[Federal Register Volume 63, Number 215 (Friday, November 6, 1998)]
[Notices]
[Pages 60108-60119]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-29684]
[[Page 60107]]
_______________________________________________________________________
Part III
Department of Transportation
_______________________________________________________________________
Federal Transit Administration
_______________________________________________________________________
Fiscal Year 1999 Annual List of Certifications and Assurances for
Federal Transit Administration Grants and Cooperative Agreements;
Notice
Federal Register / Vol. 63, No. 215 / Friday, November 6, 1998 /
Notices
[[Page 60108]]
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Fiscal Year 1999 Annual List of Certifications and Assurances for
Federal Transit Administration Grants and Cooperative Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice.
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SUMMARY: This Notice contains FTA's comprehensive compilation of the
Federal Fiscal Year 1999 certifications and assurances to be used in
connection with all Federal assistance programs administered by FTA
during Federal Fiscal Year 1999. (See Appendix A.) These certifications
and assurances include all annual certifications required by 49 U.S.C.
5307(d)(1) for FTA's Urbanized Area Formula Program as well as other
certifications and assurances needed for compliance with various other
Federal statutes and regulations affecting FTA's assistance programs.
EFFECTIVE DATE: November 6, 1998.
FOR FURTHER INFORMATION CONTACT: Pat Berkley, Office of Program
Management, Federal Transit Administration, (202) 366-6470; the FTA Web
Site at http://www.fta.dot.gov; or contact FTA staff in the appropriate
Regional Office listed below. For copies of other related documents,
contact the Office of Public Affairs, Federal Transit Administration
(202) 366-4019.
Region 1: Boston
States served: Maine, New Hampshire, Vermont, Connecticut, Rhode
Island, and Massachusetts, Telephone #617-494-2055
Region 2: New York
States served: New York, New Jersey, and Virgin Islands, Telephone
#212-264-8162
Region 3: Philadelphia
States served: Pennsylvania, Delaware, Maryland, Virginia, West
Virginia, and District of Columbia, Telephone #215-656-7100
Region 4: Atlanta
States served: Kentucky, North Carolina, South Carolina, Georgia,
Florida, Alabama, Mississippi, Tennessee, and Puerto Rico, Telephone
#404-562-3500
Region 5: Chicago
States served: Minnesota, Wisconsin, Michigan, Illinois, Indiana, and
Ohio, Telephone #312-353-2789
Region 6: Dallas/Ft.Worth
States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico,
Telephone #817-860-9663
Region 7: Kansas City
States served: Missouri, Iowa, Kansas, and Nebraska, Telephone #816-
523-0204
Region 8: Denver
States served: Colorado, Utah, Wyoming, Montana, North Dakota, South
Dakota, Telephone #303-844-3242
Region 9: San Francisco
States served: California, Hawaii, Guam, Arizona, Nevada, American
Samoa, and the Northern Mariana Islands, Telephone #415-744-3133
Region 10: Seattle
States served: Idaho, Oregon, Washington, and Alaska, Telephone #206-
220-7954
SUPPLEMENTARY INFORMATION: Before FTA may award a Federal grant or
cooperative agreement, the applicant must provide to FTA all
certifications and assurances required by Federal laws and regulations
for the applicant or its project.
This Notice provides the text of certifications and assurances that
may be required by Federal law, regulations, or directives for the
various Federal assistance programs administered by FTA including the
Capital Program, the Urbanized Area Formula Program, the Nonurbanized
Area Formula Program, the Metropolitan Planning Program, the Rural
Transit Assistance Program, the Elderly and Persons With Disabilities
Program, the Human Resource Program, the National Training Institute
Program, the State Planning and Research Program, the National Planning
and Research Program, the Joint Partnership Program for Deployment of
Innovation Program and the International Mass Transportation Program,
all codified at 49 U.S.C. chapter 53. When administering Federal
assistance programs authorized by other Federal statutes, such as Title
23, United States Code, FTA uses these same certifications and
assurances during Federal Fiscal Year 1999. In addition FTA will also
use these certifications in administering the new Job Access and
Reverse Commute Program, the Over-the-road Bus Accessibility Program,
the State Infrastructure Bank Pilot Program, and the Pilot Program for
Intercity Rail Infrastructure authorized by the Transportation Equity
Act for the 21st Century (TEA-21).
This Notice provides the applicant with a single Signature Page on
which the applicant and its attorney certifies compliance with all
certifications and assurances applicable to each grant or cooperative
agreement for which the applicant wishes to apply in Federal Fiscal
Year 1999. (See Signature Page of Appendix A.)
An applicant's Annual Certifications and Assurances applicable to a
specific grant or cooperative agreement generally remain in effect for
the life of the grant or cooperative agreement to closeout, or the life
of the project or project property when a useful life or standard
industry life is in effect. If in a later year, however, the Applicant
provides certifications and assurances that differ from the
certifications and assurances previously made, the later certifications
and assurances will apply to the grant, cooperative agreement, project,
or project property, except as FTA otherwise permits.
Electronic Submission
FTA has expanded the use of the electronic programs for applicants,
first introduced in 1995. Beginning with Fiscal Year 1999, FTA expects
applicants to submit their applications as well as certifications and
assurances electronically by means of the FTA electronic grant award
and management system. If an applicant is not able to submit the
certifications electronically, the applicant should use the Signature
Page form in Appendix A of this Federal Register Notice. The Signature
Page contains the current fiscal year's certifications and, when
properly attested to and submitted to FTA, assures FTA that the
applicant intends to comply with the requirements for the specific
program involved. Applicants may contact the appropriate Regional
Office shown above for more information.
1999 Changes
(1) All Applicants for FTA capital program or formula program
assistance, and current Grantees with an active project financed with
FTA capital program or formula program assistance, will be required to
provide the Appendix A Certifications and Assurances within 90 days
from the date of this publication or with its first grant application
in Fiscal Year 1999, whichever comes first. (2) The attorney signature
from previous years on the Single Signature Page will not be
acceptable. FTA requires a current attorney's affirmation of the
Applicant's legal authority to certify compliance with the funding
obligations in this document. Additional changes include
[[Page 60109]]
clarification and reference sources. It is important that each
applicant be familiar with all fifteen certification and assurance
categories contained in this document as they may be a prerequisite for
receiving FTA financial assistance. (3) Recipients of funds apportioned
under Section 5336 serving a population of 200,000 or more are required
by Section 5307(k) to make 1 per cent of their funds available for
transit enhancement activities. In addition, those recipients are also
required to submit a report annually listing the projects carried out
during the preceding fiscal year with those funds. (See Signature
Page.) (4) A recipient of funds under sections 5312(d) Joint
Partnership Program for Deployment of Innovation and 5312(e),
International Mass Transportation Program will be required to comply
with the requirements of the 1999 Annual Certifications and Assurances.
(5) A recipient of funds under the Transportation Equity Act for the
21st Century programs under section 3021, Pilot Program for Intercity
Rail Infrastructure (only Oklahoma); Job Access and Reverse Commute
Grant Program (section 3037); and Over-the-road Bus Accessibility
Program (3038) will be required to comply with the requirements of the
1999 Annual Certification Program.
FTA directs your attention to Appendix C in FTA Circular 9300.1A,
``Capital Program Grant Application Instructions,'' which was published
on October 1, 1998; to Exhibit D in FTA Circular 9040.1E, dated October
1, 1998, ``Nonurbanized Area Formula Program Guidance and Grant
Application Instructions; and Appendix G of FTA Circular 9030.1C, dated
October 1, 1998, Urbanized Area Formula Program: Grant Application
Instructions. These circulars contain a previous version of the Annual
Certifications and Assurances which includes some but not all of the
most current and valid changes. Do not use the document contained in
these circulars. They are examples only and will not be considered
acceptable or valid. Therefore the provisions of this Notice supersede
conflicting statements in those circulars. Note especially that the
Applicant must use the most current Signature Pages shown in this
Federal Fiscal Year 1999 Federal Register document or provide the
signature concurrently through the transportation electronic award and
management system for all applicants. A copy of an earlier fiscal
year's Certification Signature page is not acceptable.
Background
With the publication of the Federal Fiscal Year 1995 version of
this Notice, certifications and assurances for Federal assistance
programs administered by FTA were for the first time consolidated into
one document. This marked the beginning of an effort to assist
applicants in reducing time and paper work in certifying compliance
with various Federal laws and regulations. It coincided with the on-
line program and the electronic initiative described above, which also
reduced the time and paper required to process an application.
FTA intends to continue publishing this document annually with any
changes or additions specifically highlighted, in conjunction with its
publication of the FTA annual apportionment Notice, which allocates
funds in accordance with the latest U.S. Department of Transportation
(U.S. DOT) annual appropriations act.
Procedures
Following is a detailed compilation of Certifications and
Assurances and the Signature Page (Appendix A). The Signature Page is
to be signed by the applicant's authorized representative and its
attorney. It is to be electronically transmitted through the FTA
computerized on-line system, to the appropriate FTA Regional office
within 90 days of this Federal Register publication date or with the
applicant's first Federal assistance application in Federal Fiscal Year
1999, whichever comes first.
All applicants are advised to read the entire 1999 Certifications
and Assurances to be confident of their responsibilities and
commitments. The applicant may signify compliance with all Categories
by placing a single ``X'' in the appropriate space at the top of the
Signature Selection Page in Appendix A. However, the applicant's
Attorney Affirmation continues to be required as indicated on the
Signature Page at the end of Appendix A, regardless of the applicant's
selection of a single selection for all fifteen Categories, or
individual options selected from the fifteen Categories.
The Signature Page, when electronically transmitted to FTA or
properly signed and submitted, assures FTA that the applicant intends
to comply with the requirements for the specific program(s) involved,
should they apply for an FTA grant during this fiscal year. All
applicants must read the selection portion and the signature portion of
this document and signify compliance by marking, where appropriate,
with an ``X'' on the category selection side, and then signifying
compliance as indicated. (See Appendix A.) An applicant participating
in the electronic award and management program, described above, may
submit its Signature Page (both the selection side and the signature
side) electronically. The applicant should not hesitate to consult with
the appropriate Regional Office or Headquarters Office before
submitting its certifications and assurances.
References
The Transportation Equity Act for the 21st Century, Pub. L. 105-
178, June 9, 1998, as amended by the TEA-21 Restoration Act 105-206,
112 Stat. 685, July 22, 1998, 49 U.S.C. chapter 53, Title 23 U.S.C.,
U.S. DOT and FTA regulations under 49 CFR, and FTA Circulars.
Issued on: October 29, 1998.
Gordon J. Linton,
Administrator.
Appendix A
Federal Fiscal Year 1999 Certifications and Assurances for Federal
Transit Administration Assistance Programs
In accordance with 49 U.S.C. 5323(n), the following
certifications and assurances have been compiled for the various
Federal Transit Administration (FTA) programs. FTA requests each
Applicant provide as many of the following certifications and
assurances as needed to cover the various types of programs for
which the Applicant intends to seek FTA assistance in Federal Fiscal
Year 1999. A state providing certifications and assurances on behalf
of its prospective subrecipients is expected to obtain sufficient
documentation from those subrecipients needed to provide informed
certifications and assurances. The fifteen categories of
certifications and assurances are listed by Roman numerals I through
XV on the other side of the Signature Page of this document.
Categories II through XV will apply to some, but not all,
applicants. The designation of the categories corresponds to the
circumstances mandating submission of specific certifications,
assurances, or agreements.
I. Certifications and Assurances Required of Each Applicant
Each Applicant for Federal assistance awarded by FTA must
provide all certifications and assurances in this Category I.
Accordingly, FTA may not award any Federal assistance until the
Applicant provides assurance of compliance by selecting Category I
on the Signature Page at the end of this document.
A. Authority of Applicant and Its Representative
The authorized representative of the Applicant and legal counsel
who sign these certifications, assurances, and agreements attest
that both the Applicant and its authorized representative have
adequate authority under state and local law and the
[[Page 60110]]
by-laws or internal rules of the Applicant organization to:
(1) Execute and file the application for Federal assistance on
behalf of the Applicant,
(2) Execute and file the required certifications, assurances,
and agreements on behalf of the Applicant binding the Applicant, and
(3) Execute grant and cooperative agreements with FTA on behalf
of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable
Federal statutes, regulations, executive orders, FTA circulars, and
other Federal administrative requirements in carrying out any
project supported by an FTA grant or cooperative agreement. The
Applicant acknowledges that it is under a continuing obligation to
comply with the terms and conditions of the grant or cooperative
agreement issued for its project with FTA. The Applicant understands
that Federal laws, regulations, policies, and administrative
practices might be modified from time to time and affect the
implementation of the project. The Applicant agrees that the most
recent Federal requirements will apply to the project, unless FTA
issues a written determination otherwise.
C. Debarment, Suspension, and Other Responsibility Matters--Primary
Covered Transactions
As required by U.S. DOT regulations on Governmentwide Debarment
and Suspension (Nonprocurement) at 49 CFR 29.510:
(1) The Applicant (Primary Participant) certifies, to the best
of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not, within a three-year period preceding this
certification, been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a
public (Federal, state, or local) transaction or contract under a
public transaction, violation of Federal or state antitrust
statutes, or commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements, or
receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, state, or local)
with commission of any of the offenses listed in subparagraph (1)(b)
of this certification; and
(d) Have not within a three-year period preceding this
certification had one or more public transactions (Federal, state,
or local) terminated for cause or default.
(2) The Applicant also certifies that, if it later becomes aware
of any information contradicting the statements of paragraph (1)
above, it will promptly provide that information to FTA.
(3) If the Applicant (Primary Participant) is unable to certify
to the statements in paragraphs (1) and (2) above, it shall indicate
so on its Signature Page and provide a written explanation to FTA.
D. Drug-Free Workplace Agreement
As required by U.S. DOT regulations, ``Drug-Free Workplace
Requirements (Grants),'' 49 CFR Part 29, Subpart F, as modified by
41 U.S.C. 702, the Applicant agrees that it will provide a drug-free
workplace by:
(1) Publishing a statement notifying its employees that the
unlawful manufacture, distribution, dispensing, possession, or use
of a controlled substance is prohibited in its workplace and
specifying the actions that will be taken against its employees for
violation of that prohibition;
(2) Establishing an ongoing drug-free awareness program to
inform its employees about:
(a) The dangers of drug abuse in the workplace,
(b) Its policy of maintaining a drug-free workplace,
(c) Any available drug counseling, rehabilitation, and employee
assistance programs, and
(d) The penalties that may be imposed upon its employees for
drug abuse violations occurring in the workplace;
(3) Making it a requirement that each of its employees to be
engaged in the performance of the grant or cooperative agreement be
given a copy of the statement required by paragraph (1);
(4) Notifying each of its employees in the statement required by
paragraph (1) that, as a condition of employment financed with
Federal assistance provided by the grant or cooperative agreement,
the employee will be required to:
(a) Abide by the terms of the statement, and
(b) Notify the employer (Applicant) in writing of any conviction
for a violation of a criminal drug statute occurring in the
workplace no later than 5 calendar days after that conviction;
(5) Notifying FTA in writing, within 10 calendar days after
receiving notice required by paragraph (4)(b) above from an employee
or otherwise receiving actual notice of that conviction. The
Applicant, as employer of any convicted employee, must provide
notice, including position title, to every project officer or other
designee on whose project activity the convicted employee was
working. Notice shall include the identification number(s) of each
affected grant or cooperative agreement.
(6) Taking one of the following actions within 30 calendar days
of receiving notice under paragraph (4)(b) above with respect to any
employee who is so convicted:
(a) Taking appropriate personnel action against that employee,
up to and including termination, consistent with the requirements of
the Rehabilitation Act of 1973, as amended, or
(b) Requiring that employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, state, or local health, law enforcement, or
other appropriate agency;
(7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3),
(4), (5), and (6) above.
The Applicant agrees to maintain a list identifying its
headquarters location and each workplace it maintains in which
project activities supported by FTA are conducted, and make that
list readily accessible to FTA.
E. Intergovernmental Review Assurance
The Applicant assures that each application for Federal
assistance submitted to FTA has been or will be submitted, as
required by each state, for intergovernmental review to the
appropriate state and local agencies. Specifically, the Applicant
assures that it has fulfilled or will fulfill the obligations
imposed on FTA by U.S. DOT regulations, ``Intergovernmental Review
of Department of Transportation Programs and Activities,'' 49 CFR
part 17.
F. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on
the basis of race, color, creed, national origin, sex, or age, and
prohibits discrimination in employment or business opportunity),
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000d, and U.S. DOT regulations, ``Nondiscrimination in Federally-
Assisted Programs of the Department of Transportation--Effectuation
of Title VI of the Civil Rights Act,'' 49 CFR part 21 at 21.7, the
Applicant assures that it will comply with all requirements of 49
CFR part 21; FTA Circular 4702.1, ``Title VI Program Guidelines for
Federal Transit Administration Recipients'', and other applicable
directives, so that no person in the United States, on the basis of
race, color, national origin, creed, sex, or age will be excluded
from participation in, be denied the benefits of, or otherwise be
subjected to discrimination in any program or activity (particularly
in the level and quality of transportation services and
transportation-related benefits) for which the Applicant receives
Federal assistance awarded by the U.S. DOT or FTA as follows:
(1) The Applicant assures that each project will be conducted,
property acquisitions will be undertaken, and project facilities
will be operated in accordance with all applicable requirements of
49 U.S.C. 5332 and 49 CFR part 21, and understands that this
assurance extends to its entire facility and to facilities operated
in connection with the project.
(2) The Applicant assures that it will take appropriate action
to ensure that any transferee receiving property financed with
Federal assistance derived from FTA will comply with the applicable
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
(3) The Applicant assures that it will promptly take the
necessary actions to effectuate this assurance, including notifying
the public that complaints of discrimination in the provision of
transportation-related services or benefits may be filed with U.S.
DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures
that it will submit the required information pertaining to its
compliance with these requirements.
[[Page 60111]]
(4) The Applicant assures that it will make any changes in its
49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or
FTA may request.
(5) As required by 49 CFR 21.7(a)(2), the Applicant will include
in each third party contract or subagreement appropriate provisions
to impose the requirements of 49 U.S.C. 5332 and 49 CFR part 21, and
include appropriate provisions imposing those requirements in deeds
and instruments recording the transfer of real property, structures,
improvements.
G. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, ``Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or Benefiting
from Federal Financial Assistance,'' at 49 CFR part 27, implementing
the Rehabilitation Act of 1973, as amended, and the Americans with
Disabilities Act of 1990, as amended, the Applicant assures that, as
a condition to the approval or extension of any Federal assistance
awarded by FTA to construct any facility, obtain any rolling stock
or other equipment, undertake studies, conduct research, or to
participate in or obtain any benefit from any program administered
by FTA, no otherwise qualified person with a disability shall be,
solely by reason of that disability, excluded from participation in,
denied the benefits of, or otherwise subjected to discrimination in
any program or activity receiving or benefiting from Federal
assistance administered by the FTA or any entity within U.S. DOT.
The Applicant assures that project implementation and operations so
assisted will comply with all applicable requirements of U.S. DOT
regulations implementing the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, and the Americans with Disabilities Act of 1990, as
amended, 42 U.S.C. 12101 et seq. at 49 CFR parts 27, 37, and 38, and
any applicable regulations and directives issued by other Federal
departments or agencies.
H. Procurement Compliance
The Applicant certifies that its procurements and procurement
system will comply with all applicable requirements imposed by
Federal laws, executive orders, or regulations and the requirements
of FTA Circular 4220.1D, ``Third Party Contracting Requirements,''
and other implementing requirements FTA may issue. The Applicant
certifies that it will include in its contracts financed in whole or
in part with FTA assistance all clauses required by Federal laws,
executive orders, or regulations, and will ensure that each
subrecipient and each contractor will also include in its
subagreements and contracts financed in whole or in part with FTA
assistance all applicable clauses required by Federal laws,
executive orders, or regulations.
I. Certifications Prescribed by the Office of Management and Budget
(SF-424B and SF-424D)
The Applicant certifies that it:
(1) Has the legal authority to apply for Federal assistance and
the institutional, managerial, and financial capability (including
funds sufficient to pay the non-Federal share of project cost) to
ensure proper planning, management, and completion of the project
described in its application.
(2) Will give FTA, the Comptroller General of the United States
and, if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
(3) Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest or
personal gain.
(4) Will initiate and complete the work within the applicable
project time periods following receipt of FTA approval.
(5) Will comply with all statutes relating to nondiscrimination
including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which
prohibits discrimination on the basis of race, color, or national
origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20
U.S.C. 1681, 1683, and 1685 through 1687, which prohibits
discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, which prohibits discrimination on the basis of
handicaps;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 through 6107, which prohibit discrimination on the basis of
age;
(e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, relating to
nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention
Act of 1970, Pub. L. 91-616, Dec. 31, 1970, and amendments thereto,
relating to nondiscrimination on the basis of alcohol abuse or
alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C.
290dd-3 and 290ee-3, related to confidentiality of alcohol and drug
abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq.,
relating to nondiscrimination in the sale, rental, or financing of
housing;
(i) Any other nondiscrimination provisions in the specific
statutes under which Federal assistance for the project may be
provided including, but not limited to section 1101(b) of the
Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note,
which provides for participation of disadvantaged business
enterprises in FTA programs; and
(j) The requirements of any other nondiscrimination statute(s)
that may apply to the project.
(6) Will comply, or has complied, with the requirements of
Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended, (Uniform
Relocation Act) 42 U.S.C. 4601 et seq., which provide for fair and
equitable treatment of persons displaced or whose property is
acquired as a result of Federal or federally-assisted programs.
These requirements apply to all interests in real property acquired
for project purposes regardless of Federal participation in
purchases. As required by U.S. DOT regulations, ``Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs,'' at 49 CFR 24.4, and sections 210 and 305 of the
Uniform Relocation Act, 42 U.S.C. 4630 and 4655, the Applicant
assures that it has the requisite authority under applicable state
and local law and will comply or has complied with the requirements
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT
regulations, ``Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR
part 24 including, but not limited to the following:
(a) The Applicant will adequately inform each affected person of
the benefits, policies, and procedures provided for in 49 CFR part
24;
(b) The Applicant will provide fair and reasonable relocation
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624;
49 CFR part 24; and any applicable FTA procedures, to or for
families, individuals, partnerships, corporations or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs
offering the services described in 42 U.S.C. 4625 to such displaced
families, individuals, partnerships, corporations or associations in
the manner provided in 49 CFR part 24 and FTA procedures;
(d) Within a reasonable time before displacement, the Applicant
will make available comparable replacement dwellings to displaced
families and individuals as required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such
a manner as to provide displaced persons with uniform and consistent
services, and will make available replacement housing in the same
range of choices with respect to such housing to all displaced
persons regardless of race, color, religion, or national origin;
(f) In acquiring real property, the Applicant will be guided to
the greatest extent practicable under state law, by the real
property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for
necessary expenses as specified in 42 U.S.C. 4653 and 4654,
understanding that FTA will participate in the Applicant's costs of
providing those payments and that assistance for the project as
required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party
contracts and subagreements financed with FTA assistance and
execute, furnish, and be bound by such additional documents as FTA
may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or
incorporate them by reference into any third party contract or
subagreement, or any amendments thereto, relating to any project
financed by FTA
[[Page 60112]]
involving relocation or land acquisition and provide in any affected
document that these relocation and land acquisition provisions shall
supersede any conflicting provisions.
(7) Will comply, as applicable, with provisions of the Hatch
Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, which limit
the political activities of state and local agencies and their
officers and employees whose principal employment activities are
financed in whole or part with Federal funds including a Federal
loan, grant, or cooperative agreement, but does not apply to a
nonsupervisory employee of a transit system (or of any other agency
or entity performing related functions) receiving FTA assistance to
whom the Hatch Act does not otherwise apply.
(8) To the extent applicable will comply with the Davis-Bacon
Act, as amended, 40 U.S.C. 276a through 276a(7), the Copeland Act,
as amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the Contract Work
Hours and Safety Standards Act, as amended, 40 U.S.C. 327 through
333, regarding labor standards for federally-assisted subagreements.
(9) To the extent applicable, will comply with flood insurance
purchase requirements of section 102(a) of the Flood Disaster
Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), which
requires recipients in a special flood hazard area to participate in
the program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
(10) Will comply with environmental standards that may be
prescribed to implement the following Federal laws and executive
orders:
(a) Institution of environmental quality control measures under
the National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321 et seq. and Executive Order No. 11514, as amended, 42 U.S.C.
4321 note;
(b) Notification of violating facilities pursuant to Executive
Order No. 11738, 42 U.S.C. 7606 note;
(c) Protection of wetlands pursuant to Executive Order No.
11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance
with Executive Order 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972, as amended, 16 U.S.C. 1451 et seq.
(f) Conformity of Federal actions to State (Clean Air)
Implementation Plans under section 176(c) of the Clean Air Act of
1955, as amended, 42 U.S.C. 7401 et seq.;
(g) Protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et
seq.;
(h) Protection of endangered species under the Endangered
Species Act of 1973, as amended, Endangered Species Act of 1973, as
amended, 16 U.S.C. 1531 et seq.; and
(i) Environmental protections for Federal transit programs,
including, but not limited to protections for a park, recreation
area, or wildlife or waterfowl refuge of national, state, or local
significance or any land from a historic site of national, state, or
local significance used in a transit project as required by 49
U.S.C. 303.
(11) Will comply with the Wild and Scenic Rivers Act of 1968, as
amended, 15 U.S.C. 1271 et seq. relating to protecting components of
the national wild and scenic rivers systems.
(12) Will assist FTA in assuring compliance with section 106 of
the National Historic Preservation Act of 1966, as amended, 16
U.S.C. 470f, Executive Order No. 11593 (identification and
protection of historic properties), 16 U.S.C. 470 note, and the
Archaeological and Historic Preservation Act of 1974, as amended, 16
U.S.C. 469a-1 et seq.
(13) Will comply with the Lead-Based Paint Poisoning Prevention
Act, 42 U.S.C. 4801, which prohibits the use of lead-based paint in
construction or rehabilitation of residence structures.
(14) Will not dispose of, modify the use of, or change the terms
of the real property title, or other interest in the site and
facilities on which a construction project supported with FTA
assistance takes place without permission and instructions from the
awarding agency. Will record the Federal interest in the title of
real property in accordance with FTA directives and will include a
covenant in the title of real property acquired in whole or in part
with Federal assistance funds to assure nondiscrimination during the
useful life of the project.
(15) Will comply with FTA requirements concerning the drafting,
review, and approval of construction plans and specifications of any
construction project supported with FTA assistance. As required by
U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before
accepting delivery of any building financed with FTA assistance, it
will obtain a certificate of compliance with the seismic design and
construction requirements of 49 CFR part 41.
(16) Will provide and maintain competent and adequate
engineering supervision at the construction site of any project
supported with FTA assistance to ensure that the complete work
conforms with the approved plans and specifications and will furnish
progress reports and such other information as may be required by
FTA or the State.
(17) Will comply with the National Research Act, Pub. L. 93-348,
July 12, 1974, as amended, regarding the protection of human
subjects involved in research, development, and related activities
supported by the FTA assistance.
(18) Will comply with the Laboratory Animal Welfare Act of 1966,
as amended, 7 U.S.C. 2131 et seq. pertaining to the care, handling,
and treatment of warm blooded animals held for research, teaching,
or other activities supported by FTA assistance.
(19) Will have performed the required financial and compliance
audits in accordance with the Single Audit Act Amendments of 1996,
31 U.S.C. 7501 et seq. and OMB Circular No. A-133, ``Audits of
States, Local Governments, and Non-Profit Organizations.''
(20) Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies governing
the project.
II. Lobbying Certification for an Application Exceeding $100,000
An Applicant that submits, or intends to submit this fiscal
year, an application for Federal assistance exceeding $100,000 must
provide the following certification. FTA may not provide Federal
assistance for an application exceeding $100,000 until the Applicant
provides this certification by selecting Category II on the
Signature Page.
A. As required by U.S. DOT regulations, ``New Restrictions on
Lobbying,'' at 49 CFR 20.110, the Applicant's authorized
representative certifies to the best of his or her knowledge and
belief that for each application for a Federal assistance exceeding
$100,000:
(1) No Federal appropriated funds have been or will be paid, by
or on behalf of the Applicant, to any person for influencing or
attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress pertaining to the award of any
Federal assistance, or the extension, continuation, renewal,
amendment, or modification of any Federal assistance agreement; and
(2) If any funds other than Federal appropriated funds have been
or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with any application to FTA for
Federal assistance, the Applicant assures that it will complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,''
including the information required by the form's instructions, which
may be amended to omit such information as permitted by 31 U.S.C.
1352.
B. The Applicant understands that this certification is a
material representation of fact upon which reliance is placed and
that submission of this certification is a prerequisite for
providing Federal assistance for a transaction covered by 31 U.S.C.
1352. The Applicant also understands that any person who fails to
file a required certification shall be subject to a civil penalty of
not less than $10,000 and not more than $100,000 for each such
failure.
III. Effects on Private Mass Transportation Companies
An Applicant that is a state or local government seeking Federal
assistance under 49 U.S.C. chapter 53 to acquire property or an
interest in property of a private mass transportation company or
operate mass transportation equipment or a facility in competition
with or in addition to transportation service provided by an
existing mass transportation company must provide the following
certification. FTA may not award Federal assistance for that project
until the Applicant provides this certification by selecting
Category III on the Signature Page.
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies
that before it acquires
[[Page 60113]]
property or an interest in property of a private mass transportation
company or operates mass transportation equipment or a facility in
competition with or in addition to transportation service provided
by an existing mass transportation company it has or will have:
A. Found that the assistance is essential to carrying out a
program of projects as determined by the plans and programs of the
metropolitan planning organization;
B. Provided for the participation of private mass transportation
companies to the maximum extent feasible; and
C. Paid or will pay just compensation under state or local law
to a private mass transportation company for its franchises or
property acquired.
D. The assistance falls within the labor standards compliance
requirements of 49 U.S.C. 5333(a) and 5333(b).
IV. Public Hearing Certification for a Capital Project That Will
Substantially Affect a Community or its Transit Service
An Applicant seeking Federal assistance under 49 U.S.C. chapter
53 for a capital project that will substantially affect a community
or the transit service of a community must provide the following
certification. FTA may not award Federal assistance for that project
until the Applicant provides this certification by selecting
Category IV on the Signature Page.
As required by 49 U.S.C. 5323(b), the Applicant certifies that
it has, or before submitting its application, will have:
A. Provided an adequate opportunity for a public hearing with
adequate prior notice of the proposed project published in a
newspaper of general circulation in the geographic area to be
served;
B. Held that hearing and provided FTA a transcript or detailed
report summarizing the issues and responses, unless no one with a
significant economic, social, or environmental interest requests a
hearing;
C. Considered the economic, social, and environmental effects of
the project; and
D. Determined that the project is consistent with official plans
for developing the urban area.
V. Certification of Pre-Award and Post-Delivery Reviews Required for
Acquisition of Rolling Stock
An Applicant seeking FTA assistance to purchase rolling stock
must provide the following certification. FTA may not provide
assistance for any rolling stock acquisition until the Applicant
provides this certification by selecting Category V on the Signature
Page.
As required by 49 U.S.C. 5323(m), and implementing FTA
regulations at 49 CFR 663.7, the Applicant certifies that it will
comply with the requirements of 49 CFR part 663, in the course of
purchasing revenue service rolling stock. Among other things, the
Applicant will conduct or cause to be conducted the prescribed pre-
award and post-delivery reviews, and will maintain on file the
certifications required by 49 CFR part 663, subparts B, C, and D.
VI. Bus Testing Certification Required for New Bus Acquisitions
An Applicant seeking FTA assistance to acquire new buses must
provide the following certification. FTA may not provide assistance
for the acquisition of new buses until the Applicant provides this
certification by selecting Category VI on the Signature Page.
As required by FTA regulations, ``Bus Testing,'' at 49 CFR
665.7, the Applicant certifies that before expending any Federal
assistance to acquire the first bus of any new bus model or any bus
model with a new major change in configuration or components or
authorizing final acceptance of that bus (as described in 49 CFR
part 665):
A. The model of the bus will have been tested at a bus testing
facility approved by FTA; and
B. It will have received a copy of the test report prepared on
the bus model.
VII. Charter Service Agreement
An Applicant seeking FTA assistance to acquire or operate
transportation equipment or facilities acquired with Federal
assistance authorized by 49 U.S.C. chapter 53 or Title 23 U.S.C.
(except 49 U.S.C. 5310) must enter into the following charter
service agreement. FTA may not provide assistance for those projects
until the Applicant enters into this agreement by selecting Category
VII on the Signature Page.
A. As required by 49 U.S.C. 5323(d) and FTA regulations,
``Charter Service,'' at 49 CFR 604.7, the Applicant agrees that it
and its recipients will: (1) provide charter service that uses
equipment or facilities acquired with Federal assistance authorized
for 49 U.S.C. 5307, 5309, or 5311 or Title 23 U.S.C., only to the
extent that there are no private charter service operators willing
and able to provide the charter service that it or its recipients
desire to provide, unless one or more of the exceptions in 49 CFR
604.9 applies, and (2) comply with the provisions of 49 CFR part 604
before they provide any charter service using equipment or
facilities acquired with Federal assistance authorized for the above
statutes.
B. The Applicant understands that the requirements of 49 CFR
part 604 will apply to any charter service provided, the definitions
in 49 CFR part 604 apply to this agreement, and violation of this
agreement may require corrective measures and the imposition of
penalties, including debarment from the receipt of further Federal
assistance for transportation.
VIII. School Transportation Agreement
An Applicant seeking FTA assistance to acquire or operate
transportation facilities and equipment acquired with Federal
assistance authorized by 49 U.S.C. chapter 53 must agree as follows.
FTA may not provide assistance for transportation facilities until
the Applicant enters into this Agreement by selecting Category VIII
on the Signature Page.
A. As required by 49 U.S.C. 5323(f) and FTA regulations,
``School Bus Operations,'' at 49 CFR 605.14, the Applicant agrees
that it and all its recipients will:
(1) Engage in school transportation operations in competition
with private school transportation operators only to the extent
permitted by an exception provided by 49 U.S.C. 5323(f), and
implementing regulations, and
(2) Comply with the requirements of 49 CFR part 605 before
providing any school transportation using equipment or facilities
acquired with Federal assistance awarded by FTA and authorized by 49
U.S.C. chapter 53 or Title 23 U.S.C. for transportation projects.
B. The Applicant understands that the requirements of 49 CFR
part 605 will apply to any school transportation it provides, the
definitions of 49 CFR part 605 apply to this school transportation
agreement, and a violation of this agreement may require corrective
measures and the imposition of penalties, including debarment from
the receipt of further Federal assistance for transportation.
IX. Certification Required for the Direct Award of FTA Assistance to an
Applicant for its Demand Responsive Service
An Applicant seeking direct Federal assistance to support its
demand responsive service must provide the following certification.
FTA may not award Federal assistance directly to an Applicant to
support its demand responsive service until the Applicant provides
this certification by selecting Category IX on the Signature Page.
As required by U.S. DOT regulations, ``Transportation Services
for Individuals with Disabilities (ADA),'' at 49 CFR 37.77, the
Applicant certifies that its demand responsive service offered to
persons with disabilities, including persons who use wheelchairs, is
equivalent to the level and quality of service offered to persons
without disabilities. When viewed in its entirety, the Applicant's
service for persons with disabilities is provided in the most
integrated setting feasible and is equivalent with respect to: (1)
response time, (2) fares, (3) geographic service area, (4) hours and
days of service, (5) restrictions on trip purpose, (6) availability
of information and reservation capability, and (7) constraints on
capacity or service availability.
X. Substance Abuse Certifications
If the Applicant is required by Federal regulations to provide
the following substance abuse certifications, FTA may not provide
Federal assistance to that Applicant until it provides these
certifications by selecting Category X on the Signature Page.
A. Alcohol Testing Certification
As required by FTA regulations, ``Prevention of Alcohol Misuse
in Transit Operations,'' at 49 CFR 654.83, the Applicant certifies
that it has established and implemented an alcohol misuse prevention
program complying with the requirements of 49 CFR part 654; and if
the Applicant has employees regulated by the Federal Railroad
Administration (FRA), the Applicant also certifies that it has for
those employees an alcohol misuse prevention program complying with
FRA regulations, ``Control of Alcohol and Drug Use,'' 49 CFR part
219.
B. Anti-Drug Program Certification
As required by FTA regulations ``Prevention of Prohibited Drug
Use in
[[Page 60114]]
Transit Operations,'' at 49 CFR 653.83, the Applicant certifies that
it has established and implemented an anti-drug program and has
conducted employee training complying with the requirements of 49
CFR part 653; and if the Applicant has employees regulated by the
U.S. Federal Railroad Administration (FRA), the Applicant also
certifies that it has for those employees an anti-drug program
complying with FRA regulations, ``Control of Alcohol and Drug Use,''
49 CFR part 219.
XI. Certification for a Project Involving Interest or Other Financing
Costs
The Applicant must provide the following certification in
connection with requests for reimbursements of interest or other
financing costs of capital projects. FTA may not provide assistance
to support those costs until the Applicant provides this
certification by selecting Category XI on the Signature Page.
As required by 49 U.S.C. 5307(g), 49 U.S.C. 5309(g)(2)(B), 49
U.S.C. 5309(g)(3)(A), and 49 U.S.C. 5309(n), the Applicant certifies
that it will not seek reimbursement for interest and other financing
costs unless its records demonstrate it has used reasonable
diligence in seeking the most favorable financing terms underlying
those costs, to the extent FTA might require.
XII. Certifications for the Urbanized Area Formula Program and the Job
Access and Reverse Commute Program
Each Applicant to FTA for Urbanized Area Formula Program
assistance authorized for 49 U.S.C. 5307 and each Applicant for Job
Access and Reverse Commute Program assistance authorized for Section
3037 of the Transportation Equity Act for the 21st Century, 49
U.S.C. 5309 note, must provide the following certifications in
connection with its application. FTA may not award Urbanized Area
Formula Program assistance or Job Access and Reverse Commute Program
assistance to the Applicant until the Applicant provides these
certifications and assurances by selecting Category XIV on the
Signature Page.
In addition, each Applicant with a population of 200,000 or more
awarded funds apportioned under 49 U.S.C. 5307(k) after June 9,
1998, must submit a report listing the Transit Enhancement projects
carried out during Federal fiscal year 1998 with those funds. FTA
may not award Urbanized Area Formula Program assistance to any
Applicant with a population of 200,000 or more until that Applicant
indicates that it has submitted this Report by selecting ``Transit
Enhancement Activities Report Submitted'' on the Signature Page
under Category XII.
A. Certifications Required by Statute
As required by 49 U.S.C. 5307(d)(1) (A) through (J), the
Applicant certifies that:
(1) It has or will have the legal, financial, and technical
capacity to carry out the proposed program of projects;
(2) It has or will have satisfactory continuing control over the
use of the equipment and facilities;
(3) It will adequately maintain the equipment and facilities;
(4) It will ensure that the elderly and handicapped persons, or
any person presenting a Medicare card issued to himself or herself
under title II or title XVIII of the Social Security Act (42 U.S.C.
401 et seq. or 42 U.S.C. 1395 et seq.), will be charged during non-
peak hours for transportation using or involving a facility or
equipment of a project financed with Federal assistance authorized
for 49 U.S.C. 5307 or Section 3037 of the Transportation Equity Act
for the 21st Century (TEA-21), 49 U.S.C. 5309 note, not more than 50
percent of the peak hour fare;
(5) In carrying out a procurement financed with Federal
assistance authorized for the Urbanized Area Formula Program at 49
U.S.C. 5307 or Section 3037 of TEA-21, 49 U.S.C. 5309 note, it will
use competitive procurement (as defined or approved by the
Secretary), it will not use a procurement using exclusionary or
discriminatory specifications, and it will comply with applicable
Buy America laws in carrying out a procurement;
(6) It has complied or will comply with the requirements of 49
U.S.C. 5307(c); specifically, it has or before submitting its
application it will: (a) make available to the public information on
amounts available for the Urbanized Area Formula Program at 49
U.S.C. 5307 and, if applicable, the Job Access and Reverse Commute
Grant Program, 49 U.S.C. 5309 note, and the program of projects it
proposes to undertake with those funds; (b) develop, in consultation
with interested parties, including private transportation providers,
a proposed program of projects for activities to be financed; (c)
publish a proposed program of projects in a way that affected
citizens, private transportation providers, and local elected
officials have the opportunity to examine the proposed program and
submit comments on the proposed program and the performance of the
Applicant; (d) provide an opportunity for a public hearing to obtain
the views of citizens on the proposed program of projects; and (e)
ensure that the proposed program of projects provides for the
coordination of transportation services assisted under 49 U.S.C.
5336 with transportation services assisted by another Federal
Government source; (f) consider comments and views received,
especially those of private transportation providers, in preparing
the final program of projects; and (g) make the final program of
projects available to the public;
(7) It has or will have available and will provide the amount of
funds required by 49 U.S.C. 5307(e) and applicable FTA policy
(specifying Federal and local shares of project costs);
(8) It will comply with: (a) 49 U.S.C. 5301(a) (requirements to
develop transportation systems that maximize mobility and minimize
fuel consumption and air pollution); (b) 49 U.S.C. 5301(d)
(requirements for transportation of the elderly and persons with
disabilities); (c) 49 U.S.C. 5303 through 5306 (planning
requirements); and (d) 49 U.S.C. 5310 (a) through (d) (programs for
the elderly and persons with disabilities);
(9) It has a locally developed process to solicit and consider
public comment before raising fares or implementing a major
reduction of transportation; and
(10) As required by 49 U.S.C. 5307(d)(1)(J), unless the
Applicant has determined that it is not necessary to expend one
percent of the amount of Federal assistance it receives for this
fiscal year apportioned in accordance with 49 U.S.C. 5336 for
transit security projects, it will expend at least one percent of
the amount of that assistance for transit security projects,
including increased lighting in or adjacent to a transit system
(including bus stops, subway stations, parking lots, and garages),
increased camera surveillance of an area in or adjacent to that
system, emergency telephone line or lines to contact law enforcement
or security personnel in an area in or adjacent to that system, and
any other project intended to increase the security and safety of an
existing or planned transit system.
B. Certification Required for Capital Leasing
As required by FTA regulations, ``Capital Leases,'' at 49 CFR
639.15(b)(1) and 639.21, to the extent the Applicant uses Federal
assistance authorized for 49 U.S.C. 5307 or Section 3037 of TEA-21,
49 U.S.C. 5309 note, to acquire any capital asset by lease, the
Applicant certifies that:
(1) It will not use Federal assistance authorized for 49 U.S.C.
5307 or Section 3037 of TEA-21, 49 U.S.C. 5309 note, to finance the
cost of leasing any capital asset until it performs calculations
demonstrating that leasing the capital asset would be more cost-
effective than purchasing or constructing a similar asset;
(2) It will complete these calculations before entering into the
lease or before receiving a capital grant for the asset, whichever
is later; and
(3) It will not enter into a capital lease for which FTA can
only provide incremental funding unless it has the financial
capacity to meet its future obligations under the lease in the event
Federal assistance is not available for capital projects in
subsequent years.
C. Certification Required for Sole Source Purchase of Associated
Capital Maintenance Item
As required by 49 U.S.C. 5325(c), to the extent that the
Applicant procures an associated capital maintenance item under the
authority of 49 U.S.C. 5307(b)(1), the Applicant certifies that it
will use competition to procure an associated capital maintenance
item unless the manufacturer or supplier of that item is the only
source for the item and the price of the item is no more than the
price similar customers pay for the item, and maintain sufficient
records pertaining to each such procurement on file easily
retrievable for FTA inspection.
XIII. Certifications and Assurances for the Elderly and Persons with
Disabilities Program
An Applicant that intends to administer, on behalf of the state,
the Elderly and Persons with Disabilities Program must provide the
following certifications and assurances. FTA may not award
assistance for the Elderly and Persons with Disabilities Program
until the Applicant provides these certifications and
[[Page 60115]]
assurances by selecting Category XIII on the Signature Page.
Based on its own knowledge and, as necessary, on information
submitted by the subrecipient, the Applicant administering on behalf
of the state the Elderly and Persons with Disabilities Program
authorized by 49 U.S.C. 5310 certifies and assures that the
following requirements and conditions will be fulfilled:
A. The state organization serving as the Applicant and each
subrecipient has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal
assistance authorized for 49 U.S.C. 5310; and to implement and
manage the project.
B. The state assures that each subrecipient either is recognized
under state law as a private nonprofit organization with the legal
capability to contract with the state to carry out the proposed
project, or is a public body that has met the statutory requirements
to receive Federal assistance authorized for 49 U.S.C. 5310.
C. The subrecipient's application for 49 U.S.C. 5310 assistance
contains information from which the state concludes that the transit
service provided or offered to be provided by existing public or
private transit operators is unavailable, insufficient, or
inappropriate to meet the special needs of the elderly and persons
with disabilities.
D. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
E. The subrecipient has, or will have by the time of delivery,
sufficient funds to operate and maintain the vehicles and equipment
purchased with Federal assistance awarded for this project.
F. The state assures that before issuing the state's formal
approval of a project, its Elderly and Persons with Disabilities
Formula Program is included in the Statewide Transportation
Improvement Program as required by 23 U.S.C. 135; all projects in
urbanized areas recommended for approval are included in the annual
element of the metropolitan Transportation Improvement Program in
which the subrecipient is located; and any public body that is a
prospective subrecipient of capital assistance has provided an
opportunity for a public hearing.
G. The subrecipient has, to the maximum extent feasible,
coordinated with other transportation providers and users, including
social service agencies authorized to purchase transit service.
H. The subrecipient is in compliance with all applicable civil
rights requirements, and has signed the Nondiscrimination Assurance.
(Category I.F., ``Certifications and Assurances Required of Each
Applicant.'')
I. The subrecipient will comply with applicable requirements of
U.S. DOT regulations on participation of disadvantaged business
enterprises in U.S. DOT programs.
J. The state will comply with all existing Federal requirements
regarding transportation of elderly persons and persons with
disabilities. Each subrecipient has provided to the state an
Assurance of Nondiscrimination on the Basis of Disability, as set
forth in the Certifications and Assurances required of each
applicant for FTA assistance at Category 1.G of this document. If
non-accessible vehicles are being purchased for use by a public
entity in demand responsive service for the general public, the
state will obtain from the subrecipient a ``Certification of
Equivalent Service,'' which states that when viewed in its entirety
the public entity's demand responsive service offered to persons
with disabilities, including persons who use wheelchairs, meets the
standard of equivalent service set forth in 40 CFR section 37.77(c).
K. The subrecipient has certified to the state that it will
comply with applicable provisions of 49 CFR part 605 pertaining to
school transportation operations. (See Category VIII, ``School
Transportation Agreement.'')
L. Unless otherwise noted, each of the subrecipient's projects
qualifies for a categorical exclusion and does not require further
environmental approvals, as described in the joint FHWA/FTA
regulations, ``Environmental Impact and Related Procedures,'' at 23
CFR 771.117(c). The state certifies that financial assistance will
not be provided for any project that does not qualify for a
categorical exclusion described in 23 CFR 771.117(c) until FTA has
made the required environmental finding. The state further certifies
that no financial assistance will be provided for a project
requiring a conformity finding in accordance with the Environmental
Protection Agency's Clean Air Conformity regulations at 40 CFR parts
51 and 93, until FTA makes the required conformity finding.
M. The subrecipient has submitted (or will submit) all
applicable certifications and assurances currently required,
including, but not limited to: a certification that its procurements
and procurement system will comply with all applicable requirements
imposed by Federal laws, executive orders, or regulations and the
requirements of FTA Circular 4220.1D, ``Third Party Contracting
Requirements,'' and other implementing requirements FTA may issue; a
certification that its project provides for the participation of
private mass transportation companies to the maximum extent
feasible; a certification it has paid or will pay just compensation
under state or local law to each private mass transportation company
for its franchise or property acquired under the project; a
nonprocurement suspension and debarment certification; a bus testing
certification for new models; a pre-award and post-delivery review
certification; and a lobbying certification for each application
exceeding $100,000. Certifications and assurances applicable to and
submitted by the subrecipient should be substantially similar to the
text of parallel certifications and assurances text of Categories I-
XI of this document, but modified as necessary to accommodate the
subrecipient's circumstances.
N. The state will enter into a written agreement with each
subrecipient stating the terms and conditions of assistance by which
the project will be undertaken and completed.
O. The state recognizes FTA's authority to conduct audits and
reviews to verify compliance with the foregoing requirements and
stipulations.
XIV. Certifications and Assurances for the Nonurbanized Area Formula
Program
An Applicant that intends to administer, on behalf of the state,
the Nonurbanized Area Formula Program must provide the following
certifications and assurances. FTA may not award Nonurbanized Area
Formula Program assistance to the Applicant until the Applicant
provides these certifications and assurances by selecting Category
XIV on the Signature Page.
Based on its own knowledge and, as necessary, on information
submitted by the subrecipient, the Applicant administering on behalf
of the state the Nonurbanized Area Formula Program authorized by 49
U.S.C. 5311 certifies and assures that the following requirements
and conditions will be fulfilled:
A. The state organization serving as the Applicant and each
subrecipient has or will have the necessary legal, financial, and
managerial capability to apply for, receive and disburse Federal
assistance authorized for 49 U.S.C. 5311; and to implement and
manage the project.
B. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
C. The subrecipient has, or will have by the time of delivery,
sufficient funds to operate and maintain the vehicles and equipment
purchased with Federal assistance authorized for this project.
D. The state assures that before issuing the state's formal
approval of the project, its Nonurbanized Area Formula Program is
included in the Statewide Transportation Improvement Program as
required by 23 U.S.C. 135; to the extent applicable, projects are
included in a metropolitan Transportation Improvement Program.
E. The state has provided for a fair and equitable distribution
of Federal assistance authorized for 49 U.S.C. 5311 within the
state, including Indian reservations within the state.
F. The subrecipient has, to the maximum extent feasible,
coordinated with other transportation providers and users, including
social service agencies authorized to purchase transit service.
G. The subrecipient is in compliance with all applicable civil
rights requirements, and has signed the Nondiscrimination Assurance.
(See Category I.F, ``Certifications and Assurances Required of Each
Applicant.'')
H. The subrecipient will comply with applicable requirements of
U.S. DOT regulations on participation of disadvantaged business
enterprise in U.S. DOT programs.
I. The state will comply with all existing Federal requirements
regarding transportation of elderly persons and persons with
disabilities. Each subrecipient has provided to the state an
Assurance of Nondiscrimination on the Basis of Disability, as set
forth in the Certifications and Assurances required of each
applicant for FTA assistance at Category 1.G of this document. If
non-accessible vehicles are
[[Page 60116]]
being purchased for use by a public entity in demand responsive
service for the general public, the state will obtain from the
subrecipient a ``Certification of Equivalent Service,'' which states
that when viewed in its entirety the public entity's demand
responsive service offered to persons with disabilities, including
persons who use wheelchairs, meets the standard of equivalent
service set forth in 40 C.F.R. section 37.77(c).
J. The subrecipient has complied with the transit employee
protective provisions of 49 U.S.C. 5333(b), by one of the following
actions: (1) signing the Special Warranty for the Nonurbanized Area
Formula Program, (2) agreeing to alternative comparable arrangements
approved by the Department of Labor (DOL), or (3) obtaining a waiver
from DOL; and the state has certified the subrecipient's compliance
to DOL.
K. The subrecipient has certified to the state that it will
comply with 49 CFR part 604 in the provision of any charter service
provided with equipment or facilities acquired with FTA assistance,
and will also comply with applicable provisions of 49 CFR part 605
pertaining to school transportation operations. (See Category VII,
``Charter Service Agreement,'' and Category VIII, ``School
Transportation Agreement.'')
L. Unless otherwise noted, each of the subrecipient's projects
qualifies for a categorical exclusion and does not require further
environmental approvals, as described in the joint FHWA/FTA
regulations, ``Environmental Impact and Related Procedures,'' at 23
CFR 771.117(c). The state certifies that financial assistance will
not be provided for any project that does not qualify for a
categorical exclusion described in 23 CFR 771.117(c) until FTA has
made the required environmental finding. The state further certifies
that no financial assistance will be provided for a project
requiring a conformity finding in accordance with the Environmental
Protection Agency's Clean Air Conformity regulations at 40 CFR parts
51 and 93, until FTA makes the required conformity finding.
M. The subrecipient has submitted (or will submit) all
applicable certifications and assurances currently required,
including but not limited to: a certification that its procurements
and procurement system will comply with all applicable requirements
imposed by Federal laws, executive orders, or regulations and the
requirements of FTA Circular 4220.1D, ``Third Party Contracting
Requirements,'' and other implementing requirements FTA may issue; a
certification that its project provides for the participation of
private mass transportation companies to the maximum extent
feasible; a certification it has paid or will pay just compensation
under state or local law to each private mass transportation company
for its franchise or property acquired under the project; a
nonprocurement suspension and debarment certification; a bus testing
certification for new bus models; a pre-award and post-delivery
review certification; and a lobbying certification for each
application exceeding $100,000. Certifications and assurances
applicable to and submitted by the subrecipient should be
substantially similar to the text of parallel certifications and
assurances text of Categories I-XI of this document, but modified as
necessary to accommodate the subrecipient's circumstances.
N. The state will enter into a written agreement with each
subrecipient stating the terms and conditions of assistance by which
the project will be undertaken and completed.
O. The state recognizes FTA's authority to conduct audits and
reviews to verify compliance with the foregoing requirements and
stipulations.
P. As required by 49 U.S.C. 5311(f), it will expend not less
than fifteen percent of the Federal assistance authorized for 49
U.S.C. 5311(f) it receives during this fiscal year to carry out a
program to develop and support intercity bus transportation, unless
the chief executive officer of the state or his or her duly
authorized designee certifies that the intercity bus service needs
of the state are being adequately met.
XV. Certifications and Assurances for the State Infrastructure Bank
Program
A state Applicant for a grant of Federal assistance for deposit
in the Transit Account of the State Infrastructure Bank (SIB) within
that state must provide the following certifications and assurances.
The Federal Transit Administration (FTA) may not award Federal
assistance to capitalize a SIB until the state Applicant provides
these certifications and assurances by selecting Category XV on the
Signature Page.
Based on its own knowledge and, as necessary, on information
submitted by the participating parties, the state Applicant for
Federal assistance for the Transit Account of its state SIB program
authorized by either section 350 of the National Highway System
Designation Act of 1995, as amended, 23 U.S.C. 101 note, or the
State Infrastructure Bank Pilot Program, 23 U.S.C. 181 note,
certifies and assures that the following requirements and conditions
will be fulfilled pertaining to any project financed with Federal
assistance derived from the Transit Account of the SIB:
A. The state organization serving as the Applicant (state)
agrees and assures the agreement of the SIB and each recipient of
Federal assistance derived from the Transit Account of the SIB
within the state (subrecipient) that each Project financed with
Federal assistance derived from the Transit Account will be
administered in accordance with: (1) the requirements of section 350
of the National Highway System Designation Act of 1995, as amended,
23 U.S.C. 101 note, or the State Infrastructure Bank Pilot Program,
23 U.S.C. 181 note, (2) the provisions of FTA's SIB Guidelines, and
any amendments thereto, (3) the provisions of FHWA and FTA
Cooperative Agreement with the state to establish the state's SIB
program, and (4) the provisions of the FTA Grant Agreement with the
state that obligating Federal assistance for the SIB, except that
any provision of the Federal Transit Administration Master Agreement
incorporated by reference into that Grant Agreement will not apply
if it conflicts with any provision of National Highway System
Designation Act of 1995, as amended, 23 U.S.C. 101 note, or section
1511 of TEA-21, as amended, and FTA SIB Guidelines, the provisions
of the Cooperative Agreement establishing the SIB program within the
state, or the text within the FTA Grant Agreement.
B. The state agrees to comply with and assures the compliance of
the SIB and each subrecipient of all applicable requirements for the
SIB program, as those requirements may be amended from time to time.
Pursuant to subsection 1511(h)(2) of TEA-21, applicants for
assistance authorized by the State Infrastructure Bank Pilot
Program, 23 U.S.C. 181 note, agree that previous cooperative
agreements entered into with States under section 350 of the
National Highway System Designation Act of 1995, as amended, will be
revised to comply with new requirements.
C. The state assures that the SIB will provide Federal
assistance from its Transit Account only for transit capital
projects eligible under section 1511 of TEA-21, and that those
projects will fulfill all requirements imposed on comparable capital
transit projects financed by FTA.
D. The state understands that the total amount of funds to be
awarded for a Grant Agreement will not be immediately available for
draw down. Consequently, the state assures that it will limit the
amount of Federal assistance it draws down for deposit in the
Transit Account of its SIB to amounts that do not exceed the
limitations specified in the underlying Grant Agreement or the
Approved Project Budget for that Grant Agreement.
E. The state assures that each subrecipient has or will have the
necessary legal, financial, and managerial capability to apply for,
receive, and disburse Federal assistance authorized by Federal
statute for use in the Transit Account of the SIB, including the
ability to comply with Year 2000 (Y2K) management of funds and
investments, and to implement, manage, operate, and maintain the
project and project property for which such assistance will support.
F. The state assures that the SIB will provide Federal
assistance derived from the Transit Account only to a subrecipient
that is either a public or private entity recognized under state law
as having the legal capability to contract with the state to carry
out its proposed project.
G. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
H. The state assures that the SIB will enter into a written
agreement with each subrecipient stating the terms and conditions of
assistance by which the project will be undertaken and completed,
including specific provisions that any security or debt financing
instrument the SIB may issue will contain an express statement that
the security or instrument does not constitute a commitment,
guarantee, or obligation of the United States.
I. The state assures that before the SIB enters into an
agreement with a subrecipient under which Federal assistance within
the Transit Account of the SIB will be disbursed to the
subrecipient, the subrecipient's project
[[Page 60117]]
is included in the Statewide Transportation Improvement Program; all
projects in urbanized areas recommended for approval are included in
the annual element of the metropolitan Transportation Improvement
Program in which the subrecipient is located; and it has obtained
from each subrecipient of capital assistance that is also a public
body a certification that an opportunity for a public hearing has
been provided.
J. The state assures that the subrecipient has, to the maximum
extent feasible, coordinated with other transportation providers and
users, and other interested parties within the area.
K. The state assures that the subrecipient is in compliance with
all applicable civil rights requirements, and has signed the
Nondiscrimination Assurance. (See Category I.F, ``Certifications and
Assurances Required of Each Applicant,'' of the Federal Fiscal Year
1999 Certifications and Assurances for the Federal Transit
Administration Programs.)
L. The state assures that the subrecipient will comply with
applicable requirements of U.S. DOT regulations on participation of
disadvantaged business enterprises in U.S. DOT programs.
M. To the extent applicable, the state will comply with all
existing Federal requirements regarding transportation of elderly
persons and persons with disabilities. The state assures that the
SIB will provide to the state an Assurance of Nondiscrimination on
the Basis of Disability from each subrecipient, as set forth in the
Certifications and Assurances required of each Applicant for FTA
assistance. (See Category I.G, ``Certifications and Assurances
Required of Each Applicant,'' of the Federal Fiscal Year 1999
Certifications and Assurances for the Federal Transit Administration
Programs.) If non-accessible vehicles are being purchased for use by
a public entity in demand responsive service for the general public,
the state will obtain from the subrecipient a ``Certification of
Equivalent Service,'' which states that the public entity's demand
responsive service offered to persons with disabilities, including
persons who use wheelchairs, is equivalent to the level and quality
of service the public entity offers to persons without disabilities.
(See Category IX, ``Certifications Required for the Direct Award of
FTA Assistance to an Applicant for its Demand Responsive Service,''
of the Federal Fiscal Year 1999 Certifications and Assurances for
the Federal Transit Administration Programs.) This ``Certification
of Equivalent Service'' must also state that the public entity's
demand responsive service, when viewed in its entirety, is provided
in the most integrated setting feasible and has equivalent: (1)
response time, (2) fares, (3) geographic service area, (4) hours and
days of service, (5) restrictions or restraints on trip purpose, (6)
availability of information and reservation capability, and (7)
constraints on capacity or service availability.
N. The state assures that before the SIB provides Federal
assistance from the Transit Account, each subrecipient will have
complied with the applicable transit employee protective provisions
of 49 U.S.C. 5333(b) as required for that subrecipient and its
project.
O. The state assures that each subrecipient has certified or
will certify to the state that it will comply with applicable
provisions of 49 CFR part 604 in the provision of any charter
service provided with equipment or facilities acquired with FTA
assistance, and will also comply with applicable provisions of 49
CFR part 605 pertaining to school transportation operations. (See
Category VII, ``Charter Service Agreement,'' and Category VIII,
``School Transportation Agreement,'' of the Federal Fiscal Year 1999
Certifications and Assurances for the Federal Transit Administration
Programs.)
P. Unless otherwise noted, the state assures that each of the
subrecipient's projects qualifies for a categorical exclusion and
does not require further environmental approvals, as described in
paragraph Q of this Category XVI. Unless otherwise noted, the state
assures that each of the subrecipient's projects qualifies for a
categorical exclusion and does not require further environmental
approvals, as described in the joint FHWA/FTA regulations,
``Environmental Impact and Related Procedures,'' at 23 CFR
771.117(c). The state certifies that the SIB will not provide
financial assistance from the Transit Account for any project that
does not qualify for a categorical exclusion described in 23 CFR
771.117(c) until FTA has made the required environmental finding.
The state further certifies that the SIB will provide no financial
assistance from its Transit Account for a project requiring a
conformity finding in accordance with the Environmental Protection
Agency's Clean Air Conformity regulations at 40 CFR parts 51 and 93,
until FTA makes the required conformity finding.
Q. The state assures that the subrecipient has submitted (or
will submit), when applicable, all certifications and assurances
currently required, including, but not limited to: a certification
that its procurements and procurement system will comply with all
applicable requirements imposed by Federal laws, executive orders,
or regulations and the requirements of FTA Circular 4220.1D, ``Third
Party Contracting Requirements,'' and other implementing
requirements FTA may issue; a certification that its project
provides for the participation of private mass transportation
companies to the maximum extent feasible; a certification it has
paid or will pay just compensation under state or local law to each
private mass transportation company for its franchise or property
acquired under the project; a nonprocurement suspension and
debarment certification; a bus testing certification for new models;
a pre-award and post-delivery review certification; and a lobbying
certification for each application exceeding $100,000; assurances
FTA requires for projects involving real property; and if required
by FTA, an anti-drug program certification and an alcohol testing
certification. Certifications and assurances applicable to and
submitted by the subrecipient should be substantially similar to the
text of parallel certifications and assurances of Categories I-XI of
the Federal Fiscal Year 1999 Certifications and Assurances for the
Federal Transit Administration Programs, but modified as necessary
to accommodate the SIB and the subrecipient's circumstances.
R. The state agrees and assures that the SIB and each
subrecipient will agree to permit FTA, U.S. DOT, and the Comptroller
General to conduct audits to verify compliance with the foregoing
requirements and stipulations.
Selection and Signature Pages follow.
BILLING CODE 4910-13-U
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[GRAPHIC] [TIFF OMITTED] TN06NO98.040
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[GRAPHIC] [TIFF OMITTED] TN06NO98.041
[FR Doc. 98-29684 Filed 11-5-98; 8:45 am]
BILLING CODE 4910-13-C
