Federal Fiscal Year 2011 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements, 67433-67450 [2010-27563]
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Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices
administer during Federal FY 2011.
FTA’s Certifications and Assurances for
Federal FY 2011 reflect Federal
statutory, regulatory, and programmatic
changes that have now become effective.
Information Programs and Services
(address above).
CONTESTING RECORD PROCEDURES:
(See above).
Effective Date: These FTA
Certifications and Assurances are
effective on October 1, 2010, the first
day of Federal FY 2011.
DATES:
RECORD SOURCE CATEGORIES:
The information is compiled directly
from the individual and from
Department automated sources.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:
None.
[FR Doc. 2010–27667 Filed 11–1–10; 8:45 am]
BILLING CODE 4710–24–P
DEPARTMENT OF STATE
FTA
staff in the appropriate FTA Regional
Office or FTA Metropolitan Office listed
herein. For copies of other related
documents and information, 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:
Region 1: Boston
[Public Notice: 7220]
Waiver of Restriction on Assistance to
the Government of Saudi Arabia
Pursuant to Section 7041 of the
Department of State, Foreign
Operations, and Related Programs
Appropriations Act, 2010 (Division F,
Pub. L. 111–117) (‘‘the Act’’), I hereby
determine that it is in the national
interest of the United States to waive
Section 7041 of the Act, and hereby
waive this restriction.
This determination shall be reported
to the Congress, and published in the
Federal Register.
Dated: February 22, 2010.
Hillary Rodham Clinton,
Secretary of State.
[FR Doc. 2010–27665 Filed 11–1–10; 8:45 am]
BILLING CODE 4710–31–P
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, Maryland,
Pennsylvania, Virginia, and West
Virginia. Telephone # 215–656–7100.
Region 4: Atlanta
States served: Alabama, Florida,
Georgia, Kentucky, Mississippi, North
Carolina, South Carolina, Tennessee,
Territories served: Puerto Rico and the
U.S. Virgin Islands. Telephone # 404–
865–5600.
Region 5: Chicago
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2011 Annual List of
Certifications and Assurances for
Federal Transit Administration Grants
and Cooperative Agreements
AGENCY:
Federal Transit Administration,
DOT.
hsrobinson on DSK69SOYB1PROD with NOTICES
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
applicable to the various Federal
assistance programs that FTA will
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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, Territories served:
Guam, American Samoa, and the
Northern Mariana Islands. Telephone
#415–744–3133.
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Region 10: Seattle
States served: Alaska, Idaho, Oregon,
and Washington. Telephone # 206–220–
7954.
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.
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.
SUPPLEMENTARY INFORMATION:
1. Purposes
The purposes of this Notice are to:
• Publish FTA’s Federal FY 2011
Certifications and Assurances for
Applicants for Federal assistance
administered by FTA and the Projects
for which they seek Federal assistance
awarded by FTA.
• Highlight the changes within the
new FTA Certifications and Assurances
for Federal FY 2011 now in effect.
• Identify locations where these FTA
Certifications and Assurances may be
viewed, and
• Provide directions for submitting
these FTA Certifications and Assurances
for Federal FY 2011 to FTA.
2. Background
a. FTA’s Responsibilities. Since
Federal FY 1995, FTA has been
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
2011 were not signed into law on
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October 1, 2010 (the first day of Federal
FY 2011), and have not yet been signed
into law, FTA is proceeding with
publication of its Certifications and
Assurances for Federal FY 2011.
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
2011 Certifications and Assurances to
FTA applicable to all projects for which
the Applicant seeks funding from FTA
during Federal FY 2011.
FTA requests that an Applicant
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 2011. 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 2011) affirmation signed by the
Applicant’s attorney affirming the legal
authority of the Applicant 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
2011. 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 by itself and by 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
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strongly recommends that the Applicant
take 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 2011
a. Legal Implications.
(1) Binding Commitments. Because
the Applicant is required by Federal law
and Federal 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 2011. 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/
2011-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 2011.
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
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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 that the Applicant must
fulfill before FTA is legally authorized
to award 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 2011 at https://
www.fta.dot.gov/documents/17Master.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 2011.
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
all of the FTA Certifications and
Assurances for Federal FY 2011
pertaining to itself and its project as
required by Federal laws and
regulations. The Applicant’s
Certifications and Assurances for
Federal FY 2011 will be applicable to all
projects for which it seeks Federal
assistance during Federal FY 2011 and
through the next Federal FY until FTA
issues its annual Certifications and
Assurances for Federal FY 2012.
c. Federal FY 2011 Changes. Apart
from minor editorial revisions,
significant matters concerning FTA’s
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Certifications and Assurances include
the following:
(1) In the Introductory paragraphs
preceding the text of FTA’s
Certifications and Assurances, the FTA
Web site for the FTA Master Agreement
for Federal FY 2011 is identified as
https://www.fta.dot.gov/documents/17Master.pdf.
(2) Certification (01), Subsection ‘‘B’’
has been revised to add a statement
emphasizing that the FTA Master
Agreement has always been
incorporated by reference and made part
of the FTA grant agreement and
cooperative agreement and that the
Applicant is certifying that it will
comply with the edition of the FTA
Master Agreement incorporated by
reference and made part of the latest
amendment to its grant agreement or
cooperative agreement, as specified
within that agreement.
(3) A new Subsection ‘‘F’’ has been
added to Certification (01), reinstating
the Government-wide ‘‘Suspension and
Debarment’’ certification. Due to serious
concerns expressed by the Government
Accountability Office, the U.S. DOT
Inspector General, and U.S. DOT
officials, FTA considers it prudent to reemphasize the importance of each
Applicant identifying its status to FTA
with respect to its eligibility for award
of any FTA grant, loan (including a line
of credit), cooperative agreement, loan
guarantee, or loan insurance, or the
extension, continuation, renewal,
amendment, or modification of any
Federal grant, loan (including a line of
credit), cooperative agreement, loan
guarantee, or loan insurance. Former
Subsection ‘‘F’’ of Certification (01) has
been re-numbered Subsection ‘‘G.’’
(4) The text of Certification (02),
‘‘Lobbying Certification,’’ has been
revised to substitute the current title of
OMB’s Standard Form–LLL, ‘‘Disclosure
Form to Report Lobbying,’’ currently in
use.
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 2011 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 2011, 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.
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4. Ways to Submit FTA’S Certifications
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 TeamWeb. 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 twentyfour (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 2011.
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
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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 2011.
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 26th day of
October 2010.
Peter M. Rogoff,
Administrator.
FEDERAL FISCAL YEAR 2011
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 2011. 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 each Applicant to read each
certification and assurance carefully and
select all certifications and assurances that
may apply to the programs for which it
expects to seek Federal assistance.
FTA and the Applicant understand and
agree that not every provision of these
certifications and assurances will apply to
every Applicant or every project for which
FTA provides Federal financial assistance
through a Grant Agreement or Cooperative
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Agreement. The type of project and the
section of the statute authorizing Federal
financial assistance for the project will
determine which provisions apply. The terms
of these certifications and assurances reflect
applicable requirements of FTA’s enabling
legislation currently in effect.
The Applicant also understands and
agrees that these certifications and
assurances are special pre-award
requirements specifically prescribed by
Federal law or regulation and do not
encompass all Federal laws, regulations, and
directives that may apply to the Applicant or
its project. A comprehensive list of those
Federal laws, regulations, and directives is
contained in the FTA Master Agreement
MA(17) for Federal Fiscal Year 2011 at the
FTA Web site https://www.fta.dot.gov/
documents/17–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.
determines otherwise in writing, FTA may
not award any Federal assistance until the
Applicant provides the following assurances
by selecting Category ‘‘01.’’
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
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
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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 FTA grant
agreement or cooperative agreement,
including the FTA Master Agreement that is
incorporated by reference and made part of
the latest amendment to its 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).
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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 transportationrelated benefits) for which the Applicant
receives Federal assistance awarded by the
U.S. DOT or FTA.
Specifically, during the period in which
Federal assistance is extended to the project,
or project property is used for a purpose for
which the Federal assistance is extended or
for another purpose involving the provision
of similar services or benefits, or as long as
the Applicant retains ownership or
possession of the project property, whichever
is longer, the Applicant 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; and
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(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.
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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.
with commission of any of the offenses listed
in subparagraph (1)(b) of this certification;
(d) Have not within a three-year period
preceding this certification had one or more
public transactions (Federal, State, or local)
terminated for cause or default.
(2) The Applicant (Primary Participant)
certifies that it and its principals, including
its first tier subrecipients, will treat each
lower tier contract or lower tier subcontract
under the Project that (a) equals or exceeds
$25,000, (b) is for audit services, or (3)
requires the consent of a Federal official, as
a covered contract for purposes of 2 CFR Part
1200 and 2 CFR Part 180, and will otherwise
comply with the Federal requirements of 2
CFR Part 1200 and 2 CFR Part 180, and will
assure that each lower tier participant
involved in the Project is not presently
debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily
excluded or disqualified from participation
in this transaction by any Federal department
or agency;
(3) The Applicant (Primary Participant)
certifies that if, later, it or its principals,
including any of its first tier subrecipients,
become aware of any information
contradicting the statements of
subparagraphs (1)(a) through (d) above, it
will promptly provide any necessary
information to FTA;
(4) If the Applicant (Primary Participant) or
any of its principals, including any of its first
tier subrecipients or lower tier participants,
is unable to certify to the statements within
paragraphs (1), (2), and (3) above, the
Applicant shall indicate so on its Signature
Page or a Page attached in FTA’s TEAM
system providing a written explanation to
FTA.
F. Suspension and Debarment
In accordance with the terms of U.S. DOT
regulations, ‘‘Nonprocurement Suspension
and Debarment,’’ 2 CFR Part 1200, which
adopts and supplements the provisions of
U.S. Office of Management and Budget (U.S.
OMB) ‘‘Guidelines to Agencies on
Governmentwide Debarment and Suspension
(Nonprocurement),’’ 2 CFR Part 180:
(1) The Applicant (Primary Participant)
certifies to the best of its knowledge and
belief, that it and its principals, including its
first tier subrecipients:
(a) Are not presently debarred, suspended,
proposed for debarment, declared ineligible,
or voluntarily excluded or disqualified from
covered transactions by any Federal
department or agency;
(b) Have not within a three-year period
preceding its latest application or proposal
been convicted of or had a civil judgment
rendered against any of them for commission
of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or
performing a public (Federal, State, or local)
transaction, or contract under a public
transaction; violation of any Federal or State
antitrust statute; or commission of
embezzlement, theft, forgery, bribery,
falsification or destruction of records, making
any false statement, or receiving stolen
property;
(c) Are not presently indicted for or
otherwise criminally or civilly charged by a
governmental entity (Federal, State, or local)
G. U.S. OMB Assurances
Consistent with U.S. 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 nonFederal 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;
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(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. 290dd through
290dd–2., 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 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
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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 ‘‘AntiKickback’’ Act, as amended, at 18 U.S.C. 874,
and at 40 U.S.C. 3145, 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
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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);
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(j) Protection of the components of the
national wild and scenic rivers systems, as
required under the Wild and Scenic Rivers
Act of 1968, as amended, 16 U.S.C. 1271
through 1287; and
(k) Provision of assistance to FTA in
complying with section 106 of the National
Historic Preservation Act of 1966, as
amended, 16 U.S.C. 470f; with the
Archaeological and Historic Preservation Act
of 1974, as amended, 16 U.S.C. 469 through
469c; and with Executive Order No. 11593
(identification and protection of historic
properties), 16 U.S.C. 470 note;
(15) To the extent applicable, will comply
with the requirements of the Hatch Act, 5
U.S.C. 1501 through 1508 and 7324 through
7326, which limit the political activities of
State and local agencies and their officers
and employees whose primary employment
activities are financed in whole or part with
Federal funds including a Federal loan, grant
agreement, or cooperative agreement except,
in accordance with 49 U.S.C. 5307(k)(2) and
23 U.S.C. 142(g), the Hatch Act does not
apply to a nonsupervisory employee of a
public transportation system (or of any other
agency or entity performing related
functions) receiving FTA assistance to whom
that Act does not otherwise apply;
(16) To the extent applicable, will comply
with the National Research Act, 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., U.S. OMB Circular A–133,
‘‘Audits of States, Local Governments, and
Non-Profit Organizations,’’ Revised, and the
most recent applicable U.S. 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 any Federal
grant, loan (including a line of credit),
cooperative agreement, loan guarantee, or
loan insurance exceeding $100,000 is
required to provide the following
certification. FTA may not award Federal
grant, loan (including a line of credit),
cooperative agreement, loan guarantee, or
loan insurance exceeding $100,000 until the
Applicant provides this certification by
selecting Category ‘‘02.’’
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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 U.S. DOT or FTA for a
Federal grant, loan (including a line of
credit), cooperative agreement, or a
commitment that the Federal Government to
guarantee or insure a loan 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 a Federal grant, loan (including
a line of credit), cooperative agreement, loan
guarantee, or loan insurance, or the
extension, continuation, renewal,
amendment, or modification of any Federal
grant, loan (including a line of credit),
cooperative agreement, loan guarantee, or
loan insurance;
(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 a Federal
grant, loan (including a line of credit),
cooperative agreement, loan guarantee, or
loan insurance, the Applicant assures that it
will complete and submit Standard FormLLL, ‘‘Disclosure Form to Report Lobbying,’’
in accordance with its instructions; and
(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 (including a
line of credit), cooperative agreements, loan
guarantees, and loan insurance).
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 a Federal grant, loan (including a
line of credit), cooperative agreement, loan
guarantee, or loan insurance 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
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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 operate
public transportation equipment or facilities
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
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;
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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 pre-award 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 under 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
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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
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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 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 under 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
under 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
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(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 antidrug 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 its
commitment to comply with applicable
Federal ITS standards and protocols, may be
determined ineligible for award of Federal
assistance for the ITS project.
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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 subsection 5307(c) of
SAFETEA–LU, 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 subsection (a) [of section
5307 of SAFETEA–LU].’’ To facilitate
compliance with subsection 5307(c) of
SAFETEA–LU, 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; and
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 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
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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 TEAM-Web.
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 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
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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 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 existing or planned public
transportation; and
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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 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 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. 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
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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 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;
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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 it 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
pre-award determinations required by 49
U.S.C. 5310. Because certain information is
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
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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 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
subsections 3012(b)(3) and (4) of SAFETEA–
LU, 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
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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 subsection 3012(b)(2) of
SAFETEA–LU, the State 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 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 precondition 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 pre-award
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 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
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67443
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 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
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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 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
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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 non-Federal sources
except as permitted by Federal law; and
(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
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 transithuman 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
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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 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 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
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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
financial assistance authorized under 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) the projects
it has selected or will select for assistance
under that program were derived from a
locally developed, coordinated public transithuman 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 through
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. 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
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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 proposed
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;
(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); and
(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; and
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
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67445
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
(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; and
D. If its application exceeds $100,000, the
Applicant agrees to comply with the
certification in Category 02 (Lobbying) of this
document.
23. TIFIA PROJECTS
Each Applicant for Transportation
Infrastructure Finance and Innovation Act
(TIFIA) credit assistance authorized under 23
U.S.C. chapter 6, is required to provide the
following certifications. FTA may not award
TIFIA credit 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 TIFIA credit
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;
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(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
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: (a) Has
made available, or will make available, to the
public information on the amounts available
for TIFIA credit assistance, 23 U.S.C. chapter
6, and the projects it proposes to undertake;
(b) has developed or will develop, in
consultation with interested parties
including private transportation providers,
the proposed projects to be financed; (c) 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; (d) has provided or will
provide an opportunity for a public hearing
to obtain the views of citizens on the
proposed projects; (e) 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; (f) has
considered or will consider the comments
and views received, especially those of
private transportation providers, in preparing
its final list of projects; and (g) 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;
(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
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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 an 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
incorporated by reference and made part of
its certifications and assurances; and
B. As required by 49 U.S.C. 5323(o), which
makes the requirements of 49 U.S.C. 5309
applicable to Applicants seeking TIFIA credit
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 the Applicant is eligible to
receive Federal assistance for those expenses
and the Applicant’s records demonstrate that
it has used reasonable diligence in seeking
the most favorable financing terms
underlying those costs, to the extent FTA
may require.
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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 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;
C. The provisions of the FTA grant
agreement with the State that provides
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
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 applicable Federal
guidance that may be issued and
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provided written approval of an alternative
procedure or course of action.
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##
Selection and Signature Page(s) follow.
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APPENDIX A
67450
Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices
[FR Doc. 2010–27563 Filed 11–1–10; 8:45 am]
BILLING CODE C
DEPARTMENT OF TRANSPORTATION
Pipeline and Hazardous Materials
Safety Administration
[Docket ID PHMSA–2010–0294]
Pipeline Safety: Control Room
Management Implementation
Workshop
hsrobinson on DSK69SOYB1PROD with NOTICES
AGENCY: Pipeline and Hazardous
Materials Safety Administration
(PHMSA), DOT.
ACTION: Notice of workshop.
SUMMARY: PHMSA is conducting a
workshop in conjunction with the
National Association of Pipeline Safety
Representatives (NAPSR) on the
implementation of pipeline control
room management. The workshop is
intended to foster an understanding of
the Control Room Management Rule
issued by PHMSA on December 3, 2009,
and is open to the public. Panel
discussions will provide insight on
topics associated with fatigue
management and maximum hours of
service, alarm management, and
adequate information. Those attending
the workshop will have the opportunity
to ask questions about the rule while
engaging in open discussions with
various stakeholders including
representatives from the public,
regulatory, and industry. This workshop
will also provide PHMSA input to
further refine guidance material
currently in development.
DATES: The workshop will be held on
November 17, 2010. Name badge pick
up and on-site registration will be
available starting at 7:30 a.m., with the
workshop taking place from 8 a.m. until
approximately 5:15 p.m. Refer to the
meeting website for updated agenda and
times at https://primis.phmsa.dot.gov/
meetings/Mtg67.mtg. The workshop will
not be a live webcast, however, all
workshop presentations and an audio
recording will be available on the
PHMSA meeting website. Workshop
presentations will also be available on
the meeting docket.
ADDRESSES: The workshop will be held
at the Intercontinental Hotel, 2222 West
Loop South, Houston, TX 77027. Hotel
reservations under the ‘‘USDOT CRM
Meeting’’ room block for the nights of
November 16 and 17, 2010, can be made
at 1–800–316–8645. A daily base rate of
$109.00 is available. The meeting room
will be posted at the hotel on the day
of the workshop.
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18:39 Nov 01, 2010
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FOR FURTHER INFORMATION CONTACT:
Karen Butler at 816–329–3835, or by email at karen.butler@dot.gov.
ADDRESSES: Registration: Anyone may
attend this free workshop. To help
ensure that adequate space is provided,
all attendees are encouraged to register
for the workshop at https://
primis.phmsa.dot.gov/meetings/
Mtg67.mtg. Hotel reservations must be
made by contacting the hotel directly.
Comments: Anyone may submit
written comments, either before or after
the workshop. Comments should
reference Docket ID PHMSA–2010–
0294. Comments may be submitted in
the following ways:
• E-Gov Web Site: https://
www.regulations.gov. This site allows
the public to enter comments on any
Federal Register notice issued by any
agency. Follow the instructions for
submitting comments.
• Fax: 1–202–493–2251.
• Mail: Docket Management System,
U.S. Department of Transportation, 1200
New Jersey Avenue, SE., Room W12–
140, Washington, DC 20590.
Hand Delivery: DOT Docket
Management System, Room W12–140,
on the ground floor of the West
Building, 1200 New Jersey Avenue, SE.,
Washington, DC between 9 a.m. and 5
p.m., Monday through Friday, except
Federal holidays.
Instructions: Identify the Docket ID at
the beginning of your comments. If you
submit your comments by mail, submit
two copies. If you wish to receive
confirmation that PHMSA has received
your comments, include a selfaddressed stamped postcard. Internet
users may submit comments at https://
www.regulations.gov. Note: Comments
will be posted without changes or edits
to https://www.regulations.gov including
any personal information provided.
Privacy Act Statement: Anyone may
search the electronic form of all
comments received for any of our
dockets. You may review DOT’s
complete Privacy Act Statement in the
Federal Register published April 11,
2000, (65 FR 19477).
Information on Services for
Individuals with Disabilities: For
information on facilities or services for
individuals with disabilities, or to
request special assistance at the
meeting, please contact Karen Butler at
816–329–3835, or by e-mail at
karen.butler@dot.gov by November 5,
2010.
On
December 3, 2009, (74 FR 63310)
PHMSA issued a final rule ‘‘Control
Room Management/Human Factors’’
which became effective on February 1,
SUPPLEMENTARY INFORMATION:
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2010. The final rule amended the
Federal pipeline safety regulations to
address human factors and other aspects
of control room management for certain
pipelines where controllers use
supervisory control and data acquisition
(SCADA) systems. Under the final rule,
pipeline operators must implement
methods to reduce the risk associated
with controller fatigue. In addition,
certain operators must define the roles
and responsibilities of controllers and
provide controllers with the necessary
information, training, and processes to
fulfill these responsibilities. Affected
operators must also manage alarms,
ensure control room considerations are
taken into account when changing
pipeline equipment or configurations,
and review reportable incidents for
accidents to determine whether control
room actions contributed to the event.
The workshop will include
presentations highlighting several
topical areas and the sharing of specific
solutions based on initial feedback
received from stakeholders. The panel
format will offer the opportunity for
dialogue and sharing of ideas to help
PHMSA generate guidance material.
Preliminary Workshop Agenda
The preliminary agenda for the
workshop includes:
(1) Introduction and Overview.
(2) Definitions and Control Room
Specifics.
(3) Fatigue and Maximum Hours of
Service (panel).
(4) Alarm Management (panel).
(5) Roles and Responsibilities.
(6) Adequate Information (panel).
(7) Remaining Code Sections.
(8) Open Question and Answer.
(9) Wrap Up and Path Forward.
Refer to the meeting Web site for a
more detailed agenda: https://
primis.phmsa.dot.gov/meetings/
Mtg67.mtg.
Issued in Washington, DC on October 22,
2010.
Jeffrey D. Wiese,
Associate Administrator for Pipeline Safety.
[FR Doc. 2010–27564 Filed 11–1–10; 8:45 am]
BILLING CODE 4910–60–P
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
Eighth Meeting: RTCA Special
Committee 221: Aircraft Secondary
Barriers and Alternative Flight Deck
Security Procedures
AGENCY: Federal Aviation
Administration (FAA), DOT.
ACTION: Notice of RTCA Special
Committee 221 meeting: Aircraft
E:\FR\FM\02NON1.SGM
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]]>Agencies
[Federal Register Volume 75, Number 211 (Tuesday, November 2, 2010)]
[Notices]
[Pages 67433-67450]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-27563]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2011 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 applicable to the various Federal
assistance programs that FTA will administer during Federal FY 2011.
FTA's Certifications and Assurances for Federal FY 2011 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, 2010, the first day of Federal FY 2011.
FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate FTA
Regional Office or FTA Metropolitan Office listed herein. For copies of
other related documents and information, 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, Maryland, Pennsylvania, Virginia, and West
Virginia. Telephone 215-656-7100.
Region 4: Atlanta
States served: Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, South Carolina, Tennessee, Territories served: Puerto
Rico 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, Territories
served: 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.
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.
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.
SUPPLEMENTARY INFORMATION:
1. Purposes
The purposes of this Notice are to:
Publish FTA's Federal FY 2011 Certifications and
Assurances for Applicants for Federal assistance administered by FTA
and the Projects for which they seek Federal assistance awarded by FTA.
Highlight the changes within the new FTA Certifications
and Assurances for Federal FY 2011 now in effect.
Identify locations where these FTA Certifications and
Assurances may be viewed, and
Provide directions for submitting these FTA Certifications
and Assurances for Federal FY 2011 to FTA.
2. Background
a. FTA's Responsibilities. Since Federal FY 1995, FTA has been
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 2011 were
not signed into law on
[[Page 67434]]
October 1, 2010 (the first day of Federal FY 2011), and have not yet
been signed into law, FTA is proceeding with publication of its
Certifications and Assurances for Federal FY 2011.
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 2011 Certifications and Assurances to FTA applicable
to all projects for which the Applicant seeks funding from FTA during
Federal FY 2011.
FTA requests that an Applicant 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 2011. 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 2011) affirmation signed by the Applicant's
attorney affirming the legal authority of the Applicant 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 2011. 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 by itself
and by 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 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 2011
a. Legal Implications.
(1) Binding Commitments. Because the Applicant is required by
Federal law and Federal 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 2011. 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/2011-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 2011.
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
that the Applicant must fulfill before FTA is legally authorized to
award 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 2011 at
https://www.fta.dot.gov/documents/17-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
2011. 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 all of the FTA
Certifications and Assurances for Federal FY 2011 pertaining to itself
and its project as required by Federal laws and regulations. The
Applicant's Certifications and Assurances for Federal FY 2011 will be
applicable to all projects for which it seeks Federal assistance during
Federal FY 2011 and through the next Federal FY until FTA issues its
annual Certifications and Assurances for Federal FY 2012.
c. Federal FY 2011 Changes. Apart from minor editorial revisions,
significant matters concerning FTA's
[[Page 67435]]
Certifications and Assurances include the following:
(1) In the Introductory paragraphs preceding the text of FTA's
Certifications and Assurances, the FTA Web site for the FTA Master
Agreement for Federal FY 2011 is identified as https://www.fta.dot.gov/documents/17-Master.pdf.
(2) Certification (01), Subsection ``B'' has been revised to add a
statement emphasizing that the FTA Master Agreement has always been
incorporated by reference and made part of the FTA grant agreement and
cooperative agreement and that the Applicant is certifying that it will
comply with the edition of the FTA Master Agreement incorporated by
reference and made part of the latest amendment to its grant agreement
or cooperative agreement, as specified within that agreement.
(3) A new Subsection ``F'' has been added to Certification (01),
reinstating the Government-wide ``Suspension and Debarment''
certification. Due to serious concerns expressed by the Government
Accountability Office, the U.S. DOT Inspector General, and U.S. DOT
officials, FTA considers it prudent to re-emphasize the importance of
each Applicant identifying its status to FTA with respect to its
eligibility for award of any FTA grant, loan (including a line of
credit), cooperative agreement, loan guarantee, or loan insurance, or
the extension, continuation, renewal, amendment, or modification of any
Federal grant, loan (including a line of credit), cooperative
agreement, loan guarantee, or loan insurance. Former Subsection ``F''
of Certification (01) has been re-numbered Subsection ``G.''
(4) The text of Certification (02), ``Lobbying Certification,'' has
been revised to substitute the current title of OMB's Standard Form-
LLL, ``Disclosure Form to Report Lobbying,'' currently in use.
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 2011 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 2011,
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 Certifications 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
2011.
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 2011.
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 26th day of October 2010.
Peter M. Rogoff,
Administrator.
FEDERAL FISCAL YEAR 2011 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 2011. 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 each Applicant to read each certification
and assurance carefully and select all certifications and assurances
that may apply to the programs for which it expects to seek Federal
assistance.
FTA and the Applicant understand and agree that not every
provision of these certifications and assurances will apply to every
Applicant or every project for which FTA provides Federal financial
assistance through a Grant Agreement or Cooperative
[[Page 67436]]
Agreement. The type of project and the section of the statute
authorizing Federal financial assistance for the project will
determine which provisions apply. The terms of these certifications
and assurances reflect applicable requirements of FTA's enabling
legislation currently in effect.
The Applicant also understands and agrees that these
certifications and assurances are special pre-award requirements
specifically prescribed by Federal law or regulation and do not
encompass all Federal laws, regulations, and directives that may
apply to the Applicant or its project. A comprehensive list of those
Federal laws, regulations, and directives is contained in the FTA
Master Agreement MA(17) for Federal Fiscal Year 2011 at the FTA Web
site https://www.fta.dot.gov/documents/17-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 FTA grant agreement or cooperative
agreement, including the FTA Master Agreement that is incorporated
by reference and made part of the latest amendment to its 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, 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; and
[[Page 67437]]
(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. Suspension and Debarment
In accordance with the terms of U.S. DOT regulations,
``Nonprocurement Suspension and Debarment,'' 2 CFR Part 1200, which
adopts and supplements the provisions of U.S. Office of Management
and Budget (U.S. OMB) ``Guidelines to Agencies on Governmentwide
Debarment and Suspension (Nonprocurement),'' 2 CFR Part 180:
(1) The Applicant (Primary Participant) certifies to the best of
its knowledge and belief, that it and its principals, including its
first tier subrecipients:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded or
disqualified from covered transactions by any Federal department or
agency;
(b) Have not within a three-year period preceding its latest
application or proposal been convicted of or had a civil judgment
rendered against any of them for commission of fraud or a criminal
offense in connection with obtaining, attempting to obtain, or
performing a public (Federal, State, or local) transaction, or
contract under a public transaction; violation of any Federal or
State antitrust statute; or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making
any false statement, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State, or local)
with commission of any of the offenses listed in subparagraph (1)(b)
of this certification;
(d) Have not within a three-year period preceding this
certification had one or more public transactions (Federal, State,
or local) terminated for cause or default.
(2) The Applicant (Primary Participant) certifies that it and
its principals, including its first tier subrecipients, will treat
each lower tier contract or lower tier subcontract under the Project
that (a) equals or exceeds $25,000, (b) is for audit services, or
(3) requires the consent of a Federal official, as a covered
contract for purposes of 2 CFR Part 1200 and 2 CFR Part 180, and
will otherwise comply with the Federal requirements of 2 CFR Part
1200 and 2 CFR Part 180, and will assure that each lower tier
participant involved in the Project is not presently debarred,
suspended, proposed for debarment, declared ineligible, or
voluntarily excluded or disqualified from participation in this
transaction by any Federal department or agency;
(3) The Applicant (Primary Participant) certifies that if,
later, it or its principals, including any of its first tier
subrecipients, become aware of any information contradicting the
statements of subparagraphs (1)(a) through (d) above, it will
promptly provide any necessary information to FTA;
(4) If the Applicant (Primary Participant) or any of its
principals, including any of its first tier subrecipients or lower
tier participants, is unable to certify to the statements within
paragraphs (1), (2), and (3) above, the Applicant shall indicate so
on its Signature Page or a Page attached in FTA's TEAM system
providing a written explanation to FTA.
G. U.S. OMB Assurances
Consistent with U.S. 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.
290dd through 290dd-2., 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 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
[[Page 67438]]
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, at 18 U.S.C. 874, and at 40 U.S.C. 3145,
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 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., U.S. OMB Circular A-133, ``Audits of States, Local
Governments, and Non-Profit Organizations,'' Revised, and the most
recent applicable U.S. 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 any Federal grant, loan (including a line of credit),
cooperative agreement, loan guarantee, or loan insurance exceeding
$100,000 is required to provide the following certification. FTA may
not award Federal grant, loan (including a line of credit),
cooperative agreement, loan guarantee, or loan insurance exceeding
$100,000 until the Applicant provides this certification by
selecting Category ``02.''
[[Page 67439]]
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 U.S. DOT or FTA
for a Federal grant, loan (including a line of credit), cooperative
agreement, or a commitment that the Federal Government to guarantee
or insure a loan 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 a Federal grant, loan
(including a line of credit), cooperative agreement, loan guarantee,
or loan insurance, or the extension, continuation, renewal,
amendment, or modification of any Federal grant, loan (including a
line of credit), cooperative agreement, loan guarantee, or loan
insurance;
(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 a Federal grant,
loan (including a line of credit), cooperative agreement, loan
guarantee, or loan insurance, the Applicant assures that it will
complete and submit Standard Form-LLL, ``Disclosure Form to Report
Lobbying,'' in accordance with its instructions; and
(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 (including a line of credit), cooperative agreements, loan
guarantees, and loan insurance).
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 a Federal grant, loan (including a line
of credit), cooperative agreement, loan guarantee, or loan insurance
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 operate public transportation equipment or facilities 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 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 pre-award 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 under 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
[[Page 67440]]
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 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 under 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 under 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 Prog
