Number 67 6517110-23-02
[Federal Register: October 23, 2002 (Volume 67, Number 205)]
[Notices]
[Page 65171-65183]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23oc02-154]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Fiscal Year 2003 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: Appendix A of this Notice contains the Federal Transit
Administration's (FTA) comprehensive compilation of the Federal Fiscal
Year 2003 certifications and assurances to be used in connection with
all Federal assistance programs FTA administers during Federal Fiscal
Year 2003, in compliance with 49 U.S.C. 5323(n).
EFFECTIVE DATE: These certifications and assurances became effective on
October 1, 2002, the first day of fiscal year 2003.
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 FTA's Office of Public
Affairs at (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 the Virgin Islands
Telephone (212) 668-2170
[[Page 65172]]
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, Georgia, North Carolina, South Carolina,
Florida, Alabama, Mississippi, Tennessee, and Puerto Rico
Telephone (404) 562-3500
Region 5: Chicago
States served: Minnesota, Wisconsin, Michigan, Illinois, Indiana, and
Ohio
Telephone (312) 353-2789
Region 6: Dallas/Ft. Worth
States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico
Telephone (817) 978-0550
Region 7: Kansas City
States served: Missouri, Iowa, Kansas, and Nebraska
Telephone (816) 329-3920
Region 8: Denver
States served: Colorado, Utah, Wyoming, Montana, North Dakota, and
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 submit all certifications and
assurances pertaining to itself and its project as required by Federal
laws and regulations. These 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 2003 cover all projects for which the Applicant seeks
funding during Federal Fiscal Year 2003 through the next fiscal year
until FTA issues annual Certifications and Assurances for Federal
Fiscal Year 2004. An Applicant's Annual Certifications and Assurances
applicable to a specific grant or cooperative agreement generally
remain in effect for either the life of the grant or cooperative
agreement to closeout or the life of the project or project property
when a useful life or industry standard life is in effect, whichever
occurs later; except, if the Applicant provides certifications and
assurances in a later year that differ from certifications and
assurances previously provided, the later certifications and assurances
will apply to the grant, cooperative agreement, project, or project
property, unless FTA permits otherwise.
Background: Since Federal Fiscal Year 1995, FTA has been
consolidating the various certifications and assurances that may be
required into a single document for publication in the Federal
Register. FTA intends to continue publishing this document annually in
conjunction with its publication of the FTA annual apportionment
Notice, which sets forth the allocations of funds made available by the
latest U.S. Department of Transportation annual appropriations act.
Federal Fiscal Year 2003 Changes: Changes are as follows:
(1) In Certification 1(J)(18), a reference to the latest Office of
Management and Budget (OMB) A-133 Compliance Supplement for the U.S.
Department of Transportation, dated March 2002, has been substituted
for the previous OMB A-133 Compliance Supplement.
(2) The titles of several categories of certifications and
assurances have been shortened for consistency with the titles of those
categories shown in TEAM-Web, FTA's electronic award and management
system and other minor editorials changes have been made.
Text of Federal Fiscal Year 2003 Certifications and Assurances: The
text of the certifications and assurances in Appendix A of this Notice
also appears in TEAM-Web (http://ftateamweb.fta.dot.gov/fta-
flash2b.html) in the ``Recipients'' option at the ``Cert's &
Assurances'' tab of ``View/Modify Recipients.'' It is important that
each Applicant be familiar with all sixteen (16) certification and
assurance categories and their requirements, as they may be a
prerequisite for receiving FTA financial assistance. Provisions of this
Notice supersede conflicting statements in any FTA circular containing
a previous version of the Annual Certifications and Assurances. The
certifications and assurances contained in those FTA circulars are
merely examples, and are not acceptable or valid for Federal Fiscal
Year 2003; do not rely on the provisions of certifications and
assurances appearing in FTA circulars.
Significance of Certifications and Assurances: Selecting and
submitting certifications and assurances to FTA, either through TEAM-
Web or submission of the Signature Page(s) of Appendix A, signifies the
Applicant's intent to comply with the requirements of the
certifications and assurances selected to the extent they apply to a
project for which the Applicant submits an application for assistance
in Federal Fiscal Year 2003.
Requirement for Attorney's Signature: FTA requires a current
(Federal Fiscal Year 2003) affirmation, signed by the Applicant's
attorney, of the Applicant's legal authority to certify compliance with
the obligations imposed by the certifications and assurances the
Applicant has selected. Irrespective of whether the Applicant makes a
single selection for all 16 categories or selects individual options
from the 16 categories, the Affirmation of Applicant's Attorney from a
previous year is not acceptable.
Deadline for Submission: All Applicants for FTA formula program or
capital investment program assistance, and current FTA grantees with an
active project financed with FTA formula program or capital investment
program assistance, are expected to provide Federal Fiscal Year 2003
Certifications and Assurances within 90 days from the date of this
publication or with their first grant application in Federal Fiscal
Year 2003, whichever is first. FTA encourages other Applicants to
submit their certifications and assurances as soon as possible.
Preference for Electronic Submission: Applicants registered in
TEAM-Web must submit their certifications and assurances, as well as
their applications, in TEAM-Web. Only if an Applicant is unable to
submit its certifications and assurances in TEAM-Web should the
Applicant use the Signature Page(s) in Appendix A of this Notice.
Procedures for Electronic Submission: The TEAM-Web ``Recipients''
option at the ``Cert's & Assurances'' tab of ``View/Modify Recipients''
contains fields for selecting the categories of certifications and
assurances to be submitted. Within that tab is a field for the
Applicant's authorized representative to enter its personal
identification number (PIN), which constitutes the Applicant's
electronic signature for the certifications and assurances it has
selected; in addition, there is a field for the Applicant's attorney to
enter his or her PIN, affirming the Applicant's legal authority to make
and comply with the certifications and assurances the Applicant has
selected. In certain circumstances, the Applicant may enter its PIN in
lieu of its Attorney's PIN, provided that the Applicant has on file the
Affirmation of Applicant's Attorney
[[Page 65173]]
in Appendix A of this Notice, written and signed by the attorney and
dated this Federal fiscal year. For more information, applicants may
contact the appropriate Regional Office listed in this Notice or the
TEAM-Web Helpdesk.
Procedures for Paper Submission: If an Applicant is unable to
submit its certifications electronically, it must mark the
certifications and assurances it is making on the Signature Page(s) 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 or select the Categories applicable to itself and its
projects. In certain circumstances, the Applicant may enter its
signature in lieu of its Attorney's signature in the Affirmation of
Applicant's Attorney section of the Signature Page(s), provided that
the Applicant has on file the Affirmation of Applicant's Attorney in
Appendix A of this Notice, written and signed by the attorney and dated
this Federal fiscal year. For more information, applicants may contact
the appropriate Regional Office listed in this Notice.
References: The Transportation Equity Act for the 21st Century,
Pub. L. 105-178, June 9, 1998, as amended by the TEA-21 Restoration
Act, Pub. L. 105-206, July 22, 1998, 49 U.S.C. chapter 53, Title 23,
United States Code, other Federal laws administered by FTA, U.S. DOT
and FTA regulations at 49 CFR, and FTA Circulars.
Dated: October 15, 2002.
Jennifer L. Dorn,
Administrator.
Appendix A--Federal Fiscal Year 2003 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 Federal Transit
Administration (FTA) programs. FTA requests each Applicant to
provide as many certifications and assurances as needed for all
programs for which it will seek FTA assistance in Federal Fiscal
Year 2003. FTA strongly encourages the Applicant to submit its
certifications and assurances through TEAM-Web, FTA's electronic
award and management system at http://ftateamweb.fta.dot.gov/fta-
flash2b.html.
Sixteen (16) Categories of certifications and assurances are
listed by numbers 01 through 16 in the TEAM-Web ``Recipients''
option at the ``Cert's & Assurances'' tab of ``View/Modify
Recipients,'' and on the opposite side of the Signature Page(s) at
the end of this document. Category 01 applies to all Applicants.
Categories 02 through 16 will apply to and be required for some, but
not all, Applicants and projects.
01. Required of Each Applicant
Each Applicant for FTA assistance must provide all
certifications and assurances in this Category ``01.'' FTA may not
award any Federal assistance until the Applicant provides these
certifications and assurances by selecting Category ``01.''
A. Authority of Applicant and Its Representative
The authorized representative of the Applicant and the attorney
who sign these certifications, assurances, and agreements affirm
that both the Applicant and its authorized representative have
adequate authority under applicable state and local law and the
Applicant's by-laws or internal rules 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 requirements in carrying out any project supported by
an FTA grant or cooperative agreement. The Applicant agrees 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 recognizes that Federal
laws, regulations, policies, and administrative practices may be
modified from time to time and those modifications may affect
project implementation. 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 regarding 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 (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 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, and 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 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 or implementation of the grant agreement
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
agreement 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
[[Page 65174]]
provide notice, including position title, to every project officer
or other designee on whose project activity the convicted employee
was working, and that notice shall include the identification
number(s) of each affected grant agreement 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 it submits to FTA has been or will be submitted for
intergovernmental review to the appropriate state and local agencies
in accordance with applicable state requirements. The Applicant also
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.
(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 implementation of the project and 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 Disadvantaged Business Enterprise (DBE)
program or the requirements of 49 CFR part 26. The Recipient assures
that it shall take all necessary and reasonable steps set forth in
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, will be incorporated by reference and made part of
the grant agreement or cooperative agreement for any Federal
assistance awarded by FTA or U.S. DOT. Implementation of this DBE
program is a legal obligation of the Recipient, 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 27.9, 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, et seq., and
the Americans with Disabilities Act of 1990, as amended, 42 U.S.C.
12101 et seq., and implementing U.S. DOT regulations at 49 CFR parts
27, 37, and 38, and any applicable regulations and directives issued
by other Federal departments or agencies.
I. Procurement Compliance Certification
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,''
as amended and revised, as well as other 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 and Assurances Required by the U.S. Office of
Management and Budget (SF-424B and SF-424D)
As required by the U.S. Office of Management and Budget (OMB),
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
[[Page 65175]]
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 applicable Federal 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 through 1683, and 1685 through 1687, and U.S. DOT
regulations, ``Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance,'' 49
CFR part 25, which prohibit 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
handicap;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 through 6107, which prohibits discrimination on the basis of
age;
(e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, 21 U.S.C. 1174 et seq.
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,
42 U.S.C. 4581 et seq. 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 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, and 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) Any other nondiscrimination statute(s) that may apply to the
project;
(6) Will comply with, 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 any
purchase. As required by sections 210 and 305 of the Uniform
Relocation Act, 42 U.S.C. 4630 and 4655, and U.S. DOT regulations,
``Uniform Relocation Assistance and Real Property Acquisition for
Federal and Federally Assisted Programs,'' 49 CFR 24.4, the
Applicant assures that it has the requisite authority under
applicable state and local law to comply with the requirements of
the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT
regulations, ``Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR
part 24, and will comply with or has complied with that Act and
those U.S. DOT implementing regulations, 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 as 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, with the
understanding that FTA will provide Federal financial assistance for
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 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;
(8) To the extent applicable, will comply with the 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;
(9) Will comply with the Lead-Based Paint Poisoning Prevention
Act, 42 U.S.C. 4831(b), which prohibits the use of lead-based paint
in construction or rehabilitation of residence structures;
(10) 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;
(11) 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;
(12) 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;
(13) 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;
(14) Will comply with any applicable 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;
[[Page 65176]]
(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, 16 U.S.C. 1531 et seq.; and
(i) Environmental protections for Federal transportation
programs, including, but not limited to, protections for parks,
recreation areas, or wildlife or waterfowl refuges of national,
state, or local significance or any land from a historic site of
national, state, or local significance that will be used in a
transportation project as required by 49 U.S.C. 303;
(j) Protection of the components of the national wild and scenic
rivers systems, as required under the Wild and Scenic Rivers Act of
1968, as amended, 16 U.S.C. 1271 et seq.; and
(k) Provision of assistance to FTA in assuring compliance with
section 106 of the National Historic Preservation Act of 1966, as
amended, 16 U.S.C. 470f; the Archaeological and Historic
Preservation Act of 1974, as amended, 16 U.S.C. 469a-1 et seq.; and
Executive Order No. 11593 (identification and protection of historic
properties), 16 U.S.C. 470 note;
(15) To the extent applicable, will comply with the requirements
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 primary employment activities are
financed in whole or part with Federal funds including a Federal
loan, grant agreement, or cooperative agreement except, in
accordance with 23 U.S.C. 142(g), the Hatch Act 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 that Act does not otherwise apply;
(16) Will comply with the National Research Act, Pub. L. 93-348,
July 12, 1974, as amended, 42 U.S.C. 289 et seq., and U.S. DOT
regulations, ``Protection of Human Subjects,'' 49 CFR part 11,
regarding the protection of human subjects involved in research,
development, and related activities supported by Federal assistance;
(17) Will comply with the Laboratory Animal Welfare Act of 1966,
as amended, 7 U.S.C. 2131 et seq., and U.S. Department of
Agriculture regulations, ``Animal Welfare,'' 9 CFR subchapter A,
parts 1, 2, 3, and 4, regarding the care, handling, and treatment of
warm blooded animals held or used for research, teaching, or other
activities supported by Federal assistance;
(18) Will have performed the financial and compliance audits as
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501
et seq. and by OMB Circular No. A-133, ``Audits of States, Local
Governments, and Non-Profit Organizations,'' and OMB A-133
Compliance Supplement provisions for the Department of
Transportation, March 2002; and
(19) Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies governing
the project.
02. Lobbying
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 award Federal
assistance for an application exceeding $100,000 until the Applicant
provides this certification by selecting Category ``02.''
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 to influence or attempt
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 regarding 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 instructions accompanying
the form, which form may be amended to omit such information as
authorized 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.
03. Private Mass Transportation Companies
A State or local government Applicant seeking Federal assistance
authorized by 49 U.S.C. chapter 53 to acquire the property or an
interest in the property of a private mass transportation company or
to operate mass transportation equipment or facilities 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 type of project until the Applicant provides this certification
by selecting Category ``03.''
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies
that before it acquires the property or an interest in the property
of a private mass transportation company or operates mass
transportation equipment or facilities 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 consistent with applicable
FTA requirements and policies;
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).
04. Public Hearing
An Applicant seeking Federal assistance authorized by 49 U.S.C.
chapter 53 for a capital project that will substantially affect a
community or a community's mass transportation service must provide
the following certification. FTA may not award Federal assistance
for that type of project until the Applicant provides this
certification by selecting Category ``04.''
As required by 49 U.S.C. 5323(b), the Applicant certifies that
it has, or before submitting its application, it 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.
05. Acquisition of Rolling Stock
An Applicant seeking FTA assistance to acquire rolling stock
must provide the following certification. FTA may not provide
assistance to acquire rolling stock until the Applicant provides
this certification by selecting Category ``05.''
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.
[[Page 65177]]
06. Bus Testing
An Applicant seeking FTA assistance to acquire any new bus model
or any bus model with a new major change in configuration or
components 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 ``06.''
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
before authorizing final acceptance of that bus (as described in 49
CFR part 665), the bus model:
A. Will have been tested at a bus testing facility approved by
FTA; and
B. Will have received a copy of the test report prepared on the
bus model.
07. Charter Service Agreement
An Applicant seeking FTA assistance to acquire or operate
transportation equipment or facilities using Federal assistance
authorized by 49 U.S.C. chapter 53 (except 49 U.S.C. 5310), or Title
23, U.S.C. must enter into the following Charter Service Agreement.
FTA may not provide assistance for projects authorized by 49 U.S.C.
chapter 53 (except 49 U.S.C. 5310), or Title 23, U.S.C. until the
Applicant enters into this charter service agreement by selecting
Category ``07.''
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 by 49 U.S.C. chapter 53
(except 49 U.S.C. 5310), 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 requirements of 49 CFR part 604 before
providing any charter service using equipment or facilities acquired
with Federal assistance authorized by 49 U.S.C. chapter 53 (except
49 U.S.C. 5310), or Title 23, U.S.C. for transportation projects.
B. As The Applicant understands that:
(1) The requirements of 49 CFR part 604 will apply to any
charter service it provides;
(2) The definitions of 49 CFR part 604 apply to this charter
service agreement; and
(3) A violation of this charter service agreement may require
corrective measures and imposition of penalties, including debarment
from the receipt of further Federal assistance for transportation.
08. School Transportation Agreement
An Applicant seeking FTA assistance to acquire or operate
transportation facilities and equipment using Federal assistance
authorized by 49 U.S.C. chapter 53 or Title 23, U.S.C. must enter
into the following School Transportation Agreement. FTA may not
provide assistance for such projects until the Applicant enters into
this agreement by selecting Category ``08.''
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 Federal 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. As The Applicant understands that:
(1) The requirements of 49 CFR part 605 will apply to any school
transportation service it provides;
(2) The definitions of 49 CFR part 605 apply to this school
transportation agreement; and
(3) A violation of this school transportation agreement may
require corrective measures and imposition of penalties, including
debarment from the receipt of further Federal assistance for
transportation.
09. Demand Responsive Service
An Applicant seeking direct Federal assistance to support 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 ``09.''
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.
10. Alcohol Misuse and Prohibited Drug Use
If the Applicant is required by Federal regulations to provide
the following certification concerning its activities to prevent
alcohol misuse and prohibited drug use in its transit operations,
FTA may not provide Federal assistance to that Applicant until it
provides this certification by selecting Category ``10.''
As required by FTA regulations, ``Prevention of Alcohol Misuse
and Prohibited Drug Use in Transit Operations,'' at 49 CFR part 655,
subpart I, the Applicant certifies that it has established and
implemented an alcohol misuse and anti-drug program, and has
complied with or will comply with all applicable requirements of FTA
regulations, ``Prevention of Alcohol Misuse and Prohibited Drug Use
in Transit Operations,'' 49 CFR part 655.
11. Interest and Other Financing Costs
An Applicant that intends to request reimbursement of interest
or other financing costs incurred for its capital projects must
provide the following certification. FTA may not provide assistance
to support those costs until the Applicant provides this
certification by selecting Category ``11.''
In compliance with 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 that it has used
reasonable diligence in seeking the most favorable financing terms
underlying those costs, to the extent FTA may require.
12. Intelligent Transportation Systems Program
An Applicant for FTA assistance for an Intelligent
Transportation Systems (ITS) project, defined as any project that in
whole or in part finances the acquisition of technologies or systems
of technologies that provide or significantly contribute to the
provision of one or more ITS user services as defined in the
National ITS Architecture,'' must provide the following assurance.
FTA may not award any Federal assistance for an ITS project until
the Applicant provides this assurance by selecting Category ``12.''
In compliance with Section VII of FTA Notice, ``FTA National ITS
Architecture Policy on Transit Projects,'' at 66 Fed. Reg. 1459,
January 8, 2001, in the course of implementing an ITS project, the
Applicant assures that it will comply, and require its third party
contractors and subrecipients to comply, with all applicable
requirements imposed by Section V (Regional ITS Architecture) and
Section VI (Project Implementation) of that Notice.
13. Urbanized Area, JARC, and Clean Fuels Programs
Each Applicant for Urbanized Area Formula Program assistance
authorized by 49 U.S.C. 5307, each Applicant for Job Access and
Reverse Commute Program assistance authorized by section 3037 of the
Transportation Equity Act for the 21st Century, 49 U.S.C. 5309 note,
and each Applicant for Clean Fuels Formula Program assistance
authorized by 49 U.S.C. 5308 must provide the following
certifications. FTA may not award Federal assistance for those
programs until the Applicant provides these certifications and
assurances by selecting Category ``13.'' A state or other Applicant
providing certifications and assurances that require the compliance
of its prospective subrecipients is expected to obtain sufficient
documentation from those subrecipients to assure the validity of its
certifications and assurances.
In addition, each Applicant that received Transit Enhancement
funds authorized by 49 U.S.C. 5307(k)(1) must list the projects
carried out during that Federal fiscal year with those funds in its
quarterly report for the fourth quarter of the preceding Federal
fiscal year. That list constitutes the report of transit enhancement
projects carried out during that fiscal year, which report is
required to be submitted as part of the
[[Page 65178]]
Applicant's annual certifications and assurances, in accordance with
49 U.S.C. 5307(k)(3), and is therefore incorporated by reference and
made part of the Applicant's annual certifications and assurances.
FTA may not award Urbanized Area Formula Program assistance to any
Applicant that has received Transit Enhancement funds 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 includes the requisite list.
A. Certifications Required for the Urbanized Area Formula Program
(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 Project equipment and facilities;
(c) It will adequately maintain the equipment and facilities;
(d) It will ensure that the elderly and 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 the Job Access and Reverse
Commute Program at 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, 49
U.S.C. 5307, or the Job Access and Reverse Commute Program, section
3037 of TEA-21, 49 U.S.C. 5309 note, it: (1) Will use competitive
procurement (as defined or approved by the Secretary), (2) will not
use exclusionary or discriminatory specifications, and (3) will
comply with applicable Buy America laws;
(f) It has complied with or will comply with the requirements of
49 U.S.C. 5307(c). Specifically, it: (1) Has made available, or will
make available, to the public information on the amounts available
for the Urbanized Area Formula Program, 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; (2) has developed or will develop, in consultation with
interested parties including private transportation providers, a
proposed program of projects for activities to be financed; (3) has
published or will 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) has provided or will provide an
opportunity for a public hearing to obtain the views of citizens on
the proposed program of projects; (5) has ensured or will 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) has considered or will consider the comments and views
received, especially those of private transportation providers, in
preparing its final program of projects; and (7) has made or will
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.
5301(d) (special efforts to design and provide mass transportation
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 49 U.S.C. 5307(d)(1)(J), unless it has
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 it has implemented
during that fiscal year using those funds, and that report is
incorporated by reference 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 49 CFR 639.21, to the extent the Applicant acquires
any capital asset by lease financed with Federal assistance
authorized for 49 U.S.C. 5307 or section 3037 of TEA-21, 49 U.S.C.
5309 note, 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 the Sole Source Acquisition of an
Associated Capital Maintenance Item
As required by 49 U.S.C. 5325(c), the Applicant certifies that
when it procures an associated capital maintenance item as
authorized by 49 U.S.C. 5307(b)(1), it will use competition, unless
the original manufacturer or supplier of the item is the only source
for the item and the price of the item is no more than the price
similar customers pay for that item, and will, for each such
procurement, maintain sufficient records on file and easily
retrievable for FTA inspection.
D. Clean Fuels Formula Grant Program Certification
As required by 49 U.S.C. 5308(c)(2), the Applicant certifies
that vehicles financed with Federal assistance provided for the
Clean Fuels Formula Program, 49 U.S.C. 5308, will be operated only
with clean fuels.
14. Elderly and Persons with Disabilities Program
An Applicant that intends to administer the Elderly and Persons
with Disabilities Program on behalf of a state must provide the
following certifications and assurances. In providing certifications
and assurances that require the compliance of its prospective
subrecipients, the Applicant is expected to obtain sufficient
documentation from those subrecipients to assure the validity of its
certifications and assurances. FTA may not award assistance for the
Elderly and Persons with Disabilities Program until the Applicant
provides these certifications and assurances by selecting Category
``14.''
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 private nonprofit 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
[[Page 65179]]
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 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 to be
implemented in urbanized areas recommended for approval are included
in 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.
F. The state recognizes that the subrecipient, rather than the
state itself, will be ultimately responsible for implementing many
Federal requirements covered by the certifications and assurances
the state has signed. Having taken appropriate measures to secure
the necessary compliance by each subrecipient, the state assures, on
behalf of each subrecipient, that:
(1) The subrecipient has or will have by the time of delivery,
sufficient funds to operate and maintain the vehicles and equipment
financed with Federal assistance awarded for its project;
(2) The subrecipient has coordinated or will coordinate to the
maximum extent feasible with other transportation providers and
users, including social service agencies authorized to purchase
transit service;
(3) The subrecipient has complied or will comply with all
applicable civil rights requirements;
(4) The subrecipient has complied or will comply with applicable
requirements of U.S. DOT regulations regarding participation of
disadvantaged business enterprises in U.S. DOT programs;
(5) The subrecipient has complied or will comply with Federal
requirements regarding transportation of elderly persons and persons
with disabilities;
(6) The subrecipient has complied or will comply with applicable
provisions of 49 CFR part 605 pertaining to school transportation
operations;
(7) Viewing its demand responsive service to the general public
in its entirety, the subrecipient has complied or will comply with
the requirement to provide demand responsive service to persons with
disabilities, including persons who use wheelchairs, meeting the
standards of equivalent service set forth in 49 CFR 37.77(c), before
purchasing non-accessible vehicles for use in demand responsive
service for the general public;
(8) The subrecipient has established or will establish a
procurement system, and has conducted or will conduct its
procurements in compliance with all applicable provisions of Federal
laws, executive orders, regulations, FTA Circular 4220.1D, ``Third
Party Contracting Requirements,'' as amended and revised, and other
Federal requirements that may be applicable;
(9) The subrecipient has complied or will comply with the
requirement that its project provide for the participation of
private mass transportation companies to the maximum extent
feasible;
(10) The subrecipient 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;
(11) The subrecipient has complied or will comply with all
applicable lobbying requirements for each application exceeding
$100,000;
(12) The subrecipient has complied or will comply with all
applicable nonprocurement suspension and debarment requirements;
(13) The subrecipient has complied or will comply with all
applicable bus testing requirements for new bus models;
(14) The subrecipient has complied or will comply with
applicable FTA Intelligent Transportation Systems architecture
requirements to the extent required by FTA; and
(15) The subrecipient has complied or will comply with all
applicable pre-award and post-delivery review requirements.
G. 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, until the required Federal
environmental finding is made, financial assistance will not be
provided for any project that does not qualify for a categorical
exclusion described in 23 CFR 771.117(c). The state further
certifies that, until the required Federal conformity finding has
been made, no financial assistance will be provided for a project
requiring a Federal conformity finding in accordance with the U.S.
Environmental Protection Agency's Clean Air Conformity regulations
at 40 CFR parts 51 and 93.
H. The state assures that it 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.
I. The state recognizes the authority of FTA, U.S. DOT, and the
Comptroller General of the United States to conduct audits and
reviews to verify compliance with the foregoing requirements and
stipulations, and assures that, upon request, the State and its
subrecipients will make the necessary records available to FTA, U.S.
DOT and the Comptroller General of the United States. The state also
acknowledges its obligation under 49 CFR 18.40(a) to monitor project
activities carried out by its subrecipients to assure compliance
with applicable Federal requirements.
15. Nonurbanized Area Formula Program
An Applicant that intends to administer the Nonurbanized Area
Formula Program on behalf of a state must provide the following
certifications and assurances. In providing certifications and
assurances that require the compliance of its prospective
subrecipients, the Applicant is expected to obtain sufficient
documentation from those subrecipients to assure the validity of its
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 Categories
``1'' through 11'' and ``15.''
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 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; and projects are included in a
metropolitan Transportation Improvement Program, to the extent
applicable.
D. 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.
E. The state recognizes that the subrecipient, rather than the
state itself, will be ultimately responsible for implementing many
Federal requirements covered by the certifications and assurances
the state has signed. Having taken appropriate measures to secure
the necessary compliance by each subrecipient, the state assures, on
behalf of each subrecipient, that:
(1) The subrecipient has or will have, by the time of delivery,
sufficient funds to operate and maintain the vehicles and equipment
financed with Federal assistance awarded for its project;
(2) The subrecipient has coordinated or will coordinate to the
maximum extent feasible with other transportation providers and
users, including social service agencies authorized to purchase
transit service;
(3) The subrecipient has complied or will comply with all
applicable civil rights requirements;
(4) The subrecipient has complied or will comply with applicable
requirements of U.S. DOT regulations regarding participation of
disadvantaged business enterprises in U.S. DOT programs;
(5) The subrecipient has complied or will comply with Federal
requirements regarding transportation of elderly persons and persons
with disabilities;
(6) The subrecipient has complied or will comply with the
transit employee protective provisions of 49 U.S.C. 5333(b), by one
of the following actions: (a) signing the Special Warranty for the
Nonurbanized Area Formula Program, (b) agreeing to alternative
comparable arrangements approved by the Department of Labor (DOL),
or (c) obtaining
[[Page 65180]]
a waiver from DOL; and the state has certified the subrecipient's
compliance to DOL;
(7) The subrecipient has complied or will comply with 49 CFR
part 604 in the provision of any charter service provided with
equipment or facilities acquired with FTA assistance;
(8) The subrecipient has complied or will comply with applicable
provisions of 49 CFR part 605 pertaining to school transportation
operations;
(9) Viewing its demand responsive service to the general public
in its entirety, the subrecipient has complied or will comply with
the requirement to provide demand responsive service to persons with
disabilities, including persons who use wheelchairs, meeting the
standards of equivalent service set forth in 49 CFR 37.77(c), before
purchasing non-accessible vehicles for use in demand responsive
service for the general public;
(10) The subrecipient has established or will establish a
procurement system, and has conducted or will conduct its
procurements in compliance with all applicable provisions of Federal
laws, executive orders, regulations, FTA Circular 4220.1D, ``Third
Party Contracting Requirements,'' as amended and revised, and other
Federal requirements that may be applicable;
(11) The subrecipient has complied or will comply with the
requirement that its project provide for the participation of
private enterprise to the maximum extent feasible;
(12) The subrecipient 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;
(13) The subrecipient has complied or will comply with all
applicable lobbying requirements for each application exceeding
$100,000;
(14) The subrecipient has complied or will comply with all
applicable nonprocurement suspension and debarment requirements;
(15) The subrecipient has complied or will comply with all
applicable bus testing requirements for new bus models;
(16) The subrecipient has complied or will comply with all
applicable pre-award and post-delivery review requirements;
(17) The subrecipient has complied with or will comply with all
assurances FTA requires for projects involving real property;
(18) The subrecipient has complied or will comply with
applicable FTA Intelligent Transportation Systems architecture
requirements, to the extent required by FTA; and
(19) The subrecipient has complied or will comply with
applicable prevention of alcohol misuse and prohibited drug use
program requirements, to the extent required by FTA.
F. 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, until the required Federal
environmental finding is made, financial assistance will not be
provided for any project that does not qualify for a categorical
exclusion described in 23 CFR 771.117(c). The state further
certifies that, until the required Federal conformity finding is
made, no financial assistance will be provided for a project
requiring a Federal conformity finding in accordance with the
Environmental Protection Agency's Clean Air Conformity regulations
at 40 CFR parts 51 and 93.
G. The state assures that it 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.
H. The state recognizes the authority of FTA, U.S. DOT, and the
Comptroller General of the United States to conduct audits and
reviews to verify compliance with the foregoing requirements and
stipulations, and assures that, upon request, the State and its
subrecipients will make the necessary records available to FTA, U.S.
DOT and the Comptroller General of the United States. The state also
acknowledges its obligation under 49 CFR 18.40(a) to monitor project
activities carried out by its subrecipients to assure compliance
with applicable Federal requirements.
I. In compliance with the requirements of 49 U.S.C. 5311(f), the
state assures that it will expend not less than fifteen (15) percent
of the amounts of Federal assistance as provided in 49 U.S.C.
5311(f) and apportioned during this Federal fiscal year to carry out
a program within the State to develop and support intercity bus
transportation, unless the chief executive officer of the state, or
his or her designee, duly authorized under state law, regulations or
procedures, certifies to the Federal Transit Administrator that the
intercity bus service needs of the state are being adequately met.
16. State Infrastructure Bank Program
An Applicant for a grant of Federal assistance for deposit in
its State Infrastructure Bank (SIB) must provide the following
certifications and assurances. In providing certifications and
assurances that require the compliance of its prospective
subrecipients, the Applicant is expected to obtain sufficient
documentation from those subrecipients to assure the validity of its
certifications and assurances. FTA may not award assistance for the
SIB program to the Applicant until the Applicant provides these
certifications and assurances by selecting Categories ``1'' through
11,'' and ``16.''
The state serving as the Applicant for Federal assistance for
its State Infrastructure Bank (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 have been or will be fulfilled
pertaining to any transit Project financed with Federal assistance
derived from its 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 SIB within the state
(subrecipient) that each transit Project financed with Federal
assistance derived from SIB will be administered in accordance with:
(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) The provisions of any applicable Federal guidance that may
be issued;
(3) The terms and conditions of Department of Labor
Certification(s) of Transit Employee Protective Arrangements that
are required by Federal law or regulations;
(4) The provisions of the FHWA and FTA cooperative agreement
with the state to establish the state's SIB program; and
(5) The provisions of the FTA grant agreement with the state
that provides 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, 23 U.S.C. 181 note, Federal guidance
pertaining to the SIB program, the provisions of the cooperative
agreement establishing the SIB program within the state, or the
provisions of the FTA grant agreement.
B. The state agrees to comply with, and assures the compliance
of the SIB and each subrecipient of assistance provided by the SIB
with, all applicable requirements for the SIB program, as those
requirements may be amended from time to time. Pursuant to the
requirements of subsection 1511(h)(2) of TEA-21, 23 U.S.C. 181 note,
the state understands and agrees that any previous cooperative
agreement entered into with FHWA and FTA under section 350 of the
National Highway System Designation Act of 1995, as amended, 23
U.S.C. 101 note, has been or will be revised to comply with the
requirements of TEA-21.
C. The state assures that the SIB will provide Federal
assistance from its Transit Account only for transit capital
projects eligible under section 350 of the National Highway System
Designation Act of 1995, as amended, 23 U.S.C. 101 note or under
section 1511 of TEA-21, 23 U.S.C. 181 note, 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 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 SIB, and to implement, manage, operate, and
maintain the project and project property for which such assistance
will support.
[[Page 65181]]
F. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
G. The state recognizes that the SIB, rather than the State
itself, will be ultimately responsible for implementing many Federal
requirements covered by the certifications and assurances the state
has signed. Having taken appropriate measures to secure the
necessary compliance by the SIB, the state assures, on behalf of the
SIB, that:
(1) The SIB has complied or will comply with all applicable
civil rights requirements;
(2) The SIB has complied or will comply with applicable
requirements of U.S. DOT regulations regarding participation of
disadvantaged business enterprises in U.S. DOT programs;
(3) The SIB will provide Federal assistance 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;
(4) Before the SIB enters into an agreement with a subrecipient
under which Federal assistance 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
metropolitan Transportation Improvement Program in which the
subrecipient is located; and the requisite certification that an
opportunity for a public hearing has been provided;
(5) The SIB will not provide Federal financial assistance for
any project that does not qualify for a categorical exclusion
described in 23 CFR 771.117(c) until the required Federal
environmental finding has been made. Moreover, the SIB will provide
no financial assistance for a project requiring a Federal conformity
finding in accordance with the Environmental Protection Agency's
Clean Air Conformity regulations at 40 CFR parts 51 and 93, until
the required Federal conformity finding has been made;
(6) Before the SIB provides Federal assistance for a transit
project, 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; and
(7) 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.
H. The state recognizes that the subrecipient, rather than the
state itself, will be ultimately responsible for implementing many
Federal requirements covered by the certifications and assurances
the state has signed. Having taken appropriate measures to secure
the necessary compliance of each subrecipient, the state assures, on
behalf of each subrecipient, that:
(1) The subrecipient has complied or will comply with all
applicable civil rights requirements;
(2) The subrecipient has complied or will comply with applicable
requirements of U.S. DOT regulations regarding participation of
disadvantaged business enterprises in U.S. DOT programs;
(3) The subrecipient has complied or will comply with Federal
requirements regarding transportation of elderly persons and persons
with disabilities;
(4) The subrecipient has complied or will comply with the
applicable transit employee protective provisions of 49 U.S.C.
5333(b) as required for that subrecipient and its project;
(5) The subrecipient has complied or will comply with 49 CFR
part 604 in the provision of any charter service provided with
equipment or facilities acquired with FTA assistance;
(6) The subrecipient has complied with or will comply with
applicable provisions of 49 CFR part 605 pertaining to school
transportation operations;
(7) Viewing its demand responsive service to the general public
in its entirety, the subrecipient has complied or will comply with
the requirement to provide demand responsive service to persons with
disabilities, including persons who use wheelchairs, meeting the
standards of equivalent service set forth in 49 CFR 37.77(c), before
purchasing non-accessible vehicles for use in demand responsive
service for the general public;
(8) The subrecipient has established or will establish a
procurement system, and has conducted or will conduct its
procurements in compliance with all applicable provisions of Federal
laws, executive orders, regulations, FTA Circular 4220.1D, ``Third
Party Contracting Requirements,'' as amended and revised, and other
implementing requirements FTA may issue;
(9) The subrecipient has complied or will comply with the
requirement that its project provides for the participation of
private mass transportation companies to the maximum extent
feasible;
(10) The subrecipient 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;
(11) The subrecipient has complied or will comply with all
applicable lobbying requirements for each application exceeding
$100,000;
(12) The subrecipient has complied or will comply with all
nonprocurement suspension and debarment requirements;
(13) The subrecipient has complied or will comply with all
applicable bus testing requirements for new bus models;
(14) The subrecipient has complied or will comply with all
applicable pre-award and post-delivery review requirements;
(15) The subrecipient has complied with or will comply with all
assurances FTA requires for projects involving real property;
(16) The subrecipient has complied or will comply with
applicable FTA Intelligent Transportation Systems architecture
requirements, to the extent required by FTA; and
(17) The subrecipient has complied or will comply with
applicable prevention of alcohol misuse and prohibited drug use
program requirements, to the extent required by FTA.
I. The state recognizes the authority of FTA, U.S. DOT, and the
Comptroller General of the United States to conduct audits and
reviews to verify compliance with the foregoing requirements and
stipulations, and assures that, upon request, the SIB and its
subrecipients, as well as the states, will make the necessary
records available to FTA, U.S. DOT and the Comptroller General of
the United States. The state also acknowledges its obligation under
49 CFR 18.40(a) to monitor project activities carried out by the SIB
and its subrecipients to assure compliance with applicable Federal
requirements.
BILLING CODE 4910-57-P
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[FR Doc. 02-26975 Filed 10-22-02; 8:45 am]
BILLING CODE 4910-57-C