Fiscal Year 2000 Annual List of Certifications and Assurances for FTA Grants and Cooperative Agreements (Part IV)

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Number 64 58265
10-28-99

[Federal Register:  October 28, 1999  (Volume 64, Number 208)]
[Notices]               
[Page 58265-58279]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr28oc99-173]                         

[[Page 58265]]
_______________________________________________________________________
Part IV


Department of Transportation


_______________________________________________________________________

Federal Transit Administration

_______________________________________________________________________

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

[[Page 58266]]

DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
 
Fiscal Year 2000 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 2000 certifications and assurances to be used in 
connection with all Federal assistance programs FTA administers during 
Federal Fiscal Year 2000, in accordance with 49 U.S.C. 5323(n).
EFFECTIVE DATE: October 28, 1999.
FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate Regional 
Office listed below. For copies of other related documents, see the FTA 
Web Site at http://www.fta.dot.gov or contact the Office of Public 
Affairs, Federal Transit Administration (202) 366-4019.
Region 1: Boston
States served: Maine, New Hampshire, Vermont, Connecticut, Rhode 
Island, and Massachusetts
Telephone # 617-494-2055
Region 2: New York
States served: New York, New Jersey, and Virgin Islands
Telephone # 212-668-2170
Region 3: Philadelphia
States served: Pennsylvania, Delaware, Maryland, Virginia, West 
Virginia, and District of Columbia
Telephone # 215-656-7100
Region 4: Atlanta
States served: Kentucky, North Carolina, South Carolina, Georgia, 
Florida, Alabama, Mississippi, Tennessee, and Puerto Rico
Telephone # 404-562-3500
Region 5: Chicago
States served: Minnesota, Wisconsin, Michigan, Illinois, Indiana, and 
Ohio
Telephone <SUP><greek-i></SUP> 312-353-2789
Region 6: Dallas/Ft.Worth
States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico
Telephone # 817-978-0550
Region 7: Kansas City
States served: Missouri, Iowa, Kansas, and Nebraska
Telephone # 816-523-0204
Region 8: Denver
States served: Colorado, Utah, Wyoming, Montana, North Dakota, South 
Dakota,
Telephone # 303-844-3242
Region 9: San Francisco
States served: California, Hawaii, Guam, Arizona, Nevada, American 
Samoa, and the Northern Mariana Islands
Telephone # 415-744-3133
Region 10: Seattle
States served: Idaho, Oregon, Washington, and Alaska
Telephone # 206-220-7954
SUPPLEMENTARY INFORMATION: Before FTA may award a Federal grant or 
cooperative agreement, the Applicant must provide to FTA all 
certifications and assurances pertaining to itself or its project as 
required by Federal laws and regulations. The requisite certifications 
and assurances must be submitted to FTA irrespective of whether the 
project is financed under the authority of 49 U.S.C. chapter 53, or 
title 23, United States Code, or another Federal statute.
    The Applicant's Annual Certifications and Assurances for Federal 
Fiscal Year 2000 covers all projects for which the Applicant seeks 
funding during that fiscal year. An Applicant's Annual Certifications 
and Assurances applicable to a specific grant or cooperative agreement 
generally remain in effect for the life of the grant or cooperative 
agreement to closeout, or the life of the project or project property 
when a useful life or standard industry life is in effect. If in a 
later year, however, the Applicant provides certifications and 
assurances that differ from the certifications and assurances 
previously made, the later certifications and assurances will apply to 
the grant, cooperative agreement, project, or project property, except 
as FTA otherwise permits.
Background
    Since Federal Fiscal Year 1995, FTA has been consolidating the 
various certifications and assurances that may be required into one 
document. FTA intends to continue publishing this document annually in 
conjunction with its publication of the FTA annual apportionment 
Notice, which allocates funds made available by the latest U.S. 
Department of Transportation (U.S. DOT) annual appropriations act.
Federal Fiscal Year 2000 Changes
    (1) Recipients of funds apportioned under Section 5336 that serve a 
population of 200,000 or more are required by 49 U.S.C. 5307(k) to make 
one (1) percent of their funds available for transit enhancement 
activities. Those recipients are also required to submit an annual 
report listing the projects carried out during the preceding fiscal 
year with those funds. Because recipients provide that annual report as 
part of their quarterly report for the fourth quarter of Federal Fiscal 
Year 1999, we no longer request the Applicant to indicate specifically 
whether that annual report has been submitted. The preface to Category 
XII includes clarification of the reporting requirement for those 
recipients receiving Transit Enhancement funds. (2) Additional changes 
include updated reference sources, such as the reference to FTA's 
disadvantaged business enterprise regulations at 49 CFR part 26, and 
other clarifications.
Text of Federal Fiscal Year 2000 Certifications and Assurances
    A detailed compilation of the provisions of the Certifications and 
Assurances and the Signature Page is set forth in Appendix A of this 
Notice, and also appears in the Certification & Assurances Tab Page of 
the TEAM system. It is important that each Applicant be familiar with 
all fifteen certification and assurance categories contained in this 
Notice as they may be a prerequisite for receiving FTA financial 
assistance. Provisions of this Notice supersede conflicting statements 
in any circular containing a previous version of the Annual 
Certifications and Assurances. The certifications and assurances 
contained in those circulars are merely examples, and are not 
acceptable or valid for Federal Fiscal Year 2000; do not rely on the 
statements within certifications and assurances appearing in circulars.
Significance of Certifications and Assurances
    Selecting and submitting certifications and assurances to FTA, 
either through the TEAM system or submission of the Signature Page of 
Appendix A, signifies the Applicant's intent to comply with the 
requirements of those certifications and assurances to the extent they 
apply to a program for which the Applicant submits an application for 
assistance in Federal Fiscal Year 2000.
Requirement for Attorney's Signature
    FTA requires a current (Federal Fiscal Year 2000) attorney's 
affirmation of the Applicant's legal authority to certify compliance 
with the funding obligations in this document. Irrespective of whether 
the Applicant chooses to make a single selection for all fifteen
[[Page 58267]]
categories or select individual options from the fifteen categories, 
the attorney signature from a previous year on is not acceptable.
Deadline for Submission
    All Applicants for FTA capital investment program or formula 
program assistance, and current grantees with an active project 
financed with FTA capital investment program or formula program 
assistance, will be required to provide Federal Fiscal Year 2000 
Certifications and Assurances within 90 days from the date of this 
publication or with its first grant application in Fiscal Year 2000, 
whichever is first. Other Applicants are encouraged to submit their 
certifications and assurances as soon as possible.
Preference for Electronic Submission
    FTA has expanded the use of the electronic programs for Applicants, 
first introduced in 1995. Applicants should submit their applications 
as well as certifications and assurances electronically through FTA's 
Transportation Electronic Award and Management (TEAM) system. If an 
Applicant is unable to submit its certifications and assurances through 
the TEAM system, the Applicant should use the Signature Page form in 
Appendix A of this Notice.
Procedures for Electronic Submission
    The Certification & Assurances Tab Page of the TEAM system contains 
fields for selecting the certifications and assurances to be submitted. 
Within that tab page are fields for the Applicant's authorized 
representative and its attorney to enter their personal identification 
numbers (PINs), and thus ``sign'' the certifications and assurances for 
electronic transmission to FTA. In certain circumstances, the Applicant 
may enter its PIN number in lieu of an electronic signature provided by 
its Attorney, provided the Applicant has on file the Affirmation of its 
Attorney in writing dated this Federal fiscal year as set forth in 
Appendix A of this Notice. Applicants may contact the appropriate 
Regional Office listed in this Notice or the TEAM Helpdesk for more 
information.
Procedures for Paper Submission
    The following procedures apply to an Applicant that is unable to 
submit its certifications electronically. The Applicant must mark the 
certifications and assurances it is making on the Signature Page form 
in Appendix A of this Notice and submit it to FTA. The Applicant may 
signify compliance with all Categories by placing a single mark in the 
appropriate space at the top of the Signature Selection Page in 
Appendix A. In certain circumstances, the Applicant may certify in lieu 
of the signature of its Attorney, provided the Applicant has on file 
the Affirmation of its Attorney in writing dated this Federal fiscal 
year as set forth in Appendix A of this Notice. Applicants may contact 
the appropriate Regional Office listed in this Notice for more 
information.
References
    The Transportation Equity Act for the 21st Century, Pub. L. 105-
178, June 9, 1998, as amended by the TEA-21 Restoration Act 105-206, 
112 Stat. 685, July 22, 1998, 49 U.S.C. chapter 53, Title 23, United 
States Code, U.S. DOT and FTA regulations at 49 CFR, and FTA Circulars.
    Issued on October 21, 1999.
Gordon J. Linton,
Administrator.
Appendix A: Federal Fiscal Year 2000 Certifications and Assurances 
for Federal Transit Administration Assistance Programs
    In accordance with 49 U.S.C. 5323(n), the following certifications 
and assurances have been compiled for the various Federal Transit 
Administration (FTA) programs. FTA requests each Applicant to provide 
as many of the following certifications and assurances as necessary to 
cover all programs for which the Applicant intends to seek FTA 
assistance in Federal Fiscal Year 2000. A state providing 
certifications and assurances on behalf of its prospective 
subrecipients is expected to obtain sufficient documentation from those 
subrecipients to assure the validity of its certifications and 
assurances. The fifteen categories of certifications and assurances are 
listed by Roman numerals I through XV on the other side of the 
Signature Page of this document and on the certifications and 
assurances tab page of FTA's Transportation Electronic Award and 
Management (TEAM) system. Categories II through XV will apply to some, 
but not all, applicants. The designation of the categories corresponds 
to the circumstances mandating submission of specific certifications, 
assurances, or agreements. As previously stated, FTA encourages the 
Applicant to submit its certifications and assurances through the TEAM 
system.
I. Certifications and Assurances Required of Each Applicant
    Each Applicant for Federal assistance awarded by FTA must provide 
all certifications and assurances in this category I. Consequently, FTA 
may not award any Federal assistance until the Applicant provides 
assurance of compliance by selecting category ``I'' on the TEAM system 
certifications and assurances tab page or on the Signature Page at the 
end of this document.
A. Authority of Applicant and Its Representative
    The authorized representative of the Applicant and legal counsel 
who sign these certifications, assurances, and agreements affirm that 
both the Applicant and its authorized representative have adequate 
authority under state and local law and the by-laws or internal rules 
of the Applicant organization to:
    (1) Execute and file the application for Federal assistance on 
behalf of the Applicant,
    (2) Execute and file the required certifications, assurances, and 
agreements on behalf of the Applicant binding the Applicant, and
    (3) Execute grant agreements and cooperative agreements with FTA on 
behalf of the Applicant.
B. Standard Assurances
    The Applicant assures that it will comply with all applicable 
Federal statutes, regulations, executive orders, FTA circulars, and 
other Federal administrative requirements in carrying out any project 
supported by the FTA grant or cooperative agreement. The Applicant 
acknowledges that it is under a continuing obligation to comply with 
the terms and conditions of the grant agreement or cooperative 
agreement issued for its project with FTA. The Applicant understands 
that Federal laws, regulations, policies, and administrative practices 
might be modified from time to time and affect the implementation of 
the project. The Applicant agrees that the most recent Federal 
requirements will apply to the project, unless FTA issues a written 
determination otherwise.
C. Debarment, Suspension, and Other Responsibility Matters for Primary 
Covered Transactions
    As required by U.S. DOT regulations on Governmentwide Debarment and 
Suspension (Nonprocurement) at 49 CFR 29.510:
    (1) The Applicant (Primary Participant) certifies, to the best of 
its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for debarment, 
declared ineligible, or voluntarily excluded from covered transactions 
by any Federal department or agency;
[[Page 58268]]
    (b) Have not, within a three (3) year period preceding this 
certification, been convicted of or had a civil judgment rendered 
against them for commission of fraud or a criminal offense in 
connection with obtaining, attempting to obtain, or performing a public 
(Federal, state, or local) transaction or contract under a public 
transaction, violation of Federal or state antitrust statutes, or 
commission of embezzlement, theft, forgery, bribery, falsification or 
destruction of records, making false statements, or receiving stolen 
property;
    (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 
all statements in paragraphs (1) and (2) of this certification, it 
shall indicate so in its applications, or in the transmittal letter or 
message or accompanying its annual certifications and assurances, and 
provide a written explanation to FTA.
D. Drug-Free Workplace Agreement
    As required by U.S. DOT regulations, ``Drug-Free Workplace 
Requirements (Grants),'' 49 CFR part 29, Subpart F, as modified by 41 
U.S.C. 702, the Applicant agrees that it will provide a drug-free 
workplace by:
    (1) Publishing a statement notifying its employees that the 
unlawful manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in its workplace and specifying the 
actions that will be taken against its employees for violation of that 
prohibition;
    (2) Establishing an ongoing drug-free awareness program to inform 
its employees about:
    (a) The dangers of drug abuse in the workplace,
    (b) Its policy of maintaining a drug-free workplace,
    (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) of this 
certification;
    (4) Notifying each of its employees in the statement required by 
paragraph (1) of this certification that, as a condition of employment 
financed with Federal assistance provided by the grant or cooperative 
agreement, the employee will be required to:
    (a) Abide by the terms of the statement, and
    (b) Notify the employer (Applicant) in writing of any conviction 
for a violation of a criminal drug statute occurring in the workplace 
no later than five (5) calendar days after that conviction;
    (5) Notifying FTA in writing, within ten (10) calendar days after 
receiving notice required by paragraph (4)(b) above from an employee or 
otherwise receiving actual notice of that conviction. The Applicant, as 
employer of any convicted employee, must provide notice, including 
position title, to every project officer or other designee on whose 
project activity the convicted employee was working. Notice shall 
include the identification number(s) of each affected grant or 
cooperative agreement;
    (6) Taking one of the following actions within thirty (30) calendar 
days of receiving notice under paragraph (4)(b) of this agreement with 
respect to any employee who is so convicted:
    (a) Taking appropriate personnel action against that employee, up 
to and including termination, consistent with the requirements of the 
Rehabilitation Act of 1973, as amended, or
    (b) Requiring that employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for such purposes 
by a Federal, state, or local health, law enforcement, or other 
appropriate agency; and
    (7) Making a good faith effort to continue to maintain a drug-free 
workplace through implementation of paragraphs (1), (2), (3), (4), (5), 
and (6) of this agreement. The Applicant agrees to maintain a list 
identifying its headquarters location and each workplace it maintains 
in which project activities supported by FTA are conducted, and make 
that list readily accessible to FTA.
E. Intergovernmental Review Assurance
    The Applicant assures that each application for Federal assistance 
submitted to FTA has been or will be submitted, as required by each 
state, for intergovernmental review to the appropriate state and local 
agencies. Specifically, the Applicant assures that it has fulfilled or 
will fulfill the obligations imposed on FTA by U.S. DOT regulations, 
``Intergovernmental Review of Department of Transportation Programs and 
Activities,'' 49 CFR part 17.
F. Nondiscrimination Assurance
    As required by 49 U.S.C. 5332 (which prohibits discrimination on 
the basis of race, color, creed, national origin, sex, or age, and 
prohibits discrimination in employment or business opportunity), Title 
VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, and 
U.S. DOT regulations, ``Nondiscrimination in Federally-Assisted 
Programs of the Department of Transportation--Effectuation of Title VI 
of the Civil Rights Act,'' 49 CFR part 21 at 21.7, the Applicant 
assures that it will comply with all requirements of 49 CFR part 21; 
FTA Circular 4702.1, ``Title VI Program Guidelines for Federal Transit 
Administration Recipients'', and other applicable directives, so that 
no person in the United States, on the basis of race, color, national 
origin, creed, sex, or age will be excluded from participation in, be 
denied the benefits of, or otherwise be subjected to discrimination in 
any program or activity (particularly in the level and quality of 
transportation services and transportation-related benefits) for which 
the Applicant receives Federal assistance awarded by the U.S. DOT or 
FTA as follows:
    (1) The Applicant assures that each project will be conducted, 
property acquisitions will be undertaken, and project facilities will 
be operated in accordance with all applicable requirements of 49 U.S.C. 
5332 and 49 CFR part 21, and understands that this assurance extends to 
its entire facility and to facilities operated in connection with the 
project.
    (2) The Applicant assures that it will take appropriate action to 
ensure that any transferee receiving property financed with Federal 
assistance derived from FTA will comply with the applicable 
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
    (3) The Applicant assures that it will promptly take the necessary 
actions to effectuate this assurance, including notifying the public 
that complaints of discrimination in the provision of transportation-
related services or benefits may be filed with U.S. DOT or FTA. Upon 
request by U.S. DOT or FTA, the Applicant assures that it will submit
[[Page 58269]]
the required information pertaining to its compliance with these 
requirements.
    (4) The Applicant assures that it will make any changes in its 49 
U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or FTA may 
request.
    (5) As required by 49 CFR 21.7(a)(2), the Applicant will include in 
each third party contract or subagreement provisions to invoke the 
requirements of 49 U.S.C. 5332 and 49 CFR part 21, and include 
provisions to invoke those requirements in deeds and instruments 
recording the transfer of real property, structures, improvements.
G. Disadvantaged Business Enterprise Assurance
    In accordance with 49 CFR 26.13(a), the Recipient assures that it 
shall not discriminate on the basis of race, color, national origin, or 
sex in the award and performance of any third party contract, or 
subagreement supported with Federal assistance derived from the U.S. 
DOT or in the administration of its DBE program or the requirements of 
49 CFR part 26. The Recipient assures that it shall take all necessary 
and reasonable steps under 49 CFR part 26 to ensure nondiscrimination 
in the award and administration of all third party contracts and 
subagreements supported with Federal assistance derived from the U.S. 
DOT. The Recipient's DBE program, as required by 49 CFR part 26 and 
approved by the U.S. DOT, is incorporated by reference and made part of 
the grant agreement or cooperative agreement. Implementation of this 
DBE program is a legal obligation, and failure to carry out its terms 
shall be treated as a violation of the grant agreement or cooperative 
agreement. Upon notification by the Government to the Recipient of its 
failure to implement its approved DBE program, the U.S. DOT may impose 
sanctions as provided for under 49 CFR part 26 and may, in appropriate 
cases, refer the matter for enforcement under 18 U.S.C. 1001, and/or 
the Program Fraud Civil Remedies Act, 31 U.S.C. 3801 et seq.
H. Assurance of Nondiscrimination on the Basis of Disability
    As required by U.S. DOT regulations, ``Nondiscrimination on the 
Basis of Handicap in Programs and Activities Receiving or Benefiting 
from Federal Financial Assistance,'' at 49 CFR part 27, implementing 
the Rehabilitation Act of 1973, as amended, and the Americans with 
Disabilities Act of 1990, as amended, the Applicant assures that, as a 
condition to the approval or extension of any Federal assistance 
awarded by FTA to construct any facility, obtain any rolling stock or 
other equipment, undertake studies, conduct research, or to participate 
in or obtain any benefit from any program administered by FTA, no 
otherwise qualified person with a disability shall be, solely by reason 
of that disability, excluded from participation in, denied the benefits 
of, or otherwise subjected to discrimination in any program or activity 
receiving or benefiting from Federal assistance administered by the FTA 
or any entity within U.S. DOT. The Applicant assures that project 
implementation and operations so assisted will comply with all 
applicable requirements of U.S. DOT regulations implementing the 
Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, and the 
Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et 
seq. at 49 CFR parts 27, 37, and 38, and any applicable regulations and 
directives issued by other Federal departments or agencies.
I. Procurement Compliance
    The Applicant certifies that its procurements and procurement 
system will comply with all applicable requirements imposed by Federal 
laws, executive orders, or regulations and the requirements of FTA 
Circular 4220.1D, ``Third Party Contracting Requirements,'' and other 
implementing requirements FTA may issue. The Applicant certifies that 
it will include in its contracts financed in whole or in part with FTA 
assistance all clauses required by Federal laws, executive orders, or 
regulations, and will ensure that each subrecipient and each contractor 
will also include in its subagreements and contracts financed in whole 
or in part with FTA assistance all applicable clauses required by 
Federal laws, executive orders, or regulations.
J. Certifications Prescribed by the Office of Management and Budget 
(SF-424B and SF-424D)
    The Applicant certifies that it:
    (1) Has the legal authority to apply for Federal assistance and the 
institutional, managerial, and financial capability (including funds 
sufficient to pay the non-Federal share of project cost) to ensure 
proper planning, management, and completion of the project described in 
its application.
    (2) Will give FTA, the Comptroller General of the United States 
and, if appropriate, the state, through any authorized representative, 
access to and the right to examine all records, books, papers, or 
documents related to the award; and will establish a proper accounting 
system in accordance with generally accepted accounting standards or 
agency directives.
    (3) Will establish safeguard to prohibit employees from using their 
positions for a purpose that constitutes or presents the appearance of 
personal or organizational conflict of interest or personal gain.
    (4) Will initiate and complete the work within the applicable 
project time periods following receipt of FTA approval.
    (5) Will comply with all statutes relating to nondiscrimination 
including, but not limited to:
    (a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which 
prohibits discrimination on the basis of race, color, or national 
origin;
    (b) Title IX of the Education Amendments of 1972, as amended, 20 
U.S.C. 1681, 1683, and 1685 through 1687, which prohibits 
discrimination on the basis of sex;
    (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.,
[[Page 58270]]
which provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal of federally-assisted 
programs. These requirements apply to all interests in real property 
acquired for project purposes regardless of Federal participation in 
purchases. As required by U.S. DOT regulations, ``Uniform Relocation 
Assistance and Real Property Acquisition for Federal and Federally 
Assisted Programs,'' at 49 CFR 24.4, and sections 210 and 305 of the 
Uniform Relocation Act, 42 U.S.C. 4630 and 4655, the Applicant assures 
that it has the requisite authority under applicable state and local 
law and will comply or has complied with the requirements of the 
Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT 
regulations, ``Uniform Relocation Assistance and Real Property 
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR part 
24 including, but not limited to the following:
    (a) The Applicant will adequately inform each affected person of 
the benefits, policies, and procedures provided for in 49 CFR part 24;
    (b) The Applicant will provide fair and reasonable relocation 
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624; 49 
CFR part 24; and any applicable FTA procedures, to or for families, 
individuals, partnerships, corporations or associations displaced as a 
result of any project financed with FTA assistance;
    (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; and
    (f) In acquiring real property, the Applicant will be guided to the 
greatest extent practicable under state law, by the real property 
acquisition policies of 42 U.S.C. 4651 and 4652;
    (g) The Applicant will pay or reimburse property owners for 
necessary expenses as specified in 42 U.S.C. 4653 and 4654, with the 
understanding that FTA will participate in the Applicant's eligible 
costs of providing payments for those expenses as required by 42 U.S.C. 
4631;
    (h) The Applicant will execute such amendments to third party 
contracts and subagreements financed with FTA assistance and execute, 
furnish, and be bound by such additional documents as FTA may determine 
necessary to effectuate or implement the assurances provided herein; 
and
    (i) The Applicant agrees to make these assurances part of or 
incorporate them by reference into any third party contract or 
subagreement, or any amendments thereto, relating to any project 
financed by FTA involving relocation or land acquisition and provide in 
any affected document that these relocation and land acquisition 
provisions shall supersede any conflicting provisions.
    (7) To the extent applicable, will comply with provisions of the 
Hatch Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, which 
limit the political activities of state and local agencies and their 
officers and employees whose principal employment activities are 
financed in whole or part with Federal funds including a Federal loan, 
grant, or cooperative agreement, but pursuant to 23 U.S.C. 142(g), does 
not apply to a nonsupervisory employee of a transit system (or of any 
other agency or entity performing related functions) receiving FTA 
assistance to whom the Hatch Act does not otherwise apply.
    (8) To the extent applicable, will comply with the Davis-Bacon Act, 
as amended, 40 U.S.C. 276a through 276a(7), the Copeland Act, as 
amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the Contract Work Hours 
and Safety Standards Act, as amended, 40 U.S.C. 327 through 333, 
regarding labor standards for federally-assisted subagreements.
    (9) To the extent applicable, will comply with flood insurance 
purchase requirements of section 102(a) of the Flood Disaster 
Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), requiring 
recipients in a special flood hazard area to participate in the program 
and purchase flood insurance if the total cost of insurable 
construction and acquisition is $10,000 or more.
    (10) Will comply with environmental standards that may be 
prescribed to implement the following Federal laws and executive 
orders:
    (a) Institution of environmental quality control measures under the 
National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 
et seq. and Executive Order No. 11514, as amended, 42 U.S.C. 4321 note;
    (b) Notification of violating facilities pursuant to Executive 
Order No. 11738, 42 U.S.C. 7606 note;
    (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 pursuant to the requirements of the 
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451 et seq.
    (f) Conformity of Federal actions to State (Clean Air) 
Implementation Plans under section 176(c) of the Clean Air Act of 1955, 
as amended, 42 U.S.C. 7401 et seq.;
    (g) Protection of underground sources of drinking water under the 
Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et seq.;
    (h) Protection of endangered species under the Endangered Species 
Act of 1973, as amended, Endangered Species Act of 1973, as amended, 16 
U.S.C. 1531 et seq.; and
    (i) Environmental protections for Federal transit programs, 
including, but not limited to protections for a park, recreation area, 
or wildlife or waterfowl refuge of national, state, or local 
significance or any land from a historic site of national, state, or 
local significance used in a transit project as required by 49 U.S.C. 
303.
    (11) Will comply with the Wild and Scenic Rivers Act of 1968, as 
amended, 16 U.S.C. 1271 et seq. relating to protecting components of 
the national wild and scenic rivers systems.
    (12) Will assist FTA in assuring compliance with section 106 of the 
National Historic Preservation Act of 1966, as amended, 16 U.S.C. 470f, 
Executive Order No. 11593 (identification and protection of historic 
properties), 16 U.S.C. 470 note, and the Archaeological and Historic 
Preservation Act of 1974, as amended, 16 U.S.C. 469a-1 et seq.
    (13) Will comply with the Lead-Based Paint Poisoning Prevention 
Act, 42 U.S.C. 4801, which prohibits the use of lead-based paint in 
construction or rehabilitation of residence structures.
    (14) Will not dispose of, modify the use of, or change the terms of 
the real property title, or other interest in the site and facilities 
on which a construction project supported with FTA assistance takes 
place without permission and instructions from the awarding agency.
[[Page 58271]]
    (15) Will record the Federal interest in the title of real property 
in accordance with FTA directives and will include a covenant in the 
title of real property acquired in whole or in part with Federal 
assistance funds to assure nondiscrimination during the useful life of 
the project.
    (16) Will comply with FTA requirements concerning the drafting, 
review, and approval of construction plans and specifications of any 
construction project supported with FTA assistance. As required by U.S. 
DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before accepting 
delivery of any building financed with FTA assistance, it will obtain a 
certificate of compliance with the seismic design and construction 
requirements of 49 CFR part 41.
    (17) Will provide and maintain competent and adequate engineering 
supervision at the construction site of any project supported with FTA 
assistance to ensure that the complete work conforms with the approved 
plans and specifications and will furnish progress reports and such 
other information as may be required by FTA or the State.
    (18) Will comply with the National Research Act, Pub. L. 93-348, 
July 12, 1974, as amended, regarding the protection of human subjects 
involved in research, development, and related activities supported by 
Federal assistance.
    (19) Will comply with the Laboratory Animal Welfare Act of 1966, as 
amended, 7 U.S.C. 2131 et seq. pertaining to the care, handling, and 
treatment of warm blooded animals held for research, teaching, or other 
activities supported by FTA assistance.
    (20) Will have performed the financial and compliance audits 
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et 
seq. and OMB Circular No. A-133, ``Audits of States, Local Governments, 
and Non-Profit Organizations and Department of Transportation 
provisions of OMB A-133 Compliance Supplement, April, 1999.''
    (21) Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations, and policies governing the 
project.
II. Lobbying Certification for an Application Exceeding $100,000
    An Applicant that submits, or intends to submit this fiscal year, 
an application for Federal assistance exceeding $100,000 must provide 
the following certification. Consequently, FTA may not provide Federal 
assistance for an application exceeding $100,000 until the Applicant 
provides this certification by selecting category ``II'' on the TEAM 
system certifications and assurances tab page or on the Signature Page 
at the end of this document.
    A. As required by U.S. DOT regulations, ``New Restrictions on 
Lobbying,'' at 49 CFR 20.110, the Applicant's authorized representative 
certifies to the best of his or her knowledge and belief that for each 
application for a Federal assistance exceeding $100,000:
    (1) No Federal appropriated funds have been or will be paid, by or 
on behalf of the Applicant, to any person for influencing or attempting 
to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress pertaining to the award of any Federal assistance, 
or the extension, continuation, renewal, amendment, or modification of 
any Federal assistance agreement; and
    (2) If any funds other than Federal appropriated funds have been or 
will be paid to any person for influencing or attempting to influence 
an officer or employee of any agency, a Member of Congress, an officer 
or employee of Congress, or an employee of a Member of Congress in 
connection with any application to FTA for Federal assistance, the 
Applicant assures that it will complete and submit Standard Form-LLL, 
``Disclosure Form to Report Lobbying,'' including the information 
required by the form's instructions, which may be amended to omit such 
information as permitted by 31 U.S.C. 1352.
    B. The Applicant understands that this certification is a material 
representation of fact upon which reliance is placed and that 
submission of this certification is a prerequisite for providing 
Federal assistance for a transaction covered by 31 U.S.C. 1352. The 
Applicant also understands that any person who fails to file a required 
certification shall be subject to a civil penalty of not less than 
$10,000 and not more than $100,000 for each such failure.
III. Certification Pertaining to the Effects of the Project on Private 
Mass Transportation Companies
    An Applicant that is a state or local government that seeks Federal 
assistance authorized by 49 U.S.C. chapter 53 to acquire property of a 
private mass transportation company or an interest in property of a 
private mass transportation company or operate mass transportation 
equipment or a facility in competition with or in addition to 
transportation service provided by an existing mass transportation 
company must provide the following certification. Consequently, FTA may 
not award Federal assistance for that project until the Applicant 
provides this certification by selecting category ``III'' on the TEAM 
system certifications and assurances tab page or on the Signature Page 
at the end of this document.
    As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that 
before it acquires property or an interest in property of a private 
mass transportation company or operates mass transportation equipment 
or a facility in competition with or in addition to transportation 
service provided by an existing mass transportation company it has or 
will have:
    A. Found that the assistance is essential to carrying out a program 
of projects as determined by the plans and programs of the metropolitan 
planning organization;
    B. Provided for the participation of private mass transportation 
companies to the maximum extent feasible;
    C. Paid just compensation under State or local law to a private 
mass transportation company for its franchises or property acquired 
and;
    D. Acknowledged that the assistance falls within the labor 
standards compliance requirements of 49 U.S.C. 5333(a) and 5333(b).
IV. Public Hearing Certification for a Capital Project That Will 
Substantially Affect a Community or Its Transit Service
    An Applicant seeking Federal assistance under 49 U.S.C. chapter 53 
for a capital project that will substantially affect a community or the 
community's transit service must provide the following certification. 
Consequently, FTA may not award Federal assistance for that project 
until the Applicant provides this certification by selecting category 
``IV'' on the TEAM system certifications and assurances tab page or on 
the Signature Page at the end of this document.
    As required by 49 U.S.C. 5323(b), the Applicant certifies that 
it has, or before submitting its application, will have:
    A. Provided an adequate opportunity for a public hearing with 
adequate prior notice of the proposed project published in a newspaper 
of general circulation in the geographic area to be served;
    B. Held that hearing and provided FTA a transcript or detailed 
report summarizing the issues and responses, unless no one with a 
significant economic, social, or environmental interest requests a 
hearing;
[[Page 58272]]
    C. Considered the economic, social, and environmental effects of 
the project; and
    D. Determined that the project is consistent with official plans 
for developing the urban area.
V. Certification of Pre-Award and Post-Delivery Reviews Required for 
Acquisition of Rolling Stock
    An Applicant seeking FTA assistance to acquire rolling stock must 
provide the following certification. Consequently, FTA may not provide 
assistance to acquire rolling stock until the Applicant provides this 
certification by selecting category ``V'' on the TEAM system 
certifications and assurances tab page or on the Signature Page at the 
end of this document.
    As required by 49 U.S.C. 5323(m) and implementing FTA regulations 
at 49 CFR 663.7, the Applicant certifies that it will comply with the 
requirements of 49 CFR part 663 when procuring revenue service rolling 
stock. Among other things, the Applicant agrees to conduct or cause to 
be conducted the requisite pre-award and post-delivery reviews, and 
maintain on file the certifications required by 49 CFR part 663, 
subparts B, C, and D.
VI. Bus Testing Certification Required for New Bus Acquisitions
    An Applicant seeking FTA assistance to acquire new buses must 
provide the following certification. Consequently, FTA may not provide 
assistance for the acquisition of new buses until the Applicant 
provides this certification by selecting category ``VI'' on the TEAM 
system certifications and assurances tab page or on the Signature Page 
at the end of this document.
    As required by FTA regulations, ``Bus Testing,'' at 49 CFR 665.7, 
the Applicant certifies that before expending any Federal assistance to 
acquire the first bus of any new bus model or any bus model with a new 
major change in configuration or components or authorizing final 
acceptance of that bus (as described in 49 CFR part 665):
    A. The model of the bus will have been tested at a bus testing 
facility approved by FTA; and
    B. It will have received a copy of the test report prepared on the 
bus model.
VII. Charter Service Agreement
    An Applicant seeking FTA assistance to acquire or operate 
transportation equipment or facilities acquired with Federal assistance 
authorized by 49 U.S.C. chapter 53 or Title 23, U.S.C. (except 49 
U.S.C. 5310) must enter into the following charter service agreement. 
Consequently, FTA may not provide assistance for those projects until 
the Applicant enters into this agreement by selecting category ``VII'' 
on the TEAM system certifications and assurances tab page or on the 
Signature Page at the end of this document.
    A. As required by 49 U.S.C. 5323(d) and FTA regulations, ``Charter 
Service,'' at 49 CFR 604.7, the Applicant agrees that it and its 
recipients will:
    (1) Provide charter service that uses equipment or facilities 
acquired with Federal assistance authorized for 49 U.S.C. 5307, 5309, 
or 5311 or Title 23 U.S.C., only to the extent that there are no 
private charter service operators willing and able to provide the 
charter service that it or its recipients desire to provide, unless one 
or more of the exceptions in 49 CFR 604.9 applies, and
    (2) Comply with the provisions of 49 CFR part 604 before they 
provide any charter service using equipment or facilities acquired with 
Federal assistance authorized for the above statutes.
    B. The Applicant understands that the requirements of 49 CFR part 
604 will apply to any charter service provided, the definitions in 49 
CFR part 604 apply to this agreement, and violation of this agreement 
may require corrective measures and the imposition of penalties, 
including debarment from the receipt of further Federal assistance for 
transportation.
VIII. School Transportation Agreement
    An Applicant seeking FTA assistance to acquire or operate 
transportation facilities and equipment acquired with Federal 
assistance authorized by 49 U.S.C. chapter 53 or Title 23, U.S.C. must 
agree as follows. Consequently, FTA may not provide assistance for 
transportation facilities until the Applicant enters into this 
Agreement by selecting category ``VIII'' on the TEAM system 
certifications and assurances tab page or on the Signature Page at the 
end of this document.
    A. As required by 49 U.S.C. 5323(f) and FTA regulations, ``School 
Bus Operations,'' at 49 CFR 605.14, the Applicant agrees that it and 
all its recipients will:
    (1) Engage in school transportation operations in competition with 
private school transportation operators only to the extent permitted by 
49 U.S.C. 5323(f), and implementing regulations, and
    (2) Comply with the requirements of 49 CFR part 605 before 
providing any school transportation using equipment or facilities 
acquired with Federal assistance awarded by FTA and authorized by 49 
U.S.C. chapter 53 or Title 23 U.S.C. for transportation projects.
    B. The Applicant understands that the requirements of 49 CFR part 
605 will apply to any school transportation it provides, the 
definitions of 49 CFR part 605 apply to this school transportation 
agreement, and a violation of this agreement may require corrective 
measures and the imposition of penalties, including debarment from the 
receipt of further Federal assistance for transportation.
IX. Certification Required for the Direct Award of FTA Assistance to an 
Applicant for Its Demand Responsive Service
    An Applicant seeking direct Federal assistance to support demand 
responsive service must provide the following certification. 
Consequently, FTA may not award Federal assistance directly to an 
Applicant to support its demand responsive service until the Applicant 
provides this certification by selecting category ``IX'' on the TEAM 
system certifications and assurances tab page or on the Signature Page 
at the end of this document.
    As required by U.S. DOT regulations, ``Transportation Services for 
Individuals with Disabilities (ADA),'' at 49 CFR 37.77, the Applicant 
certifies that its demand responsive service offered to persons with 
disabilities, including persons who use wheelchairs, is equivalent to 
the level and quality of service offered to persons without 
disabilities. When viewed in its entirety, the Applicant's service for 
persons with disabilities is provided in the most integrated setting 
feasible and is equivalent with respect to: (1) Response time, (2) 
fares, (3) geographic service area, (4) hours and days of service, (5) 
restrictions on trip purpose, (6) availability of information and 
reservation capability, and (7) constraints on capacity or service 
availability.
X. Substance Abuse Certifications
    If the Applicant is required by Federal regulations to provide the 
following substance abuse certifications, FTA may not provide Federal 
assistance to that Applicant until it provides these certifications by 
selecting category ``X'' on the TEAM system certifications and 
assurances tab page or on the Signature Page at the end of this 
document.
A. Alcohol Testing Certification
    As required by FTA regulations, ``Prevention of Alcohol Misuse in 
Transit Operations,'' at 49 CFR 654.83, the Applicant certifies that it 
has established and implemented an alcohol
[[Page 58273]]
misuse prevention program in compliance with 49 CFR part 654; and if 
the Applicant has employees regulated by the U.S. Federal Railroad 
Administration (U.S. FRA), the Applicant also certifies that it has for 
those employees an alcohol misuse prevention program in compliance with 
U.S. FRA regulations, ``Control of Alcohol and Drug Use,'' 49 CFR part 
219.
B. Anti-Drug Program Certification
    As required by FTA regulations ``Prevention of Prohibited Drug Use 
in Transit Operations,'' at 49 CFR 653.83, the Applicant certifies that 
it has established and implemented an anti-drug program and conducted 
employee training in compliance with 49 CFR part 653; and if the 
Applicant has employees regulated by the U.S. Federal Railroad 
Administration (U.S. FRA), the Applicant also certifies that it has for 
those employees an anti-drug program in compliance with U.S. FRA 
regulations, ``Control of Alcohol and Drug Use,'' 49 CFR part 219.
XI. Certification Required for Interest or Other Financing Costs
    The Applicant must provide the following certification in 
connection with requests for reimbursements of interest or other 
financing costs of capital projects. FTA may not provide assistance to 
support those costs until the Applicant provides this certification by 
selecting category ``XI'' on the TEAM system certifications and 
assurances tab page or on the Signature Page at the end of this 
document.
    As required by 49 U.S.C. 5307(g), 49 U.S.C. 5309(g)(2)(B), 49 
U.S.C. 5309(g)(3)(A), and 49 U.S.C. 5309(n), the Applicant certifies 
that it will not seek reimbursement for interest and other financing 
costs unless its records demonstrate it has used reasonable diligence 
in seeking the most favorable financing terms underlying those costs, 
to the extent FTA might require.
XII. Certifications and Assurances for the Urbanized Area Formula 
Program and the Job Access and Reverse Commute Program
    Each Applicant to FTA for Urbanized Area Formula Program assistance 
authorized for 49 U.S.C. 5307 and each Applicant for Job Access and 
Reverse Commute Program assistance authorized for section 3037 of the 
Transportation Equity Act for the 21st Century, 49 U.S.C. 5309 note, 
must provide the following certifications in connection with its 
application. Consequently, FTA may not award Urbanized Area Formula 
Program assistance or Job Access and Reverse Commute Program assistance 
to the Applicant until the Applicant provides these certifications and 
assurances by selecting category ``XII'' on the TEAM system 
certifications and assurances tab page or on the Signature Page at the 
end of this document.
    In addition, each Applicant that has received Transit Enhancement 
funding authorized by 49 U.S.C. 5307(k)(1) must include within its 
quarterly report for the fourth quarter of the preceding Federal fiscal 
year a list of the projects carried out during the preceding Federal 
fiscal year with those Transit Enhancement funds. That list constitutes 
the report of transit projects carried out during the preceding fiscal 
year to be submitted as part of the Applicant's annual certifications 
and assurances, as required by 49 U.S.C. 5307(k)(3), and is thus 
incorporated by reference and made part of that Applicant's annual 
certifications and assurances. FTA may not award Urbanized Area Formula 
Program assistance to any Applicant that has received Transit 
Enhancement funding authorized by 49 U.S.C. 5307(k)(1), unless that 
Applicant's quarterly report for the fourth quarter of the preceding 
Federal fiscal year has been submitted to FTA and that report contains 
the requisite list.
A. Certifications Required by Statute
    (1) As required by 49 U.S.C. 5307(d)(1)(A) through (J), the 
Applicant certifies that:
    (a) It has or will have the legal, financial, and technical 
capacity to carry out the proposed program of projects;
    (b) It has or will have satisfactory continuing control over the 
use of the equipment and facilities;
    (c) It will adequately maintain the equipment and facilities;
    (d) It will ensure that elderly or handicapped persons, or any 
person presenting a Medicare card issued to himself or herself pursuant 
to title II or title XVIII of the Social Security Act (42 U.S.C. 401 et 
seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation 
during non-peak hours using or involving a facility or equipment of a 
project financed with Federal assistance authorized for 49 U.S.C. 5307 
or for section 3037 of the Transportation Equity Act for the 21st 
Century (TEA-21), 49 U.S.C. 5309 note, not more than fifty (50) percent 
of the peak hour fare;
    (e) In carrying out a procurement financed with Federal assistance 
authorized for the Urbanized Area Formula Program at 49 U.S.C. 5307 or 
section 3037 of TEA-21, 49 U.S.C. 5309 note, it will use competitive 
procurement (as defined or approved by the Secretary), it will not use 
a procurement using exclusionary or discriminatory specifications, and 
it will comply with applicable Buy America laws in carrying out a 
procurement;
    (f) It has complied or will comply with the requirements of 49 
U.S.C. 5307(c). Specifically, it has made available or before 
submitting its application it will make available: (1) To the public 
information on amounts available for the Urbanized Area Formula Program 
at 49 U.S.C. 5307 and, if applicable, the Job Access and Reverse 
Commute Grant Program, 49 U.S.C. 5309 note, and the program of projects 
it proposes to undertake with those funds; (2) in consultation with 
interested parties including private transportation providers, develop 
a proposed program of projects for activities to be financed; (3) 
publish a proposed program of projects in a way that affected citizens, 
private transportation providers, and local elected officials have the 
opportunity to examine the proposed program and submit comments on the 
proposed program and the performance of the Applicant; (4) provide an 
opportunity for a public hearing to obtain the views of citizens on the 
proposed program of projects; and (5) ensure that the proposed program 
of projects provides for the coordination of transportation services 
assisted under 49 U.S.C. 5336 with transportation services assisted by 
another Federal Government source; (6) consider comments and views 
received, especially those of private transportation providers, in 
preparing the final program of projects; and (7) make the final program 
of projects available to the public;
    (g) It has or will have available and will provide the amount of 
funds required by 49 U.S.C. 5307(e) and applicable FTA policy 
(specifying Federal and local shares of project costs);
    (h) It will comply with: 49 U.S.C. 5301(a) (requirements for 
transportation systems that maximize mobility and minimize fuel 
consumption and air pollution); 49 U.S.C. 5301(d) (requirements for 
transportation of the elderly and persons with disabilities); 49 U.S.C. 
5303 through 5306 (planning requirements); and 49 U.S.C. 5310 (a) 
through (d) (programs for the elderly and persons with disabilities);
    (i) It has a locally developed process to solicit and consider 
public comment before raising fares or implementing a major reduction 
of transportation; and
    (j) As required by required by 49 U.S.C. 5307(d)(1)(J), unless it 
has
[[Page 58274]]
determined that it is not necessary to expend one (1) percent of the 
amount of Federal assistance it receives for this fiscal year 
apportioned in accordance with 49 U.S.C. 5336 for transit security 
projects, it will expend at least one (1) percent of the amount of that 
assistance for transit security projects, including increased lighting 
in or adjacent to a transit system (including bus stops, subway 
stations, parking lots, and garages), increased camera surveillance of 
an area in or adjacent to that system, emergency telephone line or 
lines to contact law enforcement or security personnel in an area in or 
adjacent to that system, and any other project intended to increase the 
security and safety of an existing or planned transit system.
    (2) As required by 49 U.S.C. 5307(k)(3), if it has received Transit 
Enhancement funds authorized by 49 U.S.C. 5307(k)(1), its quarterly 
report for the fourth quarter of the preceding Federal fiscal year 
includes a list of the projects implemented in the preceding Federal 
fiscal year using Transit Enhancement funds, and made part of its 
certifications and assurances.
B. Certification Required for Capital Leasing
    As required by FTA regulations, ``Capital Leases,'' at 49 CFR 
639.15(b)(1) and 639.21, to the extent the Applicant uses Federal 
assistance authorized for 49 U.S.C. 5307 or section 3037 of TEA-21, 49 
U.S.C. 5309 note, to acquire any capital asset by lease, the Applicant 
certifies that:
    (1) It will not use Federal assistance authorized for 49 U.S.C. 
5307 or section 3037 of TEA-21, 49 U.S.C. 5309 note, to finance the 
cost of leasing any capital asset until it performs calculations 
demonstrating that leasing the capital asset would be more cost-
effective than purchasing or constructing a similar asset;
    (2) It will complete these calculations before entering into the 
lease or before receiving a capital grant for the asset, whichever is 
later; and
    (3) It will not enter into a capital lease for which FTA can only 
provide incremental funding unless it has the financial capacity to 
meet its future obligations under the lease in the event Federal 
assistance is not available for capital projects in subsequent years.
C. Certification Required for Sole Source Purchase of Associated 
Capital Maintenance Item
    As required by 49 U.S.C. 5325(c), to the extent that the Applicant 
procures an associated capital maintenance item under the authority of 
49 U.S.C. 5307(b)(1), the Applicant certifies that it will use 
competition to procure an associated capital maintenance item unless 
the manufacturer or supplier of that item is the only source for the 
item and the price of the item is no more than the price similar 
customers pay for the item, and maintain sufficient records pertaining 
to each such procurement on file easily retrievable for FTA inspection.
XIII. Certifications and Assurances for the Elderly and Persons With 
Disabilities Program
    An Applicant that intends to administer, on behalf of the state, 
the Elderly and Persons with Disabilities Program must provide the 
following certifications and assurances. Consequently, FTA may not 
award assistance for the Elderly and Persons with Disabilities Program 
until the Applicant provides these certifications and assurances by 
selecting category ``XIII'' on the TEAM system certifications and 
assurances tab page or on the Signature Page at the end of this 
document.
    Based on its own knowledge and, as necessary, on information 
submitted by the subrecipient, the Applicant administering on behalf of 
the state the Elderly and Persons with Disabilities Program authorized 
by 49 U.S.C. 5310 certifies and assures that the following requirements 
and conditions will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive, and disburse Federal 
assistance authorized for 49 U.S.C. 5310; and to implement and manage 
the project.
    B. The state assures that each subrecipient either is recognized 
under state law as a private nonprofit organization with the legal 
capability to contract with the state to carry out the proposed 
project, or is a public body that has met the statutory requirements to 
receive Federal assistance authorized for 49 U.S.C. 5310.
    C. The subrecipient's application for 49 U.S.C. 5310 assistance 
contains information from which the state concludes that the transit 
service provided or offered to be provided by existing public or 
private transit operators is unavailable, insufficient, or 
inappropriate to meet the special needs of the elderly and persons with 
disabilities.
    D. The state assures that sufficient non-Federal funds have been or 
will be committed to provide the required local share.
    E. The subrecipient has, or will have by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
purchased with Federal assistance awarded for this project.
    F. The state assures that before issuing the state's formal 
approval of a project, its Elderly and Persons with Disabilities 
Formula Program is included in the Statewide Transportation Improvement 
Program as required by 23 U.S.C. 135; all projects in urbanized areas 
recommended for approval are included in the annual element of the 
metropolitan Transportation Improvement Program in which the 
subrecipient is located; and any public body that is a prospective 
subrecipient of capital assistance has provided an opportunity for a 
public hearing.
    G. The subrecipient has, to the maximum extent feasible, 
coordinated with other transportation providers and users, including 
social service agencies authorized to purchase transit service.
    H. The subrecipient is in compliance with all applicable civil 
rights requirements, and has provided the Nondiscrimination Assurance. 
(Category I.F, ``Certifications and Assurances Required of Each 
Applicant'').
    I. The subrecipient will comply with applicable requirements of 
U.S. DOT regulations on participation of disadvantaged business 
enterprises in U.S. DOT programs and has provided the Disadvantaged 
Business Enterprise Assurance (Category I.G, ``Certifications and 
Assurances Required of Each Applicant'').
    J. The state will comply with all existing Federal requirements 
regarding transportation of elderly persons and persons with 
disabilities. Each subrecipient has provided to the state an Assurance 
of Nondiscrimination on the Basis of Disability, (Category I.H, 
``Certifications and Assurances Required of Each Applicant''). If non-
accessible vehicles are being purchased for use by a public entity in 
demand responsive service for the general public, the state will obtain 
from the subrecipient a ``Certification of Equivalent Service,'' which 
states that when viewed in its entirety the public entity's demand 
responsive service offered to persons with disabilities, including 
persons who use wheelchairs, meets the standard of equivalent service 
set forth in 40 CFR 37.77(c).
    K. The subrecipient has certified to the state that it will comply 
with the applicable provisions of 49 CFR 605 pertaining to school 
transportation operations (Category VIII, ``School Transportation 
Agreement'').
    L. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a
[[Page 58275]]
categorical exclusion and does not require further environmental 
approvals, as described in the joint FHWA/FTA regulations, 
``Environmental Impact and Related Procedures,'' at 23 CFR 771.117(c). 
The state certifies that financial assistance will not be provided for 
any project that does not qualify for a categorical exclusion described 
in 23 CFR 771.117(c) until FTA has made the required environmental 
finding. The state further certifies that no financial assistance will 
be provided for a project requiring a conformity finding in accordance 
with the Environmental Protection Agency's Clean Air Conformity 
regulations at 40 CFR parts 51 and 93, until FTA makes the required 
conformity finding.
    M. The subrecipient has submitted (or will submit) all applicable 
certifications and assurances currently required, including, but not 
limited to: a certification that its procurements and procurement 
system will comply with all applicable requirements imposed by Federal 
laws, executive orders, or regulations and the requirements of FTA 
Circular 4220.1D, ``Third Party Contracting Requirements,'' and other 
implementing requirements FTA may issue; a certification that its 
project provides for the participation of private mass transportation 
companies to the maximum extent feasible; a certification it has paid 
or will pay just compensation under state or local law to each private 
mass transportation company for its franchise or property acquired 
under the project; a nonprocurement suspension and debarment 
certification; a bus testing certification for new models; a pre-award 
and post-delivery review certification; and a lobbying certification 
for each application exceeding $100,000. Certifications and assurances 
applicable to and submitted by the subrecipient should be substantially 
similar to the text of parallel certifications and assurances text of 
Categories I through XI of this document, but modified as necessary to 
accommodate the subrecipient's circumstances.
    N. The state will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed.
    O. The state recognizes FTA's authority to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations.
XIV. Certifications and Assurances for the Nonurbanized Area Formula 
Program
    An Applicant that intends to administer, on behalf of the state, 
the Nonurbanized Area Formula Program must provide the following 
certifications and assurances. Consequently, FTA may not award 
Nonurbanized Area Formula Program assistance to the Applicant until the 
Applicant provides these certifications and assurances by selecting 
category ``XIV'' on the TEAM system certifications and assurances tab 
page or on the Signature Page at the end of this document.
    Based on its own knowledge and, as necessary, on information 
submitted by the subrecipient, the Applicant administering on behalf of 
the state the Nonurbanized Area Formula Program authorized by 49 U.S.C. 
5311 certifies and assures that the following requirements and 
conditions will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive and disburse Federal 
assistance authorized for 49 U.S.C. 5311; and to implement and manage 
the project.
    B. The state assures that sufficient non-Federal funds have been or 
will be committed to provide the required local share.
    C. The subrecipient has, or will have by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
purchased with Federal assistance authorized for this project.
    D. The state assures that before issuing the state's formal 
approval of the project, its Nonurbanized Area Formula Program is 
included in the Statewide Transportation Improvement Program as 
required by 23 U.S.C. 135; to the extent applicable, projects are 
included in a metropolitan Transportation Improvement Program.
    E. The state has provided for a fair and equitable distribution of 
Federal assistance authorized for 49 U.S.C. 5311 within the state, 
including Indian reservations within the state.
    F. The subrecipient has, to the maximum extent feasible, 
coordinated with other transportation providers and users, including 
social service agencies authorized to purchase transit service.
    G. The subrecipient is in compliance with all applicable civil 
rights requirements, and has provided the Nondiscrimination Assurance. 
(Category I.F, ``Certifications and Assurances Required of Each 
Applicant'').
    H. The subrecipient will comply with applicable requirements of 
U.S. DOT regulations on participation of disadvantaged business 
enterprise in U.S. DOT programs and has provided the Disadvantaged 
Business Enterprise Assurance (Category I.G, ``Certifications and 
Assurances Required of Each Applicant'').
    I. The state will comply with all existing Federal requirements 
regarding transportation of elderly persons and persons with 
disabilities. Each subrecipient has provided to the state an Assurance 
of Nondiscrimination on the Basis of Disability, (Category I.H, 
``Certifications and Assurances Required of Each Applicant''). If non-
accessible vehicles are being purchased for use by a public entity in 
demand responsive service for the general public, the state will obtain 
from the subrecipient a ``Certification of Equivalent Service,'' which 
states that when viewed in its entirety the public entity's demand 
responsive service offered to persons with disabilities, including 
persons who use wheelchairs, meets the standard of equivalent service 
set forth in 40 CFR 37.77(c).
    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 (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
[[Page 58276]]
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 through XI of this document, but 
modified as necessary to accommodate the subrecipient's circumstances.
    N. The state will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed.
    O. The state recognizes FTA's authority to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations.
    P. As required by 49 U.S.C. 5311(f), it will expend not less than 
fifteen (15) 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 State Infrastructure Bank (SIB) must provide the following 
certifications and assurances. Consequently, 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 TEAM 
system certifications and assurances tab page or on the Signature Page 
at the end of this document.
    Based on its own knowledge and, as necessary, on information 
submitted by the participating parties, the state serving as the 
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 the:
    (1) Applicable provisions of section 350 of the National Highway 
System Designation Act of 1995, as amended, 23 U.S.C. 101 note, or of 
the State Infrastructure Bank Pilot Program, 23 U.S.C. 181 note, and 
any further amendments thereto,
    (2) Provisions of FTA's NHS Guidelines, and any amendments thereto,
    (3) Terms and conditions of Department of Labor Certification(s) of 
Transit Employee Protective Arrangements that are required by Federal 
law or regulations,
    (4) Provisions of FHWA and FTA cooperative agreement with the state 
to establish the state's SIB program, and
    (5) 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.
[[Page 58277]]
    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 SIB 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 SIB is in compliance with all 
applicable civil rights requirements (Category I.F, ``Certifications 
and Assurances Required of Each Applicant'').
    L. The state assures that the SIB will comply with applicable 
requirements of U.S. DOT regulations on participation of disadvantaged 
business enterprises in U.S. DOT programs and has provided the 
Disadvantaged Business Enterprise Assurance (Category I.G, 
``Certifications and Assurances Required of Each Applicant'').
    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 (Category I.H, 
``Certifications and Assurances Required of Each Applicant''). If non-
accessible vehicles are being purchased for use by a public entity in 
demand responsive service for the general public, the state will obtain 
from the subrecipient a ``Certification of Equivalent Service,'' which 
states that 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 (Category IX, ``Certifications Required 
for the Direct Award of FTA Assistance to an Applicant for its Demand 
Responsive Service,''). 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 (Category VII, ``Charter Service 
Agreement,'' and Category VIII, ``School Transportation Agreement'').
    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 XV. 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 through 
XI of this document, 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 4910-57-P
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[FR Doc. 99-27925 Filed 10-27-99; 8:45 am]
BILLING CODE 4910-57-C

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