Fiscal Year 1999 Annual List of Certifications and Assurances for FTA Grants and Cooperative Agreements

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Number 63 60107
11-06-98

[Federal Register:  November 6, 1998  (Volume 63, Number 215)]
[Notices]               
[Page 60107-60119]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06no98-148]

[[Page 60107]]
_______________________________________________________________________
Part III


Department of Transportation


_______________________________________________________________________

Federal Transit Administration

_______________________________________________________________________

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

[[Page 60108]]

DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
 
Fiscal Year 1999 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 1999 certifications and assurances to be used in 
connection with all Federal assistance programs administered by FTA 
during Federal Fiscal Year 1999. (See Appendix A.) These certifications 
and assurances include all annual certifications required by 49 U.S.C. 
5307(d)(1) for FTA's Urbanized Area Formula Program as well as other 
certifications and assurances needed for compliance with various other 
Federal statutes and regulations affecting FTA's assistance programs.
EFFECTIVE DATE: November 6, 1998.
FOR FURTHER INFORMATION CONTACT: Pat Berkley, Office of Program 
Management, Federal Transit Administration, (202) 366-6470; the FTA Web 
Site at http://www.fta.dot.gov; or contact FTA staff in the appropriate 
Regional Office listed below. For copies of other related documents, 
contact the Office of Public Affairs, Federal Transit Administration 
(202) 366-4019.
Region 1: Boston
States served: Maine, New Hampshire, Vermont, Connecticut, Rhode 
Island, and Massachusetts, Telephone #617-494-2055
Region 2: New York
States served: New York, New Jersey, and Virgin Islands, Telephone 
#212-264-8162
Region 3: Philadelphia
States served: Pennsylvania, Delaware, Maryland, Virginia, West 
Virginia, and District of Columbia, Telephone #215-656-7100
Region 4: Atlanta
States served: Kentucky, North Carolina, South Carolina, Georgia, 
Florida, Alabama, Mississippi, Tennessee, and Puerto Rico, Telephone 
#404-562-3500
Region 5: Chicago
States served: Minnesota, Wisconsin, Michigan, Illinois, Indiana, and 
Ohio, Telephone #312-353-2789
Region 6: Dallas/Ft.Worth
States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico, 
Telephone #817-860-9663
Region 7: Kansas City
States served: Missouri, Iowa, Kansas, and Nebraska, Telephone #816-
523-0204
Region 8: Denver
States served: Colorado, Utah, Wyoming, Montana, North Dakota, South 
Dakota, Telephone #303-844-3242
Region 9: San Francisco
States served: California, Hawaii, Guam, Arizona, Nevada, American 
Samoa, and the Northern Mariana Islands, Telephone #415-744-3133
Region 10: Seattle
States served: Idaho, Oregon, Washington, and Alaska, Telephone #206-
220-7954
SUPPLEMENTARY INFORMATION: Before FTA may award a Federal grant or 
cooperative agreement, the applicant must provide to FTA all 
certifications and assurances required by Federal laws and regulations 
for the applicant or its project.
    This Notice provides the text of certifications and assurances that 
may be required by Federal law, regulations, or directives for the 
various Federal assistance programs administered by FTA including the 
Capital Program, the Urbanized Area Formula Program, the Nonurbanized 
Area Formula Program, the Metropolitan Planning Program, the Rural 
Transit Assistance Program, the Elderly and Persons With Disabilities 
Program, the Human Resource Program, the National Training Institute 
Program, the State Planning and Research Program, the National Planning 
and Research Program, the Joint Partnership Program for Deployment of 
Innovation Program and the International Mass Transportation Program, 
all codified at 49 U.S.C. chapter 53. When administering Federal 
assistance programs authorized by other Federal statutes, such as Title 
23, United States Code, FTA uses these same certifications and 
assurances during Federal Fiscal Year 1999. In addition FTA will also 
use these certifications in administering the new Job Access and 
Reverse Commute Program, the Over-the-road Bus Accessibility Program, 
the State Infrastructure Bank Pilot Program, and the Pilot Program for 
Intercity Rail Infrastructure authorized by the Transportation Equity 
Act for the 21st Century (TEA-21).
    This Notice provides the applicant with a single Signature Page on 
which the applicant and its attorney certifies compliance with all 
certifications and assurances applicable to each grant or cooperative 
agreement for which the applicant wishes to apply in Federal Fiscal 
Year 1999. (See Signature Page of Appendix A.)
    An applicant's Annual Certifications and Assurances applicable to a 
specific grant or cooperative agreement generally remain in effect for 
the life of the grant or cooperative agreement to closeout, or the life 
of the project or project property when a useful life or standard 
industry life is in effect. If in a later year, however, the Applicant 
provides certifications and assurances that differ from the 
certifications and assurances previously made, the later certifications 
and assurances will apply to the grant, cooperative agreement, project, 
or project property, except as FTA otherwise permits.
Electronic Submission
    FTA has expanded the use of the electronic programs for applicants, 
first introduced in 1995. Beginning with Fiscal Year 1999, FTA expects 
applicants to submit their applications as well as certifications and 
assurances electronically by means of the FTA electronic grant award 
and management system. If an applicant is not able to submit the 
certifications electronically, the applicant should use the Signature 
Page form in Appendix A of this Federal Register Notice. The Signature 
Page contains the current fiscal year's certifications and, when 
properly attested to and submitted to FTA, assures FTA that the 
applicant intends to comply with the requirements for the specific 
program involved. Applicants may contact the appropriate Regional 
Office shown above for more information.
1999 Changes
    (1) All Applicants for FTA capital program or formula program 
assistance, and current Grantees with an active project financed with 
FTA capital program or formula program assistance, will be required to 
provide the Appendix A Certifications and Assurances within 90 days 
from the date of this publication or with its first grant application 
in Fiscal Year 1999, whichever comes first. (2) The attorney signature 
from previous years on the Single Signature Page will not be 
acceptable. FTA requires a current attorney's affirmation of the 
Applicant's legal authority to certify compliance with the funding 
obligations in this document. Additional changes include
[[Page 60109]]
clarification and reference sources. It is important that each 
applicant be familiar with all fifteen certification and assurance 
categories contained in this document as they may be a prerequisite for 
receiving FTA financial assistance. (3) Recipients of funds apportioned 
under Section 5336 serving a population of 200,000 or more are required 
by Section 5307(k) to make 1 per cent of their funds available for 
transit enhancement activities. In addition, those recipients are also 
required to submit a report annually listing the projects carried out 
during the preceding fiscal year with those funds. (See Signature 
Page.) (4) A recipient of funds under sections 5312(d) Joint 
Partnership Program for Deployment of Innovation and 5312(e), 
International Mass Transportation Program will be required to comply 
with the requirements of the 1999 Annual Certifications and Assurances. 
(5) A recipient of funds under the Transportation Equity Act for the 
21st Century programs under section 3021, Pilot Program for Intercity 
Rail Infrastructure (only Oklahoma); Job Access and Reverse Commute 
Grant Program (section 3037); and Over-the-road Bus Accessibility 
Program (3038) will be required to comply with the requirements of the 
1999 Annual Certification Program.
    FTA directs your attention to Appendix C in FTA Circular 9300.1A, 
``Capital Program Grant Application Instructions,'' which was published 
on October 1, 1998; to Exhibit D in FTA Circular 9040.1E, dated October 
1, 1998, ``Nonurbanized Area Formula Program Guidance and Grant 
Application Instructions; and Appendix G of FTA Circular 9030.1C, dated 
October 1, 1998, Urbanized Area Formula Program: Grant Application 
Instructions. These circulars contain a previous version of the Annual 
Certifications and Assurances which includes some but not all of the 
most current and valid changes. Do not use the document contained in 
these circulars. They are examples only and will not be considered 
acceptable or valid. Therefore the provisions of this Notice supersede 
conflicting statements in those circulars. Note especially that the 
Applicant must use the most current Signature Pages shown in this 
Federal Fiscal Year 1999 Federal Register document or provide the 
signature concurrently through the transportation electronic award and 
management system for all applicants. A copy of an earlier fiscal 
year's Certification Signature page is not acceptable.
Background
    With the publication of the Federal Fiscal Year 1995 version of 
this Notice, certifications and assurances for Federal assistance 
programs administered by FTA were for the first time consolidated into 
one document. This marked the beginning of an effort to assist 
applicants in reducing time and paper work in certifying compliance 
with various Federal laws and regulations. It coincided with the on-
line program and the electronic initiative described above, which also 
reduced the time and paper required to process an application.
    FTA intends to continue publishing this document annually with any 
changes or additions specifically highlighted, in conjunction with its 
publication of the FTA annual apportionment Notice, which allocates 
funds in accordance with the latest U.S. Department of Transportation 
(U.S. DOT) annual appropriations act.
Procedures
    Following is a detailed compilation of Certifications and 
Assurances and the Signature Page (Appendix A). The Signature Page is 
to be signed by the applicant's authorized representative and its 
attorney. It is to be electronically transmitted through the FTA 
computerized on-line system, to the appropriate FTA Regional office 
within 90 days of this Federal Register publication date or with the 
applicant's first Federal assistance application in Federal Fiscal Year 
1999, whichever comes first.
    All applicants are advised to read the entire 1999 Certifications 
and Assurances to be confident of their responsibilities and 
commitments. The applicant may signify compliance with all Categories 
by placing a single ``X'' in the appropriate space at the top of the 
Signature Selection Page in Appendix A. However, the applicant's 
Attorney Affirmation continues to be required as indicated on the 
Signature Page at the end of Appendix A, regardless of the applicant's 
selection of a single selection for all fifteen Categories, or 
individual options selected from the fifteen Categories.
    The Signature Page, when electronically transmitted to FTA or 
properly signed and submitted, assures FTA that the applicant intends 
to comply with the requirements for the specific program(s) involved, 
should they apply for an FTA grant during this fiscal year. All 
applicants must read the selection portion and the signature portion of 
this document and signify compliance by marking, where appropriate, 
with an ``X'' on the category selection side, and then signifying 
compliance as indicated. (See Appendix A.) An applicant participating 
in the electronic award and management program, described above, may 
submit its Signature Page (both the selection side and the signature 
side) electronically. The applicant should not hesitate to consult with 
the appropriate Regional Office or Headquarters Office before 
submitting its certifications and assurances.
References
    The Transportation Equity Act for the 21st Century, Pub. L. 105-
178, June 9, 1998, as amended by the TEA-21 Restoration Act 105-206, 
112 Stat. 685, July 22, 1998, 49 U.S.C. chapter 53, Title 23 U.S.C., 
U.S. DOT and FTA regulations under 49 CFR, and FTA Circulars.
    Issued on: October 29, 1998.
Gordon J. Linton,
Administrator.
Appendix A
Federal Fiscal Year 1999 Certifications and Assurances for Federal 
Transit Administration Assistance Programs
    In accordance with 49 U.S.C. 5323(n), the following 
certifications and assurances have been compiled for the various 
Federal Transit Administration (FTA) programs. FTA requests each 
Applicant provide as many of the following certifications and 
assurances as needed to cover the various types of programs for 
which the Applicant intends to seek FTA assistance in Federal Fiscal 
Year 1999. A state providing certifications and assurances on behalf 
of its prospective subrecipients is expected to obtain sufficient 
documentation from those subrecipients needed to provide informed 
certifications and assurances. The fifteen categories of 
certifications and assurances are listed by Roman numerals I through 
XV on the other side of the Signature Page of this document. 
Categories II through XV will apply to some, but not all, 
applicants. The designation of the categories corresponds to the 
circumstances mandating submission of specific certifications, 
assurances, or agreements.
I. Certifications and Assurances Required of Each Applicant
    Each Applicant for Federal assistance awarded by FTA must 
provide all certifications and assurances in this Category I. 
Accordingly, FTA may not award any Federal assistance until the 
Applicant provides assurance of compliance by selecting Category I 
on the Signature Page at the end of this document.
A. Authority of Applicant and Its Representative
    The authorized representative of the Applicant and legal counsel 
who sign these certifications, assurances, and agreements attest 
that both the Applicant and its authorized representative have 
adequate authority under state and local law and the
[[Page 60110]]
by-laws or internal rules of the Applicant organization to:
    (1) Execute and file the application for Federal assistance on 
behalf of the Applicant,
    (2) Execute and file the required certifications, assurances, 
and agreements on behalf of the Applicant binding the Applicant, and
    (3) Execute grant and cooperative agreements with FTA on behalf 
of the Applicant.
B. Standard Assurances
    The Applicant assures that it will comply with all applicable 
Federal statutes, regulations, executive orders, FTA circulars, and 
other Federal administrative requirements in carrying out any 
project supported by an FTA grant or cooperative agreement. The 
Applicant acknowledges that it is under a continuing obligation to 
comply with the terms and conditions of the grant or cooperative 
agreement issued for its project with FTA. The Applicant understands 
that Federal laws, regulations, policies, and administrative 
practices might be modified from time to time and affect the 
implementation of the project. The Applicant agrees that the most 
recent Federal requirements will apply to the project, unless FTA 
issues a written determination otherwise.
C. Debarment, Suspension, and Other Responsibility Matters--Primary 
Covered Transactions
    As required by U.S. DOT regulations on Governmentwide Debarment 
and Suspension (Nonprocurement) at 49 CFR 29.510:
    (1) The Applicant (Primary Participant) certifies, to the best 
of its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal department or agency;
    (b) Have not, within a three-year period preceding this 
certification, been convicted of or had a civil judgment rendered 
against them for commission of fraud or a criminal offense in 
connection with obtaining, attempting to obtain, or performing a 
public (Federal, state, or local) transaction or contract under a 
public transaction, violation of Federal or state antitrust 
statutes, or commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, or 
receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, state, or local) 
with commission of any of the offenses listed in subparagraph (1)(b) 
of this certification; and
    (d) Have not within a three-year period preceding this 
certification had one or more public transactions (Federal, state, 
or local) terminated for cause or default.
    (2) The Applicant also certifies that, if it later becomes aware 
of any information contradicting the statements of paragraph (1) 
above, it will promptly provide that information to FTA.
    (3) If the Applicant (Primary Participant) is unable to certify 
to the statements in paragraphs (1) and (2) above, it shall indicate 
so on its Signature Page and provide a written explanation to FTA.
D. Drug-Free Workplace Agreement
    As required by U.S. DOT regulations, ``Drug-Free Workplace 
Requirements (Grants),'' 49 CFR Part 29, Subpart F, as modified by 
41 U.S.C. 702, the Applicant agrees that it will provide a drug-free 
workplace by:
    (1) Publishing a statement notifying its employees that the 
unlawful manufacture, distribution, dispensing, possession, or use 
of a controlled substance is prohibited in its workplace and 
specifying the actions that will be taken against its employees for 
violation of that prohibition;
    (2) Establishing an ongoing drug-free awareness program to 
inform its employees about:
    (a) The dangers of drug abuse in the workplace,
    (b) Its policy of maintaining a drug-free workplace,
    (c) Any available drug counseling, rehabilitation, and employee 
assistance programs, and
    (d) The penalties that may be imposed upon its employees for 
drug abuse violations occurring in the workplace;
    (3) Making it a requirement that each of its employees to be 
engaged in the performance of the grant or cooperative agreement be 
given a copy of the statement required by paragraph (1);
    (4) Notifying each of its employees in the statement required by 
paragraph (1) that, as a condition of employment financed with 
Federal assistance provided by the grant or cooperative agreement, 
the employee will be required to:
    (a) Abide by the terms of the statement, and
    (b) Notify the employer (Applicant) in writing of any conviction 
for a violation of a criminal drug statute occurring in the 
workplace no later than 5 calendar days after that conviction;
    (5) Notifying FTA in writing, within 10 calendar days after 
receiving notice required by paragraph (4)(b) above from an employee 
or otherwise receiving actual notice of that conviction. The 
Applicant, as employer of any convicted employee, must provide 
notice, including position title, to every project officer or other 
designee on whose project activity the convicted employee was 
working. Notice shall include the identification number(s) of each 
affected grant or cooperative agreement.
    (6) Taking one of the following actions within 30 calendar days 
of receiving notice under paragraph (4)(b) above with respect to any 
employee who is so convicted:
    (a) Taking appropriate personnel action against that employee, 
up to and including termination, consistent with the requirements of 
the Rehabilitation Act of 1973, as amended, or
    (b) Requiring that employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, state, or local health, law enforcement, or 
other appropriate agency;
    (7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3), 
(4), (5), and (6) above.
    The Applicant agrees to maintain a list identifying its 
headquarters location and each workplace it maintains in which 
project activities supported by FTA are conducted, and make that 
list readily accessible to FTA.
E. Intergovernmental Review Assurance
    The Applicant assures that each application for Federal 
assistance submitted to FTA has been or will be submitted, as 
required by each state, for intergovernmental review to the 
appropriate state and local agencies. Specifically, the Applicant 
assures that it has fulfilled or will fulfill the obligations 
imposed on FTA by U.S. DOT regulations, ``Intergovernmental Review 
of Department of Transportation Programs and Activities,'' 49 CFR 
part 17.
F. Nondiscrimination Assurance
    As required by 49 U.S.C. 5332 (which prohibits discrimination on 
the basis of race, color, creed, national origin, sex, or age, and 
prohibits discrimination in employment or business opportunity), 
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 
2000d, and U.S. DOT regulations, ``Nondiscrimination in Federally-
Assisted Programs of the Department of Transportation--Effectuation 
of Title VI of the Civil Rights Act,'' 49 CFR part 21 at 21.7, the 
Applicant assures that it will comply with all requirements of 49 
CFR part 21; FTA Circular 4702.1, ``Title VI Program Guidelines for 
Federal Transit Administration Recipients'', and other applicable 
directives, so that no person in the United States, on the basis of 
race, color, national origin, creed, sex, or age will be excluded 
from participation in, be denied the benefits of, or otherwise be 
subjected to discrimination in any program or activity (particularly 
in the level and quality of transportation services and 
transportation-related benefits) for which the Applicant receives 
Federal assistance awarded by the U.S. DOT or FTA as follows:
    (1) The Applicant assures that each project will be conducted, 
property acquisitions will be undertaken, and project facilities 
will be operated in accordance with all applicable requirements of 
49 U.S.C. 5332 and 49 CFR part 21, and understands that this 
assurance extends to its entire facility and to facilities operated 
in connection with the project.
    (2) The Applicant assures that it will take appropriate action 
to ensure that any transferee receiving property financed with 
Federal assistance derived from FTA will comply with the applicable 
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
    (3) The Applicant assures that it will promptly take the 
necessary actions to effectuate this assurance, including notifying 
the public that complaints of discrimination in the provision of 
transportation-related services or benefits may be filed with U.S. 
DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures 
that it will submit the required information pertaining to its 
compliance with these requirements.
[[Page 60111]]
    (4) The Applicant assures that it will make any changes in its 
49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or 
FTA may request.
    (5) As required by 49 CFR 21.7(a)(2), the Applicant will include 
in each third party contract or subagreement appropriate provisions 
to impose the requirements of 49 U.S.C. 5332 and 49 CFR part 21, and 
include appropriate provisions imposing those requirements in deeds 
and instruments recording the transfer of real property, structures, 
improvements.
G. Assurance of Nondiscrimination on the Basis of Disability
    As required by U.S. DOT regulations, ``Nondiscrimination on the 
Basis of Handicap in Programs and Activities Receiving or Benefiting 
from Federal Financial Assistance,'' at 49 CFR part 27, implementing 
the Rehabilitation Act of 1973, as amended, and the Americans with 
Disabilities Act of 1990, as amended, the Applicant assures that, as 
a condition to the approval or extension of any Federal assistance 
awarded by FTA to construct any facility, obtain any rolling stock 
or other equipment, undertake studies, conduct research, or to 
participate in or obtain any benefit from any program administered 
by FTA, no otherwise qualified person with a disability shall be, 
solely by reason of that disability, excluded from participation in, 
denied the benefits of, or otherwise subjected to discrimination in 
any program or activity receiving or benefiting from Federal 
assistance administered by the FTA or any entity within U.S. DOT. 
The Applicant assures that project implementation and operations so 
assisted will comply with all applicable requirements of U.S. DOT 
regulations implementing the Rehabilitation Act of 1973, as amended, 
29 U.S.C. 794, and the Americans with Disabilities Act of 1990, as 
amended, 42 U.S.C. 12101 et seq. at 49 CFR parts 27, 37, and 38, and 
any applicable regulations and directives issued by other Federal 
departments or agencies.
H. Procurement Compliance
    The Applicant certifies that its procurements and procurement 
system will comply with all applicable requirements imposed by 
Federal laws, executive orders, or regulations and the requirements 
of FTA Circular 4220.1D, ``Third Party Contracting Requirements,'' 
and other implementing requirements FTA may issue. The Applicant 
certifies that it will include in its contracts financed in whole or 
in part with FTA assistance all clauses required by Federal laws, 
executive orders, or regulations, and will ensure that each 
subrecipient and each contractor will also include in its 
subagreements and contracts financed in whole or in part with FTA 
assistance all applicable clauses required by Federal laws, 
executive orders, or regulations.
I. Certifications Prescribed by the Office of Management and Budget 
(SF-424B and SF-424D)
    The Applicant certifies that it:
    (1) Has the legal authority to apply for Federal assistance and 
the institutional, managerial, and financial capability (including 
funds sufficient to pay the non-Federal share of project cost) to 
ensure proper planning, management, and completion of the project 
described in its application.
    (2) Will give FTA, the Comptroller General of the United States 
and, if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    (3) Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest or 
personal gain.
    (4) Will initiate and complete the work within the applicable 
project time periods following receipt of FTA approval.
    (5) Will comply with all statutes relating to nondiscrimination 
including, but not limited to:
    (a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which 
prohibits discrimination on the basis of race, color, or national 
origin;
    (b) Title IX of the Education Amendments of 1972, as amended, 20 
U.S.C. 1681, 1683, and 1685 through 1687, which prohibits 
discrimination on the basis of sex;
    (c) Section 504 of the Rehabilitation Act of 1973, as amended, 
29 U.S.C. 794, which prohibits discrimination on the basis of 
handicaps;
    (d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 
6101 through 6107, which prohibit discrimination on the basis of 
age;
    (e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, relating to 
nondiscrimination on the basis of drug abuse;
    (f) The Comprehensive Alcohol Abuse and Alcoholism Prevention 
Act of 1970, Pub. L. 91-616, Dec. 31, 1970, and amendments thereto, 
relating to nondiscrimination on the basis of alcohol abuse or 
alcoholism;
    (g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 
290dd-3 and 290ee-3, related to confidentiality of alcohol and drug 
abuse patient records;
    (h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., 
relating to nondiscrimination in the sale, rental, or financing of 
housing;
    (i) Any other nondiscrimination provisions in the specific 
statutes under which Federal assistance for the project may be 
provided including, but not limited to section 1101(b) of the 
Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note, 
which provides for participation of disadvantaged business 
enterprises in FTA programs; and
    (j) The requirements of any other nondiscrimination statute(s) 
that may apply to the project.
    (6) Will comply, or has complied, with the requirements of 
Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, as amended, (Uniform 
Relocation Act) 42 U.S.C. 4601 et seq., which provide for fair and 
equitable treatment of persons displaced or whose property is 
acquired as a result of Federal or federally-assisted programs. 
These requirements apply to all interests in real property acquired 
for project purposes regardless of Federal participation in 
purchases. As required by U.S. DOT regulations, ``Uniform Relocation 
Assistance and Real Property Acquisition for Federal and Federally 
Assisted Programs,'' at 49 CFR 24.4, and sections 210 and 305 of the 
Uniform Relocation Act, 42 U.S.C. 4630 and 4655, the Applicant 
assures that it has the requisite authority under applicable state 
and local law and will comply or has complied with the requirements 
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT 
regulations, ``Uniform Relocation Assistance and Real Property 
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR 
part 24 including, but not limited to the following:
    (a) The Applicant will adequately inform each affected person of 
the benefits, policies, and procedures provided for in 49 CFR part 
24;
    (b) The Applicant will provide fair and reasonable relocation 
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624; 
49 CFR part 24; and any applicable FTA procedures, to or for 
families, individuals, partnerships, corporations or associations 
displaced as a result of any project financed with FTA assistance;
    (c) The Applicant will provide relocation assistance programs 
offering the services described in 42 U.S.C. 4625 to such displaced 
families, individuals, partnerships, corporations or associations in 
the manner provided in 49 CFR part 24 and FTA procedures;
    (d) Within a reasonable time before displacement, the Applicant 
will make available comparable replacement dwellings to displaced 
families and individuals as required by 42 U.S.C. 4625(c)(3);
    (e) The Applicant will carry out the relocation process in such 
a manner as to provide displaced persons with uniform and consistent 
services, and will make available replacement housing in the same 
range of choices with respect to such housing to all displaced 
persons regardless of race, color, religion, or national origin;
    (f) In acquiring real property, the Applicant will be guided to 
the greatest extent practicable under state law, by the real 
property acquisition policies of 42 U.S.C. 4651 and 4652;
    (g) The Applicant will pay or reimburse property owners for 
necessary expenses as specified in 42 U.S.C. 4653 and 4654, 
understanding that FTA will participate in the Applicant's costs of 
providing those payments and that assistance for the project as 
required by 42 U.S.C. 4631;
    (h) The Applicant will execute such amendments to third party 
contracts and subagreements financed with FTA assistance and 
execute, furnish, and be bound by such additional documents as FTA 
may determine necessary to effectuate or implement the assurances 
provided herein; and
    (i) The Applicant agrees to make these assurances part of or 
incorporate them by reference into any third party contract or 
subagreement, or any amendments thereto, relating to any project 
financed by FTA
[[Page 60112]]
involving relocation or land acquisition and provide in any affected 
document that these relocation and land acquisition provisions shall 
supersede any conflicting provisions.
    (7) Will comply, as applicable, with provisions of the Hatch 
Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, which limit 
the political activities of state and local agencies and their 
officers and employees whose principal employment activities are 
financed in whole or part with Federal funds including a Federal 
loan, grant, or cooperative agreement, but does not apply to a 
nonsupervisory employee of a transit system (or of any other agency 
or entity performing related functions) receiving FTA assistance to 
whom the Hatch Act does not otherwise apply.
    (8) To the extent applicable will comply with the Davis-Bacon 
Act, as amended, 40 U.S.C. 276a through 276a(7), the Copeland Act, 
as amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the Contract Work 
Hours and Safety Standards Act, as amended, 40 U.S.C. 327 through 
333, regarding labor standards for federally-assisted subagreements.
    (9) To the extent applicable, will comply with flood insurance 
purchase requirements of section 102(a) of the Flood Disaster 
Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), which 
requires recipients in a special flood hazard area to participate in 
the program and to purchase flood insurance if the total cost of 
insurable construction and acquisition is $10,000 or more.
    (10) Will comply with environmental standards that may be 
prescribed to implement the following Federal laws and executive 
orders:
    (a) Institution of environmental quality control measures under 
the National Environmental Policy Act of 1969, as amended, 42 U.S.C. 
4321 et seq. and Executive Order No. 11514, as amended, 42 U.S.C. 
4321 note;
    (b) Notification of violating facilities pursuant to Executive 
Order No. 11738, 42 U.S.C. 7606 note;
    (c) Protection of wetlands pursuant to Executive Order No. 
11990, 42 U.S.C. 4321 note;
    (d) Evaluation of flood hazards in floodplains in accordance 
with Executive Order 11988, 42 U.S.C. 4321 note;
    (e) Assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972, as amended, 16 U.S.C. 1451 et seq.
    (f) Conformity of Federal actions to State (Clean Air) 
Implementation Plans under section 176(c) of the Clean Air Act of 
1955, as amended, 42 U.S.C. 7401 et seq.;
    (g) Protection of underground sources of drinking water under 
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et 
seq.;
    (h) Protection of endangered species under the Endangered 
Species Act of 1973, as amended, Endangered Species Act of 1973, as 
amended, 16 U.S.C. 1531 et seq.; and
    (i) Environmental protections for Federal transit programs, 
including, but not limited to protections for a park, recreation 
area, or wildlife or waterfowl refuge of national, state, or local 
significance or any land from a historic site of national, state, or 
local significance used in a transit project as required by 49 
U.S.C. 303.
    (11) Will comply with the Wild and Scenic Rivers Act of 1968, as 
amended, 15 U.S.C. 1271 et seq. relating to protecting components of 
the national wild and scenic rivers systems.
    (12) Will assist FTA in assuring compliance with section 106 of 
the National Historic Preservation Act of 1966, as amended, 16 
U.S.C. 470f, Executive Order No. 11593 (identification and 
protection of historic properties), 16 U.S.C. 470 note, and the 
Archaeological and Historic Preservation Act of 1974, as amended, 16 
U.S.C. 469a-1 et seq.
    (13) Will comply with the Lead-Based Paint Poisoning Prevention 
Act, 42 U.S.C. 4801, which prohibits the use of lead-based paint in 
construction or rehabilitation of residence structures.
    (14) Will not dispose of, modify the use of, or change the terms 
of the real property title, or other interest in the site and 
facilities on which a construction project supported with FTA 
assistance takes place without permission and instructions from the 
awarding agency. Will record the Federal interest in the title of 
real property in accordance with FTA directives and will include a 
covenant in the title of real property acquired in whole or in part 
with Federal assistance funds to assure nondiscrimination during the 
useful life of the project.
    (15) Will comply with FTA requirements concerning the drafting, 
review, and approval of construction plans and specifications of any 
construction project supported with FTA assistance. As required by 
U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before 
accepting delivery of any building financed with FTA assistance, it 
will obtain a certificate of compliance with the seismic design and 
construction requirements of 49 CFR part 41.
    (16) Will provide and maintain competent and adequate 
engineering supervision at the construction site of any project 
supported with FTA assistance to ensure that the complete work 
conforms with the approved plans and specifications and will furnish 
progress reports and such other information as may be required by 
FTA or the State.
    (17) Will comply with the National Research Act, Pub. L. 93-348, 
July 12, 1974, as amended, regarding the protection of human 
subjects involved in research, development, and related activities 
supported by the FTA assistance.
    (18) Will comply with the Laboratory Animal Welfare Act of 1966, 
as amended, 7 U.S.C. 2131 et seq. pertaining to the care, handling, 
and treatment of warm blooded animals held for research, teaching, 
or other activities supported by FTA assistance.
    (19) Will have performed the required financial and compliance 
audits in accordance with the Single Audit Act Amendments of 1996, 
31 U.S.C. 7501 et seq. and OMB Circular No. A-133, ``Audits of 
States, Local Governments, and Non-Profit Organizations.''
    (20) Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations, and policies governing 
the project.
II. Lobbying Certification for an Application Exceeding $100,000
    An Applicant that submits, or intends to submit this fiscal 
year, an application for Federal assistance exceeding $100,000 must 
provide the following certification. FTA may not provide Federal 
assistance for an application exceeding $100,000 until the Applicant 
provides this certification by selecting Category II on the 
Signature Page.
    A. As required by U.S. DOT regulations, ``New Restrictions on 
Lobbying,'' at 49 CFR 20.110, the Applicant's authorized 
representative certifies to the best of his or her knowledge and 
belief that for each application for a Federal assistance exceeding 
$100,000:
    (1) No Federal appropriated funds have been or will be paid, by 
or on behalf of the Applicant, to any person for influencing or 
attempting to influence an officer or employee of any agency, a 
Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress pertaining to the award of any 
Federal assistance, or the extension, continuation, renewal, 
amendment, or modification of any Federal assistance agreement; and
    (2) If any funds other than Federal appropriated funds have been 
or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with any application to FTA for 
Federal assistance, the Applicant assures that it will complete and 
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' 
including the information required by the form's instructions, which 
may be amended to omit such information as permitted by 31 U.S.C. 
1352.
    B. The Applicant understands that this certification is a 
material representation of fact upon which reliance is placed and 
that submission of this certification is a prerequisite for 
providing Federal assistance for a transaction covered by 31 U.S.C. 
1352. The Applicant also understands that any person who fails to 
file a required certification shall be subject to a civil penalty of 
not less than $10,000 and not more than $100,000 for each such 
failure.
III. Effects on Private Mass Transportation Companies
    An Applicant that is a state or local government seeking Federal 
assistance under 49 U.S.C. chapter 53 to acquire property or an 
interest in property of a private mass transportation company or 
operate mass transportation equipment or a facility in competition 
with or in addition to transportation service provided by an 
existing mass transportation company must provide the following 
certification. FTA may not award Federal assistance for that project 
until the Applicant provides this certification by selecting 
Category III on the Signature Page.
    As required by 49 U.S.C. 5323(a)(1), the Applicant certifies 
that before it acquires
[[Page 60113]]
property or an interest in property of a private mass transportation 
company or operates mass transportation equipment or a facility in 
competition with or in addition to transportation service provided 
by an existing mass transportation company it has or will have:
    A. Found that the assistance is essential to carrying out a 
program of projects as determined by the plans and programs of the 
metropolitan planning organization;
    B. Provided for the participation of private mass transportation 
companies to the maximum extent feasible; and
    C. Paid or will pay just compensation under state or local law 
to a private mass transportation company for its franchises or 
property acquired.
    D. The assistance falls within the labor standards compliance 
requirements of 49 U.S.C. 5333(a) and 5333(b).
IV. Public Hearing Certification for a Capital Project That Will 
Substantially Affect a Community or its Transit Service
    An Applicant seeking Federal assistance under 49 U.S.C. chapter 
53 for a capital project that will substantially affect a community 
or the transit service of a community must provide the following 
certification. FTA may not award Federal assistance for that project 
until the Applicant provides this certification by selecting 
Category IV on the Signature Page.
    As required by 49 U.S.C. 5323(b), the Applicant certifies that 
it has, or before submitting its application, will have:
    A. Provided an adequate opportunity for a public hearing with 
adequate prior notice of the proposed project published in a 
newspaper of general circulation in the geographic area to be 
served;
    B. Held that hearing and provided FTA a transcript or detailed 
report summarizing the issues and responses, unless no one with a 
significant economic, social, or environmental interest requests a 
hearing;
    C. Considered the economic, social, and environmental effects of 
the project; and
    D. Determined that the project is consistent with official plans 
for developing the urban area.
V. Certification of Pre-Award and Post-Delivery Reviews Required for 
Acquisition of Rolling Stock
    An Applicant seeking FTA assistance to purchase rolling stock 
must provide the following certification. FTA may not provide 
assistance for any rolling stock acquisition until the Applicant 
provides this certification by selecting Category V on the Signature 
Page.
    As required by 49 U.S.C. 5323(m), and implementing FTA 
regulations at 49 CFR 663.7, the Applicant certifies that it will 
comply with the requirements of 49 CFR part 663, in the course of 
purchasing revenue service rolling stock. Among other things, the 
Applicant will conduct or cause to be conducted the prescribed pre-
award and post-delivery reviews, and will maintain on file the 
certifications required by 49 CFR part 663, subparts B, C, and D.
VI. Bus Testing Certification Required for New Bus Acquisitions
    An Applicant seeking FTA assistance to acquire new buses must 
provide the following certification. FTA may not provide assistance 
for the acquisition of new buses until the Applicant provides this 
certification by selecting Category VI on the Signature Page.
    As required by FTA regulations, ``Bus Testing,'' at 49 CFR 
665.7, the Applicant certifies that before expending any Federal 
assistance to acquire the first bus of any new bus model or any bus 
model with a new major change in configuration or components or 
authorizing final acceptance of that bus (as described in 49 CFR 
part 665):
    A. The model of the bus will have been tested at a bus testing 
facility approved by FTA; and
    B. It will have received a copy of the test report prepared on 
the bus model.
VII. Charter Service Agreement
    An Applicant seeking FTA assistance to acquire or operate 
transportation equipment or facilities acquired with Federal 
assistance authorized by 49 U.S.C. chapter 53 or Title 23 U.S.C. 
(except 49 U.S.C. 5310) must enter into the following charter 
service agreement. FTA may not provide assistance for those projects 
until the Applicant enters into this agreement by selecting Category 
VII on the Signature Page.
    A. As required by 49 U.S.C. 5323(d) and FTA regulations, 
``Charter Service,'' at 49 CFR 604.7, the Applicant agrees that it 
and its recipients will: (1) provide charter service that uses 
equipment or facilities acquired with Federal assistance authorized 
for 49 U.S.C. 5307, 5309, or 5311 or Title 23 U.S.C., only to the 
extent that there are no private charter service operators willing 
and able to provide the charter service that it or its recipients 
desire to provide, unless one or more of the exceptions in 49 CFR 
604.9 applies, and (2) comply with the provisions of 49 CFR part 604 
before they provide any charter service using equipment or 
facilities acquired with Federal assistance authorized for the above 
statutes.
    B. The Applicant understands that the requirements of 49 CFR 
part 604 will apply to any charter service provided, the definitions 
in 49 CFR part 604 apply to this agreement, and violation of this 
agreement may require corrective measures and the imposition of 
penalties, including debarment from the receipt of further Federal 
assistance for transportation.
VIII. School Transportation Agreement
    An Applicant seeking FTA assistance to acquire or operate 
transportation facilities and equipment acquired with Federal 
assistance authorized by 49 U.S.C. chapter 53 must agree as follows. 
FTA may not provide assistance for transportation facilities until 
the Applicant enters into this Agreement by selecting Category VIII 
on the Signature Page.
    A. As required by 49 U.S.C. 5323(f) and FTA regulations, 
``School Bus Operations,'' at 49 CFR 605.14, the Applicant agrees 
that it and all its recipients will:
    (1) Engage in school transportation operations in competition 
with private school transportation operators only to the extent 
permitted by an exception provided by 49 U.S.C. 5323(f), and 
implementing regulations, and
    (2) Comply with the requirements of 49 CFR part 605 before 
providing any school transportation using equipment or facilities 
acquired with Federal assistance awarded by FTA and authorized by 49 
U.S.C. chapter 53 or Title 23 U.S.C. for transportation projects.
    B. The Applicant understands that the requirements of 49 CFR 
part 605 will apply to any school transportation it provides, the 
definitions of 49 CFR part 605 apply to this school transportation 
agreement, and a violation of this agreement may require corrective 
measures and the imposition of penalties, including debarment from 
the receipt of further Federal assistance for transportation.
IX. Certification Required for the Direct Award of FTA Assistance to an 
Applicant for its Demand Responsive Service
    An Applicant seeking direct Federal assistance to support its 
demand responsive service must provide the following certification. 
FTA may not award Federal assistance directly to an Applicant to 
support its demand responsive service until the Applicant provides 
this certification by selecting Category IX on the Signature Page.
    As required by U.S. DOT regulations, ``Transportation Services 
for Individuals with Disabilities (ADA),'' at 49 CFR 37.77, the 
Applicant certifies that its demand responsive service offered to 
persons with disabilities, including persons who use wheelchairs, is 
equivalent to the level and quality of service offered to persons 
without disabilities. When viewed in its entirety, the Applicant's 
service for persons with disabilities is provided in the most 
integrated setting feasible and is equivalent with respect to: (1) 
response time, (2) fares, (3) geographic service area, (4) hours and 
days of service, (5) restrictions on trip purpose, (6) availability 
of information and reservation capability, and (7) constraints on 
capacity or service availability.
X. Substance Abuse Certifications
    If the Applicant is required by Federal regulations to provide 
the following substance abuse certifications, FTA may not provide 
Federal assistance to that Applicant until it provides these 
certifications by selecting Category X on the Signature Page.
A. Alcohol Testing Certification
    As required by FTA regulations, ``Prevention of Alcohol Misuse 
in Transit Operations,'' at 49 CFR 654.83, the Applicant certifies 
that it has established and implemented an alcohol misuse prevention 
program complying with the requirements of 49 CFR part 654; and if 
the Applicant has employees regulated by the Federal Railroad 
Administration (FRA), the Applicant also certifies that it has for 
those employees an alcohol misuse prevention program complying with 
FRA regulations, ``Control of Alcohol and Drug Use,'' 49 CFR part 
219.
B. Anti-Drug Program Certification
    As required by FTA regulations ``Prevention of Prohibited Drug 
Use in
[[Page 60114]]
Transit Operations,'' at 49 CFR 653.83, the Applicant certifies that 
it has established and implemented an anti-drug program and has 
conducted employee training complying with the requirements of 49 
CFR part 653; and if the Applicant has employees regulated by the 
U.S. Federal Railroad Administration (FRA), the Applicant also 
certifies that it has for those employees an anti-drug program 
complying with FRA regulations, ``Control of Alcohol and Drug Use,'' 
49 CFR part 219.
XI. Certification for a Project Involving Interest or Other Financing 
Costs
    The Applicant must provide the following certification in 
connection with requests for reimbursements of interest or other 
financing costs of capital projects. FTA may not provide assistance 
to support those costs until the Applicant provides this 
certification by selecting Category XI on the Signature Page.
    As required by 49 U.S.C. 5307(g), 49 U.S.C. 5309(g)(2)(B), 49 
U.S.C. 5309(g)(3)(A), and 49 U.S.C. 5309(n), the Applicant certifies 
that it will not seek reimbursement for interest and other financing 
costs unless its records demonstrate it has used reasonable 
diligence in seeking the most favorable financing terms underlying 
those costs, to the extent FTA might require.
XII. Certifications for the Urbanized Area Formula Program and the Job 
Access and Reverse Commute Program
    Each Applicant to FTA for Urbanized Area Formula Program 
assistance authorized for 49 U.S.C. 5307 and each Applicant for Job 
Access and Reverse Commute Program assistance authorized for Section 
3037 of the Transportation Equity Act for the 21st Century, 49 
U.S.C. 5309 note, must provide the following certifications in 
connection with its application. FTA may not award Urbanized Area 
Formula Program assistance or Job Access and Reverse Commute Program 
assistance to the Applicant until the Applicant provides these 
certifications and assurances by selecting Category XIV on the 
Signature Page.
    In addition, each Applicant with a population of 200,000 or more 
awarded funds apportioned under 49 U.S.C. 5307(k) after June 9, 
1998, must submit a report listing the Transit Enhancement projects 
carried out during Federal fiscal year 1998 with those funds. FTA 
may not award Urbanized Area Formula Program assistance to any 
Applicant with a population of 200,000 or more until that Applicant 
indicates that it has submitted this Report by selecting ``Transit 
Enhancement Activities Report Submitted'' on the Signature Page 
under Category XII.
A. Certifications Required by Statute
    As required by 49 U.S.C. 5307(d)(1) (A) through (J), the 
Applicant certifies that:
    (1) It has or will have the legal, financial, and technical 
capacity to carry out the proposed program of projects;
    (2) It has or will have satisfactory continuing control over the 
use of the equipment and facilities;
    (3) It will adequately maintain the equipment and facilities;
    (4) It will ensure that the elderly and handicapped persons, or 
any person presenting a Medicare card issued to himself or herself 
under title II or title XVIII of the Social Security Act (42 U.S.C. 
401 et seq. or 42 U.S.C. 1395 et seq.), will be charged during non-
peak hours for transportation using or involving a facility or 
equipment of a project financed with Federal assistance authorized 
for 49 U.S.C. 5307 or Section 3037 of the Transportation Equity Act 
for the 21st Century (TEA-21), 49 U.S.C. 5309 note, not more than 50 
percent of the peak hour fare;
    (5) In carrying out a procurement financed with Federal 
assistance authorized for the Urbanized Area Formula Program at 49 
U.S.C. 5307 or Section 3037 of TEA-21, 49 U.S.C. 5309 note, it will 
use competitive procurement (as defined or approved by the 
Secretary), it will not use a procurement using exclusionary or 
discriminatory specifications, and it will comply with applicable 
Buy America laws in carrying out a procurement;
    (6) It has complied or will comply with the requirements of 49 
U.S.C. 5307(c); specifically, it has or before submitting its 
application it will: (a) make available to the public information on 
amounts available for the Urbanized Area Formula Program at 49 
U.S.C. 5307 and, if applicable, the Job Access and Reverse Commute 
Grant Program, 49 U.S.C. 5309 note, and the program of projects it 
proposes to undertake with those funds; (b) develop, in consultation 
with interested parties, including private transportation providers, 
a proposed program of projects for activities to be financed; (c) 
publish a proposed program of projects in a way that affected 
citizens, private transportation providers, and local elected 
officials have the opportunity to examine the proposed program and 
submit comments on the proposed program and the performance of the 
Applicant; (d) provide an opportunity for a public hearing to obtain 
the views of citizens on the proposed program of projects; and (e) 
ensure that the proposed program of projects provides for the 
coordination of transportation services assisted under 49 U.S.C. 
5336 with transportation services assisted by another Federal 
Government source; (f) consider comments and views received, 
especially those of private transportation providers, in preparing 
the final program of projects; and (g) make the final program of 
projects available to the public;
    (7) It has or will have available and will provide the amount of 
funds required by 49 U.S.C. 5307(e) and applicable FTA policy 
(specifying Federal and local shares of project costs);
    (8) It will comply with: (a) 49 U.S.C. 5301(a) (requirements to 
develop transportation systems that maximize mobility and minimize 
fuel consumption and air pollution); (b) 49 U.S.C. 5301(d) 
(requirements for transportation of the elderly and persons with 
disabilities); (c) 49 U.S.C. 5303 through 5306 (planning 
requirements); and (d) 49 U.S.C. 5310 (a) through (d) (programs for 
the elderly and persons with disabilities);
    (9) It has a locally developed process to solicit and consider 
public comment before raising fares or implementing a major 
reduction of transportation; and
    (10) As required by 49 U.S.C. 5307(d)(1)(J), unless the 
Applicant has determined that it is not necessary to expend one 
percent of the amount of Federal assistance it receives for this 
fiscal year apportioned in accordance with 49 U.S.C. 5336 for 
transit security projects, it will expend at least one percent of 
the amount of that assistance for transit security projects, 
including increased lighting in or adjacent to a transit system 
(including bus stops, subway stations, parking lots, and garages), 
increased camera surveillance of an area in or adjacent to that 
system, emergency telephone line or lines to contact law enforcement 
or security personnel in an area in or adjacent to that system, and 
any other project intended to increase the security and safety of an 
existing or planned transit system.
B. Certification Required for Capital Leasing
    As required by FTA regulations, ``Capital Leases,'' at 49 CFR 
639.15(b)(1) and 639.21, to the extent the Applicant uses Federal 
assistance authorized for 49 U.S.C. 5307 or Section 3037 of TEA-21, 
49 U.S.C. 5309 note, to acquire any capital asset by lease, the 
Applicant certifies that:
    (1) It will not use Federal assistance authorized for 49 U.S.C. 
5307 or Section 3037 of TEA-21, 49 U.S.C. 5309 note, to finance the 
cost of leasing any capital asset until it performs calculations 
demonstrating that leasing the capital asset would be more cost-
effective than purchasing or constructing a similar asset;
    (2) It will complete these calculations before entering into the 
lease or before receiving a capital grant for the asset, whichever 
is later; and
    (3) It will not enter into a capital lease for which FTA can 
only provide incremental funding unless it has the financial 
capacity to meet its future obligations under the lease in the event 
Federal assistance is not available for capital projects in 
subsequent years.
C. Certification Required for Sole Source Purchase of Associated 
Capital Maintenance Item
    As required by 49 U.S.C. 5325(c), to the extent that the 
Applicant procures an associated capital maintenance item under the 
authority of 49 U.S.C. 5307(b)(1), the Applicant certifies that it 
will use competition to procure an associated capital maintenance 
item unless the manufacturer or supplier of that item is the only 
source for the item and the price of the item is no more than the 
price similar customers pay for the item, and maintain sufficient 
records pertaining to each such procurement on file easily 
retrievable for FTA inspection.
XIII. Certifications and Assurances for the Elderly and Persons with 
Disabilities Program
    An Applicant that intends to administer, on behalf of the state, 
the Elderly and Persons with Disabilities Program must provide the 
following certifications and assurances. FTA may not award 
assistance for the Elderly and Persons with Disabilities Program 
until the Applicant provides these certifications and
[[Page 60115]]
assurances by selecting Category XIII on the Signature Page.
    Based on its own knowledge and, as necessary, on information 
submitted by the subrecipient, the Applicant administering on behalf 
of the state the Elderly and Persons with Disabilities Program 
authorized by 49 U.S.C. 5310 certifies and assures that the 
following requirements and conditions will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive, and disburse Federal 
assistance authorized for 49 U.S.C. 5310; and to implement and 
manage the project.
    B. The state assures that each subrecipient either is recognized 
under state law as a private nonprofit organization with the legal 
capability to contract with the state to carry out the proposed 
project, or is a public body that has met the statutory requirements 
to receive Federal assistance authorized for 49 U.S.C. 5310.
    C. The subrecipient's application for 49 U.S.C. 5310 assistance 
contains information from which the state concludes that the transit 
service provided or offered to be provided by existing public or 
private transit operators is unavailable, insufficient, or 
inappropriate to meet the special needs of the elderly and persons 
with disabilities.
    D. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    E. The subrecipient has, or will have by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
purchased with Federal assistance awarded for this project.
    F. The state assures that before issuing the state's formal 
approval of a project, its Elderly and Persons with Disabilities 
Formula Program is included in the Statewide Transportation 
Improvement Program as required by 23 U.S.C. 135; all projects in 
urbanized areas recommended for approval are included in the annual 
element of the metropolitan Transportation Improvement Program in 
which the subrecipient is located; and any public body that is a 
prospective subrecipient of capital assistance has provided an 
opportunity for a public hearing.
    G. The subrecipient has, to the maximum extent feasible, 
coordinated with other transportation providers and users, including 
social service agencies authorized to purchase transit service.
    H. The subrecipient is in compliance with all applicable civil 
rights requirements, and has signed the Nondiscrimination Assurance. 
(Category I.F., ``Certifications and Assurances Required of Each 
Applicant.'')
    I. The subrecipient will comply with applicable requirements of 
U.S. DOT regulations on participation of disadvantaged business 
enterprises in U.S. DOT programs.
    J. The state will comply with all existing Federal requirements 
regarding transportation of elderly persons and persons with 
disabilities. Each subrecipient has provided to the state an 
Assurance of Nondiscrimination on the Basis of Disability, as set 
forth in the Certifications and Assurances required of each 
applicant for FTA assistance at Category 1.G of this document. If 
non-accessible vehicles are being purchased for use by a public 
entity in demand responsive service for the general public, the 
state will obtain from the subrecipient a ``Certification of 
Equivalent Service,'' which states that when viewed in its entirety 
the public entity's demand responsive service offered to persons 
with disabilities, including persons who use wheelchairs, meets the 
standard of equivalent service set forth in 40 CFR section 37.77(c).
    K. The subrecipient has certified to the state that it will 
comply with applicable provisions of 49 CFR part 605 pertaining to 
school transportation operations. (See Category VIII, ``School 
Transportation Agreement.'')
    L. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a categorical exclusion and does not require further 
environmental approvals, as described in the joint FHWA/FTA 
regulations, ``Environmental Impact and Related Procedures,'' at 23 
CFR 771.117(c). The state certifies that financial assistance will 
not be provided for any project that does not qualify for a 
categorical exclusion described in 23 CFR 771.117(c) until FTA has 
made the required environmental finding. The state further certifies 
that no financial assistance will be provided for a project 
requiring a conformity finding in accordance with the Environmental 
Protection Agency's Clean Air Conformity regulations at 40 CFR parts 
51 and 93, until FTA makes the required conformity finding.
    M. The subrecipient has submitted (or will submit) all 
applicable certifications and assurances currently required, 
including, but not limited to: a certification that its procurements 
and procurement system will comply with all applicable requirements 
imposed by Federal laws, executive orders, or regulations and the 
requirements of FTA Circular 4220.1D, ``Third Party Contracting 
Requirements,'' and other implementing requirements FTA may issue; a 
certification that its project provides for the participation of 
private mass transportation companies to the maximum extent 
feasible; a certification it has paid or will pay just compensation 
under state or local law to each private mass transportation company 
for its franchise or property acquired under the project; a 
nonprocurement suspension and debarment certification; a bus testing 
certification for new models; a pre-award and post-delivery review 
certification; and a lobbying certification for each application 
exceeding $100,000. Certifications and assurances applicable to and 
submitted by the subrecipient should be substantially similar to the 
text of parallel certifications and assurances text of Categories I-
XI of this document, but modified as necessary to accommodate the 
subrecipient's circumstances.
    N. The state will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed.
    O. The state recognizes FTA's authority to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations.
XIV. Certifications and Assurances for the Nonurbanized Area Formula 
Program
    An Applicant that intends to administer, on behalf of the state, 
the Nonurbanized Area Formula Program must provide the following 
certifications and assurances. FTA may not award Nonurbanized Area 
Formula Program assistance to the Applicant until the Applicant 
provides these certifications and assurances by selecting Category 
XIV on the Signature Page.
    Based on its own knowledge and, as necessary, on information 
submitted by the subrecipient, the Applicant administering on behalf 
of the state the Nonurbanized Area Formula Program authorized by 49 
U.S.C. 5311 certifies and assures that the following requirements 
and conditions will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive and disburse Federal 
assistance authorized for 49 U.S.C. 5311; and to implement and 
manage the project.
    B. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    C. The subrecipient has, or will have by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
purchased with Federal assistance authorized for this project.
    D. The state assures that before issuing the state's formal 
approval of the project, its Nonurbanized Area Formula Program is 
included in the Statewide Transportation Improvement Program as 
required by 23 U.S.C. 135; to the extent applicable, projects are 
included in a metropolitan Transportation Improvement Program.
    E. The state has provided for a fair and equitable distribution 
of Federal assistance authorized for 49 U.S.C. 5311 within the 
state, including Indian reservations within the state.
    F. The subrecipient has, to the maximum extent feasible, 
coordinated with other transportation providers and users, including 
social service agencies authorized to purchase transit service.
    G. The subrecipient is in compliance with all applicable civil 
rights requirements, and has signed the Nondiscrimination Assurance. 
(See Category I.F, ``Certifications and Assurances Required of Each 
Applicant.'')
    H. The subrecipient will comply with applicable requirements of 
U.S. DOT regulations on participation of disadvantaged business 
enterprise in U.S. DOT programs.
    I. The state will comply with all existing Federal requirements 
regarding transportation of elderly persons and persons with 
disabilities. Each subrecipient has provided to the state an 
Assurance of Nondiscrimination on the Basis of Disability, as set 
forth in the Certifications and Assurances required of each 
applicant for FTA assistance at Category 1.G of this document. If 
non-accessible vehicles are
[[Page 60116]]
being purchased for use by a public entity in demand responsive 
service for the general public, the state will obtain from the 
subrecipient a ``Certification of Equivalent Service,'' which states 
that when viewed in its entirety the public entity's demand 
responsive service offered to persons with disabilities, including 
persons who use wheelchairs, meets the standard of equivalent 
service set forth in 40 C.F.R. section 37.77(c).
    J. The subrecipient has complied with the transit employee 
protective provisions of 49 U.S.C. 5333(b), by one of the following 
actions: (1) signing the Special Warranty for the Nonurbanized Area 
Formula Program, (2) agreeing to alternative comparable arrangements 
approved by the Department of Labor (DOL), or (3) obtaining a waiver 
from DOL; and the state has certified the subrecipient's compliance 
to DOL.
    K. The subrecipient has certified to the state that it will 
comply with 49 CFR part 604 in the provision of any charter service 
provided with equipment or facilities acquired with FTA assistance, 
and will also comply with applicable provisions of 49 CFR part 605 
pertaining to school transportation operations. (See Category VII, 
``Charter Service Agreement,'' and Category VIII, ``School 
Transportation Agreement.'')
    L. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a categorical exclusion and does not require further 
environmental approvals, as described in the joint FHWA/FTA 
regulations, ``Environmental Impact and Related Procedures,'' at 23 
CFR 771.117(c). The state certifies that financial assistance will 
not be provided for any project that does not qualify for a 
categorical exclusion described in 23 CFR 771.117(c) until FTA has 
made the required environmental finding. The state further certifies 
that no financial assistance will be provided for a project 
requiring a conformity finding in accordance with the Environmental 
Protection Agency's Clean Air Conformity regulations at 40 CFR parts 
51 and 93, until FTA makes the required conformity finding.
    M. The subrecipient has submitted (or will submit) all 
applicable certifications and assurances currently required, 
including but not limited to: a certification that its procurements 
and procurement system will comply with all applicable requirements 
imposed by Federal laws, executive orders, or regulations and the 
requirements of FTA Circular 4220.1D, ``Third Party Contracting 
Requirements,'' and other implementing requirements FTA may issue; a 
certification that its project provides for the participation of 
private mass transportation companies to the maximum extent 
feasible; a certification it has paid or will pay just compensation 
under state or local law to each private mass transportation company 
for its franchise or property acquired under the project; a 
nonprocurement suspension and debarment certification; a bus testing 
certification for new bus models; a pre-award and post-delivery 
review certification; and a lobbying certification for each 
application exceeding $100,000. Certifications and assurances 
applicable to and submitted by the subrecipient should be 
substantially similar to the text of parallel certifications and 
assurances text of Categories I-XI of this document, but modified as 
necessary to accommodate the subrecipient's circumstances.
    N. The state will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed.
    O. The state recognizes FTA's authority to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations.
    P. As required by 49 U.S.C. 5311(f), it will expend not less 
than fifteen percent of the Federal assistance authorized for 49 
U.S.C. 5311(f) it receives during this fiscal year to carry out a 
program to develop and support intercity bus transportation, unless 
the chief executive officer of the state or his or her duly 
authorized designee certifies that the intercity bus service needs 
of the state are being adequately met.
XV. Certifications and Assurances for the State Infrastructure Bank 
Program
    A state Applicant for a grant of Federal assistance for deposit 
in the Transit Account of the State Infrastructure Bank (SIB) within 
that state must provide the following certifications and assurances. 
The Federal Transit Administration (FTA) may not award Federal 
assistance to capitalize a SIB until the state Applicant provides 
these certifications and assurances by selecting Category XV on the 
Signature Page.
    Based on its own knowledge and, as necessary, on information 
submitted by the participating parties, the state Applicant for 
Federal assistance for the Transit Account of its state SIB program 
authorized by either section 350 of the National Highway System 
Designation Act of 1995, as amended, 23 U.S.C. 101 note, or the 
State Infrastructure Bank Pilot Program, 23 U.S.C. 181 note, 
certifies and assures that the following requirements and conditions 
will be fulfilled pertaining to any project financed with Federal 
assistance derived from the Transit Account of the SIB:
    A. The state organization serving as the Applicant (state) 
agrees and assures the agreement of the SIB and each recipient of 
Federal assistance derived from the Transit Account of the SIB 
within the state (subrecipient) that each Project financed with 
Federal assistance derived from the Transit Account will be 
administered in accordance with: (1) the requirements of section 350 
of the National Highway System Designation Act of 1995, as amended, 
23 U.S.C. 101 note, or the State Infrastructure Bank Pilot Program, 
23 U.S.C. 181 note, (2) the provisions of FTA's SIB Guidelines, and 
any amendments thereto, (3) the provisions of FHWA and FTA 
Cooperative Agreement with the state to establish the state's SIB 
program, and (4) the provisions of the FTA Grant Agreement with the 
state that obligating Federal assistance for the SIB, except that 
any provision of the Federal Transit Administration Master Agreement 
incorporated by reference into that Grant Agreement will not apply 
if it conflicts with any provision of National Highway System 
Designation Act of 1995, as amended, 23 U.S.C. 101 note, or section 
1511 of TEA-21, as amended, and FTA SIB Guidelines, the provisions 
of the Cooperative Agreement establishing the SIB program within the 
state, or the text within the FTA Grant Agreement.
    B. The state agrees to comply with and assures the compliance of 
the SIB and each subrecipient of all applicable requirements for the 
SIB program, as those requirements may be amended from time to time. 
Pursuant to subsection 1511(h)(2) of TEA-21, applicants for 
assistance authorized by the State Infrastructure Bank Pilot 
Program, 23 U.S.C. 181 note, agree that previous cooperative 
agreements entered into with States under section 350 of the 
National Highway System Designation Act of 1995, as amended, will be 
revised to comply with new requirements.
    C. The state assures that the SIB will provide Federal 
assistance from its Transit Account only for transit capital 
projects eligible under section 1511 of TEA-21, and that those 
projects will fulfill all requirements imposed on comparable capital 
transit projects financed by FTA.
    D. The state understands that the total amount of funds to be 
awarded for a Grant Agreement will not be immediately available for 
draw down. Consequently, the state assures that it will limit the 
amount of Federal assistance it draws down for deposit in the 
Transit Account of its SIB to amounts that do not exceed the 
limitations specified in the underlying Grant Agreement or the 
Approved Project Budget for that Grant Agreement.
    E. The state assures that each subrecipient has or will have the 
necessary legal, financial, and managerial capability to apply for, 
receive, and disburse Federal assistance authorized by Federal 
statute for use in the Transit Account of the SIB, including the 
ability to comply with Year 2000 (Y2K) management of funds and 
investments, and to implement, manage, operate, and maintain the 
project and project property for which such assistance will support.
    F. The state assures that the SIB will provide Federal 
assistance derived from the Transit Account only to a subrecipient 
that is either a public or private entity recognized under state law 
as having the legal capability to contract with the state to carry 
out its proposed project.
    G. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    H. The state assures that the SIB will enter into a written 
agreement with each subrecipient stating the terms and conditions of 
assistance by which the project will be undertaken and completed, 
including specific provisions that any security or debt financing 
instrument the SIB may issue will contain an express statement that 
the security or instrument does not constitute a commitment, 
guarantee, or obligation of the United States.
    I. The state assures that before the SIB enters into an 
agreement with a subrecipient under which Federal assistance within 
the Transit Account of the SIB will be disbursed to the 
subrecipient, the subrecipient's project
[[Page 60117]]
is included in the Statewide Transportation Improvement Program; all 
projects in urbanized areas recommended for approval are included in 
the annual element of the metropolitan Transportation Improvement 
Program in which the subrecipient is located; and it has obtained 
from each subrecipient of capital assistance that is also a public 
body a certification that an opportunity for a public hearing has 
been provided.
    J. The state assures that the subrecipient has, to the maximum 
extent feasible, coordinated with other transportation providers and 
users, and other interested parties within the area.
    K. The state assures that the subrecipient is in compliance with 
all applicable civil rights requirements, and has signed the 
Nondiscrimination Assurance. (See Category I.F, ``Certifications and 
Assurances Required of Each Applicant,'' of the Federal Fiscal Year 
1999 Certifications and Assurances for the Federal Transit 
Administration Programs.)
    L. The state assures that the subrecipient will comply with 
applicable requirements of U.S. DOT regulations on participation of 
disadvantaged business enterprises in U.S. DOT programs.
    M. To the extent applicable, the state will comply with all 
existing Federal requirements regarding transportation of elderly 
persons and persons with disabilities. The state assures that the 
SIB will provide to the state an Assurance of Nondiscrimination on 
the Basis of Disability from each subrecipient, as set forth in the 
Certifications and Assurances required of each Applicant for FTA 
assistance. (See Category I.G, ``Certifications and Assurances 
Required of Each Applicant,'' of the Federal Fiscal Year 1999 
Certifications and Assurances for the Federal Transit Administration 
Programs.) If non-accessible vehicles are being purchased for use by 
a public entity in demand responsive service for the general public, 
the state will obtain from the subrecipient a ``Certification of 
Equivalent Service,'' which states that the public entity's demand 
responsive service offered to persons with disabilities, including 
persons who use wheelchairs, is equivalent to the level and quality 
of service the public entity offers to persons without disabilities. 
(See Category IX, ``Certifications Required for the Direct Award of 
FTA Assistance to an Applicant for its Demand Responsive Service,'' 
of the Federal Fiscal Year 1999 Certifications and Assurances for 
the Federal Transit Administration Programs.) This ``Certification 
of Equivalent Service'' must also state that the public entity's 
demand responsive service, when viewed in its entirety, is provided 
in the most integrated setting feasible and has equivalent: (1) 
response time, (2) fares, (3) geographic service area, (4) hours and 
days of service, (5) restrictions or restraints on trip purpose, (6) 
availability of information and reservation capability, and (7) 
constraints on capacity or service availability.
    N. The state assures that before the SIB provides Federal 
assistance from the Transit Account, each subrecipient will have 
complied with the applicable transit employee protective provisions 
of 49 U.S.C. 5333(b) as required for that subrecipient and its 
project.
    O. The state assures that each subrecipient has certified or 
will certify to the state that it will comply with applicable 
provisions of 49 CFR part 604 in the provision of any charter 
service provided with equipment or facilities acquired with FTA 
assistance, and will also comply with applicable provisions of 49 
CFR part 605 pertaining to school transportation operations. (See 
Category VII, ``Charter Service Agreement,'' and Category VIII, 
``School Transportation Agreement,'' of the Federal Fiscal Year 1999 
Certifications and Assurances for the Federal Transit Administration 
Programs.)
    P. Unless otherwise noted, the state assures that each of the 
subrecipient's projects qualifies for a categorical exclusion and 
does not require further environmental approvals, as described in 
paragraph Q of this Category XVI. Unless otherwise noted, the state 
assures that each of the subrecipient's projects qualifies for a 
categorical exclusion and does not require further environmental 
approvals, as described in the joint FHWA/FTA regulations, 
``Environmental Impact and Related Procedures,'' at 23 CFR 
771.117(c). The state certifies that the SIB will not provide 
financial assistance from the Transit Account for any project that 
does not qualify for a categorical exclusion described in 23 CFR 
771.117(c) until FTA has made the required environmental finding. 
The state further certifies that the SIB will provide no financial 
assistance from its Transit Account for a project requiring a 
conformity finding in accordance with the Environmental Protection 
Agency's Clean Air Conformity regulations at 40 CFR parts 51 and 93, 
until FTA makes the required conformity finding.
    Q. The state assures that the subrecipient has submitted (or 
will submit), when applicable, all certifications and assurances 
currently required, including, but not limited to: a certification 
that its procurements and procurement system will comply with all 
applicable requirements imposed by Federal laws, executive orders, 
or regulations and the requirements of FTA Circular 4220.1D, ``Third 
Party Contracting Requirements,'' and other implementing 
requirements FTA may issue; a certification that its project 
provides for the participation of private mass transportation 
companies to the maximum extent feasible; a certification it has 
paid or will pay just compensation under state or local law to each 
private mass transportation company for its franchise or property 
acquired under the project; a nonprocurement suspension and 
debarment certification; a bus testing certification for new models; 
a pre-award and post-delivery review certification; and a lobbying 
certification for each application exceeding $100,000; assurances 
FTA requires for projects involving real property; and if required 
by FTA, an anti-drug program certification and an alcohol testing 
certification. Certifications and assurances applicable to and 
submitted by the subrecipient should be substantially similar to the 
text of parallel certifications and assurances of Categories I-XI of 
the Federal Fiscal Year 1999 Certifications and Assurances for the 
Federal Transit Administration Programs, but modified as necessary 
to accommodate the SIB and the subrecipient's circumstances.
    R. The state agrees and assures that the SIB and each 
subrecipient will agree to permit FTA, U.S. DOT, and the Comptroller 
General to conduct audits to verify compliance with the foregoing 
requirements and stipulations.
    Selection and Signature Pages follow.
BILLING CODE 4910-13-U
[GRAPHIC] [TIFF OMITTED] TN06NO98.040
[GRAPHIC] [TIFF OMITTED] TN06NO98.041

[FR Doc. 98-29684 Filed 11-5-98; 8:45 am]
BILLING CODE 4910-13-C

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