In compliance with 49 U.S.C.
5307(d)(1)(I), the Applicant has a locally
developed process to solicit and
consider public comment before raising
a fare or implementing a major
reduction of public transportation;
(10) To the extent that the Applicant
will be using funds authorized under 49
U.S.C. 5307 for the project, in
compliance with 49 U.S.C. 5307(d)(1)(J),
each Federal fiscal year, the Applicant
will spend at least one (1) percent of
those funds authorized under 49 U.S.C.
5307 for public transportation security
projects (this includes only capital
projects in the case of a Applicant
serving an urbanized area with a
population of 200,000 or more), unless
the Applicant has certified to FTA that
such expenditures are not necessary.
Public transportation security projects
include increased lighting in or adjacent
to a public transportation system
(including bus stops, subway stations,
parking lots, and garages), increased
camera surveillance of an area in or
adjacent to that system, emergency
telephone line or lines to contact law
enforcement or security personnel in an
area in or adjacent to that system, and
any other project intended to increase
the security and safety of an existing or
planned public transportation; and
(11) To the extent that the Applicant
will be using funds authorized under 49
U.S.C. 5307 for the project, in
compliance with 49 U.S.C.
5309(d)(1)(K): (1) an Applicant that
serves an urbanized area with a
population of at least 200,000 will
expend not less than one (1) percent of
the amount it receives each Federal
fiscal year under 49 U.S.C. 5307 for
transit enhancements, as defined at 49
U.S.C. 5302(a), and (2) if it has received
transit enhancement funds authorized
by 49 U.S.C. 5307(k)(1), its quarterly
report for the fourth quarter of the
preceding Federal fiscal year includes a
list of the projects it has implemented
during that Federal fiscal year using
those funds, and that report is
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incorporated by reference and made part
of its certifications and assurances.
B. As required by 49 U.S.C. 5323(o),
which makes the requirements of 49
U.S.C. 5309 applicable to Applicants
seeking Infrastructure Finance
assistance authorized under 23 U.S.C.
chapter 6, and by 49 U.S.C.
5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and
5309(i)(2)(C), the Applicant certifies that
it will not seek reimbursement for
interest and other financing costs
incurred in connection with the Project
unless it is eligible to receive Federal
assistance for those expenses and its
records demonstrate that it has used
reasonable diligence in seeking the most
favorable financing terms underlying
those costs, to the extent FTA may
require.
24. Deposits of Federal Financial
Assistance to State Infrastructure
Banks
The State organization that
administers the State Infrastructure
Bank (SIB) Program on behalf of a State
(State) and that is also an Applicant for
Federal assistance authorized under 49
U.S.C. chapter 53 that it intends to
deposit in its SIB is requested to provide
the following assurances on behalf of
itself, its SIB, and each subrecipient.
Unless FTA determines otherwise in
writing, the State itself is ultimately
responsible for compliance with its
certifications and assurances even
though the SIB and a subrecipient may
participate in that project.
Consequently, in providing
certifications and assurances that
involve the compliance of its SIB and
prospective subrecipients, the State is
strongly encouraged to take the
appropriate measures, including but not
limited to obtaining sufficient
documentation from the SIB and each
subrecipient, to assure the validity of all
certifications and assurances the State
has made to FTA. FTA may not award
Federal assistance for the SIB Program
to the State until the State provides
these assurances by selecting Category
‘‘24.’’
The State organization, serving as the
Applicant (State) for Federal assistance
for its State Infrastructure Bank (SIB)
Program authorized by section 1602 of
SAFETEA–LU, now codified at 23
U.S.C. 610, or by section 1511 of TEA–
21, 23 U.S.C. 181 note, or by section 350
of the National Highway System
Designation Act of 1995, as amended, 23
U.S.C. 181 note, agrees and assures the
agreement of its SIB and the agreement
of each recipient of Federal assistance
derived from the SIB within the State
(subrecipient) that each public
transportation project financed with
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ebenthall on PROD1PC60 with NOTICES
Federal assistance derived from SIB will
be administered in accordance with:
A. Applicable provisions of section
1602 of SAFETEA–LU, now codified at
23 U.S.C. 610, or by section 1511 of
TEA–21, 23 U.S.C. 181 note, or by
section 350 of the National Highway
System Designation Act of 1995, as
amended, 23 U.S.C. 181;
B. The provisions of the FHWA, FRA,
and FTA or the FHWA and FTA
cooperative agreement with the State to
establish the State’s SIB Program; and
C. The provisions of the FTA grant
agreement with the State that provides
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15:31 Oct 30, 2008
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Federal assistance for the SIB, except
that any provision of the Federal Transit
Administration Master Agreement
incorporated by reference into that grant
agreement will not apply if it conflicts
with any provision of section 1602 of
SAFETEA–LU, now codified at 23
U.S.C. 610, or section 1511 of TEA–21,
23 U.S.C. 181 note, or section 350 of the
National Highway System Designation
Act of 1995, as amended, 23 U.S.C. 181
note, or Federal guidance pertaining to
the SIB Program, the provisions of the
cooperative agreement establishing the
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SIB Program within the State, or the
provisions of the FTA grant agreement.
D. The requirements applicable to
projects of 49 U.S.C. 5307 and 5309, as
required by 49 U.S.C. 5323(o); and
E. The provisions of any applicable
Federal guidance that may be issued as
it may be amended from time-to-time,
unless FTA has provided written
approval of an alternative procedure or
course of action.
Selection and Signature Page(s)
follow.
BILLING CODE 4910–57–P
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65028
Federal Register / Vol. 73, No. 212 / Friday, October 31, 2008 / Notices
[FR Doc. E8–26030 Filed 10–30–08; 8:45 am]
BILLING CODE 4910–57–C
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
National Technical Assistance Center
for Parks and Public Lands
Federal Transit Administration
(FTA), Department of Transportation
(DOT).
AGENCY:
ebenthall on PROD1PC60 with NOTICES
ACTION:
Notice: Request for Proposals.
SUMMARY: This solicitation is for
proposals from organizations to
implement a National Technical
Assistance Center for Alternative
Transportation in Public Lands. The
Center is to assist the Federal Transit
Administration (FTA) in the
coordinated provision of technical
assistance under the Paul S. Sarbanes
Transit in Parks program. The Center is
to develop, administer, distribute, and
oversee multiple technical assistance
products to support land management
agencies, States, and local and tribal
governments in alternative
transportation projects serving federally
managed parks and public lands.
Organizations that submit proposals
should have technical assistance
expertise and experience in
transportation planning, coordination
and operations on parks and public
lands. FTA will award a cooperative
agreement (one base year plus two
option years) for an estimated amount of
$4,500,000. The funding is authorized
under section 3021(d)(1) of the Safe,
Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for
Users (SAFETEA–LU) and subsequently
appropriated. For the first year of the
project, $1,500,000 will be made
available. Funding for subsequent years
will be based on available annual
appropriations as well as annual
performance reviews.
Use of Funds: The organization
selected shall (1) provide on-demand
and proactive technical assistance in
alternative transportation project-level
scoping, planning, and operations; (2)
provide training and workshops; (3)
perform outreach, communications, and
coordination of services to support land
management agencies in planning
processes; (4) maintain a central
repository of resources and disseminate
resources; (5) support the project
evaluation process; (6) convene and
collaborate with an interagency peer
review group; and (7) perform project
administration and management.
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Proposals must be submitted
electronically by December 30, 2008.
ADDRESSES: Proposals shall be
submitted electronically to https://
www.grants.gov. Grants.Gov allows
organizations to find and apply for
funding opportunities electronically
from all Federal grant-making agencies.
Grants.Gov is the single access point for
over 1,000 grant programs offered by the
26 Federal grant-making agencies.
FOR FURTHER INFORMATION CONTACT:
Scott Faulk, Office of Program
Management, Federal Transit
Administration, 202–366–1660; FAX
202–366–7951; e-mail:
Scott.Faulk@dot.gov.
SUPPLEMENTARY INFORMATION: Section
3021 of SAFETEA–LU established a
new program called the Paul S.
Sarbanes Transit in Parks program (49
U.S.C. 5320). The purpose of this
program is to enhance the protection of
national parks and Federal lands, and
increase the enjoyment of those visiting
them. The program funds capital and
planning expenses for alternative
transportation systems such as buses
and trams in federally-managed parks
and public lands. The Paul S. Sarbanes
Transit in Parks legislation further
allows the FTA to spend program funds
to carry out planning, research, and
technical assistance activities. FTA
oversees the funds allocated to technical
assistance to support program
participants in planning, implementing,
and evaluating alternative
transportation projects on parks and
public lands. SAFETEA–LU authorizes
$97 million in funding for the program
for Fiscal Years (FY) 2006 through 2009.
Of this funding, no more than 10
percent of the amount made available
for any given FY under section 49
U.S.C. 5338(b)(2)(J) may be used to carry
out planning, research, and technical
assistance activities.
DATES:
I. Funding Opportunity Description
FTA is soliciting proposals for a
cooperative agreement to develop and
implement a program of technical
assistance and training for Federal land
management agencies that shall include
on-demand and proactive technical
assistance in project-level scoping and
planning, a resource clearinghouse,
training and workshops, publication of
best practices, and preparation of
technical manuals and other reference
materials. The Paul S. Sarbanes Transit
in Parks program would be well-served
through a coordinated and efficient use
of its limited resources. A National
Technical Assistance Center for
alternative transportation on parks and
public lands is intended to meet
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65029
technical assistance needs among land
management agencies and other eligible
awardees and to achieve program and
process consistencies, realize significant
cost and time savings, and build
cooperative relationships in support of
the Paul S. Sarbanes Transit in Parks
program. Such technical assistance will
allow Federal lands to serve the public
more effectively through enhanced
conservation of natural and cultural
resources and by providing high quality
experiences for visitors on public lands.
The main goal of a National Technical
Assistance Center for Alternative
Transportation on Parks and Public
Lands is to assist FTA in the timely,
coordinated provision of technical
assistance, case management, and
program support elements of
SAFETEA–LU, section 3021. To
accomplish this goal the Center is to
develop, administer, disseminate, and
oversee multiple technical assistance
products and services to support land
management agencies and State, local,
and tribal governments in alternative
transportation projects serving federally
managed parks and public lands. FTA
will award a cooperative agreement (one
base year with two option years) of $4.5
million from funding authorized in
SAFETEA–LU and subsequently
appropriated. The tasks of the Center
include: (1) Project administration and
management; (2) organization of and
coordination with a peer review group;
(3) technical assistance; (4) training and
workshops; (5) development of
outreach, communication and
coordination in support of alternative
transportation planning; and (6)
knowledge management and
information dissemination. A desirable
organization will have demonstrated
expertise in issues of transportation
planning and operations on parks and
public lands. Ideally, an organization
will have experience in providing
technical assistance to Federal land
management agencies on issues related
to water and land-based transportation,
particularly in relation to the protection
of natural and cultural resources.
Background
Congestion in and around parks and
public lands causes traffic delays and
noise and air pollution that
substantially detract from the visitor’s
experience and the protection of natural
resources. In August 2001, the
Department of Transportation (DOT)
and the Department of the Interior (DOI)
published a comprehensive study of
alternative transportation needs in
national parks and related federal lands.
The study identified significant
alternative transportation needs at sites
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[Federal Register Volume 73, Number 212 (Friday, October 31, 2008)]
[Notices]
[Pages 65010-65029]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-26030]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2009 Annual List of Certifications and
Assurances for Federal Transit Administration Grants and Cooperative
Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: Pursuant to 49 U.S.C. 5323(n), FTA is authorized to
consolidate the certifications and assurances required by Federal law
or regulations for its programs into a single document. FTA is also
required by 49 U.S.C. 5323(n) to publish a list of those certifications
and assurances annually.
Appendix A of this Notice contains the comprehensive compilation of
FTA's Certifications and Assurances for Federal Fiscal Year (Federal
FY) 2009 applicable to the various Federal assistance programs that FTA
will administer during that Federal FY. FTA's Certifications and
Assurances for Federal FY 2009 reflect Federal statutory, regulatory,
and programmatic changes that have now become effective.
DATES: Effective Date: These FTA Certifications and Assurances are
effective on October 1, 2008, the first day of Federal FY 2009.
FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate FTA
Regional Office or FTA Metropolitan Office listed below. For copies of
other related documents, see the FTA Web site at https://www.fta.dot.gov
or contact FTA's Office of Administration at 202-366-4022.
Region 1: Boston
States served: Connecticut, Maine, Massachusetts, New Hampshire,
Rhode Island, and Vermont. Telephone 617-494-2055.
Region 2: New York
States served: New York and New Jersey. Telephone 212-
668-2170.
Region 3: Philadelphia
States served: Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, and West Virginia. Telephone 215-656-
7100.
Region 4: Atlanta
States served: Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, Puerto Rico, South Carolina, Tennessee, and the U.S.
Virgin Islands. Telephone 404-865-5600.
Region 5: Chicago
States served: Illinois, Indiana, Michigan, Minnesota, Ohio, and
Wisconsin. Telephone 312-353-2789.
Region 6: Dallas/Ft. Worth
States served: Arkansas, Louisiana, New Mexico, Oklahoma, and
Texas. Telephone 817-978-0550.
Region 7: Kansas City
States served: Iowa, Kansas, Missouri, and Nebraska. Telephone
816-329-3920.
Region 8: Denver
States served: Colorado, Montana, North Dakota, South Dakota, Utah,
and Wyoming. Telephone 720-963-3300.
Region 9: San Francisco
States served: Arizona, California, Hawaii, Nevada, Guam, American
Samoa, and the Northern Mariana Islands. Telephone 415-744-
3133.
Region 10: Seattle
States served: Alaska, Idaho, Oregon, and Washington. Telephone
206-220-7954.
Lower Manhattan Recovery Office
Area served: Lower Manhattan. Telephone 212-668-1770.
New York Metropolitan Office
Area served: New York Metropolitan Area. Telephone 212-
668-2201.
Philadelphia Metropolitan Office
Area served: Philadelphia Metropolitan Area. Telephone
215-656-7070.
Washington DC Metropolitan Office
Area served: Washington DC Metropolitan Area. Telephone
202-219-3562/219-3565.
Chicago Metropolitan Office
Area served: Chicago Metropolitan Area. Telephone 312-
886-1616.
Los Angeles Metropolitan Office
Area served: Los Angeles Metropolitan Area. Telephone
213-202-3950.
SUPPLEMENTARY INFORMATION:
1. Purposes
The purposes of this Notice are to:
Publish FTA's Federal FY 2009 Certifications and
Assurances for Applicants for Federal assistance administered by FTA
and the Projects for which they seek Federal assistance.
Highlight new changes to the FTA Certifications and
Assurances now in effect.
Identify locations where these FTA Certifications and
Assurances may be viewed, and
Provide directions for submitting these FTA Certifications
and Assurances.
2. Background
a. FTA's Responsibilities. Since Federal FY 1995, FTA has been
[[Page 65011]]
consolidating the various certifications and assurances that may be
required of its Applicants and their projects into a single document
for publication in the Federal Register. FTA intends to continue
publishing this document annually, when feasible in conjunction with
its publication of the FTA annual apportionment notice, which sets
forth the allocations of funds made available by the latest U.S.
Department of Transportation (U.S. DOT) annual appropriations act.
Because U.S. DOT's full-year appropriations for Federal FY 2009 were
not signed into law on October 1, 2008 (the first day of Federal FY
2009), and have not yet been signed into law, FTA is proceeding with
publication of its Certifications and Assurances for FY 2009.
b. Applicant's Responsibilities. Irrespective of whether a project
will be financed under the authority of 49 U.S.C. chapter 53, Title 23,
United States Code, or another Federal statute, the Applicant must
submit Federal FY 2009 Certifications and Assurances to FTA applicable
to all projects for which the Applicant seeks funding during Federal FY
2009.
FTA requests that an Applicant to submit all of the twenty-four
(24) categories of the Certifications and Assurances that may be needed
for all projects for which the Applicant intends to or might seek
Federal assistance in the Federal FY 2009. Selecting and submitting
these Certifications and Assurances to FTA signifies the Applicant's
intent and ability to comply with all applicable provisions thereof.
In order to assure FTA that the Applicant is authorized under State
and local law to certify compliance with the FTA Certifications and
Assurances it has selected, FTA requires the Applicant to obtain a
current (Federal FY 2009) affirmation signed by the Applicant's
attorney affirming the Applicant's legal authority to certify its
compliance with the FTA Certifications and Assurances that the
Applicant has selected. The Applicant's attorney must sign this
affirmation during Federal FY 2009. Irrespective of whether the
Applicant makes a single selection of all twenty-four (24) categories
of FTA Certifications and Assurances or selects individual categories
from the FTA Certifications and Assurances, the Affirmation of
Applicant's Attorney from a previous Federal FY is not acceptable,
unless FTA expressly determines otherwise in writing.
c. Effect of Subrecipient Participation. Absent a written
determination by FTA to the contrary, the Applicant itself is
ultimately responsible for compliance with the FTA Certifications and
Assurances it has selected even though the Project may be carried out
in whole or in part by one or more subrecipients. Thus, if
subrecipients will be participating in the Project, when the Applicant
submits its FTA Certifications and Assurances, the Applicant is also
signifying that it will be responsible for compliance, both of itself
and of each of its subrecipients, with the provisions of the FTA
Certifications and Assurances it has selected. Therefore, in providing
Certifications and Assurances that necessarily involve the compliance
of any prospective subrecipient, FTA strongly recommends that the
Applicant take the appropriate measures, including but not limited to
obtaining sufficient documentation from each subrecipient participating
in the project, to assure the validity of the Applicant's
Certifications and Assurances to FTA.
3. Significant Information About FTA's Certifications and Assurances
for Federal FY 2009
a. Legal Implications
(1) Binding Commitments. Because the Applicant is required by
Federal law and regulations to comply with the applicable provisions of
all FTA Certifications and Assurances it submits, it is important that
the Applicant be familiar with the provisions of all twenty-four (24)
categories of FTA Certifications and Assurances for Federal FY 2009.
The text of those Certifications and Assurances is contained in
Appendix A of this Notice, and also appears at https://www.fta.dot.gov/
documents/2009-Certs-Appendix.A.pdf, and in FTA's electronic award and
management system, TEAM-Web, https://ftateamweb.fta.dot.gov, at the
``Cert's & Assurances'' tab of the ``View/Modify Recipients'' page in
the ``Recipients'' option. Provisions of this Notice supersede
conflicting statements in any FTA circular containing a previous
version of FTA's annual Certifications and Assurances. The
Certifications and Assurances contained in those FTA circulars are
merely examples, and are not acceptable or valid for Federal FY 2009.
An Applicant's annual Certifications and Assurances to FTA
generally remain in effect for either the duration of the Grant or
Cooperative Agreement supporting the Project until the Project is
closed out or for the duration of the Project or Project property when
a useful life or industry standard is in effect, whichever occurs
later. If, however, the Applicant provides Certifications and
Assurances to FTA in a later year that differ from the Certifications
and Assurances previously provided, the later Certifications and
Assurances will apply to the Grant, Cooperative Agreement, Project, or
Project property, except to the extent FTA permits otherwise in
writing.
(2) Penalties for Noncompliance. If the Applicant makes a false,
fictitious, or fraudulent claim, statement, submission, certification,
assurance, or representation to the Federal government or includes a
false, fictitious, or fraudulent statement or representation in any
agreement with the Federal government in connection with a Project
authorized under 49 U.S.C. chapter 53 or any other Federal law, the
Federal government reserves the right to impose on the Applicant the
penalties of the Program Fraud Civil Remedies Act of 1986, as amended,
31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations,
``Program Fraud Civil Remedies,'' 49 CFR part 31, or the penalties of
49 U.S.C. 5323(l) invoking the criminal provisions of 18 U.S.C. 1001,
or other applicable Federal law to the extent the Federal government
deems appropriate.
(3) FTA's Certifications and Assurances Constitute Only a Partial
List of Federal Requirements. FTA cautions that the FTA Certifications
and Assurances required by Federal law and regulations do not address
all the Federal requirements that will apply to the Applicant and its
Project. FTA's Certifications and Assurances are generally pre-award
requirements, i.e., those requirements of Federal law and regulations
the Applicant must fulfill before FTA is legally authorized to award of
Federal financial assistance to an Applicant.
(4) Other Federal Requirements. Because FTA's Certifications and
Assurances do not encompass all Federal requirements that will apply to
the Applicant and its Project, FTA strongly encourages the Applicant to
review the Federal authorizing legislation, regulations, and directives
pertaining to the program or programs for which the Applicant seeks
Federal assistance. The FTA Master Agreement for Federal FY 2009 at
https://www.fta.dot.gov/documents/15-Master.pdf identifies a substantial
number of those Federal laws, regulations, and directives that apply to
Applicants and their various projects.
b. Importance of FTA's Certifications and Assurances for Federal FY
2009. Following publication of these Certifications and Assurances, FTA
may not award Federal financial assistance through a Federal Grant or
Cooperative Agreement until the Applicant submits
[[Page 65012]]
all of the FTA Certifications and Assurances for Federal FY 2009
pertaining to itself and its project as required by Federal laws and
regulations. The Applicant's Certifications and Assurances for Federal
FY 2009 will be applicable to all projects for which it seeks Federal
assistance during Federal FY 2009 and through the next Federal FY until
FTA issues its annual Certifications and Assurances for Federal FY
2010.
c. Federal FY 2009 Changes. Apart from minor editorial revisions,
significant changes to FTA's Certifications and Assurances include the
following:
(1) In the Introductory paragraphs preceding the text of FTA's
Certifications and Assurances:
(a) The FTA Web site for the FTA Master Agreement for Federal FY
2009 is identified as https://www.fta.dot.gov/documents/15-Master.pdf.
(b) A new provision has been added expressly reminding the
Applicant that when it applies for FTA assistance on behalf of a
consortium, joint venture, partnership, or team, each member of that
consortium, joint venture, partnership, or team is responsible for
compliance with the certifications and assurances the Applicant selects
pertaining to any FTA assisted project.
(2) Category 09. The Charter Service Agreement has been amended for
consistency with the new FTA regulations, ``Charter Service,''
published at 73 FR 2325 et seq., January 14, 2008, and amended at 73 FR
44927 et seq., August 1, 2008, and 73 FR 46554 et seq., August 11,
2008.
(3) Categories 13 and 21. Subsection 201(i) of the SAFETEA-LU
Technical Corrections Act, 2008, Pub. L. 110-244, June 6, 2008, changed
the name of the ``Alternative Transportation in Parks and Public Lands
Program'' to the ``Paul S. Sarbanes Transit in Parks Program.''
References to that program have been amended to reflect the new name
change.
d. When to Submit. All Applicants for FTA formula program or
capital program assistance, and current FTA Grantees with an active
project financed with FTA formula program or capital program
assistance, are expected to provide their FTA Certifications and
Assurances for Federal FY 2009 within 90 days from the date of this
publication or as soon as feasible after their first application for
Federal assistance authorized or made available for Federal FY 2009,
whichever is earlier. In addition, FTA encourages Applicants seeking
Federal assistance for other projects to submit their FTA
Certifications and Assurances to FTA as soon as possible to expedite
awards of FTA assistance.
4. Ways to Submit FTA's Certifcations and Assurances
As further explained, FTA will accept an Applicant's Certifications
and Assurances submitted either in TEAM-Web at https://
ftateamweb.fta.dot.gov, or on paper containing the text set forth on
the Signature Page(s) of Appendix A of this Notice. In order of
preference, FTA permits:
a. Electronic Submission in TEAM-Web. An Applicant registered in
TEAM-Web must submit its FTA Certifications and Assurances, as well as
its applications for Federal assistance in TEAM-Web. FTA prefers that
other Applicants for Federal assistance submit their FTA Certifications
and Assurances through TEAM-Web.
The TEAM-Web ``Recipients'' option at the ``Cert's & Assurances''
tab of the ``View/Modify Recipients'' page contains fields for
selecting among the twenty-four (24) categories of FTA Certifications
and Assurances to be submitted. There is also a field for entering a
single selection covering all twenty-four (24) categories of FTA
Certifications and Assurances.
Within the ``Cert's & Assurances'' tab is a field for the
Applicant's authorized representative to enter his or her personal
identification number (PIN), which constitutes the Applicant's
electronic signature for the FTA Certifications and Assurances
selected. In addition, there is a field for the Applicant's attorney to
enter his or her PIN, affirming the Applicant's legal authority to make
and comply with the FTA Certifications and Assurances the Applicant has
selected. The Applicant's authorized representative may enter his or
her PIN in lieu of the attorney's PIN, provided that the Applicant has
a current Affirmation of Applicant's Attorney as set forth in Appendix
A of this Notice, written and signed by the attorney in Federal FY
2009.
For more information, the Applicant may contact the appropriate FTA
Regional Office or Metropolitan Office listed in this Notice or the
TEAM-Web Helpdesk.
b. Paper Submission. Only if the Applicant is unable to submit its
FTA Certifications and Assurances in TEAM-Web may the Applicant submit
its FTA Certifications and Assurances on paper.
If an Applicant is unable to submit its FTA Certifications and
Assurances electronically, it must mark the categories of FTA
Certifications and Assurances it is making on the Signature Page(s) in
Appendix A of this Notice and submit them to FTA. The Applicant may
signify compliance with all categories by placing a single mark in the
appropriate space or select the categories applicable to itself and its
projects.
The Applicant must enter its signature on the Signature Page(s) and
must provide an Affirmation of Applicant's Attorney pertaining to the
Applicant's legal capacity to make and comply with the Certifications
and Assurances the Applicant has selected. The Applicant may enter its
signature in lieu of its attorney's signature in the Affirmation of
Applicant's Attorney section of the Signature Page(s), provided that
the Applicant has on file the Affirmation of Applicant's Attorney as
set forth in Appendix A of this Notice, written and signed by the
attorney and dated in Federal FY 2009.
For more information, the Applicant may contact the appropriate FTA
Regional Office or Metropolitan Office listed in this Notice.
Authority. 49 U.S.C. chapter 53; the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA-LU), as amended by the SAFETEA-LU Technical Corrections
Act, 2008, Pub. L. 110-244, June 6, 2008; Title 23, United States
Code (Highways); other Federal laws administered by FTA; U.S. DOT
and FTA regulations at Title 49, Code of Federal Regulations; and
FTA Circulars.
Issued in Washington, DC, this 27th day of October 2008.
James S. Simpson,
Administrator.
Federal Fiscal Year 2009 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
2009. 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. An Applicant may select a single certification
that will 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
[[Page 65013]]
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 preaward 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(15) for Federal Fiscal Year 2009 at the FTA Web site
https://www.fta.dot.gov/documents/15-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 assure 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 applicable 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. The Applicant
understands and agrees that when it applies for FTA assistance on
behalf of a consortium, joint venture, partnership, or team, each
member of that consortium, joint venture, partnership, or team is
responsible for compliance with the certifications and assurances the
Applicant selects.
FTA strongly encourages each Applicant to submit its certifications
and assurances through TEAM-Web, FTA's electronic award and management
system, at https://ftateamweb.fta.dot.gov. 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.'' Should the Applicant choose not to
submit its certifications and assurances through TEAM-Web, the
Applicant may submit its certifications and assurances on paper by
submitting the Signature Page(s) at the end of this document,
indicating the certifications and assurances it is making on one side
of the document or on one page, and signing its affirmation and that of
its attorney on the other side or other page.
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 assures 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 with FTA
issued for its project. 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 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 assures
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 assures 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
under 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
assures 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,
[[Page 65014]]
whichever is longer, the Applicant assures that:
(1) Each project will be conducted, property acquisitions will be
undertaken, and project facilities will be operated in accordance with
all applicable requirements of 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 assures 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 Title VI of the Civil Rights Act,
U.S. DOT implementing 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
assures 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 assures 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 assures 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 assure
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
federally assisted 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 assures that it has the
requisite authority under applicable
[[Page 65015]]
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 their
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 assure 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 assure 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
[[Page 65016]]
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, Pub. L. 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 Animal Welfare
Act, 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, 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 or regulations, and follow Federal
directives governing the project, except to the extent that FTA has
expressly approved otherwise in writing.
02. Lobbying Certification
An Applicant that submits or intends to submit an application to
FTA for Federal assistance exceeding $100,000 is required to provide
the following certification. FTA may not award Federal assistance
exceeding $100,000 until the Applicant provides this certification by
selecting Category ``02.''
A. As required by 31 U.S.C. 1352 and U.S. DOT regulations, ``New
Restrictions on Lobbying,'' at 49 CFR 20.110, the Applicant's
authorized representative certifies to the best of his or her knowledge
and belief that for each application to FTA for Federal assistance
exceeding $100,000:
(1) No Federal appropriated funds have been or will be paid by or
on behalf of the Applicant to any person to influence or attempt to
influence an officer or employee of any Federal agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress regarding the award of Federal assistance, or the
extension, continuation, renewal, amendment, or modification of any
Federal assistance agreement; and
(2) If any funds other than Federal appropriated funds have been or
will be paid to any person to influence or attempt to influence an
officer or employee of any Federal agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress
in connection with any application for Federal assistance, the
Applicant assures that it will complete and submit Standard Form-LLL,
``Disclosure Form to Report Lobbying,'' including information required
by the instructions accompanying the form, which form may be amended to
omit such information as authorized by 31 U.S.C. 1352.
(3) The language of this certification shall be included in the
award documents for all subawards at all tiers (including subcontracts,
subgrants, subagreements, and contracts under grants, loans, and
cooperative agreements).
B. The Applicant understands that this certification is a material
representation of fact upon which reliance is placed by the Federal
government and that submission of this certification is a prerequisite
for providing Federal assistance for a transaction covered by 31 U.S.C.
1352. The Applicant also understands that any person who fails to file
a required certification shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
03. Procurement Compliance
In accordance with 49 CFR 18.36(g)(3)(ii), each Applicant that is a
State, local, or Indian tribal government that is seeking Federal
assistance to acquire property or services in support of its project is
requested to provide the following certification by selecting Category
``03.'' FTA also requests other Applicants to provide the following
certification. An Applicant for FTA assistance to acquire property or
services in support of its project that fails to provide this
certification may be determined ineligible for award of Federal
assistance for the project, if FTA determines that its procurement
practices and procurement system fail to comply with Federal laws or
regulations in accordance with applicable Federal directives.
The Applicant certifies that its procurements and procurement
system will comply with all applicable Federal laws and regulations in
accordance with applicable Federal directives, except to the extent FTA
has expressly approved otherwise in writing.
04. Protections for Private Transportation Providers
Each Applicant that is a State, local, or Indian tribal government
that is seeking Federal assistance authorized under 49 U.S.C. chapter
53 to acquire any property or an interest in the property of a private
provider of public transportation or to operate public transportation
equipment or facilities in competition with, or in addition to,
transportation service provided by an existing private provider of
public transportation is required to provide the following
certification. FTA may not award Federal assistance for such a project
until the Applicant provides this certification by selecting Category
``04.''
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that
before it acquires the property or an interest in the property of a
private provider of public transportation or operates public
transportation equipment or facilities in competition with, or in
addition to, transportation service provided by an existing public
transportation company, it has or will have:
A. Determined that the assistance is essential to carrying out a
program of projects as required by 49 U.S.C. 5303, 5304, and 5306;
B. Provided for the participation of private companies engaged in
public transportation to the maximum extent feasible; and
C. Paid just compensation under State or local law to the company
for any franchise or property acquired.
05. Public Hearing
An Applicant seeking Federal assistance authorized under 49 U.S.C.
chapter 53 for a capital project that will substantially affect a
community or a community's public transportation service is required to
provide the following certification. FTA may not
[[Page 65017]]
award Federal assistance for a capital project of that type until the
Applicant provides this certification by selecting Category ``05.''
As required by 49 U.S.C. 5323(b), for a proposed capital project
that will substantially affect a community, or the public
transportation service of a community, the Applicant certifies that it
has, or before submitting its application, it will have:
A. Provided an adequate opportunity for public review and comment
on the proposed project;
B. After providing notice, including a concise description of the
proposed project, published in a newspaper of general circulation in
the geographic area to be served, held a public hearing on the project
if the project affects significant economic, social, or environmental
interests;
C. Considered the economic, social, and environmental effects of
the proposed project; and
D. Determined that the proposed project is consistent with official
plans for developing the community.
06. Acquisition of Rolling Stock for Use in Revenue Service
An Applicant seeking Federal assistance authorized under 49 U.S.C.
chapter 53 to acquire any rolling stock for use in revenue service is
required to provide the following certification. FTA may not award any
Federal assistance to acquire such rolling stock until the Applicant
provides this certification by selecting Category ``06.''
As required by 49 U.S.C. 5323(m) and implementing FTA regulations,
``Pre-Award and Post-Delivery Audits of Rolling Stock Purchases,'' 49
CFR part 663, at 49 CFR 663.7, the Applicant certifies that it will
comply with the requirements of 49 CFR part 663 as modified by
amendments authorized by section 3023(k) of SAFETEA-LU when procuring
revenue service rolling stock. Among other things, the Applicant agrees
to conduct or cause to be conducted the requisite preaward and post
delivery reviews, and maintain on file the certifications required by
49 CFR part 663, subparts B, C, and D.
07. Acquisition of Capital Assets by Lease
An Applicant that intends to request the use of Federal assistance
authorized under 49 U.S.C. chapter 53 to acquire capital assets by
lease is required to provide the following certifications. FTA may not
provide Federal assistance to support those costs until the Applicant
provides this certification by selecting Category ``07.''
As required by FTA regulations, ``Capital Leases,'' 49 CFR part
639, at 49 CFR 639.15(b)(1) and 49 CFR 639.21, if the Applicant
acquires any capital asset by lease financed with Federal assistance
authorized under 49 U.S.C. chapter 53, the Applicant certifies as
follows:
(1) It will not use Federal assistance authorized 49 U.S.C. chapter
53 to finance the cost of leasing any capital asset until it performs
calculations demonstrating that leasing the capital asset would be more
cost-effective than purchasing or constructing a similar asset; and it
will complete these calculations before entering into the lease or
before receiving a capital grant for the asset, whichever is later; and
(2) It will not enter into a capital lease for which FTA can
provide only incremental Federal assistance unless it has adequate
financial resources to meet its future obligations under the lease if
Federal assistance is not available for capital projects in the
subsequent years.
08. Bus Testing
An Applicant for Federal assistance appropriated or made available
for 49 U.S.C. chapter 53 to acquire any new bus model or any bus model
with a new major change in configuration or components is required to
provide the following certification. FTA may not provide Federal
assistance for the acquisition of any new bus model or bus model with a
major change until the Applicant provides this certification by
selecting Category ``08.''
As required by 49 U.S.C. 5318 and FTA regulations, ``Bus Testing,''
at 49 CFR 665.7, the Applicant certifies that, before expending any
Federal assistance to acquire the first bus of any new bus model or any
bus model with a new major change in configuration or components, or
before authorizing final acceptance of that bus (as described in 49 CFR
part 665):
A. The bus model will have been tested at FTA's bus testing
facility; and
B. The Applicant will have received a copy of the test report
prepared on the bus model.
09. Charter Service Agreement
An Applicant seeking Federal assistance authorized under 49 U.S.C.
chapter 53 (except as permitted by 49 CFR 604.2), or under 23 U.S.C.
133 or 142, to acquire or operate any public transportation equipment
or facilities is required to enter into the following Charter Service
Agreement. FTA may not provide Federal assistance authorized under 49
U.S.C. chapter 53 (except as permitted by 49 CFR 604.2), or under 23
U.S.C.133 or 142, for such projects until the Applicant enters into
this Charter Service Agreement by selecting Category ``09.''
A. As required by 49 U.S.C. 5323(d) and (g) and FTA regulations at
49 CFR 604.4, the Applicant understands and agrees that it and each
subrecipient, lessee, third party contractor, or other participant in
the project at any tier may provide charter service for transportation
projects that uses equipment or facilities acquired with Federal
assistance authorized under the Federal transit laws (except as
permitted by 49 CFR 604.2), or under 23 U.S.C. 133 or 142, only in
compliance with those laws and FTA regulations, ``Charter Service,'' 49
CFR part 604, the terms and conditions of which are incorporated herein
by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, ``Charter Service,'' 49
CFR part 604, will apply to any charter service it or its
subrecipients, lessees, third party contractors, or other participants
in the project provide,
(2) The definitions of FTA regulations, ``Charter Service,'' 49 CFR
part 604, will apply to this Charter Service Agreement, and
(3) A pattern of violations of this Charter Service Agreement may
require corrective measures and imposition of remedies, including
barring the Applicant, subrecipient, lessee, third party contractor, or
other participant in the project that has engaged in that pattern of
violations from receiving FTA financial assistance, or withholding an
amount of Federal assistance as set forth in FTA regulations, ``Charter
Service,'' 49 CFR part 604, Appendix D.
10. School Transportation Agreement
An Applicant that is seeking Federal assistance authorized under 49
U.S.C. chapter 53 or under 23 U.S.C. 133 or 142 to acquire or operate
public transportation facilities and equipment is required to enter
into the following School Transportation Agreement. FTA may not provide
Federal assistance authorized under 49 U.S.C. chapter 53 or under 23
U.S.C. 133 or 142 for such projects until the Applicant enters into
this School Transportation Agreement by selecting Category ``10.''
A. As required by 49 U.S.C. 5323(f) and (g) and FTA regulations at
49 CFR 605.14, the Applicant understands and agrees that it and each
subrecipient, lessee, third party contractor, or other participant in
the project at any tier may engage in school transportation operations
in competition with private school transportation operators that uses
equipment or facilities acquired with
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Federal assistance authorized under the Federal transit laws or under
23 U.S.C. 133 or 142, only in compliance with those laws and FTA
regulations, ``School Bus Operations,''49 CFR part 605, to the extent
consistent with 49 U.S.C. 5323(f) or (g), the terms and conditions of
which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, ``School Bus Operations,''
49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(f) or
(g), will apply to any school transportation service it or its
subrecipients, lessees, third party contractors, or other participants
in the project provide,
(2) The definitions of FTA regulations, ``School Bus Operations,''
49 CFR part 605 will apply to this School Transportation Agreement, and
(3) If there is a violation of this School Transportation
Agreement, FTA will bar the Applicant, subrecipient, lessee, third
party contractor, or other participant in the project that has violated
this School Transportation Agreement from receiving Federal transit
assistance in an amount FTA considers appropriate.
11. Demand Responsive Service
An Applicant that operates demand responsive service and applies
for direct Federal assistance authorized for 49 U.S.C. chapter 53 to
acquire non-rail public transportation vehicles is required to provide
the following certification. FTA may not award direct Federal
assistance authorized for 49 U.S.C. chapter 53 to an Applicant that
operates demand responsive service to acquire non-rail public
transportation vehicles until the Applicant provides this certification
by selecting Category ``11.''
As required by U.S. DOT regulations, ``Transportation Services for
Individuals with Disabilities (ADA),'' at 49 CFR 37.77(d), the
Applicant certifies that its demand responsive service offered to
individuals with disabilities, including individuals who use
wheelchairs, is equivalent to the level and quality of service offered
to individuals without disabilities. Viewed in its entirety, the
Applicant's service for individuals with disabilities is provided in
the most integrated setting feasible and is equivalent with respect to:
(1) Response time, (2) fares, (3) geographic service area, (4) hours
and days of service, (5) restrictions on trip purpose, (6) availability
of information and reservation capability, and (7) constraints on
capacity or service availability.
12. Alcohol Misuse and Prohibited Drug Use
If the Applicant is required by FTA regulations, ``Prevention of
Alcohol Misuse and Prohibited Drug Use in Transit Operations,'' at 49
CFR part 655, to provide the following certification concerning its
activities to prevent alcohol misuse and prohibited drug use in its
public transportation operations, FTA may not provide Federal
assistance to that Applicant until it provides this certification by
selecting Category ``12.''
As required by FTA regulations, ``Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations,'' at 49 CFR part 655,
subpart I, the Applicant certifies that it has established and
implemented an alcohol misuse and anti-drug program, and has complied
with or will comply with all applicable requirements of FTA
regulations, ``Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operations,'' 49 CFR part 655.
13. Interest and Other Financing Costs
An Applicant that intends to request the use of Federal assistance
for reimbursement of interest or other financing costs incurred for its
capital projects financed with Federal assistance under the Urbanized
Area Formula Program, the Capital Investment Program, or the Paul S.
Sarbanes Transit in Parks Program is required to provide the following
certification. FTA may not provide Federal assistance to support
interest or other financing costs until the Applicant provides this
certification by selecting Category ``13.''
As required by 49 U.S.C. 5307(g)(3), 5309(g)(2)(B)(iii),
5309(g)(3)(B)(iii), 5309(i)(2)(C), and 5320(h)(2)(C), the Applicant
certifies that it will not seek reimbursement for interest or other
financing costs unless it is eligible to receive Federal assistance for
those costs and its records demonstrate that it has used reasonable
diligence in seeking the most favorable financing terms underlying
those costs, to the extent FTA may require.
14. Intelligent Transportation Systems
An Applicant for FTA assistance for an Intelligent Transportation
Systems (ITS) project, defined as any project that in whole or in part
finances the acquisition of technologies or systems of technologies
that provide or significantly contribute to the provision of one or
more ITS user services as defined in the ``National ITS Architecture,''
is requested to provide the following assurance. FTA strongly
encourages any Applicant for FTA financial assistance to support an ITS
project to provide this assurance by selecting Category ``14.'' An
Applicant for FTA assistance for an ITS project that fails to provide
this assurance, without providing other documentation assuring the
Applicant's commitment to comply with applicable Federal ITS standards
and protocols, may be determined ineligible for award of Federal
assistance for the ITS project.
As used in this assurance, the term Intelligent Transportation
Systems (ITS) project is defined to include any project that in whole
or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision
of one or more ITS user services as defined in the ``National ITS
Architecture.''
A. As provided in SAFETEA-LU section 5307(c), 23 U.S.C. 512 note,
apart from certain exceptions, ``intelligent transportation system
projects carried out using funds made available from the Highway Trust
Fund, including funds made available under this subtitle to deploy
intelligent transportation system technologies, [shall] conform to the
national architecture, applicable standards or provisional standards,
and protocols developed under [SAFETEA-LU, section 5307] subsection
(a).'' To facilitate compliance with SAFETEA-LU section 5307(c), 23
U.S.C. 512 note, the Applicant assures it will comply with all
applicable provisions of Section V (Regional ITS Architecture) and
Section VI (Project Implementation) of FTA Notice, ``FTA National ITS
Architecture Policy on Transit Projects,'' at 66 FR 1455 et seq.,
January 8, 2001, and other FTA policies that may be issued in
connection with any ITS project it undertakes financed with funds
authorized under Title 49 or Title 23, United States Code, except to
the extent that FTA expressly determines otherwise in writing.
B. With respect to any ITS project financed with Federal assistance
derived from a source other than Title 49 or Title 23, United States
Code, the Applicant assures that it will use its best efforts to assure
that any ITS project it undertakes will not preclude interface with
other intelligent transportation systems in the Region.
15. Urbanized Area Formula Program
Each Applicant for Urbanized Area Formula Program assistance
authorized under 49 U.S.C. 5307 is required to provide the following
certifications on behalf of itself and any subrecipients participating
in its projects. Unless FTA determines otherwise in writing, the
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Applicant is ultimately responsible for compliance with its
certifications and assurances even though a subrecipient, lessee, third
party contractor, or other participant may participate in that project.
Consequently, in providing certifications and assurances that involve
the compliance of its prospective subrecipients, the Applicant is
strongly encouraged to take appropriate measures, including but not
limited to obtaining sufficient documentation from each subrecipient,
to assure the validity of all certifications and assurances the
Applicant has made to FTA. If, however a ``Designated Recipient'' as
defined at 49 U.S.C. 5307(a)(2)(A) enters into a Supplemental Agreement
with FTA and a Prospective Grantee, that Grantee is recognized as the
Applicant for Urbanized Area Formula Program assistance and must
provide the following certifications and assurances.
Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to expend at
least one
