[Federal Register Volume 66, Number 18 (Friday, January 26, 2001)]
[Notices]
[Pages 8060-8068]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-2273]
[[Page 8059]]
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Part IV
Department of Transportation
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Federal Transit Administration
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Over-the-Road Bus Accessibility Program Grants; Notice
Federal Register / Vol. 66, No. 18 / Friday, January 26, 2001 /
Notices
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Over-the-Road Bus Accessibility Program Grants
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice of availability of funds; Solicitation of grant
applications.
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SUMMARY: The U.S. Department of Transportation (DOT) Federal Transit
Administration (FTA) announces the availability of funds in fiscal year
(FY) 2001 for the Over-the-Road Bus (OTRB) Accessibility Program,
authorized by Section 3038 of the Transportation Equity Act for the
21st Century (TEA-21), Pub. L. 105-178. The OTRB Accessibility Program
makes funds available to private operators of over-the-road buses to
finance the incremental capital and training costs of complying with
DOT's over-the-road bus accessibility final rule, published in a
Federal Register Notice on September 24, 1998. The OTRB Accessibility
Program calls for national solicitation of applications, with grantees
to be selected on a competitive basis. FTA's FY 2001 Appropriation Act
makes Federal funds available to intercity fixed-route providers and
other OTRB providers at up to 90 percent of the project cost.
A total of $24.3 million is available for the program over the life
of TEA-21. The guaranteed level of funding available for intercity
fixed-route service was $2 million in FYs 1999 and 2000, and is $3
million in FY 2001, and $5.25million in FYs 2002 and 2003, for a total
of $17.5 million. The guaranteed level of funding for other over-the-
road bus services, including charter and tour bus, is $1.7 million per
year from FYs 2000 and 2003, for a total of $6.8 million.
For FY 2001, $3 million was appropriated for intercity fixed-route
service providers and $1.7 million was appropriated for other over-the-
road service providers. After applying the .22 percent reduction for
the government-wide rescission required by the FY 2001 Omnibus
Consolidated Appropriations Act, Pub.L. 106-554, the amount available
for the OTRB Accessibility Program has been reduced to $4,689,660. Of
this amount, $2,993,400 is available to providers of intercity fixed-
route service, and $1,696,260 is available to other providers of over-
the-road bus services, including local fixed-route service, commuter
service, and charter and tour service.
This announcement describes application procedures for the OTRB
Accessibility Program and the procedures FTA will use to determine
which projects it will fund. It includes all of the information needed
to apply for an OTRB Accessibility Program grant.
This announcement is available on the Internet on the FTA website
at: [http://www.fta.gov/library/legal/federal register/2001/index.htm].
FTA will announce final selections on the website and in the Federal
Register.
DATES: Complete applications for OTRB Accessibility Program grants must
be submitted to the appropriate FTA regional office (see Appendix A) by
the close of business April 27, 2001. The appropriate FTA regional
office is that office which serves the state in which an applicant's
headquarters office is located. FTA intends to announce grant
selections in July 2001, and it is anticipated that grants will be made
by September 30, 2001, the end of the Federal fiscal year. FTA will
accept comments on this notice until (30 days after date published).
Based on input, FTA may provide amending or clarifying program
information.
ADDRESSES: Comments and questions related to this notice can be mailed,
faxed, or electronically submitted to the following: Sue Masselink,
Federal Transit Administration, Room 9315, 400 7th Street, S.W.,
Washington, D.C. 20590 (FAX (202) 366-7951, e-mail address:
[email protected]).
FOR FURTHER INFORMATION CONTACT: The appropriate FTA Regional
Administrator (Appendix A) for application-specific information and
issues. For general program information, contact Sue Masselink, Office
of Program Management, (202) 366-2053, e-mail:
[email protected]. A TDD is available at 1-800-877-8339 (TDD/
FIRS).
SUPPLEMENTARY INFORMATION
Table of Contents
I. General Program Information
II. Guidelines for Preparing Grant Applications
III. Submission of Applications and Grant Review Process
Appendix A FTA Regional Offices
Appendix B Sample OTRB Accessibility Program Project Budget
Appendix C Certifications and Assurances
Appendix D Grant Application Checklist
Appendix E OMB Standard Form 424, ``Federal Assistance''
I. General Program Information
A. Authority
The program is authorized under section 3038 of the Transportation
Equity Act for the 21st Century (TEA-21). Funds have been appropriated
for this program under the Department of Transportation and Related
Agencies Appropriations Act, 2001, Pub.L. 106-346; however, a .22
percent rescission was required pursuant to section 1403(a) of the FY
2001 Omnibus Consolidated Appropriations Act.
B. Background
Over-the-road buses are used in intercity fixed-route service as
well as other services, such as charter and tour bus services. These
services are an important element of the U.S. transportation system.
TEA-21 authorized FTA's Over-the-road Bus Accessibility Program to
assist over-the-road bus operators in complying with the Department's
Over-the-road Bus Accessibility rule, ``Transportation Services for
Individuals with Disabilities (ADA)'' (49 CFR part 37) published in a
Federal Register notice on September 24, 1998.
Summary of DOT's Over-the-Road Bus Accessibility Rule. Under the
over-the-road bus accessibility rule, all new buses obtained by large
(Class I carriers, i.e., those with gross annual operating revenues of
$5.3 million or more), fixed-route carriers, starting in 2000, must be
accessible, with wheelchair lifts and tie-downs that allow passengers
to ride in their own wheelchairs. The rule requires the fixed-route
carriers' fleets to be completely accessible by 2012. The buses
acquired by small (gross operating revenues of less than $5.3 million
annually) fixed-route providers also are required to be lift-equipped,
although they do not have a deadline for total fleet accessibility.
Small providers also can provide equivalent service in lieu of
obtaining accessible buses. Starting in 2001, charter and tour
companies will have to provide service in an accessible bus on 48
hours' advance notice. Fixed-route companies must also provide this
kind of service on an interim basis until their fleets are completely
accessible.
Small carriers who provide mostly charter or tour service and also
provide a small amount of fixed-route service can meet all requirements
through 48-hour advance-reservation service. Small carriers have an
extra year to begin complying with the requirements which apply to them
starting in October 2001, compared to October 2000 for large carriers.
Specifications describing the design features that an over-the-road
bus must have to be readily accessible to and usable by persons who use
wheelchairs or other mobility aids required by the ``Americans with
Disabilities Act Accessibility Guidelines for Transportation Vehicles:
Over-the-Road
[[Page 8061]]
Buses'' rule (36 CFR part 1192) were published in another Federal
Register Notice on September 28, 1998.
C. Scope
Improving mobility and shaping America's future by ensuring that
the transportation system is accessible, integrated, efficient and
offers flexibility of choices is a key strategic goal of the Department
of Transportation. Over-the-road Bus Accessibility projects will
improve mobility for individuals with disabilities by providing
financial assistance to help make vehicles accessible and provide
training to ensure that drivers and others understand how to use
accessibility features as well as how to treat patrons with
disabilities.
D. Eligible Applicants
Grants will be made directly to operators of over-the-road buses.
Intercity, fixed-route over-the-road bus service providers may apply
for the nearly $3 million available to intercity fixed-route providers
in FY 2001. Other over-the-road bus service providers, including
operators of local fixed-route service, commuter service, and charter
or tour service may apply for the nearly $1.7 million available in FY
2001 for these providers. OTRB operators who provide intercity, fixed-
route service and another type of service, such as commuter, charter or
tour, may apply for both categories of funds with a single application.
Private for-profit operators of over-the-road buses are eligible to be
direct applicants for this program. This is a departure from the other
FTA programs in which the direct applicant must be a state or local
public body.
E. Vehicle and Service Definitions
An ``over-the-road bus'' is a bus characterized by an elevated
passenger deck located over a baggage compartment.
Intercity, fixed-route over-the-road bus service is regularly
scheduled bus service for the general public, using an over-the-road
bus that: operates with limited stops over fixed routes connecting two
or more urban areas not in close proximity or connecting one or more
rural communities with an urban area not in close proximity; has the
capacity for transporting baggage carried by passengers; and makes
meaningful connections with scheduled intercity bus service to more
distant points.
Other over-the-road bus service means any other transportation
using over-the-road buses, including local fixed-route service,
commuter service, and charter or tour service (including tour or
excursion service that includes features in addition to bus
transportation such as meals, lodging, admission to points of interest
or special attractions). While some commuter service may also serve the
needs of some intercity fixed-route passengers, the statute includes
commuter service in the definition of ``other'' service. Commuter
service providers should apply for these funds, even though the
services designed to meet the needs of commuters may also provide
service to intercity fixed-route passengers on an incidental basis. If
a service provider can document that more than 50 percent of its
passengers are using the service as intercity fixed-route service, the
provider may apply for the funds designated for intercity fixed-route
operators.
F. Eligible Projects
Projects to finance the incremental capital and training costs of
complying with DOT's over-the-road bus accessibility rule (49 CFR Part
37, subpart H) are eligible for funding. Incremental capital costs
eligible for funding include adding lifts, tie downs, moveable seats,
doors and all labor costs associated with work on the vehicle needed to
make new vehicles accessible. Retrofitting vehicles with such
accessibility components is also an eligible expense. Please see Buy
America section for further determination of eligibility.
Funds may be awarded by FTA for costs already incurred by the
applicants. For example, new wheelchair accessible vehicles delivered
since June 9, 1998, the date that the TEA-21 was signed into law, are
eligible for funding under the program. Vehicles of any age that have
been retrofitted with lifts and other accessibility components since
June 9, 1998 are also eligible for funding.
Eligible training costs are those required by the final
accessibility rule as described in 49 CFR 37.209. These activities
include training in proper operation and maintenance of accessibility
features and equipment, boarding assistance, securement of mobility
aids, sensitive and appropriate interaction with passengers with
disabilities, and handling and storage of mobility devices. The costs
associated with developing training materials or providing training for
local providers of over-the-road bus services for these purposes are
eligible expenses.
FTA has sponsored the development of accessibility training
materials for public transit operators. FTA-funded Project Action is a
national technical assistance program to promote cooperation between
the disability community and transportation industry. Project Action
provides training, resources and technical assistance to thousands of
disability organizations, consumers with disabilities, and
transportation operators. It maintains a resource center with the most
up-to-date information on transportation accessibility. Project Action
may be contacted at: Project Action, 700 Thirteenth Street, N.W., Suite
200, Washington, DC 20590, Phone: 1-800-659-6428, Internet address:
http://www.projectaction.org/.
G. Grant Criteria
FTA will award grants based on:
a. The identified need for over-the-road bus accessibility for
persons with disabilities in the areas served by the applicant;
b. The extent to which the applicant demonstrates innovative
strategies and financial commitment to providing access to over-the-
road buses to persons with disabilities;
c. The extent to which the over-the-road bus operator acquires
equipment required by DOT's over-the-road bus accessibility rule prior
to the required timeframe in the rule;
d. The extent to which financing the costs of complying with DOT's
rule presents a financial hardship for the applicant; and
e. The impact of accessibility requirements on the continuation of
over-the-road bus service, with particular consideration of the impact
of the requirements on service to rural areas and for low-income
individuals.
These are the statutory criteria upon which funding decisions will
be made. In addition to these criteria, FTA may also consider other
factors, such as the size of the applicant's fleet and the approximate
proportion of use the vehicle will get for the services eligible under
the category of funds for which the applicant is applying. Funding
decisions may also take into consideration whether intercity fixed-
route carriers are large (Class I carriers, i.e., those with gross
annual operating revenues of $5.3 million or more) or small (gross
operating revenues of less than $5.3 million annually).
H. Grant Requirements
The grant application must include documentation necessary to meet
the requirements of FTA's Nonurbanized Area Formula program (49 U.S.C.
5311). Technical assistance regarding these requirements is available
in each FTA regional office. Federal requirements apply only to the
incremental cost of adding the wheelchair accessibility features,
either to new vehicles or when retrofitting existing vehicles.
[[Page 8062]]
Training costs are not subject to all requirements. For example,
labor protections, Buy America, and school transportation are not
applicable to training assistance.
1. Buy America. In the OTRB Accessibility program, FTA's Buy
America regulations, 49 CFR part 661, apply to the incremental capital
cost of making vehicles accessible. Those regulations do not apply to
associated labor costs. The following discussion relates to the
contract between the grantee and the prime contractor.
The ``General Requirements'' found at 49 CFR 661.5 apply to that
portion of the accessibility system being funded. That section requires
that all of the manufacturing processes for the product take place in
the United States and that all components of the product be made in the
United States. A component is considered domestic if it is manufactured
in the U.S.A., regardless of the origin of its subcomponents. The lift,
the moveable seats, and the securement devices will all be considered
components for purposes of this program; accordingly, a ``General
Requirements'' analysis should be applied to each of these items
individually. Should a recipient choose to request funding for only a
specific component, such as the lift or the securement device, then the
Buy America requirements would apply only to that item funded by FTA.
Three exceptions to the general requirements that can be found at
49 CFR 661.7: first, a waiver may be requested when the application of
the regulation is not in the public interest; second, the general
requirements will not apply if materials and products being procured
are not produced in the United States in sufficient and reasonably
available quantities and of a satisfactory quality; and third, a price
differential waiver will be available under this program only if the
grantee conducts a competitive procurement (see Competitive Procurement
Section, below). FTA approval must be received by the recipient of FTA
funds prior to the execution of contract.
It should also be noted that FTA has issued a general public
interest waiver for all purchases under the Federal ``small purchase''
threshold, which is currently set at $100,000. This waiver can be found
in 49 CFR 661.7, Appendix A(e). In section 3038(b) of TEA-21, Congress
authorized FTA financing of the incremental capital costs of compliance
with DOT's OTRB accessibility rule. Consistent with this provision, the
small purchase waiver applies only to the incremental cost of the
accessibility features FTA is funding. Where more than one bus is
purchased, the grantee must consider the incremental cost increase for
the entire procurement when determining if the small purchase waiver
applies. For example, if $30,000 is the incremental cost for the
accessibility features eligible under this program per bus (regardless
of the Federal share contribution), then a procurement of three buses
with a total such cost of $90,000, would qualify for the small purchase
waiver. No special application to FTA would be required.
The grantee must obtain a certification from the bus manufacturer
that all items included in the incremental cost for which the applicant
is applying for funds meet Buy America requirements.
The Buy America regulations can be found at www.fta.dot.gov/library/legal/49961.htm.
2. Labor Protection. Before FTA may award a grant for capital
assistance, 49 U.S.C. 5333(b) requires that fair and equitable
arrangements must be made to protect the interests of transit employees
affected by FTA assistance. Those arrangements must be certified by the
Secretary of Labor as meeting the requirements of the statute. When a
labor organization represents a group of affected employees in the
service area of an FTA project, the employee protective arrangement is
usually the product of negotiations or discussions with the union. The
grant applicant can facilitate Department of Labor (DOL) certification
by identifying in the application any previously certified protective
arrangements that have been applied to similar projects undertaken by
the grant applicant, if any. Receiving funds under the OTRB
Accessibility program, however, will not require the grantee's
employees to be represented by organized labor. Upon receipt of a grant
application requiring employee protective arrangements, FTA will
transmit the application to DOL and request certification of the
employee protective arrangements. In accordance with DOL guidelines,
DOL notifies the relevant unions in the area of the project that a
grant for assistance is pending and affords the grant applicant and
union the opportunity to agree to an arrangement establishing the terms
and conditions of the employee protections. If necessary, DOL furnishes
technical and mediation assistance to the parties during their
negotiations. The Secretary of Labor may determine the protections to
be certified if the parties do not reach an agreement after good faith
bargaining and mediation efforts have been exhausted. DOL will also set
the protective conditions when affected employees in the service area
are not represented by a union. When DOL determines that employee
protective arrangements comply with labor protection requirements, DOL
will provide a certification to FTA. The grant agreement between FTA
and the grant applicant incorporates by reference the employee
protective arrangements certified by DOL.
Applicants must identify any labor organizations that may represent
their employees and all labor organizations that represent the
employees of any other transit providers in the service area of the
project.
For each local of a nationally affiliated union, the applicant must
provide the name of the national organization and the number or other
designation of the local union. (For example, Amalgamated Transit Union
local 1258.) Since DOL makes its referral to the national union's
headquarters, there is no need to provide a means of contacting the
local organization.
However, for each independent labor organization (i.e., a union
that is not affiliated with a national or international organization)
the local information will be necessary (name of organization, address,
contact person, phone, fax numbers).
Where a labor organization represents transit employees in the
service area of the project, DOL must refer the proposed protective
arrangements to each union and to each recipient. For this reason,
please provide DOL with a contact person, address, telephone number and
fax number for your company, and associated union information.
DOL issued a Federal Register Notice addressing the new TEA-21
programs, including the OTRB Accessibility Program, ``Amendment to
Section 5333(b) Guidelines to Carry Out New Programs Authorized by the
Transportation Equity Act for the 21st Century (TEA-21); Final Rule,
dated July 28, 1999. FTA issued a ``Dear Colleague'' letter, dated
December 5, 2000, addressing DOL processing of grant applications.
Attached to the letter is an application checklist which provides
information that DOL must have in order to review and certify FTA grant
applications. This letter and attachment can be found at: http://www.fta.dot.gov/office/public/c0019.html. Questions concerning
protective arrangements and related matters pertaining to transit
employees should be addressed to the Division of Statutory Programs,
Department of Labor, 200 Constitution Avenue, NW., Room N-5411,
Washington, DC 20210;
[[Page 8063]]
telephone (202) 693-0126, fax (202) 219-5338.
3. Competitive Procurement. Federal procurement requirements apply
to FTA funds awarded to state and local governments and private
nonprofit agencies under 49 CFR parts 18 and 19. To the extent a direct
recipient of FTA funds under this program is a private for-profit
entity, the Federal procurement requirements do not apply.
4. Debarment, Suspension and Other Responsibility Matters. Pursuant
to Executive Order 12549; 41 USC 701; and 49 CFR part 29, grantees must
ensure that FTA funds are not given to anyone who has been debarred,
suspended, or declared ineligible or voluntarily excluded from
participation in federally assisted transactions. The burden of
disclosure is on those debarred or suspended. The U.S. General Services
Administration (GSA) issues a document titled ``Lists of Parties
Excluded from Federal Procurement or Nonprocurement Programs'' monthly.
The list is available on the GSA website (http//www.gsa.gov/index). If
at any time the grantee or other covered entity learns that a
certification it made or received was erroneous when submitted or if
circumstances have changed, disclosure to FTA is required.
5. Drug-Free Workplace. Grantees must maintain a drug-free
workplace for all employees and have an anti-drug policy and awareness
program. The grant applicant must certify to FTA that it will provide a
drug-free workplace and comply with all requirements of the Drug-Free
Workplace Act of 1988 (Public Law 100-690) and U.S. DOT's implementing
regulations, 49 CFR part 29, Subpart F. The grantee is required to
provide a written Drug-Free Workplace policy statement notifying
employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the
workplace and stating specific actions that will be taken for
violations. The ongoing drug-free awareness program must inform
employees about the dangers of drug abuse; about any available drug
counseling, rehabilitation, and employee assistance programs; about
penalties that may be imposed; and that employees are to be aware that
the recipient operates a drug-free workplace. An employee of an FTA
grantee is required to report in writing any conviction for a violation
of criminal drug statute occurring in the workplace, and the grantee/
employer is required to provide written notice to FTA within 10 days of
having received the notice. Within 30 days of receiving the notice of a
conviction, the grantee/employer must have taken appropriate action
against the employee or have required participation in a drug abuse
assistance or rehabilitation program.
6. Nondiscrimination Requirements. 49 U.S.C. section 5332 states
that ``a person (defined broadly) may not be excluded from
participating in, denied a benefit of, or discriminated against, under
a project, program, or activity receiving financial assistance (from
FTA) because of race, color, creed, national origin, sex, or age.''
7. Title VI. Grantees must assure FTA that transit services and
benefits obtained with FTA assistance will be provided in a
nondiscriminatory manner, without regard to race, color, or national
origin.
8. Disadvantaged Business Enterprise. Grantees must assure FTA that
disadvantaged business enterprises (DBEs) are provided the maximum
opportunity to compete for FTA-assisted contracts and procurements.
9. Equal Employment Opportunity (EEO). The grantee must assure that
it will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, disability, age or
national origin.
10. Americans with Disabilities Act and Section 504. Compliance
with the Americans with Disabilities Act of 1990 (ADA) (Public Law 101-
336) and DOT's implementing regulations (49 CFR parts 27, 37, and 38)
and section 504 of the Rehabilitation Act of 1973, as amended, are
eligibility requirements for Federal financial assistance. Section 504
prohibits discrimination on the basis of disability by recipients of
Federal financial assistance. The ADA prohibits discrimination against
persons with disabilities in the provision of transportation services.
11. Restrictions on Lobbying. Federal financial assistance may not
be used to influence any member of Congress or an officer or employee
of any agency in connection with the making of any Federal contract,
grant, or cooperative agreement. The state, subrecipients, and third
party contractors at any tier awarded FTA assistance exceeding $100,000
must sign a certification so stating and also must disclose the
expenditure of non-Federal funds for such purposes (49 CFR part 20).
Other Federal laws also govern lobbying activities. For example,
Federal funds may not be used for lobbying congressional
representatives or senators indirectly, such as by contributing to a
lobbying organization or funding a grass-roots campaign to influence
legislation (31 U.S.C. 1352). General advocacy for over-the-road bus
transportation and providing information to legislators about the
services a recipient provides are not prohibited, nor is using non-
Federal funds for lobbying, so long as the required disclosures are
made.
12. Environmental Protection. Neither incremental capital costs
associated with making vehicles wheelchair accessible nor training
costs involve significant environmental impacts. Projects that do not
involve significant environmental impacts are considered ``categorical
exclusions'' in FTA's procedures because they have been categorically
excluded from FTA's requirements to prepare environmental
documentation. (49 USC part 622, incorporating 23 CFR part 771)
13. Planning. Applicants are encouraged to notify the appropriate
state departments of transportation and metropolitan planning
organizations (MPO) in areas likely to be served by equipment made
accessible through funds made available in this program. Those
organizations, in turn, should take appropriate steps to inform the
public, and individuals requiring fully accessible services in
particular, of operators' intentions to expand the accessibility of
their services. Incorporation of funded projects in the plans and
transportation improvement programs of states and metropolitan areas by
states and MPOs also is encouraged, but is not required.
II. Guidelines for Preparing Grant Application
FTA is conducting a national solicitation for applications under
the OTRB Accessibility program. Grant awards will be made on a
competitive basis. Although most FTA grant applications are now
submitted electronically, paper applications for the OTRB Accessibility
program will be accepted. An original and two copies of the application
must be submitted to the appropriate FTA Regional Office. The OTRB
operators should submit the application to the office in the region in
which its headquarters office is located. The application should
provide information on all items for which you are requesting funding
in FY 2001. The application must include the following elements:
1. Transmittal Letter
This addresses basic identifying information, including:
a. Grant applicant.
b. Contact name, address, fax and phone number.
c. Amount of grant request.
[[Page 8064]]
d. Type of services for which funds are sought, either intercity
fixed route services, other services, or both.
e. For fixed-route carriers, whether you are a large (Class I, with
gross annual operating revenues of $5.3 million or more) or small
(gross operating reveues of less than $5.3 million annually) carrier.
2. Project Eligibility
Every application must:
a. Describe the applicant's technical, legal, and financial
capacity to implement the proposed projects.
b. Document matching funds, including amount and source.
c. Include OMB Standard Form 424, ``Federal Assistance,'' which is
a multi-purpose form which must be completed in its entirety. The forms
are available from the FTA regional offices.
3. Project Information
Provide a summary of project activities for which you are
requesting funds. The summary should include:
a. Description of the components included in request for funds,
i.e., lifts, tie-downs, moveable seats, etc.
b. Each project's time line, including significant milestones such
as date of contract for purchase of vehicle(s), and actual or expected
delivery date of vehicle(s).
c. Project budget (See Appendix B).
4. Project Narrative
Provide the information that addresses the criteria set forth in
this notice at Section G, ``Grants Criteria''. Grants will be awarded
competitively based upon that criteria. Please also provide the
following information, which may also be used for funding decisions:
a. Fleet Information. Provide information on the number of over-
the-road buses in your fleet, how many of those vehicles are
accessible, and whether the vehicles for which you are seeking funds
will be used to replace vehicles in your current fleet or to expand
your fleet.
b. Service Information. If funds are being sought for intercity
fixed-route service, please describe how the service meets the
definition of intercity fixed route service, including how the service
makes meaningful connections with scheduled intercity bus service to
more distant points. If you provide both intercity fixed-route service
and another type of service, such as commuter, charter or tour service,
please provide an estimate of the proportion of your service that is
intercity fixed-route service. Describe your service area.
5. Labor Information
a. Identify any labor organizations that may represent your
employees and all labor organizations that represent the employees of
any transit providers in the service area of the project. For each
local of a nationally affiliated union, the applicant must provide the
name of the national organization and the number or other designation
of the local union. (For example, Amalgamated Transit Union local
1258.) Since DOL makes its referral to the national union's
headquarters, there is no need to provide a means of contacting the
local organization.
b. For each independent labor organization (i.e., a union that is
not affiliated with a national or international organization) the local
information will be necessary (name of organization, address, contact
person, phone, fax numbers).
c. Where a labor organization represents transit employees in the
service area of the project, DOL must refer the proposed protective
arrangements to each union and to each recipient. For this reason,
please provide DOL with a contact person, address, telephone number and
fax number for your company and associated union information.
III. Submission of Applications and Grant Review Process
Applications are to be submitted to the appropriate FTA Regional
Office by the close of business on April 27, 2001. FTA will screen all
applications to determine whether all required eligibility elements, as
described in Section 2 of the application, are present. An FTA
evaluation team will evaluate each application according to the
criteria described in this announcement.
A. Notification
FTA expects to notify all applicants, both those selected for
funding and those not selected, in July 2001. Grants are expected to be
made by September 30, 2001, the end of Federal fiscal year 2001. FTA is
committed to obligating FY 2001 OTRB Accessibility program funds
expeditiously. Therefore, FTA urges applicants to develop and submit
with their applications complete documentation necessary to meet the
applicable FTA Section 5311 requirements.
Issued on: January 19, 2001.
Hiram J. Walker,
Associate Administrator for Program Management.
APPENDIX A--FTA REGIONAL OFFICES
Region I--Massachusetts, Rhode Island, Connecticut, New Hampshire,
Vermont and Maine
Richard H. Doyle, FTA Regional Administrator, Volpe National
Transportation Systems Center, Kendall Square 55 Broadway, Suite
920, Cambridge, MA 02142-1093, (617) 494-2055
Region II--New York, New Jersey, Virgin Islands
Letitia Thompson, FTA Regional Administrator, 26 Federal Plaza,
Suite 2940, New York, NY 10278-0194, (212) 264-8162
Region III--Pennsylvania, Maryland, Virginia, West Virginia, Delaware,
Washington, DC
Susan Schruth, FTA Regional Administrator, 1760 Market Street, Suite
500, Philadelphia, PA 19103-4124, (215) 656-7100
Region IV--Georgia, North Carolina, South Carolina, Florida,
Mississippi, Tennessee, Kentucky, Alabama, Puerto Rico
Jerry Franklin, FTA Regional Administrator, 61 Forsyth Street, S.W.,
Suite 17T50, Atlanta, GA 30303, (404) 562-3500
Region V--llinois, Indiana, Ohio, Wisconsin, Minnesota, Michigan
Joel Ettinger, FTA Regional Administrator, 200 West Adams Street,
Suite 2410 Chicago, IL 60606-5232, (312) 353-2789
Region VI--Texas, New Mexico, Louisiana, Arkansas, Oklahoma
Robert Patrick, FTA Regional Administrator, 819 Taylor Street, Room
8A36, Ft. Worth, TX 76102 (817) 978-0550
Region VII--Iowa, Nebraska, Kansas, Missouri
Mokhtee Ahmad, FTA Regional Administrator, 901 Locust Street, Suite
404, Kansas City, MO 64106, (816) 329-3920
Region VIII--Colorado, North Dakota, South Dakota, Montana, Wyoming,
Utah
Lee Waddleton, FTA Regional Administrator, Columbine Place, 216 16th
Street, Suite 650, Denver, CO 80202-5120, (303) 844-3242
Region IX--California, Arizona, Nevada, Hawaii, American Samoa, Guam
Leslie Rogers, FTA Regional Administrator, 201 Mission Street, Suite
2210, San Francisco, CA 94105-1831, (415) 744-3133
Region X--Washington, Oregon, Idaho, Alaska
Helen Knoll, FTA Regional Administrator, Jackson Federal Building,
915 Second
[[Page 8065]]
Avenue, Suite 3142, Seattle, WA 98174-1002, (206) 220-7954
APPENDIX B--SAMPLE OTRB ACCESSIBILITY PROGRAM PROJECT BUDGET
[Grantee: Hillsdale Intercity Services; Project: OR-38-0001]
------------------------------------------------------------------------
Eligible
Federal project
share cost
------------------------------------------------------------------------
Scope--111-01:................................
Bus Rolling Stock......................... ........... ...........
Activity: 11.42.43 Incremental cost of $20,700 $23,000
lift, securement devices and labor
quantity--1..............................
Activity: 11.44.33 Retrofit vehicle with 39,600 44,000
lift quantity--1
Scope--117-00:
Bus--Other................................ ........... ...........
Activity: 11.7D.01 Training............... 18,000 20,000
Eligible project cost..................... 87,000
Federal share (10 percent)................ 78,300
Applicant share (90 percent).............. 8,700
------------------------------------------------------------------------
APPENDIX C--CERTIFICATIONS AND ASSURANCES
List of Certifications and Assurances for Federal Transit
Administration Over-the-Road-Bus Accessibility Grants
This list is a comprehensive compilation of the certifications
and assurances required by Federal law for the OTRB Accessibility
program. At the end of this list is a single Signature Page on which
the applicant and its attorney certifies compliance with all
certifications and assurances applicable to the OTRB Accessibility
program.
All applicants are advised to read the entire list of
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.
References
The Transportation Equity Act for the 21st Century, Pub. L. 105-
178, June 9, 1998, as amended, 49 U.S.C. chapter 53, Title 23,
U.S.C., U.S. DOT and FTA regulations at 49 CFR, and FTA Circulars.
Over-the-Road Bus Accessibility Program Certifications and
Assurances
1. Certifications and Assurances Required of Each Applicant
Each Applicant for Federal assistance awarded by FTA must
provide all certifications and assurances in this category I.
Consequently, FTA may not award any Federal assistance until the
Applicant provides assurance of compliance by selecting category
``I'' Signature Page at the end of this document.
A. Authority of Applicant and Its Representative
The authorized representative of the Applicant and legal counsel
who sign these certifications, assurances, and agreements affirm
that both the Applicant and its authorized representative have
adequate authority under state and local law and the by-laws or
internal rules of the Applicant organization to:
(1) Execute and file the application for Federal assistance on
behalf of the Applicant,
(2) Execute and file the required certifications, assurances,
and agreements on behalf of the Applicant binding the Applicant, and
(3) Execute grant agreements and cooperative agreements with FTA
on behalf of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable
Federal statutes, regulations, executive orders, FTA circulars, and
other Federal administrative requirements in carrying out any
project supported by the FTA grant. The Applicant acknowledges that
it is under a continuing obligation to comply with the terms and
conditions of the grant agreement issued for its project with FTA.
The Applicant understands that Federal laws, regulations, policies,
and administrative practices might be modified from time to time and
affect the implementation of the project. The Applicant agrees that
the most recent Federal requirements will apply to the project,
unless FTA issues a written determination otherwise.
C. Debarment, Suspension, and Other Responsibility Matters for Primary
Covered Transactions
As required by U.S. DOT regulations on Government-wide Debarment
and Suspension (Nonprocurement) at 49 CFR 29.510:
(1) The Applicant (Primary Participant) certifies, to the best
of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not, within a three (3) year period preceding this
certification, been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a
public (Federal, state, or local) transaction or contract under a
public transaction, violation of Federal or state antitrust
statutes, or commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements, or
receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, state, or local)
with commission of any of the offenses listed in subparagraph (1)(b)
of this certification; and
(d) Have not within a three-year period preceding this
certification had one or more public transactions (Federal, state,
or local) terminated for cause or default.
(2) The Applicant also certifies that, if it later becomes aware
of any information contradicting the statements of paragraph (1)
above, it will promptly provide that information to FTA.
(3) If the Applicant (Primary Participant) is unable to certify
to all statements in paragraphs (1) and (2) above, it shall indicate
so in its signature page and provide a written explanation to FTA.
D. Drug-Free Workplace Agreement
As required by U.S. DOT regulations, ``Drug-Free Workplace
Requirements (Grants),'' 49 CFR part 29, Subpart F, as modified by
41 U.S.C. 702, the Applicant agrees that it will provide a drug-free
workplace by:
(1) Publishing a statement notifying its employees that the
unlawful manufacture, distribution, dispensing, possession, or use
of a controlled substance is prohibited in its workplace and
specifying the actions that will be taken against its employees for
violation of that prohibition;
(2) Establishing an ongoing drug-free awareness program to
inform its employees about:
(a) The dangers of drug abuse in the workplace,
(b) Its policy of maintaining a drug-free workplace,
(c) Any available drug counseling, rehabilitation, and employee
assistance programs, and
(d) The penalties that may be imposed upon its employees for
drug abuse violations occurring in the workplace;
(3) Making it a requirement that each of its employees to be
engaged in the performance of the grant be given a copy of the
statement required by paragraph (1) above;
(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, the employee will be
required to:
(a) Abide by the terms of the statement, and
[[Page 8066]]
(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;
(6) Taking one of the following actions within thirty (30)
calendar days of receiving notice under paragraph (4)(b) of this
agreement with respect to any employee who is so convicted:
(a) Taking appropriate personnel action against that employee,
up to and including termination, consistent with the requirements of
the Rehabilitation Act of 1973, as amended, or
(b) Requiring that employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, state, or local health, law enforcement, or
other appropriate agency; and
(7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3),
(4), (5), and (6) of this agreement. The Applicant agrees to
maintain a list identifying its headquarters location and each
workplace it maintains in which project activities supported by FTA
are conducted, and make that list readily accessible to FTA.
E. Intergovernmental Review Assurance
The Applicant assures that each application for Federal
assistance submitted to FTA has been or will be submitted, as
required by each state, for intergovernmental review to the
appropriate state and local agencies. Specifically, the Applicant
assures that it has fulfilled or will fulfill the obligations
imposed on FTA by U.S. DOT regulations, ``Intergovernmental Review
of Department of Transportation Programs and Activities,'' 49 CFR
part 17.
F. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on
the basis of race, color, creed, national origin, sex, or age, and
prohibits discrimination in employment or business opportunity),
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000d, and U.S. DOT regulations, ``Nondiscrimination in Federally-
Assisted Programs of the Department of Transportation--Effectuation
of Title VI of the Civil Rights Act,'' 49 CFR part 21 at 21.7, the
Applicant assures that it will comply with all requirements of 49
CFR part 21; FTA Circular 4702.1, ``Title VI Program Guidelines for
Federal Transit Administration Recipients'', and other applicable
directives, so that no person in the United States, on the basis of
race, color, national origin, creed, sex, or age will be excluded
from participation in, be denied the benefits of, or otherwise be
subjected to discrimination in any program or activity (particularly
in the level and quality of transportation services and
transportation-related benefits) for which the Applicant receives
Federal assistance awarded by the U.S. DOT or FTA as follows:
(1) The Applicant assures that each project will be conducted,
property acquisitions will be undertaken, and project facilities
will be operated in accordance with all applicable requirements of
49 U.S.C. 5332 and 49 CFR part 21, and understands that this
assurance extends to its entire facility and to facilities operated
in connection with the project.
(2) The Applicant assures that it will take appropriate action
to ensure that any transferee receiving property financed with
Federal assistance derived from FTA will comply with the applicable
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
(3) The Applicant assures that it will promptly take the
necessary actions to effectuate this assurance, including notifying
the public that complaints of discrimination in the provision of
transportation-related services or benefits may be filed with U.S.
DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures
that it will submit 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. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, ``Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or Benefiting
from Federal Financial Assistance,'' at 49 CFR part 27, implementing
the Rehabilitation Act of 1973, as amended, and the Americans with
Disabilities Act of 1990, as amended, the Applicant assures that, as
a condition to the approval or extension of any Federal assistance
awarded by FTA to construct any facility, obtain any rolling stock
or other equipment, undertake studies, conduct research, or to
participate in or obtain any benefit from any program administered
by FTA, no otherwise qualified person with a disability shall be,
solely by reason of that disability, excluded from participation in,
denied the benefits of, or otherwise subjected to discrimination in
any program or activity receiving or benefiting from Federal
assistance administered by the FTA or any entity within U.S. DOT.
The Applicant assures that project implementation and operations so
assisted will comply with all applicable requirements of U.S. DOT
regulations implementing the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, and the Americans with Disabilities Act of 1990, as
amended, 42 U.S.C. 12101 et seq. at 49 CFR parts 27, 37, and 38, and
any applicable regulations and directives issued by other Federal
departments or agencies.
1. Certifications Prescribed by the Office of Management and Budget
(SF-424B and SF-424D)
The Applicant certifies that it:
(1) Has the legal authority to apply for Federal assistance and
the institutional, managerial, and financial capability (including
funds sufficient to pay the non-Federal share of project cost) to
ensure proper planning, management, and completion of the project
described in its application.
(2) Will give FTA, the Comptroller General of the United States
and, if appropriate, the state, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
(3) Will establish safeguard to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest or
personal gain.
(4) Will initiate and complete the work within the applicable
project time periods following receipt of FTA approval.
(5) Will comply with all statutes relating to nondiscrimination
including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which
prohibits discrimination on the basis of race, color, or national
origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20
U.S.C. 1681, 1683, and 1685 through 1687, which prohibits
discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, which prohibits discrimination on the basis of
handicaps;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 through 6107, which prohibit discrimination on the basis of
age;
(e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, relating to
nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention
Act of 1970, Pub. L. 91-616, Dec. 31, 1970, and amendments thereto,
relating to nondiscrimination on the basis of alcohol abuse or
alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C.
290dd-3 and 290ee-3, related to confidentiality of alcohol and drug
abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq.,
relating to nondiscrimination in the sale, rental, or financing of
housing;
(i) Any other nondiscrimination provisions in the specific
statutes under which Federal assistance for the project may be
provided including, but not limited to section 1101(b) of the
Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note,
which provides for participation of disadvantaged business
enterprises in FTA programs; and
[[Page 8067]]
(j) The requirements of any other nondiscrimination statute(s)
that may apply to the project.
(6) Will comply, or has complied, with the requirements of
Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended, (Uniform
Relocation Act) 42 U.S.C. 4601 et seq., which provide for fair and
equitable treatment of persons displaced or whose property is
acquired as a result of Federal of federally-assisted programs.
These requirements apply to all interests in real property acquired
for project purposes regardless of Federal participation in
purchases. As required by U.S. DOT regulations, ``Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs,'' at 49 CFR 24.4, and sections 210 and 305 of the
Uniform Relocation Act, 42 U.S.C. 4630 and 4655, the Applicant
assures that it has the requisite authority under applicable state
and local law and will comply or has complied with the requirements
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT
regulations, ``Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR
part 24 including, but not limited to the following:
(a) The Applicant will adequately inform each affected person of
the benefits, policies, and procedures provided for in 49 CFR part
24;
(b) The Applicant will provide fair and reasonable relocation
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624;
49 CFR part 24; and any applicable FTA procedures, to or for
families, individuals, partnerships, corporations or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs
offering the services described in 42 U.S.C. 4625 to such displaced
families, individuals, partnerships, corporations, or associations
in the manner provided in 49 CFR part 24 and FTA procedures;
(d) Within a reasonable time before displacement, the Applicant
will make available comparable replacement dwellings to displaced
families and individuals as required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such
a manner as to provide displaced persons with uniform and consistent
services, and will make available replacement housing in the same
range of choices with respect to such housing to all displaced
persons regardless of race, color, religion, or national origin; and
(f) In acquiring real property, the Applicant will be guided to
the greatest extent practicable under state law, by the real
property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for
necessary expenses as specified in 42 U.S.C. 4653 and 4654, with the
understanding that FTA will participate in the Applicant's eligible
costs of providing payments for those expenses as required by 42
U.S.C. 4631;
(h) The Applicant will execute such amendments to third party
contracts and subagreements financed with FTA assistance and
execute, furnish, and be bound by such additional documents as FTA
may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or
incorporate them by reference into any third party contract or
subagreement, or any amendments thereto, relating to any project
financed by FTA involving relocation or land acquisition and provide
in any affected document that these relocation and land acquisition
provisions shall supersede any conflicting provisions.
(7) To the extent applicable, will comply with provisions of the
Hatch Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, which
limit the political activities of state and local agencies and their
officers and employees whose principal employment activities are
financed in whole or part with Federal funds including a Federal
loan, grant, or cooperative agreement, but pursuant to 23 U.S.C.
142(g), does not apply to a nonsupervisory employee of a transit
system (or of any other agency or entity performing related
functions) receiving FTA assistance to whom the Hatch Act does not
otherwise apply.
(8) To the extent applicable, will comply with the Davis-Bacon
Act, as amended, 40 U.S.C. 276a through 276a(7), the Copeland Act,
as amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the Contract Work
Hours and Safety Standards Act, as amended, 40 U.S.C. 327 through
333, regarding labor standards for federally-assisted subagreements.
(9) To the extent applicable, will comply with flood insurance
purchase requirements of section 102(a) of the Flood Disaster
Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), requiring
recipients in a special flood hazard area to participate in the
program and purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more.
(10) Will comply with environmental standards that may be
prescribed to implement the following Federal laws and executive
orders:
(a) Institution of environmental quality control measures under
the National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321 et seq. and Executive Order No. 11514, as amended, 42 U.S.C.
4321 note;
(b) Notification of violating facilities pursuant to Executive
Order No. 11738, 42 U.S.C. 7606 note;
(c) Protection of wetlands pursuant to Executive Order No.
11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance
with Executive Order 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved State
management program developed pursuant to the requirements of the
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451 et
seq.
(f) Conformity of Federal actions to State (Clean Air)
Implementation Plans under section 176(c) of the Clean Air Act of
1955, as amended, 42 U.S.C. 7401 et seq.;
(g) Protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et
seq.;
(h) Protection of endangered species under the Endangered
Species Act of 1973, as amended, Endangered Species Act of 1973, as
amended, 16 U.S.C. 1531 et seq.; and
(i) Environmental protections for Federal transit programs,
including, but not limited to protections for a park, recreation
area, or wildlife or waterfowl refuge of national, state, or local
significance or any land from a historic site of national, state, or
local significance used in a transit project as required by 49
U.S.C. 303.
(11) Will comply with the Wild and Scenic Rivers Act of 1968, as
amended, 16 U.S.C. 1271 et seq. relating to protecting components of
the national wild and scenic rivers systems.
(12) Will assist FTA in assuring compliance with section 106 of
the National Historic Preservation Act of 1966, as amended, 16
U.S.C. 470f, Executive Order No. 11593 (identification and
protection of historic properties), 16 U.S.C. 470 note, and the
Archaeological and Historic Preservation Act of 1974, as amended, 16
U.S.C. 469a-1 et seq.
(13) Will comply with the Lead-Based Paint Poisoning Prevention
Act, 42 U.S.C. 4801, which prohibits the use of lead-based paint in
construction or rehabilitation of residence structures.
(14) Will not dispose of, modify the use of, or change the terms
of the real property title, or other interest in the site and
facilities on which a construction project supported with FTA
assistance takes place without permission and instructions from the
awarding agency.
(15) Will record the Federal interest in the title of real
property in accordance with FTA directives and will include a
covenant in the title of real property acquired in whole or in part
with Federal assistance funds to assure nondiscrimination during the
useful life of the project.
(16) Will comply with FTA requirements concerning the drafting,
review, and approval of construction plans and specifications of any
construction project supported with FTA assistance. As required by
U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before
accepting delivery of any building financed with FTA assistance, it
will obtain a certificate of compliance with the seismic design and
construction requirements of 49 CFR part 41.
(17) Will provide and maintain competent and adequate
engineering supervision at the construction site of any project
supported with FTA assistance to ensure that the complete work
conforms with the approved plans and specifications and will furnish
progress reports and such other information as may be required by
FTA or the State.
(18) Will comply with the National Research Act, Pub. L. 93-348,
July 12, 1974, as amended, regarding the protection of human
subjects involved in research, development, and related activities
supported by Federal assistance and DOT regulation, ``Protection of
Human Subjects,'' 49 CFR part 11.
(19) Will comply with the Laboratory Animal Welfare Act of 1966,
as amended, 7
[[Page 8068]]
U.S.C. 2131 et seq. pertaining to the care, handling, and treatment
of warm blooded animals held for research, teaching, or other
activities supported by FTA assistance.
(20) Will have performed the financial and compliance audits
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501
et seq. and OMB Circular No. A-133, ``Audits of States, Local
Governments, and Non-Profit Organizations and Department of
Transportation provisions of OMB A-133 Compliance Supplement, March
2000.''
(21) 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. Consequently, FTA may not
provide Federal assistance for an application exceeding $100,000
until the Applicant provides this certification by selecting
category ``II'' on the Signature Page at the end of this document.
A. As required by U.S. DOT regulations, ``New Restrictions on
Lobbying,'' at 49 CFR 20.110, the Applicant's authorized
representative certifies to the best of his or her knowledge and
belief that for each application for a Federal assistance exceeding
$100,000:
(1) No Federal appropriated funds have been or will be paid, by
or on behalf of the Applicant, to any person for influencing or
attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress pertaining to the award of any
Federal assistance, or the extension, continuation, renewal,
amendment, or modification of any Federal assistance agreement; and
(2) If any funds other than Federal appropriated funds have been
or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with any application to FTA for
Federal assistance, the Applicant assures that it will complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,''
including the information required by the form's instructions, which
may be amended to omit such information as permitted by 31 U.S.C.
1352.
B. The Applicant understands that this certification is a
material representation of fact upon which reliance is placed and
that submission of this certification is a prerequisite for
providing Federal assistance for a transaction covered by 31 U.S.C.
1352. The Applicant also understands that any person who fails to
file a required certification shall be subject to a civil penalty of
not less than $10,000 and not more than $100,000 for each such
failure.
Over-the-Road Bus Accessibility Program Certifications and Assurances
for FTA Assistance
Name of applicant: ________________
The Applicant agrees to comply with applicable requirements of
Categories I-III.
(The Applicant may make this selection in lieu of individual
selections below.)
or
The applicant agrees to comply with the applicable requirements
of the following categories it has selected:
I. Certifications and Assurances Required of Each Applicant ________
II. Lobbying Certification ________
Over-the-Road Bus Accessibility Certifications and Assurances
Name of Applicant:
----------------------------------------------------------------------
Name and relationship of Authorized Representative: __________
BY SIGNING BELOW I, __________ (name), on behalf of the
Applicant, declare that the Applicant has duly authorized me to make
these certifications and assurances and bind the Applicant's
compliance. Thus, the Applicant agrees to comply with all Federal
statutes, regulations, executive orders, and administrative guidance
required for each application it makes to the Federal Transit
Administration (FTA).
FTA intends that the certifications and assurances the Applicant
selects on the other side of this document should apply, as
required, to each project for which the applicant seeks FTA
assistance.
The applicant affirms the truthfulness and accuracy of the
certifications and assurances it has made in the statements
submitted herein with this document and any other submission made to
FTA, and acknowledges that the provisions of the Program Fraud Civil
Remedies Act of 1986, 31 U.S.C. 3801 et seq., as implemented by U.S.
DOT regulations, ``Program Fraud Civil Remedies,'' 49 CFR part 31
apply to any certification, assurance or submission made to FTA. The
criminal fraud provisions of 18 U.S.C. 1001 apply to any
certification, assurance, or submission made in connection with any
other program administered by FTA.
In signing this document, I declare under penalties of perjury
that the foregoing certifications and assurances, and any other
statements made by me on behalf of the Application are true and
correct.
Signature ________________
Date ________________
Name ________________
Authorized Representative of Applicant
Affirmation of Applicant's Attorney
For ________________
(Name of Applicant)
As the undersigned legal counsel for the above name applicant, I
hereby affirm to the Applicant that it has authority under state and
local law to make and comply with the certifications and assurances
as indicated on the foregoing pages. I further affirm that, in my
opinion, the certifications and assurances have been legally made
and constitute legal and binding obligations on the applicant.
I further affirm to the Applicant that, to the best of my knowledge,
there is no legislation or litigation pending or imminent that might
adversely affect the validity of these certifications and
assurances, or of the performance of the project. Furthermore, if I
become aware of circumstances that change the accuracy of the
foregoing statements, I will notify the applicant promptly, which
may so inform FTA.
Signature ________________
Date ________________
Name ________________
Applicant's Attorney
Each Applicant for FTA financial assistance and each FTA grantee
with an active capital project must provide an attorney's
affirmation of the Applicant's legal capacity.
APPENDIX D--GRANT APPLICATION CHECKLIST
1. Transmittal letter
2. Project Eligibility
3. Project Information
4. Project Narrative
5. Fleet Information
6. Service Information
7. Labor Information
[FR Doc. 01-2273 Filed 1-25-01; 8:45 am]
BILLING CODE 4910-57-P