Over-the-Road Bus Accessibility Program Grants

SUMMARY: The U.S. Department of Transportation (DOT) Federal Transit

Administration (FTA) announces the availability of funds for the Over-

the-road Bus (OTRB) Accessibility Program, authorized by Section 3038

of the Transportation Equity Act for the 21st Century (TEA-21). The

OTRB Accessibility Program makes funds available to private operators

of over-the-road buses to finance the incremental capital and training

costs of complying with DOT's over-the-road bus accessibility final

rule, published in a Federal Register Notice on September 24, 1998. The

OTRB Accessibility Program calls for national solicitation of

applications, with grantees to be selected on a competitive basis.

Federal funds are available for up to 50 percent of the project cost.

A total of $24.3 million is available for the program over the life

of TEA-21. The guaranteed level of funding available for intercity

fixed-route service is $2 million in fiscal year (FY) 1999 and FY 2000,

$3 million in FY 2001, and $5.3 million in FY 2002 and FY 2003, for a

total of $17.5 million. The guaranteed level of funding for other over-

the-road bus services, including charter and tour bus, is $1.7 million

per year from FY 2000 to FY 2003, for a total of $6.8 million.

For FY 1999, $2 million was appropriated for intercity fixed-route

service providers.

This announcement describes application procedures for the OTRB

Accessibility Program and the procedures FTA will use to determine

which projects it will fund. It includes all of the information needed

to apply for an OTRB Accessibility Program grant.

This announcement is available on the Internet on the FTA website

at http://www.fta.dot.gov/library/legal/otrbap.htm. This website will

also have commonly asked questions and answers. FTA will announce final

project selections on the website and in the Federal Register.

DATES: Complete applications for OTRB Accessibility Program grants must

be submitted to the appropriate FTA regional office (see Appendix A) by

the close of business April 16, 1999. The appropriate FTA regional

office is that office which serves the state in which an applicant's

headquarters office is located. FTA will announce grant selections in

June 1999, and we expect that grants will be made by September 30,

1999, the end of the Federal fiscal year. Applicants should not incur

costs prior to grant approval by FTA. FTA will accept comments on this

notice until March 10, 1999. Based on input, FTA may provide amending

or clarifying program information.

ADDRESSES: Comments and questions related to this notice can be made at

FTA's website, http://www.fta.dot.gov/library/legal/otrbap.htm, or can

be mailed or faxed to the following address: Sue Masselink, Federal

Transit Administration, Room 9315, 400 7th Street, S.W., Washington,

D.C. 20590 (FAX (202) 366-7951).

FOR FURTHER INFORMATION: Contact the appropriate FTA Regional

Administrator (Appendix A) for application-specific information and

issues. For general program information, contact Sue Masselink, Office

of Program Management, (202) 366-2053, e-mail:

[email protected]. A TDD is available at 1-800-877-8339 (TDD/

FIRS).

SUPPLEMENTARY INFORMATION

Table of Contents

I. General Program Information

II. Guidelines for Preparing Grant Applications

III. Submission of Applications

Appendix A. FTA Regional Offices

Appendix B. Sample Project Budget

Appendix C. Certifications and Assurances

Appendix D. Application Checklist

Appendix E. OMB Standard Form 424, ``Federal Assistance''

I. General Program Information

A. Authority

The program is authorized under Section 3038 of the Transportation

Equity Act for the 21st Century (TEA-21). Funds have been appropriated

for this program under the Omnibus Consolidated and Emergency

Supplemental Appropriations Act, Fiscal Year 1999, which includes

Appropriations for Department of Transportation and Related Agencies.

B. Background

Over-the-road buses are used predominantly in intercity service as

well as charter and tour bus services. These services are an important

element of the U.S. transportation system. TEA-21 authorizes FTA's new

Over-the-road Bus Accessibility Program to assist over-the-road bus

operators in complying with the Department's Over-the-road Bus

Accessibility rule, ``Transportation for Individuals with

Disabilities'' (49 CFR Part 37) published in a Federal Register notice

on September 24, 1998.

Summary of DOT's Over-the-Road Bus Accessibility Rule

Under the over-the-road bus accessibility rule, all new buses

obtained by large (Class I carriers, i.e., those with gross annual

operating revenues of $5.3 million or more), fixed-route carriers,

starting in 2000, must be accessible, with wheelchair lifts and tie-

downs that allow passengers to ride in their own wheelchairs. The rule

requires the fixed-route carriers' fleets to be completely accessible

by 2012. The buses acquired by small (gross operating revenues of less

than $5.3 million annually) fixed-route providers also are required to

be lift-equipped, although they do not have a deadline for total fleet

accessibility. Small providers also can provide equivalent service in

lieu of obtaining accessible buses. Starting in 2001, charter and tour

companies will have to provide service in an accessible bus on 48

hours' advance notice. Fixed-route companies must also provide this

kind of service on an interim basis until their fleets are completely

accessible.

Small carriers who provide mostly charter or tour service and also

provide a small amount of fixed-route service can meet all requirements

through 48-hour advance-reservation service.

Small carriers have an extra year to begin complying with the

requirements that apply to them starting in October 2001, compared to

October 2000 for large carriers.

Specifications describing the design features that an over-the-road

bus must have to be readily accessible to and usable by persons who use

wheelchairs or other mobility aids required by the ``Americans with

Disabilities Act Accessibility Guidelines for Transportation Vehicles:

Over-the-Road Buses'' rule (36 CFR Part 1192) were published in another

Federal Register Notice on September 28, 1998.

C. Scope

Improving mobility and shaping America's future by ensuring that

the transportation system is accessible, integrated, efficient and

offers flexibility of choices is a key strategic goal of the Department

of Transportation. Over-the-road Bus Accessibility projects will

improve mobility for individuals with disabilities by providing

financial assistance to help make vehicles accessible and provide

training to ensure that drivers and others understand how to use

accessibility

[[Page 6167]]

features as well as how to treat patrons with disabilities.

D. Eligible Applicants

Grants will be made directly to operators of over-the-road buses.

Only intercity, fixed-route over-the-road bus service providers may

apply for OTRB Accessibility program funds in fiscal year 1999.

Thereafter, other over-the-road bus service providers, including

operators of local fixed-route service, commuter service, and charter

or tour service may apply for funds appropriated for these providers.

Private for-profit operators of over-the-road buses are eligible to be

direct applicants for this program. This is a departure from the other

FTA programs in which the direct applicant must be a state or local

public body.

E. Vehicle and Service Definitions

An ``over-the-road bus'' is a bus characterized by an elevated

passenger deck located over a baggage compartment.

Intercity, fixed-route over-the-road bus service is regularly

scheduled bus service for the general public, using an over-the-road

bus that: operates with limited stops over fixed routes connecting two

or more urban areas not in close proximity or connecting one or more

rural communities with an urban area not in close proximity; has the

capacity for transporting baggage carried by passengers; and makes

meaningful connections with scheduled intercity bus service to more

distant points.

Other over-the-road bus service means any other transportation

using over-the-road buses, including local fixed-route service,

commuter service, and charter or tour service (including tour or

excursion service that includes features in addition to bus

transportation such as means, lodging, admission to points of interest

or special attractions).

F. Eligible Projects

Projects to finance the incremental capital and training costs of

complying with DOT's over-the-road bus accessibility rule (49 CFR Part

37) are eligible for funding. Capital projects eligible for funding

include adding lifts and other accessibility components to new vehicle

purchases, and purchasing lifts to retrofit existing vehicles.

Eligible training costs are those required by the final

accessibility rule as described in 49 CFR 37.209. These activities were

required under the interim OTRB accessibility rule and include training

in proper operation and maintenance of accessibility features and

equipment, boarding assistance, securement of mobility aids, sensitive

and appropriate interaction with passengers with disabilities, and

handling and storage of mobility devices. The costs associated with

developing training materials or providing training for local providers

of over-the-road bus services for these purposes are eligible expenses.

FTA has sponsored the development of accessibility training

materials for public transit operators. FTA-funded Project Action is a

national technical assistance program to promote cooperation between

the disability community and transportation industry. Project Action

provides training, resources and technical assistance to thousands of

disability organizations, consumers with disabilities, and

transportation operators. It maintains a resource center with the most

up-to-date information on transportation accessibility. Project Action

may be contacted at: Project Action, 700 Thirteenth Street, N.W., Suite

200, Washington, DC 20590, Phone: 1-800-659-6428, Internet address:

http://www.projectaction.org/.

G. Grant Criteria

FTA will award grants based on:

a. The identified need for over-the-road bus accessibility for

persons with disabilities in the areas served by the applicant;

b. The extent to which the applicant demonstrates innovative

strategies and financial commitment to providing access to over-the-

road buses to persons with disabilities;

c. The extent to which the over-the-road bus operator requires

equipment required by DOT's over-the-road bus accessibility rule prior

to the required timeframe in the rule;

d. The extent to which financing the costs of complying with DOT's

rule presents a financial hardship for the applicant; and

e. The impact of accessibility requirements on the continuation of

over-the-road bus service, with particular consideration of the impact

of the requirements on service to rural areas and for low-income

individuals.

H. Funding Availability

TEA-21 authorizes the OTRB Accessibility program for intercity

fixed-route service at a guaranteed level of $2 million in FY 1999 and

FY 2000, $3 million in FY 2001, and $5.3 million in FY 2002 and FY

2003. The guaranteed level of funding for other over-the-road bus

services is $1.7 million per year from FY 2000 through FY 2003. FTA

funds are available for up to 50 percent of the cost of a project.

There is no restriction on how much of each year's apportionment can be

used for either capital or training projects.

For FY 1999, $2 million has been appropriated for the intercity

fixed-route service providers.

I. Grant Requirements

The grant application must include documentation necessary to meet

the requirements of FTA's Nonurbanized Area Formula program (Section

5311 under Title 49, United States Code). Technical assistance

regarding these requirements is available in each FTA regional office.

For incremental capital costs, applicants must comply with all of the

Federal requirements described in this section, either when purchasing

wheelchair lifts and securement devices to retrofit existing vehicles,

or when purchasing new wheelchair accessible vehicles. When purchasing

new wheelchair accessible buses, these Federal requirements apply to

the purchase of the vehicle itself, not just the wheelchair lift or

securement devices. As lifts are normally purchased as part of a bus

procurement, Federal requirements that apply to the lift also apply to

the purchase of the bus. In particular, Buy America, labor protections,

pre-award and post-delivery reviews and bus testing will apply to the

total vehicle purchase, not just the lift.

Training costs are not subject to all requirements. For example,

labor protections, Buy America, pre-award and post-delivery reviews,

bus testing, and school transportation are not applicable to training

assistance.

1. Buy America. Federal funds may not be obligated for projects

unless steel, iron, and manufactured products used in such projects are

produced in the United States. Recipients of the OTRB Accessibility

program funds must conform with the FTA regulations, 49 CFR Part 661,

and any amendments thereto. There are four exceptions to the basic

requirement that may be the basis for a waiver. First, the requirement

will not apply if its application is not in the public interest.

Second, the requirement will not apply if materials and products being

procured are not produced in the United States in sufficient and

reasonably available quantities and of a satisfactory quality. Third,

the requirement will not apply in a case involving the procurement of

buses and other rolling stock if the cost of components and

subcomponents which are produced in the United States is more than 60

percent of the cost of all components and subcomponents of the vehicles

or equipment, and if final assembly takes place in the United States.

The meaning of final assembly is

[[Page 6168]]

further described in the FTA Guidance on Buy America Requirements,

dated March 18, 1997, which applies to all buses purchased with FTA

funds. Fourth, the requirement will not apply if the inclusion of

domestic material will increase the overall project contract by more

than 25 percent. Buy America waivers under the non-availability, price

differential, and public interest exceptions require FTA approval, but

the waiver for rolling stock meeting the domestic content and final

assembly requirements does not. FTA has issued a general waiver for

selected items, including all purchases under the Federal small

purchase threshold, which is $100,000.

2. Labor Protection. Before FTA may award a grant for capital

assistance, 49 U.S.C. 5333(b) requires that fair and equitable

arrangements must be made to protect the interests of transit employees

affected by FTA assistance. Those arrangements must be certified by the

Secretary of Labor as meeting the requirements of the statute. When a

labor organization represents a group of affected employees in the

service area of an FTA project, the employee protective arrangement is

usually the product of negotiations or discussions with the union. The

grant applicant can facilitate Department of Labor (DOL) certification

by identifying in the application any previously certified protective

arrangements that have been applied to similar projects undertaken by

the grant applicant. Upon receipt of a grant application requiring

employee protective arrangements, FTA will transmit the application to

DOL and request certification of the employee protective arrangements.

In accordance with DOL guidelines, DOL notifies the relevant unions in

the area of the project that a grant for assistance is pending and

affords the grant applicant and union the opportunity to agree to an

arrangement establishing the terms and conditions of the employee

protections. If necessary, DOL furnishes technical and mediation

assistance to the parties during their negotiations. The Secretary of

Labor may determine the protections to be certified if the parties do

not reach an agreement after good faith bargaining and mediation

efforts have been exhausted. DOL will also set the protective

conditions when affected employees in the service area are not

represented by a union. When DOL determines that employee protective

arrangements comply with labor protection requirements, DOL will

provide a certification to FTA. The grant agreement between FTA and the

grant applicant incorporates by reference the employee protective

arrangements certified by DOL.

Questions concerning employee protective arrangements and related

matters pertaining to transit employees should be addressed to the

Division of Statutory Programs, Department of Labor, 200 Constitution

Avenue, NW, Room N-5411, Washington, DC 20210; telephone (202) 693-

0126, fax (202) 219-5338.

3. Competitive Procurement. Federal procurement requirements apply

to FTA funds awarded to state and local governments and private

nonprofit agencies under 49 CFR Parts 18 and 19. To the extent a direct

recipient of FTA funds under this program is a private for-profit

entity, the Federal procurement requirements do not apply.

4. Debarment, Suspension and Other Responsibility matters. Pursuant

to Executive Order 12549; 41 U.S.C. 701; and 49 CFR Part 29, grantees

must ensure that FTA funds are not given to anyone who has been

debarred, suspended, or declared ineligible or voluntarily excluded

from participation in federally assisted transactions. The burden of

disclosure is on those debarred or suspended. The U.S. General Services

Administration (GSA) issues a document titled ``Lists of Parties

Excluded from Federal Procurement or Nonprocurement Programs'' monthly.

The list is available on the GSA website (http//www.gsa.gov/index). If

at any time the grantee or other covered entity learns that a

certification it made or received was erroneous when submitted or if

circumstances have changed, disclosure to FTA is required.

5. Drug-Free Workplace. Grantees must maintain a drug-free

workplace for all employees and have an anti-drug policy and awareness

program. The grant applicant must certify to FTA that it will provide a

drug-free workplace and comply with all requirements of the Drug-Free

Workplace Act of 1988 (Public Law 100-690) and U.S. DOT's implementing

regulations, 49 CFR Part 29, Subpart F. The grantee is required to

provide a written Drug-Free Workplace policy statement notifying

employees that the unlawful manufacture, distribution, dispensing,

possession, or use of a controlled substance is prohibited in the

workplace and stating specific actions that will be taken for

violations. The ongoing drug-free awareness program must inform

employees about the dangers of drug abuse; about any available drug

counseling, rehabilitation, and employee assistance programs; about

penalties that may be imposed; and that employees are to be aware that

the recipient operates a drug-free workplace. An employee of an FTA

grantee is required to report in any conviction for a violation of

criminal drug statute occurring in the workplace, and the grantee/

employer is required to provide written notice to FTA within 10 days of

having received the notice. Within 30 days of receiving the notice of a

conviction, the grantee/employer must have taken appropriate action

against the employee or have required participation in a drug abuse

assistance or rehabilitation program.

6. Nondiscrimination requirements. 49 U.S.C. section 5332 states

that ``a person (defined broadly) may not be excluded from

participating in, denied a benefit of, or discriminated against, under

a project, program, or actively receiving financial assistance (from

FTA) because of race, color, creed, national origin, sex, or age.''

7. Title VI. Grantees must assure FTA that transit services and

benefits obtained with FTA assistance will be provided in a

nondiscriminatory manner, without regard to race, color, or national

origin.

8. Disadvantaged Business Enterprise. Grantees must assure FTA that

disadvantaged business enterprises (DBEs) are provided the maximum

opportunity to compete for FTA-assistance contracts and procurements.

9. Equal Employment Opportunity (EEO). The grantee must assure that

it will notdiscriminate against any employee or applicant for

employment because of race, color, creed, sex, disability, age or

national origin. The grantee agrees to take affirmative action to

ensure that applicants are employed and that employees are treated

during employment, without regard to their race, color, creed, sex,

disability, age, or national origin.

10. Americans with Disabilities Act and Section 504. Compliance

with the Americans with Disabilities Act of 1990 (ADA) (Public Law 101-

336) and Section 504 of the Rehabilitation Act of 1973, as amended, are

eligibility requirements for Federal financial assistance. Section 504

prohibits discrimination on the basis of handicap by recipients of

Federal financial assistance. The ADA prohibits discrimination against

persons with disabilities in the provision of transportation services.

11. Restrictions on Lobbying. Federal financial assistance may not

be used to influence any member of Congress or an officer or employee

of any agency in connection with the making of any Federal contract,

grant, or cooperative agreement. The state, subrecipients, and third

party contractors at any tier

[[Page 6169]]

awarded FTA assistance exceeding $100,000 must sign a certification so

stating and also must disclose the expenditure of non-Federal funds for

such purposes (49 CFR Part 20). Other Federal laws also govern lobbying

activities. For example, Federal funds may not be used for lobbying

congressional representatives or senators indirectly, such as by

contributing to a lobbying organization or funding a grass-roots

campaign to influence legislation (31 U.S.C. Section 1352). General

advocacy for over-the-road bus transportation and providing information

to legislators about the services a recipient provides are not

prohibited, nor is using non-Federal funds for lobbying, so long as the

required disclosures are made.

12. Pre-award and Post-delivery reviews. Pursuant to 49 USC

5323(l), procurements for vehicles, other than sedans or unmodified

vans, must be audited in accordance with FTA regulation, ``Pre-Award

and Post-Delivery Audits of Rolling Stock Purchases,'' 49 CFR Part 663.

Additional guidance is available in a manual, ``Conducting Pre-Award

and Post-Delivery Reviews for Bus Procurement,'' published May 1, 1995.

The regulation requires that any recipient who purchases rolling stock

for use in revenue service with funds obligated after October 24, 1991,

conduct a pre-award and post-delivery review to assurance compliance

with its bid specifications, Buy America requirements, and Federal

Motor Vehicle Safety requirements, and to complete certifications.

Purchase of more than ten vehicles, other than unmodified vans or

sedans, requires in-plant inspection.

13. Bus Testing. Pursuant to 49 USC 5323(c), all new bus models

purchased with FTA funds must be tested in accordance with 49 USC 5318

and 49 CFR part 665, before FTA funds can be expended to acquire them.

Purchasers of new model buses should ensure that the manufacturer has

complied with the testing requirements by requesting a copy of the bus

testing report from the Altoona Bus Testing Center, 6th Avenue and 45th

Street, Altoona, Pennsylvania 16602. The telephone number is (814) 949-

7944.

14. School Transportation. 49 USC 5323(f) prohibits the use of FTA

funds for exclusive school bus transportation for school students and

school personnel. The implementing regulation (49 CFR part 603) does

permit regular service to be modified to accommodate school students

along with the general public.

15. Environmental Protection. Neither capital costs associated with

making vehicles wheelchair accessible nor training costs involve

significant environmental impacts. Projects that do not involve

significant environmental impacts are considered ``categorical

exclusions'' in FTA's procedures because they have been categorically

excluded from FTA's requirements to prepare environmental

documentation. (49 USC part 622, incorporating 23 CFR part 771).

16. Planning. Applicants are encouraged to notify the appropriate

state departments of transportation and metropolitan planning

organizations (MPO) in areas likely to be served by equipment made

accessible through funds made available in this program. Those

organizations, in turn, should take appropriate steps to inform the

public and individuals requiring fully accessible services in

particular, of operators' intentions to expand the accessibility of

their services. Incorporation of funded projects in the plans and

transportation improvement programs of states and metropolitan areas by

States and MPOs also is encouraged, but is not required.

II. Guidelines for Preparing Grant Application

FTA is conducting a national solicitation for applications under

the OTRB Accessibility program. Grant awards will be made on a

competitive basis. Although most FTA grant applications are now

submitted electronically, paper applications for the OTRB Accessibility

program will be accepted. An original and two copies of the application

must be submitted to the appropriate FTA Regional Office. The OTRB

operators should submit the application to the office in the region in

which its headquarters office is located. The application should

provide information on all items for which you are requesting funding

in FY 1999. The application must include the following elements:

1. Transmittal Letter

This addresses basic identifying information including:

a. Grant applicant

b. Contact name and phone number

c. Amount of grant request

2. Project Eligibility

Every application must:

a. Described the applicant's technical, legal, and financial

capacity to implement the proposed projects.

b. Document matching funds, including amount and source.

c. Include OMB Standard Form 424, ``Federal Assistance,'' which is

a multi-purpose form that must be completed in its entirety. The forms

are available from the FTA regional offices.

3. Project Information

Provide a summary of project activities for which you are

requesting funds. The summary should include:

a. Each project's time line, including significant milestones such

as date of contract for purchase of vehicle(s), and expected delivery

of vehicle(s).

b. Project budget (see Appendix B).

4. Project Narrative

Provide the information identified below to support your

application. Grants will be awarded competitively based upon the

following criteria:

a. The identified need for over-the-road bus accessibility for

persons with disabilities in the areas served by the applicant;

b. The extent to which the applicant demonstrates innovative

strategies and financial commitment to providing access to over-the-

road buses to persons with disabilities;

c. The extent to which the over-the-road bus operators acquires

equipment required by DOT's over-the-road bus accessibility rule prior

to the required timeframe in the rule;

d. The extent to which financing the costs of complying with DOT's

rule presents a financial hardship for the applicant; and

e. The impact of accessibility requirements on the continuation of

over-the-road bus service, with particular consideration of the impact

of the requirements on service to rural areas and for low-income

individuals.

III. Grant Review Process

Applications are to be submitted to the appropriate FTA Regional

Office by the close of business on April 16, 1999. FTA will screen all

applications to determine whether all required eligibility elements, as

described in Section 2 of the application, are present. An FTA task

force will evaluate each application according to the criteria

described in this announcement.

A. Notification

FTA will notify all applicants for funding in June 1999. Grants are

expected to be made by September 30, 1999, the end of Federal fiscal

year 1999. FTA is committed to obligating FY 1999 OTRB Accessibility

program funds expeditiously. Therefore, FTA urges applicants to develop

and submit with their applications complete documentation necessary to

meet the

[[Page 6170]]

applicable FTA Section 5311 requirements.

Issued on February 2, 1999.

Gordon J. Linton,

Administrator.

Appendix A--FTA Regional Offices

Region I--Massachusetts, Rhode Island, Connecticut, New Hampshire,

Vermont and Maine

Richard H. Doyle, FTA Regional Administrator, Volpe National

Transportation Systems Center, Kendall Square, 55 Broadway, Suite

920, Cambridge, MA 02142-1093, (617) 494-2055

Region II--New York, New Jersey, Virgin Islands

Letitia Thompson, FTA Regional Administrator, 26 Federal Plaza,

Suite 2940, New York, NY 10278-0194, (212) 264-8162

Region III--Pennsylvania, Maryland, Virginia, West Virginia,

Delaware, Washington, DC

Sheldon Kinbar, FTA Regional Administrator, 1760 Market Street,

Suite 500, Philadelphia, PA 19103-4124, (215) 656-7100

Region IV--Georgia, North Carolina, South Carolina, Florida,

Mississippi, Tennessee, Kentucky, Alabama, Puerto Rico

Susan Schruth, FTA Regional Administrator, 61 Forsyth Street, S.W.,

Suite 17T50, Atlanta, GA 30303, (404) 562-3500

Region V--Illinois, Indiana, Ohio, Wisconsin, Minnesota, Michigan

Joel Ettinger, FTA Regional Administrator, 200 West Adams Street,

Suite 2410, Chicago, IL 60606-5232, (312) 353-2789

Region VI--Texas, New Mexico, Louisiana, Arkansas, Oklahoma

Lee Waddleton, FTA Regional Administrator, 819 Taylor Street, Room

8A36, Ft. Worth, TX 76102, (817) 978-0550

Region VII--Iowa, Nebraska, Kansas, Missouri

Mokhtee Ahmad, FTA Regional Administrator, 6301 Rockhill Road, Suite

303, Kansas City, MO 64131-1117, (816) 523-0204

Region VIII--Colorado, North Dakota, South Dakota, Montana,

Wyoming, Utah

Louis Mraz, FTA Regional Administrator, Columbine Place, 216 16th

Street, Suite 650, Denver, CO 80202-5120, (303) 844-3242

Region IX--California, Arizona, Nevada, Hawaii, American Samoa,

Guam

Leslie Rogers, FTA Regional Administrator, 201 Mission Street, Suite

2210, San Francisco, CA 94105-1831, (415) 744-3133

Region X--Washington, Oregon, Idaho, Alaska

Helen Knoll, FTA Regional Administrator, Jackson Federal Building,

915 Second Avenue, Suite 3142, Seattle, WA 98174-1002, (206) 220-

7954

GRANTEE: Hillsdale Bus Company

PROJECT: OR-38-0001

----------------------------------------------------------------------------------------------------------------

Eligible

Scope Activity Federal share project cost

----------------------------------------------------------------------------------------------------------------

111-01.................................... BUS ROLLING STOCK.

11.42.43 INCREMENTAL COST OF LIFT $15,000 $30,000

QUANTITY: 1.

11.44.43 RETROFIT VEHICLE WITH LIFT 22,000 44,000

QUANTITY 1.

117-00.................................... BUS--OTHER.

11.7E.01 TRAINING................... 10,000 20,000

ELIGIBLE PROJECT COST............... 94,000 ..............

FEDERAL SHARE....................... 47,000 ..............

APPLICANT SHARE..................... 47,000

----------------------------------------------------------------------------------------------------------------

Appendix C--Certifications and Assurances for Over-the-Road Bus

Accessibility Program Grants

Before FTA may aware a Federal grant agreement, the applicant

must provide to FTA all certifications and assurances required by

Federal laws and regulations for the applicant or its project. This

Appendix provides the text of certifications and assurances required

by Federal law, regulations, or directives for the Over-the-road Bus

Accessibility Program.

Included at the end of this document is a single signature page

on which the applicant and its attorney certify compliance with all

certifications and assurances applicable to each project for which

the applicant is applying.

An applicant's Annual Certifications and Assurances applicable

to a specific grant generally remain in effect for the life of the

grant 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, project, or project property, except as FTA otherwise

permits.

Procedures

Following is a detailed compilation of Certifications and

Assurances and the Signature Page. The Signature Page is to be

signed by the applicant's authorized representative and its

attorney. It is to be submitted to the appropriate regional office

along with the applicant's grant application.

All applicants are advised to read the entire list of

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.

The Signature Page, once properly signed and submitted to FTA,

assures FTA that the applicant intends to comply with the

requirements for the Over-the-road Bus Accessibility Program. 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. The applicant should not

hesitate to consult with the appropriate FTA Regional 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.

Over-the-road Bus Accessibility Program Certifications and

Assurances

In accordance with 49 U.S.C.5323(n), the following

certifications and assurances have been compiled for the Over-the-

road Bus Accessibility program. FTA requests each Applicant provide

as many of the following certifications and assurances as needed to

cover the types of projects for which the Applicant is seeking FTA

assistance. The categories of certifications and assurances are

listed by Roman numerals I through V on one side of the Signature

Page of this document. Categories II through V will apply to some,

but not necessarily 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 Over-the-road Bus Accessibility funding

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

[[Page 6171]]

compliance by selecting Category I on the Signature Page at the end

of this document.

A. Authority of Applicant and Its Representative

The authorized representative of the Applicant and legal counsel

who sign these certifications, assurances, and agreements attest

that both the Applicant and its authorized representative have

adequate authority under state and local law and the by-laws or

internal rules of the Applicant organization to:

(1) Execute and file the application for Federal assistance on

behalf of the Applicant,

(2) Execute and file the required certifications, assurances,

and agreements on behalf of the Applicant binding the Applicant, and

(3) Execute grants 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. The Applicant acknowledges that

it is under a continuing obligation to comply with the terms and

conditions of the grant 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,'' 40 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

[[Page 6172]]

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 wit 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 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 assure 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. 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 form 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 prohibits 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. 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 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, but 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 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

[[Page 6173]]

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 of 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 no 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 a 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-I 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 instruction 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 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 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 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 III 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.

IV. 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 IV on the Signature Page.

As required by FTA regulations, ``Bus Testing,'' at 49 CFR

665.7, the Applicant

[[Page 6174]]

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.

V. 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 V 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 may require corrective measures and the imposition of

penalties, including debarment from the receipt of further Federal

assistance for transportation.

Over-the-Road Bus Accessibility Program Certifications and Assurances

for FTA Assistance

NAME OF APPLICANT:-----------------------------------------------------

The Applicant agrees to comply with applicable requirements of

Categories I-V ______

(The Applicant may make this selection in lieu of individual

selections below.)

OR

The applicant agrees to comply with the applicable requirements

of the following categories it has selected:

I. Certifications and Assurances Required of Each Applicant.. ________

II. Lobbying Certification................................... ________

III. Certification for the Purchase of Rolling Stock......... ________

IV. Bus Testing Certification................................ ________

V. School Transportation Agreement........................... ________

Over-the-Road Bus Accessibility Certifications and Assurances

Name of Applicant:-----------------------------------------------------

Name and relationship of Authorized Representative:--------------------

BY SIGNING BELOW I, ____________________(name), on behalf of the

Applicant, declare that the Applicant has duly authorized me to make

these certifications and assurances and bind the Applicant's

compliance. Thus, the Applicant agrees to comply with all Federal

statutes, regulations, executive orders, and administrative guidance

required for each application it makes to the Federal Transit

Administration (FTA).

FTA intends that the certifications and assurances the Applicant

selects on the other side of this document should apply, as

required, to each project for which the applicant seeks FTA

assistance.

The applicant affirms the truthfulness and accuracy of the

certifications and assurances it has made in the statements

submitted herein with this document and any other submission made to

FTA, and acknowledges that the provisions of the Program Fraud Civil

Remedies Act of 1986, 31 U.S.C. 3801 et seq., as implemented by U.S.

DOT regulations, ``Program Fraud Civil Remedies,'' 49 CFR part 31

apply to any certification, assurance or submission made to FTA. The

criminal fraud provisions of 18 U.S.C. 1001 apply to any

certification, assurance, or submission made in connection with any

other program administered by FTA.

In signing this document, I declare under penalties of perjury

that the foregoing certifications and assurances, and any other

statements made by me on behalf of the Application are true and

correct.

Signature--------------------------------------------------------------

Date-------------------------------------------------------------------

Name-------------------------------------------------------------------

Authorized Representative of Applicant

Affirmation of Applicant's Attorney

For--------------------------------------------------------------------

(Name of Applicant)

As the undersigned legal counsel for the above name applicant, I

hereby affirm to the Applicant that it has authority under state and

local law to make and comply with the certifications and assurances

as indicated on the foregoing pages. I further affirm that, in my

opinion, the certifications and assurances have been legally made

and constitute legal and binding obligstions on the applicant.

I further affirm to the Applicant that, to the best of my

knowledge, there is no legislation or litigation pending or imminent

that might adversely affect the validity of these certifications and

assurances, or of the performance of the project. Furthermore, if I

become aware of circumstances that change the accuracy of the

foregoing statements, I will notify the applicant promptly, which

may so inform FTA.

Signature--------------------------------------------------------------

Date-------------------------------------------------------------------

Name-------------------------------------------------------------------

Applicant's Attorney

Each Applicant for FTA financial assistance and each FTA grantee

with an active capital project must provide an attorney's

affirmation of the Applicant's legal capacity.

Appendix D--Grant Application Checklist

1. Transmittal letter

2. SF-424

3. Project Eligibility

a. Organizational Capacity

b. 50 percent non-Federal match

4. Project Budget

5. Project Description

--Project Milestones

6. Project Narrative

BILLING CODE 4910-57-M

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[FR Doc. 99-2826 Filed 2-5-99; 8:45 am]

BILLING CODE 4910-57-C