[Federal Register Volume 75, Number 211 (Tuesday, November 2, 2010)]
[Notices]
[Pages 67433-67450]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-27563]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2011 Annual List of Certifications and
Assurances for Federal Transit Administration Grants and Cooperative
Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice.
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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 applicable to the various Federal
assistance programs that FTA will administer during Federal FY 2011.
FTA's Certifications and Assurances for Federal FY 2011 reflect Federal
statutory, regulatory, and programmatic changes that have now become
effective.
DATES: Effective Date: These FTA Certifications and Assurances are
effective on October 1, 2010, the first day of Federal FY 2011.
FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate FTA
Regional Office or FTA Metropolitan Office listed herein. For copies of
other related documents and information, see the FTA Web site at 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, Maryland, Pennsylvania, Virginia, and West
Virginia. Telephone 215-656-7100.
Region 4: Atlanta
States served: Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, South Carolina, Tennessee, Territories served: Puerto
Rico and the U.S. Virgin Islands. Telephone 404-865-5600.
Region 5: Chicago
States served: Illinois, Indiana, Michigan, Minnesota, Ohio, and
Wisconsin. Telephone 312-353-2789.
Region 6: Dallas/Ft. Worth
States served: Arkansas, Louisiana, New Mexico, Oklahoma, and
Texas. Telephone 817-978-0550.
Region 7: Kansas City
States served: Iowa, Kansas, Missouri, and Nebraska. Telephone
816-329-3920.
Region 8: Denver
States served: Colorado, Montana, North Dakota, South Dakota, Utah,
and Wyoming. Telephone 720-963-3300.
Region 9: San Francisco
States served: Arizona, California, Hawaii, Nevada, Territories
served: Guam, American Samoa, and the Northern Mariana Islands.
Telephone 415-744-3133.
Region 10: Seattle
States served: Alaska, Idaho, Oregon, and Washington. Telephone
206-220-7954.
Chicago Metropolitan Office
Area served: Chicago Metropolitan Area. Telephone 312-
886-1616.
Los Angeles Metropolitan Office
Area served: Los Angeles Metropolitan Area. Telephone
213-202-3950.
Lower Manhattan Recovery Office
Area served: Lower Manhattan. Telephone 212-668-1770.
New York Metropolitan Office
Area served: New York Metropolitan Area. Telephone 212-
668-2201.
Philadelphia Metropolitan Office
Area served: Philadelphia Metropolitan Area. Telephone
215-656-7070.
Washington DC Metropolitan Office
Area served: Washington DC Metropolitan Area. Telephone
202-219-3562/219-3565.
SUPPLEMENTARY INFORMATION:
1. Purposes
The purposes of this Notice are to:
Publish FTA's Federal FY 2011 Certifications and
Assurances for Applicants for Federal assistance administered by FTA
and the Projects for which they seek Federal assistance awarded by FTA.
Highlight the changes within the new FTA Certifications
and Assurances for Federal FY 2011 now in effect.
Identify locations where these FTA Certifications and
Assurances may be viewed, and
Provide directions for submitting these FTA Certifications
and Assurances for Federal FY 2011 to FTA.
2. Background
a. FTA's Responsibilities. Since Federal FY 1995, FTA has been
consolidating the various certifications and assurances that may be
required of its Applicants and their projects into a single document
for publication in the Federal Register. FTA intends to continue
publishing this document annually, when feasible in conjunction with
its publication of the FTA annual apportionment notice, which sets
forth the allocations of funds made available by the latest U.S.
Department of Transportation (U.S. DOT) annual appropriations act.
Because U.S. DOT's full-year appropriations for Federal FY 2011 were
not signed into law on
[[Page 67434]]
October 1, 2010 (the first day of Federal FY 2011), and have not yet
been signed into law, FTA is proceeding with publication of its
Certifications and Assurances for Federal FY 2011.
b. Applicant's Responsibilities. Irrespective of whether a project
will be financed under the authority of 49 U.S.C. chapter 53, Title 23,
United States Code, or another Federal statute, the Applicant must
submit Federal FY 2011 Certifications and Assurances to FTA applicable
to all projects for which the Applicant seeks funding from FTA during
Federal FY 2011.
FTA requests that an Applicant submit all of the twenty-four (24)
categories of the Certifications and Assurances that may be needed for
all projects for which the Applicant intends to or might seek Federal
assistance in the Federal FY 2011. Selecting and submitting these
Certifications and Assurances to FTA signifies the Applicant's intent
and ability to comply with all applicable provisions thereof.
In order to assure FTA that the Applicant is authorized under State
and local law to certify compliance with the FTA Certifications and
Assurances it has selected, FTA requires the Applicant to obtain a
current (Federal FY 2011) affirmation signed by the Applicant's
attorney affirming the legal authority of the Applicant to certify its
compliance with the FTA Certifications and Assurances that the
Applicant has selected. The Applicant's attorney must sign this
affirmation during Federal FY 2011. Irrespective of whether the
Applicant makes a single selection of all twenty-four (24) categories
of FTA Certifications and Assurances or selects individual categories
from the FTA Certifications and Assurances, the Affirmation of
Applicant's Attorney from a previous Federal FY is not acceptable,
unless FTA expressly determines otherwise in writing.
c. Effect of Subrecipient Participation. Absent a written
determination by FTA to the contrary, the Applicant itself is
ultimately responsible for compliance with the FTA Certifications and
Assurances it has selected even though the Project may be carried out
in whole or in part by one or more subrecipients. Thus, if
subrecipients will be participating in the Project, when the Applicant
submits its FTA Certifications and Assurances, the Applicant is also
signifying that it will be responsible for compliance, both by itself
and by each of its subrecipients, with the provisions of the FTA
Certifications and Assurances it has selected. Therefore, in providing
Certifications and Assurances that necessarily involve the compliance
of any prospective subrecipient, FTA strongly recommends that the
Applicant take appropriate measures, including but not limited to
obtaining sufficient documentation from each subrecipient participating
in the project, to assure the validity of the Applicant's
Certifications and Assurances to FTA.
3. Significant Information about FTA's Certifications and Assurances
for Federal FY 2011
a. Legal Implications.
(1) Binding Commitments. Because the Applicant is required by
Federal law and Federal regulations to comply with the applicable
provisions of all FTA Certifications and Assurances it submits, it is
important that the Applicant be familiar with the provisions of all
twenty-four (24) categories of FTA Certifications and Assurances for
Federal FY 2011. The text of those Certifications and Assurances is
contained in Appendix A of this Notice, and also appears at http://www.fta.dot.gov/documents/2011-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 2011.
An Applicant's annual Certifications and Assurances to FTA
generally remain in effect for either the duration of the Grant or
Cooperative Agreement supporting the Project until the Project is
closed out or for the duration of the Project or Project property when
a useful life or industry standard is in effect, whichever occurs
later. If, however, the Applicant provides Certifications and
Assurances to FTA in a later year that differ from the Certifications
and Assurances previously provided, the later Certifications and
Assurances will apply to the Grant, Cooperative Agreement, Project, or
Project property, except to the extent FTA permits otherwise in
writing.
(2) Penalties for Noncompliance. If the Applicant makes a false,
fictitious, or fraudulent claim, statement, submission, certification,
assurance, or representation to the Federal government or includes a
false, fictitious, or fraudulent statement or representation in any
agreement with the Federal government in connection with a Project
authorized under 49 U.S.C. chapter 53 or any other Federal law, the
Federal government reserves the right to impose on the Applicant the
penalties of the Program Fraud Civil Remedies Act of 1986, as amended,
31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations,
``Program Fraud Civil Remedies,'' 49 CFR part 31, or the penalties of
49 U.S.C. 5323(l) invoking the criminal provisions of 18 U.S.C. 1001,
or other applicable Federal law to the extent the Federal government
deems appropriate.
(3) FTA's Certifications and Assurances Constitute Only a Partial
List of Federal Requirements. FTA cautions that the FTA Certifications
and Assurances required by Federal law and regulations do not address
all the Federal requirements that will apply to the Applicant and its
Project. FTA's Certifications and Assurances are generally pre-award
requirements, i.e., those requirements of Federal law and regulations
that the Applicant must fulfill before FTA is legally authorized to
award Federal financial assistance to an Applicant.
(4) Other Federal Requirements. Because FTA's Certifications and
Assurances do not encompass all Federal requirements that will apply to
the Applicant and its Project, FTA strongly encourages the Applicant to
review the Federal authorizing legislation, regulations, and directives
pertaining to the program or programs for which the Applicant seeks
Federal assistance. The FTA Master Agreement for Federal FY 2011 at
http://www.fta.dot.gov/documents/17-Master.pdf identifies a substantial
number of those Federal laws, regulations, and directives that apply to
Applicants and their various projects.
b. Importance of FTA's Certifications and Assurances for Federal FY
2011. Following publication of these Certifications and Assurances, FTA
may not award Federal financial assistance through a Federal Grant or
Cooperative Agreement until the Applicant submits all of the FTA
Certifications and Assurances for Federal FY 2011 pertaining to itself
and its project as required by Federal laws and regulations. The
Applicant's Certifications and Assurances for Federal FY 2011 will be
applicable to all projects for which it seeks Federal assistance during
Federal FY 2011 and through the next Federal FY until FTA issues its
annual Certifications and Assurances for Federal FY 2012.
c. Federal FY 2011 Changes. Apart from minor editorial revisions,
significant matters concerning FTA's
[[Page 67435]]
Certifications and Assurances include the following:
(1) In the Introductory paragraphs preceding the text of FTA's
Certifications and Assurances, the FTA Web site for the FTA Master
Agreement for Federal FY 2011 is identified as http://www.fta.dot.gov/documents/17-Master.pdf.
(2) Certification (01), Subsection ``B'' has been revised to add a
statement emphasizing that the FTA Master Agreement has always been
incorporated by reference and made part of the FTA grant agreement and
cooperative agreement and that the Applicant is certifying that it will
comply with the edition of the FTA Master Agreement incorporated by
reference and made part of the latest amendment to its grant agreement
or cooperative agreement, as specified within that agreement.
(3) A new Subsection ``F'' has been added to Certification (01),
reinstating the Government-wide ``Suspension and Debarment''
certification. Due to serious concerns expressed by the Government
Accountability Office, the U.S. DOT Inspector General, and U.S. DOT
officials, FTA considers it prudent to re-emphasize the importance of
each Applicant identifying its status to FTA with respect to its
eligibility for award of any FTA grant, loan (including a line of
credit), cooperative agreement, loan guarantee, or loan insurance, or
the extension, continuation, renewal, amendment, or modification of any
Federal grant, loan (including a line of credit), cooperative
agreement, loan guarantee, or loan insurance. Former Subsection ``F''
of Certification (01) has been re-numbered Subsection ``G.''
(4) The text of Certification (02), ``Lobbying Certification,'' has
been revised to substitute the current title of OMB's Standard Form-
LLL, ``Disclosure Form to Report Lobbying,'' currently in use.
d. When to Submit. All Applicants for FTA formula program or
capital program assistance, and current FTA Grantees with an active
project financed with FTA formula program or capital program
assistance, are expected to provide their FTA Certifications and
Assurances for Federal FY 2011 within 90 days from the date of this
publication or as soon as feasible after their first application for
Federal assistance authorized or made available for Federal FY 2011,
whichever is earlier. In addition, FTA encourages Applicants seeking
Federal assistance for other projects to submit their FTA
Certifications and Assurances to FTA as soon as possible to expedite
awards of FTA assistance.
4. Ways to Submit FTA'S Certifications and Assurances
As further explained, FTA will accept an Applicant's Certifications
and Assurances submitted either in TEAM-Web at 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
2011.
For more information, the Applicant may contact the appropriate FTA
Regional Office or Metropolitan Office listed in this Notice or the
TEAM-Web Helpdesk.
b. Paper Submission. Only if the Applicant is unable to submit its
FTA Certifications and Assurances in TEAM-Web may the Applicant submit
its FTA Certifications and Assurances on paper.
If an Applicant is unable to submit its FTA Certifications and
Assurances electronically, it must mark the categories of FTA
Certifications and Assurances it is making on the Signature Page(s) in
Appendix A of this Notice and submit them to FTA. The Applicant may
signify compliance with all categories by placing a single mark in the
appropriate space or select the categories applicable to itself and its
projects.
The Applicant must enter its signature on the Signature Page(s) and
must provide an Affirmation of Applicant's Attorney pertaining to the
Applicant's legal capacity to make and comply with the Certifications
and Assurances the Applicant has selected. The Applicant may enter its
signature in lieu of its Attorney's signature in the Affirmation of
Applicant's Attorney section of the Signature Page(s), provided that
the Applicant has on file the Affirmation of Applicant's Attorney as
set forth in Appendix A of this Notice, written and signed by the
attorney and dated in Federal FY 2011.
For more information, the Applicant may contact the appropriate FTA
Regional Office or Metropolitan Office listed in this Notice.
Authority: 49 U.S.C. chapter 53; the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA-LU), as amended by the SAFETEA-LU Technical Corrections
Act, 2008, Pub. L. 110-244, June 6, 2008; Title 23, United States
Code (Highways); other Federal laws administered by FTA; U.S. DOT
and FTA regulations at Title 49, Code of Federal Regulations; and
FTA Circulars.
Issued in Washington, DC this 26th day of October 2010.
Peter M. Rogoff,
Administrator.
FEDERAL FISCAL YEAR 2011 CERTIFICATIONS AND ASSURANCES FOR FEDERAL
TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
PREFACE
In accordance with 49 U.S.C. 5323(n), the following
certifications and assurances have been compiled for Federal Transit
Administration (FTA) assistance programs. FTA requests each
Applicant to provide as many certifications and assurances as needed
for all programs for which the Applicant intends to seek FTA
assistance during Federal Fiscal Year 2011. Category 01 applies to
all Applicants. Category 02 applies to all applications for Federal
assistance in excess of $100,000. Categories 03 through 24 will
apply to and be required for some, but not all, Applicants and
projects. An Applicant may select a single certification that will
cover all the programs for which it anticipates submitting an
application. FTA requests each Applicant to read each certification
and assurance carefully and select all certifications and assurances
that may apply to the programs for which it expects to seek Federal
assistance.
FTA and the Applicant understand and agree that not every
provision of these certifications and assurances will apply to every
Applicant or every project for which FTA provides Federal financial
assistance through a Grant Agreement or Cooperative
[[Page 67436]]
Agreement. The type of project and the section of the statute
authorizing Federal financial assistance for the project will
determine which provisions apply. The terms of these certifications
and assurances reflect applicable requirements of FTA's enabling
legislation currently in effect.
The Applicant also understands and agrees that these
certifications and assurances are special pre-award requirements
specifically prescribed by Federal law or regulation and do not
encompass all Federal laws, regulations, and directives that may
apply to the Applicant or its project. A comprehensive list of those
Federal laws, regulations, and directives is contained in the FTA
Master Agreement MA(17) for Federal Fiscal Year 2011 at the FTA Web
site http://www.fta.dot.gov/documents/17-Master.pdf. The
certifications and assurances in this document have been streamlined
to remove most provisions not covered by statutory or regulatory
certification or assurance requirements.
Because many requirements of these certifications and assurances
will require the compliance of the subrecipient of an Applicant, we
strongly recommend that each Applicant, including a State, that will
be implementing projects through one or more subrecipients, secure
sufficient documentation from each subrecipient to assure
compliance, not only with these certifications and assurances, but
also with the terms of the Grant Agreement or Cooperative Agreement
for the project, and the applicable Master Agreement for its
project, if applicable, incorporated therein by reference. Each
Applicant is ultimately responsible for compliance with the
provisions of the certifications and assurances applicable to itself
or its project irrespective of participation in the project by any
subrecipient. The Applicant understands and agrees that when it
applies for FTA assistance on behalf of a consortium, joint venture,
partnership, or team, each member of that consortium, joint venture,
partnership, or team is responsible for compliance with the
certifications and assurances the Applicant selects.
FTA strongly encourages each Applicant to submit its
certifications and assurances through TEAM-Web, FTA's electronic
award and management system, at 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 FTA grant agreement or cooperative
agreement, including the FTA Master Agreement that is incorporated
by reference and made part of the latest amendment to its grant
agreement or cooperative agreement with FTA issued for its project.
The Applicant recognizes that Federal laws and regulations may be
modified from time to time and those modifications may affect
project implementation. The Applicant understands that Presidential
executive orders and Federal directives, including Federal policies
and program guidance may be issued concerning matters affecting the
Applicant or its project. The Applicant agrees that the most recent
Federal laws, regulations, and directives will apply to the project,
unless FTA issues a written determination otherwise.
C. Intergovernmental Review Assurance
Except if the Applicant is an Indian Tribal government seeking
assistance authorized by 49 U.S.C. 5311(c)(1), the Applicant assures
that each application for Federal assistance it submits to FTA has
been submitted or will be submitted for intergovernmental review to
the appropriate State and local agencies as determined by the State.
Specifically, the Applicant assures that it has fulfilled or will
fulfill the obligations imposed on FTA by U.S. Department of
Transportation (U.S. DOT) regulations, ``Intergovernmental Review of
Department of Transportation Programs and Activities,'' 49 CFR part
17. This assurance does not apply to Applicants for Federal
assistance under FTA's Tribal Transit Program, 49 U.S.C. 5311(c)(1).
D. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on
the basis of race, color, creed, national origin, sex, or age, and
prohibits discrimination in employment or business opportunity), by
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000d, and by U.S. DOT regulations, ``Nondiscrimination in
Federally-Assisted Programs of the Department of Transportation--
Effectuation of Title VI of the Civil Rights Act,'' 49 CFR part 21
at 21.7, the Applicant assures that it will comply with all
requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42
U.S.C. 2000d, and 49 CFR part 21, so that no person in the United
States, on the basis of race, color, national origin, creed, sex, or
age will be excluded from participation in, be denied the benefits
of, or otherwise be subjected to discrimination in any program or
activity (particularly in the level and quality of transportation
services and transportation-related benefits) for which the
Applicant receives Federal assistance awarded by the U.S. DOT or
FTA.
Specifically, during the period in which Federal assistance is
extended to the project, or project property is used for a purpose
for which the Federal assistance is extended or for another purpose
involving the provision of similar services or benefits, or as long
as the Applicant retains ownership or possession of the project
property, whichever is longer, the Applicant assures that:
(1) Each project will be conducted, property acquisitions will
be undertaken, and project facilities will be operated in accordance
with all applicable requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d,
and 49 CFR part 21, and understands that this assurance extends to
its entire facility and to facilities operated in connection with
the project;
(2) It will promptly take the necessary actions to effectuate
this assurance, including notifying the public that complaints of
discrimination in the provision of transportation-related services
or benefits may be filed with U.S. DOT or FTA. Upon request by U.S.
DOT or FTA, the Applicant assures that it will submit the required
information pertaining to its compliance with these provisions;
(3) It will include in each subagreement, property transfer
agreement, third party contract, third party subcontract, or
participation agreement adequate provisions to extend the
requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42
U.S.C. 2000d and 49 CFR part 21 to other parties involved therein
including any subrecipient, transferee, third party contractor,
third party subcontractor at any level, successor in interest, or
any other participant in the project;
(4) Should it transfer real property, structures, or
improvements financed with Federal assistance provided by FTA to
another party, any deeds and instruments recording the transfer of
that property shall contain a covenant running with the land
assuring nondiscrimination for the period during which the property
is used for a purpose for which the Federal assistance is extended
or for another purpose involving the provision of similar services
or benefits;
(5) The United States has a right to seek judicial enforcement
with regard to any matter arising under Title VI of the Civil Rights
Act, U.S. DOT implementing regulations, and this assurance; and
[[Page 67437]]
(6) It will make any changes in its Title VI implementing
procedures as U.S. DOT or FTA may request to achieve compliance with
the requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42
U.S.C. 2000d, and 49 CFR part 21.
E. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, ``Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or Benefiting
from Federal Financial Assistance,'' at 49 CFR 27.9, the Applicant
assures that, as a condition to the approval or extension of any
Federal assistance awarded by FTA to construct any facility, obtain
any rolling stock or other equipment, undertake studies, conduct
research, or to participate in or obtain any benefit from any
program administered by FTA, no otherwise qualified person with a
disability shall be, solely by reason of that disability, excluded
from participation in, denied the benefits of, or otherwise
subjected to discrimination in any program or activity receiving or
benefiting from Federal assistance administered by the FTA or any
entity within U.S. DOT. The Applicant assures that project
implementation and operations so assisted will comply with all
applicable requirements of U.S. DOT regulations implementing the
Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq., and
the Americans with Disabilities Act of 1990, as amended, 42 U.S.C.
12101 et seq., and implementing U.S. DOT regulations at 49 CFR parts
27, 37, and 38, and any other applicable Federal laws that may be
enacted or Federal regulations that may be promulgated.
F. Suspension and Debarment
In accordance with the terms of U.S. DOT regulations,
``Nonprocurement Suspension and Debarment,'' 2 CFR Part 1200, which
adopts and supplements the provisions of U.S. Office of Management
and Budget (U.S. OMB) ``Guidelines to Agencies on Governmentwide
Debarment and Suspension (Nonprocurement),'' 2 CFR Part 180:
(1) The Applicant (Primary Participant) certifies to the best of
its knowledge and belief, that it and its principals, including its
first tier subrecipients:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded or
disqualified from covered transactions by any Federal department or
agency;
(b) Have not within a three-year period preceding its latest
application or proposal been convicted of or had a civil judgment
rendered against any of them for commission of fraud or a criminal
offense in connection with obtaining, attempting to obtain, or
performing a public (Federal, State, or local) transaction, or
contract under a public transaction; violation of any Federal or
State antitrust statute; or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making
any false statement, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State, or local)
with commission of any of the offenses listed in subparagraph (1)(b)
of this certification;
(d) Have not within a three-year period preceding this
certification had one or more public transactions (Federal, State,
or local) terminated for cause or default.
(2) The Applicant (Primary Participant) certifies that it and
its principals, including its first tier subrecipients, will treat
each lower tier contract or lower tier subcontract under the Project
that (a) equals or exceeds $25,000, (b) is for audit services, or
(3) requires the consent of a Federal official, as a covered
contract for purposes of 2 CFR Part 1200 and 2 CFR Part 180, and
will otherwise comply with the Federal requirements of 2 CFR Part
1200 and 2 CFR Part 180, and will assure that each lower tier
participant involved in the Project is not presently debarred,
suspended, proposed for debarment, declared ineligible, or
voluntarily excluded or disqualified from participation in this
transaction by any Federal department or agency;
(3) The Applicant (Primary Participant) certifies that if,
later, it or its principals, including any of its first tier
subrecipients, become aware of any information contradicting the
statements of subparagraphs (1)(a) through (d) above, it will
promptly provide any necessary information to FTA;
(4) If the Applicant (Primary Participant) or any of its
principals, including any of its first tier subrecipients or lower
tier participants, is unable to certify to the statements within
paragraphs (1), (2), and (3) above, the Applicant shall indicate so
on its Signature Page or a Page attached in FTA's TEAM system
providing a written explanation to FTA.
G. U.S. OMB Assurances
Consistent with U.S. OMB assurances set forth in SF-424B and SF-
424D, the Applicant assures that, with respect to itself or its
project, the Applicant:
(1) Has the legal authority to apply for Federal assistance and
the institutional, managerial, and financial capability (including
funds sufficient to pay the non-Federal share of project cost) to
assure proper planning, management, and completion of the project
described in its application;
(2) Will give FTA, the Comptroller General of the United States,
and, if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives;
(3) Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest or
personal gain;
(4) Will initiate and complete the work within the applicable
project time periods following receipt of FTA approval;
(5) Will comply with all applicable Federal statutes relating to
nondiscrimination including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which
prohibits discrimination on the basis of race, color, or national
origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20
U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT
regulations, ``Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance,'' 49
CFR part 25, which prohibit discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, which prohibits discrimination on the basis of
disability;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 through 6107, which prohibits discrimination on the basis of
age;
(e) The Drug Abuse Office and Treatment Act of 1972, as amended,
21 U.S.C. 1101 et seq., relating to nondiscrimination on the basis
of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention
Act of 1970, as amended, 42 U.S.C. 4541 et seq. relating to
nondiscrimination on the basis of alcohol abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C.
290dd through 290dd-2., relating to confidentiality of alcohol and
drug abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq.,
relating to nondiscrimination in the sale, rental, or financing of
housing; and
(i) Any other nondiscrimination statute(s) that may apply to the
project;
(6) To the extent applicable, will comply with, or has complied
with, the requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq.,
which, among other things, provide for fair and equitable treatment
of persons displaced or persons whose property is acquired as a
result of Federally assisted programs. These requirements apply to
all interests in real property acquired for project purposes and
displacement caused by the project regardless of Federal
participation in any purchase. As required by sections 210 and 305
of the Uniform Relocation Act, 42 U.S.C. 4630 and 4655, and by U.S.
DOT regulations, ``Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR
24.4, the Applicant assures that it has the requisite authority
under applicable State and local law to comply with the requirements
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT
regulations, ``Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR
part 24, and will comply with that Act or has complied with that Act
and those implementing regulations, including but not limited to the
following:
(a) The Applicant will adequately inform each affected person of
the benefits, policies, and procedures provided for in 49 CFR part
24;
(b) The Applicant will provide fair and reasonable relocation
payments and assistance as required by 42 U.S.C. 4622, 4623, and
4624; 49 CFR part 24; and any applicable FTA procedures, to or for
families, individuals, partnerships, corporations, or
[[Page 67438]]
associations displaced as a result of any project financed with FTA
assistance;
(c) The Applicant will provide relocation assistance programs
offering the services described in 42 U.S.C. 4625 to such displaced
families, individuals, partnerships, corporations, or associations
in the manner provided in 49 CFR part 24;
(d) Within a reasonable time before displacement, the Applicant
will make available comparable replacement dwellings to displaced
families and individuals as required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such
manner as to provide displaced persons with uniform and consistent
services, and will make available replacement housing in the same
range of choices with respect to such housing to all displaced
persons regardless of race, color, religion, or national origin;
(f) In acquiring real property, the Applicant will be guided to
the greatest extent practicable under State law, by the real
property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for
their necessary expenses as specified in 42 U.S.C. 4653 and 4654,
with the understanding that FTA will provide Federal financial
assistance for the Applicant's eligible costs of providing payments
for those expenses, as required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party
contracts and subagreements financed with FTA assistance and
execute, furnish, and be bound by such additional documents as FTA
may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or
incorporate them by reference into any third party contract or
subagreement, or any amendments thereto, relating to any project
financed by FTA involving relocation or land acquisition and provide
in any affected document that these relocation and land acquisition
provisions shall supersede any conflicting provisions;
(7) To the extent applicable, will comply with the Davis-Bacon
Act, as amended, 40 U.S.C. 3141 et seq., the Copeland ``Anti-
Kickback'' Act, as amended, at 18 U.S.C. 874, and at 40 U.S.C. 3145,
and the Contract Work Hours and Safety Standards Act, as amended, 40
U.S.C. 3701 et seq., regarding labor standards for Federally
assisted projects;
(8) To the extent applicable, will comply with the flood
insurance purchase requirements of section 102(a) of the Flood
Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a),
requiring the Applicant and its subrecipients in a special flood
hazard area to participate in the program and purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more;
(9) To the extent applicable, will comply with the Lead-Based
Paint Poisoning Prevention Act, 42 U.S.C. 4831(b), which prohibits
the use of lead-based paint in the construction or rehabilitation of
residence structures;
(10) To the extent applicable, will not dispose of, modify the
use of, or change the terms of the real property title or other
interest in the site and facilities on which a construction project
supported with FTA assistance takes place without permission and
instructions from FTA;
(11) To the extent required by FTA, will record the Federal
interest in the title of real property, and will include a covenant
in the title of real property acquired in whole or in part with
Federal assistance funds to assure nondiscrimination during the
useful life of the project;
(12) To the extent applicable, will comply with FTA provisions
concerning the drafting, review, and approval of construction plans
and specifications of any construction project supported with FTA
assistance. As required by U.S. DOT regulations, ``Seismic Safety,''
49 CFR 41.117(d), before accepting delivery of any building financed
with FTA assistance, it will obtain a certificate of compliance with
the seismic design and construction requirements of 49 CFR part 41;
(13) To the extent applicable, will provide and maintain
competent and adequate engineering supervision at the construction
site of any project supported with FTA assistance to assure that the
complete work conforms with the approved plans and specifications,
and will furnish progress reports and such other information as may
be required by FTA or the State;
(14) To the extent applicable, will comply with any applicable
environmental standards that may be prescribed to implement the
following Federal laws and executive orders:
(a) Institution of environmental quality control measures under
the National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321 through 4335 and Executive Order No. 11514, as amended, 42
U.S.C. 4321 note;
(b) Notification of violating facilities pursuant to Executive
Order No. 11738, 42 U.S.C. 7606 note;
(c) Protection of wetlands pursuant to Executive Order No.
11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance
with Executive Order No. 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved State
management program developed pursuant to the requirements of the
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451
through 1465;
(f) Conformity of Federal actions to State (Clean Air)
Implementation Plans under section 176(c) of the Clean Air Act of
1955, as amended, 42 U.S.C. 7401 through 7671q;
(g) Protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f
through 300j-6;
(h) Protection of endangered species under the Endangered
Species Act of 1973, as amended, 16 U.S.C. 1531 through 1544; and
(i) Environmental protections for Federal transportation
programs, including, but not limited to, protections for parks,
recreation areas, or wildlife or waterfowl refuges of national,
State, or local significance or any land from a historic site of
national, State, or local significance to be used in a
transportation project as required by 49 U.S.C. 303(b) and 303(c);
(j) Protection of the components of the national wild and scenic
rivers systems, as required under the Wild and Scenic Rivers Act of
1968, as amended, 16 U.S.C. 1271 through 1287; and
(k) Provision of assistance to FTA in complying with section 106
of the National Historic Preservation Act of 1966, as amended, 16
U.S.C. 470f; with the Archaeological and Historic Preservation Act
of 1974, as amended, 16 U.S.C. 469 through 469c; and with Executive
Order No. 11593 (identification and protection of historic
properties), 16 U.S.C. 470 note;
(15) To the extent applicable, will comply with the requirements
of the Hatch Act, 5 U.S.C. 1501 through 1508 and 7324 through 7326,
which limit the political activities of State and local agencies and
their officers and employees whose primary employment activities are
financed in whole or part with Federal funds including a Federal
loan, grant agreement, or cooperative agreement except, in
accordance with 49 U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), the Hatch
Act does not apply to a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing
related functions) receiving FTA assistance to whom that Act does
not otherwise apply;
(16) To the extent applicable, will comply with the National
Research Act, Pub. L. 93-348, July 12, 1974, as amended, 42 U.S.C.
289 et seq., and U.S. DOT regulations, ``Protection of Human
Subjects,'' 49 CFR part 11, regarding the protection of human
subjects involved in research, development, and related activities
supported by Federal assistance;
(17) To the extent applicable, will comply with the Animal
Welfare Act, as amended, 7 U.S.C. 2131 et seq., and U.S. Department
of Agriculture regulations, ``Animal Welfare,'' 9 CFR subchapter A,
parts 1, 2, 3, and 4, regarding the care, handling, and treatment of
warm blooded animals held or used for research, teaching, or other
activities supported by Federal assistance;
(18) Will have performed the financial and compliance audits as
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501
et seq., U.S. OMB Circular A-133, ``Audits of States, Local
Governments, and Non-Profit Organizations,'' Revised, and the most
recent applicable U.S. OMB A-133 Compliance Supplement provisions
for the U.S. DOT; and
(19) To the extent applicable, will comply with all applicable
provisions of all other Federal laws or regulations, and follow
Federal directives governing the project, except to the extent that
FTA has expressly approved otherwise in writing.
02. LOBBYING CERTIFICATION
An Applicant that submits or intends to submit an application to
FTA for any Federal grant, loan (including a line of credit),
cooperative agreement, loan guarantee, or loan insurance exceeding
$100,000 is required to provide the following certification. FTA may
not award Federal grant, loan (including a line of credit),
cooperative agreement, loan guarantee, or loan insurance exceeding
$100,000 until the Applicant provides this certification by
selecting Category ``02.''
[[Page 67439]]
A. As required by 31 U.S.C. 1352 and U.S. DOT regulations, ``New
Restrictions on Lobbying,'' at 49 CFR 20.110, the Applicant's
authorized representative certifies to the best of his or her
knowledge and belief that for each application to U.S. DOT or FTA
for a Federal grant, loan (including a line of credit), cooperative
agreement, or a commitment that the Federal Government to guarantee
or insure a loan exceeding $100,000:
(1) No Federal appropriated funds have been or will be paid by
or on behalf of the Applicant to any person to influence or attempt
to influence an officer or employee of any Federal agency, a Member
of Congress, an officer or employee of Congress, or an employee of a
Member of Congress regarding the award of a Federal grant, loan
(including a line of credit), cooperative agreement, loan guarantee,
or loan insurance, or the extension, continuation, renewal,
amendment, or modification of any Federal grant, loan (including a
line of credit), cooperative agreement, loan guarantee, or loan
insurance;
(2) If any funds other than Federal appropriated funds have been
or will be paid to any person to influence or attempt to influence
an officer or employee of any Federal agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of
Congress in connection with any application for a Federal grant,
loan (including a line of credit), cooperative agreement, loan
guarantee, or loan insurance, the Applicant assures that it will
complete and submit Standard Form-LLL, ``Disclosure Form to Report
Lobbying,'' in accordance with its instructions; and
(3) The language of this certification shall be included in the
award documents for all subawards at all tiers (including
subcontracts, subgrants, subagreements, and contracts under grants,
loans (including a line of credit), cooperative agreements, loan
guarantees, and loan insurance).
B. The Applicant understands that this certification is a
material representation of fact upon which reliance is placed by the
Federal government and that submission of this certification is a
prerequisite for providing a Federal grant, loan (including a line
of credit), cooperative agreement, loan guarantee, or loan insurance
for a transaction covered by 31 U.S.C. 1352. The Applicant also
understands that any person who fails to file a required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
03. PROCUREMENT COMPLIANCE
In accordance with 49 CFR 18.36(g)(3)(ii), each Applicant that
is a State, local, or Indian Tribal government that is seeking
Federal assistance to acquire property or services in support of its
project is requested to provide the following certification by
selecting Category ``03.'' FTA also requests other Applicants to
provide the following certification. An Applicant for FTA assistance
to acquire property or services in support of its project that fails
to provide this certification may be determined ineligible for award
of Federal assistance for the project, if FTA determines that its
procurement practices and procurement system fail to comply with
Federal laws or regulations in accordance with applicable Federal
directives.
The Applicant certifies that its procurements and procurement
system will comply with all applicable Federal laws and regulations
in accordance with applicable Federal directives, except to the
extent FTA has expressly approved otherwise in writing.
04. PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS
Each Applicant that is a State, local, or Indian Tribal
government that is seeking Federal assistance authorized under 49
U.S.C. chapter 53 to acquire any property or an interest in the
property of a private provider of public transportation or to
operate public transportation equipment or facilities in competition
with, or operate public transportation equipment or facilities in
addition to, transportation service provided by an existing private
provider of public transportation is required to provide the
following certification. FTA may not award Federal assistance for
such a project until the Applicant provides this certification by
selecting Category ``04.''
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies
that before it acquires the property or an interest in the property
of a private provider of public transportation or operates public
transportation equipment or facilities in competition with, or in
addition to, transportation service provided by an existing public
transportation company, it has or will have:
A. Determined that the assistance is essential to carrying out a
program of projects as required by 49 U.S.C. 5303, 5304, and 5306;
B. Provided for the participation of private companies engaged
in public transportation to the maximum extent feasible; and
C. Paid just compensation under State or local law to the
company for any franchise or property acquired.
05. PUBLIC HEARING
An Applicant seeking Federal assistance authorized under 49
U.S.C. chapter 53 for a capital project that will substantially
affect a community or a community's public transportation service is
required to provide the following certification. FTA may not award
Federal assistance for a capital project of that type until the
Applicant provides this certification by selecting Category ``05.''
As required by 49 U.S.C. 5323(b), for a proposed capital project
that will substantially affect a community, or the public
transportation service of a community, the Applicant certifies that
it has, or before submitting its application, it will have:
A. Provided an adequate opportunity for public review and
comment on the proposed project;
B. After providing notice, including a concise description of
the proposed project, published in a newspaper of general
circulation in the geographic area to be served, held a public
hearing on the project if the project affects significant economic,
social, or environmental interests;
C. Considered the economic, social, and environmental effects of
the proposed project; and
D. Determined that the proposed project is consistent with
official plans for developing the community.
06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE
An Applicant seeking Federal assistance authorized under 49
U.S.C. chapter 53 to acquire any rolling stock for use in revenue
service is required to provide the following certification. FTA may
not award any Federal assistance to acquire such rolling stock until
the Applicant provides this certification by selecting Category
``06.''
As required by 49 U.S.C. 5323(m) and implementing FTA
regulations, ``Pre-Award and Post-Delivery Audits of Rolling Stock
Purchases,'' 49 CFR part 663, at 49 CFR 663.7, the Applicant
certifies that it will comply with the requirements of 49 CFR part
663 as modified by amendments authorized by section 3023(k) of
SAFETEA-LU when procuring revenue service rolling stock. Among other
things, the Applicant agrees to conduct or cause to be conducted the
requisite pre-award and post delivery reviews, and maintain on file
the certifications required by 49 CFR part 663, subparts B, C, and
D.
07. ACQUISITION OF CAPITAL ASSETS BY LEASE
An Applicant that intends to request the use of Federal
assistance authorized under 49 U.S.C. chapter 53 to acquire capital
assets by lease is required to provide the following certifications.
FTA may not provide Federal assistance to support those costs until
the Applicant provides this certification by selecting Category
``07.''
As required by FTA regulations, ``Capital Leases,'' 49 CFR part
639, at 49 CFR 639.15(b)(1) and 49 CFR 639.21, if the Applicant
acquires any capital asset by lease financed with Federal assistance
authorized under 49 U.S.C. chapter 53, the Applicant certifies as
follows:
(1) It will not use Federal assistance authorized under 49
U.S.C. chapter 53 to finance the cost of leasing any capital asset
until it performs calculations demonstrating that leasing the
capital asset would be more cost-effective than purchasing or
constructing a similar asset; and it will complete these
calculations before entering into the lease or before receiving a
capital grant for the asset, whichever is later; and
(2) It will not enter into a capital lease for which FTA can
provide only incremental Federal assistance unless it has adequate
financial resources to meet its future obligations under the lease
if Federal assistance is not available for capital projects in the
subsequent years.
08. BUS TESTING
An Applicant for Federal assistance appropriated or made
available for 49 U.S.C. chapter 53 to acquire any new bus model or
any bus model with a new major change in configuration or components
is required to provide the following certification. FTA may not
provide Federal assistance for the acquisition of any new bus model
or bus
[[Page 67440]]
model with a major change until the Applicant provides this
certification by selecting Category ``08.''
As required by 49 U.S.C. 5318 and FTA regulations, ``Bus
Testing,'' at 49 CFR 665.7, the Applicant certifies that, before
expending any Federal assistance to acquire the first bus of any new
bus model or any bus model with a new major change in configuration
or components, or before authorizing final acceptance of that bus
(as described in 49 CFR part 665):
A. The bus model will have been tested at FTA's bus testing
facility; and
B. The Applicant will have received a copy of the test report
prepared on the bus model.
09. CHARTER SERVICE AGREEMENT
An Applicant seeking Federal assistance authorized under 49
U.S.C. chapter 53 (except as permitted by 49 CFR 604.2), or under 23
U.S.C. 133 or 142, to acquire or operate any public transportation
equipment or facilities is required to enter into the following
Charter Service Agreement. FTA may not provide Federal assistance
authorized under 49 U.S.C. chapter 53 (except as permitted by 49 CFR
604.2), or under 23 U.S.C. 133 or 142, for such projects until the
Applicant enters into this Charter Service Agreement by selecting
Category ``09.''
A. As required by 49 U.S.C. 5323(d) and (g) and FTA regulations
at 49 CFR 604.4, the Applicant understands and agrees that it and
each subrecipient, lessee, third party contractor, or other
participant in the project at any tier may provide charter service
for transportation projects that uses equipment or facilities
acquired with Federal assistance authorized under the Federal
transit laws (except as permitted by 49 CFR 604.2), or under 23
U.S.C. 133 or 142, only in compliance with those laws and FTA
regulations, ``Charter Service,'' 49 CFR part 604, the terms and
conditions of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, ``Charter Service,'' 49
CFR part 604, will apply to any charter service it or its
subrecipients, lessees, third party contractors, or other
participants in the project provide;
(2) The definitions of FTA regulations, ``Charter Service,'' 49
CFR part 604, will apply to this Charter Service Agreement; and
(3) A pattern of violations of this Charter Service Agreement
may require corrective measures and imposition of remedies,
including barring the Applicant, subrecipient, lessee, third party
contractor, or other participant in the project that has engaged in
that pattern of violations from receiving FTA financial assistance,
or withholding an amount of Federal assistance as set forth in FTA
regulations, ``Charter Service,'' 49 CFR part 604, Appendix D.
10. SCHOOL TRANSPORTATION AGREEMENT
An Applicant that is seeking Federal assistance authorized under
49 U.S.C. chapter 53 or under 23 U.S.C. 133 or 142 to acquire or
operate public transportation facilities and equipment is required
to enter into the following School Transportation Agreement. FTA may
not provide Federal assistance authorized under 49 U.S.C. chapter 53
or under 23 U.S.C. 133 or 142 for such projects until the Applicant
enters into this School Transportation Agreement by selecting
Category ``10.''
A. As required by 49 U.S.C. 5323(f) and (g) and FTA regulations
at 49 CFR 605.14, the Applicant understands and agrees that it and
each subrecipient, lessee, third party contractor, or other
participant in the project at any tier may engage in school
transportation operations in competition with private school
transportation operators that uses equipment or facilities acquired
with Federal assistance authorized under the Federal transit laws or
under 23 U.S.C. 133 or 142, only in compliance with those laws and
FTA regulations, ``School Bus Operations,'' 49 CFR part 605, to the
extent consistent with 49 U.S.C. 5323(f) or (g), the terms and
conditions of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, ``School Bus
Operations,'' 49 CFR part 605, to the extent consistent with 49
U.S.C. 5323(f) or (g), will apply to any school transportation
service it or its subrecipients, lessees, third party contractors,
or other participants in the project provide;
(2) The definitions of FTA regulations, ``School Bus
Operations,'' 49 CFR part 605 will apply to this School
Transportation Agreement; and
(3) If there is a violation of this School Transportation
Agreement, FTA will bar the Applicant, subrecipient, lessee, third
party contractor, or other participant in the project that has
violated this School Transportation Agreement from receiving Federal
transit assistance in an amount FTA considers appropriate.
11. DEMAND RESPONSIVE SERVICE
An Applicant that operates demand responsive service and applies
for direct Federal assistance authorized under 49 U.S.C. chapter 53
to acquire non-rail public transportation vehicles is required to
provide the following certification. FTA may not award direct
Federal assistance authorized under 49 U.S.C. chapter 53 to an
Applicant that operates demand responsive service to acquire non-
rail public transportation vehicles until the Applicant provides
this certification by selecting Category ``11.''
As required by U.S. DOT regulations, ``Transportation Services
for Individuals with Disabilities (ADA),'' at 49 CFR 37.77(d), the
Applicant certifies that its demand responsive service offered to
individuals with disabilities, including individuals who use
wheelchairs, is equivalent to the level and quality of service
offered to individuals without disabilities. Viewed in its entirety,
the Applicant's service for individuals with disabilities is
provided in the most integrated setting feasible and is equivalent
with respect to: (1) response time, (2) fares, (3) geographic
service area, (4) hours and days of service, (5) restrictions on
trip purpose, (6) availability of information and reservation
capability, and (7) constraints on capacity or service availability.
12. ALCOHOL MISUSE AND PROHIBITED DRUG USE
If the Applicant is required by FTA regulations, ``Prevention of
Alcohol Misuse and Prohibited Drug Use in Transit Operations,'' at
49 CFR part 655, to provide the following certification concerning
its activities to prevent alcohol misuse and prohibited drug use in
its public transportation operations, FTA may not provide Federal
assistance to that Applicant until it provides this certification by
selecting Category ``12.''
As required by FTA regulations, ``Prevention of Alcohol Misuse
and Prohibited Drug Use in Transit Operations,'' at 49 CFR part 655,
subpart I, the Applicant certifies that it has established and
implemented an alcohol misuse and anti-drug program, and has
complied with or will comply with all applicable requirements of FTA
regulations, ``Prevention of Alcohol Misuse and Prohibited Drug Use
in Transit Operations,'' 49 CFR part 655.
13. INTEREST AND OTHER FINANCING COSTS
An Applicant that intends to request the use of Federal
assistance for reimbursement of interest or other financing costs
incurred for its capital projects financed with Federal assistance
under the Urbanized Area Formula Program, the Capital Investment
Program, or the Paul S. Sarbanes Transit in Parks Program is
required to provide the following certification. FTA may not provide
Federal assistance to support interest or other financing costs
until the Applicant provides this certification by selecting
Category ``13.''
As required by 49 U.S.C. 5307(g)(3), 5309(g)(2)(B)(iii),
5309(g)(3)(B)(iii), 5309(i)(2)(C), and 5320(h)(2)(C), the Applicant
certifies that it will not seek reimbursement for interest or other
financing costs unless it is eligible to receive Federal assistance
for those costs and its records demonstrate that it has used
reasonable diligence in seeking the most favorable financing terms
underlying those costs, to the extent FTA may require.
14. INTELLIGENT TRANSPORTATION SYSTEMS
An Applicant for FTA assistance for an Intelligent
Transportation Systems (ITS) project, defined as any project that in
whole or in part finances the acquisition of technologies or systems
of technologies that provide or significantly contribute to the
provision of one or more ITS user services as defined in the
``National ITS Architecture,'' is requested to provide the following
assurance. FTA strongly encourages any Applicant for FTA financial
assistance to support an ITS project to provide this assurance by
selecting Category ``14.'' An Applicant for FTA assistance for an
ITS project that fails to provide this assurance, without providing
other documentation assuring its commitment to comply with
applicable Federal ITS standards and protocols, may be determined
ineligible for award of Federal assistance for the ITS project.
[[Page 67441]]
As used in this assurance, the term Intelligent Transportation
Systems (ITS) project is defined to include any project that in
whole or in part finances the acquisition of technologies or systems
of technologies that provide or significantly contribute to the
provision of one or more ITS user services as defined in the
``National ITS Architecture.''
A. As provided in subsection 5307(c) of SAFETEA-LU, 23 U.S.C.
512 note, apart from certain exceptions, ``intelligent
transportation system projects carried out using funds made
available from the Highway Trust Fund, including funds made
available under this subtitle to deploy intelligent transportation
system technologies, [shall] conform to the national architecture,
applicable standards or provisional standards, and protocols
developed under subsection (a) [of section 5307 of SAFETEA-LU].'' To
facilitate compliance with subsection 5307(c) of SAFETEA-LU, 23
U.S.C. 512 note, the Applicant assures it will comply with all
applicable provisions of Section V (Regional ITS Architecture) and
Section VI (Project Implementation) of FTA Notice, ``FTA National
ITS Architecture Policy on Transit Projects,'' at 66 FR 1455 et
seq., January 8, 2001, and other FTA policies that may be issued in
connection with any ITS project it undertakes financed with funds
authorized under Title 49 or Title 23, United States Code, except to
the extent that FTA expressly determines otherwise in writing; and
B. With respect to any ITS project financed with Federal
assistance derived from a source other than Title 49 or Title 23,
United States Code, the Applicant assures that it will use its best
efforts to assure that any ITS project it undertakes will not
preclude interface with other intelligent transportation systems in
the Region.
15. URBANIZED AREA FORMULA PROGRAM
Each Applicant for Urbanized Area Formula Program assistance
authorized under 49 U.S.C. 5307 is required to provide the following
certifications on behalf of itself and any subrecipients
participating in its projects. Unless FTA determines otherwise in
writing, the Applicant is ultimately responsible for compliance with
its certifications and assurances even though a subrecipient,
lessee, third party contractor, or other participant may participate
in that project. Consequently, in providing certifications and
assurances that involve the compliance of its prospective
subrecipients, the Applicant is strongly encouraged to take
appropriate measures, including but not limited to obtaining
sufficient documentation from each subrecipient, to assure the
validity of all certifications and assurances the Applicant has made
to FTA. If, however a ``Designated Recipient'' as defined at 49
U.S.C. 5307(a)(2)(A) enters into a Supplemental Agreement with FTA
and a Prospective Grantee, that Grantee is recognized as the
Applicant for Urbanized Area Formula Program assistance and must
provide the following certifications and assurances.
Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to expend
at least one (1) percent of its Urbanized Area Formula 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 existing or planned public
transportation; and
[[Page 67442]]
K. In compliance with 49 U.S.C. 5307(d)(1)(K), if the Applicant
is a Designated Recipient serving an urbanized area with a
population of at least 200,000, (1) the Applicant certifies either
that it has expended or will expend for transit enhancements as
defined at 49 U.S.C. 5302(a)(15) not less than one (1) percent of
the amount of the Urbanized Area Formula Assistance it receives this
Federal fiscal year, or that at least one Designated Recipient in
its urbanized area has certified or will certify that the Designated
Recipients within that urbanized area together have expended or will
expend for transit enhancements as defined at 49 U.S.C. 5302(a)(15)
not less than one (1) percent of the total amounts the Designated
Recipients receive each Federal fiscal year under 49 U.S.C. 5307,
and (2) either the Applicant has listed or will list the transit
enhancement projects it has carried out with those funds, or at
least one Designated Recipient in the Applicant's urbanized area has
listed or will list the transit enhancement projects carried out
with funds authorized under 49 U.S.C. 5307. If the Designated
Recipient's quarterly report for the fourth quarter of the preceding
Federal fiscal year includes a list of transit enhancement projects
the Designated Recipients in its urbanized area have implemented
during that preceding Federal fiscal year using those funds, the
information in that quarterly report will fulfill the requirements
of 49 U.S.C. 5307(d)(1)(K)(ii), and thus that quarterly report will
be incorporated by reference and made part of the Designated
Recipient's and Applicant's certifications and assurances.
16. CLEAN FUELS GRANT PROGRAM
Each Applicant for Clean Fuels Grant Program assistance
authorized under 49 U.S.C. 5308 is required to provide the following
certifications on behalf of itself and its subrecipients. Unless FTA
determines otherwise in writing, the Applicant is ultimately
responsible for compliance with its certifications and assurances
even though a subrecipient, lessee, third party contractor, or other
participant may participate in that project. Consequently, in
providing certifications and assurances that involve the compliance
of its prospective subrecipients, the Applicant is strongly
encouraged to take the appropriate measures, including but not
limited to obtaining sufficient documentation from each
subrecipient, to assure the validity of all certifications and
assurances the Applicant has made to FTA. FTA may not award Federal
assistance for the Clean Fuels Grant Program until the Applicant
provides these certifications by selecting Category ``16.''
As required by 49 U.S.C. 5308(d)(1), which makes the
requirements of 49 U.S.C. 5307 applicable to Clean Fuels Grant
Program assistance, and 49 U.S.C. 5307(d)(1), the designated
recipient or the recipient serving as the Applicant on behalf of the
designated recipient, or the State or State organization serving as
the Applicant on behalf of the State, certifies as follows:
A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has
or will have the legal, financial, and technical capacity to 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 it will operate vehicles purchased
with Federal assistance provided under the Clean Fuels Grant
Program, 49 U.S.C. 5308 only with clean fuels.
17. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES FORMULA GRANT
PROGRAM AND PILOT PROGRAM
Before FTA may award Elderly Individuals and Individuals with
Disabilities Formula Grant Program assistance and, if applicable,
Elderly Individuals and Individuals with Disabilities Pilot Program
assistance to a State, the U.S. Secretary of Transportation or his
or her designee is required to make the pre-award determinations
required by 49 U.S.C. 5310. Because certain information is needed
before FTA can make those determinations, each State is requested to
provide the following certifications assurances on behalf of itself
and its subrecipients. Unless FTA determines otherwise in writing,
the State itself is ultimately responsible for compliance with its
certifications and assurances even though a subrecipient, lessee,
third party contractor, or other participant may participate in that
project. Consequently, in providing certifications and assurances
that involve the compliance of its prospective subrecipients, the
State is strongly encouraged to take the appropriate measures,
including but not limited to obtaining sufficient documentation from
each subrecipient, to assure the validity of all certifications and
assurances the State has made to FTA. A State that fails to provide
these certifications and assurances on behalf of itself and its
subrecipients may be determined ineligible for a grant of Federal
assistance under 49 U.S.C. 5310 if FTA lacks sufficient information
from which to make those determinations required by Federal laws and
regulations governing the Elderly Individuals and Individuals with
Disabilities Formula Grant Program and, if applicable, the Elderly
Individuals and Individuals with Disabilities Pilot Program
authorized by 49 U.S.C. 5310 and section 3012 of SAFETEA-LU,
respectively. The State is thus requested to select Category ``17.''
A. As required by 49 U.S.C. 5310(d), which makes the
requirements of 49 U.S.C. 5307 applicable to the Elderly Individuals
and
[[Page 67443]]
Individuals with Disabilities Formula Grant Program to the extent
that the Federal Transit Administrator or his or her designee
determines appropriate, and 49 U.S.C. 5307(d)(1), the State or State
organization serving as the Applicant (State) and that administers,
on behalf of the State, the Elderly Individuals and Individuals with
Disabilities Program authorized by 49 U.S.C. 5310, and, if
applicable, the Elderly Individuals and Individuals with
Disabilities Pilot Program authorized by subsection 3012(b) of
SAFETEA-LU, 49 U.S.C. 5310 note, certifies and assures on behalf of
itself and its subrecipients as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant
has or will have the legal, financial, and technical capacity to
carry out its proposed program of projects, including the safety and
security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant
has or will have satisfactory continuing control over the use of
project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant
will adequately maintain the project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant,
in carrying out a procurement financed with Federal assistance
authorized under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU:
(1) will use competitive procurement (as defined or approved by
FTA), (2) will not use exclusionary or discriminatory specifications
in its procurements, (3) will comply with applicable Buy America
laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement
requirements of 49 U.S.C. 5325;
(5) The State has or will have available and will provide the
amount of funds required by 49 U.S.C. 5310(c), and if applicable by
subsections 3012(b)(3) and (4) of SAFETEA-LU, for the local share,
and that those funds will be provided from approved non-Federal
sources except as permitted by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant
will comply with: (1) 49 U.S.C. 5301(a) (requirements for public
transportation systems that maximize the safe, secure, and efficient
mobility of individuals, minimize environmental impacts, and
minimize transportation-related fuel consumption and reliance on
foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and
provide public transportation for elderly individuals and
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306
(planning and private enterprise requirements);
B. The State assures that each subrecipient either is recognized
under State law as a private nonprofit organization with the legal
capability to contract with the State to carry out the proposed
project, or is a public body that has met the statutory requirements
to receive Federal assistance authorized for 49 U.S.C. 5310;
C. The private nonprofit subrecipient's application for 49
U.S.C. 5310 assistance contains information from which the State
concludes that the transit service provided or offered to be
provided by existing public or private transit operators is
unavailable, insufficient, or inappropriate to meet the special
needs of the elderly and persons with disabilities;
D. In compliance with 49 U.S.C. 5310(d)(2)(A) and subsection
3012(b)(2) of SAFETEA-LU, the State certifies that, before it
transfers funds to a project funded under 49 U.S.C. 5336, that
project has been or will have been coordinated with private
nonprofit providers of services under 49 U.S.C. 5310;
E. In compliance with 49 U.S.C. 5310(d)(2)(C), the State
certifies that allocations to subrecipients of financial assistance
authorized under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU
will be distributed on a fair and equitable basis; and
F. In compliance with 49 U.S.C. 5310(d)(2)(B) and subsection
3012(b)(2) of SAFETEA-LU, the State certifies that: (1) projects it
has selected or will select for assistance under that program were
derived from a locally developed, coordinated public transit-human
services transportation plan; and (2) the plan was developed through
a process that included representatives of public, private, and
nonprofit transportation and human services providers and
participation by the public.
18. NONURBANIZED AREA FORMULA PROGRAM FOR STATES
The provisions of 49 U.S.C. 5311 establishing the Nonurbanized
Area Formula Program for States do not impose, as a 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 pre-award determinations
required by 49 U.S.C. 5311. Because certain information is needed
before FTA can make those determinations, each State is requested to
provide the following certifications and assurances on behalf of
itself and its subrecipients. Unless FTA determines otherwise in
writing, the State itself is ultimately responsible for compliance
with its certifications and assurances even though a subrecipient,
lessee, third party contractor, or other participant may participate
in that project. Consequently, in providing certifications and
assurances that involve the compliance of its prospective
subrecipients, the State is strongly encouraged to take the
appropriate measures, including but not limited to obtaining
sufficient documentation from each subrecipient, to assure the
validity of all certifications and assurances the State has made to
FTA. A State that fails to provide these certifications and
assurances on behalf of itself and its subrecipients may be
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
[[Page 67444]]
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; and
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant
will comply with: (1) 49 U.S.C. 5301(a) (requirements for public
transportation systems that maximize the safe, secure, and efficient
mobility of individuals, minimize environmental impacts, and
minimize transportation-related fuel consumption and reliance on
foreign oil); and (2) 49 U.S.C. 5301(d) (special efforts to design
and provide public transportation for elderly individuals and
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306
(planning and private enterprise requirements);
B. In compliance with 49 U.S.C. 5316(d), the Applicant certifies
that (1) with respect to financial assistance authorized under 49
U.S.C. 5316(c)(1)(A), it will conduct in cooperation with the
appropriate MPO an areawide solicitation for applications, and make
awards on a competitive basis and (2) with respect to financial
assistance authorized under 49 U.S.C. 5316(c)(1)(B) or 49 U.S.C.
5316(c)(1)(C), it will conduct a statewide solicitation for
applications, and make awards on a competitive basis;
C. In compliance with 49 U.S.C. 5316(f)(2), the Applicant
certifies that any allocations to subrecipients of financial
assistance authorized under 49 U.S.C. 5316 will be distributed on a
fair and equitable basis;
D. In compliance with 49 U.S.C. 5316(g)(2), the Applicant
certifies that, before it transfers funds to a project funded under
49 U.S.C. 5336, that project has been or will have been coordinated
with private nonprofit providers of services;
E. In compliance with 49 U.S.C. 5316(g)(3), the Applicant
certifies that: (1) the projects it has selected or will select for
assistance under that program were derived from a locally developed,
coordinated public 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
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disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and
private enterprise requirements);
B. In compliance with 49 U.S.C. 5317(d), the Applicant certifies
that (1) with respect to financial assistance authorized under 49
U.S.C. 5317(c)(1)(A), it will conduct in cooperation with the
appropriate MPO an areawide solicitation for applications, and make
awards on a competitive basis and (2) with respect to financial
assistance authorized under 49 U.S.C. 5317(c)(1)(B) or financial
assistance authorized under 49 U.S.C. 5317(c)(1)(C), it will conduct
a statewide solicitation for applications, and make awards on a
competitive basis;
C. In compliance with 49 U.S.C. 5317(f)(2), the Applicant
certifies that, before it transfers funds to a project funded under
49 U.S.C. 5336, that project has been or will have been coordinated
with private nonprofit providers of services;
D. In compliance with 49 U.S.C. 5317(e)(2), the Applicant
certifies that any allocations to subrecipients of financial
assistance authorized under 49 U.S.C. 5317 will be distributed on a
fair and equitable basis; and
E. In compliance with 49 U.S.C. 5317(f)(3), the Applicant
certifies that: (1) the projects it has selected or will select for
assistance under that program were derived from a locally developed,
coordinated public 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 through participation by the public.
21. PAUL S. SARBANES TRANSIT IN PARKS PROGRAM
Each State, Tribal area, or local government authority that is
an Applicant for Paul S. Sarbanes Transit in Parks Program
assistance (Applicant) authorized by 49 U.S.C. 5320, is required to
provide the following certifications. FTA may not award assistance
for the Paul S. Sarbanes Transit in Parks Program to the Applicant
until the Applicant provides these certifications by selecting
Category ``21.''
A. As required by 49 U.S.C. 5320(i), which makes the
requirements of 49 U.S.C. 5307 applicable to the Paul S. Sarbanes
Transit in Parks Program to the extent the Federal Transit
Administrator or his or her designee determines appropriate, and 49
U.S.C. 5307(d)(1), the Applicant certifies as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant
has or will have the legal, financial, and technical capacity to
carry out its proposed project, including the safety and security
aspects of that project;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant
has or will have satisfactory continuing control over the use of
project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant
will adequately maintain the project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), in carrying out
a procurement financed with Federal assistance authorized under 49
U.S.C. 5320, the Applicant: (1) will use competitive procurement (as
defined or approved by FTA), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply
with applicable Buy America laws, and (4) will comply with the
general provisions for FTA assistance of 49 U.S.C. 5323 and the
third party procurement requirements of 49 U.S.C. 5325;
(5) In compliance with 49 U.S.C. 5307(d)(1)(F) and with 49
U.S.C. 5320(e)(2)(C), the Applicant has complied with or will comply
with the requirements of 49 U.S.C. 5307(c). Specifically, it: (1)
has made available, or will make available, to the public
information on the amounts available for the Paul S. Sarbanes
Transit in Parks Program, 49 U.S.C. 5320, and the projects it
proposes to undertake; (2) has developed or will develop, in
consultation with interested parties including private
transportation providers, projects to be financed; (3) has published
or will publish a list of proposed projects in a way that affected
citizens, private transportation providers, and local elected
officials have the opportunity to examine the proposed projects and
submit comments on the proposed projects and the performance of the
Applicant; (4) has provided or will provide an opportunity for a
public hearing to obtain the views of citizens on the proposed
projects; (5) has assured or will assure that the proposed projects
provide for the coordination of transportation services assisted
under 49 U.S.C. 5336 with transportation services assisted by
another Federal government source; (6) has considered or will
consider the comments and views received, especially those of
private transportation providers, in preparing its final list of
projects; and (7) has made or will make the final list of projects
available to the public;
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant
will comply with: (1) 49 U.S.C. 5301(a) (requirements for public
transportation systems that maximize the safe, secure, and efficient
mobility of individuals, minimize environmental impacts, and
minimize transportation-related fuel consumption and reliance on
foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and
provide public transportation for elderly individuals and
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306
(planning and private enterprise requirements); and
(7) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant
has a locally developed process to solicit and consider public
comment before raising a fare or implementing a major reduction of
public transportation; and
B. In compliance with 49 U.S.C. 5320(e)(2)(A), (B), and (D), the
Applicant assures that it will:
(1) Comply with the metropolitan planning provisions of 49
U.S.C. 5303;
(2) Comply with the statewide planning provisions of 49 U.S.C.
5304; and
(3) Consult with the appropriate Federal land management agency
during the planning process.
22. TRIBAL TRANSIT PROGRAM
Each Applicant for Tribal Transit Program assistance must
provide all certifications and assurances set forth below. Except to
the extent that FTA determines otherwise in writing, FTA may not
award any Federal assistance under the Tribal Transit Program until
the Applicant provides these certifications and assurances by
selecting Category ``22.''
In accordance with 49 U.S.C. 5311(c)(1) that authorizes the
Secretary of Transportation to establish terms and conditions for
direct grants to Indian Tribal governments, the Applicant certifies
and assures as follows:
A. The Applicant assures that:
(1) It has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal
assistance authorized for 49 U.S.C. 5311; and to carry out each
project, including the safety and security aspects of that project;
(2) It has or will have satisfactory continuing control over the
use of project equipment and facilities;
(3) The project equipment and facilities will be adequately
maintained; and
(4) Its project will achieve maximum feasible coordination with
transportation service assisted by other Federal sources;
B. In accordance with 49 CFR 18.36(g)(3)(ii), the Applicant
certifies that its procurement system will comply with the
requirements of 49 CFR 18.36, or will inform FTA promptly that its
procurement system does not comply with 49 CFR 18.36;
C. To the extent applicable to the Applicant or its Project, the
Applicant certifies that it will comply with the certifications,
assurances, and agreements in Category 08 (Bus Testing), Category 09
(Charter Bus Agreement), Category 10 (School Transportation
Agreement), Category 11 (Demand Responsive Service), Category 12
(Alcohol Misuse and Prohibited Drug Use), and Category 14 (National
Intelligent Transportation Systems Architecture and Standards) of
this document; and
D. If its application exceeds $100,000, the Applicant agrees to
comply with the certification in Category 02 (Lobbying) of this
document.
23. TIFIA PROJECTS
Each Applicant for Transportation Infrastructure Finance and
Innovation Act (TIFIA) credit assistance authorized under 23 U.S.C.
chapter 6, is required to provide the following certifications. FTA
may not award TIFIA credit assistance to the Applicant until the
Applicant provides these certifications by selecting Category
``23.''
A. As required by 49 U.S.C. 5323(o), which makes the
requirements of 49 U.S.C. 5307 applicable to Applicants seeking
TIFIA credit assistance authorized under 23 U.S.C. chapter 6, and by
49 U.S.C. 5307(d)(1), the Applicant certifies as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant
has or will have the legal, financial, and technical capacity to
carry out its proposed program of projects, including the safety and
security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant
has or will have satisfactory continuing control over the use of
project equipment and facilities;
[[Page 67446]]
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant
will adequately maintain the project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant
will assure that any elderly individual, any individual with
disabilities, or any person presenting a Medicare card issued to
himself or herself pursuant to title II or title XVIII of the Social
Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will
be charged for transportation during non-peak hours using or
involving a facility or equipment of a project financed with Federal
assistance authorized under 23 U.S.C. chapter 6, not more than fifty
(50) percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant,
in carrying out a procurement financed with Federal assistance
authorized under 23 U.S.C. chapter 6: (1) will use competitive
procurement (as defined or approved by FTA), (2) will not use
exclusionary or discriminatory specifications in its procurements,
(3) will comply with applicable Buy America laws, and (4) will
comply with the general provisions for FTA assistance of 49 U.S.C.
5323 and the third party procurement requirements of 49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant
has complied with or will comply with the requirements of 49 U.S.C.
5307(c). Specifically, it: (a) Has made available, or will make
available, to the public information on the amounts available for
TIFIA credit assistance, 23 U.S.C. chapter 6, and the projects it
proposes to undertake; (b) has developed or will develop, in
consultation with interested parties including private
transportation providers, the proposed projects to be financed; (c)
has published or will publish a list of projects in a way that
affected citizens, private transportation providers, and local
elected officials have the opportunity to examine the proposed
projects and submit comments on the proposed projects and the
performance of the Applicant; (d) has provided or will provide an
opportunity for a public hearing to obtain the views of citizens on
the proposed projects; (e) has assured or will assure that the
proposed projects provide for the coordination of transportation
services assisted under 49 U.S.C. 5336 with transportation services
assisted by another Federal government source; (f) has considered or
will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of
projects; and (g) has made or will make the final list of projects
available to the public;
(7) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant
has or will have available and will provide the amount of funds
required for the local share, and that those funds will be provided
from approved non-Federal sources except as permitted by Federal
law;
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), (1) the
Applicant will comply with: 49 U.S.C. 5301(a) (requirements for
public transportation systems that maximize the safe, secure, and
efficient mobility of individuals, minimize environmental impacts,
and minimize transportation-related fuel consumption and reliance on
foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and
provide public transportation for elderly individuals and
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306
(planning and private enterprise requirements);
(9) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant
has a locally developed process to solicit and consider public
comment before raising a fare or implementing a major reduction of
public transportation;
(10) To the extent that the Applicant will be using funds
authorized under 49 U.S.C. 5307 for the project, in compliance with
49 U.S.C. 5307(d)(1)(J), each Federal fiscal year, the Applicant
will spend at least one (1) percent of those funds authorized under
49 U.S.C. 5307 for public transportation security projects (this
includes only capital projects in the case of an Applicant serving
an urbanized area with a population of 200,000 or more), unless the
Applicant has certified to FTA that such expenditures are not
necessary. Public transportation security projects include increased
lighting in or adjacent to a public transportation system (including
bus stops, subway stations, parking lots, and garages), increased
camera surveillance of an area in or adjacent to that system,
emergency telephone line or lines to contact law enforcement or
security personnel in an area in or adjacent to that system, and any
other project intended to increase the security and safety of an
existing or planned public transportation; and
(11) To the extent that the Applicant will be using funds
authorized under 49 U.S.C. 5307 for the project, in compliance with
49 U.S.C. 5309(d)(1)(K): (1) An Applicant that serves an urbanized
area with a population of at least 200,000 will expend not less than
one (1) percent of the amount it receives each Federal fiscal year
under 49 U.S.C. 5307 for transit enhancements, as defined at 49
U.S.C. 5302(a), and (2) if it has received transit enhancement funds
authorized by 49 U.S.C. 5307(k)(1), its quarterly report for the
fourth quarter of the preceding Federal fiscal year includes a list
of the projects it has implemented during that Federal fiscal year
using those funds, and that report is incorporated by reference and
made part of its certifications and assurances; and
B. As required by 49 U.S.C. 5323(o), which makes the
requirements of 49 U.S.C. 5309 applicable to Applicants seeking
TIFIA credit assistance authorized under 23 U.S.C. chapter 6, and by
49 U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and 5309(i)(2)(C),
the Applicant certifies that it will not seek reimbursement for
interest and other financing costs incurred in connection with the
Project unless the Applicant is eligible to receive Federal
assistance for those expenses and the Applicant's records
demonstrate that it has used reasonable diligence in seeking the
most favorable financing terms underlying those costs, to the extent
FTA may require.
24. DEPOSITS OF FEDERAL FINANCIAL ASSISTANCE TO STATE INFRASTRUCTURE
BANKS
The State organization that administers the State Infrastructure
Bank (SIB) Program on behalf of a State (State) and that is also an
Applicant for Federal assistance authorized under 49 U.S.C. chapter
53 that it intends to deposit in its SIB is requested to provide the
following assurances on behalf of itself, its SIB, and each
subrecipient. Unless FTA determines otherwise in writing, the State
itself is ultimately responsible for compliance with its
certifications and assurances even though the SIB and a subrecipient
may participate in that project. Consequently, in providing
certifications and assurances that involve the compliance of its SIB
and prospective subrecipients, the State is strongly encouraged to
take the appropriate measures, including but not limited to
obtaining sufficient documentation from the SIB and each
subrecipient, to assure the validity of all certifications and
assurances the State has made to FTA. FTA may not award Federal
assistance for the SIB Program to the State until the State provides
these assurances by selecting Category ``24.''
The State organization, serving as the Applicant (State) for
Federal assistance for its State Infrastructure Bank (SIB) Program
authorized by section 1602 of SAFETEA-LU, now codified at 23 U.S.C.
610, or by section 1511 of TEA-21, 23 U.S.C. 181 note, or by section
350 of the National Highway System Designation Act of 1995, as
amended, 23 U.S.C. 181 note, agrees and assures the agreement of its
SIB and the agreement of each recipient of Federal assistance
derived from the SIB within the State (subrecipient) that each
public transportation project financed with Federal assistance
derived from SIB will be administered in accordance with:
A. Applicable provisions of section 1602 of SAFETEA-LU, now
codified at 23 U.S.C. 610, or by section 1511 of TEA-21, 23 U.S.C.
181 note, or by section 350 of the National Highway System
Designation Act of 1995, as amended, 23 U.S.C. 181;
B. The provisions of the FHWA, FRA, and FTA or the FHWA and FTA
cooperative agreement with the State to establish the State's SIB
Program;
C. The provisions of the FTA grant agreement with the State that
provides Federal assistance for the SIB, except that any provision
of the Federal Transit Administration Master Agreement incorporated
by reference into that grant agreement will not apply if it
conflicts with any provision of section 1602 of SAFETEA-LU, now
codified at 23 U.S.C. 610, or section 1511 of TEA-21, 23 U.S.C. 181
note, or section 350 of the National Highway System Designation Act
of 1995, as amended, 23 U.S.C. 181 note, or Federal guidance
pertaining to the SIB Program, the provisions of the cooperative
agreement establishing the SIB Program within the State, or the
provisions of the FTA grant agreement;
D. The requirements applicable to projects of 49 U.S.C. 5307 and
5309, as required by 49 U.S.C. 5323(o); and
E. The provisions of applicable Federal guidance that may be
issued and
[[Page 67447]]
amendments thereto, unless FTA has provided written approval of an
alternative procedure or course of action.
Selection and Signature Page(s) follow.
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APPENDIX A
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[FR Doc. 2010-27563 Filed 11-1-10; 8:45 am]
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