Fiscal Year 1998 Annual List of Certifications and Assurances for FTA Grants and Cooperative Agreements
Number 62 53511
10-14-97
10-14-97
[Federal Register: October 14, 1997 (Volume 62, Number 198)]
[Notices]
[Page 53511-53522]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr14oc97-128]
[[Page 53511]]
_______________________________________________________________________
Part IV
Department of Transportation
_______________________________________________________________________
Federal Transit Administration
_______________________________________________________________________
Fiscal Year 1998 Annual List of Certifications and Assurances for
Federal Transit Administration Grants and Cooperative Agreements;
Notice
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Fiscal Year 1998 Annual List of Certifications and Assurances for
Federal Transit Administration Grants and Cooperative Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice.
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SUMMARY: This notice contains FTA's comprehensive compilation of the
Federal Fiscal Year 1998 certifications and assurances to be used in
connection with all Federal assistance programs administered by FTA
during Federal Fiscal Year 1998. (See Appendix A.) These certifications
and assurances include all annual certifications required by 49 U.S.C.
5307(d)(1) for FTA's Urbanized Area Formula Program as well as other
certifications and assurances needed for compliance with various other
Federal statutes and regulations affecting FTA's assistance programs.
EFFECTIVE DATE: October 14, 1997.
FOR FURTHER INFORMATION CONTACT: Pat Berkley, Office of Program
Management, Federal Transit Administration, (202) 366-6470; the FTA Web
Site at http://www.fta.dot.gov; or contact FTA staff in the appropriate
Regional Office listed below. For copies of other related documents,
contact Minnie Davis, Office of Public Affairs, Federal Transit
Administration, (202) 366-1217.
Region 1: Boston
States served: Maine, New Hampshire, Vermont, Connecticut, Rhode
Island, and Massachusetts, Telephone 617-494-2055
Region 2: New York
States served: New York, New Jersey, and Virgin Islands, Telephone 212-
264-8162
Region 3: Philadelphia
States served: Pennsylvania, Delaware, Maryland, Virginia, West
Virginia, and District of Columbia, Telephone 215-656-7100
Region 4: Atlanta
States served: Kentucky, North Carolina, South Carolina, Georgia,
Florida, Alabama, Mississippi, Tennessee, and Puerto Rico, Telephone
404-562-3500
Region 5: Chicago
States served: Minnesota, Wisconsin, Michigan, Illinois, Indiana, and
Ohio, Telephone 312-353-2789
Region 6: Dallas/Ft.Worth
States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico,
Telephone 817-860-9663
Region 7: Kansas City
States served: Missouri, Iowa, Kansas, and Nebraska, Telephone 816-523-
0204
Region 8: Denver
States served: Colorado, Utah, Wyoming, Montana, North Dakota, South
Dakota, Telephone 303-844-3242
Region 9: San Francisco
States served: California, Hawaii, Guam, Arizona, Nevada, American
Samoa, and the Northern Mariana Islands, Telephone 415-744-3133
Region 10: Seattle
States served: Idaho, Oregon, Washington, and Alaska, Telephone 206-
220-7954
SUPPLEMENTARY INFORMATION: Before FTA may award a Federal grant or
cooperative agreement, the applicant must provide to FTA all
certifications and assurances required by Federal laws and regulations
for the applicant or its project.
This notice provides the text of certifications and assurances that
may be required by law for the various Federal assistance programs
administered by FTA including the Capital Program; the Urbanized Area
Formula Program; the Nonurbanized Area Formula Program; the
Metropolitan Planning Program; the Rural Transit Assistance Program;
the Elderly and Persons With Disabilities Program; the Human Resource
Program; the National Training Institute Program; the State Planning
and Research Program; and the National Planning and Research Program,
all codified at 49 U.S.C. chapter 53. When administering Federal
assistance programs authorized by other Federal statutes, such as Title
23, United States Code, FTA uses these same certifications and
assurances during Federal Fiscal Year 1998.
This Notice provides the applicant with a single Signature Page on
which the applicant and its attorney certifies compliance with all
certifications and assurances applicable to each grant or cooperative
agreement for which the applicant wishes to apply in Federal Fiscal
Year 1998. (See Signature Page of Appendix A.)
Electronic Submission
FTA has expanded the use of the electronic programs for applicants
introduced in 1995. The On-Line Program is offered to applicants
through the Grant Management Information System (GMIS). This is a
computerized system designed to assist the FTA grantee or recipient of
a cooperative agreement in managing its FTA assisted projects and their
budgets. All applicants are encouraged to participate in the On-Line
Program, which includes the opportunity to certify compliance
electronically for all certifications and assurances selected among
those in Appendix A. The Electronic Grant Making and Management
initiative (EGMM) pilot program also initiated in Federal Fiscal Year
1995 has proved so successful in reducing time and paper that EGMM will
continue to be offered to more applicants. This program is presently
undergoing graphical-user-interface refinement for enhanced
accessibility. Applicants may contact their Regional Office shown above
for more information.
1998 Changes
This 1998 Annual Certifications and Assurances document contains
two major changes to the previous year's Federal Register publication.
(1) Starting with this Fiscal Year 1998, all Applicants for FTA capital
program or formula program assistance, and current Grantees with an
active project financed with FTA capital program or formula program
assistance will be required to provide the Appendix A Certifications
and Assurances within 90 days from the date of this publication or with
its first grant application in Fiscal Year 1998, whichever comes first.
(2) The attorney signature from previous years on the Single
Signature Page will no longer be acceptable. FTA requires a current
attorney's affirmation of the Applicant's legal authority to certify
compliance with the funding obligations in this document. Additional
changes include clarification and reference sources. It is important
that each applicant be familiar with all fifteen categories contained
in this document as it is a prerequisite for receiving FTA financial
assistance.
FTA directs your attention to Appendix C in FTA Circular 9300.1,
``Capital Program Grant Application Instructions,'' which was published
on September 29, 1995; to Exhibit D in FTA Circular 9040.1D, dated May
3, 1997, ``Nonurbanized Area Formula Program Guidance and Grant
Application Instructions; and Appendix G of FTA Circular 9030.1B, dated
October 10, 1996, Urbanized Area Formula Program: Grant Application
Instructions. These circulars contain a previous version of the Annual
Certifications and Assurances which includes some but
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not all of the most current and valid changes. Do not use the document
contained in these circulars. They are examples only and will not be
considered acceptable or valid. Therefore the provisions of this Notice
supersede conflicting statements in those circulars. Note especially
that the Applicant must use the most current Signature Pages shown in
this Federal Fiscal Year 1998 Federal Register document or provided
concurrently through the EGMM initiative discussed above. A copy of an
earlier fiscal year's Certification Signature Page is not acceptable.
Background
With the publication of the Federal Fiscal Year 1995 version of
this notice, certifications and assurances for Federal assistance
programs administered by FTA were for the first time consolidated into
one document. This marked the beginning of an effort to assist
applicants in reducing time and paper work in certifying compliance
with various Federal laws and regulations. It coincided with the On-
Line Program and the EGMM initiative described above, which also
reduced the time and paper required to process an application.
FTA intends to continue publishing this document annually with any
changes or additions specifically highlighted, in conjunction with its
publication of the FTA annual apportionment Notice, which allocates
funds in accordance with the latest U.S. Department of Transportation
(U.S. DOT) annual appropriations act.
Procedures
Following is a detailed compilation of Certifications and
Assurances and the Signature Page (Appendix A). The Signature Page is
to be signed by the applicant's authorized representative and its
attorney, and sent or electronically transmitted through the FTA
computerized on-line system, to the appropriate FTA Regional office
within 90 days of this Federal Register publication date, or with the
applicant's first Federal assistance application in Federal Fiscal Year
1998, whichever comes first.
All applicants are advised to read the entire 1998 Certifications
and Assurances to be confident of their responsibilities and
commitments. The applicant may signify compliance with all Categories
by placing a single ``X'' in the appropriate space at the top of the
Signature Selection Page in Appendix A. However, the applicant's
Attorney Affirmation continues to be required as indicated on the
Signature Page at the end of Appendix A, regardless of the applicant's
selection of a single selection for all fifteen Categories, or
individual options selection from the fifteen Categories.
The Signature Page, when properly signed and submitted, or
electronically transmitted to FTA, assures FTA that the applicant
intends to comply with the requirements for the specific program/s
involved, should they apply for a FTA grant during this fiscal year.
All applicants must read the selection portion and the signature
portion of this document and signify compliance by marking where
appropriate with an ``X'' on the category selection side, and then
signifying compliance as indicated. (See Appendix A.) An applicant
participating in the On-Line Program or the EGMM Program described
above, may submit its Signature Page (both the selection side and the
signature side) electronically. The applicant should not hesitate to
consult with the appropriate Regional Office or Headquarters Office
before submitting its certifications and assurances.
References
49 U.S.C. chapter 53, Title 23 U.S.C., 42 U.S.C. 4151, Title VI and
Title VII of the Civil Rights Act, FTA regulations under 49 CFR, and
FTA Circulars.
Issued: October 6, 1997.
Gordon J. Linton,
Administrator.
Appendix A
Federal Fiscal Year 1998 Certifications and Assurances for Federal
Transit Administration Assistance Programs
Each Applicant is requested to provide as many of the following
certifications and assurances necessary to cover the various types
of Federal assistance programs for which the Applicant intends to
seek Federal assistance from FTA in Federal Fiscal Year 1998. A
state making certifications and assurances on behalf of its
prospective subrecipients is expected to obtain sufficient
documentation from those subrecipients as necessary for the state to
make informed certifications and assurances. The fifteen categories
of certifications and assurances are listed by Roman numerals I
through XV on the other side of the Signature Page document.
Categories II through XV will apply to some, but not all applicants.
The categories correspond to the following descriptions of
circumstances mandating submission of specific certifications,
assurances, or agreements:
I. Certifications and Assurances Required of Each Applicant
Each Applicant for Federal assistance awarded by FTA must make
all certifications and assurances in this Category I. Accordingly,
FTA may not award any Federal assistance until the Applicant
provides assurance of compliance by selecting Category I on the
Signature Page at the end of this document.
A. Authority of Applicant and Its Representative
The authorized representative of the Applicant and legal counsel
who sign these certifications, assurances, and agreements attest
that both the Applicant and its authorized representative have
adequate authority under state and local law and the by-laws or
internal rules of the Applicant organization to:
(1) Execute and file the application for Federal assistance on
behalf of the Applicant,
(2) Execute and file the required certifications, assurances,
and agreements on behalf of the Applicant binding the Applicant, and
(3) Execute grant and cooperative agreements with FTA on behalf
of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable
Federal statutes, regulations, executive orders, FTA circulars, and
other Federal administrative requirements in carrying out any grant
or cooperative agreement awarded by FTA. The Applicant acknowledges
that it is under a continuing obligation to comply with the terms
and conditions of the grant or cooperative agreement issued for its
approved project with FTA. The Applicant understands that Federal
laws, regulations, policies, and administrative practices might be
modified from time to time and affect the implementation of the
project. The Applicant agrees that the most recent Federal
requirements will apply to the project, unless FTA issues a written
determination otherwise.
C. Debarment, Suspension, and Other Responsibility Matters--Primary
Covered Transactions
As required by U.S. DOT regulations on Governmentwide Debarment
and Suspension (Nonprocurement) at 49 CFR 29.510:
(1) The Applicant (Primary Participant) certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
state, or local) transaction or contract under a public transaction;
violation of Federal or state antitrust statutes; or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, state, or local)
with commission of any of the offenses listed in paragraph (2) of
this certification; and
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(d) Have not within a three-year period preceding this
certification had one or more public transactions (Federal, state,
or local) terminated for cause or default.
(2) The Applicant also certifies that if, later, it becomes
aware of any information contradicting the statements of paragraphs
(a) through (d) above, it will promptly provide that information to
FTA.
(3) If the Applicant (Primary Participant) is unable to certify
to the statements within paragraphs (1) and (2) above, it shall
indicate so on its Signature Page and provide a written explanation
to FTA.
D. Drug-Free Workplace Certification
As required by U.S. DOT regulations on Drug-Free Workplace
Requirements (Grants) at 49 CFR 29.630, the Applicant certifies that
it will provide a drug-free workplace by:
(1) Publishing a statement notifying its employees that the
unlawful manufacture, distribution, dispensing, possession, or use
of a controlled substance is prohibited in the Applicant's workplace
and specifying the actions that will be taken against its employees
for violation of that prohibition;
(2) Establishing an ongoing drug-free awareness program to
inform its employees about: (a) the dangers of drug abuse in the
workplace; (b) the Applicant's policy of maintaining a drug-free
workplace; (c) any available drug counseling, rehabilitation, and
employee assistance programs; and (d) the penalties that may be
imposed upon its employees for drug abuse violations occurring in
the workplace;
(3) Making it a requirement that each of its employees to be
engaged in the performance of the grant or cooperative agreement be
given a copy of the statement required by paragraph (1);
(4) Notifying each of its employees in the statement required by
paragraph (1) that, as a condition of employment financed with
Federal assistance provided by the grant or cooperative agreement,
the employee will: (a) abide by the terms of the statement, and (b)
notify the employer (Applicant) in writing of his or her conviction
for a violation of a criminal drug statute occurring in the
workplace no later than 5 calendar days after that conviction;
(5) Notifying FTA in writing, within 10 calendar days after
receiving notice required by paragraph (4)(b) above from an employee
or otherwise receiving actual notice of that conviction. The
Applicant, which is the employer of any convicted employee must
provide notice, including position title, to every project officer
or other designee on whose project activity the Applicant's
convicted employee was working. Notice shall include the
identification number(s) of each affected grant or cooperative
agreement.
(6) Taking one of the following actions within 30 calendar days
of receiving notice under paragraph (4)(b) above with respect to any
employee who is so convicted: (a) By taking appropriate personnel
action against that employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973,
as amended, or (b) by requiring that employee to participate
satisfactorily in a drug abuse assistance or rehabilitation program
approved for such purposes by a Federal, state, or local health, law
enforcement, or other appropriate agency;
(7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3),
(4), (5), and (6) above. The Applicant has or will provide to FTA a
list identifying its headquarters location and each workplace it
maintains in which project activities supported by FTA are
conducted.
E. Intergovernmental Review Assurance
The Applicant assures that each application for Federal
assistance submitted to FTA has been or will be submitted, as
required by each state, for intergovernmental review to the
appropriate state and local agencies. Specifically, the Applicant
assures that it has fulfilled or will fulfill the obligations
imposed on FTA by U.S. DOT regulations, ``Intergovernmental Review
of the Department of Transportation Programs and Activities,'' 49
CFR part 17.
F. Nondiscrimination Assurance
As required by 49 U.S.C. 5332, Title VI of the Civil Rights Act
of 1964, as amended, 42 U.S.C. 2000d, and U.S. DOT regulations,
``Nondiscrimination in Federally-Assisted Programs of the Department
of Transportation--Effectuation of Title VI of the Civil Rights
Act,'' 49 CFR part 21 at 21.7, the Applicant assures that it will
comply with all requirements of 49 CFR part 21; FTA
Circular 4702.1, ``Title VI Program Guidelines for Federal
Transit Administration Recipients''; and other applicable
directives, so that no person in the United States, on the basis of
race, color, national origin, creed, sex, or age will be excluded
from participation in, be denied the benefits of, or otherwise be
subjected to discrimination in any program or activity (particularly
in the level and quality of transportation services and
transportation-related benefits) for which the Applicant receives
Federal assistance awarded by the U.S. DOT or FTA as follows:
(1) The Applicant assures that each project will be conducted,
property acquisitions will be undertaken, and project facilities
will be operated in accordance with all applicable requirements of
49 U.S.C. 5332 and 49 CFR part 21, and understands that this
assurance extends to its entire facility and to facilities operated
in connection with the project.
(2) The Applicant assures that it will take appropriate action
to ensure that any transferee receiving property financed with
Federal assistance derived from FTA will comply with the applicable
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
(3) The Applicant assures that it will promptly take the
necessary actions to effectuate this assurance, including notifying
the public that complaints of discrimination in the provision of
transportation-related services or benefits may be filed with U.S.
DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures
that it will submit the required information pertaining to its
compliance with these requirements.
(4) The Applicant assures that it will make any changes in its
49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or
FTA may request.
(5) As required by 49 CFR 21.7(a)(2), the Applicant will include
appropriate clauses in each third party contract or subagreement to
impose the requirements of 49 CFR part 21 and 49 U.S.C. 5332, and
include appropriate provisions imposing those requirements in deeds
and instruments recording the transfer of real property, structures,
improvements.
G. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, ``Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or Benefiting
from Federal Financial Assistance,'' at 49 CFR part 27, implementing
the Rehabilitation Act of 1973, as amended, and the Americans with
Disabilities Act of 1990, as amended, the Applicant assures that, as
a condition to the approval or extension of any Federal assistance
awarded by FTA to construct any facility, obtain any rolling stock
or other equipment, undertake studies, conduct research, or to
participate in or obtain any benefit from any program administered
by FTA, no otherwise qualified person with a disability shall be,
solely by reason of that disability, excluded from participation in,
denied the benefits of, or otherwise subjected to discrimination in
any program or activity receiving or benefiting from Federal
assistance administered by the FTA or any entity within U.S. DOT.
The Applicant assures that project implementation and operations so
assisted will comply with all applicable requirements of U.S. DOT
regulations implementing the Rehabilitation Act of 1973, as amended,
and the Americans with Disabilities Act of 1990, as amended, at 49
CFR parts 27, 37, and 38, and any applicable regulations and
directives issued by other Federal departments or agencies.
H. Procurement Compliance
The Applicant certifies that its procurements and procurement
system will comply with all applicable requirements imposed by
Federal laws, executive orders, or regulations and the requirements
of FTA Circular 4220.1D, ``Third Party Contracting Requirements,''
and other implementing requirements FTA may issue. The Applicant
certifies that it will include in its contracts financed in whole or
in part with FTA assistance all clauses required by Federal laws,
executive orders, or regulations, and will ensure that each
subrecipient and contractor will also include in its subagreements
and contracts financed in whole or in part with FTA assistance all
applicable clauses required by Federal laws, executive orders, or
regulations.
II. Lobbying Certification for an Application Exceeding $100,000
An Applicant that submits, or intends to submit this fiscal
year, an application for Federal assistance exceeding $100,000 must
provide the following certification. FTA may not provide Federal
assistance for an application exceeding $100,000 until the Applicant
provides this certification by selecting Category II on the
Signature Page.
A. As required by U.S. DOT regulations, ``New Restrictions on
Lobbying,'' at 49 CFR 20.110, the Applicant's authorized
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representative certifies to the best of his or her knowledge and
belief that for each application for a Federal assistance exceeding
$100,000: (1) No Federal appropriated funds have been or will be
paid, by or on behalf of the Applicant, to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress pertaining to the award of any
Federal assistance, or the extension, continuation, renewal,
amendment, or modification of any Federal assistance agreement; and
(2) If any funds other than Federal appropriated funds have been or
will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with any application to FTA for
Federal assistance, the Applicant assures that it will complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,''
including the information required by the form's instructions, which
may be amended to omit such information as permitted by 31 U.S.C.
1352.
B. The Applicant understands that this certification is a
material representation of fact upon which reliance is placed and
that submission of this certification is a prerequisite for
providing Federal assistance for a transaction covered by 31 U.S.C.
1352. The Applicant also understands that any person who fails to
file a required certification shall be subject to a civil penalty of
not less than $10,000 and not more than $100,000 for each such
failure.
III. Effects on Private Mass Transportation Companies
An Applicant that is a state or local government seeking Federal
assistance under 49 U.S.C. chapter 53 to acquire property or an
interest in property of a private mass transportation company or
operate mass transportation equipment or a facility in competition
with or in addition to transportation service provided by an
existing mass transportation company must provide the following
certification. FTA may not award that Federal assistance until the
Applicant provides this certification by selecting Category III on
the Signature Page.
As required by 49 U.S.C. 5323(a)(1)(B) or 5323(a)(1)(C), the
Applicant certifies that before it acquires property or an interest
in property of a private mass transportation company or operates
mass transportation equipment or a facility in competition with or
in addition to transportation service provided by an existing mass
transportation company it has or will have:
A. Provided for the participation of private mass transportation
companies to the maximum extent feasible; and
B. Paid or will pay just compensation under state or local law
to a private mass transportation company for its franchises or
property acquired.
IV. Public Hearing Certification for a Capital Project (Except
Urbanized Area Formula Projects) That Will Substantially Affect a
Community or Its Transit Service
An Applicant seeking Federal assistance for a capital project
authorized by 49 U.S.C. chapter 53 (except Urbanized Area Formula
Program assistance), that will substantially affect a community or
its transit service must provide the following certification. FTA
may not award that Federal assistance until the Applicant provides
this certification by selecting Category IV on the Signature Page.
As required by 49 U.S.C. 5323(b), the Applicant certifies that
it has, or before submitting its application, will have:
A. Provided an adequate opportunity for a public hearing with
adequate prior notice of the proposed project published in a
newspaper of general circulation in the geographic area to be
served;
B. Held that hearing and provided FTA a transcript or detailed
report summarizing the issues and responses, unless no one with a
significant economic, social, or environmental interest requests a
hearing;
C. Considered the economic, social, and environmental effects of
the project; and
D. Determined the project to be consistent with official plans
for developing the urban area.
V. Certification of Pre-Award and Post-Delivery Rolling Stock Reviews
Required for Each Applicant Seeking To Purchase Rolling Stock Financed
With Federal Assistance Awarded by FTA
An Applicant seeking FTA assistance to purchase rolling stock
must make the following certification. FTA may not provide
assistance for any rolling stock acquisition until the Applicant
provides this certification by selecting Category V on the Signature
Page.
As required by 49 U.S.C. 5323(l), and implementing FTA
regulations at 49 CFR 663.7, the Applicant certifies that it will
comply with the requirements of 49 CFR part 663, in the course of
purchasing revenue service rolling stock. Among other things, the
Applicant will conduct or cause to be conducted the prescribed pre-
award and post-delivery reviews, and will maintain on file the
certifications required by 49 CFR part 663, subparts B, C, and D.
VI. Bus Testing Certification Required for New Buses
An Applicant seeking FTA assistance to acquire new buses must
make the following certification. FTA may not provide assistance for
the acquisition of new buses until the Applicant provides this
certification by selecting Category VI on the Signature Page.
As required by FTA regulations, ``Bus Testing,'' at 49 CFR
665.7, the Applicant certifies that before expending any Federal
assistance to acquire the first bus of any new bus model or any bus
model with a new major change in configuration or components or
authorizing final acceptance of that bus (as described in 49 CFR
part 665):
A. The model of the bus will have been tested at a bus testing
facility approved by FTA; and
B. It will have received a copy of the test report prepared on
the bus model.
VII. Charter Service Agreement
An Applicant seeking FTA assistance to acquire or operate
transportation equipment or facilities acquired with Federal
assistance authorized by 49 U.S.C. chapter 53 (except 49 U.S.C.
5310) or Title 23, U.S.C. must enter into the following charter
service agreement. FTA may not provide assistance for those projects
until the Applicant enters into this agreement by selecting Category
VII on the Signature Page.
A. As required by 49 U.S.C. 5323(d) and FTA regulations,
``Charter Service,'' at 49 CFR 604.7, the Applicant agrees that it
and its recipients will: (1) Provide charter service that uses
equipment or facilities acquired with Federal assistance authorized
for 49 U.S.C. 5307, 5309, or 5311 or Title 23 U.S.C., only to the
extent that there are no private charter service operators willing
and able to provide the charter service that it or its recipients
desire to provide, unless one or more of the exceptions in 49 CFR
604.9 applies, and (2) comply with the provisions of 49 CFR part 604
before they provide any charter service using equipment or
facilities acquired with Federal assistance authorized for the above
statutes.
B. The Applicant understands that the requirements of 49 CFR
part 604 will apply to any charter service provided, the definitions
in 49 CFR part 604 apply to this agreement, and violation of this
agreement may require corrective measures and the imposition of
penalties, including debarment from the receipt of further Federal
assistance for transportation.
VIII. School Transportation Agreement
An Applicant seeking FTA assistance to acquire or operate
transportation facilities and equipment acquired with Federal
assistance authorized by 49 U.S.C. chapter 53 must agree as follows.
FTA may not provide assistance for transportation facilities until
the Applicant enters into this Agreement by selecting Category VIII
on the Signature Page.
A. As required by 49 U.S.C. 5323(f) and FTA regulations,
``School Bus Operations,'' at 49 CFR 605.14, the Applicant agrees
that it and all its recipients will: (1) Engage in school
transportation operations in competition with private school
transportation operators only to the extent permitted by an
exception provided by 49 U.S.C. 5323(f), and implementing
regulations, and (2) comply with the requirements of 49 CFR part 605
before providing any school transportation using equipment or
facilities acquired with Federal assistance authorized by 49 U.S.C.
chapter 53 or Title 23 U.S.C. awarded by FTA for transportation
projects.
B. The Applicant understands that the requirements of 49 CFR
part 605 will apply to any school transportation it provides, the
definitions of 49 CFR part 605 apply to this school transportation
agreement, and a violation of this agreement may require corrective
measures and the imposition of penalties, including debarment from
the receipt of further Federal assistance for transportation.
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IX. Certification Required for the Direct Award of FTA Assistance to an
Applicant for its Demand Responsive Service
An Applicant seeking direct Federal assistance to support its
demand responsive service must provide the following certification.
FTA may not award Federal assistance directly to an Applicant to
support its demand responsive service until the Applicant provides
this certification by selecting Category IX on the Signature Page.
As required by U.S. DOT regulations, ``Transportation Services
for Individuals with Disabilities (ADA),'' at 49 CFR 37.77, the
Applicant certifies that its demand responsive service offered to
persons with disabilities, including persons who use wheelchairs, is
equivalent to the level and quality of service offered to persons
without disabilities. When viewed in its entirety, its service for
persons with disabilities is provided in the most integrated setting
feasible and is equivalent with respect to: (1) Response time, (2)
fares, (3) geographic service area, (4) hours and days of service,
(5) restrictions on trip purpose, (6) availability of information
and reservation capability, and (7) constraints on capacity or
service availability.
X. Substance Abuse Certifications
If the Applicant is required by Federal regulations to provide
the following substance abuse certifications, FTA may not provide
Federal assistance until the Applicant has selected Category X on
the Signature Page.
A. Alcohol Testing Certification
As required by FTA regulations, ``Prevention of Alcohol Misuse
in Transit Operations,'' at 49 CFR 654.83, the Applicant certifies
that it has established and implemented an alcohol misuse prevention
program complying with the requirements of 49 CFR part 654; and if
the Applicant has employees regulated by the Federal Railroad
Administration (FRA), the Applicant also certifies that it has for
those employees an alcohol misuse prevention program complying with
the requirements of FRA's regulations, ``Control of Alcohol and Drug
Use,'' 49 CFR part 219.
B. Anti-Drug Program Certification
As required by FTA regulations, ``Prevention of Prohibited Drug Use
in Transit Operations,'' at 49 CFR 653.83, the Applicant certifies that
it has established and implemented an anti-drug program and has
conducted employee training complying with the requirements of 49 CFR
part 653; and if the Applicant has employees regulated by the Federal
Railroad Administration (FRA), the Applicant also certifies that it has
for those employees an anti-drug program complying with the
requirements of FRA's regulations, ``Control of Alcohol and Drug Use,''
49 CFR part 219.
XI. Assurances Required for Projects Involving Real Property
The Applicant must provide the following assurances in
connection with each application for Federal assistance to acquire
(purchase or lease) real property. FTA may not award Federal
assistance for a project involving real property until the Applicant
provides these assurances shown by selecting Category XI on the
Signature Page.
A. Relocation and Real Property Acquisition Assurance
As required by U.S. DOT regulations, ``Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs,'' at 49 CFR 24.4, and sections 210 and 305 of the
Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970, as amended (Uniform Relocation Act), 42 U.S.C. 4630 and
4655, the Applicant assures that it has the requisite authority
under applicable state and local law and will comply with the
requirements of the Uniform Relocation Act, 42 U.S.C. 4601 et seq.,
and U.S. DOT regulations, ``Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally Assisted Programs,''
49 CFR part 24 including, but not limited to the following:
(1) The Applicant will adequately inform each affected person of
the benefits, policies, and procedures provided for in 49 CFR part
24;
(2) The Applicant will provide fair and reasonable relocation
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624;
49 CFR part 24; and any applicable FTA procedures, to or for
families, individuals, partnerships, corporations or associations
displaced as a result of any project financed with FTA assistance;
(3) The Applicant will provide relocation assistance programs
offering the services described in 42 U.S.C. 4625 to such displaced
families, individuals, partnerships, corporations or associations in
the manner provided in 49 CFR part 24 and FTA procedures;
(4) Within a reasonable time before displacement, the Applicant
will make available comparable replacement dwellings to displaced
families and individuals as required by 42 U.S.C. 4625(c)(3);
(5) The Applicant will carry out the relocation process in such
a manner as to provide displaced persons with uniform and consistent
services, and will make available replacement housing in the same
range of choices with respect to such housing to all displaced
persons regardless of race, color, religion, or national origin; and
(6) In acquiring real property, the Applicant will be guided to
the greatest extent practicable under state law, by the real
property acquisition policies of 42 U.S.C. 4651 and 4652;
(7) The Applicant will pay or reimburse property owners for
necessary expenses as specified in 42 U.S.C. 4653 and 4654,
understanding that FTA will participate in the Applicant's costs of
providing those payments and that assistance for the project as
required by 42 U.S.C. 4631;
(8) The Applicant will execute such amendments to third party
contracts and subagreements financed with FTA assistance and
execute, furnish, and be bound by such additional documents as FTA
may determine necessary to effectuate or implement the assurances
provided herein; and
(9) The Applicant agrees to make these assurances part of or
incorporate them by reference into any third party contract or
subagreement, or any amendments thereto, relating to any project
financed by FTA involving relocation or land acquisition and provide
in any affected document that these relocation and land acquisition
provisions shall supersede any conflicting provisions.
B. Flood Insurance Coverage
As required by section 102(a) of the Flood Disaster Protection
Act of 1973, 42 U.S.C. 4012a(a), the Applicant assures that in the
course of implementing each project financed with Federal
assistance, the Applicant will obtain appropriate insurance for any
real estate acquired or construction undertaken thereon within any
special flood hazard area as identified by the Federal Insurance
Administrator. The Applicant understands that such insurance is
available in the participating area through the U.S. Federal
Emergency Management Agency's National Flood Insurance Program.
C. Seismic Assurance
As required by U.S. DOT regulations, ``Seismic Safety,'' 49 CFR
41.117(d), the Applicant assures that before it accepts delivery of
any building financed with Federal assistance provided by FTA, the
Applicant will obtain a certificate of compliance with the seismic
design and construction requirements of 49 CFR part 41.
XII. Certifications for the Urbanized Area Formula Program
Each Applicant to FTA for Urbanized Area Formula Program
assistance authorized for 49 U.S.C. 5307 must provide the following
certifications in connection with its application. FTA may not award
Urbanized Area Formula Program assistance to the Applicant until the
Applicant provides these certifications and assurances shown by
selecting Category XII on the Signature Page.
A. Certifications Required by Statute
As required by 49 U.S.C. 5307(d)(1) (A) through (J), the
Applicant certifies that:
(1) It has or will have the legal, financial, and technical
capacity to carry out the proposed program of projects;
(2) It has or will have satisfactory continuing control over the
use of the equipment and facilities;
(3) It will adequately maintain the equipment and facilities;
(4) It will ensure that the elderly and handicapped persons, or
any person presenting a Medicare card issued to himself or herself
under title II or title XVIII of the Social Security Act (42 U.S.C.
401 et seq. or 42 U.S.C. 1395 et seq.), will be charged during non-
peak hours for transportation using or involving a facility or
equipment of a project financed with Federal assistance authorized
for 49 U.S.C. 5307 not more than 50 percent of the peak hour fare;
(5) In carrying out a procurement financed with Federal
assistance authorized for the
[[Page 53517]]
Urbanized Area Formula Program at 49 U.S.C. 5307, it will use
competitive procurement (as defined or approved by the Secretary),
it will not use a procurement using exclusionary or discriminatory
specifications, and it will comply with applicable Buy America laws
in carrying out a procurement;
(6) It has complied or will comply with the requirements of 49
U.S.C. 5307(c); specifically, it has or before submitting its
application it will: (a) Make available to the public information on
amounts available for the Urbanized Area Formula Program at 49
U.S.C. 5307 and the program of projects it proposes to undertake
with those funds; (b) develop, in consultation with interested
parties, including private transportation providers, a proposed
program of projects for activities to be financed; (c) publish a
proposed program of projects in a way that affected citizens,
private transportation providers, and local elected officials have
the opportunity to examine the proposed program and submit comments
on the proposed program and the performance of the Applicant; (d)
provide an opportunity for a public hearing to obtain the views of
citizens on the proposed program of projects; and (e) ensure that
the proposed program of projects provides for the coordination of
transportation services assisted under 49 U.S.C. 5336 with
transportation services assisted by another Federal Government
source; (f) consider comments and views received, especially those
of private transportation providers, in preparing the final program
of projects; and (g) make the final program of projects available to
the public;
(7) It has or will have available and will provide the amount of
funds required by 49 U.S.C. 5307(e) and applicable FTA policy
(specifying Federal and local shares of project costs);
(8) It will comply with: (a) 49 U.S.C. 5301(a) (requirements to
develop transportation systems that maximize mobility and minimize
fuel consumption and air pollution); (b) 49 U.S.C. 5301(d)
(requirements for transportation of the elderly and persons with
disabilities); (c) 49 U.S.C. 5303 through 5306 (planning
requirements); and (d) 49 U.S.C. 5310 (a) through (d) (programs for
the elderly and persons with disabilities);
(9) It has a locally developed process to solicit and consider
public comment before raising fares or implementing a major
reduction of transportation; and
(10) As required by 49 U.S.C. 5307(d)(1)(J), it will expend at
least one percent of the amount of Federal assistance it receives
for this fiscal year apportioned by 49 U.S.C. 5336 for transit
security projects, including increased lighting in or adjacent to a
transit system (including bus stops, subway stations, parking lots,
and garages), increased camera surveillance of an area in or
adjacent to that system, emergency telephone line or lines to
contact law enforcement or security personnel in an area in or
adjacent to that system, and any other project intended to increase
the security and safety of an existing or planned transit system;
unless it has decided that it is not necessary to expend one percent
of that Federal assistance this fiscal year for transit security
projects.
B. Certification Required for Capital Leasing
As required by FTA regulations, ``Capital Leases,'' 49 CFR at
639.15(b)(1) and 639.21, to the extent that the Applicant uses
Federal assistance authorized for 49 U.S.C. 5307 to acquire any
capital asset by lease, the Applicant certifies that:
(1) It will not use Federal assistance authorized for 49 U.S.C.
5307 to finance the cost of leasing any capital asset until it
undertakes calculations demonstrating that it is more cost-effective
to lease the capital asset than to purchase or construct similar
assets;
(2) It will complete these calculations before entering into the
lease or before receiving a capital grant for the asset, whichever
is later; and
(3) It will not enter into a capital lease for which FTA can
only provide incremental funding unless it has the financial
capacity to meet its future obligations under the lease in the event
Federal assistance is not available for capital projects in
subsequent years.
C. Certification Required for Sole Source Purchase of Associated
Capital Maintenance Item
As required by 49 U.S.C. 5325(c), to the extent that the
Applicant procures an associated capital maintenance item under the
authority of 49 U.S.C. 5307(b)(1), the Applicant certifies that it
will use competition to procure an associated capital maintenance
item unless the manufacturer or supplier of that item is the only
source for the item and the price of the item is no more than the
price similar customers pay for the item, and maintain sufficient
records pertaining to each such procurement on file easily
retrievable for FTA inspection.
XIII. Certifications and Assurances for the Elderly and Persons With
Disabilities Program
An Applicant that intends to administer, on behalf of the state,
the Elderly and Persons with Disabilities Program must provide the
following certifications and assurances. FTA may not award
assistance for the Elderly and Persons with Disabilities Program
until the Applicant provides these certifications and assurances by
selecting Category XIII on the Signature Page.
Based on its own knowledge and, as necessary, on information
submitted by the subrecipient, the Applicant administering on behalf
of the state the Elderly and Persons with Disabilities Program
authorized by 49 U.S.C. 5310 certifies and assures that the
following requirements and conditions will be fulfilled:
A. The state organization serving as the Applicant and each
subrecipient has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal
assistance authorized for 49 U.S.C. 5310; and to implement and
manage the project.
B. The state assures that each subrecipient either is recognized
under state law as a private nonprofit organization with the legal
capability to contract with the state to carry out the proposed
project, or is a public body that has met the statutory requirements
to receive Federal assistance authorized for 49 U.S.C. 5310.
C. The subrecipient's application for 49 U.S.C. 5310 assistance
contains information from which the state concludes that the transit
service provided or offered to be provided by existing public or
private transit operators is unavailable, insufficient, or
inappropriate to meet the special needs of the elderly and persons
with disabilities.
D. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
E. The subrecipient has, or will have by the time of delivery,
sufficient funds to operate and maintain the vehicles and equipment
purchased with Federal assistance awarded for this project.
F. The state assures that before issuing the state's formal
approval of a project, its Elderly and Persons with Disabilities
Formula Program is included in the Statewide Transportation
Improvement Program as required by 23 U.S.C. 135; all projects in
urbanized areas recommended for approval are included in the annual
element of the metropolitan Transportation Improvement Program in
which the subrecipient is located; and it has obtained from any
public body that is a prospective subrecipient of capital assistance
a certification that an opportunity for a public hearing has been
provided.
G. The subrecipient has, to the maximum extent feasible,
coordinated with other transportation providers and users, including
social service agencies authorized to purchase transit service.
H. The subrecipient is in compliance with all applicable civil
rights requirements, and has signed the Nondiscrimination Assurance.
(Category I.F., ``Certifications and Assurances Required of Each
Applicant.'')
I. The subrecipient will comply with applicable requirements of
U.S. DOT regulations on participation of disadvantaged business
enterprises in U.S. DOT programs.
J. The state will comply with all existing Federal requirements
regarding transportation of elderly persons and persons with
disabilities. Each subrecipient has provided to the state an
Assurance of Nondiscrimination on the Basis of Disability, as set
forth in the Certifications and Assurances required of each
applicant for FTA assistance at Category 1.G of this document. If
non-accessible vehicles are being purchased for use by a public
entity in demand responsive service for the general public, the
state will obtain from the subrecipient a ``Certification of
Equivalent Service,'' which states that when viewed in its entirety
the public entity's demand responsive service offered to persons
with disabilities, including persons who use wheelchairs, meets the
standard of equivalent service set forth in 40 C.F.R. section
37.77(c).
K. The subrecipient has certified to the state that it will
comply with applicable provisions of 49 CFR part 605 pertaining to
school transportation operations. (See Category VIII, ``School
Transportation Agreement.'')
[[Page 53518]]
L. Unless otherwise noted, each of the subrecipient's projects
qualifies for a categorical exclusion and does not require further
environmental approvals, as described in the joint FHWA/FTA
regulations, ``Environmental Impact and Related Procedures,'' at 23
CFR 771.117(c). The state certifies that financial assistance will
not be provided for any project that does not qualify for a
categorical exclusion described in 23 CFR 771.117(c) until FTA has
made the required environmental finding. The state further certifies
that no financial assistance will be provided for a project
requiring a conformity finding in accordance with the Environmental
Protection Agency's Clean Air Conformity regulations at 40 CFR parts
51 and 93, until FTA makes the required conformity finding.
M. The subrecipient has submitted (or will submit) all
applicable certifications and assurances currently required,
including, but not limited to: a certification that its procurements
and procurement system will comply with all applicable requirements
imposed by Federal laws, executive orders, or regulations and the
requirements of FTA Circular 4220.1D, ``Third Party Contracting
Requirements,'' and other implementing requirements FTA may issue; a
certification that its project provides for the participation of
private mass transportation companies to the maximum extent
feasible; a certification it has paid or will pay just compensation
under state or local law to each private mass transportation company
for its franchise or property acquired under the project; a
nonprocurement suspension and debarment certification; a bus testing
certification for new models; a pre-award and post-delivery review
certification; and a lobbying certification for each application
exceeding $100,000. Certifications and assurances applicable to and
submitted by the subrecipient should be substantially similar to the
text of parallel certifications and assurances text of Categories I-
XI of this document, but modified as necessary to accommodate the
subrecipient's circumstances.
N. The state will enter into a written agreement with each
subrecipient stating the terms and conditions of assistance by which
the project will be undertaken and completed.
O. The state recognizes FTA's authority to conduct audits and
reviews to verify compliance with the foregoing requirements and
stipulations.
XIV. Certifications and Assurances for the Nonurbanized Area Formula
Program
An Applicant that intends to administer, on behalf of the state,
the Nonurbanized Area Formula Program must provide the following
certifications and assurances. FTA may not award Nonurbanized Area
Formula Program assistance to the Applicant until the Applicant
provides these certifications and assurances shown by selecting
Category XIV on the Signature Page.
Based on its own knowledge and, as necessary, on information
submitted by the subrecipient, the Applicant administering on behalf
of the state the Nonurbanized Area Formula Program authorized by 49
U.S.C. 5311 certifies and assures that the following requirements
and conditions will be fulfilled:
A. The state organization serving as the Applicant and each
subrecipient has or will have the necessary legal, financial, and
managerial capability to apply for, receive and disburse Federal
assistance authorized for 49 U.S.C. 5311; and to implement and
manage the project.
B. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
C. The subrecipient has, or will have by the time of delivery,
sufficient funds to operate and maintain the vehicles and equipment
purchased with Federal assistance authorized for this project.
D. The state assures that before issuing the state's formal
approval of the project, its Nonurbanized Area Formula Program is
included in the Statewide Transportation Improvement Program as
required by 23 U.S.C. 135; to the extent applicable, projects are
included in a metropolitan Transportation Improvement Program, and
it has obtained from the prospective subrecipient of capital
assistance a certification that an opportunity for a public hearing
has been provided.
E. The state has provided for a fair and equitable distribution
of Federal assistance authorized for 49 U.S.C. 5311 within the
state, including Indian reservations within the state.
F. The subrecipient has, to the maximum extent feasible,
coordinated with other transportation providers and users, including
social service agencies authorized to purchase transit service.
G. The subrecipient is in compliance with all applicable civil
rights requirements, and has signed the Nondiscrimination Assurance.
(See Category I.F, ``Certifications and Assurances Required of Each
Applicant.'')
H. The subrecipient will comply with applicable requirements of
U.S. DOT regulations on participation of disadvantaged business
enterprise in U.S. DOT programs.
I. The state will comply with all existing Federal requirements
regarding transportation of elderly persons and persons with
disabilities. Each subrecipient has provided to the state an
Assurance of Nondiscrimination on the Basis of Disability, as set
forth in the Certifications and Assurances required of each
applicant for FTA assistance at Category 1.G of this document. If
non-accessible vehicles are being purchased for use by a public
entity in demand responsive service for the general public, the
state will obtain from the subrecipient a ``Certification of
Equivalent Service,'' which states that when viewed in its entirety
the public entity's demand responsive service offered to persons
with disabilities, including persons who use wheelchairs, meets the
standard of equivalent service set forth in 40 CFR section 37.77(c).
J. The subrecipient has complied with the transit employee
protective provisions of 49 U.S.C. 5333(b), by one of the following
actions: (1) Signing the Special Warranty for the Nonurbanized Area
Formula Program, (2) agreeing to alternative comparable arrangements
approved by the Department of Labor (DOL), or (3) obtaining a waiver
from DOL; and the state has certified the subrecipient's compliance
to DOL.
K. The subrecipient has certified to the state that it will
comply with 49 CFR part 604 in the provision of any charter service
provided with equipment or facilities acquired with FTA assistance,
and will also comply with applicable provisions of 49 CFR part 605
pertaining to school transportation operations. (See Category VII,
``Charter Service Agreement,'' and Category VIII, ``School
Transportation Agreement.'')
L. Unless otherwise noted, each of the subrecipient's projects
qualifies for a categorical exclusion and does not require further
environmental approvals, as described in the joint FHWA/FTA
regulations, ``Environmental Impact and Related Procedures,'' at 23
CFR 771.117(c). The state certifies that financial assistance will
not be provided for any project that does not qualify for a
categorical exclusion described in 23 CFR 771.117(c) until FTA has
made the required environmental finding. The state further certifies
that no financial assistance will be provided for a project
requiring a conformity finding in accordance with the Environmental
Protection Agency's Clean Air Conformity regulations at 40 CFR parts
51 and 93, until FTA makes the required conformity finding.
M. The subrecipient has submitted (or will submit) all
applicable certifications and assurances currently required,
including but not limited to: a certification that its procurements
and procurement system will comply with all applicable requirements
imposed by Federal laws, executive orders, or regulations and the
requirements of FTA Circular 4220.1D, ``Third Party Contracting
Requirements,'' and other implementing requirements FTA may issue, a
certification that its project provides for the participation of
private mass transportation companies to the maximum extent
feasible; a certification it has paid or will pay just compensation
under state or local law to each private mass transportation company
for its franchise or property acquired under the project; a
nonprocurement suspension and debarment certification; a bus testing
certification for new bus models; a pre-award and post-delivery
review certification; a lobbying certification for each application
exceeding $100,000; and if required by FTA, an anti-drug program
certification and an alcohol testing certification. Certifications
and assurances applicable to and submitted by the subrecipient
should be substantially similar to the text of parallel
certifications and assurances text of Categories I-XI of this
document, but modified as necessary to accommodate the
subrecipient's circumstances.
N. The state will enter into a written agreement with each
subrecipient stating the terms and conditions of assistance by which
the project will be undertaken and completed.
O. The state recognizes FTA's authority to conduct audits and
reviews to verify compliance with the foregoing requirements and
stipulations.
P. As required by 49 U.S.C. 5311(f), it will expend not less
than fifteen percent of the
[[Page 53519]]
Federal assistance authorized for 49 U.S.C. 5311(f) it receives
during this fiscal year to carry out a program to develop and
support intercity bus transportation, unless the chief executive
officer of the state or his or her duly authorized designee
certifies that the intercity bus service needs of the state are
being adequately met.
XV. Certifications and Assurances for the State Infrastructure Bank
Program
A state Applicant for a grant of Federal assistance for deposit
in the Transit Account of the State Infrastructure Bank (SIB) within
that state must provide the following certifications and assurances.
The Federal Transit Administration (FTA) may not award Federal
assistance to capitalize a SIB until the state Applicant provides
these certifications and assurances.
Based on its own knowledge and, as necessary, on requisite
information submitted by the participating parties, the state
Applicant for Federal assistance for the Transit Account of its
state SIB program, authorized by section 350 of the National Highway
System Designation Act of 1995 (NHS Act), as amended, 23 U.S.C. 101
note, certifies and assures that the following requirements and
conditions will be fulfilled pertaining to any project financed with
Federal assistance derived from the Transit Account of the SIB:
A. The state organization serving as the Applicant (state)
agrees and assures the agreement of the SIB and each recipient of
Federal assistance derived from the Transit Account of the SIB
within the state (subrecipient) that each Project financed with
Federal assistance derived from the Transit Account will be
administered in accordance with: (1) The requirements of section 350
of the National Highway System Designation Act of 1995 (NHS Act),
Pub. L. 104-59, Nov. 28, 1995, 23 U.S.C. 101 note, (2) the
provisions of FTA's NHS Guidelines, and any amendments thereto, (3)
the provisions of FHWA and FTA Cooperative Agreement with the state
to establish the state's SIB program, and (4) the provisions of the
FTA Grant Agreement with the state obligating Federal assistance for
the Transit Account of the SIB, except that any provision of the
Federal Transit Administration Master Agreement incorporated by
reference into that Grant Agreement that conflicts with any
provision of FTA's NHS Guidelines, the provisions of the Cooperative
Agreement establishing the SIB program within the state, or the text
within the Grant Agreement will not apply.
B. The state agrees to comply with and assures the compliance of
the SIB and each subrecipient of all applicable requirements for the
SIB program, as those requirements may be amended from time to time.
C. The state assures that the SIB will provide Federal
assistance from its Transit Account only for transit capital
projects eligible under section 350 of the NHS Act, and that those
projects will fulfill all requirements imposed on comparable capital
transit projects financed by FTA.
D. The state understands that the total amount of funds to be
awarded for a Grant Agreement will not be immediately available for
draw down. Consequently, the state assures that it will limit the
amount of Federal assistance it draws down for deposit in the
Transit Account of its SIB to amounts that do not exceed the
limitations specified in the underlying Grant Agreement or the
Approved Project Budget for that Grant Agreement.
E. The state assures that each subrecipient has or will have the
necessary legal, financial, and managerial capability to apply for,
receive, and disburse Federal assistance authorized by Federal
statute for use in the Transit Account of the SIB, and to implement,
manage, operate, and maintain the project and project property for
which such assistance will support.
F. The state assures that the SIB will provide Federal
assistance derived from the Transit Account only to a subrecipient
that is either a public or private entity recognized under state law
as having the legal capability to contract with the state to carry
out its proposed project.
G. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
H. The state assures that the SIB will enter into a written
agreement with each subrecipient stating the terms and conditions of
assistance by which the project will be undertaken and completed,
including specific provisions that any security or debt financing
instrument the SIB may issue will contain an express statement that
the security or instrument does not constitute a commitment,
guarantee, or obligation of the United States.
I. The state assures that before the SIB enters into an
agreement with a subrecipient under which Federal assistance within
the Transit Account of the SIB will be disbursed to the
subrecipient, the subrecipient's project is included in the
Statewide Transportation Improvement Program; all projects in
urbanized areas recommended for approval are included in the annual
element of the metropolitan Transportation Improvement Program in
which the subrecipient is located; and it has obtained from each
subrecipient of capital assistance that is also a public body a
certification that an opportunity for a public hearing has been
provided.
J. The state assures that the subrecipient has, to the maximum
extent feasible, coordinated with other transportation providers and
users, and other interested parties within the area.
K. The state assures that the subrecipient is in compliance with
all applicable civil rights requirements, and has signed the
Nondiscrimination Assurance. (See Category I.F, ``Certifications and
Assurances Required of Each Applicant,'' of the Federal Fiscal Year
1998 Certifications and Assurances for the Federal Transit
Administration Programs.)
L. The state assures that the subrecipient will comply with
applicable requirements of U.S. DOT regulations on participation of
disadvantaged business enterprises in U.S. DOT programs.
M. To the extent applicable, the state will comply with all
existing Federal requirements regarding transportation of elderly
persons and persons with disabilities. The state assures that the
SIB will provide to the state an Assurance of Nondiscrimination on
the Basis of Disability from each subrecipient, as set forth in the
Certifications and Assurances required of each Applicant for FTA
assistance. (See Category I.G, ``Certifications and Assurances
Required of Each Applicant,'' of the Federal Fiscal Year 1998
Certifications and Assurances for the Federal Transit Administration
Programs.) If non-accessible vehicles are being purchased for use by
a public entity in demand responsive service for the general public,
the state will obtain from the subrecipient a ``Certification of
Equivalent Service,'' which states that the public entity's demand
responsive service offered to persons with disabilities, including
persons who use wheelchairs, is equivalent to the level and quality
of service the public entity offers to persons without disabilities.
(See Category IX, ``Certifications Required for the Direct Award of
FTA Assistance to an Applicant for its Demand Responsive Service,''
of the Federal Fiscal Year 1998 Certifications and Assurances for
the Federal Transit Administration Programs.) This ``Certification
of Equivalent Service'' must also state that the public entity's
demand responsive service, when viewed in its entirety, is provided
in the most integrated setting feasible and has equivalent: (1)
Response time, (2) fares, (3) geographic service area, (4) hours and
days of service, (5) restrictions or restraints on trip purpose, (6)
availability of information and reservation capability, and (7)
constraints on capacity or service availability.
N. The state assures that before the SIB provides Federal
assistance from the Transit Account, each subrecipient will have
complied with the applicable transit employee protective provisions
of 49 U.S.C. 5333(b) as required for that subrecipient and its
project.
O. The state assures that each subrecipient has certified or
will certify to the state that it will comply with 49 CFR part 604
in the provision of any charter service provided with equipment or
facilities acquired with FTA assistance, and will also comply with
applicable provisions of 49 CFR part 605 pertaining to school
transportation operations. (See Category VII, ``Charter Service
Agreement,'' and Category VIII, ``School Transportation Agreement,''
of the Federal Fiscal Year 1998 Certifications and Assurances for
the Federal Transit Administration Programs.)
P. Unless otherwise noted, the state assures that each of the
subrecipient's projects qualifies for a categorical exclusion and
does not require further environmental approvals, as described in Q.
Unless otherwise noted, the state assures that each of the
subrecipient's projects qualifies for a categorical exclusion and
does not require further environmental approvals, as described in
the joint FHWA/FTA regulations, ``Environmental Impact and Related
Procedures,'' at 23 CFR 771.117(c). The state certifies that the SIB
will not provide financial assistance from the Transit Account for
any project that does not qualify for a categorical exclusion
described in 23 CFR 771.117(c) until FTA has made the
[[Page 53520]]
required environmental finding. The state further certifies that the
SIB will provide no financial assistance from its Transit Account
for a project requiring a conformity finding in accordance with the
Environmental Protection Agency's Clean Air Conformity regulations
at 40 CFR parts 51 and 93, until FTA makes the required conformity
finding.
Q. The state assures that the subrecipient has submitted (or
will submit), when applicable, all certifications and assurances
currently required, including, but not limited to: a certification
that its procurements and procurement system will comply with all
applicable requirements imposed by Federal laws, executive orders,
or regulations and the requirements of FTA Circular 4220.1D, ``Third
Party Contracting Requirements,'' and other implementing
requirements FTA may issue; a certification that its project
provides for the participation of private mass transportation
companies to the maximum extent feasible; a certification it has
paid or will pay just compensation under state or local law to each
private mass transportation company for its franchise or property
acquired under the project; a nonprocurement suspension and
debarment certification; a bus testing certification for new models;
a pre-award and post-delivery review certification; and a lobbying
certification for each application exceeding $100,000; assurances
FTA requires for projects involving real property; and if required
by FTA, an anti-drug program certification and an alcohol testing
certification. Certifications and assurances applicable to and
submitted by the subrecipient should be substantially similar to the
text of parallel certifications and assurances of Categories I-XI of
the Federal Fiscal Year 1998 Certifications and Assurances for the
Federal Transit Administration Programs, but modified as necessary
to accommodate the SIB and the subrecipient's circumstances.
R. The state agrees and assures that the SIB and each
subrecipient will agree to permit FTA, U.S. DOT, and the Comptroller
General to conduct audits to verify compliance with the foregoing
requirements and stipulations.
BILLING CODE 4910-57-P
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[FR Doc. 97-26927 Filed 10-10-97; 8:45 am]
BILLING CODE 4910-57-C
