HomeMy WebLinkAbout992527.tiff RESOLUTION
RE: APPROVE GRANT APPLICATION AND AUTHORIZE CHAIR TO SIGN - FEDERAL
TRANSIT ADMINISTRATION
WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to
Colorado statute and the Weld County Home Rule Charter, is vested with the authority of
administering the affairs of Weld County, Colorado, and
WHEREAS, the Board has been presented with a Grant Application from the County of
Weld, State of Colorado, by and through the Board of County Commissioners of Weld County,
on behalf of the Department of Human Services, to the Federal Transit Administration, with
terms and conditions being as stated in said application, and
WHEREAS, after review, the Board deems it advisable to approve said application, a
copy of which is attached hereto and incorporated herein by reference.
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of
Weld County, Colorado, that the Grant Application from the County of Weld, State of Colorado,
by and through the Board of County Commissioners of Weld County, on behalf of the
Department of Human Services, to the Federal Transit Administration be, and hereby is,
approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized
to sign said application.
The above and foregoing Resolution was, on motion duly made and seconded, adopted
by the following vote on the 18th day of October, A.D., 1999.
BOARD OF COUNTY COMMISSIONERS
LD COUNTY, OLORADO
ATTEST: /OnbZ�
. Hall, Chair
Weld County Clerk to the p . `O
rbar J. Kirkmeyer, P o-Tem /
BY:
Deputy Clerk to the Boar. (l N
_ - e rge xter
•
APPROVE AST FORM:
. J. IGeile
Cou y torney EXCUSED
Glenn Vaad
992527
14/2:1) HR0070 R0070
MEMORANDUM
' TO: Dale K. Hall, Chair
��1��
CO FROM: Walter J. Speckman, Executive Director UV
. DATE October 15, 1999
COLORADO SUBJECT: Federal Transit Administration (FTA) Grant
Enclosed for Board approval is a competitive Grant Application to the Federal Transit
Administration for $28,260.21 to purchase an Accessible (Lift/Ramp Equipped)
Replacement Mini-Van.
If you have questions, please call me at extension 3317.
992527
WC070
FEDERAL TRANSIT ADMINISTRATION
49 USC 5309 DISCRETIONARY CAPITAL ASSISTANCE
APPLICATION
WELD COUNTY GOVERNMENT - WELD TRANSPORTATION
October 6, 1999
1
TABLE OF CONTENTS
WELD COUNTY GOVERNMENT, COLORADO
49 USC 5309 DISCRETIONARY GRANT APPLICATION
I. SUBMISSIONS WITH EACH APPLICATION
Transmittal Letter Incorporating the Commitment to Local Share 4
SF424 Form and Intergovernmental Review Certification 5
Project Description and Justification 6
Project Budget 7
Classification of Fleet 8
Listing of Vehicles 9
Project Financing 10
Use of Project Equipment 10
Project Schedules, Completion Dates 11
Relocation 12
Environment Analysis 12
Evaluation of Flood Hazards 12
Maintenance Certification 13
ANNUAL SUBMISSIONS
Statewide Transportation Improvement Program (STIP) 14
DBE Annual Goals 14
Annual Certifications and Assurances 14
2
I.
SUBMISSIONS WITH EACH APPLICATION
3
10Thtliwz,
BOARD OF COUNTY COMMISSIONERS
PHONE (970) 356-4000, Ext. 4200
I
FAX: (WI C P. O. BOX 758 GREELEY, COLORADO 80632
COLORADO
October 6, 1999
Mr. Louis Mraz, Jr.
Regional Administrator
Federal Transit Administration
Region VIII Office
Columbine Place
216 16th Street, Suite 650
Denver, Colorado 80202
Dear Mr. Mraz:
RE: Submission cf USC 49 5309 (formerly Section 3) Discretionary Grant Application for
Capital Assistance fcr Bus Replacement
Enclosed are the original and three (3) copies of the subject grant application made under the
revised FTA Grant Program.
Provision of the specific local share requirements, from non-federal sources, for the project was
authorized as part of the 1999 Weld County Budget by the Board of Commissioners of Weld
County, Colorado. A copy of Authorizing Resolution No. 99-9 has been attached.
The Weld County Transportation Development Plan Update - 1997-2002 is current and the
project covered by this Grant Application has been incorporated in the STIP. If additional
information relating to this project is required, please advise.
Sincerely,
Dale K. Hall, Chair Board of Weld County Commissioners
cc: Patsy Drewer, Transit System Administrator Weld County
Enclosures
WELD COUNTY ATTORNEY'S OFFICE
rs a PHONE: (970) 356-4000, EXT. 4391
FAX: (970) 352-0242
915 TENTH STREET P.O. BOX 1948
WI ID GREELEY, COLORADO 80632
COctober 15, 1999
COLORADO
Dale K.Hall, Chairman
Board of County Commissioners of
Weld County, Colorado
PO Box 758
Greeley, Colorado 80632
Re: Opinion of Counsel Regarding Federal
Transportation Assistance
Dear Chairman Hall:
This communication will serve as the requisite opinion of counsel to be filed with the Federal Transit
Administration,United States Department of Transportation, in connection with the application of Weld
County Government for Federal Transportation Assistance authorized by 49 USC Chapter 53: Title 23
United States Code; and other Federal statutes authorizing activities administered by the Federal Transit
Administration.
Citations to laws, regulations, etc., establishing the legal authority of Weld County to carry out
transportation projects for which Federal assistance is sought is set forth below:
Weld County Government is authorized pursuant to Colorado Revised Statutes Section 30-11-
101(1)(£)(1997)to provide and assist the operation of a local mass transportation system.
The authority of Weld County Government to provide funds for the local share of the project is set forth
in Colorado Revised Statutes Section 30-11 - 101 (1)(f)( 1997).
I have reviewed the pertinent Federal, State, and local laws, and I have concluded that there is no legal
impediment to the Board of County Commissioners filing an application for the project for which Weld
County seeks assistance. Furthermore, as a result of my examination,I find that there is no pending or
threatened litigation or other action which might in any way adversely affect the proposed project or the
capability of Weld County to carry out the project.
Sincerely,
� _ r
Bruce Barker
Weld County Attorney
pc: Walt Speckman
Don Warden
APPLICATION FOR FEDERAL ASSISTANCE
Standard Form 424
INTERGOVERNMENTAL REVIEW CERTIFICATION
Certification is given by the recipient named herein, Weld County Government, with respect to its
application for assistance pursuant to 49 USC 5309 of the Urban Mass Transportation Act of 1964,
as amended filed with Federal Transit Administration(FTA)that the recipient has complied with the
provision of 49 CFR 17, Intergovernmental Review of Department of Transportation Programs and
Activities, through their inclusion of the project in the 1999 TIP and STIP.
Board of County Commissioners
Weld County, Colorado
it
By
�a e . Hall, Chair
Date: /Q- a -619
5
PROJECT DESCRIPTION & JUSTIFICATION
Project I.A. Purchase of One (1) Accessible (Lift/Ramp Equipped) Replacement Mini-Van
The replacement will enable the retirement of a lift equipped mini-van that has reached over
250,000 miles of service and completed nine years of service. A mileage chart and roster is
attached.
The Weld County Transportation will continue to take advantage of the developments in the
areas of both alternative fuel and emission control where appropriate when ordering new
vehicles. The weld County Transportation is not currently operating any alternative powered
(compressed natural gas)vehicles in fixed route service.
6
49 USC 5309
PROJECT BUDGET
Grantee: Weld County Government/Transportation Department
Line Federal Total
Project Activities Item Code Amount Amount
Capital Assistance
Purchase One (01)
Accessible Replacement Van ***** $28,260.21 $35,325.26
Total Assistance: $28,260.21
7
WELD COUNTY GOVERNMENT/TRANSPORTATION DEPARTMENT
CLASSIFICATION OF ENTIRE FLEET
FIXED ROUTE
Before Grant Amount of After Grant
Approval Change Period/Approval
ACTIVE FLEET
PEAK REQUIREMENTS 26 1 27
SPARES 6 0 6
TOTAL 32 1 33
SPARE RATIO(B/A) 23%
INACTIVE FLEET
ENERGY CONTINGENCY
RESERVE 0 0 0
PENDING DISPOSAL -1 -1 -1
TOTAL FLEET 32 0 32
Spare Ratio reflects an aging fleet and associated maintenance problems. According to FTA Service
Life Policy, these buses have a seven year service life. In addition to our aging fleet requiring more
frequent maintenance, our rural high-mileage locations requires that major engine/component work
be completed in the Front Range area, often extending the down time for repairs.
8
WELD COUNTY GOVERNMENT
LISTING OF VEHICLE TO BE REPLACED
Original
Make/ Year of Vehicle ID Number Mo/Yr Placed Accumulated Mo/Yr Condition Grant
Model Manufacture (VIN) Revenue Service Miles Out of Service No. Purchase
Ford 1990 1FTHS34HOLHB62845 03/90 261,128 09/99 Major Repairs N/A
9
49 UCS 5309
PROJECT FINANCING
Disposition of Equipment Being Replaced
Any Equipment or Facilities which are to be replaced under this project will be disposed of
consistent with FTA's current requirements.
System Revenues
No system revenues are available to support this application as they are expressly needed in the
support of general operating costs.
Private Financing
None currently.
Audited Statements
Audited financial statements are available and on file at the Weld County Government Finance
Department, located at 915 10th Street, Greeley, Colorado 80632.
49 USC 5309
USE OF PROJECT EQUIPMENT
All equipment purchased as a result of this application will be utilized in the provision of mass
transit service for its useful life.
10
49 USC 5309
PROJECT SCHEDULE/COMPLETION DATES
Purchase 1 Replacement Mini-Van 12/01/99
Production Inspection Various
Pre-Delivery Inspection 02/14/2000
Delivered 02/18/2000
Acceptance of Vehicles 02/21/2000
Payment 02/27/2000
Closeout of Project 02/27/2000
11
49 USC 5309
RELOCATION
No persons, families, or businesses will be displaced or forced to relocate due to this project.
49 USC 5309
ENVIRONMENTAL ANALYSIS
PROTECTION OF THE ENVIRONMENT
All projects in this application are considered to be a Class II Action,which do not have a significant
impact on the environment. The projects in this application are all transit equipment and are
categorical exclusions as defined in 23 CFR 771.115(b) and 23 CFR 771.117(c)(17).
****Specifically, the purchase of transit vehicles in a Class H Categorical Exclusion as set forth in
the Code of Federal Regulations.
As such, there are not projects within this application which require an environmental assessment
or an environmental impact statement nor review by US EPA. Please refer to the project
description provided above. Weld County Government has and continues to assess the state of
alternative fueled vehicles.
49 USC 5309
EVALUATION OF FLOOD HAZARDS
The facility where these vehicles are and will be maintained and stored is not located in a flood plain.
12
49 USC 5309
MAINTENANCE CERTIFICATION
Pursuant to Section 3 of the Urban Mass Transportation Act of 1964, as amended (49 USC 1601
et seq.) Weld County Government certifies that it has or will have satisfactory continuing control,
through operation or otherwise, over the use of equipment furnished through 49 USC 5309, and
will maintain such equipment. The equipment will be utilized exclusively for mass transportation
purposes. Weld County Government has sufficient capability to maintain equipment purchased with
grant proceed, has completed a maintenance plan, and has commensurate facilities, financing,
qualified personnel, and equipment to implement such a plan.
Dale K. Hall, Chair
Board of County Commissioners
Weld County, Colorado
/0 - /7- q9
Date
13
ANNUAL SUBMISSIONS
STATEWIDE TRANSPORTATION IMPROVEMENT PROGRAM (STIP)
The project in this application is included in the 1999 STIP.
DBE ANNUAL GOAL
Weld County Government is not required to submit annual goals to FTA. We received certification
from the manufacturer that it meets the FTA DBE requirements.
FEDERAL FY 1997 CERTIFICATIONS AND ASSURANCE
Federal FY 1999 Certifications and Assurances were submitted by Weld County Government on
December 30, 1998.
FTA/FHWA CONFORMITY FINDING
Weld County Government received notice from the State of Colorado in February that the
FTA/FHWA had jointly made a conformity finding for the 1997-2002 TIP and the 2015 Long
Range Transit Plan (LRTP).
14
That the Chairman of the Weld County Board of Commissioners is authorized to execute a grant
and cooperative agreements with the Federal Transit Administration on behalf of Weld County
Government.
CERTIFICATION
The undersigned duly qualified Chairman, acting on behalf of Weld County Government, certifies
that the foregoing is a true and correct copy of a resolution adopted at a legally convened meeting
of the Board of Commissioners held on January 27, 1999.
COUNTY OF WELD
STATE OF COLORADO
BY AND THROUGH ITS
BOARD OF COUNTY COMMISSIONERS
Dale K. Hall, Chair (/0kg
- �$-yd)
ATTEST: ill
/�
„�'•�'� ll,A
Weld County Clerk to the Bo • a ��
teci
C.BY:
Deputy Clerk to the Boar fiqs
15
Federal RegisterNol.64,No.208/Thursday,October 28, 1999/Notices 58279
Appendix A
FEDERAL FISCAL YEAR 2000 FTA CERTIFICATIONS AND ASSURANCES
(Required of all Applicants for FTA assistance and all FTA Grantees with an active capital or formula project)
Name of Applicant: WELD COUNTY
Name and Relationship of Authorized Representative: Barbara J.Kirkmever
Chairperson of the Board of Weld County Commissioners
BY SIGNING BELOW I,Barbara J. Kirkmever on behalf of the Applicant,declare that the Applicant has duly
authorized the 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)in Federal Fiscal Year 2000.
FTA intends that the certifications and assurances the Applicant selects on the other side of this document,as
representative of the certification and assurances in Appendix A, should apply,as required,to each project for
which the Applicant seeks now,or may later, seek FTA assistance during Federal Fiscal Year 2000.
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in the
statement 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 the Urbanized Area Formula Program,49 U.S.C. 5307,and may apply to any other
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 stat ments made by me on b half of the Applicant are true and correct.
Signatur� �/. Date: /6 /�?'�
Name arbara J. Kirkmever
Authorized Representative of Applicant
AFFIRMATION OF APPLICANTS ATTORNEY
for WELD COUNTY
As the undersigned legal counsel for the above named Applicant, I hereby affirm to the Applicant that it has
authority under state and local law to make and comply with the certification 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 mays6'inform FTA.
Signature
, � � � . __ __ Date: (cc c,
Name B c
ruc Barker
Applicant's Attorney
Each Applicant for FTA financial assistance(except 49 U.S.C.5312(b)assistance)and each FTA Grantee with an active capital or formula
project must provide an Attorney's affirmation of the Applicant's legal capacity. The Applicant may enter its PIN number in lieu of the
electronic signature of its Attorney,provided the Applicant has on file this Affirmation of its Attorney in writing dated this Federal fiscal year.
FTA C 9030.1B Appendix F
10/10/96 Page 1 of 22
OMB Approval No.0348-0043
APPLICATION FOR 2.DATE SUBMITTED Applicant Identifier
FEDERAL ASSISTANCE 10/06/99
1.TYPE OF SUBMISSION 3.DATE RECEIVED BY STATE State Application Identifier
Application ereepplication
❑ Construction 0 Construction
4.DATE RECEIVED BY FEDERAL AGENCY Federal Identifier
® Non-Construction 0 Non-Construction
5 APPLICANT INFORMATION
Legal Name Organizational Unit
Weld County Weld County Human Services
Address(give city,county,state,and zip code) Name and telephone number of the person to be contacted on matters involving
this application(give area code)
P.O Box 1805
Greeley,Colorado 80632 Patsy Drawer
19701356-4000,Ext 3490
6.EMPLOYER IDENTIFICATION NUMBER IEINI: 7.TYPE OF APPLICANT:(enter appropriate letter in box) U
8 4 16 0 I0 I 018 l i l 3 I A. State
B. County H. Independent School
I. State Controlled Institute of Higher Learning
8.TYPE OF APPLICATION: C. Municipal J. Private University
D. Township K. Indian Tribe
® New 0 Continuation ❑ Revision E. Interstate L. Individual
F. Intermunicipal M.Profit Organization
If Revision,enter appropriate letterls)in Wales) n G. Special District N. Other(Specify)
A Increase Award B Decrease Award C Increase Duration
D Decrease Duration Other(specify) 9.NAME OF FEDERAL AGENCY:
FTA Region VIII
10.CATALOG OF FEDERAL DOMESTIC 11.DESCRIPTIVE TITLE OF APPLICANT'S PROJECT
ASSISTANCE NUMBER: 2 0 • 5 0 7
Weld County Transportation provides elderly,disabled,and low income clients
trips to various appointments.
TITLE:
12.AREAS AFFECTED BY PROJECT(cities,counties,states,etc.)
Weld County
13.PROPOSED PROJECT 14.CONGRESSIONAL DISTRICTS OF
Fourth Conoressional District of Colorado
Start Date Ending Date a Applicant b Project
10-2000 09-2000 Weld County Human Services 5309 Vehicle Purchase
15.ESTIMATED FUNDING 16.IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS?
a Federal a 28,260.21 a YES THIS PREAPPLICATION/APPLICATION WAS MADE AVAILABLE TO THE
STATE EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON
b Applicant a .00
DATE
c State a .00
b NO PROGRAM IS NOT COVERED BY E 0 12372
d Local a 7,065.05
❑X OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW
e Other S .00
I Program Income a .00 17.IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT?
Yes If"Yes,"attach an explanation �X No
g TOTAL S 35,325.26
18.TO THE BEST OF MY KNOWLEDGE AND BELIEF,ALL DATA IN THIS APPLICATION/PREAPPLICATION ARE TRUE AND CORRECT. THE DOCUMENT HAS BEEN DULY
AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF ASSISTANCE IS AWARDED
a Typed Name of Authorized Representative b Title c Telephone number
BARBARA J KIRKMFYFR CHAIR BOARD OF COUNTY COMMISSIONERS 19701 356-4000 Ext 4200
d Si tur Rape/nbtiv
/ a Date Signed
Standard Form 424 Hey 4--t
APPLICATION
(Page 1 of 2)
58278 Federal RegisterNol. 64,No.208/Thursday, October 28, 1999/Notices
Appendix A
FEDERAL FY 2000 CERTIFICATIONS AND ASSURANCES FOR FTA ASSISTANCE
Name of Applicant: Weld County Transportation
The Applicant agrees to comply with applicable requirements of Categories I-XV. X
(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
III. Certification Pertaining to Effects on Private Mass Transportation Companies
IV. Public Hearing Certification for a Project with Substantial Impacts
V. Certification for Purchase of Rolling Stock
VI. Bus Testing Certification.
VII. Charter Service Agreement.
VIII. School Transportation Agreement.
IX. Certification for Demand Responsive Service
X. Substance Abuse Certifications
XI. Certification Required for Interest and Other Financing Costs
XII. Certifications and Assurances for the Urbanized Area Formula Program, and
the Job Access and Reverse Commute Program
XIII. Certifications and Assurances for the Elderly and Persons with Disabilities Program
XIV. Certifications and Assurances for the Nonurbanized Area Formula Program
XV. Certifications and Assurances for the State Infrastructure Bank (SIB)Program
(Both sides of the Signature Page must be appropriately completed and signed where indicated.)
Reo %) • 7- 7?
Thursday
October 28, 1999
Ea
Part IV
Department of
Transportation
Federal Transit Administration
Fiscal Year 2000 Annual List of
Certifications and Assurances for Federal
Transit Administration Grants and
Cooperative Agreements; Notice
58266 Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices
DEPARTMENT OF TRANSPORTATION Region 8:Denver one(1)percent of their funds available
Federal Transit Administration States served:Colorado, Utah, for transit enhancement activities.
Wyoming,Montana,North Dakota, Those recipients are also required to
Fiscal Year 2000 Annual List of South Dakota, submit an annual report listing the
Certifications and Assurances for Telephone#303-844-3242 projects carried out during the
Federal Transit Administration Grants preceding fiscal year with those funds.
Region 9: San Francisco Because recipients provide that annual and Cooperative Agreements
States served:California,Hawaii,Guam, report as part of their quarterly report
AGENCY:Federal Transit Administration, Arizona,Nevada,American Samoa, for the fourth quarter of Federal Fiscal
DOT. and the Northern Mariana Islands Year 1999,we no longer request the
ACTION: Notice. Telephone#415-744-3133 Applicant to indicate specifically
whether that annual report has been
SUMMARY: This Notice contains FTA's Region 10: Seattle submitted.The preface to Category XII
comprehensive compilation of the States served:Idaho,Oregon, includes clarification of the reporting
Federal Fiscal Year 2000 certifications Washington,and Alaska requirement for those recipients
and assurances to be used in connection Telephone#206-220-7954 receiving Transit Enhancement funds.
with all Federal assistance programs SUPPLEMENTARY INFORMATION:Before (2)Additional changes include updated
FTA administers during Federal Fiscal FTA may award a Federal grant or reference sources,such as the reference
Year 2000, in accordance with 49 U.S.C. cooperative agreement,the Applicant to FTA's disadvantaged business
5323(n). must provide to FTA all certifications enterprise regulations at 49 CFR part 26,
EFFECTIVE DATE: October 28, 1999. and assurances pertaining to itself or its and other clarifications.
FOR FURTHER INFORMATION CONTACT: FTA project as required by Federal laws and Text of Federal Fiscal Year 2000
staff the Regional Office regulations.The requisite certifications Certifications and Assurances
staff
in below.appropriate ooptes eo tonothal Office
related and assurances must be submitted to A detailed compilation of the
documents, see the FTA Web Site at FTA irrespective of whether the project provisions of the Certifications and
http://www.fta.dot.gov see
the ov or contact the is financed under the authority of 49 Assurances and the Signature Page is set
Office of Public Affairs,Federal Transit U.S.C. chapter 53, or title 23,United forth in Appendix A of this Notice,and
Administration (202) s,Fede19. States Code,or another Federal statute. also appears in the Certification&
Region 1: Boston The Applicant's Annual Certifications Assurances Tab Page of the TEAM
g and Assurances for Federal Fiscal Year system. It is important that each
2000 covers all projects for which the Applicant be familiar with all fifteen
States served: Maine,New Hampshire,
Applicant seeks funding during that certification and assurance categories
Vermont,Connecticut, Rhode Island,
and Massachusetts fiscal year. An Applicant's Annual contained in this Notice as they may be
Certifications and Assurances a prerequisite for receiving FTA
Telephone#617-494-2055
applicable to a specific grant or financial assistance. Provisions of this
Region 2: New York cooperative agreement generally remain Notice supersede conflicting statements
in effect for the life of the grant or in any circular containing a previous
States served: New York,New Jersey,
and Virgin Islands cooperative agreement to closeout,or version of the Annual Certifications and
Telephone #212-668-2170 the life of the project or project property Assurances. The certifications and
when a useful life or standard industry assurances contained in those circulars
Region 3: Philadelphia life is in effect. If in a later year, are merely examples,and are not
States served: Pennsylvania,Delaware, however,the Applicant provides acceptable or valid for Federal Fiscal
certifications and assurances that differ Year 2000; do not rely on the statements
Maryland, Virginia, West Virginia,
and District of Columbia from the certifications and assurances within certifications and assurances
T and Doneist #215-656-7bia previously made,the later certifications appearing in circulars.
and assurances will apply to the grant,
Region 4: Atlanta cooperative agreement,project,or Significance of Certifications and
project property,except as FTA Assurances
States served:Kentucky, North Carolina, otherwise permits.
South Carolina,Georgia, Florida, p Selecting and submitting
Alabama, Mississippi,Tennessee,and Background certifications and assurances to FTA,
Puerto Rico either through the TEAM system or
Telephone#404-562-3500 Since Federal Fiscal Year 1995,FTA submission of the Signature Page of
has been consolidating the various Appendix A,signifies the Applicant's
Region 5: Chicago certifications and assurances that may intent to comply with the requirements
be required into one document. FTA of those certifications and assurances to
States served: Minnesota, Wisconsin, intends to continue publishing this the extent they apply to a program for
Michigan, Illinois,Indiana,and Ohio document annually in conjunction with cat p g
Telephone 312-353-2789 I which do for assistance sant in s an
P its publication of the FTA annual application for Federal
Region 6: Dallas/FLWorth apportionment Notice, which allocates Fiscal Year 2000.
funds made available by the latest U.S.
States served:Arkansas, Louisiana, Department of Transportation (U.S. Requirement for Attorney's Signature
Oklahoma, Texas, and New Mexico DOT)annual appropriations act. FTA requires a current(Federal Fiscal
Telephone # 817-978—0550 Year 2000)attorney's affirmation of the
Federal Fiscal Year 2000 Changes
Region 7: Kansas City Applicant's legal authority to certify
(1)Recipients of funds apportioned compliance with the funding obligations
States served:Missouri,Iowa,Kansas, under Section 5336 that serve a in this document. Irrespective of
and Nebraska population of 200,000 or more are whether the Applicant chooses to make
Telephone#816-523—0204 required by 49 U.S.C. 5307(k)to make a single selection for all fifteen
Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices 58267
categories or select individual options Signature Selection Page in Appendix category I. Consequently,FTA may not
from the fifteen categories,the attorney A. In certain circumstances, the award any Federal assistance until the
signature from a previous year on is not Applicant may certify in lieu of the Applicant provides assurance of
acceptable. signature of its Attorney,provided the compliance by selecting category"I"on
Deadline for Submission Applicant has on file the Affirmation of the TEAM system certifications and
its Attorney in writing dated this assurances tab page or on the Signature
All Applicants for FTA capital Federal fiscal year as set forth in Page at the end of this document.
investment program or formula program Appendix A of this Notice.Applicants
assistance, and current grantees with an may contact the appropriate Regional A. Authority of Applicant and Its
active project financed with FTA capital Office listed in this Notice for more Representative
investment program or formula program information. The authorized representative of the
assistance, will be required to provide Applicant and legal counsel who sign
Federal Fiscal Year 2000 Certifications References these certifications, assurances,and
and Assurances within 90 days from the The Transportation Equity Act for the agreements affirm that both the
date of this publication or with its first 21st Century,Pub. L. 105-178,June 9, Applicant and its authorized
grant application in Fiscal Year 2000, 1998,as amended by the TEA-21 representative have adequate authority
whichever is first. Other Applicants are Restoration Act 105-206, 112 Stat. 685, under state and local law and the by-
encouraged to submit their certifications July 22, 1998,49 U.S.C. chapter 53,Title laws or internal rules of the Applicant
and assurances as soon as possible. 23, United States Code, U.S. DOT and organization to:
Preference for Electronic Submission FTA regulations at 49 CFR,and FTA (1)Execute and file the application for
FTA has expanded the use of the Circulars. Federal assistance on behalf of.the
electronic programs for Applicants, first Issued on October 21,1999. Applicant,
introduced in 1995. Applicants should Gordon J.Linton, (2) Execute and file the required
submit their applications as well as Administrator, certifications,assurances,and
agreements on behalf of the Applicant
certifications and assurances Appendix A:Federal Fiscal Year 2000 binding the Applicant,and
electronically through FTA's Certifications and Assurances for (3)Execute grant agreements and
Transportation Electronic Award and Federal Transit Administration cooperative agreements with FTA on
Management (TEAM) system. If an Assistance Programs behalf of the Applicant.
Applicant is unable to submit its
In accordance with 49 U.S.C. 5323(n), B. Standard Assurances
certifications and assurances through
the TEAM system,the Applicant should the following certifications and The Applicant assures that it will
use the Signature Page form in assurances have been compiled for the comply with all applicable Federal
Appendix A of this Notice. various Federal Transit Administration statutes,regulations,executive orders,
Procedures for Electronic Submission (FTA) programs. FTA requests each FTA circulars,and other Federal
Applicant to provide as many of the administrative requirements in carrying
The Certification & Assurances Tab following certifications and assurances out any project supported by the FTA
Page of the TEAM system contains as necessary to cover all programs for grant or cooperative agreement.The
fields for selecting the certifications and which the Applicant intends to seek Applicant acknowledges that it is under
assurances to be submitted. Within that FTA assistance in Federal Fiscal Year a continuing obligation to comply with
tab page are fields for the Applicant's 2000. A state providing certifications the terms and conditions of the grant
authorized representative and its and assurances on behalf of its agreement or cooperative agreement
attorney to enter their personal prospective subrecipients is expected to issued for its project with FTA. The
identification numbers (PINs),and thus obtain sufficient documentation from Applicant understands that Federal
"sign" the certifications and assurances those subrecipients to assure the laws, regulations, policies,and
for electronic transmission to FTA. In validity of its certifications and administrative practices might he
certain circumstances, the Applicant assurances. The fifteen categories of modified from time to time and affect
may enter its PIN number in lieu of an certifications and assurances are listed the implementation of the project.The
electronic signature provided by its by Roman numerals I through XV on the Applicant agrees that the most recent
Attorney, provided the Applicant has on other side of the Signature Page of this Federal requirements will apply to the
file the Affirmation of its Attorney in document and on the certifications and project,unless FTA issues a written
writing dated this Federal fiscal year as assurances tab page of FTA's determination otherwise.
set forth in Appendix A of this Notice. Transportation Electronic Award and
Applicants may contact the appropriate Management (TEAM) system. Categories C. Debarment, Suspension,and Other
Regional Office listed in this Notice or II through XV will apply to some,hut Responsibility Matters for Primary
the TEAM Helpdesk for more not all,applicants. The designation of Covered Transactions
inforration. the categories corresponds to the As required by U.S. DOT regulations
Procedures for Paper Submission circumstances mandating submission of on Governmentwide Debarment and
specific certifications,assurances, or Suspension (Nonprocurement)at 49
The following procedures apply to an agreements. As previously stated,FTA CFR 29.510:
Applicant that is unable to submit its encourages the Applicant to submit its (1)The Applicant (Primary
certifications electronically. The certifications and assurances through Participant)certifies, to the best of its
Applicant must mark the certifications the TEAM system. knowledge and belief,that it and its
and assurances it is making on the principals:
Signature Page form in Appendix A of 1. Certifications and Assurances (a)Are not presently debarred,
this Notice and submit it to FTA. The Required of Each Applicant suspended, proposed for debarment,
Applicant may signify compliance with Each Applicant for Federal assistance declared ineligible, or voluntarily
all Categories by placing a single mark awarded by FTA must provide all excluded from covered transactions by
in the appropriate space at the top of the certifications and assurances in this any Federal department or agency;
58268 Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices
(b) Have not, within a three (3)year (d)The penalties that may be imposed submitted to FTA has been or will be
period preceding this certification,been upon its employees for drug abuse submitted,as required by each state, for
convicted of or had a civil judgment violations occurring in the workplace; intergovernmental review to the
rendered against them for commission (3)Making it a requirement that each appropriate state and local agencies.
of fraud or a criminal offense in of its employees to be engaged in the Specifically,the Applicant assures that
connection with obtaining,attempting performance of the grant or cooperative it has fulfilled or will fulfill the
to obtain, or performing a public agreement be given a copy of the obligations imposed on FTA by U.S.
(Federal, state, or local) transaction or statement required by paragraph (1)of DOT regulations, "Intergovernmental
contract under a public transaction, this certification; Review of Department of Transportation
violation of Federal or state antitrust (4)Notifying each of its employees in Programs and Activities,"49 CFR part
statutes, or commission of the statement required by paragraph (1) 17.
embezzlement,theft, forgery,bribery, of this certification that,as a condition
falsification or destruction of records, of employment financed with Federal F. Nondiscrimination Assurance
making false statements,or receiving assistance provided by the grant or As required by 49 U.S.C. 5332 (which
stolen property; cooperative agreement,the employee prohibits discrimination on the basis of
(c) Are not presently indicted for or will be required to: race,color,creed,national origin, sex,
(a)Abide by the terms of the or age,and prohibits discrimination in
otherwise criminally or civilly charged
statement, and employment or business opportunity),
by a governmental entity(Federal, state,
or local) with commission of any of the (b)Notify the employer(Applicant) in Title VI of the Civil Rights Act of 1964,
writing of any conviction for a violation as amended,42 U.S.C. 2000d,and U.S.
offenses listed in subparagraph (1)(b) of
this certification;and of a criminal drug statute occurring in DOT regulations, "Nondiscrimination in
d) Have not within a three-year the workplace no later than five(5) Federally-Assisted Programs of the
period preceding this certification had calendar days after that conviction; Department of Transportation—
one or more public transactions (5) Notifying FTA in writing,within Effectuation of Title VI of the Civil
(Federal, state,or local) terminated for ten (10)calendar days after receiving Rights Act,"49 CFR part 21 at 21.7,the
cause or default. notice required by paragraph (4)(b) Applicant assures that it will comply
(2)The certifies that,if above from an employee or otherwise with all requirements of 49 CFR part 21;
it er becomesApplicant aware also any receiving actual notice of that FTA Circular 4702.1,"Title VI Program
conviction. The Applicant,as employer Guidelines for Federal Transit
information contradicting the of any convicted employee,must Administration Recipients",and other
statements of paragraph (1) above, it provide notice,including position title, applicable directives, so that no person
will promptly provide that information to every project officer or other designee in the United States, on the basis of
to FTA. on whose project activity the convicted race,color,national origin,creed,sex,
(3)If the Applicant (Primary employee was working. Notice shall or age will be excluded from
Participant) is unable to certify to all include the identification number(s)of participation in,be denied the benefits
statements in paragraphs (1)and (2) of each affected grant or cooperative of, or otherwise be subjected to
this certification, it shall indicate so in agreement; discrimination in any program or
its applications,or in the transmittal (6)Taking one of the following activity (particularly in the level and
letter or message or accompanying its actions within thirty (30)calendar days quality of transportation services and
annual certifications and assurances, of receiving notice under paragraph transportation-related benefits) for
and provide a written explanation to (4)(b) of this agreement with respect to which the Applicant receives Federal
FTA. any employee who is so convicted: assistance awarded by the U.S. DOT or
la)Taking appropriate personnel FTA as follows:
D. Drug-Free Workplace Agreement
action against that employee, up to and (1)The Applicant assures that each
As required by U.S. DOT regulations, including termination,consistent with project will be conducted, property
"Drug-Free Workplace Requirements the requirements of the Rehabilitation acquisitions will be undertaken,and
(Grants),"49 CFR part 29, Subpart F,as Act of 1973, as amended,or project facilities will be operated in
modified by 41 U.S.C. 702,the (b)Requiring that employee to accordance with all applicable
Applicant agrees that it will provide a participate satisfactorily in a drug abuse requirements of 49 U.S.C. 5332 and 49
drug-free workplace by: assistance or rehabilitation program CFR part 21,and understands that this
(1)Publishing a statement notifying approved for such purposes by a assurance extends to its entire facility
its employees that the unlawful Federal,state, or local health, law and to facilities operated in connection
manufacture, distribution,dispensing, enforcement, or other appropriate with the project.
possession,or use of a controlled agency;and (2)The Applicant assures that it will
substance is prohibited in its workplace (7)Making a good faith effort to take appropriate action to ensure that
and specifying the actions that will be continue to maintain a drug-free any transferee receiving property
taken against its employees for violation workplace through implementation of financed with Federal assistance
of that prohibition; paragraphs (1), (2), (3), (4), (5),and (6) derived from FTA will comply with the
(2) Establishing an ongoing drug-free of this agreement. The Applicant agrees applicable requirements of 49 U.S.C.
awareness program to inform its to maintain a list identifying its 5332 and 49 CFR part 21.
employees about: headquarters location and each (3)The Applicant assures that it will
(a)The dangers of drug abuse in the workplace it maintains in which project promptly take the necessary actions to
workplace, activities supported by FTA are effectuate this assurance,including
bJ Its policy of maintaining a d ug- conducted, and make that list readily notifying the public that complaints of
accessible to FTA. discrimination in the provision of
free workplace,
E. Intergovernmental Review Assurance transportation-related services or
(c)Any available drug counseling, g benefits may be filed with U.S.DOT or
rehabilitation,and employee assistance The Applicant assures that each FTA. Upon request by U.S. DOT or FTA,
programs,and application for Federal assistance the Applicant assures that it will submit
Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices 58269
the required information pertaining to undertake studies,conduct research, or (3)Will establish safeguard to prohibit
its compliance with these requirements. to participate in or obtain any benefit employees from using their positions for
(4) The Applicant assures that it will from any program administered by FTA, a purpose that constitutes or presents
make any changes in its 49 U.S.C. 5332 no otherwise qualified person with a the appearance of personal or
and Title VI implementing procedures disability shall be,solely by treason of organizational conflict of interest or
as U.S. DOT or FTA may request. that disability,excluded from
(5) As required by 49 CFR 21.7(a)(2), participation in, denied the benefits of, personal gain.
the Applicant will include in each third (4)k Will initiate and complete the
or otherwise subjected to discrimination work within the applicable project time
party contract or subagreement in any program or activity receiving or periods following receipt of FTA
provisions to invoke the requirements of benefiting from Federal assistance approval.
49 U.S.C. 5332 and 49 CFR part 21,and administered by the FTA or any entity (5)Will comply with all statutes
include provisions to invoke those within U.S. DOT. The Applicant assures relating to nondiscrimination including,
requirements in deeds and instruments that project implementation and but not limited to:
recording the transfer of real property, operations so assisted will comply with (a)Title VI of the Civil Rights Act, 42
structures, improvements. all applicable requirements of U.S. DOT U.S.C. 2000d,which prohibits
G. Disadvantaged Business Enterprise regulations implementing the discrimination on the basis of race,
Assurance Rehabilitation Act of 1973,as amended, color, or national origin;
In accordance with 49 26.13(a), 29 U.S.C. 794,and the Americans with (b)Title IX of the Education
the a assures it that CFR shall not Disabilities Act of 1990, as amended,42 Amendments of 1972,as amended, 20
therrcip on the basisit
shallace, color, U.S.C. 12101 et seq.at 49 CFR parts 27, U.S.C. 1681, 1683,and 1685 through
discrimi oateio or the in the award and 37, and 38,and any applicable 1687,which prohibits discrimination on
performance no of any third party contract, regulations and directives issued by the basis of sex;
other Federal departments or agencies. (c) Section 504 of the Rehabilitation
or subagreement supported with Federal
assistance derived from the U.S. DOT or I. Procurement Compliance Act of 1973, as amended, 29 U.S.C. 794,
in the administration of its DBE program The Applicant certifies that its which prohibits discrimination on the
or the requirements of 49 CFR part 26. basis f handicaps;
procurements and procurement system (d)The Age Discrimination Act of
The Recipient assures that it shall take will comply with all applicable 1975,as amended,42 U.S.C. 6101
all necessary and reasonable steps under requirements imposed by Federal laws, through 6107, which prohibit
49 CFR part 26 to ensure executive orders, or regulations and the
nondiscrimination in the award and g discrimination lhD onAbuse the Office fis afnd
age;
requirements of FTA Circular 4220.1 D, (e) The Drug and
administration of all third party "Third Party Contracting Treatment Act of 1972,Pub. L. 92-255,
contracts and subagreements supported Requirements,"and other implementing March 21, 1972.and amendments
with Federal assistance derived from the requirements FTA may issue. The thereto,relating to nondiscrimination
U.S. DOT. The Recipient's DBE Applicant certifies that it will include in on the basis of drug abuse;
program,as required by 49 CFR part 26 its contracts financed in whole or in
and approved by the U.S. DOT, is and The ComprehensivePrevention eve Alcohol 1970,
part with FTA assistanceall executive Pub.Alcoholism e . 19 Act, df 1970,
incorporated by reference and made part required by Federal laws, L. 91-616, Dec. 31, 1970,and
of the grant agreement or cooperative orders, or regulations,and will ensure amendments thereto,relating to
agreement. Implementation of this DBE that each subrecipient and each nondiscrimination on the basis of
program is a legal obligation, and failure contractor will also include in its alcohol abuse or alcoholism;
to carry out its terms shall be treated as subagreements and contracts financed (g)The Public Health Service Act of
a violation of the grant agreement or in whole or in part with FTA assistance 1912,as amended,42 U.S.C. 290dd-3
cooperative agreement. Upon all applicable clauses required by and 290ee-3, related to confidentiality
notification by the Government to the Federal laws,executive orders,or of alcohol and drug abuse patient
Recipient of its failure to implement its regulations. records;
approved DBE program, the U.S. DOT (h) Title VIII of the Civil Rights Act,
may impose sanctions as provided for J. Certifications Prescribed by the Office 42 U.S.C. 3601 et seq.,relating to
under 49 CFR part 26 and may, in of Management and Budget (SF-424B nondiscrimination in the sale,rental,or
appropriate cases, refer the matter for and SF-424D) financing of housing;
enforcement under 18 U.S.C. 1001, and/ The Applicant certifies that it: (i)Any other nondiscrimination
or the Program Fraud Civil Remedies (1) Has the legal authority to apply for provisions in the specific statutes under
Act. 31 U.S.C. 3801 et seq. Federal assistance and the institutional, which Federal assistance for the project
managerial,and financial capability may be provided including,but not
H. Assurance of Nondiscrimination on
the Basis of Disability (including funds sufficient to pay the limited to section 1101(b) of the
non-Federal share of project cost)to Transportation Equity Act for the 21st
As required by U.S. DOT regulations, ensure proper planning,management, Century, 23 U.S.C. 101 note, which
"Nondiscrimination on the Basis of and completion of the project described provides for participation of
Handicap in Programs and Activities in its application. disadvantaged business enterprises in
Receiving or Benefiting from Federal (2) Will give FTA, the Comptroller P FTA programs;and
Financial Assistance,"at 49 CFR part General of the United States and,if (j)The requirements of any other
27, implementing the Rehabilitation Act appropriate,the state,through any nondiscrimination statute(s)that may
of 1973.as amended, and the Americans authorized representative,access to and apply to the project.
with Disabilities Act of 1990,as the right to examine all records,books, (6) Will comply, or has complied,
amended. the Applicant assures that,as papers, or documents related to the with the requirements of Titles II and III
a condition to the approval or extension award;and will establish a proper of the Uniform Relocation Assistance
of any Federal assistance awarded by accounting system in accordance with and Real Property Acquisition Policies
ETA to construct any facility, obtain any generally accepted accounting standards Act of 1970, as amended, (Uniform
rolling stock or other equipment, or agency directives. Relocation Act) 42 U.S.C. 4601 et seq.,
• 58270 Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices
which provide for fair and equitable understanding that FTA will participate seq. and Executive Order No. 11514,as
treatment of persons displaced or whose in the Applicant's eligible costs of amended,42 U.S.C. 4321 note;
property is acquired as a result of providing payments for those expenses (b) Notification of violating facilities
Federal of federally-assisted programs, as required by 42 U.S.C. 4631; pursuant to Executive Order No. 11738,
These requirements apply to all (h)The Applicant will execute such 42 U.S.C. 7606 note;
interests in real property acquired for amendments to third party contracts (c)Protection of wetlands pursuant to
project purposes regardless of Federal and subagreements financed with FTA Executive Order No. 11990, 42 U.S.C.
participation in purchases. As required assistance and execute, furnish, and he 4321 note;
by U.S. DOT regulations, "Uniform hound by such additional documents as (d) Evaluation of flood hazards in
Relocation Assistance and Real Property FTA may determine necessary to floodplains in accordance with
Acquisition for Federal and Federally effectuate or implement the assurances Executive Order 11988, 42 U.S.C. 4321
Assisted Programs," at 49 CFR 24.4, and provided herein;and note;
sections 210 and 305 of the Uniform (i)The Applicant agrees to make these (e) Assurance of project consistency
Relocation Act,42 U.S.C. 4630 and assurances part of or incorporate them with the approved State management
4655, the Applicant assures that it has by reference into any third party program developed pursuant to the
the requisite authority under applicable contract or suhagreement,or any requirements of the Coastal Zone
state and local law and will comply or amendments thereto,relating to any Management Act of 1972,as amended,
has complied with the requirements of project financed by FTA involving 16 U.S.C. 1451 et seq.
the Uniform Relocation Act,42 U.S.C. relocation or land acquisition and (I)Conformity of Federal actions to
4601 et seq.,and U.S. DOT regulations, provide in any affected document that State (Clean Air) Implementation Plans
"Uniform Relocation Assistance and these relocation and land acquisition under section 176(c)of the Clean Air
Real Property Acquisition for Federal provisions shall supersede any Act of 1955, as amended,42 U.S.C. 7401
and Federally Assisted Programs." 49 conflicting provisions. et seq.;
CFR part 24 including, but not limited (7) To the extent applicable,will (g) Protection of underground sources
to the following: comply with provisions of the Hatch of drinking water under the Safe
(a) The Applicant will adequately Act, 5 U.S.C. 1501 through 1508,and Drinking Water Act of 1974,as
inform each affected person of the 7324 through 7326, which limit the amended,42 U.S.C. 300h et seq.;
benefits, policies, and procedures political activities of state and local (h)Protection of endangered species
provided for in 49 CFR part 24; agencies and their officers and under the Endangered Species Act of
(h)The Applicant will provide fair g 1973,as amended, Endangered Species
and reasonable relocation payments and employees whose principal employment Act of 1973, as amended, 16 U.S.C. 1531
assistance by 42 U.S.C. 4622, activities are financed in whole or part et seq.; and
4623.and 4624;required49 CFR art 24; and any with Federal funds including a Federal
p loan,grant, or cooperative agreement, (')Environmental protections ifor
ncluding,
applicable FTA procedures, to or for Federal transit programs, fora pbut
families, individuals, partnerships, but pursuant to 23 U.S.C. 142(g), does
p P not apply to a nonsupervisory employee not limited to protections for a park,
corporations or associations displacedrecreation area,or wildlife or waterfowl
as a result of any project financed with of a transit system (or of any other refuge of national, state, or local
FTA assistance: agency or entity performing related significance or any land from a historic
(c) The Applicant will provide functions) receiving FTA assistance to site of national,state, or local
relocation assistance programs offering whom the Hatch Act does not otherwise significance used in a transit project as
the services described in 42 U.S.C. 4625 apply' required b 49 U.S.C. 303.
to such displaced families, individuals, (8)To the extent applicable, will (11) Will comply with the Wild and
partnerships, corporations, or comply with the Davis-Bacon Act, as Scenic Rivers Act of 1968, as amended,
associations in the manner provided in amended, 40 U.S.C. 276a through
276a(7),the Copeland Act,as amended, 16proU.S.C.tecting components of the national
49 CFR part 24 and FTA procedures;
(d) Within a reasonable time before 18 U.S.C. 874 and 40 U.S.C. 276c,and wild and scenic rivers systems.
displacement, the Applicant will make the Contract Work Hours and Safety (12) Will assist FTA in assuring
available comparable replacement Standards Act,as amended,40 U.S.C. compliance with section 106 of the
dwellings to displaced families and 327 through 333, regarding labor National Historic Preservation Act of
individuals as required by 42 U.S.C. standards for federally-assisted 1966, as amended, 16 U.S.C. 470f,
4625(c)(3); subagreements. Executive Order No. 11593
(e) The Applicant will carry out the (9)To the extent applicable, will (identification and protection of historic
relocation process in such a manner as comply with flood insurance purchase properties), 16 U.S.C. 470 note,and the
to provide displaced persons with requirements of section 102(a)of the Archaeological and Historic
uniform and consistent services, and Flood Disaster Protection Act of 1973,as Preservation Act of 1974, as amended,
will make available replacement amended, 42 U.S.C. 4012a(a),requiring 16 U.S.C. 469a-1 et seq.
housing in the same range of choices recipients in a special flood hazard area (13) Will comply with the Lead-Based
with respect to such housing to all to participate in the program and Paint Poisoning Prevention Act, 42
displaced persons regardless of race, purchase flood insurance if the total U.S.C. 4801,which prohibits the use of
color. religion, or national origin; and cost of insurable construction and lead-based paint in construction or
(p In acquiring real property, the acquisition is S30,000 or more. rehabilitation of residence structures.
Applicant will be guided to the greatest (10) Will comply with environmental (14) Will not dispose of, modify the
extent practicable under state law, by standards that may be prescribed to use of, or change the terms of the real
the real property acquisition policies of implement the following Federal laws property title,or other interest in the
42 U.S.C. 4651 and 4652; and executive orders: site and facilities on which a
(g) The Applicant will pay or (a) Institution of environmental construction project supported with
reimburse property owners for quality control measures under the FTA assistance takes place without
necessary expenses as specified in 42 National Environmental Policy Act of permission and instructions from the
U.S.C. 4653 and 4654, with the 1969, as amended, 42 U.S.C. 4321 et awarding agency.
•
Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices 58271
115) Will record the Federal interest in the Applicant provides this certification transportation service provided by an
the title of real property in accordance by selecting category "II" on the TEAM existing mass transportation company
with FTA directives and will include a system certifications and assurances tab must provide the following certification.
covenant in the title of real property page or on the Signature Page at the end Consequently,FTA may not award
acquired in whole or in part with of this document. Federal assistance for that project until
Federal assistance funds to assure A. As required by U.S. DOT the Applicant provides this certification
nondiscrimination during the useful life regulations, "New Restrictions on by selecting category "Ill"on the TEAM
of the project. Lobbying,"at 49 CFR 20.110,the system certifications and assurances tab
116) Will comply with FTA Applicant's authorized representative page or on the Signature Page at the end
requirements concerning the drafting, certifies to the best of his or her of this document.
review. and approval of construction knowledge and belief that for each As required by 49 U.S.C. 5323(a)(1),
plans and specifications of any application for a Federal assistance the Applicant certifies that before it
construction project supported with exceeding$100,000: acquires property or an interest in
FTA assistance. As required by U.S. (1)No Federal appropriated funds property of a private mass
DOT regulations, "Seismic Safety," 49 have been or will be paid, by or on transportation company or operates
CFR 41.117(d), before accepting delivery behalf of the Applicant, to any person mass transportation equipment or a
of any building financed with PTA for influencing or attempting to facility in competition with or in
assistance, it will obtain a certificate of influence an officer or employee of any addition to transportation service
compliance with the seismic design and agency, a Member of Congress, an provided by an existing mass
construction requirements of 40 CFR officer or employee of Congress, or an transportation company it has or will
part 41. employee of a Member of Congress have:
(17) Will provide and maintain pertaining to the award of any Federal A. Found that the assistance is
competent and adequate engineering assistance, or the extension, essential to carrying out a program of
supervision at the construction site of continuation, renewal, amendment, or projects as determined by the plans and
any project supported with FTA modification of any Federal assistance programs of the metropolitan planning
assistance to ensure that the complete agreement; and organization;
work conforms with the approved plans (2) If any funds other than Federal B. Provided for the participation of
and specifications and will furnish appropriated funds have been or will be private mass transportation companies
progress reports and such other paid to any person for influencing or to the maximum extent feasible;p
information as may be required by PTA attempting to influence an officer or C. Paid just compensation under State
or the State. employee of any agency,a Member of or local law to a private mass
(18) Will comply with the National Congress,an officer or employee of transportation company for its
Research Act, Pub. L. 93-348, July 12, Congress, or an employee of a Member franchises or property acquired and;
1974, as amended, regarding the of Congress in connection with any D. Acknowledged that the assistance
protection of human subjects involved application to FTA for Federal falls within the labor standards
in research, development, and related assistance, the Applicant assures that it compliance requirements of 49 U.S.C.
nctic ities supported by Federal will complete and submit Standard 5333(a) and 5333(b).
assistance, Form-LLL, "Disclosure Form to Report
(19) Will comply with the Laboratory Lobbying,"including the information IV. Public Hearing Certification for e
Animal Welfare Act of 1966, as required by the form's instructions, Capital Project That Will Substantially
amended, 7 U.S.C. 2131 et seq. which may be amended to omit such Affect a Community or Its Transit
pertaining to the care, handling,and information as permitted by 31 U.S.C. Service
treatment of warm blooded animals held 1352. An Applicant seeking Federal
for research. teaching, or other activities B. The Applicant understands that assistance under 49 U.S.C. chapter 53
supported by FTA assistance. this certification is a material for a capital project that will
('20) Will have performed the financial representation of fact upon which substantially affect a community or the
and c orn pl lance audits required by the reliance is placed and that submission community's transit service must
Single Audit Act Amendments of 1996, of this certification is a prerequisite for provide the following certification.
31 C.S.C. 7501 et seq. and OMB Circular providing Federal assistance for a Consequently, FTA may not award
No. A-133, "Audits of States, Local transaction covered by 31 U.S.C. 1352. Federal assistance for that project until
Governments, and Non-Profit The Applicant also understands that the Applicant provides this certification
Organizations and Department of any person who fails to file a required by selecting category "IV" on the TEAM
Transportation provisions of OMB A— certification shall be subject to a civil system certifications and assurances tab
133 Compliance Supplement, April, penalty of not less than $10,000 and not page or on the Signature Page at the end
1999." more than $100,000 for each such of this document.
(21) Will comply with all applicable failure. As required by 49 U.S.C. 53231b),the
rrequirements of all other Federal laws, Applicant certifies that it has,or before
executive r orders. and III. Certification Pertaining to the Effects I P
regulations, submitting its application,will have:
policies governing the project. of the Project on Private Mass
P I A. Provided an adequate opportunity
Transportation Companies for a public hearing with adequate prior
II. Lobbying Certification for on An Applicant that is a state or local notice of the proposed project published
Application Exceeding 5]00,000 government that seeks Federal
in a geographic
newspaper of area
to et ved;circulation in
An Applicant that submits, or intends assistance authorized by 49 U.S.C. the geographic area to be served;
to submit this fiscal year.an application chapter 53 to acquire property of a B.Held that hearing and provided
for Federal assistance exceeding private mass transportation company or PTA a transcript or detailed report
5100.000 must provide the following an interest in property of a private mass summarizing the issues and responses,
certification. Consequently, FTA may transportation company or operate mass unless no one with a significant
not provide Federal assistance for an transportation equipment or a facility in economic, social, or environmental
application exceeding 5100,000 until competition with or in addition to interest requests a hearing;
58272 Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices
C. Considered the economic, social, assistance for those projects until the Title 23 U.S.C. for transportation
and environmental effects of the project; Applicant enters into this agreement by projects.
and selecting category "VII"on the TEAM B. The Applicant understands that the
D. Determined that the project is system certifications and assurances tab requirements of 49 CFR part 605 will
consistent with official plans for page or on the Signature Page at the end apply to any school transportation it
developing the urban area. of this document. provides,the definitions of 49 CFR part
V. Certification of Pre-Award and Post- A. As required by 49 U.S.C. 5323(d) 605 apply to this school transportation
Delivery Reviews Required for and FTA regulations, "Charter Service," agreement,and a violation of this
Acquisition of Rolling Stock at 49 CFR 604.7,the Applicant agrees agreement may require corrective
that it and its recipients will: measures and the imposition of
An Applicant seeking FTA assistance (1)Provide charter service that uses penalties,including debarment from the
to acquire rolling stock must provide the equipment or facilities acquired with receipt of further Federal assistance for
following certification. Consequently, Federal assistance authorized for 49 transportation.
ETA may not provide assistance to U.S.C. 5307, 5309, or 5311 or Title 23 IX. Certification Required for the Direct
acquire rolling stock until the Applicant U.S.C., only to the extent that there are Award of FTA Assistance to on
provides this certification by selecting no private charter service operators Applicant for Its Demand Res onsive
category "V"on the TEAM system willing and able to provide the charter Service p
certifications and assurances tab page or service that it or its recipients desire to
on the Signature Page at the end of this provide, unless one or more of the An Applicant seeking direct Federal
document. exceptions in 49 CFR 604.9 applies,and assistance to support demand
As required by 49 U.S.C. 5323(m) and (2)Comply with the provisions of 49 responsive service must provide the
implementing FTA regulations at 49 CFR part 604 before they provide any following certification. Consequently,
CFR 663.7, the Applicant certifies that FTA may not award Federal assistance
charter service using equipment or
it will comply with the requirements of directly to an Applicant to support its
facilities acquired with Federal
49 CFR part 663 when procuring demand responsive service until the
revenue service rolling stock. Among assistance authorized for the above Applicant provides this certification by
statutes.
other things,the Applicant agrees to selecting category "IX" on the TEAM
B.The Applicant understands that the
conduct or cause to be conducted the requirements of 49 CFR part 604 will system certifications and assurances tab
requisite pre-award and post-delivery apply to any charter service provided, page or on the Signature Page at the end
reviews,and maintain on file the the definitions in 49 CFR part 604 apply of this document.
certifications required by 49 CFR part As required by U.S. DOT regulations,
to this agreement,and violation of this "663. subparts B, C,and D. Transportation Services for Individuals
agreement may require corrective
with Disabilities (ADA),"at 49 CFR
l7. Bus Testing Certification Required measures and the imposition of 37.77, the Applicant certifies that its
for New Bus Acquisitions penalties, including debarment from the demand responsive service offered to
An Applicant seeking FTA assistance receipt of further Federal assistance for persons with disabilities, including
to acquire new buses mustprovide the transportation.
9 persons who use wheelchairs, is
following certification.Consequently, VIM. School Transportation Agreement equivalent to the level and quality of
ETA may not provide assistance for the service offered to persons without
acquisition of new buses until the An Applicant seeking FTA assistance
q disabilities. When viewed in its entirety,
Applicantprovides this certification by to acquire or operate transportation
Pp facilities and equipment acquired with the Applicant's service for persons with
selecting category "VI" on the TEAM Federal assistance authorized by 49 disabilities is provided in the most
system certifications and assurances tan U.S.C. chapter 53 Title 23, U.S.C. integrated setting feasible and is
or
page or on the Signature Page at the end must agree as follows. Consequently, equivalent with respect to: (1)Response
of this document. PTA may not provide assistance for time, (2) fares. (3) geographic service
As required by ETA regulations, "Bus area, (4) hours and days of service, (5)
Testing," at 49 CFR 665.7, the Applicant transportation facilities until the
PP restrictions on trip purpose, (6)
certifies that before expending any Applicant enters into this Agreement by availability of information and
Federal assistance to ac uire the first selecting category "VIII" on the TEAM
q s stem certifications and assurances tab reservation capability,and (7)
bus of any new bus model or any bus y constraints on capacity or service
model with a new major change in page or on the Signature Page at the end availability.
configuration or components or of this document.
authorizing final acceptance of that bus A. As required by 49 U.S.C.5323(f) X. Substance Abuse Certifications
(as described in 49 CFR part 665): and FTA regulations, "School Bus If the Applicant is required by Federal
A. The model of the bus will have Operations,"at 49 CFR 605.14,the regulations to provide the following
been tested at a bus testing facility Applicant agrees that it and all its substance abuse certifications, FTA may
approved by FTA;and recipients will: not provide Federal assistance to that
B.It will have received a copy of the (1)Engage in school transportation Applicant until it provides these
test report prepared on the bus model. operations in competition with private certifications by selecting category"X"
school transportation operators only to on the TEAM system certifications and
VII Charter Service Agreement the extent permitted by 49 U.S.C. Y
Page assurances tth tab page o the Signature
An Applicant seeking FTA assistance 5323(0,and implementing regulations, page at the end of this document.
to acquire or operate transportation and
equipment or facilities acquired with (2)Comply with the requirements of A. Alcohol Testing Certification
Federal assistance authorized by 49 49 CFR part 605 before providing any As required by FTA regulations,
C.S.C. chapter 53 or Title 23, U.S.C. school transportation using equipment "Prevention of Alcohol Misuse in
(except 49 U.S.C. 5310) must enter into or facilities acquired with Federal Transit Operations,"at 49 CFR 654.83,
the following charter service agreement. assistance awarded by FTA and the Applicant certifies that it has
Consequently, PTA may not provide authorized by 49 U.S.C. chapter 53 or established and implemented an alcohol
Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices 58273
misuse prevention program in Reverse Commute Program assistance to procurement(as defined or approved by
compliance with 49 CFR part 654; and the Applicant until the Applicant the Secretary),it will not use a
if the Applicant has employees provides these certifications and procurement using exclusionary or
regulated by the U.S.Federal Railroad assurances by selecting category "XII" discriminatory specifications,and it
Administration (U.S. FRA), the on the TEAM system certifications and will comply with applicable Buy
Applicant also certifies that it has for assurances tab page or on the Signature America laws in carrying out a
those employees an alcohol misuse Page at the end of this document. procurement;
prevention program in compliance with In addition, each Applicant that has (f)It has complied or will comply
C.S. FRA regulations, "Control of received Transit Enhancement funding with the requirements of 49 U.S.C.
Alcohol and Drug Use," 49 CFR part authorized by 49 U.S.C. 5307(k)(1)must 5307(c). Specifically, it has made
219. include within its quarterly report for available or before submitting its
B. Anti-Drug Program Certification the fourth quarter of the preceding application it will make available: (1)To
Federal fiscal year a list of the projects the public information on amounts
As required by FTA regulations carried out during the preceding Federal available for the Urbanized Area
"Prevention of Prohibited Drug Use in fiscal year with those Transit Formula Program at 49 U.S.C. 5307 and,
Transit Operations,"at 49 CFR 653.83, Enhancement funds. That list if applicable,the Job Access and
the Applicant certifies that it has constitutes the report of transit projects Reverse Commute Grant Program,49
established and implemented an anti- carried out during the preceding fiscal U.S.C. 5309 note,and the program of
drug program and conducted employee year to be submitted as part of the projects it proposes to undertake with
training in compliance with 49 CFR part Applicant's annual certifications and those funds; (2)in consultation with
653;and if the Applicant has employees assurances,as required by 49 U.S.C. interested parties including private
regulated by the U.S. Federal Railroad 5307(k)(3),and is thus incorporated by transportation providers, develop a
Administration (U.S. FRA),the reference and made part of that proposed program of projects for
Applicant also certifies that it has for Applicant's annual certifications and activities to be financed; (3) publish a
those employees an anti-drug program assurances. FTA may not award proposed program of projects in a way
in compliance with U.S. FRA Urbanized Area Formula Program that affected citizens, private
regulations, "Control of Alcohol and assistance to any Applicant that has transportation providers,and local
Drug Use," 49 CFR part 219. received Transit Enhancement funding elected officials have the opportunity to
Xl. Certification Required for Interest or authorized by 49 U.S.C. 5307(k)(1), examine the proposed program and
Other Financing Costs unless that Applicant's quarterly report submit comments on the proposed
The must the for the fourth quarter of the preceding program and the performance of the
following Applicant p must
providein connection Federal fiscal year has been submitted Applicant; (4)provide an opportunity
with requests for crertification
of to FTA and that report contains the for a public hearing to obtain the views
requisite list, of citizens on the proposed program of
interest or other financing costs of
capital projects. FTA may not provide A. Certifications Required by Statute projects; and (5)ensure that the
assistance to support those costs until proposed program of projects provides
(1)As required by 49 U.S.C. for the coordination of transportation
the Applicant provides this certification 5307(d)(1)(A) through (J), the Applicant services assisted under 49 U.S.C. 5336
by selecting category "Xl" on the TEAM certifies that: with transportation services assisted by
system certifications and assurances tab (a) It has or will have the legal, another Federal Government source; (6)
page or on the Signature Page at the end financial, and technical capacity to consider comments and views received,
of this document. carry out the proposed program of especially those of private
As required by 49 U.S.C. 5307(g),49 projects; transportationproviders, in preparing U.S.C. 5309(g)(2)(B), 49 U.S.C. (b) It has or will have satisfactory p projects; p g
5309(g)(3)(A), and 49 U.S.C. 5309(n), the continuing control over the use of he make final h programprogram ofofand (7)
the final b of projects
Applicant certifies that it will not seek equipment and facilities; available to the public;
reimbursement for interest and other (c) It will adequately maintain the (g) It has or will have available and
hunch-trig costs unless its records equipment and facilities; will provide the amount of funds
demonstrate it has used reasonable (d) It will ensure that elderly or required by 49 U.S.C. 5307(e) and
diligence in seeking the most favorable handicapped persons,or any person applicable FTA policy (specifying
financing terms underlying those costs, presenting a Medicare card issued to Federal and local shares of project
to the extent FTA might require. himself or herself pursuant to title II or costs);
YII. Certifications and Assurances for title XVIII of the Social Security Act(42 (h) It will comply with:49 U.S.C.
the Urbanized Area Formula Program U.S.C. 401 et seq. or 42 U.S.C. 1395 et 5301(a) (requirements for transportation
and the Job Access and Reverse seq.), will be charged for transportation systems that maximize mobility and
Commute Program during non-peak hours using or minimize fuel consumption and air
involving a facility or equipment of a pollution); 49 U.S.C. 5301(d)
Each Applicant to FTA for Urbanized project financed with Federal assistance (requirements for transportation of the
Area Formula Program assistance authorized for 49 U.S.C. 5307 or for elderly and persons with disabilities);
r:r.thorized for 49 U.S.C. 5307 and each section 3037 of the Transportation 49 U.S.C. 5303 through 5306 (planning
Applicant for Job Access and Reverse Equity Act for the 21st Century(TEA— requirements); and 49 U.S.C. 5310 (a)
Commute Program assistance authorized 21), 49 U.S.C. 5309 note, not more than through (d) (programs for the elderly
for section 3037 of the Transportation fifty (50) percent of the peak hour fare; and persons with disabilities);
Equity Act for the 21st Century, 49 (e) In carrying out a procurement (i) It has a locally developed process
U.S.C. 5309 note, must provide the financed with Federal assistance to solicit and consider public comment
following certifications in connection authorized for the Urbanized Area before raising fares or implementing a
with its application. Consequently, FTA Formula Program at 49 U.S.C. 5307 or major reduction of transportation; and
may not award Urbanized Area Formula section 3037 of TEA-21,49 U.S.C. 5309 (j) As required by required by 49
Program assistance or Job Access and note, it will use competitive U.S.C. 5307(d)(1)(J),unless it has
58274 Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices
determined that it is not necessary to 5307(b)(1),the Applicant certifies that it E.The subrecipient has, or will have
expend one (1) percent of the amount of will use competition to procure an by the time of delivery, sufficient funds
Federal assistance it receives for this associated capital maintenance item to operate and maintain the vehicles
tisral year apportioned in accordance unless the manufacturer or supplier of and equipment purchased with Federal
with 49 U.S.C. 5336 for transit security that item is the only source for the item assistance awarded for this project.
projects. it will expend at least one (1) and the price of the item is no more than F. The state assures that before issuing
percent of the amount of that assistance the price similar customers pay for the the state's formal approval of a project,
for transit security projects, including item,and maintain sufficient records its Elderly and Persons with Disabilities
increased lighting in or adjacent to a pertaining to each such procurement on Formula Program is included in the
transit system (including bus stops, file easily retrievable for ETA Statewide Transportation Improvement
subway stations, parking lots,and inspection. Program as required by 23 U.S.C. 135:
earages), increased camera surveillance X/H. Certifications and Assurances for all projects in urbanized areas
at an area in or adjacent to that system. the Elderly and Persons With recommended for approval are included
emergency telephone line or lines to Disabilities Program in the annual element of the
contact law enforcement or security metropolitan Transportation
personnel in an area in or adjacent to An Applicant that intends to Improvement Program in which the
that system, and any other project administer, on behalf of the state, the subrecipient is located; and any public
intended to increase the security and Elderly and Persons with Disabilities body that is a prospective subrecipient
safety of an existing or planned transit Program must provide the following of capital assistance has provided an
system. certifications and assurances. opportunity for a public hearing.
(2) As required by 49 U.S.C. Consequently,FTA may not award G. The subrecipient has, to the
3307(k)(3), if it has received Transit assistance for the Elderly and Persons maximum extent feasible, coordinated
Enhancement funds authorized by 49 with Disabilities Program until the with other transportation providers and
I'.SC. 5307(k)(1), its quarterly report for Applicant provides these certifications users, including social service agencies
the fourth quarter of the preceding and assurances by selecting category authorized to purchase transit service.
Federal fiscal year includes a list of the "XIII"on the TEAM system H.The subrecipient is in compliance
projects implemented in the preceding certifications and assurances tab page or with all applicable civil rights
Federal fiscal year using Transit on the Signature Page at the end of this requirements,and has provided the
Enhancement funds,and made part of document. Nondiscrimination Assurance. (Category
its certifications and assurances. Based on its own knowledge and, as I.F, "Certifications and Assurances
necessary. on information submitted by Required of Each Applicant").
it Certification Required for Capital the subrecipient,the Applicant I.The subrecipient will comply with
Leasing administering on behalf of the state the applicable requirements of U.S. DOT
As required by FTA regulations, Elderly and Persons with Disabilities regulations on participation of
"Capital Leases,"at 49 CFR 639.15(b)(1) Program authorized by 49 U.S.C. 5310 disadvantaged business enterprises in
and 639.21,to the extent the Applicant certifies and assures that the following U.S. DOT programs and has provided
uses Federal assistance authorized for requirements and conditions will be the Disadvantaged Business Enterprise
49 U.S.C. 5307 or section 3037 of TEA— fulfilled: Assurance (Category I.G, "Certifications
21, 49 U.S.C. 5309 note, to acquire any A. The state organization serving as and Assurances Required of Each
capital asset by lease,the Applicant the Applicant and each subrecipient has Applicant").
certifies that: or will have the necessary legal, J.The state will comply with all
(I) It will not use Federal assistance financial, and managerial capability to existing Federal requirements regarding
authorized for 49 U.S.C. 5307 or section apply for, receive,and disburse Federal transportation of elderly persons and
3037 of TEA-21, 49 U.S.C. 5309 note,to assistance authorized for 49 U.S.C. persons with disabilities.Each
finance the cost of leasing any capital 5310:and to implement and manage the subrecipient has provided to the state an
asset until it performs calculations project. Assurance of Nondiscrimination on the
demonstrating that leasing the capital B.The state assures that each Basis of Disability, (Category LH,
asset would be more cost-effective than subrecipient either is recognized under "Certifications and Assurances Required
purchasing or constructing a similar state law as a private nonprofit of Each Applicant'').If non-accessible
asset: organization with the legal capability to vehicles are being purchased for use by
(2) It will complete these calculations contract with the state to carry out the a public entity in demand responsive
before entering into the lease or before proposed project, or is a public body service for the general public. the state
receiving a capital grant for the asset, that has met the statutory requirements will obtain from the subrecipient a
whichever is later; and to receive Federal assistance authorized "Certification of Equivalent Service,"
(3) It will not enter into a capital lease for 49 U.S.C. 5310. which states that when viewed in its
for which FTA can only provide C. The subrecipient's application for entirety the public entity's demand
incremental funding unless it has the 49 U.S.C. 5310 assistance contains responsive service offered to persons
financial capacity to meet its future information from which the state with disabilities, including persons who
obligations under the lease in the event concludes that the transit service use wheelchairs,meets the standard of
Federal assistance is not available for provided or offered to be provided by equivalent service set forth in 40 CFR
r.❑pital projects in subsequent years. existing public or private transit 37.77(c).
. operators is unavailable, insufficient,or K. The subrecipient has certified to
C Certification Required for Sole Source
Purchase of Associated Capital inappropriate to meet the special needs the state that it will comply with the
Purchase of Item of the elderly and persons with applicable provisions of 49 CFR 605
disabilities. pertaining to school transportation
As required by 49 U.S.C. 5325(c),to D. The state assures that sufficient operations (Category VIII, "School
the extent that the Applicant procures non-Federal funds have been or will be Transportation Agreement").
an associated capital maintenance item committed to provide the required local L. Unless otherwise noted,each of the
under the authority of 49 U.S.C. share. subrecipient's projects qualifies for a
Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices 58275
categorical exclusion and does not XIV. Certifications and Assurances for H.The subrecipient will comply with
require further environmental the Nonurbanized Area Formula applicable requirements of U.S. DOT
approvals,as described in the joint Program regulations on participation of
FHWA/FTA regulations, An Applicant that intends to disadvantaged business enterprise in
"Environmental Impact and Related administer,on behalf of the state,the U.S. DOT programs and has provided
Procedures," at 23 CFR 771.117(c). The Nonurbanized Area Formula Program the Disadvantaged Business Enterprise
state certifies that financial assistance must provide the following Assurance(Category I.G, "Certifications
will not be provided for any project that certifications and assurances. and Assurances Required of Each
does not qualify for a categorical Consequently,FTA may not award Applicantat
exclusion described in 23 CFR Nonurbanized Area Formula Program I. The state will comply with all
771.117(c) until FTA has made the assistance to the Applicant until the existing Federal requirements regarding
required environmental finding. The Applicant provides these certifications transportation of elderly persons and
ersns with ach
state further certifies that no financial and assurances by selecting category subrecipient has provided lities. E o the state an
assistance will be provided for a project "XIV"on the TEAM system Assurance of Nondiscrimination on the
requiring a conformity finding in certifications and assurances tab page or Basis of Disability, (Category I.H,
accordance with the Environmental on the Signature Page at the end of this ^Certifications and Assurances Required
Protection Agency's Clean Air document. q
Based on its own knowledge and,as of Each Applicant"). If non-accessible
Conformity regulations at 40 CFR parts g vehicles are being purchased for use by
51 and 93, until FTA makes the required the oninformation l,submitted by a public entity in demand responsive
conformity finding. subrecipient. pp service for the general public,the state
administering on behalf of the state the will obtain from the subrecipient a •
M. The subrecipient has submitted (or Nonurbanized Area Formula Program
will submit) all applicable certifications authorized by 49 U.S.C. 5311 certifies "Certification of Equivalent Service,"
and assurances currently required, and assures that the following which states that when viewed in its
including,but not limited to: a requirements and conditions will be entirety the public entity's demand
certification that its procurements and fulfilled: responsive service offered to persons
procurement system will comply with A. The state organization serving as with disabilities,including persons who
all applicable requirements imposed by the Applicant and each subrecipient has eu wheelchairs, s meets forth h standard n0 CFR
of
Federal laws,executive orders,or or will have the necessary legal, equivalent service set in 40
7(c).
regulations and the requirements of FTA financial,and managerial capability to 3J.The
Circular 4220.1D, "Third Party apply for,receive and disburse FederalJ.The subrecipient emehas complied with
the transit employee proteive
Contracting Requirements," and other assistance authorized for 49 U.S.C. provisions of 49 U.S.C. 5333(b),by one
implementing requirements FTA may 5311;and to implement and manage the of the following actions: (1) Signing the
issue;a certification that its project project. Special Warranty for the Nonurbanized
provides for the participation of private B. The state assures that sufficient Area Formula Program, (2)agreeing to
•mass transportation companies to the non-Federal funds have been or will be alternative comparable arrangements
maximum extent feasible;a certification committed to provide the required local approved by the Department of Labor
share.
it has paid or will pay just
I C. The subrecipient has, or will have (DOL), or(3) obtaining a waiver from
compensation under state or local law to DOL;and the state has certified the
by the time of delivery,sufficient funds subrecipient's compliance to DOL.
each private mass transportation
K. Th to operate and maintain the vehicles K. The subrecipient has certified to
company for its franchise or property
acquired under the project;a and equipment purchased with Federal the state that it will comply with 49 CFR
nonprocurement suspension and assistance authorized for this project. part 604 in the provision of any charter
D. The state assures that before service provided with equipment or
debarment certification;a bus testing issuing the state's formal approval of the facilities acquired with FTA assistance.
certification for new models; a pre- project, its Nonurbanized Area Formula and will also comply with applicable
award and posbdelivery review Program is included in the Statewide provisions of 49 CFR part 605
5p pertaining rectification; and a lobbying Transportation Improvement Program as to school transportation operations
certification for each application required by 23 U.S.C. 135; to the extent (Category VII, "Charter Service
exceeding$100,000. Certifications and applicable, projects are included in a Agreement,"and Category VIII, "School
assurances applicable to and submitted metropolitan Transportation Transportation Agreement").
by the subrecipient should be Improvement Program. L. Unless otherwise noted,each of the
substantially similar to the text of E. The state has provided for a fair subrecipient's projects qualifies for a
parallel certifications and assurances and equitable distribution of Federal categorical exclusion and does not
text of Categories I through XI of this assistance authorized for 49 U.S.C. 5311 require further environmental
document.but modified as necessary to within the state, including Indian approvals,as described in the joint
accommodate the suhrecipient's reservations within the state. FHWA/FTA regulations,
circumstances. F.The subrecipient has,to the "Environmental Impact and Related
X. The state will enter into a written maximum extent feasible, coordinated Procedures,"at 23 CFR 771.117(c). The
• with other transportation providers and state certifies that financial assistance
agreement with each subrecipient
stating the and conditions of users, including social service agencies will not be provided for any project that
assistance terms o which the project will be authorized to purchase transit service, does not qualify for a categorical
G. The suhrecipient is in compliance exclusion described in 23 CFR
undertaken and completed.
with all applicable civil rights 771.117(c)until FTA has made the
O. The state recognizes FTA's requirements,and has provided the required environmental finding. The
authority to conduct audits and reviews Nondiscrimination Assurance. (Category state further certifies that no financial
to verify compliance with the foregoing I.F, "Certifications and Assurances assistance will be provided for a project
requirements and stipulations. Required of Each Applicant"). requiring a conformity finding in
58276 Federal Register/Vol. 64, No. 208/Thursday, October 28, 1999/Notices
accordance with the Environmental award Federal assistance to capitalize a those requirements may be amended
Protection Agency's Clean Air SIB until the state Applicant provides from time to time.Pursuant to
Conformity regulations at 40 CFR parts these certifications and assurances by subsection 1511(h)(2) of TEA-21,
51 and 93,until FTA makes the required selecting category"XV" on the TEAM applicants for assistance authorized by
conformity finding. system certifications and assurances tab the State Infrastructure Bank Pilot
M.The subrecipient has submitted (or page or on the Signature Page at the end Program, 23 U.S.C. 181 note,agree that
will submit)all applicable certifications of this document. previous cooperative agreements
and assurances currently required, Based on its own knowledge and,as entered into with States under section
including but not limited to:a necessary, on information submitted by 350 of the National Highway System
certification that its procurements and the participating parties,the state Designation Act of 1995,as amended,
procurement system will comply with serving as the Applicant for Federal will be revised to comply with new
all applicable requirements imposed by assistance for the Transit Account of its requirements.
Federal laws,executive orders, or state SIB program authorized by either C.The state assures that the SIB will
regulations and the requirements of FTA section 350 of the National Highway provide Federal assistance from its
Circular 4220.1D, "Third Party System Designation Act of 1995,as Transit Account only for transit capital
Contracting Requirements,"and other amended, 23 U.S.C. 101 note, or the projects eligible under section 1511 of
implementing requirements FTA may State Infrastructure Bank Pilot Program, TEA-21,and that those projects will
issue;a certification that its project 23 U.S.C. 181 note,certifies and assures fulfill all requirements imposed on
provides for the participation of private that the following requirements and comparable capital transit projects
mass transportation companies to the conditions will be fulfilled pertaining to financed by FTA.
maximum extent feasible;a certification any project financed with Federal D. The state understands that the total
it has paid or will pay just assistance derived from the Transit amount of funds to be awarded for a
compensation under state or local law to Account of the SIB: grant agreement will not be immediately
each private mass transportation A.The state organization serving as available for draw down.Consequently,
company for its franchise or property the Applicant(state) agrees and assures the state assures that it will limit the
acquired under the project;a the agreement of the SIB and each amount of Federal assistance it draws
nonprocurement suspension and recipient of Federal assistance derived down for deposit in the Transit Account
debarment certification;a bus testing from the Transit Account of the SIB of its SIB to amounts that do not exceed
certification for new bus models;a pre- within the state (subrecipient)that each the limitations specified in the
award and post-delivery review Project financed with Federal assistance underlying grant agreement or the
certification;and a lobbying derived from the Transit Account will approved project budget for that grant
certification for each application be administered in accordance with the: agreement.
exceeding$100,000. Certifications and (1)Applicable provisions-of section E. The state assures that each
assurances applicable to and submitted 350 of the National Highway System subrecipient has or will have the
by the subrecipient should be Designation Act of 1995,as amended, 23 necessary legal, financial,and
substantially similar to the text of U.S.C. 101 note,or of the State managerial capability to apply for,
parallel certifications and assurances Infrastructure Bank Pilot Program, 23 receive,and disburse Federal assistance
text of Categories I through XI of this U.S.C. 181 note,and any further authorized by Federal statute for use in
document,but modified as necessary to amendments thereto, the Transit Account of the SIB,
accommodate the subrecipient's (2)Provisions of FTA's NHS including the ability to comply with
circumstances. Guidelines,and any amendments Year 2000 (Y2K) management of funds
N. The state will enter into a written thereto, and investments,and to implement,
agreement with each subrecipient (3)Terms and conditions of manage, operate, and maintain the
stating the terms and conditions of Department of Labor Certification(s) of project and project property for which
assistance by which the project will be Transit Employee Protective such assistance will support.
undertaken and completed. Arrangements that are required by F.The state assures that the SIB will
O.The state recognizes FTA's Federal law or regulations, provide Federal assistance derived from
authority to conduct audits and reviews (4)Provisions of FHWA and FTA the Transit Account only to a
to verify compliance with the foregoing cooperative agreement with the state to subrecipient that is either a public or
requirements and stipulations. establish the state's SIB program, and private entity recognized under state
P.As required by 49 U.S.C. 5311(f), it (5) Provisions of the FTA grant law as having the legal capability to
will expend not less than fifteen (15) agreement with the state that obligating contract with the state to carry out its
percent of the Federal assistance Federal assistance for the SIB,except proposed project.
authorized for 49 U.S.C. 5311(f) it that any provision of the Federal Transit G. The state assures that sufficient
receives during this fiscal year to carry Administration Master Agreement non-Federal funds have been or will be
out a program to develop and support incorporated by reference into that grant committed to provide the required local
intercity bus transportation,unless the agreement will not apply if it conflicts share.
chief executive officer of the state or his with any provision of National Highway H. The state assures that the SIB will
or her duly authorized designee certifies System Designation Act of 1995,as enter into a written agreement with each
that the intercity bus service needs of amended,23 U.S.C. 101 note,or section subrecipient stating the terms and
the state are being adequately met. 1511 of TEA-21,as amended,and FTA conditions of assistance by which the
.CV. and for SIB Guidelines,the provisions of the project will be undertaken and
the Certifications er Infrastructure and Assurances su Program cooperative agreement establishing the completed, including specific
f 8 SIB program within the state, or the text provisions that any security or debt
A state Applicant for a grant of within the FTA grant agreement. financing instrument the SIB may issue
Federal assistance for deposit in the B. The state agrees to comply with will contain an express statement that
State Infrastructure Bank(SIB) must and assures the compliance of the SIB the security or instrument does not
provide the following certifications and and each subrecipient of all applicable constitute a commitment,guarantee, or
assurances. Consequently,FTA may not requirements for the SIB program,as obligation of the United States.
Federal Reister/Vol. 64, No. 208/Thursday, October 28, 1999/Notices 58277
I. The state assures that before the SIB persons without disabilities(Category provide no financial assistance from its
enters into an agreement with a IX, "Certifications Required for the Transit Account for a project requiring
subrecipient under which Federal Direct Award of FTA Assistance to an a conformity finding in accordance with
assistance within the Transit Account of Applicant for its Demand Responsive the Environmental Protection Agency's
the SIB will be disbursed to the Service,"). This "Certification of Clean Air Conformity regulations at 40
subrecipient,the subrecipient's project Equivalent Service"must also state that CFR parts 51 and 93,until FTA makes
is included in the Statewide the public entity's demand responsive the required conformity finding.
Transportation Improvement Program; service,when viewed in its entirety, is
all projects in urbanized areas provided in the most integrated setting Q The state assures that the
recommended for approval are included feasible and has equivalent: (1) subrecipient has submitted (or will
in the annual element of the Response time, (2) fares, (3)geographic submit), when applicable, all
metropolitan Transportation service area, (4)hours and days of certifications and assurances currently
Improvement Program in which the service, (5) restrictions or restraints on required, including,but not limited to:
subrecipient is located;and it has trip purpose, (6)availability of a certification that its procurements and
obtained from each subrecipient of information and reservation capability. Procurement system will comply with
capital assistance that is also a public and (7)constraints on capacity or all applicable requirements imposed by
body a certification that an opportunity service availability. Federal laws,executive orders,or
for a public hearing has been provided. N. The state assures that before the regulations and the requirements of FTA
J. The state assures that the SIB has, SIB provides Federal assistance from the Circular 4220.113, "Third Party
to the maximum extent feasible, Transit Account,each subrecipient will Contracting Requirements,"and other
coordinated with other transportation have complied with the applicable implementing requirements FTA may
providers and users, and other transit employee protective provisions issue;a certification that its project
interested parties within the area. of 49 U.S.C. 5333(b)as required for that provides for the participation of private
K. The state assures that the SIB is in subrecipient and its project. mass transportation companies to the
compliance with all applicable civil O. The state assures that each maximum extent feasible;a certification
rights requirements (Category I.F, subrecipient has certified or will certify it has paid or will pay just
"Certifications and Assurances Required to the state that it will comply with compensation under state or local law to
of Each Applicant"). applicable provisions of 49 CFR part each private mass transportation
L. The state assures that the SIB will 604 in the provision of any charter company for its franchise or property
comply with applicable requirements of service provided with equipment or acquired under the project;a
U.S. DOT regulations on participation of facilities acquired with FTA assistance, nonprocurement suspension and
dis DOT programs and dvantaed business enterprises
provided and will also comply with applicable debarment certification;a bus testing
has P provisions of 49 CFR part 605 pertaining certification for new models;a pre-
the Disadvantaged Business Enterprise to school transportation operations award and post-delivery review
Assurance (Category I.G, "Certifications (Category VII, "Charter Service
and Assurances Required of Each Agreement,"and Category VIII, "School certification;and r a each lobbying
Applicant"). certification cing for 0; application
assurances
M. To the extent applicable, the state . Unless Transportation
e noted,the state exceeding for pro$100jects involving
FTA
will comply with all existing Federal assures that each of the subrecipient's property;
requires projects involving real
requirements regarding transportation of projects qualifies for a categorical ug program and if quired by on and an
elderly persons and persons with exclusion and does not require further alanti-drug n certification an
disabilities, The state assures that the environmental approvals,as described Certifications cohol testing certification.
SIB will provide to the state an inparagraphy and assurances applicable
Assurance of Nondiscrimination on the Unless otherwise f noted, the state V to and submitted by the subrecipient
Basis of Disability from each assures that each of the subrecipient's should a substantially certifications ti do the
subrecipient (Category I.H, projects qualifies for a categorical text of parallel and
''Certifications and Assurances Required exclusion and does not require further assurances of Categories I through XI of
of Each Applicant"). If non-accessible environmental approvals,as described this document,ac but modified as
vehicles are being purchased for use by in the joint FHWA/FTA regulations, necessary itop accommodate the c SIB and
a public entity in demand responsive "Environmental Impact and Related the subrecipient's circumstances.
service for the general public,the state Procedures,"at 23 CFR 771.117(c). The R.The state agrees and assures that
will obtain from the subrecipient a state certifies that the SIB will not the SIB and each subrecipient will agree
"Certification of Equivalent Service," provide financial assistance from the to permit FTA,U.S. DOT,and the
which states that the public entity's Transit Account for any project that Comptroller General to conduct audits
demand responsive service offered to does not qualify for a categorical to verify compliance with the foregoing
persons with disabilities, including exclusion described in 23 CFR requirements and stipulations.
persons who use wheelchairs, is 771.117(c) until FTA has made the
equivalent to the level and quality of required environmental finding. The Selection and Signature Pages Follow
service the public entity offers to state further certifies that the SIB will BILLING CODE a910-5]-r+
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