186 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices

DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

Fiscal Year 2002 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 2002 certifications

and assurances to be used in connection

with all Federal assistance programs

FTA administers during Federal Fiscal

Year 2002, as required by 49 U.S.C.

5323(n).

EFFECTIVE DATE: January 2, 2002.

FOR FURTHER INFORMATION CONTACT: FTA

staff in the appropriate Regional Office

listed below. For copies of other related

documents, see the FTA Web site at

http://www.fta.dot.gov or contact the

Office of Public Affairs, Federal Transit

Administration (202) 366–4019.

Region 1: Boston

States served: Maine, New

Hampshire, Vermont, Connecticut,

Rhode Island, and Massachusetts

Telephone # 617–494–2055.

Region 2: New York

States served: New York, New Jersey,

and Virgin Islands Telephone # 212–

668–2170.

Region 3: Philadelphia

States served: Pennsylvania,

Delaware, Maryland, Virginia, West

Virginia, and District of Columbia

Telephone # 215–656–7100.

Region 4: Atlanta

States served: Kentucky, North

Carolina, South Carolina, Georgia,

Florida, Alabama, Mississippi,

Tennessee, and Puerto Rico Telephone

# 404–562–3500.

Region 5: Chicago

States served: Minnesota, Wisconsin,

Michigan, Illinois, Indiana, and Ohio

Telephone # 312–353–2789.

Region 6: Dallas/Ft. Worth

States served: Arkansas, Louisiana,

Oklahoma, Texas, and New Mexico

Telephone # 817–978–0550.

Region 7: Kansas City

States served: Missouri, Iowa, Kansas,

and Nebraska Telephone # 816–329–

3920.

Region 8: Denver

States served: Colorado, Utah,

Wyoming, Montana, North Dakota, and

South Dakota, Telephone # 303–844–

3242.

Region 9: San Francisco

States served: California, Hawaii,

Guam, Arizona, Nevada, American

Samoa, and the Northern Mariana

Islands Telephone # 415–744–3133

Region 10: Seattle

States served: Idaho, Oregon,

Washington, and Alaska Telephone #

206–220–7954.

SUPPLEMENTARY INFORMATION: Before

FTA may award a Federal grant or

cooperative agreement, the Applicant

must provide to FTA all certifications

and assurances pertaining to itself or its

project as required by Federal laws and

regulations. The requisite certifications

and assurances must be submitted to

FTA irrespective of whether the project

is financed under the authority of 49

U.S.C. chapter 53, or title 23, United

States Code, or another Federal statute.

The Applicant’s Annual Certifications

and Assurances for Federal Fiscal Year

2002 cover all projects for which the

Applicant seeks funding during that

fiscal year. An Applicant’s Annual

Certifications and Assurances

applicable to a specific grant or

cooperative agreement generally remain

in effect either for the life of the grant

or cooperative agreement to closeout, or

for the life of the project or project

property when a useful life or industry

standard life is in effect, whichever

occurs later; except, however, if in a

later year, the Applicant provides

certifications and assurances that differ

from the certifications and assurances

previously made, the later certifications

and assurances will apply to the grant,

cooperative agreement, project, or

project property, except as FTA

otherwise permits.

Background

Since Federal Fiscal Year 1995, FTA

has been consolidating the various

certifications and assurances that may

be required into a single document. FTA

intends to continue publishing this

document annually in conjunction with

its publication of the FTA annual

apportionment Notice, which allocates

funds made available by the latest U.S.

Department of Transportation (U.S.

DOT) annual appropriations act.

Federal Fiscal Year 2002 Changes

The following changes have been

made:

(1) In Certification 1.J(18), a reference

to the latest OMB A–133 Compliance

Supplement provisions for the

Department of Transportation, dated

March 2001 has been substituted for the

previous compliance supplement.

(2) In Certification 10, new FTA

regulations, ‘‘Prevention of Alcohol

Misuse and Prohibited Drug Use in

Transit Operations,’’ 49 CFR part 655,

replace FTA’s former separate drug and

alcohol regulations.

(3) A new Intelligent Transportation

Systems Program Assurance, (Number

12) has been added to cover the

provisions of Section VII of FTA Notice,

‘‘FTA National ITS Architecture Policy

on Transit Projects’’ 66 FR 1455 et seq.,

January 8, 2001. Accordingly, former

Certifications 12, 13, 14, and 15 have

been renumbered 13, 14, 15, and 16.

(4) In Certification 16, a reference to

Federal guidance was substituted for the

reference to FTA guidelines because it

is unlikely that FTA will issue State

Infrastructure Bank guidelines.

Text of Federal Fiscal Year 2002

Certifications and Assurances

A detailed compilation of the

provisions of the Certifications and

Assurances and the Signature Page as

set forth in Appendix A of this Notice,

also appears in the ‘‘Cert’s &

Assurances’’ tab page of FTA’s

electronic award and management

system. It is important that each

Applicant be familiar with all sixteen

(16) certification and assurance

categories contained in this Notice, as

they may be a prerequisite for receiving

FTA financial assistance. Provisions of

this Notice supersede conflicting

statements in any circular containing a

previous version of the Annual

Certifications and Assurances. The

certifications and assurances contained

in those circulars are merely examples,

and are not acceptable or valid for

Federal Fiscal Year 2002; do not rely on

the statements within certifications and

assurances appearing in circulars.

Significance of Certifications and

Assurances

Selecting and submitting

certifications and assurances to FTA,

either through FTA’s electronic award

and management system or submission

of the Signature Page of Appendix A,

signifies the Applicant’s intent to

comply with the requirements of those

certifications and assurances to the

extent they apply to a program for

which the Applicant submits an

application for assistance in Federal

Fiscal Year 2002.

Requirement for Attorney’s Signature

FTA requires a current (Federal Fiscal

Year 2002) attorney’s affirmation of the

Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices 187

Applicant’s legal authority to certify

compliance with the funding obligations

in this document. Irrespective of

whether the Applicant chooses to make

a single selection for all 16 categories or

select individual options from the 16

categories, the attorney’s signature from

a previous year is not acceptable.

Deadline for Submission

All Applicants for FTA capital

investment program or formula program

assistance, and current grantees with an

active project financed with FTA capital

investment program or formula program

assistance, are expected to provide

Federal Fiscal Year 2002 Certifications

and Assurances within 90 days from the

date of this publication or with its first

grant application in Fiscal Year 2002,

whichever is first. Other Applicants are

encouraged to submit their certifications

and assurances as soon as possible.

Preference for Electronic Submission

FTA has expanded the use of the

electronic programs for Applicants, first

introduced in 1995. FTA expects

Applicants registered in FTA’s

electronic award and management

system to submit their applications as

well as certifications and assurances

electronically through FTA’s electronic

award and management system. Only if

an Applicant is unable to submit its

certifications and assurances through

FTA’s electronic award and

management system should the

Applicant use the Signature Page form

in Appendix A of this Notice.

Procedures for Electronic Submission

The ‘‘Cert’s & Assurances’’ tab page of

FTA’s electronic award and

management system contain fields for

selecting the certifications and

assurances to be submitted. Within that

tab page are fields for the Applicant’s

authorized representative and its

attorney to enter their personal

identification numbers (PINs), and thus

‘‘sign’’ the certifications and assurances

for electronic transmission to FTA. In

certain circumstances, the Applicant

may enter its PIN number in lieu of an

electronic signature provided by its

Attorney, provided the Applicant has on

file the Affirmation of its Attorney in

writing dated this Federal fiscal year as

set forth in Appendix A of this Notice.

Applicants may contact the appropriate

Regional Office listed in this Notice or

the Helpdesk for FTA’s electronic award

and management system for more

information.

Procedures for Paper Submission

The following procedures apply to an

Applicant that is unable to submit its

certifications electronically. The

Applicant must mark the certifications

and assurances it is making on the

Signature Page form in Appendix A of

this Notice and submit it to FTA. The

Applicant may signify compliance with

all Categories by placing a single mark

in the appropriate space at the top of the

Signature Selection Page in Appendix

A. In certain circumstances, the

Applicant may certify in lieu of the

signature of its Attorney, provided the

Applicant has on file the Affirmation of

its Attorney in writing dated this

Federal fiscal year as set forth in

Appendix A of this Notice. Applicants

may contact the appropriate Regional

Office listed in this Notice for more

information.

References

The Transportation Equity Act for the

21st Century, Pub. L. 105–178, June 9,

1998, as amended by the TEA–21

Restoration Act 105–206, 112 Stat. 685,

July 22, 1998, 49 U.S.C. chapter 53, Title

23, United States Code, U.S. DOT and

FTA regulations at 49 CFR, and FTA

Circulars.

Dated: December 21, 2001.

Jennifer L. Dorn,

Administrator.

BILLING CODE 4910–57–P

Appendix A

Federal Fiscal Year 2002 Certifications and

Assurances for Federal Transit

Administration Assistance Programs

In accordance with 49 U.S.C. 5323(n), the

following certifications and assurances have

been compiled for Federal Transit

Administration (FTA) programs. FTA

requests each Applicant to provide as many

certifications and assurances as needed to

cover all programs for which it will seek FTA

assistance in Federal Year 2002. FTA

strongly encourages the Applicant to submit

its certifications and assurances through

FTA’s electronic award and management

system.

The 16 Categories of certifications and

assurances are listed by numbers 1 through

16 on the Cert’s & Assurances tab page of the

FTA electronic award and management

system and on the opposite side of the

Signature Page at the end of this document.

Categories 2 through 16 will apply to some,

but not all, applicants. The designation of the

16 categories corresponds to the

circumstances mandating submission of

specific certifications, assurances, or

agreements.

1. Certifications and Assurances Required of

Each Applicant

Each Applicant for FTA assistance

awarded must provide all certifications and

assurances in this Category ‘‘1.’’ FTA may not

award any Federal assistance until the

Applicant provides these certifications and

assurances by selecting Category ‘‘1.’’

A. Authority of Applicant and Its

Representative

The authorized representative of the

Applicant and attorney who sign these

certifications, assurances, and agreements

affirm that both the Applicant and its

authorized representative have adequate

authority under state and local law and the

by-laws or internal rules of the Applicant

organization to:

(1) Execute and file the application for

Federal assistance on behalf of the Applicant;

(2) Execute and file the required

certifications, assurances, and agreements on

behalf of the Applicant binding the

Applicant; and

(3) Execute grant agreements and

cooperative agreements with FTA on behalf

of the Applicant.

B. Standard Assurances

The Applicant assures that it will comply

with all applicable Federal statutes,

regulations, executive orders, FTA circulars,

and other Federal administrative

requirements in carrying out any project

supported by the FTA grant or cooperative

agreement. The Applicant agrees that it is

under a continuing obligation to comply with

the terms and conditions of the grant

agreement or cooperative agreement issued

for its project with FTA. The Applicant

recognizes that Federal laws, regulations,

policies, and administrative practices might

be modified from time to time and they may

affect the implementation of the project. The

Applicant agrees that the most recent Federal

requirements will apply to the project, unless

FTA issues a written determination

otherwise.

C. Debarment, Suspension, and Other

Responsibility Matters for Primary Covered

Transactions

As required by U.S. DOT regulations on

Governmentwide Debarment and Suspension

(Nonprocurement) at 49 CFR 29.510:

(1) The Applicant (Primary Participant)

certifies, to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded from covered

transactions by any Federal department or

agency;

(b) Have not, within a three (3) year period

preceding this certification, been convicted

of or had a civil judgment rendered against

them for commission of fraud or a criminal

offense in connection with obtaining,

attempting to obtain, or performing a public

(Federal, state, or local) transaction or

contract under a public transaction, violation

of Federal or state antitrust statutes, or

commission of embezzlement, theft, forgery,

bribery, falsification or destruction of

records, making false statements, or receiving

stolen property;

(c) Are not presently indicted for or

otherwise criminally or civilly charged by a

governmental entity (Federal, state, or local)

with commission of any of the offenses listed

in subparagraph (1)(b) of this certification;

and

(d) Have not within a three-year period

preceding this certification had one or more

188 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices

public transactions (Federal, state, or local)

terminated for cause or default.

(2) The Applicant also certifies that, if it

later becomes aware of any information

contradicting the statements of paragraph (1)

above, it will promptly provide that to FTA.

(3) If the Applicant (Primary Participant) is

unable to certify to all statements in

paragraphs (1) and (2) of this certification, it

shall indicate so in its applications, or in the

transmittal letter or message accompanying

its annual certifications and assurances, and

provide a written explanation to FTA.

D. Drug-Free Workplace Agreement

As required by U.S. DOT regulations,

‘‘Drug-Free Workplace Requirements

(Grants),’’ 49 CFR part 29, Subpart F, and as

modified by 41 U.S.C. 702, the Applicant

agrees that it will provide a drug-free

workplace by:

(1) Publishing a statement notifying its

employees that the unlawful manufacture,

distribution, dispensing, possession, or use of

a controlled substance is prohibited in its

workplace and specifying 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 employee

about:

(a) The dangers of drug abuse in the

workplace;

(b) Its policy of maintaining a drug-free

workplace;

(c) Any available drug counseling,

rehabilitation, and employee assistance

programs; and

(d) The penalties that may be imposed

upon its employees for drug abuse violations

occurring in the workplace;

(3) Making it a requirement that each of its

employees to be engaged in the performance

of the grant or cooperative agreement be

given a copy of the statement required by

paragraph (1) of this certification;

(4) Notifying each of its employees in the

statement required by paragraph (1) of this

certification that, as a condition of

employment financed with Federal

assistance provided by the grant or

cooperative agreement, the employee will be

required to:

(a) Abide by the terms of the statement;

and

(b) Notify the employer (Applicant) in

writing of any conviction for a violation of

a criminal drug statute occurring in the

workplace no later than five (5) calendar days

after that conviction;

(5) Notifying FTA in writing, within ten

(10) calendar days after receiving notice

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

employee or otherwise receiving actual

notice of that conviction. The Applicant, as

employer of any convicted employee, must

provide notice, including position title, to

every project officer or other designee on

whose project activity the convicted

employee was working. Notice shall include

the identification number(s) of each affected

grant or cooperative agreement;

(6) Taking one of the following actions

within thirty (30) calendar days of receiving

notice under paragraph (4)(b) of this

agreement with respect to any employee who

is so convicted:

(a) Taking appropriate personnel action

against that employee, up to and including

termination, consistent with the

requirements of the Rehabilitation Act of

1973, as amended; or

(b) Requiring that employee to participate

satisfactorily in a drug abuse assistance or

rehabilitation program approved for such

purposes by a Federal, state, or local health,

law enforcement, or other appropriate

agency; and

(7) Making a good faith effort to continue

to maintain a drug-free workplace through

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

(5), and (6) of this agreement. The Applicant

agrees to maintain a list identifying its

headquarters location and each workplace it

maintains in which project activities

supported by FTA are conducted, and make

that list readily accessible to FTA.

E. Intergovernmental Review Assurance

The Applicant assures that each

application for Federal assistance it submits

to FTA has been or will be submitted for

intergovernmental review to the appropriate

state and local agencies in accordance with

applicable state requirements. The Applicant

also assures that it has fulfilled or will fulfill

the obligations imposed on FTA by U.S. DOT

regulations, ‘‘Intergovernmental Review of

Department of Transportation Programs and

Activities,’’ 49 CFR part 17.

F. Nondiscrimination Assurance

As required by 49 U.S.C. 5332 (which

prohibits discrimination on the basis of race,

color, creed, national origin, sex, or age, and

prohibits discrimination in employment or

business opportunity), Title VI of the Civil

Rights Act of 1964, as amended, 42 U.S.C.

2000d, and U.S. DOT regulations,

‘‘Nondiscrimination in Federally-Assisted

Programs of the Department of

Transportation—Effectuation of Title VI of

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

the Applicant assures that it will comply

with all requirements of 49 CFR part 21; FTA

Circular 4702.1, ‘‘Title VI Program

Guidelines for Federal Transit

Administration Recipients’’, and other

applicable directives, so that no person in the

United States, on the basis of race, color,

national origin, creed, sex, or age will be

excluded from participation in, be denied the

benefits of, or otherwise be subjected to

discrimination in any program or activity

(particularly in the level and quality of

transportation services and 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 in each third party

contract or subagreement provisions to

invoke the requirements of 49 U.S.C. 5332

and 49 CFR part 21, and include provisions

to invoke those requirements in deeds and

instruments recording the transfer of real

property, structures, improvements.

G. Disadvantaged Business Enterprise

Assurance

In accordance with 49 CFR 26.13(a), the

Recipient assures that it shall not

discriminate on the basis of race, color,

national origin, or sex in the implementation

of the project and in the award and

performance of any third party contract, or

subagreement supported with Federal

assistance derived from the U.S. DOT or in

the administration of its DBE program or the

requirements of 49 CFR part 26. The

Recipient assures that it shall take all

necessary and reasonable steps set forth in 49

CFR part 26 to ensure nondiscrimination in

the award and administration of all third

party contracts and subagreements supported

with Federal assistance derived from the U.S.

DOT. The Recipient’s DBE program, as

required by 49 CFR part 26 and approved by

the U.S. DOT, will be incorporated by

reference and made part of the grant

agreement or cooperative agreement for any

Federal assistance awarded by FTA or U.S.

DOT. Implementation of this DBE program is

a legal obligation of the Recipient, and failure

to carry out its terms shall be treated as a

violation of the grant agreement or

cooperative agreement. Upon notification by

the Government to the Recipient of its failure

to implement its approved DBE program, the

U.S. DOT may impose sanctions as provided

for under 49 CFR part 26 and may, in

appropriate cases, refer the matter for

enforcement under 18 U.S.C. 1001, and/or

the Program Fraud Civil Remedies Act, 31

U.S.C. 3801 et seq.

H. Assurance of Nondiscrimination on the

Basis of Disability

As required by U.S. DOT regulations,

‘‘Nondiscrimination on the Basis of Handicap

in Programs and Activities Receiving or

Benefiting from Federal Financial

Assistance,’’ at 49 CFR 27.9, the Applicant

assures that, as a condition to the approval

or extension of any Federal assistance

awarded by FTA to construct any facility,

obtain any rolling stock or other equipment,

undertake studies, conduct research, or to

Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices 189

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 assures

that project implementation and operations

so assisted will comply with all applicable

requirements of U.S. DOT regulations

implementing the Rehabilitation Act of 1973,

as amended, 29 U.S.C. 794, et seq., and the

Americans with Disabilities Act of 1990, as

amended, 42 U.S.C. 12101 et seq. at 49 CFR

parts 27, 37, and 38, and any applicable

regulations and directives issued by other

Federal departments or agencies.

I. Procurement Compliance

The Applicant certifies that its

procurements and procurement system will

comply with all applicable requirements

imposed by Federal laws, executive orders,

or regulations and the requirements of FTA

Circular 4220.1D, ‘‘Third Party Contracting

Requirements,’’ and FTA third party

contracting regulations when promulgated, as

well as other requirements FTA may issue.

The Applicant certifies that it will include in

its contracts financed in whole or in part

with FTA assistance all clauses required by

Federal laws, executive orders, or

regulations, and will ensure that each

subrecipient and each contractor will also

include in its subagreements and contracts

financed in whole or in part with FTA

assistance all applicable clauses required by

Federal laws, executive orders, or

regulations.

J. Certifications Required by the U.S. Office

of Management and Budget (SF–424B and

SF–424D)

A required by the U.S. Office of

Management and Budget (OMB), the

Applicant certifies that it:

(1) Has the legal authority to apply for

Federal assistance and the institutional,

managerial, and financial capability

(including funds sufficient to pay the nonFederal share of project cost) to ensure

proper planning, management, and

completion of the project described in its

application;

(2) Will give FTA, the Comptroller General

of the United States and, if appropriate, the

state, through any authorized representative,

access to and the right to examine all records,

books, papers, or documents related to the

award; and will establish a proper accounting

system in accordance with generally

accepted accounting standards or agency

directives;

(3) Will establish safeguards to prohibit

employees from using their positions for a

purpose that constitutes or presents the

appearance of personal or organizational

conflict of interest or personal gain;

(4) Will initiate and complete the work

within the applicable project time periods

following receipt of FTA approval;

(5) Will comply with all applicable Federal

statutes relating to nondiscrimination

including, but not limited to:

(a) Title VI of the Civil Rights Act, 42

U.S.C. 2000d, which prohibits discrimination

on the basis of race, color, or national origin;

(b) Title IX of the Education Amendments

of 1972, as amended, 20 U.S.C. 1681 through

1683, and 1685 through 1687, and U.S. DOT

regulations, ‘‘Nondiscrimination on the Basis

of Sex in Education Programs or Activities

Receiving Federal Financial Assistance,’’ 49

CFR part 25, which prohibits discrimination

on the basis of sex;

(c) Section 504 of the Rehabilitation Act of

1973, as amended, 29 U.S.C. 794, which

prohibits discrimination on the basis of

handicaps;

(d) The Age Discrimination Act of 1975, as

amended, 42 U.S.C. 6101 through 6107,

which prohibit discrimination on the basis of

age;

(e) The Drug Abuse Office and Treatment

Act of 1972, Pub. L. 92–255, March 21, 1972,

and amendments thereto, relating to

nondiscrimination on the basis of drug abuse;

(f) The Comprehensive Alcohol Abuse and

Alcoholism Prevention Act of 1970, Pub. L.

91–616, Dec. 31, 1970, and amendments

thereto, relating to nondiscrimination on the

basis of alcohol abuse or alcoholism;

(g) The Public Health Service Act of 1912,

as amended, 42 U.S.C. 290dd–3 and 290ee–

3, related to confidentiality of alcohol and

drug abuse patient records;

(h) Title VIII of the Civil Rights Act, 42

U.S.C. 3601 et seq., relating to

nondiscrimination in the sale, rental, or

financing of housing;

(i) Any other nondiscrimination provisions

in the specific statutes under which Federal

assistance for the project may be provided

including, but not limited to section 1101(b)

of the Transportation Equity Act for the 21st

Century, 23 U.S.C. 101 note, which provides

for participation of disadvantaged business

enterprises in FTA programs; and

(j) The requirements of any other

nondiscrimination statute(s) that may apply

to the project;

(6) Will comply, or has compiled, with the

requirements of Titles II and III of the

Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970, as

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

4601 et seq., which provide for fair and

equitable treatment of persons displaced or

whose property is acquired as a result of

Federal of federally-assisted programs. These

requirements apply to all interests in real

property acquired for project purposes

regardless of Federal participation in

purchases. As required by U.S. DOT

regulations, ‘‘Uniform Relocation Assistance

and Real Property Acquisition for Federal

and Federally Assisted Programs,’’ at 49 CFR

24.4, and sections 210 and 305 of the

Uniform Relocation Act, 42 U.S.C. 4630 and

4655, the Applicant assures that it has the

requisite authority under applicable state and

local law and will comply or has complied

with the requirements of the Uniform

Relocation Act, 42 U.S.C. 4601 et seq., and

U.S. DOT regulations, ‘‘Uniform Relocation

Assistance and Real Property Acquisition for

Federal and Federally Assisted Programs,’’ 49

CFR part 24 including, but not limited to the

following:

(a) The Applicant will adequately inform

each affected person of the benefits, policies,

and procedures provided for in 49 CFR part

24;

(b) The Applicant will provide fair and

reasonable relocation payments and

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

and 4624; 49 CFR part 24; and any applicable

FTA procedures, to or for families,

individuals, partnerships, corporations or

associations displaced as a result of any

project financed with FTA assistance;

(c) The Applicant will provide relocation

assistance programs offering the services

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

displaced families, individuals, partnerships,

corporations, or associations in the manner

provided in 49 CFR part 24 and FTA

procedures;

(d) Within a reasonable time before

displacement, the Applicant will make

available comparable replacement dwellings

to displaced families and individuals as

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

(e) The Applicant will carry out the

relocation process in such a manner as to

provide displaced persons with uniform and

consistent services, and will make available

replacement housing in the same range of

choices with respect to such housing to all

displaced persons regardless of race, color,

religion, or national origin;

(f) In acquiring real property, the Applicant

will be guided to the greatest extent

practicable under state law, by the real

property acquisition policies of 42 U.S.C.

4651 and 4652;

(g) The Applicant will pay or reimburse

property owners for necessary expenses as

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

the understanding that FTA will participate

in the Applicant’s eligible costs of providing

payments for those expenses as required by

42 U.S.C. 4631;

(h) The Applicant will execute such

amendments to third party contracts and

subagreements financed with FTA assistance

and execute, furnish, and be found by such

additional documents as FTA may determine

necessary to effectuate or implement the

assurances provided herein; and

(i) The Applicant agrees to make these

assurances part of or incorporate them by

reference into any third party contract or

subagreement, or any amendments thereto,

relating to any project financed by FTA

involving relocation or land acquisition and

provide in any affected document that these

relocation and land acquisition provisions

shall supersede any conflicting provisions;

(7) To the extent applicable, will comply

with the Davis-Bacon Act, as amended, 40

U.S.C. 276a through 276a(7), the Copeland

Act, as amended, 18 U.S.C. 874 and 40 U.S.C.

276c, and the Contract Work Hours and

Safety Standards Act, as amended, 40 U.S.C.

327 through 333, regarding labor standards

for federally-assisted subagreements;

(8) To the extent applicable, will comply

with flood insurance purchase requirements

of section 102(a) of the Flood Disaster

Protection Act of 1973, as amended, 42

U.S.C. 4012a(a), requiring recipients in a

special flood hazard area to participate in the

program and purchase flood insurance if the

total cost of insurable construction and

acquisition is $10,000 or more;

(9) Will comply with the Lead-Based Paint

Poisoning Prevention Act, 42 U.S.C. 4801,

190 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices

which prohibits the use of lead-based paint

in construction or rehabilitation of residence

structures;

(10) Will not dispose of, modify the use of,

or change the terms of the real property title,

or other interest in the site and facilities on

which a construction project supported with

FTA assistance takes place without

permission and instructions from the

awarding agency;

(11) Will record the Federal interest in the

title of real property in accordance with FTA

directives and will include a covenant in the

title of real property acquired in whole or in

part with Federal assistance funds to assure

nondiscriminating during the useful life of

the project;

(12) Will comply with FTA requirements

concerning the drafting, review, and approval

of construction plans and specifications of

any construction project supported with FTA

assistance. As required by U.S. DOT

regulations, ‘‘Seismic Safety,’’ 49 CFR

41.117(d), before accepting delivery of any

building financed with FTA assistance, it

will obtain a certificate of compliance with

49 CFR part 41 seismic design and

construction requirements;

(13) Will provide and maintain competent

and adequate engineering supervision at the

construction site of any project supported

with FTA assistance to ensure that the

complete work conforms with the approved

plans and specifications and will furnish

progress reports and such other information

as may be required by FTA or the state;

(14) Will comply with environmental

standards that may be prescribed to

implement the following Federal laws and

executive orders:

(a) Institution of environmental quality

control measures under the National

Environmental Policy Act of 1969, as

amended, 42 U.S.C. 4321 et seq. and

Executive Order No. 11514, as amended, 42

U.S.C. 4321 note;

(b) Notification of violating facilities

pursuant to Executive Order No. 11738, 42

U.S.C. 7606 note;

(c) Protection of wetlands pursuant to

Executive Order No. 11990, 42 U.S.C. 4321

note;

(d) Evaluation of flood hazards in

floodplains in accordance with Executive

Order 11988, 42 U.S.C. 4321 note;

(e) Assurance of project consistency with

the approved state management program

developed pursuant to the requirements of

the Coastal Zone Management Act of 1972, as

amended, 16 U.S.C. 1451 et seq.;

(f) Conformity of Federal actions to State

(Clean Air) Implementation Plans under

section 176(c) of the Clean Air Act of 1955,

as amended, 42 U.S.C. 7401 et seq.;

(g) Protection of underground sources of

drinking water under the Safe Drinking

Water Act of 1974, as amended, 42 U.S.C.

300h et seq.;

(h) Protection of endangered species under

the Endangered Species Act of 1973, as

amended, Endangered Species Act of 1973,

as amended, 16 U.S.C. 1531 et seq.; and

(i) Environmental protections for Federal

transit programs, including, but not limited

to protections for a park, recreation area, or

wildlife or waterfowl refuge of national, state,

or local significance or any land from a

historic site of national, state, or local

significance used in a transit project as

required by 49 U.S.C. 303;

(j) Will comply with the Wild and Scenic

Rivers Act of 1968, as amended, 16 U.S.C.

1271 et seq. relating to protecting

components of the national wild and scenic

rivers systems; and

(k) Will assist FTA in assuring compliance

with section 106 of the National Historic

Preservation Act of 1966, as amended, 16

U.S.C. 470f, Executive Order No. 11593

(identification and protection of historic

properties), 16 U.S.C. 470 note, and the

Archaeological and Historic Preservation Act

of 1974, as amended, 16 U.S.C. 469a–1 et

seq.;

(15) To the extent applicable, will comply

with provisions of the Hatch Act, 5 U.S.C.

1501 through 1508, and 7324 through 7326,

which limit the political activities of state

and local agencies and their officers and

employees whose principal employment

activities are financed in whole or part with

Federal funds including a Federal loan, grant,

or cooperative agreement, but pursuant to 23

U.S.C. 142(g), does not apply to a

nonsupervisory employee of a transit system

(or of any other agency or entity performing

related functions) receiving FTA assistance to

whom the Hatch Act does not otherwise

apply;

(16) Will comply with the National

Research Act, Pub. L. 93–348, July 12, 1974,

as amended, regarding the protection of

human subjects involved in research,

development, and related activities

supported by Federal assistance and DOT

regulations, ‘‘Protection of Human Subjects,’’

49 CFR part 11;

(17) Will comply with the Laboratory

Animal Welfare Act of 1966, as amended, 7

U.S.C. 2131 et seq. pertaining to the care,

handling, and treatment of warm blooded

animals held for research, teaching, or other

activities supported by FTA assistance;

(18) Will have performed the financial and

compliance audits required by the Single

Audit Act Amendments of 1996, 31 U.S.C.

7501 et seq. and OMB Circular No. A–133,

‘‘Audits of States, Local Governments, and

Non-Profit Organizations and Department of

Transportation provisions of OMB A–133

Compliance Supplement, March 2001’’; and

(19) Will comply with all applicable

requirements of all other Federal laws,

executive orders, regulations, and policies

governing the project.

2. 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 award Federal assistance for an

application exceeding $100,000 until the

Applicant provides this certification by

selecting Category ‘‘2.’’

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

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

20.110, the Applicant’s authorized

representative certifies to the best of his or

her knowledge and belief that for each

application for a Federal assistance

exceeding $100,000:

(1) No Federal appropriated funds have

been or will be paid, by or on behalf of the

Applicant, to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress

pertaining to the award of any Federal

assistance, or the extension, continuation,

renewal, amendment, or modification of any

Federal assistance agreement; and

(2) If any funds other than Federal

appropriated funds have been or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with any

application to FTA for Federal assistance, the

Applicant assures that it will complete and

submit Standard Form-LLL, ‘‘Disclosure

Form to Report Lobbying,’’ including the

information required by the form’s

instructions, which may be amended to omit

such information as permitted by 31 U.S.C.

1352.

B. The Applicant understands that this

certification is a material representation of

fact upon which reliance is placed and that

submission of this certification is a

prerequisite for providing Federal assistance

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

The Applicant also understands that any

person who fails to file a required

certification shall be subject to a civil penalty

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

$100,000 for each such failure.

3. Certification pertaining To The Effects of

The Project on Private Mass Transportation

Companies

A State or local government Applicant

seeking Federal assistance authorized by 49

U.S.C. chapter 53 to acquire the property of

or an interest therein of a private mass

transportation company or to operate mass

transportation equipment or a facility in

competition with or in addition to

transportation service provided by an

existing mass transportation company must

provide the following certification. FTA may

not award Federal assistance for that project

until the Applicant provides this certification

by selecting Category ‘‘3.’’

As required by 49 U.S.C. 5323(a)(1), the

Applicant certifies that before it acquires

property or an interest in property of a

private mass transportation company or

operates mass transportation equipment or a

facility in competition with or in addition to

transportation service provided by an

existing mass transportation company it has

or will have:

A. Found that the assistance is essential to

carrying out a program of projects as

determined by the plans and programs of the

metropolitan planning organization;

B. Provided for the participation of private

mass transportation companies to the

maximum extent feasible consistent with

applicable FTA requirements and policies;

C. Paid just compensation under state or

local law to a private mass transportation

company for its franchises or property

acquired; and

D. Acknowledged that the assistance falls

within the labor standards compliance

Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices 191

requirements of 49 U.S.C. 5333(a) and

5333(b).

4. Public Hearing Certification For a Capital

Project That Will Substantially Affect A

Community or Its Transit Service

An Applicant seeking Federal assistance

authorized by 49 U.S.C. chapter 53 for a

capital project that will substantially affect a

community or the community’s mass

transportation service must provide the

following certification. FTA may not award

Federal assistance for that project until the

Applicant provides this certification by

selecting Category ‘‘4.’’

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

Applicant certifies that it has, or before

submitting its application, will have:

A. Provided an adequate opportunity for a

public hearing with adequate prior notice of

the proposed project published in a

newspaper of general circulation in the

geographic area to be served;

B. Held that hearing and provided FTA a

transcript or detailed report summarizing the

issues and responses, unless no one with a

significant economic, social, or

environmental interest requests a hearing;

C. Considered the economic, social, and

environmental effects of the project; and

D. Determined that the project is consistent

with official plans for developing the urban

area.

5. Certification of Pre-Award And PostDelivery Reviews Required For Acquisition

of Rolling Stock

An Applicant seeking FTA assistance to

acquire rolling stock must provide the

following certification. FTA may not provide

assistance to acquire rolling stock until the

Applicant provides this certification by

selecting Category ‘‘5.’’

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

implementing FTA regulations at 49 CFR

663.7, the Applicant certifies that it will

comply with the requirements of 49 CFR part

663 when procuring revenue service rolling

stock. Among other things, the Applicant

agrees to conduct or cause to be conducted

the requisite pre-award and post-delivery

reviews, and maintain on file the

certifications required by 49 CFR part 663,

subpart B, C, and D.

6. Bus Testing Certification Required For

New Bus Acquisitions

An Applicant seeking FTA assistance to

acquire new buses must provide the

following certification. FTA may not provide

assistance for the acquisition of new buses

until the Applicant provides this certification

by selecting Category ‘‘6.’’

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.

7. Charter Service Agreement

An Applicant seeking FTA assistance to

acquire or operate transportation equipment

or facilities financed 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 projects

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

U.S.C. 5310) or Title 23, U.S.C. until the

Applicant enters into this agreement by

selecting Category ‘‘7.’’

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 of 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.

8. School Transportation Agreement

An Applicant seeking FTA assistance to

acquire or operate transportation facilities

and equipment using Federal assistance

authorized by 49 U.S.C. chapter 53 or Title

23, U.S.C. must agree as follows. FTA may

not provide assistance for transportation

facilities until the Applicant enters into this

Agreement by selecting Category ‘‘8.’’

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

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

49 CFR 605.14, the Applicant agrees that it

and all its recipients will:

(1) Engage in school transportation

operations in competition with private

school transportation operators only to the

extent permitted by 49 U.S.C. 5323(f), and

implementing regulations; and

(2) Comply with the requirements of 49

CFR part 605 before providing any school

transportation using equipment or facilities

acquired with Federal assistance awarded by

FTA and authorized by 49 U.S.C. chapter 53

or Title 23 U.S.C. for transportation projects.

B. The Applicant understands that the

requirements of 49 CFR part 605 will apply

to any school transportation it provides, the

definitions of 49 CFR part 605 apply to this

school transportation agreement, and a

violation of this agreement may require

corrective measures and the imposition of

penalties, including debarment from the

receipt of further Federal assistance for

transportation.

9. Certification Required for the Direct

Award of FTA Assistance to an Applicant

for Its Demand Responsive Service

An Applicant seeking direct Federal

assistance to support demand responsive

service must provide the following

certification. 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 ‘‘9.’’

As required by U.S. DOT regulation,

‘‘Transportation Services for Individuals with

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

Applicant certifies that its demand

responsive service offered to persons with

disabilities, including persons who use

wheelchairs, is equivalent to the level and

quality of service offered to persons without

disabilities. When viewed in its entirety, the

Applicant’s service for persons with

disabilities is provided in the most integrated

setting feasible and is equivalent with respect

to: (1) response time, (2) fares, (3) geographic

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

restrictions on trip purpose, (6) availability of

information and reservation capability, and

(7) constraints on capacity or service

availability.

10. Prevention of Alcohol Misuse and

Prohibited Drug Use Certification

If the Applicant is required by Federal

regulations to provide the following

certification concerning its activities to

prevent alcohol misuse of prohibited drug

use in its transit operations, FTA may not

provide Federal assistance to that Applicant

until it provides this certification by selecting

Category ‘‘10.’’

As required by FTA regulations,

‘‘Prevention of Alcohol Misuse and

Prohibited Drug Use in Transit Operations,’’

at 49 CFR part 665, subpart I, the Applicant

certifies that it has established and

implemented an anti-drug and alcohol

misuse program, and has complied with or

will comply with applicable requirements of

FTA regulations, ‘‘Prevention of Alcohol

Misuse and Prohibited Drug Use in Transit

Operations,’’ at 49 CFR part 665.

11. Certification Required For Interest or

Other Financing Costs

An Applicant that intends to request

reimbursement of interest or other financing

costs incurred for its capital projects must

provide the following certification. FTA may

not provide assistance to support those costs

until the Applicant provides this certification

by selection Category ‘‘11.’’

As required by 49 U.S.C. 5307(g), 49 U.S.C.

5309(g)(2)(B), 49 U.S.C. 5309(g)(3)(A), and 49

U.S.C. 5309(n), the Applicant certifies that it

will not seek reimbursement for interest and

other financing costs until its records

demonstrate it has used reasonable diligence

in seeking the most favorable financing terms

underlying those costs, to the extent FTA

might require.

12. Intelligent Transportation System

Program Assurance

An Applicant for FTA assistance for an

Intelligence Transportation System Project

(ITS Project), defined as any project that in

192 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices

whole or in part funds the acquisition of

technologies or systems of technologies that

provide or significantly contribute to the

provision of one or more ITS user services as

defined in the National ITS Architecture,’’

must provide the following assurance. FTA

may not award any Federal assistance until

the Applicant provides this assurance by

selecting Category ‘‘12.’’

In compliance with Section VII of FTA

Notice, ‘‘FTA National ITs Architecture

Policy on Transit Projects,’’ at 66 FR 1459,

January 8, 2001, in the course of

implementing an ITS Project, the Applicant

assures that it will comply, and require its

third party contractors and subrecipients to

comply, with all applicable requirements

imposed by Section V (Regional ITS

Architecture) and Section VI (Project

Implementation) of that Notice.

13. Certifications and Assurances For The

Urbanized Area Formula Program, The Job

Access and Reverse Commute Program and

The Clean Fuels Formula Program

Each Applicant to FTA for Urbanized Area

Formula Program assistance authorized by 49

U.S.C. 5307, each Applicant for Job Access

and Reverse Commute Program assistance

authorized by section 3037 of the

Transportation Equity Act for the 21st

Century, 49 U.S.C. 5309 note, and each

Applicant for the Clean Fuels Formula

Program assistance authorized by 49 U.S.C.

5308 must provide the following

certifications in connection with its

application. FTA may not award Urbanized

Area Formula Program assistance, the Job

Access and Reverse Commute Program

assistance, or the Clean Fuels Formula

Program assistance to the Applicant until the

Applicant provides these certifications and

assurances by selecting Category ‘‘13.’’ A

state or other Applicant providing

certifications and assurances on behalf of its

prospective subrecipients is expected to

obtain sufficient documentation from those

subrecipients to assure the validity of its

certifications and assurances.

In addition, each Applicant that has

received Transit Enhancement funding

authorized by 49 U.S.C. 5307(k)(1) must

include within its quarterly report for the

fourth quarter of the preceding Federal fiscal

year a list of the projects carried out during

the preceding Federal fiscal year with those

Transit Enhancement funds. That list

constitutes the report of transit projects

carried out during the preceding fiscal year

to be submitted as part of the Applicant’s

annual certifications and assurances, as

required by 49 U.S.C. 5307(k)(3), and is thus

incorporated by reference and made part of

that Applicant’s annual certifications and

assurances. FTA may not award Urbanized

Area Formula Program assistance to any

Applicant that has received Transit

Enhancement funding authorized by 49

U.S.C. 5307(k)(1), unless that Applicant’s

quarterly report for the fourth quarter of the

preceding Federal fiscal year has been

submitted to FTA and that report contains

the requisite list.

A. Certifications Required by Statute

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

through (J), the Applicant certifies that:

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

and technical capacity to carry out the

proposed program of projects;

(b) It will adequately maintain the

equipment and facilities;

(c) It will ensure that elderly or

handicapped persons, or any person

presenting a Medicare card issued to himself

pursuant to title II or title XVIII of the Social

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

1395 et seq.), will be charged for

transportation during non-peak hours using

or involving a facility or equipment of a

project financed with Federal assistance

authorized for 49 U.S.C. 5307, or for the Job

Access and Reverse Commute Program at

section 3037 of the Transportation Equity Act

for the 21st Century (TEA–21), 49 U.S.C.

5309 note, not more than fifty (50) percent of

the peak hour fare;

(d) In carrying out a procurement financed

with Federal assistance authorized for the

Urbanized Area Formula Program at 49

U.S.C. 5307, or the Job Access and Reverse

Commute Program at section 3037 of TEA–

21, 49 U.S.C. 5309 note, it will use

competitive procurement (as defined or

approved by the Secretary), it will not use a

procurement using exclusionary or

discriminatory specifications, and it will

comply with applicable Buy America laws in

carrying out a procurement;

(e) It has complied or will comply with the

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

Specifically, it has made available, or before

submitting its application, it will make

available: (1) to the public information on

amounts available for the Urbanized Area

Formula Program at 49 U.S.C. 5307 and, if

applicable, the Job Access and Reverse

Commute Grant Program, 49 U.S.C. 5309

note, and the program of projects it proposed

to undertake with those funds; (2) in

consultation with interested parties

including private transportation providers,

develop a proposed program of projects for

activities to be financed; (3) publish a

proposed program of projects in a way that

affected citizens, private transportation

providers and local elected officials have the

opportunity to examine the proposed

program and submit comments on the

proposed program and the performance of

the Applicant; (4) provide an opportunity for

a public hearing to obtain the views of

citizens on the proposed program of projects;

and (5) ensure that the proposed program of

projects provides for the coordination of

transportation services assisted under 49

U.S.C. 5336 with transportation services

assisted by another Federal Government

source; (6) consider comments and views

received, especially those of private

transportation providers, in preparing the

final program of projects; and (7) make the

final program of projects available to the

public;

(f) 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);

(g) It will comply with: 49 U.S.C. 5301(a)

(requirements for transportation systems that

maximize mobility and minimize fuel

consumption and air pollution); 49 U.S.C.

5301(d) (requirements for transportation of

the elderly and persons with disabilities); 49

U.S.C. 5303 through 5306 (planning

requirements); and 49 U.S.C. 5301(d) (special

efforts for designing and providing mass

transportation for the elderly and persons

with disabilities);

(h) It has a locally developed process to

solicit and consider public comment before

raising fares or implementing a major

reduction of transportation; and

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

unless it has determined that it is not

necessary to expend one (1) percent of the

amount of Federal assistance it receives for

this fiscal year apportioned in accordance

with 49 U.S.C. 5336 for transit security

projects, it will expend at least one (1)

percent of the amount of that assistance for

transit security projects, including increased

lighting in or adjacent to a transit system

(including bus stops, subway stations,

parking lots, and garages), increased camera

surveillance of an area in or adjacent to that

system, emergency telephone line or lines to

contact law enforcement or security

personnel in an area in or adjacent to that

system, and any other project intended to

increase the security and safety of an existing

or planned transit system.

(2) As required by 49 U.S.C. 5307(k)(3), if

it has received Transit Enhancement funds

authorized by 49 U.S.C. 5307(k)(1), its

quarterly report for the fourth quarter of the

preceding Federal fiscal year includes a list

of projects implemented in the preceding

Federal fiscal year using Transit

Enhancement funds, and that report is made

part of its certifications and assurances.

B. Certification Required for Capital Leasing

As required by FTA regulations, ‘‘Capital

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

639.21, to the extent the Applicant uses

Federal assistance authorized for 49 U.S.C.

5307 or section 3037 of TEA–21, 49 U.S.C.

5309 note, to acquire any capital asset by

lease, the Applicant certifies that:

(1) It will not use Federal assistance

authorized for 49 U.S.C. 5307 or section 3037

of TEA–21, 49 U.S.C. 5309 note, to finance

the cost of leasing any capital asset until it

performs calculations demonstrating that

leasing the capital asset would be more costeffective than purchasing or constructing a

similar asset;

(2) It will complete these calculations

before entering into the lease or before

receiving a capital grant for the asset,

whichever is later; and

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

which FTA can only provide incremental

funding unless it has the financial capacity

to meet its future obligations under the lease

in the event Federal assistance is not

available for capital projects in subsequent

years.

C. Certification Required for Sole Source

Purchase of Associated Capital Maintenance

Item

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

extent that the Applicant procures an

associated capital maintenance item under

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

Applicant certifies that it will use

Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices 193

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.

D. Clean Fuels Program Certification

As required by 49 U.S.C. 5308(c)(2), the

Applicant certifies that, in connection with

any application for assistance authorized for

the Clean Fuels Formula Program, vehicles

purchased with grant funds made available

for 49 U.S.C. 5308 will be operated only with

clean fuels.

14. Certifications and Assurances for the

Elderly and Persons With Disabilities

Program

An Applicant that intends to administer

the Elderly and Persons with Disabilities

Program on behalf of a state must provide the

following certifications and assurances. In

providing certifications and assurances on

behalf of its prospective subrecipients, the

Applicant is expected to obtain sufficient

documentation from those subrecipients to

assure the validity of its certifications and

assurances. FTA may not award assistance

for the Elderly and Persons with Disabilities

Program until the Applicant provides these

certifications and assurances by selecting

Category ‘‘14.’’

The Applicant administering on behalf of

the state the Elderly and Persons with

Disabilities Program authorized by 49 U.S.C.

5310 certifies and assures that the following

requirements and conditions will be fulfilled:

A. The state organization serving as the

Applicant and each subrecipient has or will

have the necessary legal, financial, and

managerial capability to apply for, receive

and disburse Federal assistance authorized

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

manage the project.

B. The state assures that each subrecipient

either is recognized under state law as a

private nonprofit organization with the legal

capability to contract with the state to carry

out the proposed project, or is a public body

that has met the statutory requirements to

receive Federal assistance authorized for 49

U.S.C. 5310.

C. The private nonprofit subrecipient’s

application for 49 U.S.C. 5310 assistance

contains information from which the state

concludes that the transit service provided or

offered to be provided by existing public or

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 formula approval of a project, its

Elderly and Persons with Disabilities

Formula Program is included in the

Statewide Transportation Improvement

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

projects in urbanized areas recommended for

approval are included in the annual element

of the metropolitan Transportation

Improvement Program in which the

subrecipient is located; and any public body

that is a prospective subrecipient of capital

assistance has provided an opportunity for a

public hearing.

G. The state recognizes that the

subrecipient, rather than the state itself, will

be ultimately responsible for implementing

many Federal requirements covered by the

certifications the state has signed. Having

taken appropriate measures to secure the

necessary compliance by each subrecipient,

the state assures, on behalf of each

subrecipient, that each subrecipient has:

(1) Coordinated or will coordinate to the

maximum extent feasible with other

transportation providers and users, including

social service agencies authorized to

purchase transit service;

(2) Complied or will comply with all

applicable civil rights requirements;

(3) Complied or will comply with

applicable requirements of U.S. DOT

regulations on participation of disadvantaged

business enterprise in U.S. DOT programs;

(4) Complied or will comply with Federal

requirements regarding transportation of

elderly persons and persons with disabilities;

(5) Complied with or will comply with

applicable provisions of 49 CFR part 605

pertaining to school transportation

operations;

(6) Viewing its demand responsive service

to the general public in its entirety, complied

or will comply with the requirement to

provide demand responsive service to

persons with disabilities, including persons

who use wheelchairs, meeting the standard

of equivalent service set forth in 40 CFR

37.77(c), if it purchases non-accessible

vehicles for use in demand responsive

service for the general public;

(7) Established or will establish a

procurement system and conducted or will

conduct its procurements in compliance 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;

(8) Complied or will comply with the

requirement that its project provides for the

participation of private mass transportation

companies to the maximum extent feasible;

(9) 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;

(10) Complied or will comply with all

applicable lobbying requirements for each

application exceeding $100,000;

(11) Complied or will comply with all

applicable nonprocurement suspension and

debarment requirements;

(12) Complied or will comply with all

applicable bus testing requirements for new

bus models;

(13) Complied with, or to the extent

required by FTA, will comply with,

applicable FTA Intelligent Transportation

System (ITS) architecture requirements; and

(14) Complied or will comply with all

applicable pre-award and post-delivery

review requirements.

H. 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/FT 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.

I. 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.

J. The state recognizes the authority of

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

of the United States to conduct audits and

reviews to verify compliance with the

foregoing requirements and stipulations, and

assures that, upon request, the State and its

subrecipients will make the necessary

records available to FTA, U.S. DOT and the

Comptroller General of the United States.

The state also knowledges its obligation

under 49 CFR 18.40(a) to monitor project

activities carried out by its subrecipients to

assure compliance with applicable Federal

requirements.

15. Certifications and Assurances for the

Nonurbanized Area Formula Program

An Applicant that intends to administer

the Nonurbanized Area Formula Program on

behalf of a state must provide the following

certifications and assurances. In providing

certifications and assurances on behalf of its

prospective subrecipients, the Applicant is

expected to obtain sufficient documentation

from those subrecipients to assure the

validity of its certifications and assurances.

FTA may not award Nonurbanized Area

Formula Program assistance to the Applicant

until the Applicant provides these

certifications and assurances by selecting

Categories ‘‘1’’ through 11’’ and ‘‘15.’’

The Applicant administering on behalf of

the state the Nonurbanized Area Formula

Program authorized by 49 U.S.C. 5311

certifies and assurances 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.

194 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices

C. The state assures that before issuing the

state’s formal approval of the project, its

Nonurbanized Area Formula Program is

included in the Statewide Transportation

Improvement Program as required by 23

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

are included in a metropolitan

Transportation Improvement Program.

D. The state has provided for a fair and

equitable distribution of Federal assistance

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

state, including Indian reservations within

the state.

E. The state recognizes that the

subrecipient, rather than the state itself, will

be ultimately responsible for implementing

many Federal requirements covered by the

certifications the state has signed. Having

taken appropriate measures to secure the

necessary compliance by each subrecipient,

the state assure, on behalf of each

subrecipient, that each subrecipient has:

(1) Coordinated or will coordinate to the

maximum extent feasible with other

transportation providers and users, including

social service agencies authorized to

purchase transit service;

(2) Complied or will comply with all

applicable civil rights requirements;

(3) Complied or will comply with

applicable requirements of U.S. DOT

regulations on participation of disadvantaged

business enterprise in U.S. DOT programs;

(4) Complied or will comply with Federal

requirements regarding transportation of

elderly persons and persons with disabilities;

(5) Complied or will comply 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;

(6) Complied or will comply with 49 CFR

part 604 in the provision of any charter

service provided with equipment or facilities

acquired with FTA assistance;

(7) Complied with or will comply with

applicable provisions of 49 CFR part 605

pertaining to school transportation

operations;

(8) Viewing its demand responsive service

to the general public in its entirety, complied

or will comply with the requirement to

provide demand responsive service to

persons with disabilities, including persons

who use wheelchairs, meeting the standard

of equivalent service set forth in 40 CFR

37.77(C), if it purchases non-accessible

vehicles for use in demand responsive

service for the general public;

(9) Established or will establish a

procurement system and conducted or will

conduct its procurements in compliance 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;

(10) Complied or will comply with the

requirement that its project provides for the

participation of private enterprise to the

maximum extent feasible;

(11) 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;

(12) Complied or will comply with all

applicable lobbying requirements for each

application exceeding $100,000;

(13) Complied or will comply with all

applicable nonprocurement suspension and

debarment requirements;

(14) Complied or will comply with all

applicable bus testing requirements for new

bus models;

(15) Complied or will comply with all

applicable pre-award and post-delivery

review requirements;

(16) Complied with or will comply with all

assurances FTA requires for projects

involving real property;

(17) Complied with, or to the extent

required by FTA, will comply with,

applicable FTA Intelligent Transportation

System (ITS) architecture requirements; and

(18) Complied with, or to the extent

required by FTA will comply with,

applicable anti-drug and alcohol program

requirements.

F. Unless otherwise noted, each of the

subrecipient’s projects qualifies for a

categorical exclusion and does not require

further environmental approvals, as

described in the joint FHWA/FTA

regulations, ‘‘Environmental Impact and

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

The state certifies that 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.

G. 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.

H. The state recognizes the authority of

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

of the United States to conduct audits and

reviews to verify compliance with the

foregoing requirements and stipulations, and

assures that, upon request, the State and its

subrecipients will make the necessary

records available to FTA, U.S. DOT and the

Comptroller General of the United States.

The state also acknowledges its obligation

under 49 CFR 18.40(a) to monitor project

activities carried out by its subrecipient to

assure compliance with applicable Federal

requirements.

I. As required by 49 U.S.C. 5311(f), the

state will expend not less than fifteen (15)

percent of the Federal assistance authorized

for 49 U.S.C. 5311(f) and apportioned 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.

16. Certifications and Assurances for the

State Infrastructure Bank Program

An Applicant for a grant of Federal

assistance for deposit in the State

Infrastructure Bank (SIB) must provide the

following certifications and assurances. In

providing certifications and assurances on

behalf of its prospective subrecipients, the

Applicant is expected to obtain sufficient

documentation from those subrecipients to

assure the validity of its certifications and

assurances. FTA may not award assistance

for the State Infrastructure Bank program to

the Applicant until the Applicant provides

these certifications and assurances by

selecting Categories ‘‘1’’ through 11,’’ and

‘‘16.’’

The state serving as the Applicant for

Federal assistance for the Transit Account of

its State Infrastructure Bank (SIB) program

authorized by either section 350 of the

National Highway System Designation Act of

1995, as amended, 23 U.S.C. 101 note, or the

State Infrastructure Bank Pilot Program, 23

U.S.C. 181 note, certifies and assures that the

following requirements and conditions will

be fulfilled pertaining to any project financed

with Federal assistance derived from the

Transit Account of the SIB:

A. The state organization serving as the

Applicant (state) agrees and assures the

agreement of the SIB and each recipient of

Federal assistance derived from the Transit

Account of the SIB within the state

(subrecipient) that each Project financed with

Federal assistance derived from the Transit

Account will be administered in accordance

with the:

(1) Applicable provisions of section 350 of

the National Highway System Designation

Act of 1995, as amended, 23 U.S.C. 101 note,

or of the State Infrastructure Bank Pilot

Program, 23 U.S.C. 181 note, and any further

amendments thereto;

(2) Provisions of any applicable Federal

guidance that may be issued;

(3) Terms and conditions of Department of

Labor Certification(s) of Transit Employee

Protective Arrangements that are required by

Federal law or regulations;

(4) Provisions of FHWA and FTA

cooperative agreement with the state to

establish the state’s SIB program; and

(5) Provisions of the FTA grant agreement

with the state that obligating Federal

assistance for the SIB, except that any

provision of the Federal Transit

Administration Master Agreement

incorporated by reference into that grant

agreement will not apply if it conflicts with

any provision of National Highway System

Designation Act of 1995, as amended, 23

U.S.C. 101 note, or section 1511 of TEA–21,

as amended, 23 U.S.C. 181 note, and Federal

guidance on SIBs, the provisions of the

cooperative agreement establishing the SIB

program within the state, or the text within

the FTA grant agreement.

B. The state agrees to comply with and

assures the compliance of the SIB and each

subrecipient of assistance under the SIB with

all applicable requirements for the SIB

program, as those requirements may be

amended from time and time. Pursuant to the

requirements of subsection 1511(h)(2) of

TEA–21, 23 U.S.C. 181 note, applicants for

Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices 195

assistance authorized by the state

Infrastructure Bank Pilot Program agree that

previous cooperative agreements entered into

with states under section 350 of the National

Highway System Designation Act of 1995, as

amended, 23 U.S.C. 101 note, will be revised

to comply with new requirements.

C. The state assures that the SIB will

provide Federal assistance from its Transit

Account only for transit capital projects

eligible under section 350 of the National

Highway System Designation Act of 1995, as

amended, 23 U.S.C. 101 note or under

section 1511 of TEA–21, 23 U.S.C. 181 note,

and that those projects will fulfill all

requirements imposed on comparable capital

transit projects financed by FTA.

D. The state understands that the total

amount of funds to be awarded for a grant

agreement will not be immediately available

for draw down. Consequently, the state

assures that it will limit the amount of

Federal assistance it draws down for deposit

in the SIB to amounts that do not exceed the

limitations specified in the underlying grant

agreement or the approved project budget for

that grant agreement.

E. The state assures that each subrecipient

has or will have the necessary legal,

financial, and managerial capability to apply

for, receive, and disburse Federal assistance

authorized by Federal statute for use in the

SIB, and to implement, manage, operate, and

maintain the project and project property for

which such assistance will support.

F. The state recognizes that the SIB, rather

than the state itself, will be ultimately

responsible for implementing many Federal

requirements covered by the certifications

the state has signed. Having taken

appropriate measures to secure the necessary

compliance by the SIB, the state assures, on

behalf of the SIB, that:

(1) The SIB has complied or will comply

with all applicable civil rights requirements;

(2) The SIB has complied or will comply

with applicable requirements of U.S. DOT

regulations on participation of disadvantaged

business enterprise in U.S. DOT programs;

(3) The SIB will provide Federal assistance

only to a subrecipient that is either a public

or private entity recognized under state law

as having the legal capability to contract with

the state to carry out its proposed project;

(4) Before the SIB enters into an agreement

with a subrecipient under which Federal

assistance will be disbursed to the

subrecipient, the subrecipient’s project is

included in the Statewide Transportation

Improvement Program; all projects in

urbanized areas recommended for approval

are included in the annual element of the

metropolitan Transportation Improvement

Program in which the subrecipient is located;

a certification that an opportunity for a

public hearing has been provided;

(5) The SIB will not provide Federal

financial assistance for any project that does

not qualify for a categorical exclusion

described in 23 CFR 771.117(c) until the

required Federal environmental finding has

been made. Moreover, the SIB will provide

no financial assistance for a project requiring

a conformity finding in accordance with the

Environmental Protection Agency’s Clean Air

Conformity regulations at 40 CFR parts 51

and 93, until the required Federal conformity

finding has been made;

(6) Before the SIB provides Federal

assistance for a transit project, each

subrecipient will have complied with the

applicable transit employee protective

provisions of 49 U.S.C. 5333(b) as required

for that subrecipient and its project; and

(7) The SIB will enter into a written

agreement with each subrecipient stating the

terms and conditions of assistance by which

the project will be undertaken and

completed, including specific provisions that

any security or debt financing instrument the

SIB may issue will contain an express

statement that the security or instrument

does not constitute a commitment, guarantee,

or obligation of the United States.

H. The state recognizes that the

subrecipient, rather than the state itself, will

be ultimately responsible for implementing

many Federal requirements covered by the

certifications the state has signed. Having

taken appropriate measures to secure the

necessary compliance by the SIB and each

subrecipient, the state assures, on behalf of

each subrecipient, that each subrecipient has:

(1) Complied or will comply with all

applicable civil rights requirements;

(2) Complied or will comply with

applicable requirements of U.S. DOT

regulations on participation of disadvantaged

business enterprise in U.S. DOT programs;

(3) Complied or will comply with Federal

requirements regarding transportation of

elderly persons and persons with disabilities;

(4) Complied or will comply with the

applicable transit employee protective

provisions of 49 U.S.C. 5333(b) as required

for that subrecipient and its project;

(5) Complied or will comply with 49 CFR

part 604 in the provision of any charter

service provided with equipment or facilities

acquired with FTA assistance;

(6) Complied with or will comply with

applicable provisions of 49 CFR part 605

pertaining to school transportation

operations;

(7) Viewing its demand responsive service

to the general public in its entirety, complied

or will comply with the requirement to

provide demand responsive service to

persons with disabilities, including persons

who use wheelchairs, meeting the standard

of equivalent service set forth in 40 CFR

37.77(c), if it purchases non-accessible

vehicle for use in demand responsive service

for the general public;

(8) Established or will establish a

procurement system and conducted or will

conduct its procurements in compliance 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;

(9) Complied or will comply with the

requirement that its project provides for the

participation of private mass transportation

companies to the maximum extent feasible;

(10) Paid or will pay just compensation

under state or local law to each private mass

transportation company for its franchise or

property acquired under the project;

(11) Complied or will comply with all

applicable lobbying requirements for each

application exceeding $100,000;

(12) Complied or will comply with all

nonprocurement suspension and debarment

requirements;

(13) Complied with or will comply with all

applicable bus testing requirements for new

bus models;

(14) Complied with or will comply with all

applicable pre-award and post-delivery

review requirements;

(15) Complied with or will comply with all

assurances FTA requires for projects

involving real property;

(16) Complied with, or to the extent

required by FTA, will comply with,

applicable FTA Intelligent Transportation

System (ITS) architecture requirements; and

(17) Complied with, or to the extent

required by FTA will comply with,

applicable anti-drug and alcohol program

requirements.

I. The state recognizes the authority of

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

of the United States to conduct audits and

reviews to verify compliance with the

foregoing requirements and stipulations, and

assures that, upon request, the SIB and its

subrecipients, as well as the states, will make

the necessary records available to FTA, U.S.

DOT and the Comptroller General of the

United States. The state also acknowledges

its obligation under 49 CFR 18.40(a) to

monitor project activities carried out by the

SIB and its subrecipients to assure

compliance with applicable Federal

requirements.

Selection and Signature Pages follow.

BILLING CODE 4910–57–M

196 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices

Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Notices 197

[FR Doc. 01–32118 Filed 12–31–01; 8:45 am]

BILLING CODE 4910–57–C