53512 Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices

DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

Fiscal Year 1998 Annual List of

Certifications and Assurances for

Federal Transit Administration Grants

and Cooperative Agreements

AGENCY: Federal Transit Administration,

DOT.

ACTION: Notice.

SUMMARY: This notice contains FTA’s

comprehensive compilation of the

Federal Fiscal Year 1998 certifications

and assurances to be used in connection

with all Federal assistance programs

administered by FTA during Federal

Fiscal Year 1998. (See Appendix A.)

These certifications and assurances

include all annual certifications

required by 49 U.S.C. 5307(d)(1) for

FTA’s Urbanized Area Formula Program

as well as other certifications and

assurances needed for compliance with

various other Federal statutes and

regulations affecting FTA’s assistance

programs.

EFFECTIVE DATE: October 14, 1997.

FOR FURTHER INFORMATION CONTACT: Pat

Berkley, Office of Program Management,

Federal Transit Administration, (202)

366–6470; the FTA Web Site at http://

www.fta.dot.gov; or contact FTA staff in

the appropriate Regional Office listed

below. For copies of other related

documents, contact Minnie Davis,

Office of Public Affairs, Federal Transit

Administration, (202) 366–1217.

Region 1: Boston

States served: Maine, New Hampshire,

Vermont, Connecticut, Rhode Island,

and Massachusetts, Telephone 617–

494–2055

Region 2: New York

States served: New York, New Jersey,

and Virgin Islands, Telephone 212–

264–8162

Region 3: Philadelphia

States served: Pennsylvania, Delaware,

Maryland, Virginia, West Virginia,

and District of Columbia, Telephone

215–656–7100

Region 4: Atlanta

States served: Kentucky, North Carolina,

South Carolina, Georgia, Florida,

Alabama, Mississippi, Tennessee, and

Puerto Rico, Telephone 404–562–

3500

Region 5: Chicago

States served: Minnesota, Wisconsin,

Michigan, Illinois, Indiana, and Ohio,

Telephone 312–353–2789

Region 6: Dallas/Ft.Worth

States served: Arkansas, Louisiana,

Oklahoma, Texas, and New Mexico,

Telephone 817–860–9663

Region 7: Kansas City

States served: Missouri, Iowa, Kansas,

and Nebraska, Telephone 816–523–

0204

Region 8: Denver

States served: Colorado, Utah,

Wyoming, Montana, North Dakota,

South Dakota, Telephone 303–844–

3242

Region 9: San Francisco

States served: California, Hawaii, Guam,

Arizona, Nevada, American Samoa,

and the Northern Mariana Islands,

Telephone 415–744–3133

Region 10: Seattle

States served: Idaho, Oregon,

Washington, and Alaska, Telephone

206–220–7954

SUPPLEMENTARY INFORMATION: Before

FTA may award a Federal grant or

cooperative agreement, the applicant

must provide to FTA all certifications

and assurances required by Federal laws

and regulations for the applicant or its

project.

This notice provides the text of

certifications and assurances that may

be required by law for the various

Federal assistance programs

administered by FTA including the

Capital Program; the Urbanized Area

Formula Program; the Nonurbanized

Area Formula Program; the

Metropolitan Planning Program; the

Rural Transit Assistance Program; the

Elderly and Persons With Disabilities

Program; the Human Resource Program;

the National Training Institute Program;

the State Planning and Research

Program; and the National Planning and

Research Program, all codified at 49

U.S.C. chapter 53. When administering

Federal assistance programs authorized

by other Federal statutes, such as Title

23, United States Code, FTA uses these

same certifications and assurances

during Federal Fiscal Year 1998.

This Notice provides the applicant

with a single Signature Page on which

the applicant and its attorney certifies

compliance with all certifications and

assurances applicable to each grant or

cooperative agreement for which the

applicant wishes to apply in Federal

Fiscal Year 1998. (See Signature Page of

Appendix A.)

Electronic Submission

FTA has expanded the use of the

electronic programs for applicants

introduced in 1995. The On-Line

Program is offered to applicants through

the Grant Management Information

System (GMIS). This is a computerized

system designed to assist the FTA

grantee or recipient of a cooperative

agreement in managing its FTA assisted

projects and their budgets. All

applicants are encouraged to participate

in the On-Line Program, which includes

the opportunity to certify compliance

electronically for all certifications and

assurances selected among those in

Appendix A. The Electronic Grant

Making and Management initiative

(EGMM) pilot program also initiated in

Federal Fiscal Year 1995 has proved so

successful in reducing time and paper

that EGMM will continue to be offered

to more applicants. This program is

presently undergoing graphical-userinterface refinement for enhanced

accessibility. Applicants may contact

their Regional Office shown above for

more information.

1998 Changes

This 1998 Annual Certifications and

Assurances document contains two

major changes to the previous year’s

Federal Register publication. (1)

Starting with this Fiscal Year 1998, all

Applicants for FTA capital program or

formula program assistance, and current

Grantees with an active project financed

with FTA capital program or formula

program assistance will be required to

provide the Appendix A Certifications

and Assurances within 90 days from the

date of this publication or with its first

grant application in Fiscal Year 1998,

whichever comes first.

(2) The attorney signature from

previous years on the Single Signature

Page will no longer be acceptable. FTA

requires a current attorney’s affirmation

of the Applicant’s legal authority to

certify compliance with the funding

obligations in this document.

Additional changes include clarification

and reference sources. It is important

that each applicant be familiar with all

fifteen categories contained in this

document as it is a prerequisite for

receiving FTA financial assistance.

FTA directs your attention to

Appendix C in FTA Circular 9300.1,

‘‘Capital Program Grant Application

Instructions,’’ which was published on

September 29, 1995; to Exhibit D in FTA

Circular 9040.1D, dated May 3, 1997,

‘‘Nonurbanized Area Formula Program

Guidance and Grant Application

Instructions; and Appendix G of FTA

Circular 9030.1B, dated October 10,

1996, Urbanized Area Formula Program:

Grant Application Instructions. These

circulars contain a previous version of

the Annual Certifications and

Assurances which includes some but
Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices 53513

not all of the most current and valid

changes. Do not use the document

contained in these circulars. They are

examples only and will not be

considered acceptable or valid.

Therefore the provisions of this Notice

supersede conflicting statements in

those circulars. Note especially that the

Applicant must use the most current

Signature Pages shown in this Federal

Fiscal Year 1998 Federal Register

document or provided concurrently

through the EGMM initiative discussed

above. A copy of an earlier fiscal year’s

Certification Signature page is not

acceptable.

Background

With the publication of the Federal

Fiscal Year 1995 version of this notice,

certifications and assurances for Federal

assistance programs administered by

FTA were for the first time consolidated

into one document. This marked the

beginning of an effort to assist

applicants in reducing time and paper

work in certifying compliance with

various Federal laws and regulations. It

coincided with the On-Line Program

and the EGMM initiative described

above, which also reduced the time and

paper required to process an

application.

FTA intends to continue publishing

this document annually with any

changes or additions specifically

highlighted, in conjunction with its

publication of the FTA annual

apportionment Notice, which allocates

funds in accordance with the latest U.S.

Department of Transportation (U.S.

DOT) annual appropriations act.

Procedures

Following is a detailed compilation of

Certifications and Assurances and the

Signature Page (Appendix A). The

Signature Page is to be signed by the

applicant’s authorized representative

and its attorney, and sent or

electronically transmitted through the

FTA computerized on-line system, to

the appropriate FTA Regional office

within 90 days of this Federal Register

publication date, or with the applicant’s

first Federal assistance application in

Federal Fiscal Year 1998, whichever

comes first.

All applicants are advised to read the

entire 1998 Certifications and

Assurances to be confident of their

responsibilities and commitments. The

applicant may signify compliance with

all Categories by placing a single ‘‘X’’ in

the appropriate space at the top of the

Signature Selection Page in Appendix

A. However, the applicant’s Attorney

Affirmation continues to be required as

indicated on the Signature Page at the

end of Appendix A, regardless of the

applicant’s selection of a single

selection for all fifteen Categories, or

individual options selection from the

fifteen Categories.

The Signature Page, when properly

signed and submitted, or electronically

transmitted to FTA, assures FTA that

the applicant intends to comply with

the requirements for the specific

program/s involved, should they apply

for a FTA grant during this fiscal year.

All applicants must read the selection

portion and the signature portion of this

document and signify compliance by

marking where appropriate with an ‘‘X’’

on the category selection side, and then

signifying compliance as indicated. (See

Appendix A.) An applicant

participating in the On-Line Program or

the EGMM Program described above,

may submit its Signature Page (both the

selection side and the signature side)

electronically. The applicant should not

hesitate to consult with the appropriate

Regional Office or Headquarters Office

before submitting its certifications and

assurances.

References

49 U.S.C. chapter 53, Title 23 U.S.C.,

42 U.S.C. 4151, Title VI and Title VII of

the Civil Rights Act, FTA regulations

under 49 CFR, and FTA Circulars.

Issued: October 6, 1997.

Gordon J. Linton,

Administrator.

Appendix A

Federal Fiscal Year 1998 Certifications and

Assurances for Federal Transit

Administration Assistance Programs

Each Applicant is requested to provide as

many of the following certifications and

assurances necessary to cover the various

types of Federal assistance programs for

which the Applicant intends to seek Federal

assistance from FTA in Federal Fiscal Year

1998. A state making certifications and

assurances on behalf of its prospective

subrecipients is expected to obtain sufficient

documentation from those subrecipients as

necessary for the state to make informed

certifications and assurances. The fifteen

categories of certifications and assurances are

listed by Roman numerals I through XV on

the other side of the Signature Page

document. Categories II through XV will

apply to some, but not all applicants. The

categories correspond to the following

descriptions of circumstances mandating

submission of specific certifications,

assurances, or agreements:

I. Certifications and Assurances Required of

Each Applicant

Each Applicant for Federal assistance

awarded by FTA must make all certifications

and assurances in this Category I.

Accordingly, FTA may not award any

Federal assistance until the Applicant

provides assurance of compliance by

selecting Category I on the Signature Page at

the end of this document.

A. Authority of Applicant and Its

Representative

The authorized representative of the

Applicant and legal counsel who sign these

certifications, assurances, and agreements

attest that both the Applicant and its

authorized representative have adequate

authority under state and local law and the

by-laws or internal rules of the Applicant

organization to:

(1) Execute and file the application for

Federal assistance on behalf of the Applicant,

(2) Execute and file the required

certifications, assurances, and agreements on

behalf of the Applicant binding the

Applicant, and

(3) Execute grant and cooperative

agreements with FTA on behalf of the

Applicant.

B. Standard Assurances

The Applicant assures that it will comply

with all applicable Federal statutes,

regulations, executive orders, FTA circulars,

and other Federal administrative

requirements in carrying out any grant or

cooperative agreement awarded by FTA. The

Applicant acknowledges that it is under a

continuing obligation to comply with the

terms and conditions of the grant or

cooperative agreement issued for its

approved project with FTA. The Applicant

understands that Federal laws, regulations,

policies, and administrative practices might

be modified from time to time and affect the

implementation of the project. The Applicant

agrees that the most recent Federal

requirements will apply to the project, unless

FTA issues a written determination

otherwise.

C. Debarment, Suspension, and Other

Responsibility Matters—Primary Covered

Transactions

As required by U.S. DOT regulations on

Governmentwide Debarment and Suspension

(Nonprocurement) at 49 CFR 29.510:

(1) The Applicant (Primary Participant)

certifies to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded from covered

transactions by any Federal department or

agency;

(b) Have not within a three-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for commission of fraud or a criminal offense

in connection with obtaining, attempting to

obtain, or performing a public (Federal, state,

or local) transaction or contract under a

public transaction; violation of Federal or

state antitrust statutes; or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property;

(c) Are not presently indicted for or

otherwise criminally or civilly charged by a

governmental entity (Federal, state, or local)

with commission of any of the offenses listed

in paragraph (2) of this certification; and
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(d) Have not within a three-year period

preceding this certification had one or more

public transactions (Federal, state, or local)

terminated for cause or default.

(2) The Applicant also certifies that if,

later, it becomes aware of any information

contradicting the statements of paragraphs (a)

through (d) above, it will promptly provide

that information to FTA.

(3) If the Applicant (Primary Participant) is

unable to certify to the statements within

paragraphs (1) and (2) above, it shall indicate

so on its Signature Page and provide a

written explanation to FTA.

D. Drug-Free Workplace Certification

As required by U.S. DOT regulations on

Drug-Free Workplace Requirements (Grants)

at 49 CFR 29.630, the Applicant certifies that

it will provide a drug-free workplace by:

(1) Publishing a statement notifying its

employees that the unlawful manufacture,

distribution, dispensing, possession, or use of

a controlled substance is prohibited in the

Applicant’s workplace and specifying the

actions that will be taken against its

employees for violation of that prohibition;

(2) Establishing an ongoing drug-free

awareness program to inform its employees

about: (a) the dangers of drug abuse in the

workplace; (b) the Applicant’s policy of

maintaining a drug-free workplace; (c) any

available drug counseling, rehabilitation, and

employee assistance programs; and (d) the

penalties that may be imposed upon its

employees for drug abuse violations

occurring in the workplace;

(3) Making it a requirement that each of its

employees to be engaged in the performance

of the grant or cooperative agreement be

given a copy of the statement required by

paragraph (1);

(4) Notifying each of its employees in the

statement required by paragraph (1) that, as

a condition of employment financed with

Federal assistance provided by the grant or

cooperative agreement, the employee will: (a)

abide by the terms of the statement, and (b)

notify the employer (Applicant) in writing of

his or her conviction for a violation of a

criminal drug statute occurring in the

workplace no later than 5 calendar days after

that conviction;

(5) Notifying FTA in writing, within 10

calendar days after receiving notice required

by paragraph (4)(b) above from an employee

or otherwise receiving actual notice of that

conviction. The Applicant, which is the

employer of any convicted employee must

provide notice, including position title, to

every project officer or other designee on

whose project activity the Applicant’s

convicted employee was working. Notice

shall include the identification number(s) of

each affected grant or cooperative agreement.

(6) Taking one of the following actions

within 30 calendar days of receiving notice

under paragraph (4)(b) above with respect to

any employee who is so convicted: (a) By

taking appropriate personnel action against

that employee, up to and including

termination, consistent with the

requirements of the Rehabilitation Act of

1973, as amended, or (b) by requiring that

employee to participate satisfactorily in a

drug abuse assistance or rehabilitation

program approved for such purposes by a

Federal, state, or local health, law

enforcement, or other appropriate agency;

(7) Making a good faith effort to continue

to maintain a drug-free workplace through

implementation of paragraphs (1), (2), (3), (4),

(5), and (6) above. The Applicant has or will

provide to FTA a list identifying its

headquarters location and each workplace it

maintains in which project activities

supported by FTA are conducted.

E. Intergovernmental Review Assurance

The Applicant assures that each

application for Federal assistance submitted

to FTA has been or will be submitted, as

required by each state, for intergovernmental

review to the appropriate state and local

agencies. Specifically, the Applicant assures

that it has fulfilled or will fulfill the

obligations imposed on FTA by U.S. DOT

regulations, ‘‘Intergovernmental Review of

the Department of Transportation Programs

and Activities,’’ 49 CFR part 17.

F. Nondiscrimination Assurance

As required by 49 U.S.C. 5332, Title VI of

the Civil Rights Act of 1964, as amended, 42

U.S.C. 2000d, and U.S. DOT regulations,

‘‘Nondiscrimination in Federally-Assisted

Programs of the Department of

Transportation—Effectuation of Title VI of

the Civil Rights Act,’’ 49 CFR part 21 at 21.7,

the Applicant assures that it will comply

with all requirements of 49 CFR part 21; FTA

Circular 4702.1, ‘‘Title VI Program

Guidelines for Federal Transit

Administration Recipients’’; and other

applicable directives, so that no person in the

United States, on the basis of race, color,

national origin, creed, sex, or age will be

excluded from participation in, be denied the

benefits of, or otherwise be subjected to

discrimination in any program or activity

(particularly in the level and quality of

transportation services and transportationrelated benefits) for which the Applicant

receives Federal assistance awarded by the

U.S. DOT or FTA as follows:

(1) The Applicant assures that each project

will be conducted, property acquisitions will

be undertaken, and project facilities will be

operated in accordance with all applicable

requirements of 49 U.S.C. 5332 and 49 CFR

part 21, and understands that this assurance

extends to its entire facility and to facilities

operated in connection with the project.

(2) The Applicant assures that it will take

appropriate action to ensure that any

transferee receiving property financed with

Federal assistance derived from FTA will

comply with the applicable requirements of

49 U.S.C. 5332 and 49 CFR part 21.

(3) The Applicant assures that it will

promptly take the necessary actions to

effectuate this assurance, including notifying

the public that complaints of discrimination

in the provision of transportation-related

services or benefits may be filed with U.S.

DOT or FTA. Upon request by U.S. DOT or

FTA, the Applicant assures that it will

submit the required information pertaining to

its compliance with these requirements.

(4) The Applicant assures that it will make

any changes in its 49 U.S.C. 5332 and Title

VI implementing procedures as U.S. DOT or

FTA may request.

(5) As required by 49 CFR 21.7(a)(2), the

Applicant will include appropriate clauses in

each third party contract or subagreement to

impose the requirements of 49 CFR part 21

and 49 U.S.C. 5332, and include appropriate

provisions imposing those requirements in

deeds and instruments recording the transfer

of real property, structures, improvements.

G. Assurance of Nondiscrimination on the

Basis of Disability

As required by U.S. DOT regulations,

‘‘Nondiscrimination on the Basis of Handicap

in Programs and Activities Receiving or

Benefiting from Federal Financial

Assistance,’’ at 49 CFR part 27, implementing

the Rehabilitation Act of 1973, as amended,

and the Americans with Disabilities Act of

1990, as amended, the Applicant assures

that, as a condition to the approval or

extension of any Federal assistance awarded

by FTA to construct any facility, obtain any

rolling stock or other equipment, undertake

studies, conduct research, or to participate in

or obtain any benefit from any program

administered by FTA, no otherwise qualified

person with a disability shall be, solely by

reason of that disability, excluded from

participation in, denied the benefits of, or

otherwise subjected to discrimination in any

program or activity receiving or benefiting

from Federal assistance administered by the

FTA or any entity within U.S. DOT. The

Applicant assures that project

implementation and operations so assisted

will comply with all applicable requirements

of U.S. DOT regulations implementing the

Rehabilitation Act of 1973, as amended, and

the Americans with Disabilities Act of 1990,

as amended, at 49 CFR parts 27, 37, and 38,

and any applicable regulations and directives

issued by other Federal departments or

agencies.

H. Procurement Compliance

The Applicant certifies that its

procurements and procurement system will

comply with all applicable requirements

imposed by Federal laws, executive orders,

or regulations and the requirements of FTA

Circular 4220.1D, ‘‘Third Party Contracting

Requirements,’’ and other implementing

requirements FTA may issue. The Applicant

certifies that it will include in its contracts

financed in whole or in part with FTA

assistance all clauses required by Federal

laws, executive orders, or regulations, and

will ensure that each subrecipient and

contractor will also include in its

subagreements and contracts financed in

whole or in part with FTA assistance all

applicable clauses required by Federal laws,

executive orders, or regulations.

II. Lobbying Certification for an Application

Exceeding $100,000

An Applicant that submits, or intends to

submit this fiscal year, an application for

Federal assistance exceeding $100,000 must

provide the following certification. FTA may

not provide Federal assistance for an

application exceeding $100,000 until the

Applicant provides this certification by

selecting Category II on the Signature Page.

A. As required by U.S. DOT regulations,

‘‘New Restrictions on Lobbying,’’ at 49 CFR

20.110, the Applicant’s authorized
Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices 53515

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 FormLLL, ‘‘Disclosure Form to Report Lobbying,’’

including the information required by the

form’s instructions, which may be amended

to omit such information as permitted by 31

U.S.C. 1352.

B. The Applicant understands that this

certification is a material representation of

fact upon which reliance is placed and that

submission of this certification is a

prerequisite for providing Federal assistance

for a transaction covered by 31 U.S.C. 1352.

The Applicant also understands that any

person who fails to file a required

certification shall be subject to a civil penalty

of not less than $10,000 and not more than

$100,000 for each such failure.

III. Effects on Private Mass Transportation

Companies

An Applicant that is a state or local

government seeking Federal assistance under

49 U.S.C. chapter 53 to acquire property or

an interest in property of a private mass

transportation company or operate mass

transportation equipment or a facility in

competition with or in addition to

transportation service provided by an

existing mass transportation company must

provide the following certification. FTA may

not award that Federal assistance until the

Applicant provides this certification by

selecting Category III on the Signature Page.

As required by 49 U.S.C. 5323(a)(1)(B) or

5323(a)(1)(C), the Applicant certifies that

before it acquires property or an interest in

property of a private mass transportation

company or operates mass transportation

equipment or a facility in competition with

or in addition to transportation service

provided by an existing mass transportation

company it has or will have:

A. Provided for the participation of private

mass transportation companies to the

maximum extent feasible; and

B. Paid or will pay just compensation

under state or local law to a private mass

transportation company for its franchises or

property acquired.

IV. Public Hearing Certification for a Capital

Project (Except Urbanized Area Formula

Projects) That Will Substantially Affect a

Community or Its Transit Service

An Applicant seeking Federal assistance

for a capital project authorized by 49 U.S.C.

chapter 53 (except Urbanized Area Formula

Program assistance), that will substantially

affect a community or its transit service must

provide the following certification. FTA may

not award that Federal assistance until the

Applicant provides this certification by

selecting Category IV on the Signature Page.

As required by 49 U.S.C. 5323(b), the

Applicant certifies that it has, or before

submitting its application, will have:

A. Provided an adequate opportunity for a

public hearing with adequate prior notice of

the proposed project published in a

newspaper of general circulation in the

geographic area to be served;

B. Held that hearing and provided FTA a

transcript or detailed report summarizing the

issues and responses, unless no one with a

significant economic, social, or

environmental interest requests a hearing;

C. Considered the economic, social, and

environmental effects of the project; and

D. Determined the project to be consistent

with official plans for developing the urban

area.

V. Certification of Pre-Award and PostDelivery Rolling Stock Reviews Required for

Each Applicant Seeking To Purchase Rolling

Stock Financed With Federal Assistance

Awarded by FTA

An Applicant seeking FTA assistance to

purchase rolling stock must make the

following certification. FTA may not provide

assistance for any rolling stock acquisition

until the Applicant provides this certification

by selecting Category V on the Signature

Page.

As required by 49 U.S.C. 5323(l), and

implementing FTA regulations at 49 CFR

663.7, the Applicant certifies that it will

comply with the requirements of 49 CFR part

663, in the course of purchasing revenue

service rolling stock. Among other things, the

Applicant will conduct or cause to be

conducted the prescribed pre-award and

post-delivery reviews, and will maintain on

file the certifications required by 49 CFR part

663, subparts B, C, and D.

VI. Bus Testing Certification Required for

New Buses

An Applicant seeking FTA assistance to

acquire new buses must make the following

certification. FTA may not provide assistance

for the acquisition of new buses until the

Applicant provides this certification by

selecting Category VI on the Signature Page.

As required by FTA regulations, ‘‘Bus

Testing,’’ at 49 CFR 665.7, the Applicant

certifies that before expending any Federal

assistance to acquire the first bus of any new

bus model or any bus model with a new

major change in configuration or components

or authorizing final acceptance of that bus (as

described in 49 CFR part 665):

A. The model of the bus will have been

tested at a bus testing facility approved by

FTA; and

B. It will have received a copy of the test

report prepared on the bus model.

VII. Charter Service Agreement

An Applicant seeking FTA assistance to

acquire or operate transportation equipment

or facilities acquired with Federal assistance

authorized by 49 U.S.C. chapter 53 (except 49

U.S.C. 5310) or Title 23, U.S.C. must enter

into the following charter service agreement.

FTA may not provide assistance for those

projects until the Applicant enters into this

agreement by selecting Category VII on the

Signature Page.

A. As required by 49 U.S.C. 5323(d) and

FTA regulations, ‘‘Charter Service,’’ at 49

CFR 604.7, the Applicant agrees that it and

its recipients will: (1) Provide charter service

that uses equipment or facilities acquired

with Federal assistance authorized for 49

U.S.C. 5307, 5309, or 5311 or Title 23 U.S.C.,

only to the extent that there are no private

charter service operators willing and able to

provide the charter service that it or its

recipients desire to provide, unless one or

more of the exceptions in 49 CFR 604.9

applies, and (2) comply with the provisions

of 49 CFR part 604 before they provide any

charter service using equipment or facilities

acquired with Federal assistance authorized

for the above statutes.

B. The Applicant understands that the

requirements of 49 CFR part 604 will apply

to any charter service provided, the

definitions in 49 CFR part 604 apply to this

agreement, and violation of this agreement

may require corrective measures and the

imposition of penalties, including debarment

from the receipt of further Federal assistance

for transportation.

VIII. School Transportation Agreement

An Applicant seeking FTA assistance to

acquire or operate transportation facilities

and equipment acquired with Federal

assistance authorized by 49 U.S.C. chapter 53

must agree as follows. FTA may not provide

assistance for transportation facilities until

the Applicant enters into this Agreement by

selecting Category VIII on the Signature Page.

A. As required by 49 U.S.C. 5323(f) and

FTA regulations, ‘‘School Bus Operations,’’ at

49 CFR 605.14, the Applicant agrees that it

and all its recipients will: (1) Engage in

school transportation operations in

competition with private school

transportation operators only to the extent

permitted by an exception provided by 49

U.S.C. 5323(f), and implementing

regulations, and (2) comply with the

requirements of 49 CFR part 605 before

providing any school transportation using

equipment or facilities acquired with Federal

assistance authorized by 49 U.S.C. chapter 53

or Title 23 U.S.C. awarded by FTA for

transportation projects.

B. The Applicant understands that the

requirements of 49 CFR part 605 will apply

to any school transportation it provides, the

definitions of 49 CFR part 605 apply to this

school transportation agreement, and a

violation of this agreement may require

corrective measures and the imposition of

penalties, including debarment from the

receipt of further Federal assistance for

transportation.
53516 Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices

IX. Certification Required for the Direct

Award of FTA Assistance to an Applicant

for its Demand Responsive Service

An Applicant seeking direct Federal

assistance to support its demand responsive

service must provide the following

certification. FTA may not award Federal

assistance directly to an Applicant to support

its demand responsive service until the

Applicant provides this certification by

selecting Category IX on the Signature Page.

As required by U.S. DOT regulations,

‘‘Transportation Services for Individuals with

Disabilities (ADA),’’ at 49 CFR 37.77, the

Applicant certifies that its demand

responsive service offered to persons with

disabilities, including persons who use

wheelchairs, is equivalent to the level and

quality of service offered to persons without

disabilities. When viewed in its entirety, its

service for persons with disabilities is

provided in the most integrated setting

feasible and is equivalent with respect to: (1)

Response time, (2) fares, (3) geographic

service area, (4) hours and days of service, (5)

restrictions on trip purpose, (6) availability of

information and reservation capability, and

(7) constraints on capacity or service

availability.

X. Substance Abuse Certifications

If the Applicant is required by Federal

regulations to provide the following

substance abuse certifications, FTA may not

provide Federal assistance until the

Applicant has selected Category X on the

Signature Page.

A. Alcohol Testing Certification

As required by FTA regulations,

‘‘Prevention of Alcohol Misuse in Transit

Operations,’’ at 49 CFR 654.83, the Applicant

certifies that it has established and

implemented an alcohol misuse prevention

program complying with the requirements of

49 CFR part 654; and if the Applicant has

employees regulated by the Federal Railroad

Administration (FRA), the Applicant also

certifies that it has for those employees an

alcohol misuse prevention program

complying with the requirements of FRA’s

regulations, ‘‘Control of Alcohol and Drug

Use,’’ 49 CFR part 219.

B. Anti-Drug Program Certification

As required by FTA regulations,

‘‘Prevention of Prohibited Drug Use in

Transit Operations,’’ at 49 CFR 653.83,

the Applicant certifies that it has

established and implemented an antidrug program and has conducted

employee training complying with the

requirements of 49 CFR part 653; and if

the Applicant has employees regulated

by the Federal Railroad Administration

(FRA), the Applicant also certifies that

it has for those employees an anti-drug

program complying with the

requirements of FRA’s regulations,

‘‘Control of Alcohol and Drug Use,’’ 49

CFR part 219.

XI. Assurances Required for Projects

Involving Real Property

The Applicant must provide the following

assurances in connection with each

application for Federal assistance to acquire

(purchase or lease) real property. FTA may

not award Federal assistance for a project

involving real property until the Applicant

provides these assurances shown by selecting

Category XI on the Signature Page.

A. Relocation and Real Property Acquisition

Assurance

As required by U.S. DOT regulations,

‘‘Uniform Relocation Assistance and Real

Property Acquisition for Federal and

Federally Assisted Programs,’’ at 49 CFR

24.4, and sections 210 and 305 of the

Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970, as

amended (Uniform Relocation Act), 42 U.S.C.

4630 and 4655, the Applicant assures that it

has the requisite authority under applicable

state and local law and will comply with the

requirements of the Uniform Relocation Act,

42 U.S.C. 4601 et seq., and U.S. DOT

regulations, ‘‘Uniform Relocation Assistance

and Real Property Acquisition for Federal

and Federally Assisted Programs,’’ 49 CFR

part 24 including, but not limited to the

following:

(1) The Applicant will adequately inform

each affected person of the benefits, policies,

and procedures provided for in 49 CFR part

24;

(2) The Applicant will provide fair and

reasonable relocation payments and

assistance required by 42 U.S.C. 4622, 4623,

and 4624; 49 CFR part 24; and any applicable

FTA procedures, to or for families,

individuals, partnerships, corporations or

associations displaced as a result of any

project financed with FTA assistance;

(3) The Applicant will provide relocation

assistance programs offering the services

described in 42 U.S.C. 4625 to such

displaced families, individuals, partnerships,

corporations or associations in the manner

provided in 49 CFR part 24 and FTA

procedures;

(4) Within a reasonable time before

displacement, the Applicant will make

available comparable replacement dwellings

to displaced families and individuals as

required by 42 U.S.C. 4625(c)(3);

(5) The Applicant will carry out the

relocation process in such a manner as to

provide displaced persons with uniform and

consistent services, and will make available

replacement housing in the same range of

choices with respect to such housing to all

displaced persons regardless of race, color,

religion, or national origin; and

(6) In acquiring real property, the

Applicant will be guided to the greatest

extent practicable under state law, by the real

property acquisition policies of 42 U.S.C.

4651 and 4652;

(7) The Applicant will pay or reimburse

property owners for necessary expenses as

specified in 42 U.S.C. 4653 and 4654,

understanding that FTA will participate in

the Applicant’s costs of providing those

payments and that assistance for the project

as required by 42 U.S.C. 4631;

(8) The Applicant will execute such

amendments to third party contracts and

subagreements financed with FTA assistance

and execute, furnish, and be bound by such

additional documents as FTA may determine

necessary to effectuate or implement the

assurances provided herein; and

(9) The Applicant agrees to make these

assurances part of or incorporate them by

reference into any third party contract or

subagreement, or any amendments thereto,

relating to any project financed by FTA

involving relocation or land acquisition and

provide in any affected document that these

relocation and land acquisition provisions

shall supersede any conflicting provisions.

B. Flood Insurance Coverage

As required by section 102(a) of the Flood

Disaster Protection Act of 1973, 42 U.S.C.

4012a(a), the Applicant assures that in the

course of implementing each project financed

with Federal assistance, the Applicant will

obtain appropriate insurance for any real

estate acquired or construction undertaken

thereon within any special flood hazard area

as identified by the Federal Insurance

Administrator. The Applicant understands

that such insurance is available in the

participating area through the U.S. Federal

Emergency Management Agency’s National

Flood Insurance Program.

C. Seismic Assurance

As required by U.S. DOT regulations,

‘‘Seismic Safety,’’ 49 CFR 41.117(d), the

Applicant assures that before it accepts

delivery of any building financed with

Federal assistance provided by FTA, the

Applicant will obtain a certificate of

compliance with the seismic design and

construction requirements of 49 CFR part 41.

XII. Certifications for the Urbanized Area

Formula Program

Each Applicant to FTA for Urbanized Area

Formula Program assistance authorized for

49 U.S.C. 5307 must provide the following

certifications in connection with its

application. FTA may not award Urbanized

Area Formula Program assistance to the

Applicant until the Applicant provides these

certifications and assurances shown by

selecting Category XII on the Signature Page.

A. Certifications Required by Statute

As required by 49 U.S.C. 5307(d)(1) (A)

through (J), the Applicant certifies that:

(1) It has or will have the legal, financial,

and technical capacity to carry out the

proposed program of projects;

(2) It has or will have satisfactory

continuing control over the use of the

equipment and facilities;

(3) It will adequately maintain the

equipment and facilities;

(4) It will ensure that the elderly and

handicapped persons, or any person

presenting a Medicare card issued to himself

or herself under title II or title XVIII of the

Social Security Act (42 U.S.C. 401 et seq. or

42 U.S.C. 1395 et seq.), will be charged

during non-peak hours for transportation

using or involving a facility or equipment of

a project financed with Federal assistance

authorized for 49 U.S.C. 5307 not more than

50 percent of the peak hour fare;

(5) In carrying out a procurement financed

with Federal assistance authorized for the
Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices 53517

Urbanized Area Formula Program at 49

U.S.C. 5307, it will use competitive

procurement (as defined or approved by the

Secretary), it will not use a procurement

using exclusionary or discriminatory

specifications, and it will comply with

applicable Buy America laws in carrying out

a procurement;

(6) It has complied or will comply with the

requirements of 49 U.S.C. 5307(c);

specifically, it has or before submitting its

application it will: (a) Make available to the

public information on amounts available for

the Urbanized Area Formula Program at 49

U.S.C. 5307 and the program of projects it

proposes to undertake with those funds; (b)

develop, in consultation with interested

parties, including private transportation

providers, a proposed program of projects for

activities to be financed; (c) publish a

proposed program of projects in a way that

affected citizens, private transportation

providers, and local elected officials have the

opportunity to examine the proposed

program and submit comments on the

proposed program and the performance of

the Applicant; (d) provide an opportunity for

a public hearing to obtain the views of

citizens on the proposed program of projects;

and (e) ensure that the proposed program of

projects provides for the coordination of

transportation services assisted under 49

U.S.C. 5336 with transportation services

assisted by another Federal Government

source; (f) consider comments and views

received, especially those of private

transportation providers, in preparing the

final program of projects; and (g) make the

final program of projects available to the

public;

(7) It has or will have available and will

provide the amount of funds required by 49

U.S.C. 5307(e) and applicable FTA policy

(specifying Federal and local shares of

project costs);

(8) It will comply with: (a) 49 U.S.C.

5301(a) (requirements to develop

transportation systems that maximize

mobility and minimize fuel consumption and

air pollution); (b) 49 U.S.C. 5301(d)

(requirements for transportation of the

elderly and persons with disabilities); (c) 49

U.S.C. 5303 through 5306 (planning

requirements); and (d) 49 U.S.C. 5310 (a)

through (d) (programs for the elderly and

persons with disabilities);

(9) It has a locally developed process to

solicit and consider public comment before

raising fares or implementing a major

reduction of transportation; and

(10) As required by 49 U.S.C. 5307(d)(1)(J),

it will expend at least one percent of the

amount of Federal assistance it receives for

this fiscal year apportioned by 49 U.S.C. 5336

for transit security projects, including

increased lighting in or adjacent to a transit

system (including bus stops, subway stations,

parking lots, and garages), increased camera

surveillance of an area in or adjacent to that

system, emergency telephone line or lines to

contact law enforcement or security

personnel in an area in or adjacent to that

system, and any other project intended to

increase the security and safety of an existing

or planned transit system; unless it has

decided that it is not necessary to expend one

percent of that Federal assistance this fiscal

year for transit security projects.

B. Certification Required for Capital Leasing

As required by FTA regulations, ‘‘Capital

Leases,’’ 49 CFR at 639.15(b)(1) and 639.21,

to the extent that the Applicant uses Federal

assistance authorized for 49 U.S.C. 5307 to

acquire any capital asset by lease, the

Applicant certifies that:

(1) It will not use Federal assistance

authorized for 49 U.S.C. 5307 to finance the

cost of leasing any capital asset until it

undertakes calculations demonstrating that it

is more cost-effective to lease the capital

asset than to purchase or construct similar

assets;

(2) It will complete these calculations

before entering into the lease or before

receiving a capital grant for the asset,

whichever is later; and

(3) It will not enter into a capital lease for

which FTA can only provide incremental

funding unless it has the financial capacity

to meet its future obligations under the lease

in the event Federal assistance is not

available for capital projects in subsequent

years.

C. Certification Required for Sole Source

Purchase of Associated Capital Maintenance

Item

As required by 49 U.S.C. 5325(c), to the

extent that the Applicant procures an

associated capital maintenance item under

the authority of 49 U.S.C. 5307(b)(1), the

Applicant certifies that it will use

competition to procure an associated capital

maintenance item unless the manufacturer or

supplier of that item is the only source for

the item and the price of the item is no more

than the price similar customers pay for the

item, and maintain sufficient records

pertaining to each such procurement on file

easily retrievable for FTA inspection.

XIII. Certifications and Assurances for the

Elderly and Persons With Disabilities

Program

An Applicant that intends to administer,

on behalf of the state, the Elderly and Persons

with Disabilities Program must provide the

following certifications and assurances. FTA

may not award assistance for the Elderly and

Persons with Disabilities Program until the

Applicant provides these certifications and

assurances by selecting Category XIII on the

Signature Page.

Based on its own knowledge and, as

necessary, on information submitted by the

subrecipient, the Applicant administering on

behalf of the state the Elderly and Persons

with Disabilities Program authorized by 49

U.S.C. 5310 certifies and assures that the

following requirements and conditions will

be fulfilled:

A. The state organization serving as the

Applicant and each subrecipient has or will

have the necessary legal, financial, and

managerial capability to apply for, receive,

and disburse Federal assistance authorized

for 49 U.S.C. 5310; and to implement and

manage the project.

B. The state assures that each subrecipient

either is recognized under state law as a

private nonprofit organization with the legal

capability to contract with the state to carry

out the proposed project, or is a public body

that has met the statutory requirements to

receive Federal assistance authorized for 49

U.S.C. 5310.

C. The subrecipient’s application for 49

U.S.C. 5310 assistance contains information

from which the state concludes that the

transit service provided or offered to be

provided by existing public or private transit

operators is unavailable, insufficient, or

inappropriate to meet the special needs of the

elderly and persons with disabilities.

D. The state assures that sufficient nonFederal funds have been or will be

committed to provide the required local

share.

E. The subrecipient has, or will have by the

time of delivery, sufficient funds to operate

and maintain the vehicles and equipment

purchased with Federal assistance awarded

for this project.

F. The state assures that before issuing the

state’s formal approval of a project, its

Elderly and Persons with Disabilities

Formula Program is included in the

Statewide Transportation Improvement

Program as required by 23 U.S.C. 135; all

projects in urbanized areas recommended for

approval are included in the annual element

of the metropolitan Transportation

Improvement Program in which the

subrecipient is located; and it has obtained

from any public body that is a prospective

subrecipient of capital assistance a

certification that an opportunity for a public

hearing has been provided.

G. The subrecipient has, to the maximum

extent feasible, coordinated with other

transportation providers and users, including

social service agencies authorized to

purchase transit service.

H. The subrecipient is in compliance with

all applicable civil rights requirements, and

has signed the Nondiscrimination Assurance.

(Category I.F., ‘‘Certifications and Assurances

Required of Each Applicant.’’)

I. The subrecipient will comply with

applicable requirements of U.S. DOT

regulations on participation of disadvantaged

business enterprises in U.S. DOT programs.

J. The state will comply with all existing

Federal requirements regarding

transportation of elderly persons and persons

with disabilities. Each subrecipient has

provided to the state an Assurance of

Nondiscrimination on the Basis of Disability,

as set forth in the Certifications and

Assurances required of each applicant for

FTA assistance at Category 1.G of this

document. If non-accessible vehicles are

being purchased for use by a public entity in

demand responsive service for the general

public, the state will obtain from the

subrecipient a ‘‘Certification of Equivalent

Service,’’ which states that when viewed in

its entirety the public entity’s demand

responsive service offered to persons with

disabilities, including persons who use

wheelchairs, meets the standard of

equivalent service set forth in 40 C.F.R.

section 37.77(c).

K. The subrecipient has certified to the

state that it will comply with applicable

provisions of 49 CFR part 605 pertaining to

school transportation operations. (See

Category VIII, ‘‘School Transportation

Agreement.’’)
53518 Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices

L. Unless otherwise noted, each of the

subrecipient’s projects qualifies for a

categorical exclusion and does not require

further environmental approvals, as

described in the joint FHWA/FTA

regulations, ‘‘Environmental Impact and

Related Procedures,’’ at 23 CFR 771.117(c).

The state certifies that financial assistance

will not be provided for any project that does

not qualify for a categorical exclusion

described in 23 CFR 771.117(c) until FTA has

made the required environmental finding.

The state further certifies that no financial

assistance will be provided for a project

requiring a conformity finding in accordance

with the Environmental Protection Agency’s

Clean Air Conformity regulations at 40 CFR

parts 51 and 93, until FTA makes the

required conformity finding.

M. The subrecipient has submitted (or will

submit) all applicable certifications and

assurances currently required, including, but

not limited to: a certification that its

procurements and procurement system will

comply with all applicable requirements

imposed by Federal laws, executive orders,

or regulations and the requirements of FTA

Circular 4220.1D, ‘‘Third Party Contracting

Requirements,’’ and other implementing

requirements FTA may issue; a certification

that its project provides for the participation

of private mass transportation companies to

the maximum extent feasible; a certification

it has paid or will pay just compensation

under state or local law to each private mass

transportation company for its franchise or

property acquired under the project; a

nonprocurement suspension and debarment

certification; a bus testing certification for

new models; a pre-award and post-delivery

review certification; and a lobbying

certification for each application exceeding

$100,000. Certifications and assurances

applicable to and submitted by the

subrecipient should be substantially similar

to the text of parallel certifications and

assurances text of Categories I–XI of this

document, but modified as necessary to

accommodate the subrecipient’s

circumstances.

N. The state will enter into a written

agreement with each subrecipient stating the

terms and conditions of assistance by which

the project will be undertaken and

completed.

O. The state recognizes FTA’s authority to

conduct audits and reviews to verify

compliance with the foregoing requirements

and stipulations.

XIV. Certifications and Assurances for the

Nonurbanized Area Formula Program

An Applicant that intends to administer,

on behalf of the state, the Nonurbanized Area

Formula Program must provide the following

certifications and assurances. FTA may not

award Nonurbanized Area Formula Program

assistance to the Applicant until the

Applicant provides these certifications and

assurances shown by selecting Category XIV

on the Signature Page.

Based on its own knowledge and, as

necessary, on information submitted by the

subrecipient, the Applicant administering on

behalf of the state the Nonurbanized Area

Formula Program authorized by 49 U.S.C.

5311 certifies and assures that the following

requirements and conditions will be fulfilled:

A. The state organization serving as the

Applicant and each subrecipient has or will

have the necessary legal, financial, and

managerial capability to apply for, receive

and disburse Federal assistance authorized

for 49 U.S.C. 5311; and to implement and

manage the project.

B. The state assures that sufficient nonFederal funds have been or will be

committed to provide the required local

share.

C. The subrecipient has, or will have by the

time of delivery, sufficient funds to operate

and maintain the vehicles and equipment

purchased with Federal assistance authorized

for this project.

D. The state assures that before issuing the

state’s formal approval of the project, its

Nonurbanized Area Formula Program is

included in the Statewide Transportation

Improvement Program as required by 23

U.S.C. 135; to the extent applicable, projects

are included in a metropolitan

Transportation Improvement Program, and it

has obtained from the prospective

subrecipient of capital assistance a

certification that an opportunity for a public

hearing has been provided.

E. The state has provided for a fair and

equitable distribution of Federal assistance

authorized for 49 U.S.C. 5311 within the

state, including Indian reservations within

the state.

F. The subrecipient has, to the maximum

extent feasible, coordinated with other

transportation providers and users, including

social service agencies authorized to

purchase transit service.

G. The subrecipient is in compliance with

all applicable civil rights requirements, and

has signed the Nondiscrimination Assurance.

(See Category I.F, ‘‘Certifications and

Assurances Required of Each Applicant.’’)

H. The subrecipient will comply with

applicable requirements of U.S. DOT

regulations on participation of disadvantaged

business enterprise in U.S. DOT programs.

I. The state will comply with all existing

Federal requirements regarding

transportation of elderly persons and persons

with disabilities. Each subrecipient has

provided to the state an Assurance of

Nondiscrimination on the Basis of Disability,

as set forth in the Certifications and

Assurances required of each applicant for

FTA assistance at Category 1.G of this

document. If non-accessible vehicles are

being purchased for use by a public entity in

demand responsive service for the general

public, the state will obtain from the

subrecipient a ‘‘Certification of Equivalent

Service,’’ which states that when viewed in

its entirety the public entity’s demand

responsive service offered to persons with

disabilities, including persons who use

wheelchairs, meets the standard of

equivalent service set forth in 40 CFR section

37.77(c).

J. The subrecipient has complied with the

transit employee protective provisions of 49

U.S.C. 5333(b), by one of the following

actions: (1) Signing the Special Warranty for

the Nonurbanized Area Formula Program, (2)

agreeing to alternative comparable

arrangements approved by the Department of

Labor (DOL), or (3) obtaining a waiver from

DOL; and the state has certified the

subrecipient’s compliance to DOL.

K. The subrecipient has certified to the

state that it will comply with 49 CFR part 604

in the provision of any charter service

provided with equipment or facilities

acquired with FTA assistance, and will also

comply with applicable provisions of 49 CFR

part 605 pertaining to school transportation

operations. (See Category VII, ‘‘Charter

Service Agreement,’’ and Category VIII,

‘‘School Transportation Agreement.’’)

L. Unless otherwise noted, each of the

subrecipient’s projects qualifies for a

categorical exclusion and does not require

further environmental approvals, as

described in the joint FHWA/FTA

regulations, ‘‘Environmental Impact and

Related Procedures,’’ at 23 CFR 771.117(c).

The state certifies that financial assistance

will not be provided for any project that does

not qualify for a categorical exclusion

described in 23 CFR 771.117(c) until FTA has

made the required environmental finding.

The state further certifies that no financial

assistance will be provided for a project

requiring a conformity finding in accordance

with the Environmental Protection Agency’s

Clean Air Conformity regulations at 40 CFR

parts 51 and 93, until FTA makes the

required conformity finding.

M. The subrecipient has submitted (or will

submit) all applicable certifications and

assurances currently required, including but

not limited to: a certification that its

procurements and procurement system will

comply with all applicable requirements

imposed by Federal laws, executive orders,

or regulations and the requirements of FTA

Circular 4220.1D, ‘‘Third Party Contracting

Requirements,’’ and other implementing

requirements FTA may issue, a certification

that its project provides for the participation

of private mass transportation companies to

the maximum extent feasible; a certification

it has paid or will pay just compensation

under state or local law to each private mass

transportation company for its franchise or

property acquired under the project; a

nonprocurement suspension and debarment

certification; a bus testing certification for

new bus models; a pre-award and postdelivery review certification; a lobbying

certification for each application exceeding

$100,000; and if required by FTA, an antidrug program certification and an alcohol

testing certification. Certifications and

assurances applicable to and submitted by

the subrecipient should be substantially

similar to the text of parallel certifications

and assurances text of Categories I-XI of this

document, but modified as necessary to

accommodate the subrecipient’s

circumstances.

N. The state will enter into a written

agreement with each subrecipient stating the

terms and conditions of assistance by which

the project will be undertaken and

completed.

O. The state recognizes FTA’s authority to

conduct audits and reviews to verify

compliance with the foregoing requirements

and stipulations.

P. As required by 49 U.S.C. 5311(f), it will

expend not less than fifteen percent of the
Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices 53519

Federal assistance authorized for 49 U.S.C.

5311(f) it receives during this fiscal year to

carry out a program to develop and support

intercity bus transportation, unless the chief

executive officer of the state or his or her

duly authorized designee certifies that the

intercity bus service needs of the state are

being adequately met.

XV. Certifications and Assurances for

the State Infrastructure Bank Program

A state Applicant for a grant of Federal

assistance for deposit in the Transit Account

of the State Infrastructure Bank (SIB) within

that state must provide the following

certifications and assurances. The Federal

Transit Administration (FTA) may not award

Federal assistance to capitalize a SIB until

the state Applicant provides these

certifications and assurances.

Based on its own knowledge and, as

necessary, on requisite information

submitted by the participating parties, the

state Applicant for Federal assistance for the

Transit Account of its state SIB program,

authorized by section 350 of the National

Highway System Designation Act of 1995

(NHS Act), as amended, 23 U.S.C. 101 note,

certifies and assures that the following

requirements and conditions will be fulfilled

pertaining to any project financed with

Federal assistance derived from the Transit

Account of the SIB:

A. The state organization serving as the

Applicant (state) agrees and assures the

agreement of the SIB and each recipient of

Federal assistance derived from the Transit

Account of the SIB within the state

(subrecipient) that each Project financed with

Federal assistance derived from the Transit

Account will be administered in accordance

with: (1) The requirements of section 350 of

the National Highway System Designation

Act of 1995 (NHS Act), Pub. L. 104–59, Nov.

28, 1995, 23 U.S.C. 101 note, (2) the

provisions of FTA’s NHS Guidelines, and any

amendments thereto, (3) the provisions of

FHWA and FTA Cooperative Agreement with

the state to establish the state’s SIB program,

and (4) the provisions of the FTA Grant

Agreement with the state obligating Federal

assistance for the Transit Account of the SIB,

except that any provision of the Federal

Transit Administration Master Agreement

incorporated by reference into that Grant

Agreement that conflicts with any provision

of FTA’s NHS Guidelines, the provisions of

the Cooperative Agreement establishing the

SIB program within the state, or the text

within the Grant Agreement will not apply.

B. The state agrees to comply with and

assures the compliance of the SIB and each

subrecipient of all applicable requirements

for the SIB program, as those requirements

may be amended from time to time.

C. The state assures that the SIB will

provide Federal assistance from its Transit

Account only for transit capital projects

eligible under section 350 of the NHS Act,

and that those projects will fulfill all

requirements imposed on comparable capital

transit projects financed by FTA.

D. The state understands that the total

amount of funds to be awarded for a Grant

Agreement will not be immediately available

for draw down. Consequently, the state

assures that it will limit the amount of

Federal assistance it draws down for deposit

in the Transit Account of its SIB to amounts

that do not exceed the limitations specified

in the underlying Grant Agreement or the

Approved Project Budget for that Grant

Agreement.

E. The state assures that each subrecipient

has or will have the necessary legal,

financial, and managerial capability to apply

for, receive, and disburse Federal assistance

authorized by Federal statute for use in the

Transit Account of the SIB, and to

implement, manage, operate, and maintain

the project and project property for which

such assistance will support.

F. The state assures that the SIB will

provide Federal assistance derived from the

Transit Account only to a subrecipient that

is either a public or private entity recognized

under state law as having the legal capability

to contract with the state to carry out its

proposed project.

G. The state assures that sufficient nonFederal funds have been or will be

committed to provide the required local

share.

H. The state assures that the SIB will enter

into a written agreement with each

subrecipient stating the terms and conditions

of assistance by which the project will be

undertaken and completed, including

specific provisions that any security or debt

financing instrument the SIB may issue will

contain an express statement that the security

or instrument does not constitute a

commitment, guarantee, or obligation of the

United States.

I. The state assures that before the SIB

enters into an agreement with a subrecipient

under which Federal assistance within the

Transit Account of the SIB will be disbursed

to the subrecipient, the subrecipient’s project

is included in the Statewide Transportation

Improvement Program; all projects in

urbanized areas recommended for approval

are included in the annual element of the

metropolitan Transportation Improvement

Program in which the subrecipient is located;

and it has obtained from each subrecipient of

capital assistance that is also a public body

a certification that an opportunity for a

public hearing has been provided.

J. The state assures that the subrecipient

has, to the maximum extent feasible,

coordinated with other transportation

providers and users, and other interested

parties within the area.

K. The state assures that the subrecipient

is in compliance with all applicable civil

rights requirements, and has signed the

Nondiscrimination Assurance. (See Category

I.F, ‘‘Certifications and Assurances Required

of Each Applicant,’’ of the Federal Fiscal

Year 1998 Certifications and Assurances for

the Federal Transit Administration

Programs.)

L. The state assures that the subrecipient

will comply with applicable requirements of

U.S. DOT regulations on participation of

disadvantaged business enterprises in U.S.

DOT programs.

M. To the extent applicable, the state will

comply with all existing Federal

requirements regarding transportation of

elderly persons and persons with disabilities.

The state assures that the SIB will provide to

the state an Assurance of Nondiscrimination

on the Basis of Disability from each

subrecipient, as set forth in the Certifications

and Assurances required of each Applicant

for FTA assistance. (See Category I.G,

‘‘Certifications and Assurances Required of

Each Applicant,’’ of the Federal Fiscal Year

1998 Certifications and Assurances for the

Federal Transit Administration Programs.) If

non-accessible vehicles are being purchased

for use by a public entity in demand

responsive service for the general public, the

state will obtain from the subrecipient a

‘‘Certification of Equivalent Service,’’ which

states that the public entity’s demand

responsive service offered to persons with

disabilities, including persons who use

wheelchairs, is equivalent to the level and

quality of service the public entity offers to

persons without disabilities. (See Category

IX, ‘‘Certifications Required for the Direct

Award of FTA Assistance to an Applicant for

its Demand Responsive Service,’’ of the

Federal Fiscal Year 1998 Certifications and

Assurances for the Federal Transit

Administration Programs.) This

‘‘Certification of Equivalent Service’’ must

also state that the public entity’s demand

responsive service, when viewed in its

entirety, is provided in the most integrated

setting feasible and has equivalent: (1)

Response time, (2) fares, (3) geographic

service area, (4) hours and days of service, (5)

restrictions or restraints on trip purpose, (6)

availability of information and reservation

capability, and (7) constraints on capacity or

service availability.

N. The state assures that before the SIB

provides Federal assistance from the Transit

Account, each subrecipient will have

complied with the applicable transit

employee protective provisions of 49 U.S.C.

5333(b) as required for that subrecipient and

its project.

O. The state assures that each subrecipient

has certified or will certify to the state that

it will comply with 49 CFR part 604 in the

provision of any charter service provided

with equipment or facilities acquired with

FTA assistance, and will also comply with

applicable provisions of 49 CFR part 605

pertaining to school transportation

operations. (See Category VII, ‘‘Charter

Service Agreement,’’ and Category VIII,

‘‘School Transportation Agreement,’’ of the

Federal Fiscal Year 1998 Certifications and

Assurances for the Federal Transit

Administration Programs.)

P. Unless otherwise noted, the state assures

that each of the subrecipient’s projects

qualifies for a categorical exclusion and does

not require further environmental approvals,

as described in Q. Unless otherwise noted,

the state assures that each of the

subrecipient’s projects qualifies for a

categorical exclusion and does not require

further environmental approvals, as

described in the joint FHWA/FTA

regulations, ‘‘Environmental Impact and

Related Procedures,’’ at 23 CFR 771.117(c).

The state certifies that the SIB will not

provide financial assistance from the Transit

Account for any project that does not qualify

for a categorical exclusion described in 23

CFR 771.117(c) until FTA has made the
53520 Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices

required environmental finding. The state

further certifies that the SIB will provide no

financial assistance from its Transit Account

for a project requiring a conformity finding

in accordance with the Environmental

Protection Agency’s Clean Air Conformity

regulations at 40 CFR parts 51 and 93, until

FTA makes the required conformity finding.

Q. The state assures that the subrecipient

has submitted (or will submit), when

applicable, all certifications and assurances

currently required, including, but not limited

to: a certification that its procurements and

procurement system will comply with all

applicable requirements imposed by Federal

laws, executive orders, or regulations and the

requirements of FTA Circular 4220.1D,

‘‘Third Party Contracting Requirements,’’ and

other implementing requirements FTA may

issue; a certification that its project provides

for the participation of private mass

transportation companies to the maximum

extent feasible; a certification it has paid or

will pay just compensation under state or

local law to each private mass transportation

company for its franchise or property

acquired under the project; a

nonprocurement suspension and debarment

certification; a bus testing certification for

new models; a pre-award and post-delivery

review certification; and a lobbying

certification for each application exceeding

$100,000; assurances FTA requires for

projects involving real property; and if

required by FTA, an anti-drug program

certification and an alcohol testing

certification. Certifications and assurances

applicable to and submitted by the

subrecipient should be substantially similar

to the text of parallel certifications and

assurances of Categories I–XI of the Federal

Fiscal Year 1998 Certifications and

Assurances for the Federal Transit

Administration Programs, but modified as

necessary to accommodate the SIB and the

subrecipient’s circumstances.

R. The state agrees and assures that the SIB

and each subrecipient will agree to permit

FTA, U.S. DOT, and the Comptroller General

to conduct audits to verify compliance with

the foregoing requirements and stipulations.

BILLING CODE 4910–57–P
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53522 Federal Register / Vol. 62, No. 198 / Tuesday, October 14, 1997 / Notices

[FR Doc. 97–26927 Filed 10–10–97; 8:45 am]

BILLING CODE 4910–57–C