[Federal Register: October 31, 2008 (Volume 73, Number 212)]
[Notices]
[Page 65010-65029]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr31oc08-137]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2009 Annual List of Certifications and
Assurances for Federal Transit Administration Grants and Cooperative
Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice.
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SUMMARY: Pursuant to 49 U.S.C. 5323(n), FTA is authorized to
consolidate the certifications and assurances required by Federal law
or regulations for its programs into a single document. FTA is also
required by 49 U.S.C. 5323(n) to publish a list of those certifications
and assurances annually.
Appendix A of this Notice contains the comprehensive compilation of
FTA's Certifications and Assurances for Federal Fiscal Year (Federal
FY) 2009 applicable to the various Federal assistance programs that FTA
will administer during that Federal FY. FTA's Certifications and
Assurances for Federal FY 2009 reflect Federal statutory, regulatory,
and programmatic changes that have now become effective.
DATES: Effective Date: These FTA Certifications and Assurances are
effective on October 1, 2008, the first day of Federal FY 2009.
FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate FTA
Regional Office or FTA Metropolitan Office listed below. For copies of
other related documents, see the FTA Web site at http://www.fta.dot.gov
or contact FTA's Office of Administration at 202-366-4022.
Region 1: Boston
States served: Connecticut, Maine, Massachusetts, New Hampshire,
Rhode Island, and Vermont. Telephone 617-494-2055.
Region 2: New York
States served: New York and New Jersey. Telephone 212-
668-2170.
Region 3: Philadelphia
States served: Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, and West Virginia. Telephone 215-656-
7100.
Region 4: Atlanta
States served: Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, Puerto Rico, South Carolina, Tennessee, and the U.S.
Virgin Islands. Telephone 404-865-5600.
Region 5: Chicago
States served: Illinois, Indiana, Michigan, Minnesota, Ohio, and
Wisconsin. Telephone 312-353-2789.
Region 6: Dallas/Ft. Worth
States served: Arkansas, Louisiana, New Mexico, Oklahoma, and
Texas. Telephone 817-978-0550.
Region 7: Kansas City
States served: Iowa, Kansas, Missouri, and Nebraska. Telephone
816-329-3920.
Region 8: Denver
States served: Colorado, Montana, North Dakota, South Dakota, Utah,
and Wyoming. Telephone 720-963-3300.
Region 9: San Francisco
States served: Arizona, California, Hawaii, Nevada, Guam, American
Samoa, and the Northern Mariana Islands. Telephone 415-744-
3133.
Region 10: Seattle
States served: Alaska, Idaho, Oregon, and Washington. Telephone
206-220-7954.
Lower Manhattan Recovery Office
Area served: Lower Manhattan. Telephone 212-668-1770.
New York Metropolitan Office
Area served: New York Metropolitan Area. Telephone 212-
668-2201.
Philadelphia Metropolitan Office
Area served: Philadelphia Metropolitan Area. Telephone
215-656-7070.
Washington DC Metropolitan Office
Area served: Washington DC Metropolitan Area. Telephone
202-219-3562/219-3565.
Chicago Metropolitan Office
Area served: Chicago Metropolitan Area. Telephone 312-
886-1616.
Los Angeles Metropolitan Office
Area served: Los Angeles Metropolitan Area. Telephone
213-202-3950.
SUPPLEMENTARY INFORMATION:
1. Purposes
The purposes of this Notice are to:
Publish FTA's Federal FY 2009 Certifications and
Assurances for Applicants for Federal assistance administered by FTA
and the Projects for which they seek Federal assistance.
Highlight new changes to the FTA Certifications and
Assurances now in effect.
Identify locations where these FTA Certifications and
Assurances may be viewed, and
Provide directions for submitting these FTA Certifications
and Assurances.
2. Background
a. FTA's Responsibilities. Since Federal FY 1995, FTA has been
[[Page 65011]]
consolidating the various certifications and assurances that may be
required of its Applicants and their projects into a single document
for publication in the Federal Register. FTA intends to continue
publishing this document annually, when feasible in conjunction with
its publication of the FTA annual apportionment notice, which sets
forth the allocations of funds made available by the latest U.S.
Department of Transportation (U.S. DOT) annual appropriations act.
Because U.S. DOT's full-year appropriations for Federal FY 2009 were
not signed into law on October 1, 2008 (the first day of Federal FY
2009), and have not yet been signed into law, FTA is proceeding with
publication of its Certifications and Assurances for FY 2009.
b. Applicant's Responsibilities. Irrespective of whether a project
will be financed under the authority of 49 U.S.C. chapter 53, Title 23,
United States Code, or another Federal statute, the Applicant must
submit Federal FY 2009 Certifications and Assurances to FTA applicable
to all projects for which the Applicant seeks funding during Federal FY
2009.
FTA requests that an Applicant to submit all of the twenty-four
(24) categories of the Certifications and Assurances that may be needed
for all projects for which the Applicant intends to or might seek
Federal assistance in the Federal FY 2009. Selecting and submitting
these Certifications and Assurances to FTA signifies the Applicant's
intent and ability to comply with all applicable provisions thereof.
In order to assure FTA that the Applicant is authorized under State
and local law to certify compliance with the FTA Certifications and
Assurances it has selected, FTA requires the Applicant to obtain a
current (Federal FY 2009) affirmation signed by the Applicant's
attorney affirming the Applicant's legal authority to certify its
compliance with the FTA Certifications and Assurances that the
Applicant has selected. The Applicant's attorney must sign this
affirmation during Federal FY 2009. Irrespective of whether the
Applicant makes a single selection of all twenty-four (24) categories
of FTA Certifications and Assurances or selects individual categories
from the FTA Certifications and Assurances, the Affirmation of
Applicant's Attorney from a previous Federal FY is not acceptable,
unless FTA expressly determines otherwise in writing.
c. Effect of Subrecipient Participation. Absent a written
determination by FTA to the contrary, the Applicant itself is
ultimately responsible for compliance with the FTA Certifications and
Assurances it has selected even though the Project may be carried out
in whole or in part by one or more subrecipients. Thus, if
subrecipients will be participating in the Project, when the Applicant
submits its FTA Certifications and Assurances, the Applicant is also
signifying that it will be responsible for compliance, both of itself
and of each of its subrecipients, with the provisions of the FTA
Certifications and Assurances it has selected. Therefore, in providing
Certifications and Assurances that necessarily involve the compliance
of any prospective subrecipient, FTA strongly recommends that the
Applicant take the appropriate measures, including but not limited to
obtaining sufficient documentation from each subrecipient participating
in the project, to assure the validity of the Applicant's
Certifications and Assurances to FTA.
3. Significant Information About FTA's Certifications and Assurances
for Federal FY 2009
a. Legal Implications
(1) Binding Commitments. Because the Applicant is required by
Federal law and regulations to comply with the applicable provisions of
all FTA Certifications and Assurances it submits, it is important that
the Applicant be familiar with the provisions of all twenty-four (24)
categories of FTA Certifications and Assurances for Federal FY 2009.
The text of those Certifications and Assurances is contained in
Appendix A of this Notice, and also appears at http://www.fta.dot.gov/
documents/2009-Certs-Appendix.A.pdf, and in FTA's electronic award and
management system, TEAM-Web, http://ftateamweb.fta.dot.gov, at the
``Cert's & Assurances'' tab of the ``View/Modify Recipients'' page in
the ``Recipients'' option. Provisions of this Notice supersede
conflicting statements in any FTA circular containing a previous
version of FTA's annual Certifications and Assurances. The
Certifications and Assurances contained in those FTA circulars are
merely examples, and are not acceptable or valid for Federal FY 2009.
An Applicant's annual Certifications and Assurances to FTA
generally remain in effect for either the duration of the Grant or
Cooperative Agreement supporting the Project until the Project is
closed out or for the duration of the Project or Project property when
a useful life or industry standard is in effect, whichever occurs
later. If, however, the Applicant provides Certifications and
Assurances to FTA in a later year that differ from the Certifications
and Assurances previously provided, the later Certifications and
Assurances will apply to the Grant, Cooperative Agreement, Project, or
Project property, except to the extent FTA permits otherwise in
writing.
(2) Penalties for Noncompliance. If the Applicant makes a false,
fictitious, or fraudulent claim, statement, submission, certification,
assurance, or representation to the Federal government or includes a
false, fictitious, or fraudulent statement or representation in any
agreement with the Federal government in connection with a Project
authorized under 49 U.S.C. chapter 53 or any other Federal law, the
Federal government reserves the right to impose on the Applicant the
penalties of the Program Fraud Civil Remedies Act of 1986, as amended,
31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations,
``Program Fraud Civil Remedies,'' 49 CFR part 31, or the penalties of
49 U.S.C. 5323(l) invoking the criminal provisions of 18 U.S.C. 1001,
or other applicable Federal law to the extent the Federal government
deems appropriate.
(3) FTA's Certifications and Assurances Constitute Only a Partial
List of Federal Requirements. FTA cautions that the FTA Certifications
and Assurances required by Federal law and regulations do not address
all the Federal requirements that will apply to the Applicant and its
Project. FTA's Certifications and Assurances are generally pre-award
requirements, i.e., those requirements of Federal law and regulations
the Applicant must fulfill before FTA is legally authorized to award of
Federal financial assistance to an Applicant.
(4) Other Federal Requirements. Because FTA's Certifications and
Assurances do not encompass all Federal requirements that will apply to
the Applicant and its Project, FTA strongly encourages the Applicant to
review the Federal authorizing legislation, regulations, and directives
pertaining to the program or programs for which the Applicant seeks
Federal assistance. The FTA Master Agreement for Federal FY 2009 at
http://www.fta.dot.gov/documents/15-Master.pdf identifies a substantial
number of those Federal laws, regulations, and directives that apply to
Applicants and their various projects.
b. Importance of FTA's Certifications and Assurances for Federal FY
2009. Following publication of these Certifications and Assurances, FTA
may not award Federal financial assistance through a Federal Grant or
Cooperative Agreement until the Applicant submits
[[Page 65012]]
all of the FTA Certifications and Assurances for Federal FY 2009
pertaining to itself and its project as required by Federal laws and
regulations. The Applicant's Certifications and Assurances for Federal
FY 2009 will be applicable to all projects for which it seeks Federal
assistance during Federal FY 2009 and through the next Federal FY until
FTA issues its annual Certifications and Assurances for Federal FY
2010.
c. Federal FY 2009 Changes. Apart from minor editorial revisions,
significant changes to FTA's Certifications and Assurances include the
following:
(1) In the Introductory paragraphs preceding the text of FTA's
Certifications and Assurances:
(a) The FTA Web site for the FTA Master Agreement for Federal FY
2009 is identified as http://www.fta.dot.gov/documents/15-Master.pdf.
(b) A new provision has been added expressly reminding the
Applicant that when it applies for FTA assistance on behalf of a
consortium, joint venture, partnership, or team, each member of that
consortium, joint venture, partnership, or team is responsible for
compliance with the certifications and assurances the Applicant selects
pertaining to any FTA assisted project.
(2) Category 09. The Charter Service Agreement has been amended for
consistency with the new FTA regulations, ``Charter Service,''
published at 73 FR 2325 et seq., January 14, 2008, and amended at 73 FR
44927 et seq., August 1, 2008, and 73 FR 46554 et seq., August 11,
2008.
(3) Categories 13 and 21. Subsection 201(i) of the SAFETEA-LU
Technical Corrections Act, 2008, Pub. L. 110-244, June 6, 2008, changed
the name of the ``Alternative Transportation in Parks and Public Lands
Program'' to the ``Paul S. Sarbanes Transit in Parks Program.''
References to that program have been amended to reflect the new name
change.
d. When to Submit. All Applicants for FTA formula program or
capital program assistance, and current FTA Grantees with an active
project financed with FTA formula program or capital program
assistance, are expected to provide their FTA Certifications and
Assurances for Federal FY 2009 within 90 days from the date of this
publication or as soon as feasible after their first application for
Federal assistance authorized or made available for Federal FY 2009,
whichever is earlier. In addition, FTA encourages Applicants seeking
Federal assistance for other projects to submit their FTA
Certifications and Assurances to FTA as soon as possible to expedite
awards of FTA assistance.
4. Ways to Submit FTA's Certifcations and Assurances
As further explained, FTA will accept an Applicant's Certifications
and Assurances submitted either in TEAM-Web at http://
ftateamweb.fta.dot.gov, or on paper containing the text set forth on
the Signature Page(s) of Appendix A of this Notice. In order of
preference, FTA permits:
a. Electronic Submission in TEAM-Web. An Applicant registered in
TEAM-Web must submit its FTA Certifications and Assurances, as well as
its applications for Federal assistance in TEAM-Web. FTA prefers that
other Applicants for Federal assistance submit their FTA Certifications
and Assurances through TEAM-Web.
The TEAM-Web ``Recipients'' option at the ``Cert's & Assurances''
tab of the ``View/Modify Recipients'' page contains fields for
selecting among the twenty-four (24) categories of FTA Certifications
and Assurances to be submitted. There is also a field for entering a
single selection covering all twenty-four (24) categories of FTA
Certifications and Assurances.
Within the ``Cert's & Assurances'' tab is a field for the
Applicant's authorized representative to enter his or her personal
identification number (PIN), which constitutes the Applicant's
electronic signature for the FTA Certifications and Assurances
selected. In addition, there is a field for the Applicant's attorney to
enter his or her PIN, affirming the Applicant's legal authority to make
and comply with the FTA Certifications and Assurances the Applicant has
selected. The Applicant's authorized representative may enter his or
her PIN in lieu of the attorney's PIN, provided that the Applicant has
a current Affirmation of Applicant's Attorney as set forth in Appendix
A of this Notice, written and signed by the attorney in Federal FY
2009.
For more information, the Applicant may contact the appropriate FTA
Regional Office or Metropolitan Office listed in this Notice or the
TEAM-Web Helpdesk.
b. Paper Submission. Only if the Applicant is unable to submit its
FTA Certifications and Assurances in TEAM-Web may the Applicant submit
its FTA Certifications and Assurances on paper.
If an Applicant is unable to submit its FTA Certifications and
Assurances electronically, it must mark the categories of FTA
Certifications and Assurances it is making on the Signature Page(s) in
Appendix A of this Notice and submit them to FTA. The Applicant may
signify compliance with all categories by placing a single mark in the
appropriate space or select the categories applicable to itself and its
projects.
The Applicant must enter its signature on the Signature Page(s) and
must provide an Affirmation of Applicant's Attorney pertaining to the
Applicant's legal capacity to make and comply with the Certifications
and Assurances the Applicant has selected. The Applicant may enter its
signature in lieu of its attorney's signature in the Affirmation of
Applicant's Attorney section of the Signature Page(s), provided that
the Applicant has on file the Affirmation of Applicant's Attorney as
set forth in Appendix A of this Notice, written and signed by the
attorney and dated in Federal FY 2009.
For more information, the Applicant may contact the appropriate FTA
Regional Office or Metropolitan Office listed in this Notice.
Authority. 49 U.S.C. chapter 53; the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA-LU), as amended by the SAFETEA-LU Technical Corrections
Act, 2008, Pub. L. 110-244, June 6, 2008; Title 23, United States
Code (Highways); other Federal laws administered by FTA; U.S. DOT
and FTA regulations at Title 49, Code of Federal Regulations; and
FTA Circulars.
Issued in Washington, DC, this 27th day of October 2008.
James S. Simpson,
Administrator.
Federal Fiscal Year 2009 Certifications and Assurances for Federal
Transit Administration Assistance Programs
Preface
In accordance with 49 U.S.C. 5323(n), the following certifications
and assurances have been compiled for Federal Transit Administration
(FTA) assistance programs. FTA requests each Applicant to provide as
many certifications and assurances as needed for all programs for which
the Applicant intends to seek FTA assistance during Federal Fiscal Year
2009. Category 01 applies to all Applicants. Category 02 applies to all
applications for Federal assistance in excess of $100,000. Categories
03 through 24 will apply to and be required for some, but not all,
Applicants and projects. An Applicant may select a single certification
that will cover all the programs for which it anticipates submitting an
application. FTA requests the Applicant to read each certification and
assurance carefully and select all certifications and assurances that
may apply to the programs for
[[Page 65013]]
which it expects to seek Federal assistance.
FTA and the Applicant understand and agree that not every provision
of these certifications and assurances will apply to every Applicant or
every project for which FTA provides Federal financial assistance
through a Grant Agreement or Cooperative Agreement. The type of project
and the section of the statute authorizing Federal financial assistance
for the project will determine which provisions apply. The terms of
these certifications and assurances reflect applicable requirements of
FTA's enabling legislation currently in effect.
The Applicant also understands and agrees that these certifications
and assurances are special preaward requirements specifically
prescribed by Federal law or regulation and do not encompass all
Federal laws, regulations, and directives that may apply to the
Applicant or its project. A comprehensive list of those Federal laws,
regulations, and directives is contained in the current FTA Master
Agreement MA(15) for Federal Fiscal Year 2009 at the FTA Web site
http://www.fta.dot.gov/documents/15-Master.pdf. The certifications and
assurances in this document have been streamlined to remove most
provisions not covered by statutory or regulatory certification or
assurance requirements.
Because many requirements of these certifications and assurances
will require the compliance of the subrecipient of an Applicant, we
strongly recommend that each Applicant, including a State, that will be
implementing projects through one or more subrecipients, secure
sufficient documentation from each subrecipient to assure compliance,
not only with these certifications and assurances, but also with the
terms of the Grant Agreement or Cooperative Agreement for the project,
and the applicable Master Agreement for its project, if applicable,
incorporated therein by reference. Each Applicant is ultimately
responsible for compliance with the provisions of the certifications
and assurances applicable to itself or its project irrespective of
participation in the project by any subrecipient. The Applicant
understands and agrees that when it applies for FTA assistance on
behalf of a consortium, joint venture, partnership, or team, each
member of that consortium, joint venture, partnership, or team is
responsible for compliance with the certifications and assurances the
Applicant selects.
FTA strongly encourages each Applicant to submit its certifications
and assurances through TEAM-Web, FTA's electronic award and management
system, at http://ftateamweb.fta.dot.gov. Twenty-four (24) Categories
of certifications and assurances are listed by numbers 01 through 24 in
the TEAM-Web ``Recipients'' option at the ``Cert's & Assurances'' tab
of ``View/Modify Recipients.'' Should the Applicant choose not to
submit its certifications and assurances through TEAM-Web, the
Applicant may submit its certifications and assurances on paper by
submitting the Signature Page(s) at the end of this document,
indicating the certifications and assurances it is making on one side
of the document or on one page, and signing its affirmation and that of
its attorney on the other side or other page.
01. Assurances Required for Each Applicant
Each Applicant for FTA assistance must provide all assurances in
this Category ``01.'' Except to the extent that FTA expressly
determines otherwise in writing, FTA may not award any Federal
assistance until the Applicant provides the following assurances by
selecting Category ``01.''
A. Assurance of Authority of the Applicant and Its Representative
The authorized representative of the Applicant and the attorney who
sign these certifications, assurances, and agreements affirm that both
the Applicant and its authorized representative have adequate authority
under applicable State, local, or Indian tribal law and regulations,
and the Applicant's by-laws or internal rules to:
(1) Execute and file the application for Federal assistance on
behalf of the Applicant;
(2) Execute and file the required certifications, assurances, and
agreements on behalf of the Applicant binding the Applicant; and
(3) Execute grant agreements and cooperative agreements with FTA on
behalf of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable
Federal statutes and regulations in carrying out any project supported
by an FTA grant or cooperative agreement. The Applicant agrees that it
is under a continuing obligation to comply with the terms and
conditions of the grant agreement or cooperative agreement with FTA
issued for its project. The Applicant recognizes that Federal laws and
regulations may be modified from time to time and those modifications
may affect project implementation. The Applicant understands that
Presidential executive orders and Federal directives, including Federal
policies and program guidance may be issued concerning matters
affecting the Applicant or its project. The Applicant agrees that the
most recent Federal laws, regulations, and directives will apply to the
project, unless FTA issues a written determination otherwise.
C. Intergovernmental Review Assurance
Except if the Applicant is an Indian tribal government seeking
assistance authorized by 49 U.S.C. 5311(c)(1), the Applicant assures
that each application for Federal assistance it submits to FTA has been
submitted or will be submitted for intergovernmental review to the
appropriate State and local agencies as determined by the State.
Specifically, the Applicant assures that it has fulfilled or will
fulfill the obligations imposed on FTA by U.S. Department of
Transportation (U.S. DOT) regulations, ``Intergovernmental Review of
Department of Transportation Programs and Activities,'' 49 CFR part 17.
This assurance does not apply to Applicants for Federal assistance
under FTA's Tribal Transit Program, 49 U.S.C. 5311(c)(1).
D. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on
the basis of race, color, creed, national origin, sex, or age, and
prohibits discrimination in employment or business opportunity), by
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d,
and by U.S. DOT regulations, ``Nondiscrimination in Federally-Assisted
Programs of the Department of Transportation-Effectuation of Title VI
of the Civil Rights Act,'' 49 CFR part 21 at 21.7, the Applicant
assures that it will comply with all requirements imposed by or issued
pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21, so
that no person in the United States, on the basis of race, color,
national origin, creed, sex, or age will be excluded from participation
in, be denied the benefits of, or otherwise be subjected to
discrimination in any program or activity (particularly in the level
and quality of transportation services and transportation-related
benefits) for which the Applicant receives Federal assistance awarded
by the U.S. DOT or FTA.
Specifically, during the period in which Federal assistance is
extended to the project, or project property is used for a purpose for
which the Federal assistance is extended or for another purpose
involving the provision of similar services or benefits, or as long as
the Applicant retains ownership or possession of the project property,
[[Page 65014]]
whichever is longer, the Applicant assures that:
(1) Each project will be conducted, property acquisitions will be
undertaken, and project facilities will be operated in accordance with
all applicable requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49
CFR part 21, and understands that this assurance extends to its entire
facility and to facilities operated in connection with the project.
(2) It will promptly take the necessary actions to effectuate this
assurance, including notifying the public that complaints of
discrimination in the provision of transportation-related services or
benefits may be filed with U.S. DOT or FTA. Upon request by U.S. DOT or
FTA, the Applicant assures that it will submit the required information
pertaining to its compliance with these provisions.
(3) It will include in each subagreement, property transfer
agreement, third party contract, third party subcontract, or
participation agreement adequate provisions to extend the requirements
imposed by or issued pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d and 49
CFR part 21 to other parties involved therein including any
subrecipient, transferee, third party contractor, third party
subcontractor at any level, successor in interest, or any other
participant in the project.
(4) Should it transfer real property, structures, or improvements
financed with Federal assistance provided by FTA to another party, any
deeds and instruments recording the transfer of that property shall
contain a covenant running with the land assuring nondiscrimination for
the period during which the property is used for a purpose for which
the Federal assistance is extended or for another purpose involving the
provision of similar services or benefits.
(5) The United States has a right to seek judicial enforcement with
regard to any matter arising under Title VI of the Civil Rights Act,
U.S. DOT implementing regulations, and this assurance.
(6) It will make any changes in its Title VI implementing
procedures as U.S. DOT or FTA may request to achieve compliance with
the requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42
U.S.C. 2000d, and 49 CFR part 21.
E. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, ``Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or Benefiting
from Federal Financial Assistance,'' at 49 CFR 27.9, the Applicant
assures that, as a condition to the approval or extension of any
Federal assistance awarded by FTA to construct any facility, obtain any
rolling stock or other equipment, undertake studies, conduct research,
or to participate in or obtain any benefit from any program
administered by FTA, no otherwise qualified person with a disability
shall be, solely by reason of that disability, excluded from
participation in, denied the benefits of, or otherwise subjected to
discrimination in any program or activity receiving or benefiting from
Federal assistance administered by the FTA or any entity within U.S.
DOT. The Applicant assures that project implementation and operations
so assisted will comply with all applicable requirements of U.S. DOT
regulations implementing the Rehabilitation Act of 1973, as amended, 29
U.S.C. 794 et seq., and the Americans with Disabilities Act of 1990, as
amended, 42 U.S.C. 12101 et seq., and implementing U.S. DOT regulations
at 49 CFR parts 27, 37, and 38, and any other applicable Federal laws
that may be enacted or Federal regulations that may be promulgated.
F. U.S. Office of Management and Budget (OMB) Assurances
Consistent with OMB assurances set forth in SF-424B and SF-424D,
the Applicant assures that, with respect to itself or its project, the
Applicant:
(1) Has the legal authority to apply for Federal assistance and the
institutional, managerial, and financial capability (including funds
sufficient to pay the non-Federal share of project cost) to assure
proper planning, management, and completion of the project described in
its application;
(2) Will give FTA, the Comptroller General of the United States,
and, if appropriate, the State, through any authorized representative,
access to and the right to examine all records, books, papers, or
documents related to the award; and will establish a proper accounting
system in accordance with generally accepted accounting standards or
agency directives;
(3) Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest or
personal gain;
(4) Will initiate and complete the work within the applicable
project time periods following receipt of FTA approval;
(5) Will comply with all applicable Federal statutes relating to
nondiscrimination including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which
prohibits discrimination on the basis of race, color, or national
origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20
U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT
regulations, ``Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance,'' 49 CFR
part 25, which prohibit discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended, 29
U.S.C. 794, which prohibits discrimination on the basis of disability;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101
through 6107, which prohibits discrimination on the basis of age;
(e) The Drug Abuse Office and Treatment Act of 1972, as amended, 21
U.S.C. 1101 et seq., relating to nondiscrimination on the basis of drug
abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act
of 1970, as amended, 42 U.S.C. 4541 et seq. relating to
nondiscrimination on the basis of alcohol abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C.
201 et seq., relating to confidentiality of alcohol and drug abuse
patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq.,
relating to nondiscrimination in the sale, rental, or financing of
housing; and
(i) Any other nondiscrimination statute(s) that may apply to the
project;
(6) To the extent applicable, will comply with, or has complied
with, the requirements of Titles II and III of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970, as
amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq., which, among
other things, provide for fair and equitable treatment of persons
displaced or persons whose property is acquired as a result of
federally assisted programs. These requirements apply to all interests
in real property acquired for project purposes and displacement caused
by the project regardless of Federal participation in any purchase. As
required by sections 210 and 305 of the Uniform Relocation Act, 42
U.S.C. 4630 and 4655, and by U.S. DOT regulations, ``Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs,'' 49 CFR 24.4, the Applicant assures that it has the
requisite authority under applicable
[[Page 65015]]
State and local law to comply with the requirements of the Uniform
Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT regulations,
``Uniform Relocation Assistance and Real Property Acquisition for
Federal and Federally Assisted Programs,'' 49 CFR part 24, and will
comply with that Act or has complied with that Act and those
implementing regulations, including but not limited to the following:
(a) The Applicant will adequately inform each affected person of
the benefits, policies, and procedures provided for in 49 CFR part 24;
(b) The Applicant will provide fair and reasonable relocation
payments and assistance as required by 42 U.S.C. 4622, 4623, and 4624;
49 CFR part 24; and any applicable FTA procedures, to or for families,
individuals, partnerships, corporations, or associations displaced as a
result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs
offering the services described in 42 U.S.C. 4625 to such displaced
families, individuals, partnerships, corporations, or associations in
the manner provided in 49 CFR part 24;
(d) Within a reasonable time before displacement, the Applicant
will make available comparable replacement dwellings to displaced
families and individuals as required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such
manner as to provide displaced persons with uniform and consistent
services, and will make available replacement housing in the same range
of choices with respect to such housing to all displaced persons
regardless of race, color, religion, or national origin;
(f) In acquiring real property, the Applicant will be guided to the
greatest extent practicable under State law, by the real property
acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for their
necessary expenses as specified in 42 U.S.C. 4653 and 4654, with the
understanding that FTA will provide Federal financial assistance for
the Applicant's eligible costs of providing payments for those
expenses, as required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party
contracts and subagreements financed with FTA assistance and execute,
furnish, and be bound by such additional documents as FTA may determine
necessary to effectuate or implement the assurances provided herein;
and
(i) The Applicant agrees to make these assurances part of or
incorporate them by reference into any third party contract or
subagreement, or any amendments thereto, relating to any project
financed by FTA involving relocation or land acquisition and provide in
any affected document that these relocation and land acquisition
provisions shall supersede any conflicting provisions;
(7) To the extent applicable, will comply with the Davis-Bacon Act,
as amended, 40 U.S.C. 3141 et seq., the Copeland ``Anti-Kickback'' Act,
as amended, 18 U.S.C. 874, and the Contract Work Hours and Safety
Standards Act, as amended, 40 U.S.C. 3701 et seq., regarding labor
standards for federally assisted projects;
(8) To the extent applicable, will comply with the flood insurance
purchase requirements of section 102(a) of the Flood Disaster
Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), requiring the
Applicant and its subrecipients in a special flood hazard area to
participate in the program and purchase flood insurance if the total
cost of insurable construction and acquisition is $10,000 or more;
(9) To the extent applicable, will comply with the Lead-Based Paint
Poisoning Prevention Act, 42 U.S.C. 4831(b), which prohibits the use of
lead-based paint in the construction or rehabilitation of residence
structures;
(10) To the extent applicable, will not dispose of, modify the use
of, or change the terms of the real property title or other interest in
the site and facilities on which a construction project supported with
FTA assistance takes place without permission and instructions from
FTA;
(11) To the extent required by FTA, will record the Federal
interest in the title of real property, and will include a covenant in
the title of real property acquired in whole or in part with Federal
assistance funds to assure nondiscrimination during the useful life of
the project;
(12) To the extent applicable, will comply with FTA provisions
concerning the drafting, review, and approval of construction plans and
specifications of any construction project supported with FTA
assistance. As required by U.S. DOT regulations, ``Seismic Safety,'' 49
CFR 41.117(d), before accepting delivery of any building financed with
FTA assistance, it will obtain a certificate of compliance with the
seismic design and construction requirements of 49 CFR part 41;
(13) To the extent applicable, will provide and maintain competent
and adequate engineering supervision at the construction site of any
project supported with FTA assistance to assure that the complete work
conforms with the approved plans and specifications, and will furnish
progress reports and such other information as may be required by FTA
or the State;
(14) To the extent applicable, will comply with any applicable
environmental standards that may be prescribed to implement the
following Federal laws and executive orders:
(a) Institution of environmental quality control measures under the
National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321
through 4335 and Executive Order No. 11514, as amended, 42 U.S.C. 4321
note;
(b) Notification of violating facilities pursuant to Executive
Order No. 11738, 42 U.S.C. 7606 note;
(c) Protection of wetlands pursuant to Executive Order No. 11990,
42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance with
Executive Order No. 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved State
management program developed pursuant to the requirements of the
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451 through
1465;
(f) Conformity of Federal actions to State (Clean Air)
Implementation Plans under section 176(c) of the Clean Air Act of 1955,
as amended, 42 U.S.C. 7401 through 7671q;
(g) Protection of underground sources of drinking water under the
Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f through
300j-6;
(h) Protection of endangered species under the Endangered Species
Act of 1973, as amended, 16 U.S.C. 1531 through 1544; and
(i) Environmental protections for Federal transportation programs,
including, but not limited to, protections for parks, recreation areas,
or wildlife or waterfowl refuges of national, State, or local
significance or any land from a historic site of national, State, or
local significance to be used in a transportation project as required
by 49 U.S.C. 303(b) and 303(c);
(j) Protection of the components of the national wild and scenic
rivers systems, as required under the Wild and Scenic Rivers Act of
1968, as amended, 16 U.S.C. 1271 through 1287; and
(k) Provision of assistance to FTA in complying with section 106 of
the National Historic Preservation Act of 1966, as amended, 16 U.S.C.
470f; with the Archaeological and Historic Preservation Act of 1974, as
amended, 16 U.S.C. 469 through 469c ; and with
[[Page 65016]]
Executive Order No. 11593 (identification and protection of historic
properties), 16 U.S.C. 470 note;
(15) To the extent applicable, will comply with the requirements of
the Hatch Act, 5 U.S.C. 1501 through 1508 and 7324 through 7326, which
limit the political activities of State and local agencies and their
officers and employees whose primary employment activities are financed
in whole or part with Federal funds including a Federal loan, grant
agreement, or cooperative agreement except, in accordance with 49
U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), the Hatch Act does not apply to
a nonsupervisory employee of a public transportation system (or of any
other agency or entity performing related functions) receiving FTA
assistance to whom that Act does not otherwise apply;
(16) To the extent applicable, will comply with the National
Research Act, Pub. L. 93-348, July 12, 1974, as amended, 42 U.S.C. 289
et seq., and U.S. DOT regulations, ``Protection of Human Subjects,'' 49
CFR part 11, regarding the protection of human subjects involved in
research, development, and related activities supported by Federal
assistance;
(17) To the extent applicable, will comply with the Animal Welfare
Act, as amended, 7 U.S.C. 2131 et seq., and U.S. Department of
Agriculture regulations, ``Animal Welfare,'' 9 CFR subchapter A, parts
1, 2, 3, and 4, regarding the care, handling, and treatment of warm
blooded animals held or used for research, teaching, or other
activities supported by Federal assistance;
(18) Will have performed the financial and compliance audits as
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et
seq., OMB Circular A-133, ``Audits of States, Local Governments, and
Non-Profit Organizations,'' Revised, and the most recent applicable OMB
A-133 Compliance Supplement provisions for the U.S. DOT; and
(19) To the extent applicable, will comply with all applicable
provisions of all other Federal laws or regulations, and follow Federal
directives governing the project, except to the extent that FTA has
expressly approved otherwise in writing.
02. Lobbying Certification
An Applicant that submits or intends to submit an application to
FTA for Federal assistance exceeding $100,000 is required to provide
the following certification. FTA may not award Federal assistance
exceeding $100,000 until the Applicant provides this certification by
selecting Category ``02.''
A. As required by 31 U.S.C. 1352 and U.S. DOT regulations, ``New
Restrictions on Lobbying,'' at 49 CFR 20.110, the Applicant's
authorized representative certifies to the best of his or her knowledge
and belief that for each application to FTA for Federal assistance
exceeding $100,000:
(1) No Federal appropriated funds have been or will be paid by or
on behalf of the Applicant to any person to influence or attempt to
influence an officer or employee of any Federal agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress regarding the award of Federal assistance, or the
extension, continuation, renewal, amendment, or modification of any
Federal assistance agreement; and
(2) If any funds other than Federal appropriated funds have been or
will be paid to any person to influence or attempt to influence an
officer or employee of any Federal agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress
in connection with any application for Federal assistance, the
Applicant assures that it will complete and submit Standard Form-LLL,
``Disclosure Form to Report Lobbying,'' including information required
by the instructions accompanying the form, which form may be amended to
omit such information as authorized by 31 U.S.C. 1352.
(3) The language of this certification shall be included in the
award documents for all subawards at all tiers (including subcontracts,
subgrants, subagreements, and contracts under grants, loans, and
cooperative agreements).
B. The Applicant understands that this certification is a material
representation of fact upon which reliance is placed by the Federal
government and that submission of this certification is a prerequisite
for providing Federal assistance for a transaction covered by 31 U.S.C.
1352. The Applicant also understands that any person who fails to file
a required certification shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
03. Procurement Compliance
In accordance with 49 CFR 18.36(g)(3)(ii), each Applicant that is a
State, local, or Indian tribal government that is seeking Federal
assistance to acquire property or services in support of its project is
requested to provide the following certification by selecting Category
``03.'' FTA also requests other Applicants to provide the following
certification. An Applicant for FTA assistance to acquire property or
services in support of its project that fails to provide this
certification may be determined ineligible for award of Federal
assistance for the project, if FTA determines that its procurement
practices and procurement system fail to comply with Federal laws or
regulations in accordance with applicable Federal directives.
The Applicant certifies that its procurements and procurement
system will comply with all applicable Federal laws and regulations in
accordance with applicable Federal directives, except to the extent FTA
has expressly approved otherwise in writing.
04. Protections for Private Transportation Providers
Each Applicant that is a State, local, or Indian tribal government
that is seeking Federal assistance authorized under 49 U.S.C. chapter
53 to acquire any property or an interest in the property of a private
provider of public transportation or to operate public transportation
equipment or facilities in competition with, or in addition to,
transportation service provided by an existing private provider of
public transportation is required to provide the following
certification. FTA may not award Federal assistance for such a project
until the Applicant provides this certification by selecting Category
``04.''
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that
before it acquires the property or an interest in the property of a
private provider of public transportation or operates public
transportation equipment or facilities in competition with, or in
addition to, transportation service provided by an existing public
transportation company, it has or will have:
A. Determined that the assistance is essential to carrying out a
program of projects as required by 49 U.S.C. 5303, 5304, and 5306;
B. Provided for the participation of private companies engaged in
public transportation to the maximum extent feasible; and
C. Paid just compensation under State or local law to the company
for any franchise or property acquired.
05. Public Hearing
An Applicant seeking Federal assistance authorized under 49 U.S.C.
chapter 53 for a capital project that will substantially affect a
community or a community's public transportation service is required to
provide the following certification. FTA may not
[[Page 65017]]
award Federal assistance for a capital project of that type until the
Applicant provides this certification by selecting Category ``05.''
As required by 49 U.S.C. 5323(b), for a proposed capital project
that will substantially affect a community, or the public
transportation service of a community, the Applicant certifies that it
has, or before submitting its application, it will have:
A. Provided an adequate opportunity for public review and comment
on the proposed project;
B. After providing notice, including a concise description of the
proposed project, published in a newspaper of general circulation in
the geographic area to be served, held a public hearing on the project
if the project affects significant economic, social, or environmental
interests;
C. Considered the economic, social, and environmental effects of
the proposed project; and
D. Determined that the proposed project is consistent with official
plans for developing the community.
06. Acquisition of Rolling Stock for Use in Revenue Service
An Applicant seeking Federal assistance authorized under 49 U.S.C.
chapter 53 to acquire any rolling stock for use in revenue service is
required to provide the following certification. FTA may not award any
Federal assistance to acquire such rolling stock until the Applicant
provides this certification by selecting Category ``06.''
As required by 49 U.S.C. 5323(m) and implementing FTA regulations,
``Pre-Award and Post-Delivery Audits of Rolling Stock Purchases,'' 49
CFR part 663, at 49 CFR 663.7, the Applicant certifies that it will
comply with the requirements of 49 CFR part 663 as modified by
amendments authorized by section 3023(k) of SAFETEA-LU when procuring
revenue service rolling stock. Among other things, the Applicant agrees
to conduct or cause to be conducted the requisite preaward and post
delivery reviews, and maintain on file the certifications required by
49 CFR part 663, subparts B, C, and D.
07. Acquisition of Capital Assets by Lease
An Applicant that intends to request the use of Federal assistance
authorized under 49 U.S.C. chapter 53 to acquire capital assets by
lease is required to provide the following certifications. FTA may not
provide Federal assistance to support those costs until the Applicant
provides this certification by selecting Category ``07.''
As required by FTA regulations, ``Capital Leases,'' 49 CFR part
639, at 49 CFR 639.15(b)(1) and 49 CFR 639.21, if the Applicant
acquires any capital asset by lease financed with Federal assistance
authorized under 49 U.S.C. chapter 53, the Applicant certifies as
follows:
(1) It will not use Federal assistance authorized 49 U.S.C. chapter
53 to finance the cost of leasing any capital asset until it performs
calculations demonstrating that leasing the capital asset would be more
cost-effective than purchasing or constructing a similar asset; and it
will complete these calculations before entering into the lease or
before receiving a capital grant for the asset, whichever is later; and
(2) It will not enter into a capital lease for which FTA can
provide only incremental Federal assistance unless it has adequate
financial resources to meet its future obligations under the lease if
Federal assistance is not available for capital projects in the
subsequent years.
08. Bus Testing
An Applicant for Federal assistance appropriated or made available
for 49 U.S.C. chapter 53 to acquire any new bus model or any bus model
with a new major change in configuration or components is required to
provide the following certification. FTA may not provide Federal
assistance for the acquisition of any new bus model or bus model with a
major change until the Applicant provides this certification by
selecting Category ``08.''
As required by 49 U.S.C. 5318 and FTA regulations, ``Bus Testing,''
at 49 CFR 665.7, the Applicant certifies that, before expending any
Federal assistance to acquire the first bus of any new bus model or any
bus model with a new major change in configuration or components, or
before authorizing final acceptance of that bus (as described in 49 CFR
part 665):
A. The bus model will have been tested at FTA's bus testing
facility; and
B. The Applicant will have received a copy of the test report
prepared on the bus model.
09. Charter Service Agreement
An Applicant seeking Federal assistance authorized under 49 U.S.C.
chapter 53 (except as permitted by 49 CFR 604.2), or under 23 U.S.C.
133 or 142, to acquire or operate any public transportation equipment
or facilities is required to enter into the following Charter Service
Agreement. FTA may not provide Federal assistance authorized under 49
U.S.C. chapter 53 (except as permitted by 49 CFR 604.2), or under 23
U.S.C.133 or 142, for such projects until the Applicant enters into
this Charter Service Agreement by selecting Category ``09.''
A. As required by 49 U.S.C. 5323(d) and (g) and FTA regulations at
49 CFR 604.4, the Applicant understands and agrees that it and each
subrecipient, lessee, third party contractor, or other participant in
the project at any tier may provide charter service for transportation
projects that uses equipment or facilities acquired with Federal
assistance authorized under the Federal transit laws (except as
permitted by 49 CFR 604.2), or under 23 U.S.C. 133 or 142, only in
compliance with those laws and FTA regulations, ``Charter Service,'' 49
CFR part 604, the terms and conditions of which are incorporated herein
by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, ``Charter Service,'' 49
CFR part 604, will apply to any charter service it or its
subrecipients, lessees, third party contractors, or other participants
in the project provide,
(2) The definitions of FTA regulations, ``Charter Service,'' 49 CFR
part 604, will apply to this Charter Service Agreement, and
(3) A pattern of violations of this Charter Service Agreement may
require corrective measures and imposition of remedies, including
barring the Applicant, subrecipient, lessee, third party contractor, or
other participant in the project that has engaged in that pattern of
violations from receiving FTA financial assistance, or withholding an
amount of Federal assistance as set forth in FTA regulations, ``Charter
Service,'' 49 CFR part 604, Appendix D.
10. School Transportation Agreement
An Applicant that is seeking Federal assistance authorized under 49
U.S.C. chapter 53 or under 23 U.S.C. 133 or 142 to acquire or operate
public transportation facilities and equipment is required to enter
into the following School Transportation Agreement. FTA may not provide
Federal assistance authorized under 49 U.S.C. chapter 53 or under 23
U.S.C. 133 or 142 for such projects until the Applicant enters into
this School Transportation Agreement by selecting Category ``10.''
A. As required by 49 U.S.C. 5323(f) and (g) and FTA regulations at
49 CFR 605.14, the Applicant understands and agrees that it and each
subrecipient, lessee, third party contractor, or other participant in
the project at any tier may engage in school transportation operations
in competition with private school transportation operators that uses
equipment or facilities acquired with
[[Page 65018]]
Federal assistance authorized under the Federal transit laws or under
23 U.S.C. 133 or 142, only in compliance with those laws and FTA
regulations, ``School Bus Operations,''49 CFR part 605, to the extent
consistent with 49 U.S.C. 5323(f) or (g), the terms and conditions of
which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, ``School Bus Operations,''
49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(f) or
(g), will apply to any school transportation service it or its
subrecipients, lessees, third party contractors, or other participants
in the project provide,
(2) The definitions of FTA regulations, ``School Bus Operations,''
49 CFR part 605 will apply to this School Transportation Agreement, and
(3) If there is a violation of this School Transportation
Agreement, FTA will bar the Applicant, subrecipient, lessee, third
party contractor, or other participant in the project that has violated
this School Transportation Agreement from receiving Federal transit
assistance in an amount FTA considers appropriate.
11. Demand Responsive Service
An Applicant that operates demand responsive service and applies
for direct Federal assistance authorized for 49 U.S.C. chapter 53 to
acquire non-rail public transportation vehicles is required to provide
the following certification. FTA may not award direct Federal
assistance authorized for 49 U.S.C. chapter 53 to an Applicant that
operates demand responsive service to acquire non-rail public
transportation vehicles until the Applicant provides this certification
by selecting Category ``11.''
As required by U.S. DOT regulations, ``Transportation Services for
Individuals with Disabilities (ADA),'' at 49 CFR 37.77(d), the
Applicant certifies that its demand responsive service offered to
individuals with disabilities, including individuals who use
wheelchairs, is equivalent to the level and quality of service offered
to individuals without disabilities. Viewed in its entirety, the
Applicant's service for individuals with disabilities is provided in
the most integrated setting feasible and is equivalent with respect to:
(1) Response time, (2) fares, (3) geographic service area, (4) hours
and days of service, (5) restrictions on trip purpose, (6) availability
of information and reservation capability, and (7) constraints on
capacity or service availability.
12. Alcohol Misuse and Prohibited Drug Use
If the Applicant is required by FTA regulations, ``Prevention of
Alcohol Misuse and Prohibited Drug Use in Transit Operations,'' at 49
CFR part 655, to provide the following certification concerning its
activities to prevent alcohol misuse and prohibited drug use in its
public transportation operations, FTA may not provide Federal
assistance to that Applicant until it provides this certification by
selecting Category ``12.''
As required by FTA regulations, ``Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations,'' at 49 CFR part 655,
subpart I, the Applicant certifies that it has established and
implemented an alcohol misuse and anti-drug program, and has complied
with or will comply with all applicable requirements of FTA
regulations, ``Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operations,'' 49 CFR part 655.
13. Interest and Other Financing Costs
An Applicant that intends to request the use of Federal assistance
for reimbursement of interest or other financing costs incurred for its
capital projects financed with Federal assistance under the Urbanized
Area Formula Program, the Capital Investment Program, or the Paul S.
Sarbanes Transit in Parks Program is required to provide the following
certification. FTA may not provide Federal assistance to support
interest or other financing costs until the Applicant provides this
certification by selecting Category ``13.''
As required by 49 U.S.C. 5307(g)(3), 5309(g)(2)(B)(iii),
5309(g)(3)(B)(iii), 5309(i)(2)(C), and 5320(h)(2)(C), the Applicant
certifies that it will not seek reimbursement for interest or other
financing costs unless it is eligible to receive Federal assistance for
those costs and its records demonstrate that it has used reasonable
diligence in seeking the most favorable financing terms underlying
those costs, to the extent FTA may require.
14. Intelligent Transportation Systems
An Applicant for FTA assistance for an Intelligent Transportation
Systems (ITS) project, defined as any project that in whole or in part
finances the acquisition of technologies or systems of technologies
that provide or significantly contribute to the provision of one or
more ITS user services as defined in the ``National ITS Architecture,''
is requested to provide the following assurance. FTA strongly
encourages any Applicant for FTA financial assistance to support an ITS
project to provide this assurance by selecting Category ``14.'' An
Applicant for FTA assistance for an ITS project that fails to provide
this assurance, without providing other documentation assuring the
Applicant's commitment to comply with applicable Federal ITS standards
and protocols, may be determined ineligible for award of Federal
assistance for the ITS project.
As used in this assurance, the term Intelligent Transportation
Systems (ITS) project is defined to include any project that in whole
or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision
of one or more ITS user services as defined in the ``National ITS
Architecture.''
A. As provided in SAFETEA-LU section 5307(c), 23 U.S.C. 512 note,
apart from certain exceptions, ``intelligent transportation system
projects carried out using funds made available from the Highway Trust
Fund, including funds made available under this subtitle to deploy
intelligent transportation system technologies, [shall] conform to the
national architecture, applicable standards or provisional standards,
and protocols developed under [SAFETEA-LU, section 5307] subsection
(a).'' To facilitate compliance with SAFETEA-LU section 5307(c), 23
U.S.C. 512 note, the Applicant assures it will comply with all
applicable provisions of Section V (Regional ITS Architecture) and
Section VI (Project Implementation) of FTA Notice, ``FTA National ITS
Architecture Policy on Transit Projects,'' at 66 FR 1455 et seq.,
January 8, 2001, and other FTA policies that may be issued in
connection with any ITS project it undertakes financed with funds
authorized under Title 49 or Title 23, United States Code, except to
the extent that FTA expressly determines otherwise in writing.
B. With respect to any ITS project financed with Federal assistance
derived from a source other than Title 49 or Title 23, United States
Code, the Applicant assures that it will use its best efforts to assure
that any ITS project it undertakes will not preclude interface with
other intelligent transportation systems in the Region.
15. Urbanized Area Formula Program
Each Applicant for Urbanized Area Formula Program assistance
authorized under 49 U.S.C. 5307 is required to provide the following
certifications on behalf of itself and any subrecipients participating
in its projects. Unless FTA determines otherwise in writing, the
[[Page 65019]]
Applicant is ultimately responsible for compliance with its
certifications and assurances even though a subrecipient, lessee, third
party contractor, or other participant may participate in that project.
Consequently, in providing certifications and assurances that involve
the compliance of its prospective subrecipients, the Applicant is
strongly encouraged to take appropriate measures, including but not
limited to obtaining sufficient documentation from each subrecipient,
to assure the validity of all certifications and assurances the
Applicant has made to FTA. If, however a ``Designated Recipient'' as
defined at 49 U.S.C. 5307(a)(2)(A) enters into a Supplemental Agreement
with FTA and a Prospective Grantee, that Grantee is recognized as the
Applicant for Urbanized Area Formula Program assistance and must
provide the following certifications and assurances.
Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to expend at
least one (1) percent of its Urbanized Area Formula Program assistance
for public transportation security projects, unless the Applicant has
certified that such expenditures are not necessary. Information about
the Applicant's intentions will be recorded in the ``Security'' tab
page of the TEAM-Web ``Project Information'' window when the Applicant
enters its Urbanized Area Formula Program application in 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 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 an existing or planned public transportation; and
K. In compliance with 49 U.S.C. 5307(d)(1)(K), if the Applicant is
a Designated Recipient serving an urbanized area with a population of
at least 200,000, (1) the Applicant certifies either that it has
expended or will expend for transit enhancements as
[[Page 65020]]
defined at 49 U.S.C. 5302(a)(15) not less than one (1) percent of the
amount of the Urbanized Area Formula Assistance it receives this
Federal fiscal year, or that at least one Designated Recipient in its
urbanized area has certified or will certify that the Designated
Recipients within that urbanized area together have expended or will
expend for transit enhancements as defined at 49 U.S.C. 5302(a)(15) not
less than one (1) percent of the amount of the total amounts the
Designated Recipients receive each Federal fiscal year under 49 U.S.C.
5307, and (2) either the Applicant has listed or will list the transit
enhancement projects it has carried out with those funds, or at least
one Designated Recipient in the Applicant's urbanized area has listed
or will list the transit enhancement projects carried out with funds
authorized under 49 U.S.C. 5307. If the Designated Recipient's
quarterly report for the fourth quarter of the preceding Federal fiscal
year includes a list of transit enhancement projects the Designated
Recipients in its urbanized area have implemented during that preceding
Federal fiscal year using those funds, the information in that
quarterly report will fulfill the requirements of 49 U.S.C.
5307(d)(1)(K)(ii), and thus that quarterly report will be incorporated
by reference and made part of the Designated Recipient's and
Applicant's certifications and assurances.
16. Clean Fuels Grant Program
Each Applicant for Clean Fuels Grant Program assistance authorized
under 49 U.S.C. 5308 is required to provide the following
certifications on behalf of itself and its subrecipients. Unless FTA
determines otherwise in writing, the Applicant is ultimately
responsible for compliance with its certifications and assurances even
though a subrecipient, lessee, third party contractor, or other
participant may participate in that project. Consequently, in providing
certifications and assurances that involve the compliance of its
prospective subrecipients, the Applicant is strongly encouraged to take
the appropriate measures, including but not limited to obtaining
sufficient documentation from each subrecipient, to assure the validity
of all certifications and assurances the Applicant has made to FTA. FTA
may not award Federal assistance for the Clean Fuels Grant Program
until the Applicant provides these certifications by selecting Category
``16.''
As required by 49 U.S.C. 5308(d)(1), which makes the requirements
of 49 U.S.C. 5307 applicable to Clean Fuels Grant Program assistance,
and 49 U.S.C. 5307(d)(1), the designated recipient or the recipient
serving as the Applicant on behalf of the designated recipient, or the
State or State organization serving as the Applicant on behalf of the
State, certifies as follows:
A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or
will have the legal, financial, and technical capacity to carry out its
proposed program of projects, including the safety and security aspects
of that program;
B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or
will have satisfactory continuing control over the use of project
equipment and facilities;
C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will
adequately maintain the project equipment and facilities;
D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will
assure that any elderly individual, any individual with disabilities,
or any person presenting a Medicare card issued to himself or herself
pursuant to title II or title XVIII of the Social Security Act (42
U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for
transportation during non-peak hours using or involving a facility or
equipment of a project financed with Federal assistance authorized
under 49 U.S.C. 5308, not more than fifty (50) percent of the peak hour
fare;
E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in
carrying out a procurement financed with Federal assistance authorized
under 49 U.S.C. 5308: (1) will use competitive procurement (as defined
or approved by FTA), (2) will not use exclusionary or discriminatory
specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement
requirements of 49 U.S.C. 5325;
F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has
complied with or will comply with the requirements of 49 U.S.C.
5307(c). Specifically, the Applicant: (1) Has made available, or will
make available, to the public information on the amounts available for
the Clean Fuels Grant Program, 49 U.S.C. 5308, and the projects it
proposes to undertake; (2) has developed or will develop, in
consultation with interested parties including private transportation
providers, the proposed projects to be financed; (3) has published or
will publish a list of the proposed projects in a way that affected
citizens, private transportation providers, and local elected officials
have the opportunity to examine the proposed projects and submit
comments on the proposed projects and the performance of the Applicant;
(4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has assured
or will assure that the proposed projects provide for the coordination
of transportation services assisted under 49 U.S.C. 5336 with
transportation services assisted by another Federal government source;
(6) has considered or will consider the comments and views received,
especially those of private transportation providers, in preparing its
final list of projects; and (7) has made or will make the final list of
projects available to the public;
G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or
will have available and will provide the amount of funds required by 49
U.S.C. 5308(d)(2) for the local share, and that those funds will be
provided from approved non-Federal sources except as permitted by
Federal law;
H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a) (requirements for public
transportation systems that maximize the safe, secure, and efficient
mobility of individuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public
transportation for elderly individuals and individuals with
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and
private enterprise requirements);
I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a
locally developed process to solicit and consider public comment before
raising a fare or implementing a major reduction of public
transportation; and
J. The Applicant certifies will operate vehicles purchased with
Federal assistance provided under the Clean Fuels Grant Program, 49
U.S.C. 5308 only with clean fuels.
17. Elderly Individuals and Individuals With Disabilities Formula Grant
Program and Pilot Program
Before FTA may award Elderly Individuals and Individuals with
Disabilities Formula Grant Program assistance and, if applicable,
Elderly Individuals and Individuals with Disabilities Pilot Program
assistance to a State, the U.S. Secretary of Transportation or his or
her designee is required to make the preaward determinations required
by 49 U.S.C. 5310. Because certain information is
[[Page 65021]]
needed before FTA can make those determinations, each State is
requested to provide the following certifications assurances on behalf
of itself and its subrecipients. Unless FTA determines otherwise in
writing, the State itself is ultimately responsible for compliance with
its certifications and assurances even though a subrecipient, lessee,
third party contractor, or other participant may participate in that
project. Consequently, in providing certifications and assurances that
involve the compliance of its prospective subrecipients, the State is
strongly encouraged to take the appropriate measures, including but not
limited to obtaining sufficient documentation from each subrecipient,
to assure the validity of all certifications and assurances the State
has made to FTA. A State that fails to provide these certifications and
assurances on behalf of itself and its subrecipients may be determined
ineligible for a grant of Federal assistance under 49 U.S.C. 5310 if
FTA lacks sufficient information from which to make those
determinations required by Federal laws and regulations governing the
Elderly Individuals and Individuals with Disabilities Formula Grant
Program and, if applicable, the Elderly Individuals and Individuals
with Disabilities Pilot Program authorized by 49 U.S.C. 5310 and
Section 3012 of SAFETEA-LU, respectively. The State is thus requested
to select Category ``(17).''
A. As required by 49 U.S.C. 5310(d), which makes the requirements
of 49 U.S.C. 5307 applicable to the Elderly Individuals and Individuals
with Disabilities Formula Grant Program to the extent that the Federal
Transit Administrator or his or her designee determines appropriate,
and 49 U.S.C. 5307(d)(1), the State or State organization serving as
the Applicant (State) and that administers, on behalf of the State, the
Elderly Individuals and Individuals with Disabilities Program
authorized by 49 U.S.C. 5310, and, if applicable, the Elderly
Individuals and Individuals with Disabilities Pilot Program authorized
by subsection 3012(b) of SAFETEA-LU, 49 U.S.C. 5310 note, certifies and
assures on behalf of itself and its subrecipients as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has
or will have the legal, financial, and technical capacity to carry out
its proposed program of projects, including the safety and security
aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has
or will have satisfactory continuing control over the use of project
equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will
adequately maintain the project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in
carrying out a procurement financed with Federal assistance authorized
under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU: (1) Will use
competitive procurement (as defined or approved by FTA), (2) will not
use exclusionary or discriminatory specifications in its procurements,
(3) will comply with applicable Buy America laws, and (4) will comply
with the general provisions for FTA assistance of 49 U.S.C. 5323 and
the third party procurement requirements of 49 U.S.C. 5325;
(5) The State has or will have available and will provide the
amount of funds required by 49 U.S.C. 5310(c), and if applicable by
section 3012(b)(3) and (4), for the local share, and that those funds
will be provided from approved non-Federal sources except as permitted
by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a) (requirements for public
transportation systems that maximize the safe, secure, and efficient
mobility of individuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public
transportation for elderly individuals and individuals with
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and
private enterprise requirements);
B. The State assures that each subrecipient either is recognized
under State law as a private nonprofit organization with the legal
capability to contract with the State to carry out the proposed
project, or is a public body that has met the statutory requirements to
receive Federal assistance authorized for 49 U.S.C. 5310.
C. The private nonprofit subrecipient's application for 49 U.S.C.
5310 assistance contains information from which the State concludes
that the transit service provided or offered to be provided by existing
public or private transit operators is unavailable, insufficient, or
inappropriate to meet the special needs of the elderly and persons with
disabilities.
D. In compliance with 49 U.S.C. 5310(d)(2)(A) and section
3012(b)(2), the State certifies that, before it transfers funds to a
project funded under 49 U.S.C. 5336, that project has been or will have
been coordinated with private nonprofit providers of services under 49
U.S.C. 5310;
E. In compliance with 49 U.S.C. 5310(d)(2)(C), the State certifies
that allocations to subrecipients of financial assistance authorized
under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU will be
distributed on a fair and equitable basis; and
F. In compliance with 49 U.S.C. 5310(d)(2)(B) and Subsection
3012(b)(2) of SAFETEA-LU, the State certifies that: (1) projects it has
selected or will select for assistance under that program were derived
from a locally developed, coordinated public transit-human services
transportation plan; and (2) the plan was developed through a process
that included representatives of public, private, and nonprofit
transportation and human services providers and participation by the
public.
18. Nonurbanized Area Formula Program for States
The provisions of 49 U.S.C. 5311 establishing the Nonurbanized Area
Formula Program for States do not impose, as a pre-condition of award,
any explicit certification or assurance requirements established
specifically for that program. Only a State or a State organization
acting as the Recipient on behalf of a State (State) may be a direct
recipient of this Nonurbanized Area Formula Program assistance.
Separate certifications and assurances have been established in
Category 22 for an Indian tribe that is an Applicant for Tribal Transit
Program assistance authorized by 49 U.S.C. 5311(c)(1).
Before FTA may award Nonurbanized Area Formula Program assistance
to a State, the U.S. Secretary of Transportation or his or her designee
is required to make the preaward determinations required by 49 U.S.C.
5311. Because certain information is needed before FTA can make those
determinations, each State is requested to provide the following
certifications and assurances on behalf of itself and its
subrecipients. Unless FTA determines otherwise in writing, the State
itself is ultimately responsible for compliance with its certifications
and assurances even though a subrecipient, lessee, third party
contractor, or other participant may participate in that project.
Consequently, in providing certifications and assurances that involve
the compliance of its prospective subrecipients, the State is strongly
encouraged to take the appropriate measures, including but not limited
to obtaining sufficient documentation from each subrecipient, to assure
the validity of all certifications
[[Page 65022]]
and assurances the State has made to FTA. A State that fails to provide
these certifications and assurances on behalf of itself and its
subrecipients may be determined ineligible for a grant of Federal
assistance under 49 U.S.C. 5311 if FTA lacks sufficient information
from which to make those determinations required by Federal laws and
regulations governing the Nonurbanized Area Formula Program authorized
by 49 U.S.C. 5311. The State is thus requested to select Category
``(18).''
The State or State organization serving as the Applicant and that
administers, on behalf of the State (State) the Nonurbanized Area
Formula Program for States authorized by 49 U.S.C. 5311, assures on
behalf of itself and its subrecipients as follows:
A. The State has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal
assistance authorized for 49 U.S.C. 5311; and to carry out each
project, including the safety and security aspects of that project;
B. The State has or will have satisfactory continuing control over
the use of project equipment and facilities;
C. The State assures that the project equipment and facilities will
be adequately maintained;
D. In compliance with 49 U.S.C. 5311(b)(2)(C)(i), the State's
program has provided for a fair distribution of Federal assistance
authorized for 49 U.S.C. 5311 within the State, including Indian
reservations within the State;
E. In compliance with 49 U.S.C. 5311(b)(2)(C)(ii), the State's
program provides or will provide the maximum feasible coordination of
public transportation service to receive assistance under 49 U.S.C.
5311 with transportation service assisted by other Federal sources;
F. The projects in the State's Nonurbanized Area Formula Program
are included in the Statewide Transportation Improvement Program and,
to the extent applicable, the projects are included in a metropolitan
Transportation Improvement Program;
G. The State has or will have available and will provide the amount
of funds required by 49 U.S.C. 5311(g) for the local share, and that
those funds will be provided from approved non-Federal sources except
as permitted by Federal law; and
H. In compliance with 49 U.S.C. 5311(f), the State will expend not
less than fifteen (15) percent of its Federal assistance authorized
under 49 U.S.C. 5311 to develop and support intercity bus
transportation within the State, unless the chief executive officer of
the State, or his or her designee, after consultation with affected
intercity bus service providers, certifies to the Federal Transit
Administrator, apart from these certifications and assurances herein,
that the intercity bus service needs of the State are being adequately
met.
19. Job Access and Reverse Commute Formula Grant Program
Each Applicant for Job Access and Reverse Commute (JARC) Formula
Grant Program assistance authorized under 49 U.S.C. 5316 is required to
provide the following certifications on behalf of itself and any
subrecipient that may be implementing its project. Unless FTA
determines otherwise in writing, the Applicant itself is ultimately
responsible for compliance with its certifications and assurances even
though a subrecipient, lessee, third party contractor, or other
participant may participate in that project. Consequently, in providing
certifications and assurances that involve the compliance of its
prospective subrecipients, the Applicant is strongly encouraged to take
the appropriate measures, including but not limited to obtaining
sufficient documentation from each subrecipient, to assure the validity
of all certifications and assurances the Applicant has made to FTA. FTA
may not award Federal assistance for the JARC Formula Grant Program
until the Applicant provides these certifications by selecting Category
``19.''
A. As required by 49 U.S.C. 5316(f)(1), which makes the
requirements of 49 U.S.C. 5307 applicable to Job Access and Reverse
Commute (JARC) formula grants, and 49 U.S.C. 5307(d)(1), the Applicant
for JARC Formula Program assistance authorized under 49 U.S.C. 5316,
certifies on behalf of itself and its subrecipients, if any, as
follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has
or will have the legal, financial, and technical capacity to carry out
its proposed program of projects, including the safety and security
aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has
or will have satisfactory continuing control over the use of project
equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will
adequately maintain the project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will
assure that any elderly individual, any individual with disabilities,
or any person presenting a Medicare card issued to himself or herself
pursuant to title II or title XVIII of the Social Security Act (42
U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for
transportation during non-peak hours using or involving a facility or
equipment of a project financed with Federal assistance authorized
under 49 U.S.C. 5316 not more than fifty (50) percent of the peak hour
fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in
carrying out a procurement financed with Federal assistance authorized
under 49 U.S.C. 5316: (1) Will use competitive procurement (as defined
or approved by FTA), (2) will not use exclusionary or discriminatory
specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement
requirements of 49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5316(f)(1) and 49 U.S.C.
5307(d)(1)(F), the Applicant certifies that (1) with respect to
financial assistance authorized under 49 U.S.C. 5316, it will conduct
in cooperation with the appropriate MPO an areawide solicitation for
applications, and make awards on a competitive basis and (2) with
respect to financial assistance authorized under 49 U.S.C. 5316, it
will conduct a statewide solicitation for applications, and make awards
on a competitive basis; and that these activities will be carried out
in a manner that complies with or will comply with 49 U.S.C. 5307(c);
(7) The Applicant has or will have available and will provide the
amount of funds required by 49 U.S.C. 5316(h) for the local share, and
that those funds will be provided from approved non-Federal sources
except as permitted by Federal law;
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a) (requirements for public
transportation systems that maximize the safe, secure, and efficient
mobility of individuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil);
and (2) 49 U.S.C. 5301(d) (special efforts to design and provide public
transportation for elderly individuals and individuals with
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and
private enterprise requirements).
B. In compliance with 49 U.S.C. 5316(d), the Applicant certifies
that (1) with respect to financial assistance authorized under 49
U.S.C. 5316(c)(1)(A), it will conduct in
[[Page 65023]]
cooperation with the appropriate MPO an areawide solicitation for
applications, and make awards on a competitive basis and (2) with
respect to financial assistance authorized under 49 U.S.C.
5316(c)(1)(B) or 49 U.S.C. 5316(c)(1)(C), it will conduct a statewide
solicitation for applications, and make awards on a competitive basis;
C. In compliance with 49 U.S.C. 5316(f)(2), the Applicant certifies
that any allocations to subrecipients of financial assistance
authorized under 49 U.S.C. 5316 will be distributed on a fair and
equitable basis;
D. In compliance with 49 U.S.C. 5316(g)(2), the Applicant certifies
that, before it transfers funds to a project funded under 49 U.S.C.
5336, that project has been or will have been coordinated with private
nonprofit providers of services;
E. In compliance with 49 U.S.C. 5316(g)(3), The Applicant certifies
that: (1) The projects it has selected or will select for assistance
under that program were derived from a locally developed, coordinated
public transit-human services transportation plan; and (2) the plan was
developed through a process that included representatives of public,
private, and nonprofit transportation and human services providers and
participation by the public; and
F. In compliance with 49 U.S.C. 5316(c)(3), before the Applicant
uses funding apportioned under 49 U.S.C. 5316(c)(1)(B) or (C) for
projects serving an area other than that specified in 49 U.S.C.
5316(2)(B) or (C), the Applicant certifies that the chief executive
officer of the State, or his or her designee will have certified to the
Federal Transit Administrator, apart from these certifications herein,
that all of the objectives of 49 U.S.C. 5316 are being met in the area
from which such funding would be derived.
20. New Freedom Program
Each Applicant for New Freedom Program assistance authorized under
49 U.S.C. 5317 must provide the following certifications on behalf of
itself and any subrecipient that may be implementing its project.
Unless FTA determines otherwise in writing, the Applicant itself is
ultimately responsible for compliance with its certifications and
assurances even though a subrecipient, lessee, third party contractor,
or other participant may participate in that project. Consequently, in
providing certifications and assurances that involve the compliance of
its prospective subrecipients, the Applicant is strongly encouraged to
take the appropriate measures, including but not 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
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and
private enterprise requirements);
B. In compliance with 49 U.S.C. 5317(d), the Applicant certifies
that (1) with respect to financial assistance authorized under 49
U.S.C. 5317(c)(1)(A), it will conduct in cooperation with the
appropriate MPO an areawide solicitation for applications, and make
awards on a competitive basis and (2) with respect to financial
assistance authorized under 49 U.S.C. 5317(c)(1)(B) or 49 U.S.C.
5317(c)(1)(C), it will conduct a statewide solicitation for
applications, and make awards on a competitive basis;
C. In compliance with 49 U.S.C. 5317(f)(2), the Applicant certifies
that, before it transfers funds to a project funded under 49 U.S.C.
5336, that project has been or will have been coordinated with private
nonprofit providers of services;
D. In compliance with 49 U.S.C. 5317(e)(2), the Applicant certifies
that any allocations to subrecipients of financial assistance
authorized under 49 U.S.C. 5317 will be distributed on a fair and
equitable basis; and
E. In compliance with 49 U.S.C. 5317(f)(3), the Applicant certifies
that: (1) projects it has selected or will select for assistance under
that program were derived from a locally developed, coordinated public
transit-human services transportation plan; and (2) the plan was
developed through a process that included representatives of public,
private, and nonprofit transportation and human services providers and
participation by the public.
21. Paul S. Sarbanes Transit in Parks Program
Each State, tribal area, or local government authority that is an
Applicant for Paul S. Sarbanes Transit in Parks Program assistance
(Applicant) authorized by 49 U.S.C. 5320, is required to provide the
following certifications. FTA may not award assistance for the Paul S.
Sarbanes Transit in Parks Program to the Applicant until the Applicant
provides these certifications by selecting Category ``21.''
A. As required by 49 U.S.C. 5320(i), which makes the requirements
of 49 U.S.C. 5307 applicable to the Paul S.
[[Page 65024]]
Sarbanes Transit in Parks Program to the extent the Federal Transit
Administrator or his or her designee determines appropriate, and 49
U.S.C. 5307(d)(1), the Applicant certifies as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has
or will have the legal, financial, and technical capacity to carry out
its proposed project, including the safety and security aspects of that
project;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has
or will have satisfactory continuing control over the use of project
equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will
adequately maintain the project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E) in carrying out a
procurement financed with Federal assistance authorized under 49 U.S.C.
5320, the Applicant: (1) will use competitive procurement (as defined
or approved by FTA), (2) will not use exclusionary or discriminatory
specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement
requirements of 49 U.S.C. 5325;
(5) In compliance with 49 U.S.C. 5307(d)(1)(F) and with 49 U.S.C.
5320(e)(2)(C), the Applicant has complied with or will comply with the
requirements of 49 U.S.C. 5307(c). Specifically, it: (1) Has made
available, or will make available, to the public information on the
amounts available for the Paul S. Sarbanes Transit in Parks Program, 49
U.S.C. 5320, and the projects it proposes to undertake; (2) has
developed or will develop, in consultation with interested parties
including private transportation providers, projects to be financed;
(3) has published or will publish a list of projects in a way that
affected citizens, private transportation providers, and local elected
officials have the opportunity to examine the proposed projects and
submit comments on the proposed projects and the performance of the
Applicant; (4) has provided or will provide an opportunity for a public
hearing to obtain the views of citizens on the proposed projects; (5)
has assured or will assure that the proposed projects provide for the
coordination of transportation services assisted under 49 U.S.C. 5336
with transportation services assisted by another Federal government
source; (6) has considered or will consider the comments and views
received, especially those of private transportation providers, in
preparing its final list of projects; and (7) has made or will make the
final list of projects available to the public;
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will
comply with: (1) 49 U.S.C. 5301(a) (requirements for public
transportation systems that maximize the safe, secure, and efficient
mobility of individuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public
transportation for elderly individuals and individuals with
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and
private enterprise requirements).
(7) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a
locally developed process to solicit and consider public comment before
raising a fare or implementing a major reduction of public
transportation.
B. In compliance with 49 U.S.C. 5320(e)(2)(A), (B), and (D), the
Applicant assures that it will:
(1) Comply with the metropolitan planning provisions of 49 U.S.C.
5303;
(2) Comply with the statewide planning provisions of 49 U.S.C.
5304; and
(3) Consult with the appropriate Federal land management agency
during the planning process.
22. Tribal Transit Program
Each Applicant for Tribal Transit Program assistance must provide
all certifications and assurances set forth below. Except to the extent
that FTA determines otherwise in writing, FTA may not award any Federal
assistance under the Tribal Transit Program until the Applicant
provides these certifications and assurances by selecting Category
``22.''
In accordance with 49 U.S.C. 5311(c)(1) that authorizes the
Secretary of Transportation to establish terms and conditions for
direct grants to Indian tribal governments, the Applicant certifies and
assures as follows:
A. The Applicant assures that:
(1) It has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal
assistance authorized for 49 U.S.C. 5311; and to carry out each
project, including the safety and security aspects of that project;
(2) It has or will have satisfactory continuing control over the
use of project equipment and facilities;
(3) The project equipment and facilities will be adequately
maintained; and
(4) Its project will achieve maximum feasible coordination with
transportation service assisted by other Federal sources.
B. In accordance with 49 CFR 18.36(g)(3)(ii), the Applicant
certifies that its procurement system will comply with the requirements
of 49 CFR 18.36, or will inform FTA promptly that its procurement
system does not comply with 49 CFR 18.36.
C. To the extent applicable to the Applicant or its Project, the
Applicant certifies that it will comply with the certifications,
assurances, and agreements in Category 08 (Bus Testing), Category 09
(Charter Bus Agreement), Category 10 (School Transportation Agreement),
Category 11 (Demand Responsive Service), Category 12 (Alcohol Misuse
and Prohibited Drug Use), and Category 14 (National Intelligent
Transportation Systems Architecture and Standards) of this document.
D. If its application exceeds $100,000, the Applicant agrees to
comply with the certification in Category 02 (Lobbying) of this
document.
23. Infrastructure Finance Projects
Each Applicant for Infrastructure Finance assistance authorized
under 23 U.S.C. chapter 6, is required to provide the following
certifications. FTA may not award Infrastructure Finance assistance to
the Applicant until the Applicant provides these certifications by
selecting Category ``23.''
A. As required by 49 U.S.C. 5323(o), which makes the requirements
of 49 U.S.C. 5307 applicable to Applicants seeking Infrastructure
Finance assistance authorized under 23 U.S.C. chapter 6, and by 49
U.S.C. 5307(d)(1), the Applicant certifies as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has
or will have the legal, financial, and technical capacity to carry out
its proposed program of projects, including the safety and security
aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has
or will have satisfactory continuing control over the use of project
equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will
adequately maintain the project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will
assure that any elderly individual, any individual with disabilities,
or any person presenting a Medicare card issued to himself or herself
pursuant to title II or title XVIII of the Social Security Act (42
U.S.C. 401 et seq. or 42
[[Page 65025]]
U.S.C. 1395 et seq.), will be charged for transportation during non-
peak hours using or involving a facility or equipment of a project
financed with Federal assistance authorized under 23 U.S.C. chapter 6,
not more than fifty (50) percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in
carrying out a procurement financed with Federal assistance authorized
under 23 U.S.C. chapter 6: (1) will use competitive procurement (as
defined or approved by FTA), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general
provisions for FTA assistance of 49 U.S.C. 5323 and the third party
procurement requirements of 49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has
complied with or will comply with the requirements of 49 U.S.C.
5307(c). Specifically, it: (1) Has made available, or will make
available, to the public information on the amounts available for
Infrastructure Finance assistance, 23 U.S.C. chapter 6, and the
projects it proposes to undertake; (2) has developed or will develop,
in consultation with interested parties including private
transportation providers, the proposed projects to be financed; (3) has
published or will publish a list of projects in a way that affected
citizens, private transportation providers, and local elected officials
have the opportunity to examine the proposed projects and submit
comments on the proposed projects and the performance of the Applicant;
(4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has assured
or will assure that the proposed projects provide for the coordination
of transportation services assisted under 49 U.S.C. 5336 with
transportation services assisted by another Federal government source;
(6) has considered or will consider the comments and views received,
especially those of private transportation providers, in preparing its
final list of projects; and (7) has made or will make the final list of
projects available to the public;
(7) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has
or will have available and will provide the amount of funds required
for the local share, and that those funds will be provided from
approved non-Federal sources except as permitted by Federal law;
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), (1) the Applicant
will comply with: 49 U.S.C. 5301(a) (requirements for public
transportation systems that maximize the safe, secure, and efficient
mobility of individuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public
transportation for elderly individuals and individuals with
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and
private enterprise requirements);
(9) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a
locally developed process to solicit and consider public comment before
raising a fare or implementing a major reduction of public
transportation;
(10) To the extent that the Applicant will be using funds
authorized under 49 U.S.C. 5307 for the project, in compliance with 49
U.S.C. 5307(d)(1)(J), each Federal fiscal year, the Applicant will
spend at least one (1) percent of those funds authorized under 49
U.S.C. 5307 for public transportation security projects (this includes
only capital projects in the case of a Applicant serving an urbanized
area with a population of 200,000 or more), unless the Applicant has
certified to FTA that such expenditures are not necessary. Public
transportation security projects include increased lighting in or
adjacent to a public transportation system (including bus stops, subway
stations, parking lots, and garages), increased camera surveillance of
an area in or adjacent to that system, emergency telephone line or
lines to contact law enforcement or security personnel in an area in or
adjacent to that system, and any other project intended to increase the
security and safety of an existing or planned public transportation;
and
(11) To the extent that the Applicant will be using funds
authorized under 49 U.S.C. 5307 for the project, in compliance with 49
U.S.C. 5309(d)(1)(K): (1) an Applicant that serves an urbanized area
with a population of at least 200,000 will expend not less than one (1)
percent of the amount it receives each Federal fiscal year under 49
U.S.C. 5307 for transit enhancements, as defined at 49 U.S.C. 5302(a),
and (2) if it has received transit enhancement funds authorized by 49
U.S.C. 5307(k)(1), its quarterly report for the fourth quarter of the
preceding Federal fiscal year includes a list of the projects it has
implemented during that Federal fiscal year using those funds, and that
report is incorporated by reference and made part of its certifications
and assurances.
B. As required by 49 U.S.C. 5323(o), which makes the requirements
of 49 U.S.C. 5309 applicable to Applicants seeking Infrastructure
Finance assistance authorized under 23 U.S.C. chapter 6, and by 49
U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and 5309(i)(2)(C), the
Applicant certifies that it will not seek reimbursement for interest
and other financing costs incurred in connection with the Project
unless it is eligible to receive Federal assistance for those expenses
and its records demonstrate that it has used reasonable diligence in
seeking the most favorable financing terms underlying those costs, to
the extent FTA may require.
24. Deposits of Federal Financial Assistance to State Infrastructure
Banks
The State organization that administers the State Infrastructure
Bank (SIB) Program on behalf of a State (State) and that is also an
Applicant for Federal assistance authorized under 49 U.S.C. chapter 53
that it intends to deposit in its SIB is requested to provide the
following assurances on behalf of itself, its SIB, and each
subrecipient. Unless FTA determines otherwise in writing, the State
itself is ultimately responsible for compliance with its certifications
and assurances even though the SIB and a subrecipient may participate
in that project. Consequently, in providing certifications and
assurances that involve the compliance of its SIB and prospective
subrecipients, the State is strongly encouraged to take the appropriate
measures, including but not limited to obtaining sufficient
documentation from the SIB and each subrecipient, to assure the
validity of all certifications and assurances the State has made to
FTA. FTA may not award Federal assistance for the SIB Program to the
State until the State provides these assurances by selecting Category
``24.''
The State organization, serving as the Applicant (State) for
Federal assistance for its State Infrastructure Bank (SIB) Program
authorized by section 1602 of SAFETEA-LU, now codified at 23 U.S.C.
610, or by section 1511 of TEA-21, 23 U.S.C. 181 note, or by section
350 of the National Highway System Designation Act of 1995, as amended,
23 U.S.C. 181 note, agrees and assures the agreement of its SIB and the
agreement of each recipient of Federal assistance derived from the SIB
within the State (subrecipient) that each public transportation project
financed with
[[Page 65026]]
Federal assistance derived from SIB will be administered in accordance
with:
A. Applicable provisions of section 1602 of SAFETEA-LU, now
codified at 23 U.S.C. 610, or by section 1511 of TEA-21, 23 U.S.C. 181
note, or by section 350 of the National Highway System Designation Act
of 1995, as amended, 23 U.S.C. 181;
B. The provisions of the FHWA, FRA, and FTA or the FHWA and FTA
cooperative agreement with the State to establish the State's SIB
Program; and
C. The provisions of the FTA grant agreement with the State that
provides 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 any applicable Federal guidance that may be
issued as it may be amended from time-to-time, unless FTA has provided
written approval of an alternative procedure or course of action.
Selection and Signature Page(s) follow.
BILLING CODE 4910-57-P
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[FR Doc. E8-26030 Filed 10-30-08; 8:45 am]
BILLING CODE 4910-57-C