Fiscal Year 1998 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements

DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

Fiscal Year 1998 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 1998 certifications and assurances to be used in

connection with all Federal assistance programs administered by FTA

during Federal Fiscal Year 1998. (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: October 14, 1997.

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 Minnie Davis, Office of Public Affairs, Federal Transit

Administration, (202) 366-1217.

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 law 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; and the National Planning and Research 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 1998.

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 1998. (See Signature Page of Appendix A.)

Electronic Submission

FTA has expanded the use of the electronic programs for applicants

introduced in 1995. The On-Line Program is offered to applicants

through the Grant Management Information System (GMIS). This is a

computerized system designed to assist the FTA grantee or recipient of

a cooperative agreement in managing its FTA assisted projects and their

budgets. All applicants are encouraged to participate in the On-Line

Program, which includes the opportunity to certify compliance

electronically for all certifications and assurances selected among

those in Appendix A. The Electronic Grant Making and Management

initiative (EGMM) pilot program also initiated in Federal Fiscal Year

1995 has proved so successful in reducing time and paper that EGMM will

continue to be offered to more applicants. This program is presently

undergoing graphical-user-interface refinement for enhanced

accessibility. Applicants may contact their Regional Office shown above

for more information.

1998 Changes

This 1998 Annual Certifications and Assurances document contains

two major changes to the previous year's Federal Register publication.

(1) Starting with this Fiscal Year 1998, 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 1998, whichever comes first.

(2) The attorney signature from previous years on the Single

Signature Page will no longer 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 clarification and reference sources. It is important

that each applicant be familiar with all fifteen categories contained

in this document as it is a prerequisite for receiving FTA financial

assistance.

FTA directs your attention to Appendix C in FTA Circular 9300.1,

``Capital Program Grant Application Instructions,'' which was published

on September 29, 1995; to Exhibit D in FTA Circular 9040.1D, dated May

3, 1997, ``Nonurbanized Area Formula Program Guidance and Grant

Application Instructions; and Appendix G of FTA Circular 9030.1B, dated

October 10, 1996, Urbanized Area Formula Program: Grant Application

Instructions. These circulars contain a previous version of the Annual

Certifications and Assurances which includes some but

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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 1998 Federal Register document or provided

concurrently through the EGMM initiative discussed above. 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 EGMM 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, and sent or 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

1998, whichever comes first.

All applicants are advised to read the entire 1998 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 selection from the fifteen Categories.

The Signature Page, when properly signed and submitted, or

electronically transmitted to FTA, assures FTA that the applicant

intends to comply with the requirements for the specific program/s

involved, should they apply for a 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 On-Line Program or the EGMM 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

49 U.S.C. chapter 53, Title 23 U.S.C., 42 U.S.C. 4151, Title VI and

Title VII of the Civil Rights Act, FTA regulations under 49 CFR, and

FTA Circulars.

Issued: October 6, 1997.

Gordon J. Linton,

Administrator.

Appendix A

Federal Fiscal Year 1998 Certifications and Assurances for Federal

Transit Administration Assistance Programs

Each Applicant is requested to provide as many of the following

certifications and assurances necessary to cover the various types

of Federal assistance programs for which the Applicant intends to

seek Federal assistance from FTA in Federal Fiscal Year 1998. A

state making certifications and assurances on behalf of its

prospective subrecipients is expected to obtain sufficient

documentation from those subrecipients as necessary for the state to

make 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 document.

Categories II through XV will apply to some, but not all applicants.

The categories correspond to the following descriptions of

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 make

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 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 grant

or cooperative agreement awarded by FTA. 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

approved 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 proposal

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 paragraph (2) of

this certification; and

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(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, later, it becomes

aware of any information contradicting the statements of paragraphs

(a) through (d) above, it will promptly provide that information to

FTA.

(3) If the Applicant (Primary Participant) is unable to certify

to the statements within paragraphs (1) and (2) above, it shall

indicate so on its Signature Page and provide a written explanation

to FTA.

D. Drug-Free Workplace Certification

As required by U.S. DOT regulations on Drug-Free Workplace

Requirements (Grants) at 49 CFR 29.630, the Applicant certifies 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 the Applicant's 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) the Applicant's 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: (a) abide by the terms of the statement, and (b)

notify the employer (Applicant) in writing of his or her 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, which is the employer of any convicted employee must

provide notice, including position title, to every project officer

or other designee on whose project activity the Applicant's

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) By 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) by 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 has or will provide to FTA a

list identifying its headquarters location and each workplace it

maintains in which project activities supported by FTA are

conducted.

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 the Department of Transportation Programs and Activities,'' 49

CFR part 17.

F. Nondiscrimination Assurance

As required by 49 U.S.C. 5332, 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.

(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

appropriate clauses in each third party contract or subagreement to

impose the requirements of 49 CFR part 21 and 49 U.S.C. 5332, 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,

and the Americans with Disabilities Act of 1990, as amended, 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 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.

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

[[Page 53515]]

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 that Federal assistance until the

Applicant provides this certification by selecting Category III on

the Signature Page.

As required by 49 U.S.C. 5323(a)(1)(B) or 5323(a)(1)(C), the

Applicant certifies that before it acquires 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. Provided for the participation of private mass transportation

companies to the maximum extent feasible; and

B. Paid or will pay just compensation under state or local law

to a private mass transportation company for its franchises or

property acquired.

IV. Public Hearing Certification for a Capital Project (Except

Urbanized Area Formula Projects) That Will Substantially Affect a

Community or Its Transit Service

An Applicant seeking Federal assistance for a capital project

authorized by 49 U.S.C. chapter 53 (except Urbanized Area Formula

Program assistance), that will substantially affect a community or

its transit service must provide the following certification. FTA

may not award that Federal assistance 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 the project to be consistent with official plans

for developing the urban area.

V. Certification of Pre-Award and Post-Delivery Rolling Stock Reviews

Required for Each Applicant Seeking To Purchase Rolling Stock Financed

With Federal Assistance Awarded by FTA

An Applicant seeking FTA assistance to purchase rolling stock

must make 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(l), 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 Buses

An Applicant seeking FTA assistance to acquire new buses must

make 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 (except 49 U.S.C.

5310) or Title 23, U.S.C. 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 authorized by 49 U.S.C.

chapter 53 or Title 23 U.S.C. awarded by FTA 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.

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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, its 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 until the Applicant has selected 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

the requirements of FRA's 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 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 Federal

Railroad Administration (FRA), the Applicant also certifies that it has

for those employees an anti-drug program complying with the

requirements of FRA's regulations, ``Control of Alcohol and Drug Use,''

49 CFR part 219.

XI. Assurances Required for Projects Involving Real Property

The Applicant must provide the following assurances in

connection with each application for Federal assistance to acquire

(purchase or lease) real property. FTA may not award Federal

assistance for a project involving real property until the Applicant

provides these assurances shown by selecting Category XI on the

Signature Page.

A. Relocation and Real Property Acquisition Assurance

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 Assistance and Real Property Acquisition Policies

Act of 1970, as amended (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 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:

(1) The Applicant will adequately inform each affected person of

the benefits, policies, and procedures provided for in 49 CFR part

24;

(2) 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;

(3) 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;

(4) 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);

(5) 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; and

(6) 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;

(7) 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;

(8) 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

(9) The Applicant agrees to make these assurances part of or

incorporate them by reference into any third party contract or

subagreement, or any amendments thereto, relating to any project

financed by FTA involving relocation or land acquisition and provide

in any affected document that these relocation and land acquisition

provisions shall supersede any conflicting provisions.

B. Flood Insurance Coverage

As required by section 102(a) of the Flood Disaster Protection

Act of 1973, 42 U.S.C. 4012a(a), the Applicant assures that in the

course of implementing each project financed with Federal

assistance, the Applicant will obtain appropriate insurance for any

real estate acquired or construction undertaken thereon within any

special flood hazard area as identified by the Federal Insurance

Administrator. The Applicant understands that such insurance is

available in the participating area through the U.S. Federal

Emergency Management Agency's National Flood Insurance Program.

C. Seismic Assurance

As required by U.S. DOT regulations, ``Seismic Safety,'' 49 CFR

41.117(d), the Applicant assures that before it accepts delivery of

any building financed with Federal assistance provided by FTA, the

Applicant will obtain a certificate of compliance with the seismic

design and construction requirements of 49 CFR part 41.

XII. Certifications for the Urbanized Area Formula Program

Each Applicant to FTA for Urbanized Area Formula Program

assistance authorized for 49 U.S.C. 5307 must provide the following

certifications in connection with its application. FTA may not award

Urbanized Area Formula Program assistance to the Applicant until the

Applicant provides these certifications and assurances shown by

selecting Category XII on the Signature Page.

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 not more than 50 percent of the peak hour fare;

(5) In carrying out a procurement financed with Federal

assistance authorized for the

[[Page 53517]]

Urbanized Area Formula Program at 49 U.S.C. 5307, 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 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), it will expend at

least one percent of the amount of Federal assistance it receives

for this fiscal year apportioned by 49 U.S.C. 5336 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;

unless it has decided that it is not necessary to expend one percent

of that Federal assistance this fiscal year for transit security

projects.

B. Certification Required for Capital Leasing

As required by FTA regulations, ``Capital Leases,'' 49 CFR at

639.15(b)(1) and 639.21, to the extent that the Applicant uses

Federal assistance authorized for 49 U.S.C. 5307 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 to finance the cost of leasing any capital asset until it

undertakes calculations demonstrating that it is more cost-effective

to lease the capital asset than to purchase or construct similar

assets;

(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 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 it has obtained from any

public body that is a prospective subrecipient of capital assistance

a certification that an opportunity for a public hearing has been

provided.

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 C.F.R. 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.'')

[[Page 53518]]

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 shown 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, and

it has obtained from the prospective subrecipient of capital

assistance a certification that an opportunity for a public hearing

has been provided.

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 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).

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; a lobbying certification for each application

exceeding $100,000; 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 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

[[Page 53519]]

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.

Based on its own knowledge and, as necessary, on requisite

information submitted by the participating parties, the state

Applicant for Federal assistance for the Transit Account of its

state SIB program, authorized by section 350 of the National Highway

System Designation Act of 1995 (NHS Act), as amended, 23 U.S.C. 101

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 (NHS Act),

Pub. L. 104-59, Nov. 28, 1995, 23 U.S.C. 101 note, (2) the

provisions of FTA's NHS 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 obligating Federal assistance for

the Transit Account of the SIB, except that any provision of the

Federal Transit Administration Master Agreement incorporated by

reference into that Grant Agreement that conflicts with any

provision of FTA's NHS Guidelines, the provisions of the Cooperative

Agreement establishing the SIB program within the state, or the text

within the Grant Agreement will not apply.

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.

C. The state assures that the SIB will provide Federal

assistance from its Transit Account only for transit capital

projects eligible under section 350 of the NHS Act, 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, 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 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

1998 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 1998

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 1998 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 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 1998 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 Q.

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

[[Page 53520]]

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 1998 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.

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[FR Doc. 97-26927 Filed 10-10-97; 8:45 am]

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