1、493 Federal Transit Admin., DOT Pt. 661 659.39 Oversight agency reporting to the Federal Transit Administration. (a) Initial submission. Each designated oversight agency with a rail fixed guideway system that is in passenger operations as of April 29, 2005 or will begin passenger operations by May 1
2、, 2006, must make its initial submission to FTA by May 1, 2006. In states with rail fixed guideway systems initiating passenger operations after May 1, 2006, the designated oversight agency must make its initial submission within the time frame specified by the state in its designation submission, b
3、ut not later than at least sixty (60) days prior to initiation of passenger operations. Any time a state changes its designated oversight agency to carry out the re-quirements identified in this part, the new oversight agency must make a new initial submission to FTA within thir-ty (30) days of the
4、designation. (b) An initial submission must in-clude the following: (1) Oversight agency program stand-ard and referenced procedures; and (2) Certification that the system safe-ty program plan and the system secu-rity plan have been developed, re-viewed, and approved. (c) Annual submission. Before M
5、arch 15 of each year, the oversight agency must submit the following to FTA: (1) A publicly available annual report summarizing its oversight activities for the preceding twelve months, in-cluding a description of the causal fac-tors of investigated accidents, status of corrective actions, updates a
6、nd modi-fications to rail transit agency pro-gram documentation, and the level of effort used by the oversight agency to carry out its oversight activities. (2) A report documenting and track-ing findings from three-year safety re-view activities, and whether a three- year safety review has been com
7、pleted since the last annual report was sub-mitted. (3) Program standard and supporting procedures that have changed during the preceding year. (4) Certification that any changes or modifications to the rail transit agen-cy system safety program plan or sys-tem security plan have been reviewed and a
8、pproved by the oversight agency. (d) Periodic submission. FTA retains the authority to periodically request program information. (e) Electronic reporting. All submis-sions to FTA required in this part must be submitted electronically using a re-porting system specified by FTA. 659.41 Conflict of int
9、erest. The oversight agency shall prohibit a party or entity from providing services to both the oversight agency and rail transit agency when there is a conflict of interest, as defined by the state. 659.43 Certification of compliance. (a) Annually, the oversight agency must certify to the FTA that
10、 it has complied with the requirements of this part. (b) The oversight agency must sub-mit each certification electronically to FTA using a reporting system specified by FTA. (c) The oversight agency must main-tain a signed copy of each annual cer-tification to FTA, subject to audit by FTA. PART 661
11、BUY AMERICA REQUIREMENTS Sec. 661.1 Applicability. 661.3 Definitions. 661.5 General requirements. 661.6 Certification requirements for pro-curement of steel or manufactured prod-ucts. 661.7 Waivers. 661.9 Application for waivers. 661.11 Rolling stock procurements. 661.12 Certification requirement fo
12、r pro-curement of buses, other rolling stock and associated equipment. 661.13 Grantee responsibility. 661.15 Investigation procedures. 661.17 Failure to comply with certification. 661.18 Intentional violations. 661.19 Sanctions. 661.20 Rights of parties. 661.21 State Buy America provisions. AUTHORIT
13、Y: 49 U.S.C. 5323(j) (formerly sec. 165 of the Surface Transportation Assistance Act of 1982 (Pub. L. 97424); as amended by sec. 337, Pub. L. 10017; sec. 1048, Pub. L. 102 240; sec. 3020(b), Pub. L. 105178; and sec. 3023(i) and (k), Pub. L. 10959); 49 CFR 1.51. SOURCE: 56 FR 932, Jan. 9, 1991, unles
14、s oth-erwise noted. VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00503 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-494 49 CFR Ch. VI (10110 Edition) 661.1 6
15、61.1 Applicability. Unless otherwise noted, this part ap-plies to all federally assisted procure-ments using funds authorized by 49 U.S.C. 5323(j); 23 U.S.C. 103(e)(4); and section 14 of the National Capital Transportation Act of 1969, as amend-ed. 56 FR 932, Jan. 9, 1991, as amended at 72 FR 53696,
16、 Sept. 20, 2007 661.3 Definitions. As used in this part: Act means the Federal Public Trans-portation Law (49 U.S.C. Chapter 53). Administrator means the Adminis-trator of FTA, or designee. Component means any article, mate-rial, or supply, whether manufactured or unmanufactured, that is directly in
17、-corporated into the end product at the final assembly location. Contractor means a party to a third party contract other than the grantee. End product means any vehicle, struc-ture, product, article, material, supply, or system, which directly incorporates constituent components at the final as-sem
18、bly location, that is acquired for public use under a federally-funded third-party contract, and which is ready to provide its intended end func-tion or use without any further manu-facturing or assembly change(s). A list of representative end products is in-cluded at Appendix A to this section. FTA
19、 means the Federal Transit Ad-ministration. Grantee means any entity that is a recipient of FTA funds. Manufactured product means an item produced as a result of the manufac-turing process. Manufacturing process means the ap-plication of processes to alter the form or function of materials or of ele
20、ments of the product in a manner adding value and transforming those materials or elements so that they represent a new end product functionally different from that which would result from mere assembly of the elements or ma-terials. Negotiated procurement means a con-tract awarded using other than
21、sealed bidding procedures. Rolling stock means transit vehicles such as buses, vans, cars, railcars, loco-motives, trolley cars and buses, and ferry boats, as well as vehicles used for support services. System means a machine, product, or device, or a combination of such equip-ment, consisting of in
22、dividual compo-nents, whether separate or inter-connected by piping, transmission de-vices, electrical cables or circuitry, or by other devices, which are intended to contribute together to a clearly de-fined function. Factors to consider in determining whether a system con-stitutes an end product i
23、nclude: Wheth-er performance warranties apply to an integrated system (regardless of wheth-er components are separately warranteed); whether products perform on an integrated basis with other prod-ucts in a system, or are operated inde-pendently of associated products in the system; or whether trans
24、it agencies routinely procure a product separately (other than as replacement or spare parts). United States means the several States, the Commonwealth of Puerto Rico, the District of Columbia, Guam, American Samoa, the U.S. Virgin Is-lands, and the Commonwealth of the Northern Mariana Islands. APPE
25、NDIX A TO 661.3END PRODUCTS The following is a list of representative end products that are subject to the require-ments of Buy America. This list is represent-ative, not exhaustive. (1) Rolling stock end products: All individual items identified as rolling stock in 661.3 (e.g., buses, vans, cars, r
26、ailcars, locomotives, trolley cars and buses, ferry boats, as well as vehicles used for support services); train con-trol, communication, and traction power equipment that meets the definition of end product at 661.3 (e.g., a communication or traction power system, including manufac-tured bimetallic
27、 power rail). (2) Steel and iron end products: Items made primarily of steel or iron such as structures, bridges, and track work, including running rail, contact rail, and turnouts. (3) Manufactured end products: Infrastruc-ture projects not made primarily of steel or iron, including structures (ter
28、minals, depots, garages, and bus shelters), ties and ballast; contact rail not made primarily of steel or iron; fare collection systems; computers; in-formation systems; security systems; data processing systems; and mobile lifts, hoists, and elevators. 72 FR 53696, Sept. 20, 2007, as amended at 74
29、FR 30239, June 25, 2009 VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00504 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-495 Federal Transit Admin., DOT 661.7
30、 661.5 General requirements. (a) Except as provided in 661.7 and 661.11 of this part, no funds may be ob-ligated by FTA for a grantee project unless all iron, steel, and manufactured products used in the project are pro-duced in the United States. (b) All steel and iron manufacturing processes must
31、take place in the United States, except metallurgical processes involving refinement of steel additives. (c) The steel and iron requirements apply to all construction materials made primarily of steel or iron and used in infrastructure projects such as transit or maintenance facilities, rail lines,
32、and bridges. These items include, but are not limited to, structural steel or iron, steel or iron beams and col-umns, running rail and contact rail. These requirements do not apply to steel or iron used as components or subcomponents of other manufactured products or rolling stock, or to bimetallic
33、power rail incorporating steel or iron components. (d) For a manufactured product to be considered produced in the United States: (1) All of the manufacturing proc-esses for the product must take place in the United States; and (2) All of the components of the prod-uct must be of U.S. origin. A comp
34、o-nent is considered of U.S. origin if it is manufactured in the United States, re-gardless of the origin of its subcompo-nents. 61 FR 6302, Feb. 16, 1996, as amended at 74 FR 30239, June 25, 2009 661.6 Certification requirements for procurement of steel or manufac-tured products. If steel, iron, or
35、 manufactured prod-ucts (as defined in 661.3 and 661.5 of this part) are being procured, the ap-propriate certificate as set forth below shall be completed and submitted by each bidder or offeror in accordance with the requirement contained in 661.13(b) of this part. Certificate of Compliance with B
36、uy America Requirements The bidder or offeror hereby certifies that it will comply with the require-ments of 49 U.S.C. 5323(j)(1), and the ap-plicable regulations in 49 CFR part 661. Date lllllllllllllllllllllSignature llllllllllllllllllCompany llllllllllllllllllName llllllllllllllllllllTitle llllll
37、lllllllllllllllCertificate of Non-Compliance with Buy America Requirements The bidder or offeror hereby certifies that it cannot comply with the require-ments of 49 U.S.C. 5323(j), but it may qualify for an exception to the require-ment pursuant to 49 U.S.C. 5323(j)(2), as amended, and the applicabl
38、e regula-tions in 49 CFR 661.7. Date lllllllllllllllllllllSignature llllllllllllllllllCompany llllllllllllllllllName llllllllllllllllllllTitle lllllllllllllllllllll71 FR 14117, Mar. 21, 2006, as amended at 72 FR 53696, Sept. 20, 2007 661.7 Waivers. (a) Section 5323(j)(2) of Title 49 United States Co
39、de provides that the general requirements of 49 U.S.C. 5323(j)(1) shall not apply in four specific instances. This section sets out the conditions for the three statutory waivers based on public interest, non- availability, and price-differential. Section 661.11 of this part sets out the conditions
40、for the fourth statutory waiver governing the procurement of rolling stock and associated equip-ment. (b) Under the provision of 49 U.S.C. 5323(j)(2)(A), the Administrator may waive the general requirements of 49 U.S.C. 5323(j)(1) if the Administrator finds that their application would be inconsiste
41、nt with the public interest. In determining whether the conditions exist to grant this public interest waiv-er, the Administrator will consider all appropriate factors on a case-by-case basis, unless a general exception is spe-cifically set out in this part. When granting a public interest waiver, t
42、he Administrator shall issue a detailed written statement justifying why the waiver is in the public interest. The Administrator shall publish this jus-tification in the FEDERAL REGISTER, providing the public with a reasonable VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00505 Fmt 8010
43、 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-496 49 CFR Ch. VI (10110 Edition) 661.7 time for notice and comment of not more than seven calendar days. (c) Under the provision of 4
44、9 U.S.C. 5323(j)(2), the Administrator may waive the general requirements of 49 U.S.C. 5323(j) if the Administrator finds that the materials for which a waiver is re-quested are not produced in the United States in sufficient and reasonably available quantities and of a satisfac-tory quality. (1) It
45、 will be presumed that the con-ditions exist to grant this non-avail-ability waiver if no responsive and re-sponsible bid is received offering an item produced in the United States. (2) In the case of a sole source pro-curement, the Administrator will grant this non-availability waiver only if the g
46、rantee provides sufficient information which indicates that the item to be procured is only available from a single source or that the item to be procured is not produced in sufficient and rea-sonably available quantities of a satis-factory quality in the United States. (3) After contract award, the
47、 Admin-istrator may grant a non-availability waiver under this paragraph, in any case in which a bidder or offeror origi-nally certified compliance with the Buy America requirements in good faith, but can no longer comply with its certification. The Administrator will grant a non-availability waiver
48、 only if the grantee provides sufficient evidence that the original certification was made in good faith and that the item to be procured cannot now be ob-tained domestically due to commercial impossibility or impracticability. In determining whether the conditions exist to grant a post-award non-av
49、ail-ability waiver, the Administrator will consider all appropriate factors on a case-by-case basis. (d) Under the provision of section 165(b)(4) of the Act, the Administrator may waive the general requirements of section 165(a) if the Administrator finds that the inclusion of a domestic item or domestic material will increase the cost of the contract between the grantee and its supplier of that item or material by more than 25 percent. The Administrator
