Fiscal Year 2000 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements

Federal RegisterOct 28, 1999

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SUMMARY: This Notice contains FTA's comprehensive compilation of the

Federal Fiscal Year 2000 certifications and assurances to be used in

connection with all Federal assistance programs FTA administers during

Federal Fiscal Year 2000, in accordance with 49 U.S.C. 5323(n).

EFFECTIVE DATE: October 28, 1999.

FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate Regional

Office listed below. For copies of other related documents, see the FTA

Web Site at http://www.fta.dot.gov or 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 # 212-668-2170

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 # 817-978-0550

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 pertaining to itself or its project as

required by Federal laws and regulations. The requisite certifications

and assurances must be submitted to FTA irrespective of whether the

project is financed under the authority of 49 U.S.C. chapter 53, or

title 23, United States Code, or another Federal statute.

The Applicant's Annual Certifications and Assurances for Federal

Fiscal Year 2000 covers all projects for which the Applicant seeks

funding during that fiscal year. 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.

Background

Since Federal Fiscal Year 1995, FTA has been consolidating the

various certifications and assurances that may be required into one

document. FTA intends to continue publishing this document annually in

conjunction with its publication of the FTA annual apportionment

Notice, which allocates funds made available by the latest U.S.

Department of Transportation (U.S. DOT) annual appropriations act.

Federal Fiscal Year 2000 Changes

(1) Recipients of funds apportioned under Section 5336 that serve a

population of 200,000 or more are required by 49 U.S.C. 5307(k) to make

one (1) percent of their funds available for transit enhancement

activities. Those recipients are also required to submit an annual

report listing the projects carried out during the preceding fiscal

year with those funds. Because recipients provide that annual report as

part of their quarterly report for the fourth quarter of Federal Fiscal

Year 1999, we no longer request the Applicant to indicate specifically

whether that annual report has been submitted. The preface to Category

XII includes clarification of the reporting requirement for those

recipients receiving Transit Enhancement funds. (2) Additional changes

include updated reference sources, such as the reference to FTA's

disadvantaged business enterprise regulations at 49 CFR part 26, and

other clarifications.

Text of Federal Fiscal Year 2000 Certifications and Assurances

A detailed compilation of the provisions of the Certifications and

Assurances and the Signature Page is set forth in Appendix A of this

Notice, and also appears in the Certification & Assurances Tab Page of

the TEAM system. It is important that each Applicant be familiar with

all fifteen certification and assurance categories contained in this

Notice as they may be a prerequisite for receiving FTA financial

assistance. Provisions of this Notice supersede conflicting statements

in any circular containing a previous version of the Annual

Certifications and Assurances. The certifications and assurances

contained in those circulars are merely examples, and are not

acceptable or valid for Federal Fiscal Year 2000; do not rely on the

statements within certifications and assurances appearing in circulars.

Significance of Certifications and Assurances

Selecting and submitting certifications and assurances to FTA,

either through the TEAM system or submission of the Signature Page of

Appendix A, signifies the Applicant's intent to comply with the

requirements of those certifications and assurances to the extent they

apply to a program for which the Applicant submits an application for

assistance in Federal Fiscal Year 2000.

Requirement for Attorney's Signature

FTA requires a current (Federal Fiscal Year 2000) attorney's

affirmation of the Applicant's legal authority to certify compliance

with the funding obligations in this document. Irrespective of whether

the Applicant chooses to make a single selection for all fifteen

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categories or select individual options from the fifteen categories,

the attorney signature from a previous year on is not acceptable.

Deadline for Submission

All Applicants for FTA capital investment program or formula

program assistance, and current grantees with an active project

financed with FTA capital investment program or formula program

assistance, will be required to provide Federal Fiscal Year 2000

Certifications and Assurances within 90 days from the date of this

publication or with its first grant application in Fiscal Year 2000,

whichever is first. Other Applicants are encouraged to submit their

certifications and assurances as soon as possible.

Preference for Electronic Submission

FTA has expanded the use of the electronic programs for Applicants,

first introduced in 1995. Applicants should submit their applications

as well as certifications and assurances electronically through FTA's

Transportation Electronic Award and Management (TEAM) system. If an

Applicant is unable to submit its certifications and assurances through

the TEAM system, the Applicant should use the Signature Page form in

Appendix A of this Notice.

Procedures for Electronic Submission

The Certification & Assurances Tab Page of the TEAM system contains

fields for selecting the certifications and assurances to be submitted.

Within that tab page are fields for the Applicant's authorized

representative and its attorney to enter their personal identification

numbers (PINs), and thus ``sign'' the certifications and assurances for

electronic transmission to FTA. In certain circumstances, the Applicant

may enter its PIN number in lieu of an electronic signature provided by

its Attorney, provided the Applicant has on file the Affirmation of its

Attorney in writing dated this Federal fiscal year as set forth in

Appendix A of this Notice. Applicants may contact the appropriate

Regional Office listed in this Notice or the TEAM Helpdesk for more

information.

Procedures for Paper Submission

The following procedures apply to an Applicant that is unable to

submit its certifications electronically. The Applicant must mark the

certifications and assurances it is making on the Signature Page form

in Appendix A of this Notice and submit it to FTA. The Applicant may

signify compliance with all Categories by placing a single mark in the

appropriate space at the top of the Signature Selection Page in

Appendix A. In certain circumstances, the Applicant may certify in lieu

of the signature of its Attorney, provided the Applicant has on file

the Affirmation of its Attorney in writing dated this Federal fiscal

year as set forth in Appendix A of this Notice. Applicants may contact

the appropriate Regional Office listed in this Notice for more

information.

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, United

States Code, U.S. DOT and FTA regulations at 49 CFR, and FTA Circulars.

Issued on October 21, 1999.

Gordon J. Linton,

Administrator.

Appendix A: Federal Fiscal Year 2000 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 to provide

as many of the following certifications and assurances as necessary to

cover all programs for which the Applicant intends to seek FTA

assistance in Federal Fiscal Year 2000. A state providing

certifications and assurances on behalf of its prospective

subrecipients is expected to obtain sufficient documentation from those

subrecipients to assure the validity of its 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 and on the certifications and

assurances tab page of FTA's Transportation Electronic Award and

Management (TEAM) system. 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. As previously stated, FTA encourages the

Applicant to submit its certifications and assurances through the TEAM

system.

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. Consequently, FTA

may not award any Federal assistance until the Applicant provides

assurance of compliance by selecting category ``I'' on the TEAM system

certifications and assurances tab page or 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 affirm 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 agreements 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 the 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 agreement 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 for 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;

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(b) Have not, within a three (3) 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;

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

all statements in paragraphs (1) and (2) of this certification, it

shall indicate so in its applications, or in the transmittal letter or

message or accompanying its annual certifications and assurances, 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,

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) of this

certification;

(4) Notifying each of its employees in the statement required by

paragraph (1) of this certification 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 five (5) calendar days after that conviction;

(5) Notifying FTA in writing, within ten (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 thirty (30) calendar

days of receiving notice under paragraph (4)(b) of this agreement 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; and

(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) of this agreement. 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

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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 in

each third party contract or subagreement provisions to invoke the

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

provisions to invoke those requirements in deeds and instruments

recording the transfer of real property, structures, improvements.

G. Disadvantaged Business Enterprise Assurance

In accordance with 49 CFR 26.13(a), the Recipient assures that it

shall not discriminate on the basis of race, color, national origin, or

sex in the award and performance of any third party contract, or

subagreement supported with Federal assistance derived from the U.S.

DOT or in the administration of its DBE program or the requirements of

49 CFR part 26. The Recipient assures that it shall take all necessary

and reasonable steps under 49 CFR part 26 to ensure nondiscrimination

in the award and administration of all third party contracts and

subagreements supported with Federal assistance derived from the U.S.

DOT. The Recipient's DBE program, as required by 49 CFR part 26 and

approved by the U.S. DOT, is incorporated by reference and made part of

the grant agreement or cooperative agreement. Implementation of this

DBE program is a legal obligation, and failure to carry out its terms

shall be treated as a violation of the grant agreement or cooperative

agreement. Upon notification by the Government to the Recipient of its

failure to implement its approved DBE program, the U.S. DOT may impose

sanctions as provided for under 49 CFR part 26 and may, in appropriate

cases, refer the matter for enforcement under 18 U.S.C. 1001, and/or

the Program Fraud Civil Remedies Act, 31 U.S.C. 3801 et seq.

H. 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.

I. 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.

J. 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 safeguard 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;

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.,

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which provide for fair and equitable treatment of persons displaced or

whose property is acquired as a result of Federal of 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;

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; and

(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, with the

understanding that FTA will participate in the Applicant's eligible

costs of providing payments for those expenses 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 involving relocation or land acquisition and provide in

any affected document that these relocation and land acquisition

provisions shall supersede any conflicting provisions.

(7) To the extent applicable, will comply 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 pursuant to 23 U.S.C. 142(g), 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), requiring

recipients in a special flood hazard area to participate in the program

and 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;

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 pursuant to the requirements of 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, 16 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.

[[Page 58271]]

(15) 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.

(16) 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.

(17) 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.

(18) 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

Federal assistance.

(19) 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.

(20) Will have performed the financial and compliance audits

required by 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 and Department of Transportation

provisions of OMB A-133 Compliance Supplement, April, 1999.''

(21) 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. Consequently, FTA may not provide Federal

assistance for an application exceeding $100,000 until the Applicant

provides this certification by selecting category ``II'' on the TEAM

system certifications and assurances tab page or on the Signature Page

at the end of this document.

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. Certification Pertaining to the Effects of the Project on Private

Mass Transportation Companies

An Applicant that is a state or local government that seeks Federal

assistance authorized by 49 U.S.C. chapter 53 to acquire property of a

private mass transportation company 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. Consequently, FTA may

not award Federal assistance for that project until the Applicant

provides this certification by selecting category ``III'' on the TEAM

system certifications and assurances tab page or on the Signature Page

at the end of this document.

As required by 49 U.S.C. 5323(a)(1), 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. 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;

C. Paid just compensation under State or local law to a private

mass transportation company for its franchises or property acquired

and;

D. Acknowledged that 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

community's transit service must provide the following certification.

Consequently, FTA may not award Federal assistance for that project

until the Applicant provides this certification by selecting category

``IV'' on the TEAM system certifications and assurances tab page or on

the Signature Page at the end of this document.

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;

[[Page 58272]]

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 acquire rolling stock must

provide the following certification. Consequently, FTA may not provide

assistance to acquire rolling stock until the Applicant provides this

certification by selecting category ``V'' on the TEAM system

certifications and assurances tab page or on the Signature Page at the

end of this document.

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 when procuring revenue service rolling

stock. Among other things, the Applicant agrees to conduct or cause to

be conducted the requisite pre-award and post-delivery reviews, and

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. Consequently, FTA may not provide

assistance for the acquisition of new buses until the Applicant

provides this certification by selecting category ``VI'' on the TEAM

system certifications and assurances tab page or on the Signature Page

at the end of this document.

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.

Consequently, FTA may not provide assistance for those projects until

the Applicant enters into this agreement by selecting category ``VII''

on the TEAM system certifications and assurances tab page or on the

Signature Page at the end of this document.

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 or Title 23, U.S.C. must

agree as follows. Consequently, FTA may not provide assistance for

transportation facilities until the Applicant enters into this

Agreement by selecting category ``VIII'' on the TEAM system

certifications and assurances tab page or on the Signature Page at the

end of this document.

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

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 demand

responsive service must provide the following certification.

Consequently, 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 TEAM

system certifications and assurances tab page or on the Signature Page

at the end of this document.

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 TEAM system certifications and

assurances tab page or on the Signature Page at the end of this

document.

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

[[Page 58273]]

misuse prevention program in compliance with 49 CFR part 654; and if

the Applicant has employees regulated by the U.S. Federal Railroad

Administration (U.S. FRA), the Applicant also certifies that it has for

those employees an alcohol misuse prevention program in compliance with

U.S. 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 Transit Operations,'' at 49 CFR 653.83, the Applicant certifies that

it has established and implemented an anti-drug program and conducted

employee training in compliance with 49 CFR part 653; and if the

Applicant has employees regulated by the U.S. Federal Railroad

Administration (U.S. FRA), the Applicant also certifies that it has for

those employees an anti-drug program in compliance with U.S. FRA

regulations, ``Control of Alcohol and Drug Use,'' 49 CFR part 219.

XI. Certification Required for 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 TEAM system certifications and

assurances tab page or on the Signature Page at the end of this

document.

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 and Assurances 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. Consequently, 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 ``XII'' on the TEAM system

certifications and assurances tab page or on the Signature Page at the

end of this document.

In addition, each Applicant that has received Transit Enhancement

funding authorized by 49 U.S.C. 5307(k)(1) must include within its

quarterly report for the fourth quarter of the preceding Federal fiscal

year a list of the projects carried out during the preceding Federal

fiscal year with those Transit Enhancement funds. That list constitutes

the report of transit projects carried out during the preceding fiscal

year to be submitted as part of the Applicant's annual certifications

and assurances, as required by 49 U.S.C. 5307(k)(3), and is thus

incorporated by reference and made part of that Applicant's annual

certifications and assurances. FTA may not award Urbanized Area Formula

Program assistance to any Applicant that has received Transit

Enhancement funding authorized by 49 U.S.C. 5307(k)(1), unless that

Applicant's quarterly report for the fourth quarter of the preceding

Federal fiscal year has been submitted to FTA and that report contains

the requisite list.

A. Certifications Required by Statute

(1) As required by 49 U.S.C. 5307(d)(1)(A) through (J), the

Applicant certifies that:

(a) It has or will have the legal, financial, and technical

capacity to carry out the proposed program of projects;

(b) It has or will have satisfactory continuing control over the

use of the equipment and facilities;

(d) It will ensure that elderly or handicapped persons, or any

person presenting a Medicare card issued to himself or herself pursuant

to title II or title XVIII of the Social Security Act (42 U.S.C. 401 et

seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation

during non-peak hours using or involving a facility or equipment of a

project financed with Federal assistance authorized for 49 U.S.C. 5307

or for section 3037 of the Transportation Equity Act for the 21st

Century (TEA-21), 49 U.S.C. 5309 note, not more than fifty (50) percent

of the peak hour fare;

(e) 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;

(f) It has complied or will comply with the requirements of 49

U.S.C. 5307(c). Specifically, it has made available or before

submitting its application it will make available: (1) 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; (2) in consultation with

interested parties including private transportation providers, develop

a proposed program of projects for activities to be financed; (3)

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; (4) provide an

opportunity for a public hearing to obtain the views of citizens on the

proposed program of projects; and (5) 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; (6) consider comments and views

received, especially those of private transportation providers, in

preparing the final program of projects; and (7) make the final program

of projects available to the public;

(g) 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);

(h) It will comply with: 49 U.S.C. 5301(a) (requirements for

transportation systems that maximize mobility and minimize fuel

consumption and air pollution); 49 U.S.C. 5301(d) (requirements for

transportation of the elderly and persons with disabilities); 49 U.S.C.

5303 through 5306 (planning requirements); and 49 U.S.C. 5310 (a)

through (d) (programs for the elderly and persons with disabilities);

(i) It has a locally developed process to solicit and consider

public comment before raising fares or implementing a major reduction

of transportation; and

(j) As required by required by 49 U.S.C. 5307(d)(1)(J), unless it

has

[[Page 58274]]

determined that it is not necessary to expend one (1) 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 (1) 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.

(2) As required by 49 U.S.C. 5307(k)(3), if it has received Transit

Enhancement funds authorized by 49 U.S.C. 5307(k)(1), its quarterly

report for the fourth quarter of the preceding Federal fiscal year

includes a list of the projects implemented in the preceding Federal

fiscal year using Transit Enhancement funds, and made part of its

certifications and assurances.

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. Consequently, 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 TEAM system certifications and

assurances tab page or on the Signature Page at the end of this

document.

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 provided 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 and has provided the Disadvantaged

Business Enterprise Assurance (Category I.G, ``Certifications and

Assurances Required of Each Applicant'').

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, (Category I.H,

``Certifications and Assurances Required of Each Applicant''). 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 37.77(c).

K. The subrecipient has certified to the state that it will comply

with the applicable provisions of 49 CFR 605 pertaining to school

transportation operations (Category VIII, ``School Transportation

Agreement'').

L. Unless otherwise noted, each of the subrecipient's projects

qualifies for a

[[Page 58275]]

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 through 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. Consequently, 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 TEAM system certifications and assurances tab

page or on the Signature Page at the end of this document.

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 provided the Nondiscrimination Assurance.

(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 and has provided the Disadvantaged

Business Enterprise Assurance (Category I.G, ``Certifications and

Assurances Required of Each Applicant'').

I. The state will comply with all existing Federal requirements