[Federal Register Volume 67, Number 1 (Wednesday, January 2, 2002)]
[Notices]
[Pages 186-197]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-32118]
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Part III
Department of Transportation
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Federal Transit Administration
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Fiscal Year 2002 Annual List of Certifications and Assurances for
Federal Transit Administration Grants and Cooperative Agreements;
Notice
Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 /
Notices
[[Page 186]]
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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.
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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
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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
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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
transportation-related benefits) for which the Applicant receives
Federal assistance awarded by the U.S. DOT or FTA as follows:
(1) The Applicant assures that each project will be conducted,
property acquisitions will be undertaken, and project facilities
will be operated in accordance with all applicable requirements of
49 U.S.C. 5332 and 49 CFR part 21, and understands that this
assurance extends to its entire facility and to facilities operated
in connection with the project.
(2) The Applicant assures that it will take appropriate action
to ensure that any transferee receiving property financed with
Federal assistance derived from FTA will comply with the applicable
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
(3) The Applicant assures that it will promptly take the
necessary actions to effectuate this assurance, including notifying
the public that complaints of discrimination in the provision of
transportation-related services or benefits may be filed with U.S.
DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures
that it will submit the required information pertaining to its
compliance with these requirements.
(4) The Applicant assures that it will make any changes in its
49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or
FTA may request.
(5) As required by 49 CFR 21.7(a)(2), the Applicant will include
in each third party contract or subagreement provisions to invoke
the requirements of 49 U.S.C. 5332 and 49 CFR part 21, and include
provisions to invoke those requirements in deeds and instruments
recording the transfer of real property, structures, improvements.
G. Disadvantaged Business Enterprise Assurance
In accordance with 49 CFR 26.13(a), the Recipient assures that
it shall not discriminate on the basis of race, color, national
origin, or sex in the implementation of the project and in the award
and performance of any third party contract, or subagreement
supported with Federal assistance derived from the U.S. DOT or in
the administration of its 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
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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 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 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,
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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
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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 Post-Delivery 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
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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 cost-
effective than purchasing or constructing a similar asset;
(2) It will complete these calculations before entering into the
lease or before receiving a capital grant for the asset, whichever
is later; and
(3) It will not enter into a capital lease for which FTA can
only provide incremental funding unless it has the financial
capacity to meet its future obligations under the lease in the event
Federal assistance is not available for capital projects in
subsequent years.
C. Certification Required for 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
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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 non-Federal funds have been
or will be committed to provide the required local share.
E. The subrecipient has, or will have by the time of delivery,
sufficient funds to operate and maintain the vehicles and equipment
purchased with Federal assistance awarded for this project.
F. The state assures that before issuing the state's 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 non-Federal funds have been
or will be committed to provide the required local share.
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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
[[Page 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
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[FR Doc. 01-32118 Filed 12-31-01; 8:45 am]
BILLING CODE 4910-57-C