Fiscal Year 1999 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements

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