[Federal Register Volume 76, Number 211 (Tuesday, November 1, 2011)]
[Notices]
[Pages 67534-67555]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-28293]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2012 Annual List of Certifications and
Assurances for Federal Transit Administration Grants and Cooperative
Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The Federal Transit Administration (FTA) has consolidated and
updated the various pre-award Certifications and Assurances required
for its Federal transit assistance (funding) programs in Federal fiscal
year (FY) 2012. We (FTA) are now publishing them at Appendix A of this
Notice.
DATES: Effective Date: These FY 2012 Certifications and Assurances are
effective October 1, 2011, the first day of FY 2012.
FOR FURTHER INFORMATION CONTACT: The appropriate Regional or
Metropolitan Office listed in this Notice. For copies of related
documents and information, see our Web site at http://www.fta.dot.gov
or contact our 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/(202) 219-3565.
SUPPLEMENTARY INFORMATION: This notice includes instructions on how to
submit the Certifications and Assurances and highlights the changes for
FY 2012.
1. What are our responsibilities?
Several programs we administer require new certifications and
assurances each fiscal year an Applicant seeks funding. We have been
consolidating our list of Certifications and Assurances into a single
document for annual publication in the Federal Register since 1995, as
required by 49 U.S.C. 5323(n). Ideally this list would be published
with our apportionment notice showing our latest allocations of our
annual Department of Transportation (U.S. DOT) appropriations, FTA,
however, is publishing its FY 2012 Certifications and Assurances now,
although U.S. DOT's full-year appropriations for our FY 2012 have not
been signed into law. These FY 2012 Certifications and Assurances
supersede any Certifications and Assurances published in an earlier
fiscal year or any that may have appeared as illustrations in any
discontinued FTA circular. After publication in the Federal Register,
we must be sure that each Applicant has submitted adequate FY 2012
Certifications and Assurances before we may award funding to support
that request.
2. What is their legal effect?
a. Binding Commitment. An Applicant typically acts through its
certified or authorized representative (You). Nevertheless, your
Applicant will be required to comply with any certifications or
assurances you make on its behalf whether or not you remain the
Applicant's authorized representative. Certifications and Assurances
are pre-award representations required by Federal law or regulation
before we can provide funding for your Applicant's project. By
providing Certifications and Assurances to FTA, you and your Applicant
are agreeing to comply with their terms.
b. Length of Commitment. Your Applicant's FY 2012 Certifications
and Assurances remain in effect until its project is closed or the
project property's useful life has expired, whichever is later. If your
Applicant provides different Certifications and Assurances in a later
fiscal year, the later Certifications and Assurances will apply to its
project, except as we permit otherwise in writing.
c. Duration. Your Applicant may use its FY 2012 Certifications and
Assurances for its funding applications to us from the time of
publication in the Federal Register until we issue our FY 2013
Certifications and Assurances.
d. Our FY 2012 Certifications and Assurances are an Incomplete List
of Federal Requirements. We caution that our FY 2012 Certifications and
Assurances focus only on those Federal requirements the Applicant must
fulfill before we may fund its project. Consequently, they omit many
other Federal requirements that will apply to your Applicant and its
project.
[[Page 67535]]
e. Other Federal Requirements. We strongly encourage you to review
all Federal legislation, regulations, and directives that apply to your
Applicant and its proposed project. Our FY 2012 Master Agreement,
http://www.fta.dot.gov/documents/18-Master.pdf, identifies many of
those requirements.
f. Penalties for False or Fraudulent Statements. If you or your
Applicant provide any false or fraudulent statement to the Federal
government, you or your Applicant may be subject to both Federal civil
and criminal penalties. See:
(1) Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C.
3801 et seq.,
(2) U.S. DOT regulations, ``Program Fraud Civil Remedies,'' 49 CFR
part 31, and
(3) 49 U.S.C. 5323(l), which makes Federal criminal penalties
available for violations of our requirements.
3. What are your responsibilities?
a. Make Sure Everyone Involved with Your Applicant's Project
Understands the Federal Requirements that Will Apply to Your Applicant
and its Project. Your Applicant will be responsible for compliance with
all Federal requirements that apply to itself and its project.
Nevertheless, people and organizations participating in its project can
seriously affect your Applicant's ability to comply with those Federal
requirements. All involved need to know those Federal requirements that
affect their project related activities.
b. Subrecipient Participation. The Applicant is ultimately
responsible for compliance with all Certifications and Assurances that
you select on its behalf even though its project may mainly be carried
out by subrecipients, except in limited circumstances when we have
determined otherwise. Therefore, we strongly recommend that you take
appropriate measures to assure the validity of your Applicant's
certifications and assurances.
c. Submit Your Applicant's Certifications and Assurances. You must
submit all groups of the FY 2012 Certifications and Assurances that
apply to your Applicant and its projects for which it seeks funding in
FY 2012, irrespective of the statutory source of the funding. For your
convenience, we recommend that you submit all 24 groups. Those that do
not apply to your Applicant or its project will not be enforced.
d. Obtain the Affirmation of Your Applicant's Attorney. You must
obtain a current (FY 2012) affirmation from your Applicant's Attorney
that your Applicant has sufficient authority under its State and local
law to certify its compliance with the FY 2012 Certifications and
Assurances you have selected on its behalf. Your Applicant's Attorney
must sign this affirmation during FY 2012. An Affirmation of your
Applicant's Attorney from a previous fiscal year is unacceptable,
unless we expressly determine otherwise in writing.
e. When to Submit. We expect to receive your Applicant's FY 2012
Certifications and Assurances within 90 days from the date of this
publication or shortly after you submit your Applicant's request for FY
2012 funding (whichever is earlier) if your Applicant is applying for
formula or capital program funding, or is a current FTA grantee with an
active formula or capital project. If your Applicant also seeks funding
for other projects, we should receive its FY 2012 Certifications and
Assurances as soon as possible.
4. Where are your applicant's FY 2012 certifications and assurances?
a. Appendix A of this Notice;
b. Our Web site http://www.fta.dot.gov/documents/2012-Certs-Appendix.A.pdf; and
c. TEAM-Web, our electronic award and management system, http://ftateamweb.fta.dot.gov, at the ``Cert's & Assurances'' tab of the
``View/Modify Recipients'' page in the ``Recipients'' option.
5. What changes have been made since FY 2011?
a. Preface. We have amended the third paragraph of the Preface to
identify the Web site for our FY 2012 Master Agreement http://www.fta.dot.gov/documents/18-Master.pdf.
b. Certification (02). We have amended the applicability of
Certification (02) to clarify that the lobbying certification does not
apply to an Indian tribe, tribal organization, or other Indian
organization for consistency with the applicability provision of the
``Byrd'' lobbying amendment at 31 U.S.C. 1352(g)(1)(B).
c. Authority Section of this Preamble. We have added references to
the Hiring Incentives to Restore Employment Act, Public Law 111-147,
March 18, 2010, the Surface Transportation Extension Act of 2011,
Public Law 112-5, March 4, 2011, and the Surface and Air Transportation
Programs Extension Act of 2011, Public Law 112-30, September 16, 2011.
Together, these Acts extended the effective date of FTA's authorizing
legislation through March 31, 2012.
6. How do I submit them?
a. Electronic Submission
We expect you to submit your Applicant's FY 2012 Certifications and
Assurances in TEAM-Web. If you are registered in TEAM-Web to act on
your Applicant's behalf, you must submit its Certifications and
Assurances, as well as its applications in 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 24 groups of certifications and assurances and a
designated field for selecting all 24 groups.
In the ``Cert's & Assurances'' tab is a field for you to enter your
personal identification number (PIN), which is your electronic
signature. There is also a field for the Attorney's PIN, affirming your
Applicant's legal authority to make and comply with the Certifications
and Assurances you have selected on your Applicant's behalf. You may
enter your PIN in place of the Attorney's PIN, provided that your
Applicant has on file a similar affirmation written, dated, and signed
by its Attorney in FY 2012.
b. Paper Submission
You may only submit your Applicant's FY 2012 Certifications and
Assurances on paper if you cannot submit them electronically in TEAM-
Web. You must submit the Signature Page(s) in Appendix A of this Notice
indicating the groups of Certifications and Assurances your Applicant
is providing if you cannot submit them electronically. You may place a
single mark in the designated space to signify your Applicant's
agreement to comply with all groups of certifications and assurances or
select the groups of certifications and assurances that apply to the
Applicant and its projects.
You must enter your signature on the Signature Page(s) and provide
an Affirmation of your Applicant's Attorney concerning your Applicant's
legal capacity to make and comply with the FY 2012 Certifications and
Assurances selected. You may enter your signature in place of the
Attorney's signature in the Affirmation of Applicant's Attorney
section, provided that your Applicant has on file a similar
affirmation, written, dated, and signed by its Attorney in FY 2012.
For more information, you may contact the appropriate FTA Regional
or Metropolitan Office.
Authority. 49 U.S.C. chapter 53; the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA-LU), Public Law 109-59, August 10, 2005, as amended by the
[[Page 67536]]
SAFETEA-LU Technical Corrections Act, 2008, Public Law 110-244, June
6, 2008; the Hiring Incentives to Restore Employment Act. Public Law
111-147, March 18, 2010; the Surface Transportation Extension Act of
2011, Public Law 112-5, March 4, 2011; the Surface and Air
Transportation Programs Extension Act of 2011, Public Law 112-30,
September 16, 2011; 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, 2011.
Peter M. Rogoff,
Administrator.
FEDERAL FISCAL YEAR 2012 CERTIFICATIONS AND ASSURANCES FOR FEDERAL
TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
PREFACE
Before the Federal Transit Administration (FTA or We) may award
Federal transit assistance (funding or funds) to support a project, an
authorized representative (you) of the project sponsor (Applicant) must
provide certain certifications and assurances required by Federal law
or regulation. You must provide all certifications and assurances
required of your Applicant to support its applications for FTA funding
during Federal fiscal year (FY) 2012.
We request that you read each certification and assurance carefully
and select all certifications and assurances that might apply to all
projects for which your Applicant might seek FTA funding. We can award
FTA funding for your Applicant's project only if your Applicant
provides adequate certifications and assurances on your Applicant's
behalf as required by Federal law or regulation.
We have consolidated our certifications and assurances into 24
groups. At a minimum, you must provide the assurances in Group 01. If
your Applicant requests more than $100,000, you must also provide the
Lobbying certification in Group 02, unless your Applicant is an Indian
tribe or organization or a tribal organization. Depending on the nature
of your Applicant and its project, your Applicant may need to provide
some of the certifications and assurances in Groups 03 through 24.
However, instead of selecting individual groups of certifications and
assurances, you may make a single selection that will encompass all
groups of certifications and assurances applicable to all our programs.
FTA and your Applicant understand and agree that not every provision of
these certifications and assurances will apply to every Applicant or
every project we fund. The type of project and Applicant will determine
which certifications and assurances apply.
Your Applicant also understands and agrees that these
certifications and assurances are special pre-award requirements and do
not include all Federal requirements that may apply to your Applicant
or its project. Our Master Agreement MA(18) for Federal Fiscal Year
2012, http://www.fta.dot.gov/documents/18-Master.pdf, contains a list
of most of those requirements.
Except in limited circumstances, your Applicant is ultimately
responsible for compliance with the certifications and assurances that
apply to itself or its project irrespective of subrecipient
participation in the project. Because many FY 2012 certifications and
assurances will require subrecipient compliance, we strongly recommend
that you take appropriate measures to assure the validity of your
Applicant's certifications and assurances. Your Applicant understands
and agrees that when you apply for funding 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 you select on your Applicant's
behalf.
We expect you to submit your Applicant's FY 2012 certifications and
assurances in TEAM-Web, and its applications for funding as well. Thus
you will need to be registered in TEAM-Web to act on your Applicant's
behalf. The TEAM-Web ``Recipients'' option at the ``Cert's &
Assurances'' tab of the ``View/Modify Recipients'' page contains fields
for selecting among the 24 groups of certifications and assurances and
a designated field for selecting all 24 groups. If you cannot submit
your Applicant's FY 2012 certifications and assurances electronically,
you must submit the Signature Page(s) in Appendix A of this Notice
marked to show the groups of certifications and assurances your
Applicant is providing.
GROUP 01. ASSURANCES REQUIRED FOR EACH APPLICANT
You must select the following assurances in Group 01 on behalf of
your Applicant unless we expressly determine otherwise in writing.
A. Assurance of Authority of the Applicant and Its Representative.
Both you and the Applicant's attorney who sign these
certifications, assurances, and agreements, affirm that both the
Applicant and you as its authorized representative may, under their
State, local, or Indian tribal law and regulations, and the Applicant's
by-laws or internal rules, undertake the following activities on behalf
of the Applicant:
1. Execute and file its application for Federal funds,
2. Execute and file its certifications, assurances, and agreements
binding its compliance, and
3. Execute Grant Agreements or Cooperative Agreements, or both,
with FTA.
B. Standard Assurances.
The Applicant assures that:
1. It has sufficient authority under its State, local, or Indian
tribal law, regulations by-laws and internal rules to carry out each
FTA funded project as required by Federal laws and regulations,
2. It will comply with all applicable Federal statutes and
regulations to carry out any FTA funded project,
3. It is under a continuing obligation to comply with the terms and
conditions of the FTA Grant Agreement or Cooperative Agreement for the
project, including the FTA Master Agreement incorporated by reference
and made part of the latest amendment to Grant Agreement or Cooperative
Agreement,
4. It recognizes that Federal laws and regulations may be modified
from time to time and those modifications may affect project
implementation,
5. It 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, and
6. It agrees that the most recent Federal laws, regulations, and
directives will apply to the project, unless FTA determines otherwise
in writing.
C. Intergovernmental Review Assurance.
This assurance does not apply to Indian tribe or organization or a
tribal organization that applies for funding under FTA's Tribal Transit
Program, 49 U.S.C. 5311(c)(1).
The Applicant assures that it has or will submit each Federal
funding application to the appropriate State and local agencies for
intergovernmental review to facilitate compliance with U.S. Department
of Transportation (U.S. DOT) regulations, ``Intergovernmental Review of
Department of Transportation Programs and Activities,'' 49 CFR part 17.
D. Nondiscrimination Assurance.
1. The Applicant assures that it will comply with the following
laws and
[[Page 67537]]
regulations so that no person in the United States will be denied the
benefits of, or otherwise be subjected to discrimination in any U.S.
DOT or FTA funded program or activity (particularly in the level and
quality of transportation services and transportation-related benefits
on the basis of race, color, national origin, creed, sex, or age:
a. Federal transit law, specifically 49 U.S.C. 5332 (prohibiting
discrimination on the basis of race, color, creed, national origin,
sex, or age, and in employment or business opportunity),
b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000d, and
c. 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.
2. As required by 49 CFR 21.7, the Applicant assures that:
a. It will comply with 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR
part 21 in the manner:
(1) It conducts each project,
(2) It undertakes property acquisitions, and
(3) It operates the project facilities, including:
(a) Its entire facilities, and
(b) Its facilities operated in connection with its project,
b. This assurance applies to its entire project and entire
facilities, including facilities operated in connection with its
project,
c. It will promptly take the necessary actions to carry out this
assurance, including:
(1) Notifying the public that discrimination complaints about
transportation-related services or benefits may be filed with U.S. DOT
or FTA, and
(2) Submitting information about its compliance with these
provisions to U.S. DOT or FTA upon their request,
d. If it transfers FTA funded real property, structures, or
improvements to another party, any deeds and instruments recording that
transfer will contain a covenant running with the land assuring
nondiscrimination:
(1) While the property is used for the purpose that the Federal
funding is extended,
(2) While the property is used for another purpose involving the
provision of similar services or benefits,
e. The United States has a right to seek judicial enforcement of
any matter arising under:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) This assurance,
f. It will make any changes in its Title VI implementing procedures
as U.S. DOT or FTA may request to comply with:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) Federal transit law, 49 U.S.C. 5332,
g. It will extend the requirements of 49 U.S.C. 5332, 42 U.S.C.
2000d, and 49 CFR part 21 to each third party participant, including:
(1) Any subrecipient,
(2) Any transferee,
(3) Any third party contractor or subcontractor at any tier,
(4) Any successor in interest,
(5) Any lessee, or
(6) Any other participant in the project,
h. It will include adequate provisions to extend the requirements
of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 to each third
party agreement, including:
(1) Each subagreement,
(2) Each property transfer agreement,
(3) Each third party contract or subcontract at any tier,
(4) Each lease, or
(5) Each participation agreement,
i. The assurances it has made will remain in effect for the longest
of the following:
(1) As long as Federal funding is extended to the project,
(2) As long as the Project property is used for a purpose for which
the Federal funding is extended,
(3) As long as the Project property is used for a purpose involving
the provision of similar services or benefits, or
(4) As long as the Applicant retains ownership or possession of the
project property.
E. Assurance of Nondiscrimination on the Basis of Disability.
1. The Applicant assures that it and its project implementation and
operations will comply with all applicable requirements of:
a. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et
seq.,
b. The Americans with Disabilities Act of 1990, as amended, 42
U.S.C. 12101 et seq.,
c. U.S. DOT regulations, specifically 49 CFR parts 27, 37, and 38,
and
d. Any other applicable Federal laws that may be enacted or Federal
regulations that may be promulgated,
2. As required by U.S. DOT regulations, ``Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or Benefiting
from Federal Financial Assistance,'' 49 CFR part 27, specifically 49
CFR 27.9, the Applicant assures that:
a. The following prohibition against discrimination on the basis of
disability is a condition to the approval or extension of any FTA
funding awarded to:
(1) Construct any facility,
(2) Obtain any rolling stock or other equipment,
(3) Undertake studies,
(4) Conduct research, or
(5) Participate in or obtain any benefit from any FTA administered
program,
b. In any program or activity receiving or benefiting from Federal
funding FTA or any entity within U.S. DOT administers, no otherwise
qualified people with a disability will, because of their disability,
be:
(1) Excluded from participation,
(2) Denied benefits, or
(3) Otherwise subjected to discrimination.
F. Suspension and Debarment.
1. 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, permit certifications to assure the
Applicant acknowledges that:
2. The Applicant certifies to the best of its knowledge and belief
that, it, its principals, and first tier subrecipients:
a. Are eligible to participate in covered transactions of any
Federal department or agency and are not presently:
(1) Debarred,
(2) Suspended,
(3) Proposed for debarment,
(4) Declared ineligible, or
(5) Voluntarily excluded, or
(6) Disqualified,
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:
(1) 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,
(2) Violation of any Federal or State antitrust statute, or
(3) 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,
[[Page 67538]]
or local) with commission of any of the offenses listed in the
preceding Section 2.b of this certification,
d. Have not had one or more public transactions (Federal, State, or
local) terminated for cause or default within a three-year period
preceding this certification,
e. Will promptly provide any information to the FTA if at a later
time any information contradicts the statements of subparagraphs (1)
through (4) above, and
f. Will treat each lower tier contract or lower tier subcontract
under the Project as a covered lower tier contract for purposes of 2
CFR part 1200 and 2 CFR part 180 if it:
(1) Equals or exceeds $25,000,
(2) Is for audit services, or
(3) Requires the consent of a Federal official,
g. Will require that each covered lower tier contractor and
subcontractor:
(1) Comply with the Federal requirements of 2 CFR part 1200 and 2
CFR part 180, and
(2) Assure that each lower tier participant in the Project is not
presently declared by any Federal department or agency to be:
(a) Debarred from participation in the federally funded project,
(b) Suspended from participation in the federally funded project,
(c) Proposed for debarment from participation in the federally
funded project,
(d) Declared ineligible to participate in the federally funded
project,
(e) Voluntarily excluded from participation in the federally funded
project, or
(f) Disqualified from participation in the federally funded
Project.
3. The Applicant will provide a written explanation indicated on
its Signature Page or a page attached in FTA's TEAM if it or any of its
principals, including any of its first tier subrecipients or lower tier
participants, is unable to certify to the preceding statements in this
certification.
G. U.S. OMB Assurances in SF-424B and SF-424D.
(These assurances are consistent with U.S. OMB assurances required
in SF-424B and SF-424D.)
1. Administrative Activities. The Applicant assures that:
a. For every project described in any application it submits, it
has adequate resources to properly plan, manage, and complete the
project, including:
(1) The legal authority to apply for Federal funding, and
(2) The institutional capability,
(3) The managerial capability, and
(4) The financial capability (including funds sufficient to pay the
non-Federal share of project cost).
b. It will give access and the right to examine project-related
materials, including but not limited to:
(1) FTA,
(2) The Comptroller General of the United States, and,
(3) If appropriate, the State, through any authorized
representative,
c. It will establish a proper accounting system in accordance with
generally accepted accounting standards or agency directives.
d. It will establish safeguards to prohibit employees from using
their positions for a purpose that:
(1) Results in a personal or organizational conflict of interest,
or personal gain, or
(2) Presents the appearance of a personal or organizational
conflict of interest or personal gain.
2. Project Specifics. The Applicant assures that:
a. Following receipt of FTA award, it will begin and complete
Project work within the applicable time periods,
b. For FTA funded construction projects:
(1) It will comply with FTA provisions concerning the drafting,
review, and approval of construction plans and specifications
(2) It will to the extent practicable provide and maintain
competent and adequate engineering supervision at the construction site
to assure that the completed work conforms with the approved plans and
specifications,
(3) It will include a covenant in the title of federally funded
real property acquired to assure nondiscrimination during the useful
life of the project,
(4) To the extent FTA requires, it will record the Federal interest
in the title to FTA assisted real property or interests in real
property, and
(5) To the extent practicable, without permission and instructions
from FTA, it will not alter the site of the FTA funded construction
project or facilities by:
(a) Disposing of the underlying real property or other interest in
the site and facilities,
(b) Modifying the use of the underlying real property or other
interest in the site and facilities, or
(c) Changing the terms of the underlying real property title or
other interest in the site and facilities.
c. It will furnish progress reports and other information as FTA or
the State may require.
3. Statutory and Regulatory requirements. The Applicant assures
that:
a. It will comply with all applicable Federal statutes relating to
nondiscrimination including, but not limited to the:
(1) Prohibitions against discrimination on the basis of race,
color, or national origin of Title VI of the Civil Rights Act, 42
U.S.C. 2000d,
(2) Prohibitions against discrimination on the basis of sex of:
(a) Title IX of the Education Amendments of 1972, as amended, 20
U.S.C. 1681-1683, and 1685-1687, and
(b) U.S. DOT regulations, ``Nondiscrimination on the Basis of Sex
in Education Programs or Activities Receiving Federal Financial
Assistance,'' 49 CFR part 25,
(3) Prohibitions against discrimination on the basis of age in
federally assisted programs of the Age Discrimination Act of 1975, as
amended, 42 U.S.C. 6101-6107,
(4) Section 504 of the Rehabilitation Act of 1973, as amended, 29
U.S.C. 794, which prohibits discrimination on the basis of disability,
(5) Prohibitions against discrimination on the basis of disability
of Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C.
794,
(6) Nondiscrimination requirements relating to the sale, rental, or
financing of housing of Title VIII of the Civil Rights Act, 42 U.S.C.
3601 et seq.,
(7) Prohibitions against discrimination on the basis of drug abuse
of the Drug Abuse Office and Treatment Act of 1972, as amended, 21
U.S.C. 1101 et seq.,
(8) Prohibitions against discrimination on the basis of alcohol
abuse of the Comprehensive Alcohol Abuse and Alcoholism Prevention Act
of 1970, as amended, 42 U.S.C. 4541 et seq.,
(9) Confidentiality requirements for the records of alcohol and
drug abuse patients of the Public Health Service Act, as amended, 42
U.S.C. 290dd-290dd-2, and
(10) Nondiscrimination provisions of any other statute(s) that may
apply to the project,
b. Regardless of whether Federal funding has been provided for any
of the real property acquired for Project purposes, it will provide for
fair and equitable treatment of displaced persons or persons whose
property is acquired as a result of federally assisted programs, and:
(1) It has the necessary legal authority under State and local law
to comply with:
(a) The Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended, (Uniform Relocation Act) 42
[[Page 67539]]
U.S.C. 4601 et seq., as specified by sections 210 and 305 of that Act,
42 U.S.C. 4630 and 4655, respectively, and
(b) U.S. DOT regulations, ``Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally Assisted Programs,'' 49
CFR part 24, specifically 49 CFR 24.4.
(2) It has complied with or will comply with the Uniform Relocation
Act and implementing U.S. DOT regulations including but not limited to
doing the following:
(a) It will adequately inform each affected person of the benefits,
policies, and procedures provided for in 49 CFR part 24,
(b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part
24, it will provide fair and reasonable relocation payments and
assistance for displacement, resulting from any FTA funded project, of:
1 Families and individuals,
2 Partnerships, corporations, or associations,
(c) As provided by 42 U.S.C. 4625 and 49 CFR part 24, it will
provide relocation assistance programs offering the services described
in to the U.S. DOT regulations to such displaced:
1 Families and individuals,
2 Partnerships, corporations, or associations,
(d) As required by 42 U.S.C. 4625(c)(3), within a reasonable time
before displacement it will make available comparable replacement
dwellings to families and individuals,
(e) It will:
1 Carry out the relocation process to provide displaced persons
with uniform and consistent services, and
2 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) It 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) It will pay or reimburse property owners for their necessary
expenses as specified in 42 U.S.C. 4653 and 4654, understanding that
FTA will provide Federal funding for its eligible costs of providing
payments for those expenses, as required by 42 U.S.C. 4631,
(h) It will execute the necessary implementing amendments to third
party contracts and subagreements financed with FTA funding, and
(i) It will execute, furnish, and be bound by such additional
documents as FTA may determine necessary to effectuate or implement
these assurances, and
(j) It will incorporate these assurances by reference into and make
them a part of any third party contract or subagreement, or any
amendments thereto, relating to any FTA funded project involving
relocation or land acquisition, and
(k) It will provide in any affected document that these relocation
and land acquisition provisions must supersede any conflicting
provisions,
c. To the extent practicable, it 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,
d. It will, to the extent practicable, comply with the protections
for human subjects involved in research, development, and related
activities supported by Federal funding of:
(1) The National Research Act, Pub. L. 93-348, July 12, 1974, as
amended, 42 U.S.C. 289 et seq., and
(2) U.S. DOT regulations, ``Protection of Human Subjects,'' 49 CFR
part 11,
e. It will, to the extent practicable, comply with the labor
standards and protections for federally funded projects of:
(1) The Davis-Bacon Act, as amended, 40 U.S.C. 3141 et seq.,
(2) Sections 1 and 2 of the Copeland ``Anti-Kickback'' Act, as
amended, 18 U.S.C. 874, and 40 U.S.C. 3145, respectively,
(3) The Contract Work Hours and Safety Standards Act, as amended,
40 U.S.C. 3701 et seq.,
f. It will, to the extent practicable, comply with any applicable
environmental standards that may be prescribed to implement the
following Federal laws and executive orders, including but not limited
to the following:
(l) It will comply with the institution of environmental quality
control measures under the National Environmental Policy Act of 1969,
as amended, 42 U.S.C. 4321-4335 and Executive Order No. 11514, as
amended, 42 U.S.C. 4321 note,
(2) It will comply with notification of violating facilities
pursuant to Executive Order No. 11738, 42 U.S.C. 7606 note,
(3) It will comply with protection of wetlands pursuant to
Executive Order No. 11990, 42 U.S.C. 4321 note,
(4) It will comply with evaluation of flood hazards in floodplains
in accordance with Executive Order No. 11988, 42 U.S.C. 4321 note,
(5) It will comply with an 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. 1451-1465,
(6) It will comply with 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. 7401-7671q,
(7) It will comply with protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as amended,
42 U.S.C. 300f-300j-6,
(8) It will comply with protection of endangered species under the
Endangered Species Act of 1973, as amended, 16 U.S.C. 1531-1544, and
(9) It will comply with 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),
(10) It will comply with 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. 1271-1287, and
(11) It will comply with and facilitate compliance with
(a) Section 106 of the National Historic Preservation Act of 1966,
as amended, 16 U.S.C. 470f,
(b) The Archaeological and Historic Preservation Act of 1974, as
amended, 16 U.S.C. 469-469c, and
(c) Executive Order No. 11593 (identification and protection of
historic properties), 16 U.S.C. 470 note,
g. To the extent practicable, it will comply with Federal
requirements for the care, handling, and treatment of warm blooded
animals held or used for research, teaching, or other activities
supported by Federal funding of:
(1) The Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and
(2) U.S. Department of Agriculture regulations, ``Animal Welfare,''
9 CFR subchapter A, parts 1, 2, 3, and 4,
h. To the extent practicable, before accepting delivery of any FTA
funded building it will obtain a certificate of compliance with the
seismic design and construction requirements of U.S. DOT regulations,
``Seismic Safety,'' 49 CFR part 41, specifically 49 CFR 41.117(d),
i. To the extent practicable, it and its subrecipients located in
special flood hazard areas will comply with section 102(a) of the Flood
Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), by:
(1) Participating in the Federal flood insurance program,
(2) Purchasing flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more,
j. To the extent practicable, it will comply with:
[[Page 67540]]
(1) The Hatch Act, 5 U.S.C. 1501-1508, 7324-7326, which limits 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, and
(2) 49 U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), which provide an
exception from Hatch Act restrictions for a nonsupervisory employee of
a public transportation system (or of any other agency or entity
performing related functions) receiving FTA funding to whom the Hatch
Act does not otherwise apply,
k. It will have performed the financial and compliance audits as
required by:
(1) The Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et
seq.,
(2) U.S. OMB Circular A-133, ``Audits of States, Local Governments,
and Non-Profit Organizations,'' Revised, and
(3) The most recent applicable U.S. OMB A-133 Compliance Supplement
provisions for the U.S. DOT, and
l. It will, to the extent practicable, 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.
GROUP 02. LOBBYING CERTIFICATION
You must select the following certifications in Group 02 if you
apply on behalf of your Applicant for a Federal grant or cooperative
agreement exceeding $100,000, or a loan (including a line of credit),
loan guarantee, or loan insurance exceeding $150,000, except if you are
applying on behalf of an Indian tribe, tribal organization, or other
Indian organization or if we determine otherwise in writing.
As required by 31 U.S.C. 1352 and U.S. DOT regulations, ``New
Restrictions on Lobbying,'' specifically 49 CFR 20.110, you and your
Applicant understand that:
a. The lobbying restrictions of your certification apply to your
Applicant's requests for:
(1) $100,000 or more in Federal funding for a grant or cooperative
agreement, and
(2) $150,000 or more in Federal funding for a loan, line of credit,
or loan guarantee,
b. Its certification covers the lobbying activities of:
(1) It,
(2) Its principals, and
(3) Its first tier subrecipients:
Therefore, on behalf of your Applicant, you certify to the best of
your knowledge and belief, that:
1. No Federal appropriated funds have been or will be paid by or on
its behalf to any person:
a. To influence or attempt to influence:
(1) An officer or employee of any Federal agency,
(2) A Member of Congress, an employee of a member of Congress, or
an officer or employee of Congress,
b. Regarding the award of a:
(1) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan insurance
2. It will submit a complete OMB Standard Form-LLL, ``Disclosure of
Lobbying Activities (Rev. 7-97),'' in accordance with its instructions,
if any funds other than Federal appropriated funds have been or will be
paid to any person:
a. To influence or attempt to influence:
(1) An officer or employee of any Federal agency,
(2) A Member of Congress, an employee of a Member of Congress, or
an officer or employee of Congress, or
b. Regarding any application for a:
(1) Federal grant or cooperative agreement,
(2) Federal loan, line of credit, loan guarantee, or loan
insurance, and
3. It will include the language of this certification in the award
documents for all subawards at all tiers including, but not limited to:
a. Subcontracts,
b. Subgrants,
c. Subagreements, and
d. Third party contracts under a:
(1) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan
insurance, and
4. It understands that:
a. This certification is a material representation of fact that the
Federal Government relies on, and
b. It must submit this certification before the Federal Government
may award funding for a transaction covered by 31 U.S.C. 1352,
including a:
(1) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan
insurance, and
5. It also understands that any person who does not file a required
certification will be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
GROUP 03. PROCUREMENT COMPLIANCE
We request that you provide the following procurement
certification, on behalf of your Applicant by selecting Group 03,
especially if your Applicant is a State, local, or Indian tribal
government with a certified procurement system, as provided in 49 CFR
18.36(g)(3)(ii).
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 approved otherwise in writing.
GROUP 04. PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS
You must select the following certifications in Group 04 on behalf
of your Applicant if it is a State, local, or Indian tribal government
and you are applying for or will apply for 49 U.S.C. chapter 53 funding
to:
Acquire property of a private transit operator, or
Operate public transit in competition with or in addition
to a private transit provider.
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that:
1. Before it:
a. Acquires the property or an interest in the property of a
private provider of public transportation, or
b. Operates public transportation equipment or facilities:
(1) In competition with transportation service provided by an
existing public transportation company, or
(2) In addition to transportation service provided by an existing
public transportation company,
2. It has or will have:
a. Determined that the funding 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.
GROUP 05. PUBLIC HEARING
You must select the following certifications in Group 05 on behalf
of your Applicant if you apply for 49 U.S.C. chapter 53 funding for a
capital project that will substantially affect a community or its
transit service.
As required by 49 U.S.C. 5323(b), the Applicant certifies that:
[[Page 67541]]
1. Before submitting an application for a capital project that:
a. Will substantially affect:
(1) A community, or
(2) The public transportation service of a community, and
b. Also will affect:
(1) Significant economic interests,
(2) Significant social interests, or
(3) Significant environmental interests,
It will:
(1) Provide an adequate opportunity for public review and comment
on the project, after giving notice that:
(a) Includes a concise description of the proposed project; and
(b) Has been published in a newspaper of general circulation in the
geographic area the project.
(2) Hold a public hearing on the project if the project affects:
(a) Significant economic interests,
(b) Significant social interests, or
(c) Significant environmental interests,
2. It will have considered the economic, social, and environmental
effects of the project, and
3. It will have determined that the project is consistent with
official plans for developing the community.
GROUP 06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE
You must select the following certification on behalf of your
Applicant in Group 06 if you apply for 49 U.S.C. chapter 53 funding to
acquire any rolling stock for use in revenue service.
The Applicant certifies that in procuring revenue service rolling
stock, it will comply with:
1. Federal transit law, specifically 49 U.S.C. 5323(m),
2. FTA regulations, ``Pre-Award and Post-Delivery Audits of Rolling
Stock Purchases,'' 49 CFR part 663, specifically 49 CFR 663.7, as
modified by amendments authorized by section 3023(k) of SAFETEA-LU,
including the requirements to:
a. Conduct or cause to be conducted the required preaward and post
delivery reviews, and
b. Maintain on file the certifications required by 49 CFR part 663,
subparts B, C, and D.
GROUP 07. ACQUISITION OF CAPITAL ASSETS BY LEASE
You must select the following certifications in Group 07 if you
apply on behalf of your Applicant for 49 U.S.C. chapter 53 funding to
acquire capital assets by lease.
As required by FTA regulations, ``Capital Leases,'' 49 CFR part
639, specifically 639.15(b)(1) and 639.21, if the Applicant acquires
any capital asset by lease financed with Federal funding authorized
under 49 U.S.C. chapter 53, the Applicant certifies as follows:
1. It will not use Federal funding authorized under 49 U.S.C.
chapter 53 to finance the cost of leasing any capital asset until:
a. It performs calculations demonstrating that leasing the capital
asset would be more cost-effective than purchasing or constructing a
similar asset, and
b. It completes these calculations before the later of:
(1) Entering into the lease, or
(2) Receiving a capital grant for the asset, and
2. It will not enter into a capital lease for which FTA can provide
only incremental Federal funding unless it has adequate financial
resources to meet its future lease obligations if Federal funding is
not available.
GROUP 08. BUS TESTING
You must select the following certification in Group 08 if you
apply on behalf of your Applicant for 49 U.S.C. chapter 53 funding to
acquire any new or newly configured bus or a bus with new major
components.
The Applicant certifies that:
1. It will comply with Federal transit law, specifically 49 U.S.C.
5318,
2. FTA regulations, ``Bus Testing,'' 49 CFR part 665, specifically
49 CFR 665.7, requires that
a. Before:
(1) Spending any Federal funds to acquire:
(a) The first bus of any new bus model,
(b) The first bus with a new major change in configuration or
components, or
(2) Authorizing final acceptance of a new bus model or a bus model
with a major change in components or configuration:
b. It will:
(1) Ensure that the bus model has been tested at FTA's bus testing
facility, and
(2) Have received a copy of the test report prepared on the bus
model.
GROUP 09. CHARTER SERVICE AGREEMENT
You must enter in the Charter Service Agreement in Group 09 on
behalf of your Applicant if you apply for funding to acquire or operate
transit facilities and equipment, unless your Applicant qualifies for
an exception under Federal law and regulations.
As required by 49 U.S.C. 5323(d) and (g) and FTA regulations,
``Charter Service,'' 49 CFR part 604, specifically 49 CFR 604.4, the
Applicant understands and agrees that:
1. Except in certain circumstances described in its regulations,
FTA's ``Charter Service'' regulations restrict transportation by
charter service using facilities and equipment acquired by FTA for
transportation projects with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. Sec. Sec. 133 or 142,
2. FTA's charter service restrictions extend to:
a. The Applicant when it becomes a recipient of Federal funding
under:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. Sec. Sec. 133 or 142,
b. Any third party participant that receives Federal funding
derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. Sec. Sec. 133 or 142,
c. A third party participant includes a:
(1) Subrecipient at any tier,
(2) Lessee,
(3) Third party contractor or subcontractor at any tier, and
(4) Other participant in the project,
3. Neither the Applicant nor any third party participant involved
in its Project will engage in charter service operations, except as
permitted under:
a. Federal transit laws, specifically 49 U.S.C. 5323(d) and (g),
b. FTA regulations, ``Charter Service,'' 49 C.F.R. Part 604,
c. Any other Federal Charter Service regulations, or
d. Federal directives, except as FTA determines otherwise in
writing.
4. The Applicant agrees that the latest Charter Service Agreement
it has selected in its latest annual Certifications and Assurances is
incorporated by reference in and made part of the underlying Agreement
accompanying an award of FTA funding.
5. The Applicant agrees that:
a. FTA may require corrective measures or impose remedies on it or
any subrecipient that has engaged in a pattern of violations of FTA's
Charter Service regulations by:
(1) Conducting charter operations prohibited by Federal transit
laws and FTA's Charter Service regulations, or
(2) Otherwise violating the Applicant's Charter Service Agreement
it has elected in its latest annual Certifications and Assurances.
b. These corrective measures and remedies may include:
(1) Barring it or any third party participant operating public
[[Page 67542]]
transportation under the Project that has provided prohibited charter
service from receiving FTA funds, or
(2) Withholding an amount of Federal funds as provided by Appendix
D to FTA's Charter Service regulations.
GROUP 10. SCHOOL TRANSPORTATION AGREEMENT
You must enter in the School Transportation Agreement in Group 10
on behalf of your Applicant if you apply for funding to acquire or
operate transit facilities and equipment, unless your Applicant
qualifies for an exception under Federal law and regulations.
As required by 49 U.S.C. 5323(f) and (g) and FTA regulations,
``School Bus Operations,'' 49 CFR part 605, to the extent consistent
with 49 U.S.C. 5323(f) and (g), the Applicant understands and agrees
that:
1. FTA's ``School Bus Operations'' regulations restrict school bus
service as defined in the FTA regulations using facilities and
equipment acquired with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. Sec. Sec. 133 or 142,
2. FTA's school bus operations restrictions extend to:
a. The Applicant when it becomes a recipient of Federal funding
under:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. Sec. Sec. 133 or 142,
b. Any third party participant that receives Federal funding
derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. Sec. Sec. 133 or 142,
c. A third party participant includes a:
(1) Subrecipient at any tier,
(2) Lessee,
(3) Third party contractor or subcontractor at any tier, and
(4) Other participant in the project,
3. Neither the Applicant nor any third party participant involved
in its Project will engage in school transportation operations in
competition with private operators of school transportation, except as
permitted under:
a. Federal transit laws, specifically 49 U.S.C. Sec. 5323(f) and
(g),
b. FTA regulations, ``School Bus Operations,'' 49 C.F.R. Part 605,
to the extent consistent with 49 U.S.C. Sec. 5323(f) and (g),
c. Any other Federal School Transportation regulations, or
d. Federal directives, except as FTA determines otherwise in
writing.
4. The Applicant agrees that the latest School Transportation
Agreement it has selected in its latest annual Certifications and
Assurances is incorporated by reference in and made part of the
underlying Agreement accompanying an award of FTA funding.
5. The Applicant agrees that FTA will bar the Applicant or any
third party participant that has violated this School Transportation
Agreement from receiving Federal transit funding in an amount FTA
considers appropriate.
GROUP 11. DEMAND RESPONSIVE SERVICE
You must select the following certification in Group 11 on behalf
of your Applicant if your Applicant operates demand responsive service
and you apply for 49 U.S.C. chapter 53 funding to acquire non rail
transit vehicles.
As required by U.S. DOT regulations, ``Transportation Services for
Individuals with Disabilities (ADA),'' 49 CFR part 37, specifically 49
CFR 37.77(d), the Applicant certifies that:
1. The following public transportation services it offers are
equivalent in level and quality of service:
a. Its demand responsive service offered to individuals with
disabilities, including individuals who use wheelchairs,
b. Its service offered to individuals without disabilities,
2. Viewed in its entirety, the Applicant's service for individuals
with disabilities is:
a. Provided in the most integrated setting feasible, and
b. Equivalent to the service it offers individuals without
disabilities 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.
GROUP 12. ALCOHOL MISUSE AND PROHIBITED DRUG USE
You must select the following certification in Group 12 on behalf
of your Applicant if FTA regulations, ``Prevention of Alcohol Misuse
and Prohibited Drug Use in Transit Operations,'' 49 CFR part 655,
require your Applicant to provide a certification concerning its
activities to prevent alcohol misuse and prohibited drug use in its
public transportation operations.
As required by FTA regulations, ``Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations,'' specifically 49 CFR part
655, subpart I, the Applicant certifies that it:
1. Has established and implemented:
a. An alcohol misuse program and
b. An anti-drug program, and
2. Has complied with or will comply with all applicable
requirements of this part.
GROUP 13. INTEREST AND OTHER FINANCING COSTS
You must select the following certification in Group 13 if the your
Applicant intends to reimburse interest or other financing costs with
Urbanized Area Formula Program, Capital Investment Program, or Paul S.
Sarbanes Transit in Parks Program funding.
The Applicant certifies that:
1. It will not seek reimbursement for interest or other financing
costs:
a. Unless it is eligible to receive Federal funding for those
costs,
b. 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, and
2. It will comply with:
a. Urbanized Area Formula Program interest provisions of 49 U.S.C.
5307(g)(3),
b. Capital Investment Program provisions of 49 U.S.C.
5309(g)(2)(B)(iii),
c. Capital Investment Program provisions of 49 U.S.C.
5309(g)(3)(B)(iii),
d. Capital Investment Program provisions of 49 U.S.C.
5309(i)(2)(C), and
e. Paul S. Sarbanes Transit in Parks Program provisions of 49
U.S.C. 5320(h)(2)(C).
GROUP 14. INTELLIGENT TRANSPORTATION SYSTEMS
Select the following assurance in Group 14 if you apply on behalf
of your Applicant for an Intelligent Transportation Systems (ITS)
project or a project in support of an ITS project. An Applicant for ITS
project funding that fails to provide this assurance, without providing
other documentation assuring its commitment to comply with applicable
Federal ITS standards and protocols, may be ineligible for award of
Federal funding for that ITS project.
As used in this assurance, the term Intelligent Transportation
Systems (ITS) project is defined to include any project that in whole
or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision
of one or more ITS user services as defined in the ``National ITS
Architecture.'' The Applicant assures that:
[[Page 67543]]
1. As provided in subsection 5307(c) of SAFETEA-LU, 23 U.S.C. 512
note:
a. ``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, [will] conform to the national architecture,
applicable standards or provisional standards, and protocols developed
under subsection (a) [of section 5307 of SAFETEA-LU].''
b. ITS standards will not apply if it obtains an exception to
subsection 5307(c) of SAFETEA-LU, 23 U.S.C. 512 note.
2. 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, if supported with Federal funding
not derived from:
a. Title 49, United States Code, or
b. Title 23, United States Code.
3. To facilitate compliance with subsection 5307(c) of 23 U.S.C.
512 note, except as the Federal Government determines otherwise in
writing, the Applicant assures that it will comply with:
a. FTA Notice, ``FTA National ITS Architecture Policy on Transit
Projects,'' 66 FR 1455, January 8, 2001, specifically:
(1) Applicable provisions of Section V (Regional ITS Architecture,
and
(2) Section VI (Project Implementation), and
b. 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,
GROUP 15. URBANIZED AREA FORMULA PROGRAM
You must select the following certifications and assurances in
Group 15 if you apply on behalf of your Applicant for Urbanized Area
Formula Program funding, 49 U.S.C. 5307. Your 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, unless FTA determines
otherwise in writing. Consequently, we strongly encourage your
Applicant 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 it has made.
Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to spend at
least one (1) percent of its Urbanized Area Formula Program funding for
public transportation security projects, unless it has certified that
such expenses are not necessary. Information about its intentions must
be recorded in the ``Security'' tab page of the TEAM-Web ``Project
Information'' window when it submits its Urbanized Area Formula Program
application in TEAM-Web.
We may not award Urbanized Area Formula Program funding to any
Applicant that is required by 49 U.S.C. 5307(d)(1)(K) to spend one (1)
percent of its Urbanized Area Formula Program funding for eligible
transit enhancements unless its quarterly report for the fourth quarter
of the preceding Federal fiscal year has been submitted to FTA and
includes the required list or sufficient information to demonstrate
that the Designated Recipients in its area together have spent one (1)
percent of the amount of Urbanized Area Program funding made available
to them for transit enhancement projects or have included the same
information in a separate report attached in TEAM-Web.
The following certifications apply to each Applicant for funding
under the Urbanized Area Formula Program authorized under 49 U.S.C.
5307. The Applicant certifies that:
1. As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
a. Legal capacity to carry out its proposed projects,
b. Financial capacity to carry out its proposed projects,
c. Technical capacity to carry out its proposed projects,
d. Safety aspects of its proposed projects, and
e. Security aspects of its proposed projects,
2. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have
satisfactory continuing control over the use of project equipment and
facilities,
3. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the
project equipment and facilities adequately,
4. As required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the
following individuals will be charged not more than fifty (50) percent
of the peak hour fare for transportation during non-peak hours using or
involving project facilities or equipment supported under 49 U.S.C.
5307:
a. Elderly individuals,
b. Individuals with disabilities, or
c. Individuals 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.),
5. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a
procurement under 49 U.S.C. 5307, it will:
a. Use competitive procurement (as defined or approved by FTA),
b. Not use exclusionary or discriminatory specifications in its
procurements,
c. Comply with applicable Buy America laws, and
d. Comply with the:
(1) General provisions for FTA programs of 49 U.S.C. 5323, and
(2) Third party procurement requirements of 49 U.S.C. 5325,
6. As required by 49 U.S.C. 5307(d)(1)(F), it has complied with or
will comply with 49 U.S.C. 5307(c) because it:
a. Has informed or will inform the public of the amounts of its
Urbanized Area Formula Program funds available under 49 U.S.C. 5307,
and the projects it proposes to undertake,
b. Has developed or will develop, in consultation with interested
parties including private transportation providers, the projects
proposed to be funded,
c. Has published or will publish a list of its projects in a way
that affected citizens, private transportation providers, and local
elected officials will have an opportunity to examine and submit
comments on the proposed projects and its performance,
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 coordination of transportation services assisted under 49 U.S.C.
5336 with federally assisted transportation services supported by a
Federal Government source other than U.S. DOT,
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. As required by 49 U.S.C. 5307(d)(1)(G), it:
a. Has or will have the amount of funds required for the local
share,
b. Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
c. Will provide the local share funds when needed,
8. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
a. The requirements of 49 U.S.C. 5301(a) for public transportation
systems that:
[[Page 67544]]
(1) Maximize the safe, secure, and efficient mobility of people,
(2) Minimize environmental impacts, and,
(3) Minimize transportation-related fuel consumption and reliance
on foreign oil,
b. The requirements of 49 U.S.C. 5301(d) for special efforts to:
(1) Design public transportation for elderly individuals and
individuals with disabilities, and
(2) Provide public transportation for elderly individuals and
individuals with disabilities, and
c. The requirements of 49 U.S.C. 5303--5306 for:
(1) Metropolitan and State Planning, and
(2) Private enterprise participation,
9. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally
developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
10. As required by 49 U.S.C. 5307(d)(1)(J), if it serves an
urbanized area with a population of at least 200,000:
a. Each fiscal year, it will spend at least one (1) percent of its
49 U.S.C. 5307 funding for public transportation security projects
(limited to capital projects in the case of an Applicant serving an
urbanized area with a population of 200,000 or more), or
b. That fiscal year, it will certify that such expenses for
transportation security projects are not necessary,
c. Public transportation security projects include:
(1) Increased lighting in or adjacent to a public transportation
system (including bus stops, subway stations, parking lots, and
garages),
(2) Increased camera surveillance of an area in or adjacent to that
system,
(3) Emergency telephone line or lines to contact law enforcement or
security personnel in an area in or adjacent to that system, and
(4) Any other project intended to increase the security and safety
of an existing or planned public transportation, and
11. As required by 49 U.S.C. 5307(d)(1)(K), if it serves an
urbanized area with a population of at least 200,000:
a. Each fiscal year, it or all the Recipients of 49 U.S.C. 5307
funding in its urbanized area will spend at least one (1) percent of
that funding for transit enhancements, as defined in 49 U.S.C. 5302(a),
b. It will include in its quarterly report for the fourth quarter
of the preceding Federal fiscal year a list of the projects during that
Federal fiscal year using those 49 U.S.C. 5307 funds, and
c. The report of its transit enhancement projects is or will be
incorporated by reference and made part of its certifications and
assurances.
GROUP 16. CLEAN FUELS GRANT PROGRAM
You must select the following certifications and assurances in
Group 16 if you apply on behalf of your Applicant for Clean Fuels Grant
Program funding, 49 U.S.C. 5308. Your 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, unless FTA determines
otherwise in writing. Consequently, we strongly encourage your
Applicant 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 it has made.
The following certifications apply to each Applicant for funding
under the Clean Fuels Grant Program authorized under 49 U.S.C. 5308:
1. As required by FTA regulations, ``Clean Fuels Grant Program, 49
CFR part 624, specifically 49 CFR 624.7, the Applicant certifies it
will operate vehicles purchased with Federal funding provided under the
Clean Fuels Grant Program, 49 U.S.C. 5308 only with clean fuels.
2. Under 49 U.S.C. 5308(d)(1), the requirements of 49 U.S.C. 5307
apply to the Clean Fuels Grant Program. To comply with those
requirements, as specified under 49 U.S.C. 5307(d)(1), the Applicant
certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have
satisfactory continuing control over the use of project equipment and
facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the
project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the
following individuals will be charged not more than fifty (50) percent
of the peak hour fare for transportation during non-peak hours using or
involving project facilities or equipment supported under 49 U.S.C.
5308:
(1) Elderly individuals,
(2) Individuals with disabilities, or
(3) Individuals 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.),
e. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a
procurement under 49 U.S.C. 5308, it will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its
procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49
U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49
U.S.C. 5325,
f. As required by 49 U.S.C. 5307(d)(1)(F), it has complied with or
will comply with 49 U.S.C. 5307(c) because it:
(1) Has informed or will inform the public of the amounts of its
Clean Fuels Grant Program funds available under 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 projects
proposed to be funded,
(3) Has published or will publish a list of its projects in a way
that affected citizens, private transportation providers, and local
elected officials will have an opportunity to examine and submit
comments on the proposed projects and its performance,
(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 coordination of transportation services assisted under 49 U.S.C.
5336 with federally assisted transportation services supported by a
Federal government source other than U.S. DOT,
(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,
[[Page 67545]]
g. As required by 49 U.S.C. 5307(d)(1)(G), it:
(1) Has or will have the amount of funds required for the local
share,
(2) Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
(3) Will provide the local share funds when needed,
h. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation
systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance
on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and
individuals with disabilities, and
(b) Provide public transportation for elderly individuals and
individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303--5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation, and
i. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally
developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 17. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES FORMULA
GRANT PROGRAM AND PILOT PROGRAM
You must select the following certifications and assurances in
Group 17 if you apply on behalf of your State or State organization as
the direct Applicant for Elderly Individuals and Individuals with
Disabilities Formula Grant Program funding 49 U.S.C. 5310, and, if
qualified, for Elderly Individuals and Individuals with Disabilities
Pilot Program funding, subsection 3012(b) of SAFETEA-LU. Only a State
or a State organization acting as the Recipient on behalf of a State
may be a direct recipient of this funding. Your State or State
organization 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, unless FTA determines otherwise in writing. Consequently, we
strongly encourage your State or State organization Applicant 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 it has made.
The following certifications and assurances apply to each State or
State organization serving as Applicant for funding and each
subrecipient of funding under the Elderly Individuals and Individuals
with Disabilities Formula Grant Program authorized under 49 U.S.C.
5310, and the Elderly Individuals and Individuals with Disabilities
Pilot Program authorized under subsection 3012(b) of SAFETEA-LU.
1. The State or State organization Applicant assures that:
a. Each subrecipient is:
(1) 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
(2) A public body that has met the statutory requirements to
receive Federal funding authorized for 49 U.S.C. 5310,
b. The State or State organization Applicant can conclude from
information in a private nonprofit subrecipient's application for 49
U.S.C. 5310 funding that:
(1) The transit service provided or offered to be provided by
existing public or private transit operators cannot meet the special
needs of elderly individuals and individuals with disabilities, because
it is:
(a) Unavailable,
(b) Insufficient, or
(c) Inappropriate,
c. As required by 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, the project has been or will have
been coordinated with private nonprofit providers of services under 49
U.S.C. 5310,
d. As required by 49 U.S.C. 5310(d)(2)(C), the Applicant certifies
that allocations to subrecipients 49 U.S.C. 5310 funding or subsection
3012(b) funding will be distributed on a fair and equitable basis, and
e. As required by 49 U.S.C. 5310(d)(2)(B) and subsection 3012(b)(2)
of SAFETEA-LU, the Applicant certifies that:
(1) The projects it has selected or will select for funding under
that program were derived from a public transit-human services
transportation plan that has been:
(a) Locally developed, and
(b) Coordinated, and
(2) That locally developed, coordinated plan was produced through a
process that included:
(a) Representatives of public, private, and nonprofit
transportation providers,
(b) Representatives of public, private, and nonprofit human
services providers, and
(c) Participation by the public.
2. As permitted by 49 U.S.C. 5310(d), the Federal Transit
Administrator has selected certain requirements of 49 U.S.C. 5307 to be
appropriate for the Elderly Individuals and Individuals with
Disabilities Formula Grant Program authorized by 49 U.S.C. 5310, and
the Elderly Individuals and Individuals with Disabilities Pilot Program
authorized by subsection 3012(b) of SAFETEA-LU, 49 U.S.C. 5310 note, of
which some require certifications. Therefore, as specified under 49
U.S.C. 5307(d)(1), the State or State organization Applicant certifies
that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it and each subrecipient
has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it and each subrecipient
has or will have satisfactory continuing control over the use of
project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it and each subrecipient
will maintain the project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a
procurement under the Elderly Individuals and Individuals with
Disabilities Formula Grant Program authorized by 49 U.S.C. 5310, or the
Elderly Individuals and Individuals with Disabilities Pilot Program
authorized by subsection 3012(b) of SAFETEA-LU, 49 U.S.C. 5310 note, it
and each subrecipient will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its
procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49
U.S.C. 5323, and
[[Page 67546]]
(5) Comply with the third party procurement requirements of 49
U.S.C. 5325,
e. As required by 49 U.S.C. 5307(d)(1)(G), it and each
subrecipient:
(1) Has or will have the amount of funds required for the local
share,
(a) As required by 49 U.S.C. 5310(c), and
(b) Subsections 3012(b)(3) and (4) of SAFETEA-LU, if applicable,
(2) Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
(3) Will provide the local share funds when needed, and
f. As required by 49 U.S.C. 5307(d)(1)(H), it and each subrecipient
will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation
systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance
on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and
individuals with disabilities, and
(b) Provide public transportation for elderly individuals and
individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303--5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation.
GROUP 18. NONURBANIZED AREA FORMULA PROGRAM FOR STATES
You must select the following certifications and assurances in
Group 18 if you apply on behalf of your Applicant for Nonurbanized Area
Formula Program funding, 49 U.S.C. 5311(b). Your 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, unless FTA
determines otherwise in writing. Consequently, we strongly encourage
your Applicant 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 it has
made.
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 funding. Separate certifications and
assurances have been established in Group 22 for an Indian tribe that
is an Applicant for Tribal Transit Program funding, 49 U.S.C.
5311(c)(1).
The following certifications and assurances apply to each State or
State organization serving as the Applicant for funding under the
Nonurbanized Area Formula Program authorized under 49 U.S.C. 5311. The
Applicant assures that:
1. It has or will have the necessary legal, financial, and
managerial capability to:
a Apply, receive and disburse 49 U.S.C. 5311(c)(1) funding, and
b. Carry out each project, including the:
(1) Safety aspects of its proposed projects, and
(2) Security aspects of its proposed projects,
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,
4. As required by 49 U.S.C. 5311(b)(2)(C)(i), its program has
provided for a fair distribution of Federal funding authorized for 49
U.S.C. 5311 within the State, including Indian reservations within the
State,
5. As required by 49 U.S.C. 5311(b)(2)(C)(ii), its program provides
or will provide the maximum feasible coordination of public
transportation service to receive funding under 49 U.S.C. 5311 with
transportation service assisted by other Federal sources,
6. The projects in its Nonurbanized Area Formula Program are
included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a metropolitan Transportation
Improvement Program,
7. It has or will have the amount of funds required for the local
share, as required by 49 U.S.C. 5311(g), and
(2) Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
(3) Will provide the local share funds when needed, and
8. As required by 49 U.S.C. 5311(f), each fiscal year:
a. It will spend at least fifteen (15) percent of its 49 U.S.C.
5311 funding available that fiscal year to develop and support
intercity bus transportation within the State, with eligible activities
including:
(1) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus shelters,
(3) Joint-use stops and depots,
(4) Operating grants through purchase-of-service agreements, user-
side subsidies, and demonstration projects, and
(5) Coordinating rural connections between small public
transportation operations and intercity bus carriers, or
b. It will provide to the Federal Transit Administrator a
certification of the State's chief executive officer that:
(1) After consulting with the affected intercity bus service
providers about the intercity bus needs of the State,
(2) The State's intercity bus service needs are being met
adequately.
GROUP 19. JOB ACCESS AND REVERSE COMMUTE (JARC) FORMULA GRANT PROGRAM
You must select the following certifications and assurances in
Group 19 if you apply on behalf of your Applicant for Job Access and
Reverse Commute (JARC) Formula Grant funding, 49 U.S.C. 5316. Your
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,
unless FTA determines otherwise in writing. Consequently, we strongly
encourage your Applicant 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 it has made.
The following certifications and assurances apply to each Applicant
for and subrecipient of funding under the Job Access and Reverse
Commute (JARC) Formula Grant funding authorized under 49 U.S.C. 5316.
1. The Applicant certifies that:
a. As required by 49 U.S.C. 5316(d)(4), it will make awards of JARC
funding on a competitive basis following:
(1) An areawide solicitation in cooperation with the appropriate
metropolitan planning organization for applications for funding under
5316(c)(1)(A) (see 49 U.S.C. 5316(d)(1)), and
(2) A statewide solicitation for applications for JARC funding
under 49 U.S.C. 5316(c)(1)(B) or 49 U.S.C. 5316(c)(1)(C), (see 49
U.S.C. 5316(d)(2)) and
b. As required by 49 U.S.C. 5316(f)(2), any allocations to
subrecipients of funding authorized under 49 U.S.C. 5316 will be
distributed on a fair and equitable basis,
c. As required by 49 U.S.C. 5316(g)(3):
(1) The projects it has selected or will select for funding under
that program were derived from a public transit-human services
transportation plan that has been:
(a) Locally developed, and
[[Page 67547]]
(b) Coordinated,
(2) That locally developed, coordinated plan was produced through a
process that included:
(a) Representatives of public, private, and nonprofit
transportation providers,
(b) Representatives of public, private, and nonprofit human
services providers, and
(c) Participation by the public, and
d. As required by 49 U.S.C. 5316(g)(2), 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, and
e. As required by 49 U.S.C. 5316(c)(3), before using funds
apportioned for projects serving an area other than that for which
funding was apportioned under 49 U.S.C. 5316(c)(1)(B) or (C):
(1) The State's chief executive officer, or his or her designee,
will have certified that all the JARC program objectives of 49 U.S.C.
5316 are being met in the area from which the funding would be derived,
(2) If the State has a statewide program for meeting the JARC
program objectives of 49 U.S.C. 5316, the funds can be used for
projects anywhere in the State.
2. Under 49 U.S.C. 5316(f)(1), the requirements of 49 U.S.C. 5307
apply to the JARC Program, authorized under 49 U.S.C. 5316. Therefore,
as specified under 49 U.S.C. 5307(d)(1), the Applicant certifies that
a. As required by 49 U.S.C. 5307(d)(1)(A), it and each subrecipient
has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it and each subrecipient
has or will have satisfactory continuing control over the use of
project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it and each subrecipient
will maintain the project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(D), it and each subrecipient
will ensure that the following individuals will be charged not more
than fifty (50) percent of the peak hour fare for transportation during
non-peak hours using or involving project facilities or equipment
supported under 49 U.S.C. 5316:
(1) Elderly individuals,
(2) Individuals with disabilities, or
(3) Individuals 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.),
e. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a
procurement under the JARC Program, 49 U.S.C. 5316, it will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its
procurements,
(3) Comply with applicable Buy America laws,
(4) Comply with the general provisions for FTA programs of 49
U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49
U.S.C. 5325,
f. As required by 49 U.S.C. 5307(d)(1)(F), it and each subrecipient
has complied with or will comply with 49 U.S.C. 5307(c) because it:
(1) Has informed or will inform the public of the amount of its
JARC Program funds available under 49 U.S.C. 5316, and the projects it
proposes to undertake,
(2) Has developed or will develop, in consultation with interested
parties including private transportation providers, the projects
proposed to be funded,
(3) Has published or will publish a list of its projects in a way
that affected citizens, private transportation providers, and local
elected officials will have an opportunity to examine and submit
comments on the proposed projects and its performance,
(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 coordination of transportation services assisted under 49 U.S.C.
5336 with federally assisted transportation services supported by a
Federal government source other than U.S. DOT,
(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. As required by 49 U.S.C. 5307(d)(1)(G), it and each
subrecipient:
(1) Has or will have the amount of funds required for the local
share,
(2) Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
(3) Will provide the local share funds when needed,
h. As required by 49 U.S.C. 5307(d)(1)(H), it and each subrecipient
will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation
systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance
on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and
individuals with disabilities, and
(b) Provide public transportation for elderly individuals and
individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303--5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation, and
i. As required by 49 U.S.C. 5307(d)(1)(I), it and each subrecipient
has a locally developed process to solicit and consider public comment
before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 20. NEW FREEDOM PROGRAM
You must select the following certifications and assurances in
Group 20 if you apply on behalf of your Applicant for New Freedom
Program funding, 49 U.S.C. 5317. Your 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, unless FTA determines
otherwise in writing. Consequently, we strongly encourage your
Applicant 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 it has made.
1. The Applicant certifies that:
a. As required by 49 U.S.C. 5317(d)(4), it will make awards of New
Freedom funding on a competitive basis following:
(1) An areawide solicitation in cooperation with the appropriate
metropolitan planning organization for applications for funding under
5317(c)(1)(A) (see 49 U.S.C. 5317(d)(1)), and
[[Page 67548]]
(2) A statewide solicitation for applications for JARC funding
under 49 U.S.C. 5317(c)(1)(B) or 49 U.S.C. 5317(c)(1)(C), (see 49
U.S.C. 5317(d)(2)),
b. As required by 49 U.S.C. 5317(e)(2), any allocations to
subrecipients of funding authorized under 49 U.S.C. 5317 will be
distributed on a fair and equitable basis,
c. As required by 49 U.S.C. 5317(f)(3):
(1) The projects it has selected or will select for funding under
that program were derived from a public transit-human services
transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed, coordinated plan was produced through a
process that included:
(a) Representatives of public, private, and nonprofit
transportation providers,
(b) Representatives of human services public, private, and
nonprofit providers, and
(c) Participation by the public, and
d. As required by 49 U.S.C. 5316(f)(2), 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.
2. As permitted by 49 U.S.C. 5317(e)(1), the Federal Transit
Administrator has selected certain requirements of 49 U.S.C. 5310 and
49 U.S.C. 5307 to be appropriate for the New Freedom Program, of which
some require certifications. Therefore, as specified under 49 U.S.C.
5307(d)(1), the Applicant certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it and each subrecipient
has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it and each subrecipient
has or will have satisfactory continuing control over the use of
project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it and each subrecipient
will maintain the project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a
procurement under the New Freedom Program authorized by 49 U.S.C. 5317,
it and each subrecipient will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its
procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49
U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49
U.S.C. 5325,
e. As required by 49 U.S.C. 5307(d)(1)(G), it and each
subrecipient:
(1) Has or will have the amount of funds required for the local
share,
(2) Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
(3) Will provide the local share funds when needed, and
f. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation
systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance
on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and
individuals with disabilities, and
(b) Provide public transportation for elderly individuals and
individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303--5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation.
GROUP 21. PAUL S. SARBANES TRANSIT IN PARKS PROGRAM
You must select the following certifications and assurances in
Group 21 if you apply on behalf of your Applicant for Paul S. Sarbanes
Transit in Parks Program (Parks Program) funding, 49 U.S.C. 5320.
The following certifications apply to each Applicant for funding
under the Paul S. Sarbanes Transit in Parks Program (Parks Program)
authorized under 49 U.S.C. 5320:
1. As required by 49 U.S.C. 5320(e)(D), the Applicant assures that
it will consult with the appropriate Federal land management agency
during the planning process.
2. As permitted by 49 U.S.C. 5320(i), the Federal Transit
Administrator has selected certain requirements of 49 U.S.C. 5307 to be
appropriate for the Parks Program, of which some require
certifications. Therefore as specified under 49 U.S.C. 5307(d)(1), the
Applicant certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have
satisfactory continuing control over the use of project equipment and
facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the
project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a
procurement under the Parks Program, 49 U.S.C. 5320, it will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its
procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49
U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49
U.S.C. 5325,
e. As required by 49 U.S.C. 5307(d)(1)(F) and 49 U.S.C.
5320(e)(2)(C), it 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 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 considered or will consider the comments and views
received, especially those of private
[[Page 67549]]
transportation providers, in preparing its final list of projects, and
(6) Has made or will make the final list of projects available to
the public,
f. As required by 49 U.S.C. 5307(d)(1)(G), it:
(1) Has or will have the amount of funds required for the local
share,
(2) Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
(3) Will provide the local share funds when needed,
g. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation
systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance
on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and
individuals with disabilities, and
(b) Provide public transportation for elderly individuals with
disabilities, and
(3) The requirements of 49 U.S.C. 5303--5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation, and
h. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally
developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 22. TRIBAL TRANSIT PROGRAM
You must select the following certifications and assurances in
Group 22 if you apply on behalf of your Applicant for Tribal Transit
Program funds, 49 U.S.C. 5311(c)(1).
As permitted by 49 U.S.C. 5311(c)(1) the Federal Transit
Administrator has established terms and conditions for direct grants
funded under FTA's Tribal Transit Program authorized under 49 U.S.C.
5311(c)(1) for Indian tribal governments. To ensure compliance with
those requirements, the Indian tribal government serving as the
Applicant certifies and assures that:
1. It has or will have the necessary legal, financial, and
managerial capability to:
a. Apply, receive and disburse 49 U.S.C. 5311(c)(1) funding, and
b. Carry out each project, including the:
(1) Safety aspects of its proposed projects, and
(2) Security aspects of its proposed projects,
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,
4. Its project will achieve maximum feasible coordination with
transportation service assisted by other Federal sources,
5. It will:
a. Have a procurement system that complies with U.S. DOT
regulations, ``Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments,'' 49 C.F.R. part
18, specifically 49 CFR 18.36, or
b. Inform FTA promptly that its procurement system does not comply
with those U.S. DOT regulations, and
6. It will comply with the certifications, assurances, and
agreements in:
a. Group 08 (Bus Testing),
b. Group 09 (Charter Bus Agreement),
c. Group 10 (School Transportation Agreement),
d. Group 11 (Demand Responsive Service),
e. Group 12 (Alcohol Misuse and Prohibited Drug Use), and
f. Group 14 (National Intelligent Transportation Systems
Architecture and Standards).
GROUP 23. TIFIA PROJECTS
You must select the following certifications and assurances in
Group 23 if you apply on behalf of your Applicant for Transportation
Infrastructure Finance and Innovation Act (TIFIA) credit assistance
authorized under 23 U.S.C. chapter 6.
The following certifications apply to each Applicant for funding
under the Transportation Infrastructure Finance and Innovation Act
(TIFIA) Program authorized under 23 U.S.C. chapter 6:
1. Federal transit law, specifically 49 U.S.C. 5323(o) requires an
Applicant for TIFIA credit assistance funded under 23 U.S.C. chapter 6
and its project to comply with 49 U.S.C. 5307. As required by 49 U.S.C.
5307(d)(1), the Applicant certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it has or will have
satisfactory continuing control over the use of project equipment and
facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the
project equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the
following individuals will be charged not more than fifty (50) percent
of the peak hour fare for transportation during non-peak hours using or
involving project facilities or equipment supported under 23 U.S.C.
chapter 6:
(1) Elderly individuals,
(2) Individuals with disabilities, or
(3) Individuals 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.),
e. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a
procurement supported with TIFIA funding under 23 U.S.C. chapter 6, it
will:
(1) Use competitive procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its
procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49
U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49
U.S.C. 5325,
f. As required by 49 U.S.C. 5307(d)(1)(F), it has complied or will
comply with 49 U.S.C. 5307(c) because it:
(1) Has informed or will inform the public of the amounts of its
TIFIA credit assistance available under 23 U.S.C. chapter 6, and the
projects it proposes to undertake,
(2) Has developed or will develop, in consultation with interested
parties including private transportation providers, the projects it
proposes to fund,
(3) Has published or will publish a list of its projects in a way
that affected citizens, private transportation providers, and local
elected officials will have an opportunity to examine and submit
comments on the proposed projects and its performance,
(4) Has provided or will provide an opportunity for a public
hearing to obtain the views of citizens on the proposed projects,
[[Page 67550]]
(5) Has assured or will assure that the proposed projects provide
for coordination of transportation services assisted under 49 U.S.C.
5336 with federally assisted transportation services supported by a
Federal government source other than U.S. DOT,
(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. As required by 49 U.S.C. 5307(d)(1)(G), it:
(1) Has or will have the amount of funds required for the local
share,
(2) Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
(3) Will provide the local share funds when needed,
h. As required by 49 U.S.C. 5307(d)(1)(H), the Applicant will
comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation
systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance
on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and
individuals with disabilities, and
(b) Provide public transportation for elderly individuals and
individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303-5306
(a) Metropolitan and State Planning, and
(b) Private enterprise participation,
i. As required by 49 U.S.C. 5307(d)(1)(I), it has a locally
developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation,
j. As required by 49 U.S.C. 5307(d)(1)(J), if it serves an
urbanized area with a population of at least 200,000:
(1) Each fiscal year it will spend at least one (1) percent of its
funding attributed to 49 U.S.C. 5307 for public transportation security
projects, or
(2) That fiscal year, it will certify that such expenses for
transportation security projects are not necessary,
(3) Public transportation security projects include:
(a) Increased lighting in or adjacent to a public transportation
system (including bus stops, subway stations, parking lots, and
garages),
(b) Increased camera surveillance of an area in or adjacent to that
system,
(c) Emergency telephone line or lines to contact law enforcement or
security personnel in an area in or adjacent to that system, and
(d) Any other project intended to increase the security and safety
of an existing or planned public transportation, and
k. As required by 49 U.S.C. 5307(d)(1)(K), if it serves an
urbanized area with a population of at least 200,000:
(1) Each fiscal year, it or all the Recipients of 49 U.S.C. 5307
funding in its urbanized area will spend at least one (1) percent of
that funding for transit enhancements, as defined at 49 U.S.C. 5302(a),
(2) It will include in its quarterly report for the fourth quarter
of the preceding Federal fiscal year a list of the projects during that
Federal fiscal year using those 49 U.S.C. 5307 funds, and
(3) The report of its transit enhancement projects is or will be
incorporated by reference and made part of its certifications and
assurances.
2. Federal transit law at 49 U.S.C. 5323(o) requires an Applicant
for TIFIA credit assistance funded under 23 U.S.C. chapter 6 and its
project to comply with 49 U.S.C. 5309. As required 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:
a. It is eligible to receive Federal funding for those expenses,
and
b. 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.
GROUP 24. DEPOSITS OF FEDERAL FINANCIAL FUNDING TO STATE INFRASTRUCTURE
BANKS
We request that you select the following certifications and
assurances in Group 24 if you apply for 49 U.S.C. chapter 53 funding on
behalf of a State Applicant that intends to deposit the funding in a
State Infrastructure Bank (SIB). Unless we determine otherwise in
writing, the State Applicant itself is ultimately responsible for
compliance with its certifications and assurances even though the SIB
and a subrecipient may participate in a project financed with our funds
deposited in the SIB. Consequently, we encourage the Applicant to take
appropriate measures to obtaining sufficient documents from the SIB and
each subrecipient, to assure the validity of all certifications and
assurances the State Applicant has made.
The following certifications apply to each Applicant for funding
under the State Infrastructure Bank Program authorized under 23 U.S.C.
610. The State organization, serving as the Applicant for funding for
its State Infrastructure Bank (SIB) Program, assures the agreement of
both its SIB and each recipient of SIB funding (subrecipient) that each
public transportation project financed with SIB funds will be
administered in accordance with:
1. The applicable Federal laws establishing the various SIB
programs since 1995:
a. Section 1602 of SAFETEA-LU, now codified in 23 U.S.C. 610, or
b Section 1511 of TEA-21, 23 U.S.C. 181 note, or
c. Section 350 of the National Highway System Designation Act of
1995, as amended, 23 U.S.C. 181,
2. The Cooperative Agreement establishing the State's SIB program
between:
a. The State Applicant and Federal parties (FHWA, FRA, and FTA), or
b. The State Applicant and Federal parties (FHWA and FTA),
3. The Grant Agreement with the State Applicant that provides FTA
funding for the SIB, except that any provision of the FTA Master
Agreement incorporated by reference into that Grant Agreement will not
apply if it conflicts with any provision of:
a. Section 1602 of SAFETEA-LU, now codified in 23 U.S.C. 610,
b. 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
c. Federal guidance pertaining to the SIB Program,
d. The Cooperative Agreement establishing the State's SIB Program,
or
e. The FTA Grant Agreement,
4. As required by 49 U.S.C. 5323(o), Federal transit laws,
specifically 49 U.S.C. 5307 and 49 U.S.C. 5309, apply to any project
under 49 U.S.C. chapter 53 that receives SIB support or financing under
23 U.S.C. 610 (or any support from 23 U.S.C. 601-608.). Therefore:
a. To comply with 49 U.S.C. 5307, specifically 49 U.S.C.
5307(d)(1), the Applicant certifies that:
(1) As required by 49 U.S.C. 5307(d)(1)(A), it has or will have
the:
(a) Legal capacity to carry out its proposed projects,
[[Page 67551]]
(b) Financial capacity to carry out its proposed projects,
(c) Technical capacity to carry out its proposed projects,
(d) Safety aspects of its proposed projects, and
(e) Security aspects of its proposed projects,
(2) As required by 49 U.S.C. 5307(d)(1)(B), it has or will have
satisfactory continuing control over the use of project equipment and
facilities,
(3) As required by 49 U.S.C. 5307(d)(1)(C), it will maintain the
project equipment and facilities adequately,
(4) As required by 49 U.S.C. 5307(d)(1)(D), it will ensure that the
following individuals will be charged not more than fifty (50) percent
of the peak hour fare for transportation during non-peak hours using or
involving project facilities or equipment supported under 23 U.S.C.
chapter 6:
(a) Elderly individuals,
(b) Individuals with disabilities, or
(c) Individuals 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.),
(5) As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a
procurement supported by the SIB program, 23 U.S.C. 610, it will:
(a) Use competitive procurement (as defined or approved by FTA),
(b) Not use exclusionary or discriminatory specifications in its
procurements,
(c) Comply with applicable Buy America laws, and
(d) Comply with the general provisions for FTA programs of 49
U.S.C. 5323, and
(e) Comply with the third party procurement requirements of 49
U.S.C. 5325,
(6) As required by 49 U.S.C. 5307(d)(1)(F), it has complied with or
will comply 49 U.S.C. 5307(c) because it:
(a) Has informed or will inform the public of the amounts of its
SIB funding under 23 U.S.C. 610, and the projects it proposes to
undertake,
(b) Has developed or will develop, in consultation with interested
parties including private transportation providers, the projects
proposed to be funded,
(c) Has published or will publish a list of its projects in a way
that affected citizens, private transportation providers, and local
elected officials will have an opportunity to examine and submit
comments on the proposed projects and its performance,
(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 coordination of transportation services assisted under 49 U.S.C.
5336 with federally assisted transportation services supported by a
Federal government source other than U.S. DOT,
(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) As required by 49 U.S.C. 5307(d)(1)(G), it:
(a) Has or will have the amount of funds required for the local
share,
(b) Will provide the local share funds from approved non-Federal
sources except as permitted by Federal law, and
(c) Will provide the local share funds when needed,
(8) As required by 49 U.S.C. 5307(d)(1)(H), the Applicant will
comply with:
(a) The requirements of 49 U.S.C. 5301(a) for public transportation
systems that:
1 Maximize the safe, secure, and efficient mobility of people,
2 Minimize environmental impacts, and
3 Minimize transportation-related fuel consumption and reliance on
foreign oil,
(b) The requirements of 49 U.S.C. 5301(d) for special efforts to:
1 Design public transportation for elderly individuals and
individuals with disabilities, and
2 Provide public transportation for elderly individuals and
individuals with disabilities, and
(c) The requirements of 49 U.S.C. 5303-5306 for:
1 Metropolitan and State Planning, and
2 Private enterprise participation,
(9) As required by 49 U.S.C. 5307(d)(1)(I), it has a locally
developed process to solicit and consider public comment before:
(a) Raising a fare, or
(b) Implementing a major reduction of public transportation,
(10) As required by 49 U.S.C. 5307(d)(1)(J), if it will be using 49
U.S.C. 5307 funds and it serves an urbanized area with a population of
at least 200,000:
(a) Each fiscal year, it will spend at least one (1) percent of its
49 U.S.C. 5307 funding for public transportation security projects, or
(b) That fiscal year, it will certify that such expenses for
transportation security projects are not necessary,
(c) Public transportation security projects include:
1 Increased lighting in or adjacent to a public transportation
system (including bus stops, subway stations, parking lots, and
garages),
2 Increased camera surveillance of an area in or adjacent to that
system,
3 Emergency telephone line or lines to contact law enforcement or
security personnel in an area in or adjacent to that system, and
4 Any other project intended to increase the security and safety of
an existing or planned public transportation project, and
(11) As required by 49 U.S.C. 5307(d)(1)(K), if it will be using 49
U.S.C. 5307 funds and it serves an urbanized area with a population of
at least 200,000:
(a) Each fiscal year, it or all the Recipients of 49 U.S.C. 5307
funding in its urbanized area will spend at least one (1) percent of
that funding for transit enhancements, as defined in 49 U.S.C. 5302(a),
(b) It will include in its quarterly report for the fourth quarter
of the preceding Federal fiscal year a list of the projects during that
Federal fiscal year using those 49 U.S.C. 5307 funds, and
(c) The report of its transit enhancement projects is or will be
incorporated by reference and made part of its certifications and
assurances.
b. To comply with 49 U.S.C. 5309, specifically 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:
(1) It is eligible to receive Federal funding for those expenses,
and
(2) 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.
3. Federal guidance that may be issued and amendments thereto,
unless FTA has provided written approval of an alternative procedure or
course of action.
Selection and Signature Page(s) follow.
BILLING CODE 4910-57-P
[[Page 67552]]
[GRAPHIC] [TIFF OMITTED] TN01NO11.000
[[Page 67553]]
[GRAPHIC] [TIFF OMITTED] TN01NO11.001
[[Page 67554]]
[GRAPHIC] [TIFF OMITTED] TN01NO11.002
[[Page 67555]]
[FR Doc. 2011-28293 Filed 10-31-11; 8:45 am]
BILLING CODE 4910-57-C