[Federal Register Volume 62, Number 198 (Tuesday, October 14, 1997)]
[Notices]
[Pages 53512-53522]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-26927]



[[Page 53511]]

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Part IV





Department of Transportation





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Federal Transit Administration



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Fiscal Year 1998 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements; 
Notice

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

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Fiscal Year 1998 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice.

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SUMMARY: This notice contains FTA's comprehensive compilation of the 
Federal Fiscal Year 1998 certifications and assurances to be used in 
connection with all Federal assistance programs administered by FTA 
during Federal Fiscal Year 1998. (See Appendix A.) These certifications 
and assurances include all annual certifications required by 49 U.S.C. 
5307(d)(1) for FTA's Urbanized Area Formula Program as well as other 
certifications and assurances needed for compliance with various other 
Federal statutes and regulations affecting FTA's assistance programs.

EFFECTIVE DATE: October 14, 1997.

FOR FURTHER INFORMATION CONTACT: Pat Berkley, Office of Program 
Management, Federal Transit Administration, (202) 366-6470; the FTA Web 
Site at http://www.fta.dot.gov; or contact FTA staff in the appropriate 
Regional Office listed below. For copies of other related documents, 
contact Minnie Davis, Office of Public Affairs, Federal Transit 
Administration, (202) 366-1217.

Region 1: Boston

States served: Maine, New Hampshire, Vermont, Connecticut, Rhode 
Island, and Massachusetts, Telephone 617-494-2055

Region 2: New York

States served: New York, New Jersey, and Virgin Islands, Telephone 212-
264-8162

Region 3: Philadelphia

States served: Pennsylvania, Delaware, Maryland, Virginia, West 
Virginia, and District of Columbia, Telephone 215-656-7100

Region 4: Atlanta

States served: Kentucky, North Carolina, South Carolina, Georgia, 
Florida, Alabama, Mississippi, Tennessee, and Puerto Rico, Telephone 
404-562-3500

Region 5: Chicago

States served: Minnesota, Wisconsin, Michigan, Illinois, Indiana, and 
Ohio, Telephone 312-353-2789

Region 6: Dallas/Ft.Worth

States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico, 
Telephone 817-860-9663

Region 7: Kansas City

States served: Missouri, Iowa, Kansas, and Nebraska, Telephone 816-523-
0204

Region 8: Denver

States served: Colorado, Utah, Wyoming, Montana, North Dakota, South 
Dakota, Telephone 303-844-3242

Region 9: San Francisco

States served: California, Hawaii, Guam, Arizona, Nevada, American 
Samoa, and the Northern Mariana Islands, Telephone 415-744-3133

Region 10: Seattle

States served: Idaho, Oregon, Washington, and Alaska, Telephone 206-
220-7954

SUPPLEMENTARY INFORMATION: Before FTA may award a Federal grant or 
cooperative agreement, the applicant must provide to FTA all 
certifications and assurances required by Federal laws and regulations 
for the applicant or its project.
    This notice provides the text of certifications and assurances that 
may be required by law for the various Federal assistance programs 
administered by FTA including the Capital Program; the Urbanized Area 
Formula Program; the Nonurbanized Area Formula Program; the 
Metropolitan Planning Program; the Rural Transit Assistance Program; 
the Elderly and Persons With Disabilities Program; the Human Resource 
Program; the National Training Institute Program; the State Planning 
and Research Program; and the National Planning and Research Program, 
all codified at 49 U.S.C. chapter 53. When administering Federal 
assistance programs authorized by other Federal statutes, such as Title 
23, United States Code, FTA uses these same certifications and 
assurances during Federal Fiscal Year 1998.
    This Notice provides the applicant with a single Signature Page on 
which the applicant and its attorney certifies compliance with all 
certifications and assurances applicable to each grant or cooperative 
agreement for which the applicant wishes to apply in Federal Fiscal 
Year 1998. (See Signature Page of Appendix A.)

Electronic Submission

    FTA has expanded the use of the electronic programs for applicants 
introduced in 1995. The On-Line Program is offered to applicants 
through the Grant Management Information System (GMIS). This is a 
computerized system designed to assist the FTA grantee or recipient of 
a cooperative agreement in managing its FTA assisted projects and their 
budgets. All applicants are encouraged to participate in the On-Line 
Program, which includes the opportunity to certify compliance 
electronically for all certifications and assurances selected among 
those in Appendix A. The Electronic Grant Making and Management 
initiative (EGMM) pilot program also initiated in Federal Fiscal Year 
1995 has proved so successful in reducing time and paper that EGMM will 
continue to be offered to more applicants. This program is presently 
undergoing graphical-user-interface refinement for enhanced 
accessibility. Applicants may contact their Regional Office shown above 
for more information.

1998 Changes

    This 1998 Annual Certifications and Assurances document contains 
two major changes to the previous year's Federal Register publication. 
(1) Starting with this Fiscal Year 1998, all Applicants for FTA capital 
program or formula program assistance, and current Grantees with an 
active project financed with FTA capital program or formula program 
assistance will be required to provide the Appendix A Certifications 
and Assurances within 90 days from the date of this publication or with 
its first grant application in Fiscal Year 1998, whichever comes first.
    (2) The attorney signature from previous years on the Single 
Signature Page will no longer be acceptable. FTA requires a current 
attorney's affirmation of the Applicant's legal authority to certify 
compliance with the funding obligations in this document. Additional 
changes include clarification and reference sources. It is important 
that each applicant be familiar with all fifteen categories contained 
in this document as it is a prerequisite for receiving FTA financial 
assistance.
    FTA directs your attention to Appendix C in FTA Circular 9300.1, 
``Capital Program Grant Application Instructions,'' which was published 
on September 29, 1995; to Exhibit D in FTA Circular 9040.1D, dated May 
3, 1997, ``Nonurbanized Area Formula Program Guidance and Grant 
Application Instructions; and Appendix G of FTA Circular 9030.1B, dated 
October 10, 1996, Urbanized Area Formula Program: Grant Application 
Instructions. These circulars contain a previous version of the Annual 
Certifications and Assurances which includes some but

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not all of the most current and valid changes. Do not use the document 
contained in these circulars. They are examples only and will not be 
considered acceptable or valid. Therefore the provisions of this Notice 
supersede conflicting statements in those circulars. Note especially 
that the Applicant must use the most current Signature Pages shown in 
this Federal Fiscal Year 1998 Federal Register document or provided 
concurrently through the EGMM initiative discussed above. A copy of an 
earlier fiscal year's Certification Signature page is not acceptable.

Background

    With the publication of the Federal Fiscal Year 1995 version of 
this notice, certifications and assurances for Federal assistance 
programs administered by FTA were for the first time consolidated into 
one document. This marked the beginning of an effort to assist 
applicants in reducing time and paper work in certifying compliance 
with various Federal laws and regulations. It coincided with the On-
Line Program and the EGMM initiative described above, which also 
reduced the time and paper required to process an application.
    FTA intends to continue publishing this document annually with any 
changes or additions specifically highlighted, in conjunction with its 
publication of the FTA annual apportionment Notice, which allocates 
funds in accordance with the latest U.S. Department of Transportation 
(U.S. DOT) annual appropriations act.

Procedures

    Following is a detailed compilation of Certifications and 
Assurances and the Signature Page (Appendix A). The Signature Page is 
to be signed by the applicant's authorized representative and its 
attorney, and sent or electronically transmitted through the FTA 
computerized on-line system, to the appropriate FTA Regional office 
within 90 days of this Federal Register publication date, or with the 
applicant's first Federal assistance application in Federal Fiscal Year 
1998, whichever comes first.
    All applicants are advised to read the entire 1998 Certifications 
and Assurances to be confident of their responsibilities and 
commitments. The applicant may signify compliance with all Categories 
by placing a single ``X'' in the appropriate space at the top of the 
Signature Selection Page in Appendix A. However, the applicant's 
Attorney Affirmation continues to be required as indicated on the 
Signature Page at the end of Appendix A, regardless of the applicant's 
selection of a single selection for all fifteen Categories, or 
individual options selection from the fifteen Categories.
    The Signature Page, when properly signed and submitted, or 
electronically transmitted to FTA, assures FTA that the applicant 
intends to comply with the requirements for the specific program/s 
involved, should they apply for a FTA grant during this fiscal year. 
All applicants must read the selection portion and the signature 
portion of this document and signify compliance by marking where 
appropriate with an ``X'' on the category selection side, and then 
signifying compliance as indicated. (See Appendix A.) An applicant 
participating in the On-Line Program or the EGMM Program described 
above, may submit its Signature Page (both the selection side and the 
signature side) electronically. The applicant should not hesitate to 
consult with the appropriate Regional Office or Headquarters Office 
before submitting its certifications and assurances.

References

    49 U.S.C. chapter 53, Title 23 U.S.C., 42 U.S.C. 4151, Title VI and 
Title VII of the Civil Rights Act, FTA regulations under 49 CFR, and 
FTA Circulars.

    Issued: October 6, 1997.
Gordon J. Linton,
Administrator.

Appendix A

Federal Fiscal Year 1998 Certifications and Assurances for Federal 
Transit Administration Assistance Programs

    Each Applicant is requested to provide as many of the following 
certifications and assurances necessary to cover the various types 
of Federal assistance programs for which the Applicant intends to 
seek Federal assistance from FTA in Federal Fiscal Year 1998. A 
state making certifications and assurances on behalf of its 
prospective subrecipients is expected to obtain sufficient 
documentation from those subrecipients as necessary for the state to 
make informed certifications and assurances. The fifteen categories 
of certifications and assurances are listed by Roman numerals I 
through XV on the other side of the Signature Page document. 
Categories II through XV will apply to some, but not all applicants. 
The categories correspond to the following descriptions of 
circumstances mandating submission of specific certifications, 
assurances, or agreements:

I. Certifications and Assurances Required of Each Applicant

    Each Applicant for Federal assistance awarded by FTA must make 
all certifications and assurances in this Category I. Accordingly, 
FTA may not award any Federal assistance until the Applicant 
provides assurance of compliance by selecting Category I on the 
Signature Page at the end of this document.

A. Authority of Applicant and Its Representative

    The authorized representative of the Applicant and legal counsel 
who sign these certifications, assurances, and agreements attest 
that both the Applicant and its authorized representative have 
adequate authority under state and local law and the by-laws or 
internal rules of the Applicant organization to:
    (1) Execute and file the application for Federal assistance on 
behalf of the Applicant,
    (2) Execute and file the required certifications, assurances, 
and agreements on behalf of the Applicant binding the Applicant, and
    (3) Execute grant and cooperative agreements with FTA on behalf 
of the Applicant.

B. Standard Assurances

    The Applicant assures that it will comply with all applicable 
Federal statutes, regulations, executive orders, FTA circulars, and 
other Federal administrative requirements in carrying out any grant 
or cooperative agreement awarded by FTA. The Applicant acknowledges 
that it is under a continuing obligation to comply with the terms 
and conditions of the grant or cooperative agreement issued for its 
approved project with FTA. The Applicant understands that Federal 
laws, regulations, policies, and administrative practices might be 
modified from time to time and affect the implementation of the 
project. The Applicant agrees that the most recent Federal 
requirements will apply to the project, unless FTA issues a written 
determination otherwise.

C. Debarment, Suspension, and Other Responsibility Matters--Primary 
Covered Transactions

    As required by U.S. DOT regulations on Governmentwide Debarment 
and Suspension (Nonprocurement) at 49 CFR 29.510:
    (1) The Applicant (Primary Participant) certifies to the best of 
its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal department or agency;
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
state, or local) transaction or contract under a public transaction; 
violation of Federal or state antitrust statutes; or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, state, or local) 
with commission of any of the offenses listed in paragraph (2) of 
this certification; and

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    (d) Have not within a three-year period preceding this 
certification had one or more public transactions (Federal, state, 
or local) terminated for cause or default.
    (2) The Applicant also certifies that if, later, it becomes 
aware of any information contradicting the statements of paragraphs 
(a) through (d) above, it will promptly provide that information to 
FTA.
    (3) If the Applicant (Primary Participant) is unable to certify 
to the statements within paragraphs (1) and (2) above, it shall 
indicate so on its Signature Page and provide a written explanation 
to FTA.

D. Drug-Free Workplace Certification

    As required by U.S. DOT regulations on Drug-Free Workplace 
Requirements (Grants) at 49 CFR 29.630, the Applicant certifies that 
it will provide a drug-free workplace by:
    (1) Publishing a statement notifying its employees that the 
unlawful manufacture, distribution, dispensing, possession, or use 
of a controlled substance is prohibited in the Applicant's workplace 
and specifying the actions that will be taken against its employees 
for violation of that prohibition;
    (2) Establishing an ongoing drug-free awareness program to 
inform its employees about: (a) the dangers of drug abuse in the 
workplace; (b) the Applicant's policy of maintaining a drug-free 
workplace; (c) any available drug counseling, rehabilitation, and 
employee assistance programs; and (d) the penalties that may be 
imposed upon its employees for drug abuse violations occurring in 
the workplace;
    (3) Making it a requirement that each of its employees to be 
engaged in the performance of the grant or cooperative agreement be 
given a copy of the statement required by paragraph (1);
    (4) Notifying each of its employees in the statement required by 
paragraph (1) that, as a condition of employment financed with 
Federal assistance provided by the grant or cooperative agreement, 
the employee will: (a) abide by the terms of the statement, and (b) 
notify the employer (Applicant) in writing of his or her conviction 
for a violation of a criminal drug statute occurring in the 
workplace no later than 5 calendar days after that conviction;
    (5) Notifying FTA in writing, within 10 calendar days after 
receiving notice required by paragraph (4)(b) above from an employee 
or otherwise receiving actual notice of that conviction. The 
Applicant, which is the employer of any convicted employee must 
provide notice, including position title, to every project officer 
or other designee on whose project activity the Applicant's 
convicted employee was working. Notice shall include the 
identification number(s) of each affected grant or cooperative 
agreement.
    (6) Taking one of the following actions within 30 calendar days 
of receiving notice under paragraph (4)(b) above with respect to any 
employee who is so convicted: (a) By taking appropriate personnel 
action against that employee, up to and including termination, 
consistent with the requirements of the Rehabilitation Act of 1973, 
as amended, or (b) by requiring that employee to participate 
satisfactorily in a drug abuse assistance or rehabilitation program 
approved for such purposes by a Federal, state, or local health, law 
enforcement, or other appropriate agency;
    (7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3), 
(4), (5), and (6) above. The Applicant has or will provide to FTA a 
list identifying its headquarters location and each workplace it 
maintains in which project activities supported by FTA are 
conducted.

E. Intergovernmental Review Assurance

    The Applicant assures that each application for Federal 
assistance submitted to FTA has been or will be submitted, as 
required by each state, for intergovernmental review to the 
appropriate state and local agencies. Specifically, the Applicant 
assures that it has fulfilled or will fulfill the obligations 
imposed on FTA by U.S. DOT regulations, ``Intergovernmental Review 
of the Department of Transportation Programs and Activities,'' 49 
CFR part 17.

F. Nondiscrimination Assurance

    As required by 49 U.S.C. 5332, Title VI of the Civil Rights Act 
of 1964, as amended, 42 U.S.C. 2000d, and U.S. DOT regulations, 
``Nondiscrimination in Federally-Assisted Programs of the Department 
of Transportation--Effectuation of Title VI of the Civil Rights 
Act,'' 49 CFR part 21 at 21.7, the Applicant assures that it will 
comply with all requirements of 49 CFR part 21; FTA
    Circular 4702.1, ``Title VI Program Guidelines for Federal 
Transit Administration Recipients''; and other applicable 
directives, so that no person in the United States, on the basis of 
race, color, national origin, creed, sex, or age will be excluded 
from participation in, be denied the benefits of, or otherwise be 
subjected to discrimination in any program or activity (particularly 
in the level and quality of transportation services and 
transportation-related benefits) for which the Applicant receives 
Federal assistance awarded by the U.S. DOT or FTA as follows:
    (1) The Applicant assures that each project will be conducted, 
property acquisitions will be undertaken, and project facilities 
will be operated in accordance with all applicable requirements of 
49 U.S.C. 5332 and 49 CFR part 21, and understands that this 
assurance extends to its entire facility and to facilities operated 
in connection with the project.
    (2) The Applicant assures that it will take appropriate action 
to ensure that any transferee receiving property financed with 
Federal assistance derived from FTA will comply with the applicable 
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
    (3) The Applicant assures that it will promptly take the 
necessary actions to effectuate this assurance, including notifying 
the public that complaints of discrimination in the provision of 
transportation-related services or benefits may be filed with U.S. 
DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures 
that it will submit the required information pertaining to its 
compliance with these requirements.
    (4) The Applicant assures that it will make any changes in its 
49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or 
FTA may request.
    (5) As required by 49 CFR 21.7(a)(2), the Applicant will include 
appropriate clauses in each third party contract or subagreement to 
impose the requirements of 49 CFR part 21 and 49 U.S.C. 5332, and 
include appropriate provisions imposing those requirements in deeds 
and instruments recording the transfer of real property, structures, 
improvements.

G. Assurance of Nondiscrimination on the Basis of Disability

    As required by U.S. DOT regulations, ``Nondiscrimination on the 
Basis of Handicap in Programs and Activities Receiving or Benefiting 
from Federal Financial Assistance,'' at 49 CFR part 27, implementing 
the Rehabilitation Act of 1973, as amended, and the Americans with 
Disabilities Act of 1990, as amended, the Applicant assures that, as 
a condition to the approval or extension of any Federal assistance 
awarded by FTA to construct any facility, obtain any rolling stock 
or other equipment, undertake studies, conduct research, or to 
participate in or obtain any benefit from any program administered 
by FTA, no otherwise qualified person with a disability shall be, 
solely by reason of that disability, excluded from participation in, 
denied the benefits of, or otherwise subjected to discrimination in 
any program or activity receiving or benefiting from Federal 
assistance administered by the FTA or any entity within U.S. DOT. 
The Applicant assures that project implementation and operations so 
assisted will comply with all applicable requirements of U.S. DOT 
regulations implementing the Rehabilitation Act of 1973, as amended, 
and the Americans with Disabilities Act of 1990, as amended, at 49 
CFR parts 27, 37, and 38, and any applicable regulations and 
directives issued by other Federal departments or agencies.

H. Procurement Compliance

    The Applicant certifies that its procurements and procurement 
system will comply with all applicable requirements imposed by 
Federal laws, executive orders, or regulations and the requirements 
of FTA Circular 4220.1D, ``Third Party Contracting Requirements,'' 
and other implementing requirements FTA may issue. The Applicant 
certifies that it will include in its contracts financed in whole or 
in part with FTA assistance all clauses required by Federal laws, 
executive orders, or regulations, and will ensure that each 
subrecipient and contractor will also include in its subagreements 
and contracts financed in whole or in part with FTA assistance all 
applicable clauses required by Federal laws, executive orders, or 
regulations.

II. Lobbying Certification for an Application Exceeding $100,000

    An Applicant that submits, or intends to submit this fiscal 
year, an application for Federal assistance exceeding $100,000 must 
provide the following certification. FTA may not provide Federal 
assistance for an application exceeding $100,000 until the Applicant 
provides this certification by selecting Category II on the 
Signature Page.
    A. As required by U.S. DOT regulations, ``New Restrictions on 
Lobbying,'' at 49 CFR 20.110, the Applicant's authorized

[[Page 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 Form-LLL, ``Disclosure Form to Report Lobbying,'' 
including the information required by the form's instructions, which 
may be amended to omit such information as permitted by 31 U.S.C. 
1352.
    B. The Applicant understands that this certification is a 
material representation of fact upon which reliance is placed and 
that submission of this certification is a prerequisite for 
providing Federal assistance for a transaction covered by 31 U.S.C. 
1352. The Applicant also understands that any person who fails to 
file a required certification shall be subject to a civil penalty of 
not less than $10,000 and not more than $100,000 for each such 
failure.

III. Effects on Private Mass Transportation Companies

    An Applicant that is a state or local government seeking Federal 
assistance under 49 U.S.C. chapter 53 to acquire property or an 
interest in property of a private mass transportation company or 
operate mass transportation equipment or a facility in competition 
with or in addition to transportation service provided by an 
existing mass transportation company must provide the following 
certification. FTA may not award that Federal assistance until the 
Applicant provides this certification by selecting Category III on 
the Signature Page.
    As required by 49 U.S.C. 5323(a)(1)(B) or 5323(a)(1)(C), the 
Applicant certifies that before it acquires property or an interest 
in property of a private mass transportation company or operates 
mass transportation equipment or a facility in competition with or 
in addition to transportation service provided by an existing mass 
transportation company it has or will have:
    A. Provided for the participation of private mass transportation 
companies to the maximum extent feasible; and
    B. Paid or will pay just compensation under state or local law 
to a private mass transportation company for its franchises or 
property acquired.

IV. Public Hearing Certification for a Capital Project (Except 
Urbanized Area Formula Projects) That Will Substantially Affect a 
Community or Its Transit Service

    An Applicant seeking Federal assistance for a capital project 
authorized by 49 U.S.C. chapter 53 (except Urbanized Area Formula 
Program assistance), that will substantially affect a community or 
its transit service must provide the following certification. FTA 
may not award that Federal assistance until the Applicant provides 
this certification by selecting Category IV on the Signature Page.
    As required by 49 U.S.C. 5323(b), the Applicant certifies that 
it has, or before submitting its application, will have:
    A. Provided an adequate opportunity for a public hearing with 
adequate prior notice of the proposed project published in a 
newspaper of general circulation in the geographic area to be 
served;
    B. Held that hearing and provided FTA a transcript or detailed 
report summarizing the issues and responses, unless no one with a 
significant economic, social, or environmental interest requests a 
hearing;
    C. Considered the economic, social, and environmental effects of 
the project; and
    D. Determined the project to be consistent with official plans 
for developing the urban area.

V. Certification of Pre-Award and Post-Delivery Rolling Stock Reviews 
Required for Each Applicant Seeking To Purchase Rolling Stock Financed 
With Federal Assistance Awarded by FTA

    An Applicant seeking FTA assistance to purchase rolling stock 
must make the following certification. FTA may not provide 
assistance for any rolling stock acquisition until the Applicant 
provides this certification by selecting Category V on the Signature 
Page.
    As required by 49 U.S.C. 5323(l), and implementing FTA 
regulations at 49 CFR 663.7, the Applicant certifies that it will 
comply with the requirements of 49 CFR part 663, in the course of 
purchasing revenue service rolling stock. Among other things, the 
Applicant will conduct or cause to be conducted the prescribed pre-
award and post-delivery reviews, and will maintain on file the 
certifications required by 49 CFR part 663, subparts B, C, and D.

VI. Bus Testing Certification Required for New Buses

    An Applicant seeking FTA assistance to acquire new buses must 
make the following certification. FTA may not provide assistance for 
the acquisition of new buses until the Applicant provides this 
certification by selecting Category VI on the Signature Page.
    As required by FTA regulations, ``Bus Testing,'' at 49 CFR 
665.7, the Applicant certifies that before expending any Federal 
assistance to acquire the first bus of any new bus model or any bus 
model with a new major change in configuration or components or 
authorizing final acceptance of that bus (as described in 49 CFR 
part 665):
    A. The model of the bus will have been tested at a bus testing 
facility approved by FTA; and
    B. It will have received a copy of the test report prepared on 
the bus model.

VII. Charter Service Agreement

    An Applicant seeking FTA assistance to acquire or operate 
transportation equipment or facilities acquired with Federal 
assistance authorized by 49 U.S.C. chapter 53 (except 49 U.S.C. 
5310) or Title 23, U.S.C. must enter into the following charter 
service agreement. FTA may not provide assistance for those projects 
until the Applicant enters into this agreement by selecting Category 
VII on the Signature Page.
    A. As required by 49 U.S.C. 5323(d) and FTA regulations, 
``Charter Service,'' at 49 CFR 604.7, the Applicant agrees that it 
and its recipients will: (1) Provide charter service that uses 
equipment or facilities acquired with Federal assistance authorized 
for 49 U.S.C. 5307, 5309, or 5311 or Title 23 U.S.C., only to the 
extent that there are no private charter service operators willing 
and able to provide the charter service that it or its recipients 
desire to provide, unless one or more of the exceptions in 49 CFR 
604.9 applies, and (2) comply with the provisions of 49 CFR part 604 
before they provide any charter service using equipment or 
facilities acquired with Federal assistance authorized for the above 
statutes.
    B. The Applicant understands that the requirements of 49 CFR 
part 604 will apply to any charter service provided, the definitions 
in 49 CFR part 604 apply to this agreement, and violation of this 
agreement may require corrective measures and the imposition of 
penalties, including debarment from the receipt of further Federal 
assistance for transportation.

VIII. School Transportation Agreement

    An Applicant seeking FTA assistance to acquire or operate 
transportation facilities and equipment acquired with Federal 
assistance authorized by 49 U.S.C. chapter 53 must agree as follows. 
FTA may not provide assistance for transportation facilities until 
the Applicant enters into this Agreement by selecting Category VIII 
on the Signature Page.
    A. As required by 49 U.S.C. 5323(f) and FTA regulations, 
``School Bus Operations,'' at 49 CFR 605.14, the Applicant agrees 
that it and all its recipients will: (1) Engage in school 
transportation operations in competition with private school 
transportation operators only to the extent permitted by an 
exception provided by 49 U.S.C. 5323(f), and implementing 
regulations, and (2) comply with the requirements of 49 CFR part 605 
before providing any school transportation using equipment or 
facilities acquired with Federal assistance authorized by 49 U.S.C. 
chapter 53 or Title 23 U.S.C. awarded by FTA for transportation 
projects.
    B. The Applicant understands that the requirements of 49 CFR 
part 605 will apply to any school transportation it provides, the 
definitions of 49 CFR part 605 apply to this school transportation 
agreement, and a violation of this agreement may require corrective 
measures and the imposition of penalties, including debarment from 
the receipt of further Federal assistance for transportation.

[[Page 53516]]

IX. Certification Required for the Direct Award of FTA Assistance to an 
Applicant for its Demand Responsive Service

    An Applicant seeking direct Federal assistance to support its 
demand responsive service must provide the following certification. 
FTA may not award Federal assistance directly to an Applicant to 
support its demand responsive service until the Applicant provides 
this certification by selecting Category IX on the Signature Page.
    As required by U.S. DOT regulations, ``Transportation Services 
for Individuals with Disabilities (ADA),'' at 49 CFR 37.77, the 
Applicant certifies that its demand responsive service offered to 
persons with disabilities, including persons who use wheelchairs, is 
equivalent to the level and quality of service offered to persons 
without disabilities. When viewed in its entirety, its service for 
persons with disabilities is provided in the most integrated setting 
feasible and is equivalent with respect to: (1) Response time, (2) 
fares, (3) geographic service area, (4) hours and days of service, 
(5) restrictions on trip purpose, (6) availability of information 
and reservation capability, and (7) constraints on capacity or 
service availability.

X. Substance Abuse Certifications

    If the Applicant is required by Federal regulations to provide 
the following substance abuse certifications, FTA may not provide 
Federal assistance until the Applicant has selected Category X on 
the Signature Page.

A. Alcohol Testing Certification

    As required by FTA regulations, ``Prevention of Alcohol Misuse 
in Transit Operations,'' at 49 CFR 654.83, the Applicant certifies 
that it has established and implemented an alcohol misuse prevention 
program complying with the requirements of 49 CFR part 654; and if 
the Applicant has employees regulated by the Federal Railroad 
Administration (FRA), the Applicant also certifies that it has for 
those employees an alcohol misuse prevention program complying with 
the requirements of FRA's regulations, ``Control of Alcohol and Drug 
Use,'' 49 CFR part 219.

B. Anti-Drug Program Certification

    As required by FTA regulations, ``Prevention of Prohibited Drug Use 
in Transit Operations,'' at 49 CFR 653.83, the Applicant certifies that 
it has established and implemented an anti-drug program and has 
conducted employee training complying with the requirements of 49 CFR 
part 653; and if the Applicant has employees regulated by the Federal 
Railroad Administration (FRA), the Applicant also certifies that it has 
for those employees an anti-drug program complying with the 
requirements of FRA's regulations, ``Control of Alcohol and Drug Use,'' 
49 CFR part 219.

XI. Assurances Required for Projects Involving Real Property

    The Applicant must provide the following assurances in 
connection with each application for Federal assistance to acquire 
(purchase or lease) real property. FTA may not award Federal 
assistance for a project involving real property until the Applicant 
provides these assurances shown by selecting Category XI on the 
Signature Page.

A. Relocation and Real Property Acquisition Assurance

    As required by U.S. DOT regulations, ``Uniform Relocation 
Assistance and Real Property Acquisition for Federal and Federally 
Assisted Programs,'' at 49 CFR 24.4, and sections 210 and 305 of the 
Uniform Relocation Assistance and Real Property Acquisition Policies 
Act of 1970, as amended (Uniform Relocation Act), 42 U.S.C. 4630 and 
4655, the Applicant assures that it has the requisite authority 
under applicable state and local law and will comply with the 
requirements of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., 
and U.S. DOT regulations, ``Uniform Relocation Assistance and Real 
Property Acquisition for Federal and Federally Assisted Programs,'' 
49 CFR part 24 including, but not limited to the following:
    (1) The Applicant will adequately inform each affected person of 
the benefits, policies, and procedures provided for in 49 CFR part 
24;
    (2) The Applicant will provide fair and reasonable relocation 
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624; 
49 CFR part 24; and any applicable FTA procedures, to or for 
families, individuals, partnerships, corporations or associations 
displaced as a result of any project financed with FTA assistance;
    (3) The Applicant will provide relocation assistance programs 
offering the services described in 42 U.S.C. 4625 to such displaced 
families, individuals, partnerships, corporations or associations in 
the manner provided in 49 CFR part 24 and FTA procedures;
    (4) Within a reasonable time before displacement, the Applicant 
will make available comparable replacement dwellings to displaced 
families and individuals as required by 42 U.S.C. 4625(c)(3);
    (5) The Applicant will carry out the relocation process in such 
a manner as to provide displaced persons with uniform and consistent 
services, and will make available replacement housing in the same 
range of choices with respect to such housing to all displaced 
persons regardless of race, color, religion, or national origin; and
    (6) In acquiring real property, the Applicant will be guided to 
the greatest extent practicable under state law, by the real 
property acquisition policies of 42 U.S.C. 4651 and 4652;
    (7) The Applicant will pay or reimburse property owners for 
necessary expenses as specified in 42 U.S.C. 4653 and 4654, 
understanding that FTA will participate in the Applicant's costs of 
providing those payments and that assistance for the project as 
required by 42 U.S.C. 4631;
    (8) The Applicant will execute such amendments to third party 
contracts and subagreements financed with FTA assistance and 
execute, furnish, and be bound by such additional documents as FTA 
may determine necessary to effectuate or implement the assurances 
provided herein; and
    (9) The Applicant agrees to make these assurances part of or 
incorporate them by reference into any third party contract or 
subagreement, or any amendments thereto, relating to any project 
financed by FTA involving relocation or land acquisition and provide 
in any affected document that these relocation and land acquisition 
provisions shall supersede any conflicting provisions.

B. Flood Insurance Coverage

    As required by section 102(a) of the Flood Disaster Protection 
Act of 1973, 42 U.S.C. 4012a(a), the Applicant assures that in the 
course of implementing each project financed with Federal 
assistance, the Applicant will obtain appropriate insurance for any 
real estate acquired or construction undertaken thereon within any 
special flood hazard area as identified by the Federal Insurance 
Administrator. The Applicant understands that such insurance is 
available in the participating area through the U.S. Federal 
Emergency Management Agency's National Flood Insurance Program.

C. Seismic Assurance

    As required by U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 
41.117(d), the Applicant assures that before it accepts delivery of 
any building financed with Federal assistance provided by FTA, the 
Applicant will obtain a certificate of compliance with the seismic 
design and construction requirements of 49 CFR part 41.

XII. Certifications for the Urbanized Area Formula Program

    Each Applicant to FTA for Urbanized Area Formula Program 
assistance authorized for 49 U.S.C. 5307 must provide the following 
certifications in connection with its application. FTA may not award 
Urbanized Area Formula Program assistance to the Applicant until the 
Applicant provides these certifications and assurances shown by 
selecting Category XII on the Signature Page.

A. Certifications Required by Statute

    As required by 49 U.S.C. 5307(d)(1) (A) through (J), the 
Applicant certifies that:
    (1) It has or will have the legal, financial, and technical 
capacity to carry out the proposed program of projects;
    (2) It has or will have satisfactory continuing control over the 
use of the equipment and facilities;
    (3) It will adequately maintain the equipment and facilities;
    (4) It will ensure that the elderly and handicapped persons, or 
any person presenting a Medicare card issued to himself or herself 
under title II or title XVIII of the Social Security Act (42 U.S.C. 
401 et seq. or 42 U.S.C. 1395 et seq.), will be charged during non-
peak hours for transportation using or involving a facility or 
equipment of a project financed with Federal assistance authorized 
for 49 U.S.C. 5307 not more than 50 percent of the peak hour fare;
    (5) In carrying out a procurement financed with Federal 
assistance authorized for the

[[Page 53517]]

Urbanized Area Formula Program at 49 U.S.C. 5307, it will use 
competitive procurement (as defined or approved by the Secretary), 
it will not use a procurement using exclusionary or discriminatory 
specifications, and it will comply with applicable Buy America laws 
in carrying out a procurement;
    (6) It has complied or will comply with the requirements of 49 
U.S.C. 5307(c); specifically, it has or before submitting its 
application it will: (a) Make available to the public information on 
amounts available for the Urbanized Area Formula Program at 49 
U.S.C. 5307 and the program of projects it proposes to undertake 
with those funds; (b) develop, in consultation with interested 
parties, including private transportation providers, a proposed 
program of projects for activities to be financed; (c) publish a 
proposed program of projects in a way that affected citizens, 
private transportation providers, and local elected officials have 
the opportunity to examine the proposed program and submit comments 
on the proposed program and the performance of the Applicant; (d) 
provide an opportunity for a public hearing to obtain the views of 
citizens on the proposed program of projects; and (e) ensure that 
the proposed program of projects provides for the coordination of 
transportation services assisted under 49 U.S.C. 5336 with 
transportation services assisted by another Federal Government 
source; (f) consider comments and views received, especially those 
of private transportation providers, in preparing the final program 
of projects; and (g) make the final program of projects available to 
the public;
    (7) It has or will have available and will provide the amount of 
funds required by 49 U.S.C. 5307(e) and applicable FTA policy 
(specifying Federal and local shares of project costs);
    (8) It will comply with: (a) 49 U.S.C. 5301(a) (requirements to 
develop transportation systems that maximize mobility and minimize 
fuel consumption and air pollution); (b) 49 U.S.C. 5301(d) 
(requirements for transportation of the elderly and persons with 
disabilities); (c) 49 U.S.C. 5303 through 5306 (planning 
requirements); and (d) 49 U.S.C. 5310 (a) through (d) (programs for 
the elderly and persons with disabilities);
    (9) It has a locally developed process to solicit and consider 
public comment before raising fares or implementing a major 
reduction of transportation; and
    (10) As required by 49 U.S.C. 5307(d)(1)(J), it will expend at 
least one percent of the amount of Federal assistance it receives 
for this fiscal year apportioned by 49 U.S.C. 5336 for transit 
security projects, including increased lighting in or adjacent to a 
transit system (including bus stops, subway stations, parking lots, 
and garages), increased camera surveillance of an area in or 
adjacent to that system, emergency telephone line or lines to 
contact law enforcement or security personnel in an area in or 
adjacent to that system, and any other project intended to increase 
the security and safety of an existing or planned transit system; 
unless it has decided that it is not necessary to expend one percent 
of that Federal assistance this fiscal year for transit security 
projects.

B. Certification Required for Capital Leasing

    As required by FTA regulations, ``Capital Leases,'' 49 CFR at 
639.15(b)(1) and 639.21, to the extent that the Applicant uses 
Federal assistance authorized for 49 U.S.C. 5307 to acquire any 
capital asset by lease, the Applicant certifies that:
    (1) It will not use Federal assistance authorized for 49 U.S.C. 
5307 to finance the cost of leasing any capital asset until it 
undertakes calculations demonstrating that it is more cost-effective 
to lease the capital asset than to purchase or construct similar 
assets;
    (2) It will complete these calculations before entering into the 
lease or before receiving a capital grant for the asset, whichever 
is later; and
    (3) It will not enter into a capital lease for which FTA can 
only provide incremental funding unless it has the financial 
capacity to meet its future obligations under the lease in the event 
Federal assistance is not available for capital projects in 
subsequent years.

C. Certification Required for Sole Source Purchase of Associated 
Capital Maintenance Item

    As required by 49 U.S.C. 5325(c), to the extent that the 
Applicant procures an associated capital maintenance item under the 
authority of 49 U.S.C. 5307(b)(1), the Applicant certifies that it 
will use competition to procure an associated capital maintenance 
item unless the manufacturer or supplier of that item is the only 
source for the item and the price of the item is no more than the 
price similar customers pay for the item, and maintain sufficient 
records pertaining to each such procurement on file easily 
retrievable for FTA inspection.

XIII. Certifications and Assurances for the Elderly and Persons With 
Disabilities Program

    An Applicant that intends to administer, on behalf of the state, 
the Elderly and Persons with Disabilities Program must provide the 
following certifications and assurances. FTA may not award 
assistance for the Elderly and Persons with Disabilities Program 
until the Applicant provides these certifications and assurances by 
selecting Category XIII on the Signature Page.
    Based on its own knowledge and, as necessary, on information 
submitted by the subrecipient, the Applicant administering on behalf 
of the state the Elderly and Persons with Disabilities Program 
authorized by 49 U.S.C. 5310 certifies and assures that the 
following requirements and conditions will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive, and disburse Federal 
assistance authorized for 49 U.S.C. 5310; and to implement and 
manage the project.
    B. The state assures that each subrecipient either is recognized 
under state law as a private nonprofit organization with the legal 
capability to contract with the state to carry out the proposed 
project, or is a public body that has met the statutory requirements 
to receive Federal assistance authorized for 49 U.S.C. 5310.
    C. The subrecipient's application for 49 U.S.C. 5310 assistance 
contains information from which the state concludes that the transit 
service provided or offered to be provided by existing public or 
private transit operators is unavailable, insufficient, or 
inappropriate to meet the special needs of the elderly and persons 
with disabilities.
    D. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    E. The subrecipient has, or will have by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
purchased with Federal assistance awarded for this project.
    F. The state assures that before issuing the state's formal 
approval of a project, its Elderly and Persons with Disabilities 
Formula Program is included in the Statewide Transportation 
Improvement Program as required by 23 U.S.C. 135; all projects in 
urbanized areas recommended for approval are included in the annual 
element of the metropolitan Transportation Improvement Program in 
which the subrecipient is located; and it has obtained from any 
public body that is a prospective subrecipient of capital assistance 
a certification that an opportunity for a public hearing has been 
provided.
    G. The subrecipient has, to the maximum extent feasible, 
coordinated with other transportation providers and users, including 
social service agencies authorized to purchase transit service.
    H. The subrecipient is in compliance with all applicable civil 
rights requirements, and has signed the Nondiscrimination Assurance. 
(Category I.F., ``Certifications and Assurances Required of Each 
Applicant.'')
    I. The subrecipient will comply with applicable requirements of 
U.S. DOT regulations on participation of disadvantaged business 
enterprises in U.S. DOT programs.
    J. The state will comply with all existing Federal requirements 
regarding transportation of elderly persons and persons with 
disabilities. Each subrecipient has provided to the state an 
Assurance of Nondiscrimination on the Basis of Disability, as set 
forth in the Certifications and Assurances required of each 
applicant for FTA assistance at Category 1.G of this document. If 
non-accessible vehicles are being purchased for use by a public 
entity in demand responsive service for the general public, the 
state will obtain from the subrecipient a ``Certification of 
Equivalent Service,'' which states that when viewed in its entirety 
the public entity's demand responsive service offered to persons 
with disabilities, including persons who use wheelchairs, meets the 
standard of equivalent service set forth in 40 C.F.R. section 
37.77(c).
    K. The subrecipient has certified to the state that it will 
comply with applicable provisions of 49 CFR part 605 pertaining to 
school transportation operations. (See Category VIII, ``School 
Transportation Agreement.'')

[[Page 53518]]

    L. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a categorical exclusion and does not require further 
environmental approvals, as described in the joint FHWA/FTA 
regulations, ``Environmental Impact and Related Procedures,'' at 23 
CFR 771.117(c). The state certifies that financial assistance will 
not be provided for any project that does not qualify for a 
categorical exclusion described in 23 CFR 771.117(c) until FTA has 
made the required environmental finding. The state further certifies 
that no financial assistance will be provided for a project 
requiring a conformity finding in accordance with the Environmental 
Protection Agency's Clean Air Conformity regulations at 40 CFR parts 
51 and 93, until FTA makes the required conformity finding.
    M. The subrecipient has submitted (or will submit) all 
applicable certifications and assurances currently required, 
including, but not limited to: a certification that its procurements 
and procurement system will comply with all applicable requirements 
imposed by Federal laws, executive orders, or regulations and the 
requirements of FTA Circular 4220.1D, ``Third Party Contracting 
Requirements,'' and other implementing requirements FTA may issue; a 
certification that its project provides for the participation of 
private mass transportation companies to the maximum extent 
feasible; a certification it has paid or will pay just compensation 
under state or local law to each private mass transportation company 
for its franchise or property acquired under the project; a 
nonprocurement suspension and debarment certification; a bus testing 
certification for new models; a pre-award and post-delivery review 
certification; and a lobbying certification for each application 
exceeding $100,000. Certifications and assurances applicable to and 
submitted by the subrecipient should be substantially similar to the 
text of parallel certifications and assurances text of Categories I-
XI of this document, but modified as necessary to accommodate the 
subrecipient's circumstances.
    N. The state will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed.
    O. The state recognizes FTA's authority to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations.

XIV. Certifications and Assurances for the Nonurbanized Area Formula 
Program

    An Applicant that intends to administer, on behalf of the state, 
the Nonurbanized Area Formula Program must provide the following 
certifications and assurances. FTA may not award Nonurbanized Area 
Formula Program assistance to the Applicant until the Applicant 
provides these certifications and assurances shown by selecting 
Category XIV on the Signature Page.
    Based on its own knowledge and, as necessary, on information 
submitted by the subrecipient, the Applicant administering on behalf 
of the state the Nonurbanized Area Formula Program authorized by 49 
U.S.C. 5311 certifies and assures that the following requirements 
and conditions will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive and disburse Federal 
assistance authorized for 49 U.S.C. 5311; and to implement and 
manage the project.
    B. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    C. The subrecipient has, or will have by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
purchased with Federal assistance authorized for this project.
    D. The state assures that before issuing the state's formal 
approval of the project, its Nonurbanized Area Formula Program is 
included in the Statewide Transportation Improvement Program as 
required by 23 U.S.C. 135; to the extent applicable, projects are 
included in a metropolitan Transportation Improvement Program, and 
it has obtained from the prospective subrecipient of capital 
assistance a certification that an opportunity for a public hearing 
has been provided.
    E. The state has provided for a fair and equitable distribution 
of Federal assistance authorized for 49 U.S.C. 5311 within the 
state, including Indian reservations within the state.
    F. The subrecipient has, to the maximum extent feasible, 
coordinated with other transportation providers and users, including 
social service agencies authorized to purchase transit service.
    G. The subrecipient is in compliance with all applicable civil 
rights requirements, and has signed the Nondiscrimination Assurance. 
(See Category I.F, ``Certifications and Assurances Required of Each 
Applicant.'')
    H. The subrecipient will comply with applicable requirements of 
U.S. DOT regulations on participation of disadvantaged business 
enterprise in U.S. DOT programs.
    I. The state will comply with all existing Federal requirements 
regarding transportation of elderly persons and persons with 
disabilities. Each subrecipient has provided to the state an 
Assurance of Nondiscrimination on the Basis of Disability, as set 
forth in the Certifications and Assurances required of each 
applicant for FTA assistance at Category 1.G of this document. If 
non-accessible vehicles are being purchased for use by a public 
entity in demand responsive service for the general public, the 
state will obtain from the subrecipient a ``Certification of 
Equivalent Service,'' which states that when viewed in its entirety 
the public entity's demand responsive service offered to persons 
with disabilities, including persons who use wheelchairs, meets the 
standard of equivalent service set forth in 40 CFR section 37.77(c).
    J. The subrecipient has complied with the transit employee 
protective provisions of 49 U.S.C. 5333(b), by one of the following 
actions: (1) Signing the Special Warranty for the Nonurbanized Area 
Formula Program, (2) agreeing to alternative comparable arrangements 
approved by the Department of Labor (DOL), or (3) obtaining a waiver 
from DOL; and the state has certified the subrecipient's compliance 
to DOL.
    K. The subrecipient has certified to the state that it will 
comply with 49 CFR part 604 in the provision of any charter service 
provided with equipment or facilities acquired with FTA assistance, 
and will also comply with applicable provisions of 49 CFR part 605 
pertaining to school transportation operations. (See Category VII, 
``Charter Service Agreement,'' and Category VIII, ``School 
Transportation Agreement.'')
    L. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a categorical exclusion and does not require further 
environmental approvals, as described in the joint FHWA/FTA 
regulations, ``Environmental Impact and Related Procedures,'' at 23 
CFR 771.117(c). The state certifies that financial assistance will 
not be provided for any project that does not qualify for a 
categorical exclusion described in 23 CFR 771.117(c) until FTA has 
made the required environmental finding. The state further certifies 
that no financial assistance will be provided for a project 
requiring a conformity finding in accordance with the Environmental 
Protection Agency's Clean Air Conformity regulations at 40 CFR parts 
51 and 93, until FTA makes the required conformity finding.
    M. The subrecipient has submitted (or will submit) all 
applicable certifications and assurances currently required, 
including but not limited to: a certification that its procurements 
and procurement system will comply with all applicable requirements 
imposed by Federal laws, executive orders, or regulations and the 
requirements of FTA Circular 4220.1D, ``Third Party Contracting 
Requirements,'' and other implementing requirements FTA may issue, a 
certification that its project provides for the participation of 
private mass transportation companies to the maximum extent 
feasible; a certification it has paid or will pay just compensation 
under state or local law to each private mass transportation company 
for its franchise or property acquired under the project; a 
nonprocurement suspension and debarment certification; a bus testing 
certification for new bus models; a pre-award and post-delivery 
review certification; a lobbying certification for each application 
exceeding $100,000; and if required by FTA, an anti-drug program 
certification and an alcohol testing certification. Certifications 
and assurances applicable to and submitted by the subrecipient 
should be substantially similar to the text of parallel 
certifications and assurances text of Categories I-XI of this 
document, but modified as necessary to accommodate the 
subrecipient's circumstances.
    N. The state will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed.
    O. The state recognizes FTA's authority to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations.
    P. As required by 49 U.S.C. 5311(f), it will expend not less 
than fifteen percent of the

[[Page 53519]]

Federal assistance authorized for 49 U.S.C. 5311(f) it receives 
during this fiscal year to carry out a program to develop and 
support intercity bus transportation, unless the chief executive 
officer of the state or his or her duly authorized designee 
certifies that the intercity bus service needs of the state are 
being adequately met.

XV. Certifications and Assurances for the State Infrastructure Bank 
Program

    A state Applicant for a grant of Federal assistance for deposit 
in the Transit Account of the State Infrastructure Bank (SIB) within 
that state must provide the following certifications and assurances. 
The Federal Transit Administration (FTA) may not award Federal 
assistance to capitalize a SIB until the state Applicant provides 
these certifications and assurances.
    Based on its own knowledge and, as necessary, on requisite 
information submitted by the participating parties, the state 
Applicant for Federal assistance for the Transit Account of its 
state SIB program, authorized by section 350 of the National Highway 
System Designation Act of 1995 (NHS Act), as amended, 23 U.S.C. 101 
note, certifies and assures that the following requirements and 
conditions will be fulfilled pertaining to any project financed with 
Federal assistance derived from the Transit Account of the SIB:
    A. The state organization serving as the Applicant (state) 
agrees and assures the agreement of the SIB and each recipient of 
Federal assistance derived from the Transit Account of the SIB 
within the state (subrecipient) that each Project financed with 
Federal assistance derived from the Transit Account will be 
administered in accordance with: (1) The requirements of section 350 
of the National Highway System Designation Act of 1995 (NHS Act), 
Pub. L. 104-59, Nov. 28, 1995, 23 U.S.C. 101 note, (2) the 
provisions of FTA's NHS Guidelines, and any amendments thereto, (3) 
the provisions of FHWA and FTA Cooperative Agreement with the state 
to establish the state's SIB program, and (4) the provisions of the 
FTA Grant Agreement with the state obligating Federal assistance for 
the Transit Account of the SIB, except that any provision of the 
Federal Transit Administration Master Agreement incorporated by 
reference into that Grant Agreement that conflicts with any 
provision of FTA's NHS Guidelines, the provisions of the Cooperative 
Agreement establishing the SIB program within the state, or the text 
within the Grant Agreement will not apply.
    B. The state agrees to comply with and assures the compliance of 
the SIB and each subrecipient of all applicable requirements for the 
SIB program, as those requirements may be amended from time to time.
    C. The state assures that the SIB will provide Federal 
assistance from its Transit Account only for transit capital 
projects eligible under section 350 of the NHS Act, and that those 
projects will fulfill all requirements imposed on comparable capital 
transit projects financed by FTA.
    D. The state understands that the total amount of funds to be 
awarded for a Grant Agreement will not be immediately available for 
draw down. Consequently, the state assures that it will limit the 
amount of Federal assistance it draws down for deposit in the 
Transit Account of its SIB to amounts that do not exceed the 
limitations specified in the underlying Grant Agreement or the 
Approved Project Budget for that Grant Agreement.
    E. The state assures that each subrecipient has or will have the 
necessary legal, financial, and managerial capability to apply for, 
receive, and disburse Federal assistance authorized by Federal 
statute for use in the Transit Account of the SIB, and to implement, 
manage, operate, and maintain the project and project property for 
which such assistance will support.
    F. The state assures that the SIB will provide Federal 
assistance derived from the Transit Account only to a subrecipient 
that is either a public or private entity recognized under state law 
as having the legal capability to contract with the state to carry 
out its proposed project.
    G. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    H. The state assures that the SIB will enter into a written 
agreement with each subrecipient stating the terms and conditions of 
assistance by which the project will be undertaken and completed, 
including specific provisions that any security or debt financing 
instrument the SIB may issue will contain an express statement that 
the security or instrument does not constitute a commitment, 
guarantee, or obligation of the United States.
    I. The state assures that before the SIB enters into an 
agreement with a subrecipient under which Federal assistance within 
the Transit Account of the SIB will be disbursed to the 
subrecipient, the subrecipient's project is included in the 
Statewide Transportation Improvement Program; all projects in 
urbanized areas recommended for approval are included in the annual 
element of the metropolitan Transportation Improvement Program in 
which the subrecipient is located; and it has obtained from each 
subrecipient of capital assistance that is also a public body a 
certification that an opportunity for a public hearing has been 
provided.
    J. The state assures that the subrecipient has, to the maximum 
extent feasible, coordinated with other transportation providers and 
users, and other interested parties within the area.
    K. The state assures that the subrecipient is in compliance with 
all applicable civil rights requirements, and has signed the 
Nondiscrimination Assurance. (See Category I.F, ``Certifications and 
Assurances Required of Each Applicant,'' of the Federal Fiscal Year 
1998 Certifications and Assurances for the Federal Transit 
Administration Programs.)
    L. The state assures that the subrecipient will comply with 
applicable requirements of U.S. DOT regulations on participation of 
disadvantaged business enterprises in U.S. DOT programs.
    M. To the extent applicable, the state will comply with all 
existing Federal requirements regarding transportation of elderly 
persons and persons with disabilities. The state assures that the 
SIB will provide to the state an Assurance of Nondiscrimination on 
the Basis of Disability from each subrecipient, as set forth in the 
Certifications and Assurances required of each Applicant for FTA 
assistance. (See Category I.G, ``Certifications and Assurances 
Required of Each Applicant,'' of the Federal Fiscal Year 1998 
Certifications and Assurances for the Federal Transit Administration 
Programs.) If non-accessible vehicles are being purchased for use by 
a public entity in demand responsive service for the general public, 
the state will obtain from the subrecipient a ``Certification of 
Equivalent Service,'' which states that the public entity's demand 
responsive service offered to persons with disabilities, including 
persons who use wheelchairs, is equivalent to the level and quality 
of service the public entity offers to persons without disabilities. 
(See Category IX, ``Certifications Required for the Direct Award of 
FTA Assistance to an Applicant for its Demand Responsive Service,'' 
of the Federal Fiscal Year 1998 Certifications and Assurances for 
the Federal Transit Administration Programs.) This ``Certification 
of Equivalent Service'' must also state that the public entity's 
demand responsive service, when viewed in its entirety, is provided 
in the most integrated setting feasible and has equivalent: (1) 
Response time, (2) fares, (3) geographic service area, (4) hours and 
days of service, (5) restrictions or restraints on trip purpose, (6) 
availability of information and reservation capability, and (7) 
constraints on capacity or service availability.
    N. The state assures that before the SIB provides Federal 
assistance from the Transit Account, each subrecipient will have 
complied with the applicable transit employee protective provisions 
of 49 U.S.C. 5333(b) as required for that subrecipient and its 
project.
    O. The state assures that each subrecipient has certified or 
will certify to the state that it will comply with 49 CFR part 604 
in the provision of any charter service provided with equipment or 
facilities acquired with FTA assistance, and will also comply with 
applicable provisions of 49 CFR part 605 pertaining to school 
transportation operations. (See Category VII, ``Charter Service 
Agreement,'' and Category VIII, ``School Transportation Agreement,'' 
of the Federal Fiscal Year 1998 Certifications and Assurances for 
the Federal Transit Administration Programs.)
    P. Unless otherwise noted, the state assures that each of the 
subrecipient's projects qualifies for a categorical exclusion and 
does not require further environmental approvals, as described in Q. 
Unless otherwise noted, the state assures that each of the 
subrecipient's projects qualifies for a categorical exclusion and 
does not require further environmental approvals, as described in 
the joint FHWA/FTA regulations, ``Environmental Impact and Related 
Procedures,'' at 23 CFR 771.117(c). The state certifies that the SIB 
will not provide financial assistance from the Transit Account for 
any project that does not qualify for a categorical exclusion 
described in 23 CFR 771.117(c) until FTA has made the

[[Page 53520]]

required environmental finding. The state further certifies that the 
SIB will provide no financial assistance from its Transit Account 
for a project requiring a conformity finding in accordance with the 
Environmental Protection Agency's Clean Air Conformity regulations 
at 40 CFR parts 51 and 93, until FTA makes the required conformity 
finding.
    Q. The state assures that the subrecipient has submitted (or 
will submit), when applicable, all certifications and assurances 
currently required, including, but not limited to: a certification 
that its procurements and procurement system will comply with all 
applicable requirements imposed by Federal laws, executive orders, 
or regulations and the requirements of FTA Circular 4220.1D, ``Third 
Party Contracting Requirements,'' and other implementing 
requirements FTA may issue; a certification that its project 
provides for the participation of private mass transportation 
companies to the maximum extent feasible; a certification it has 
paid or will pay just compensation under state or local law to each 
private mass transportation company for its franchise or property 
acquired under the project; a nonprocurement suspension and 
debarment certification; a bus testing certification for new models; 
a pre-award and post-delivery review certification; and a lobbying 
certification for each application exceeding $100,000; assurances 
FTA requires for projects involving real property; and if required 
by FTA, an anti-drug program certification and an alcohol testing 
certification. Certifications and assurances applicable to and 
submitted by the subrecipient should be substantially similar to the 
text of parallel certifications and assurances of Categories I-XI of 
the Federal Fiscal Year 1998 Certifications and Assurances for the 
Federal Transit Administration Programs, but modified as necessary 
to accommodate the SIB and the subrecipient's circumstances.
    R. The state agrees and assures that the SIB and each 
subrecipient will agree to permit FTA, U.S. DOT, and the Comptroller 
General to conduct audits to verify compliance with the foregoing 
requirements and stipulations.

BILLING CODE 4910-57-P

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[FR Doc. 97-26927 Filed 10-10-97; 8:45 am]
BILLING CODE 4910-57-C