[Federal Register Volume 64, Number 25 (Monday, February 8, 1999)]
[Notices]
[Pages 6166-6176]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-2826]
[[Page 6165]]
_______________________________________________________________________
Part V
Department of Transportation
_______________________________________________________________________
Federal Transit Administration
_______________________________________________________________________
Over-the-Road Bus Accessibility Program Grants; Notice
Federal Register / Vol. 64, No. 25 / Monday, February 8, 1999 /
Notices
[[Page 6166]]
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Over-the-Road Bus Accessibility Program Grants
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice of availability of funds; solicitation of grant
applications.
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SUMMARY: The U.S. Department of Transportation (DOT) Federal Transit
Administration (FTA) announces the availability of funds for the Over-
the-road Bus (OTRB) Accessibility Program, authorized by Section 3038
of the Transportation Equity Act for the 21st Century (TEA-21). The
OTRB Accessibility Program makes funds available to private operators
of over-the-road buses to finance the incremental capital and training
costs of complying with DOT's over-the-road bus accessibility final
rule, published in a Federal Register Notice on September 24, 1998. The
OTRB Accessibility Program calls for national solicitation of
applications, with grantees to be selected on a competitive basis.
Federal funds are available for up to 50 percent of the project cost.
A total of $24.3 million is available for the program over the life
of TEA-21. The guaranteed level of funding available for intercity
fixed-route service is $2 million in fiscal year (FY) 1999 and FY 2000,
$3 million in FY 2001, and $5.3 million in FY 2002 and FY 2003, for a
total of $17.5 million. The guaranteed level of funding for other over-
the-road bus services, including charter and tour bus, is $1.7 million
per year from FY 2000 to FY 2003, for a total of $6.8 million.
For FY 1999, $2 million was appropriated for intercity fixed-route
service providers.
This announcement describes application procedures for the OTRB
Accessibility Program and the procedures FTA will use to determine
which projects it will fund. It includes all of the information needed
to apply for an OTRB Accessibility Program grant.
This announcement is available on the Internet on the FTA website
at http://www.fta.dot.gov/library/legal/otrbap.htm. This website will
also have commonly asked questions and answers. FTA will announce final
project selections on the website and in the Federal Register.
DATES: Complete applications for OTRB Accessibility Program grants must
be submitted to the appropriate FTA regional office (see Appendix A) by
the close of business April 16, 1999. The appropriate FTA regional
office is that office which serves the state in which an applicant's
headquarters office is located. FTA will announce grant selections in
June 1999, and we expect that grants will be made by September 30,
1999, the end of the Federal fiscal year. Applicants should not incur
costs prior to grant approval by FTA. FTA will accept comments on this
notice until March 10, 1999. Based on input, FTA may provide amending
or clarifying program information.
ADDRESSES: Comments and questions related to this notice can be made at
FTA's website, http://www.fta.dot.gov/library/legal/otrbap.htm, or can
be mailed or faxed to the following address: Sue Masselink, Federal
Transit Administration, Room 9315, 400 7th Street, S.W., Washington,
D.C. 20590 (FAX (202) 366-7951).
FOR FURTHER INFORMATION: Contact the appropriate FTA Regional
Administrator (Appendix A) for application-specific information and
issues. For general program information, contact Sue Masselink, Office
of Program Management, (202) 366-2053, e-mail:
[email protected]. A TDD is available at 1-800-877-8339 (TDD/
FIRS).
SUPPLEMENTARY INFORMATION
Table of Contents
I. General Program Information
II. Guidelines for Preparing Grant Applications
III. Submission of Applications
Appendix A. FTA Regional Offices
Appendix B. Sample Project Budget
Appendix C. Certifications and Assurances
Appendix D. Application Checklist
Appendix E. OMB Standard Form 424, ``Federal Assistance''
I. General Program Information
A. Authority
The program is authorized under Section 3038 of the Transportation
Equity Act for the 21st Century (TEA-21). Funds have been appropriated
for this program under the Omnibus Consolidated and Emergency
Supplemental Appropriations Act, Fiscal Year 1999, which includes
Appropriations for Department of Transportation and Related Agencies.
B. Background
Over-the-road buses are used predominantly in intercity service as
well as charter and tour bus services. These services are an important
element of the U.S. transportation system. TEA-21 authorizes FTA's new
Over-the-road Bus Accessibility Program to assist over-the-road bus
operators in complying with the Department's Over-the-road Bus
Accessibility rule, ``Transportation for Individuals with
Disabilities'' (49 CFR Part 37) published in a Federal Register notice
on September 24, 1998.
Summary of DOT's Over-the-Road Bus Accessibility Rule
Under the over-the-road bus accessibility rule, all new buses
obtained by large (Class I carriers, i.e., those with gross annual
operating revenues of $5.3 million or more), fixed-route carriers,
starting in 2000, must be accessible, with wheelchair lifts and tie-
downs that allow passengers to ride in their own wheelchairs. The rule
requires the fixed-route carriers' fleets to be completely accessible
by 2012. The buses acquired by small (gross operating revenues of less
than $5.3 million annually) fixed-route providers also are required to
be lift-equipped, although they do not have a deadline for total fleet
accessibility. Small providers also can provide equivalent service in
lieu of obtaining accessible buses. Starting in 2001, charter and tour
companies will have to provide service in an accessible bus on 48
hours' advance notice. Fixed-route companies must also provide this
kind of service on an interim basis until their fleets are completely
accessible.
Small carriers who provide mostly charter or tour service and also
provide a small amount of fixed-route service can meet all requirements
through 48-hour advance-reservation service.
Small carriers have an extra year to begin complying with the
requirements that apply to them starting in October 2001, compared to
October 2000 for large carriers.
Specifications describing the design features that an over-the-road
bus must have to be readily accessible to and usable by persons who use
wheelchairs or other mobility aids required by the ``Americans with
Disabilities Act Accessibility Guidelines for Transportation Vehicles:
Over-the-Road Buses'' rule (36 CFR Part 1192) were published in another
Federal Register Notice on September 28, 1998.
C. Scope
Improving mobility and shaping America's future by ensuring that
the transportation system is accessible, integrated, efficient and
offers flexibility of choices is a key strategic goal of the Department
of Transportation. Over-the-road Bus Accessibility projects will
improve mobility for individuals with disabilities by providing
financial assistance to help make vehicles accessible and provide
training to ensure that drivers and others understand how to use
accessibility
[[Page 6167]]
features as well as how to treat patrons with disabilities.
D. Eligible Applicants
Grants will be made directly to operators of over-the-road buses.
Only intercity, fixed-route over-the-road bus service providers may
apply for OTRB Accessibility program funds in fiscal year 1999.
Thereafter, other over-the-road bus service providers, including
operators of local fixed-route service, commuter service, and charter
or tour service may apply for funds appropriated for these providers.
Private for-profit operators of over-the-road buses are eligible to be
direct applicants for this program. This is a departure from the other
FTA programs in which the direct applicant must be a state or local
public body.
E. Vehicle and Service Definitions
An ``over-the-road bus'' is a bus characterized by an elevated
passenger deck located over a baggage compartment.
Intercity, fixed-route over-the-road bus service is regularly
scheduled bus service for the general public, using an over-the-road
bus that: operates with limited stops over fixed routes connecting two
or more urban areas not in close proximity or connecting one or more
rural communities with an urban area not in close proximity; has the
capacity for transporting baggage carried by passengers; and makes
meaningful connections with scheduled intercity bus service to more
distant points.
Other over-the-road bus service means any other transportation
using over-the-road buses, including local fixed-route service,
commuter service, and charter or tour service (including tour or
excursion service that includes features in addition to bus
transportation such as means, lodging, admission to points of interest
or special attractions).
F. Eligible Projects
Projects to finance the incremental capital and training costs of
complying with DOT's over-the-road bus accessibility rule (49 CFR Part
37) are eligible for funding. Capital projects eligible for funding
include adding lifts and other accessibility components to new vehicle
purchases, and purchasing lifts to retrofit existing vehicles.
Eligible training costs are those required by the final
accessibility rule as described in 49 CFR 37.209. These activities were
required under the interim OTRB accessibility rule and include training
in proper operation and maintenance of accessibility features and
equipment, boarding assistance, securement of mobility aids, sensitive
and appropriate interaction with passengers with disabilities, and
handling and storage of mobility devices. The costs associated with
developing training materials or providing training for local providers
of over-the-road bus services for these purposes are eligible expenses.
FTA has sponsored the development of accessibility training
materials for public transit operators. FTA-funded Project Action is a
national technical assistance program to promote cooperation between
the disability community and transportation industry. Project Action
provides training, resources and technical assistance to thousands of
disability organizations, consumers with disabilities, and
transportation operators. It maintains a resource center with the most
up-to-date information on transportation accessibility. Project Action
may be contacted at: Project Action, 700 Thirteenth Street, N.W., Suite
200, Washington, DC 20590, Phone: 1-800-659-6428, Internet address:
http://www.projectaction.org/.
G. Grant Criteria
FTA will award grants based on:
a. The identified need for over-the-road bus accessibility for
persons with disabilities in the areas served by the applicant;
b. The extent to which the applicant demonstrates innovative
strategies and financial commitment to providing access to over-the-
road buses to persons with disabilities;
c. The extent to which the over-the-road bus operator requires
equipment required by DOT's over-the-road bus accessibility rule prior
to the required timeframe in the rule;
d. The extent to which financing the costs of complying with DOT's
rule presents a financial hardship for the applicant; and
e. The impact of accessibility requirements on the continuation of
over-the-road bus service, with particular consideration of the impact
of the requirements on service to rural areas and for low-income
individuals.
H. Funding Availability
TEA-21 authorizes the OTRB Accessibility program for intercity
fixed-route service at a guaranteed level of $2 million in FY 1999 and
FY 2000, $3 million in FY 2001, and $5.3 million in FY 2002 and FY
2003. The guaranteed level of funding for other over-the-road bus
services is $1.7 million per year from FY 2000 through FY 2003. FTA
funds are available for up to 50 percent of the cost of a project.
There is no restriction on how much of each year's apportionment can be
used for either capital or training projects.
For FY 1999, $2 million has been appropriated for the intercity
fixed-route service providers.
I. Grant Requirements
The grant application must include documentation necessary to meet
the requirements of FTA's Nonurbanized Area Formula program (Section
5311 under Title 49, United States Code). Technical assistance
regarding these requirements is available in each FTA regional office.
For incremental capital costs, applicants must comply with all of the
Federal requirements described in this section, either when purchasing
wheelchair lifts and securement devices to retrofit existing vehicles,
or when purchasing new wheelchair accessible vehicles. When purchasing
new wheelchair accessible buses, these Federal requirements apply to
the purchase of the vehicle itself, not just the wheelchair lift or
securement devices. As lifts are normally purchased as part of a bus
procurement, Federal requirements that apply to the lift also apply to
the purchase of the bus. In particular, Buy America, labor protections,
pre-award and post-delivery reviews and bus testing will apply to the
total vehicle purchase, not just the lift.
Training costs are not subject to all requirements. For example,
labor protections, Buy America, pre-award and post-delivery reviews,
bus testing, and school transportation are not applicable to training
assistance.
1. Buy America. Federal funds may not be obligated for projects
unless steel, iron, and manufactured products used in such projects are
produced in the United States. Recipients of the OTRB Accessibility
program funds must conform with the FTA regulations, 49 CFR Part 661,
and any amendments thereto. There are four exceptions to the basic
requirement that may be the basis for a waiver. First, the requirement
will not apply if its application is not in the public interest.
Second, the requirement will not apply if materials and products being
procured are not produced in the United States in sufficient and
reasonably available quantities and of a satisfactory quality. Third,
the requirement will not apply in a case involving the procurement of
buses and other rolling stock if the cost of components and
subcomponents which are produced in the United States is more than 60
percent of the cost of all components and subcomponents of the vehicles
or equipment, and if final assembly takes place in the United States.
The meaning of final assembly is
[[Page 6168]]
further described in the FTA Guidance on Buy America Requirements,
dated March 18, 1997, which applies to all buses purchased with FTA
funds. Fourth, the requirement will not apply if the inclusion of
domestic material will increase the overall project contract by more
than 25 percent. Buy America waivers under the non-availability, price
differential, and public interest exceptions require FTA approval, but
the waiver for rolling stock meeting the domestic content and final
assembly requirements does not. FTA has issued a general waiver for
selected items, including all purchases under the Federal small
purchase threshold, which is $100,000.
2. Labor Protection. Before FTA may award a grant for capital
assistance, 49 U.S.C. 5333(b) requires that fair and equitable
arrangements must be made to protect the interests of transit employees
affected by FTA assistance. Those arrangements must be certified by the
Secretary of Labor as meeting the requirements of the statute. When a
labor organization represents a group of affected employees in the
service area of an FTA project, the employee protective arrangement is
usually the product of negotiations or discussions with the union. The
grant applicant can facilitate Department of Labor (DOL) certification
by identifying in the application any previously certified protective
arrangements that have been applied to similar projects undertaken by
the grant applicant. Upon receipt of a grant application requiring
employee protective arrangements, FTA will transmit the application to
DOL and request certification of the employee protective arrangements.
In accordance with DOL guidelines, DOL notifies the relevant unions in
the area of the project that a grant for assistance is pending and
affords the grant applicant and union the opportunity to agree to an
arrangement establishing the terms and conditions of the employee
protections. If necessary, DOL furnishes technical and mediation
assistance to the parties during their negotiations. The Secretary of
Labor may determine the protections to be certified if the parties do
not reach an agreement after good faith bargaining and mediation
efforts have been exhausted. DOL will also set the protective
conditions when affected employees in the service area are not
represented by a union. When DOL determines that employee protective
arrangements comply with labor protection requirements, DOL will
provide a certification to FTA. The grant agreement between FTA and the
grant applicant incorporates by reference the employee protective
arrangements certified by DOL.
Questions concerning employee protective arrangements and related
matters pertaining to transit employees should be addressed to the
Division of Statutory Programs, Department of Labor, 200 Constitution
Avenue, NW, Room N-5411, Washington, DC 20210; telephone (202) 693-
0126, fax (202) 219-5338.
3. Competitive Procurement. Federal procurement requirements apply
to FTA funds awarded to state and local governments and private
nonprofit agencies under 49 CFR Parts 18 and 19. To the extent a direct
recipient of FTA funds under this program is a private for-profit
entity, the Federal procurement requirements do not apply.
4. Debarment, Suspension and Other Responsibility matters. Pursuant
to Executive Order 12549; 41 U.S.C. 701; and 49 CFR Part 29, grantees
must ensure that FTA funds are not given to anyone who has been
debarred, suspended, or declared ineligible or voluntarily excluded
from participation in federally assisted transactions. The burden of
disclosure is on those debarred or suspended. The U.S. General Services
Administration (GSA) issues a document titled ``Lists of Parties
Excluded from Federal Procurement or Nonprocurement Programs'' monthly.
The list is available on the GSA website (http//www.gsa.gov/index). If
at any time the grantee or other covered entity learns that a
certification it made or received was erroneous when submitted or if
circumstances have changed, disclosure to FTA is required.
5. Drug-Free Workplace. Grantees must maintain a drug-free
workplace for all employees and have an anti-drug policy and awareness
program. The grant applicant must certify to FTA that it will provide a
drug-free workplace and comply with all requirements of the Drug-Free
Workplace Act of 1988 (Public Law 100-690) and U.S. DOT's implementing
regulations, 49 CFR Part 29, Subpart F. The grantee is required to
provide a written Drug-Free Workplace policy statement notifying
employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the
workplace and stating specific actions that will be taken for
violations. The ongoing drug-free awareness program must inform
employees about the dangers of drug abuse; about any available drug
counseling, rehabilitation, and employee assistance programs; about
penalties that may be imposed; and that employees are to be aware that
the recipient operates a drug-free workplace. An employee of an FTA
grantee is required to report in any conviction for a violation of
criminal drug statute occurring in the workplace, and the grantee/
employer is required to provide written notice to FTA within 10 days of
having received the notice. Within 30 days of receiving the notice of a
conviction, the grantee/employer must have taken appropriate action
against the employee or have required participation in a drug abuse
assistance or rehabilitation program.
6. Nondiscrimination requirements. 49 U.S.C. section 5332 states
that ``a person (defined broadly) may not be excluded from
participating in, denied a benefit of, or discriminated against, under
a project, program, or actively receiving financial assistance (from
FTA) because of race, color, creed, national origin, sex, or age.''
7. Title VI. Grantees must assure FTA that transit services and
benefits obtained with FTA assistance will be provided in a
nondiscriminatory manner, without regard to race, color, or national
origin.
8. Disadvantaged Business Enterprise. Grantees must assure FTA that
disadvantaged business enterprises (DBEs) are provided the maximum
opportunity to compete for FTA-assistance contracts and procurements.
9. Equal Employment Opportunity (EEO). The grantee must assure that
it will notdiscriminate against any employee or applicant for
employment because of race, color, creed, sex, disability, age or
national origin. The grantee agrees to take affirmative action to
ensure that applicants are employed and that employees are treated
during employment, without regard to their race, color, creed, sex,
disability, age, or national origin.
10. Americans with Disabilities Act and Section 504. Compliance
with the Americans with Disabilities Act of 1990 (ADA) (Public Law 101-
336) and Section 504 of the Rehabilitation Act of 1973, as amended, are
eligibility requirements for Federal financial assistance. Section 504
prohibits discrimination on the basis of handicap by recipients of
Federal financial assistance. The ADA prohibits discrimination against
persons with disabilities in the provision of transportation services.
11. Restrictions on Lobbying. Federal financial assistance may not
be used to influence any member of Congress or an officer or employee
of any agency in connection with the making of any Federal contract,
grant, or cooperative agreement. The state, subrecipients, and third
party contractors at any tier
[[Page 6169]]
awarded FTA assistance exceeding $100,000 must sign a certification so
stating and also must disclose the expenditure of non-Federal funds for
such purposes (49 CFR Part 20). Other Federal laws also govern lobbying
activities. For example, Federal funds may not be used for lobbying
congressional representatives or senators indirectly, such as by
contributing to a lobbying organization or funding a grass-roots
campaign to influence legislation (31 U.S.C. Section 1352). General
advocacy for over-the-road bus transportation and providing information
to legislators about the services a recipient provides are not
prohibited, nor is using non-Federal funds for lobbying, so long as the
required disclosures are made.
12. Pre-award and Post-delivery reviews. Pursuant to 49 USC
5323(l), procurements for vehicles, other than sedans or unmodified
vans, must be audited in accordance with FTA regulation, ``Pre-Award
and Post-Delivery Audits of Rolling Stock Purchases,'' 49 CFR Part 663.
Additional guidance is available in a manual, ``Conducting Pre-Award
and Post-Delivery Reviews for Bus Procurement,'' published May 1, 1995.
The regulation requires that any recipient who purchases rolling stock
for use in revenue service with funds obligated after October 24, 1991,
conduct a pre-award and post-delivery review to assurance compliance
with its bid specifications, Buy America requirements, and Federal
Motor Vehicle Safety requirements, and to complete certifications.
Purchase of more than ten vehicles, other than unmodified vans or
sedans, requires in-plant inspection.
13. Bus Testing. Pursuant to 49 USC 5323(c), all new bus models
purchased with FTA funds must be tested in accordance with 49 USC 5318
and 49 CFR part 665, before FTA funds can be expended to acquire them.
Purchasers of new model buses should ensure that the manufacturer has
complied with the testing requirements by requesting a copy of the bus
testing report from the Altoona Bus Testing Center, 6th Avenue and 45th
Street, Altoona, Pennsylvania 16602. The telephone number is (814) 949-
7944.
14. School Transportation. 49 USC 5323(f) prohibits the use of FTA
funds for exclusive school bus transportation for school students and
school personnel. The implementing regulation (49 CFR part 603) does
permit regular service to be modified to accommodate school students
along with the general public.
15. Environmental Protection. Neither capital costs associated with
making vehicles wheelchair accessible nor training costs involve
significant environmental impacts. Projects that do not involve
significant environmental impacts are considered ``categorical
exclusions'' in FTA's procedures because they have been categorically
excluded from FTA's requirements to prepare environmental
documentation. (49 USC part 622, incorporating 23 CFR part 771).
16. Planning. Applicants are encouraged to notify the appropriate
state departments of transportation and metropolitan planning
organizations (MPO) in areas likely to be served by equipment made
accessible through funds made available in this program. Those
organizations, in turn, should take appropriate steps to inform the
public and individuals requiring fully accessible services in
particular, of operators' intentions to expand the accessibility of
their services. Incorporation of funded projects in the plans and
transportation improvement programs of states and metropolitan areas by
States and MPOs also is encouraged, but is not required.
II. Guidelines for Preparing Grant Application
FTA is conducting a national solicitation for applications under
the OTRB Accessibility program. Grant awards will be made on a
competitive basis. Although most FTA grant applications are now
submitted electronically, paper applications for the OTRB Accessibility
program will be accepted. An original and two copies of the application
must be submitted to the appropriate FTA Regional Office. The OTRB
operators should submit the application to the office in the region in
which its headquarters office is located. The application should
provide information on all items for which you are requesting funding
in FY 1999. The application must include the following elements:
1. Transmittal Letter
This addresses basic identifying information including:
a. Grant applicant
b. Contact name and phone number
c. Amount of grant request
2. Project Eligibility
Every application must:
a. Described the applicant's technical, legal, and financial
capacity to implement the proposed projects.
b. Document matching funds, including amount and source.
c. Include OMB Standard Form 424, ``Federal Assistance,'' which is
a multi-purpose form that must be completed in its entirety. The forms
are available from the FTA regional offices.
3. Project Information
Provide a summary of project activities for which you are
requesting funds. The summary should include:
a. Each project's time line, including significant milestones such
as date of contract for purchase of vehicle(s), and expected delivery
of vehicle(s).
b. Project budget (see Appendix B).
4. Project Narrative
Provide the information identified below to support your
application. Grants will be awarded competitively based upon the
following criteria:
a. The identified need for over-the-road bus accessibility for
persons with disabilities in the areas served by the applicant;
b. The extent to which the applicant demonstrates innovative
strategies and financial commitment to providing access to over-the-
road buses to persons with disabilities;
c. The extent to which the over-the-road bus operators acquires
equipment required by DOT's over-the-road bus accessibility rule prior
to the required timeframe in the rule;
d. The extent to which financing the costs of complying with DOT's
rule presents a financial hardship for the applicant; and
e. The impact of accessibility requirements on the continuation of
over-the-road bus service, with particular consideration of the impact
of the requirements on service to rural areas and for low-income
individuals.
III. Grant Review Process
Applications are to be submitted to the appropriate FTA Regional
Office by the close of business on April 16, 1999. FTA will screen all
applications to determine whether all required eligibility elements, as
described in Section 2 of the application, are present. An FTA task
force will evaluate each application according to the criteria
described in this announcement.
A. Notification
FTA will notify all applicants for funding in June 1999. Grants are
expected to be made by September 30, 1999, the end of Federal fiscal
year 1999. FTA is committed to obligating FY 1999 OTRB Accessibility
program funds expeditiously. Therefore, FTA urges applicants to develop
and submit with their applications complete documentation necessary to
meet the
[[Page 6170]]
applicable FTA Section 5311 requirements.
Issued on February 2, 1999.
Gordon J. Linton,
Administrator.
Appendix A--FTA Regional Offices
Region I--Massachusetts, Rhode Island, Connecticut, New Hampshire,
Vermont and Maine
Richard H. Doyle, FTA Regional Administrator, Volpe National
Transportation Systems Center, Kendall Square, 55 Broadway, Suite
920, Cambridge, MA 02142-1093, (617) 494-2055
Region II--New York, New Jersey, Virgin Islands
Letitia Thompson, FTA Regional Administrator, 26 Federal Plaza,
Suite 2940, New York, NY 10278-0194, (212) 264-8162
Region III--Pennsylvania, Maryland, Virginia, West Virginia,
Delaware, Washington, DC
Sheldon Kinbar, FTA Regional Administrator, 1760 Market Street,
Suite 500, Philadelphia, PA 19103-4124, (215) 656-7100
Region IV--Georgia, North Carolina, South Carolina, Florida,
Mississippi, Tennessee, Kentucky, Alabama, Puerto Rico
Susan Schruth, FTA Regional Administrator, 61 Forsyth Street, S.W.,
Suite 17T50, Atlanta, GA 30303, (404) 562-3500
Region V--Illinois, Indiana, Ohio, Wisconsin, Minnesota, Michigan
Joel Ettinger, FTA Regional Administrator, 200 West Adams Street,
Suite 2410, Chicago, IL 60606-5232, (312) 353-2789
Region VI--Texas, New Mexico, Louisiana, Arkansas, Oklahoma
Lee Waddleton, FTA Regional Administrator, 819 Taylor Street, Room
8A36, Ft. Worth, TX 76102, (817) 978-0550
Region VII--Iowa, Nebraska, Kansas, Missouri
Mokhtee Ahmad, FTA Regional Administrator, 6301 Rockhill Road, Suite
303, Kansas City, MO 64131-1117, (816) 523-0204
Region VIII--Colorado, North Dakota, South Dakota, Montana,
Wyoming, Utah
Louis Mraz, FTA Regional Administrator, Columbine Place, 216 16th
Street, Suite 650, Denver, CO 80202-5120, (303) 844-3242
Region IX--California, Arizona, Nevada, Hawaii, American Samoa,
Guam
Leslie Rogers, FTA Regional Administrator, 201 Mission Street, Suite
2210, San Francisco, CA 94105-1831, (415) 744-3133
Region X--Washington, Oregon, Idaho, Alaska
Helen Knoll, FTA Regional Administrator, Jackson Federal Building,
915 Second Avenue, Suite 3142, Seattle, WA 98174-1002, (206) 220-
7954
GRANTEE: Hillsdale Bus Company
PROJECT: OR-38-0001
----------------------------------------------------------------------------------------------------------------
Eligible
Scope Activity Federal share project cost
----------------------------------------------------------------------------------------------------------------
111-01.................................... BUS ROLLING STOCK.
11.42.43 INCREMENTAL COST OF LIFT $15,000 $30,000
QUANTITY: 1.
11.44.43 RETROFIT VEHICLE WITH LIFT 22,000 44,000
QUANTITY 1.
117-00.................................... BUS--OTHER.
11.7E.01 TRAINING................... 10,000 20,000
ELIGIBLE PROJECT COST............... 94,000 ..............
FEDERAL SHARE....................... 47,000 ..............
APPLICANT SHARE..................... 47,000
----------------------------------------------------------------------------------------------------------------
Appendix C--Certifications and Assurances for Over-the-Road Bus
Accessibility Program Grants
Before FTA may aware a Federal grant agreement, the applicant
must provide to FTA all certifications and assurances required by
Federal laws and regulations for the applicant or its project. This
Appendix provides the text of certifications and assurances required
by Federal law, regulations, or directives for the Over-the-road Bus
Accessibility Program.
Included at the end of this document is a single signature page
on which the applicant and its attorney certify compliance with all
certifications and assurances applicable to each project for which
the applicant is applying.
An applicant's Annual Certifications and Assurances applicable
to a specific grant generally remain in effect for the life of the
grant to closeout, or the life of the project or project property
when a useful life or standard industry life is in effect. If in a
later year, however, the Applicant provides certifications and
assurances that differ from the certifications and assurances
previously made, the later certifications and assurances will apply
to the grant, project, or project property, except as FTA otherwise
permits.
Procedures
Following is a detailed compilation of Certifications and
Assurances and the Signature Page. The Signature Page is to be
signed by the applicant's authorized representative and its
attorney. It is to be submitted to the appropriate regional office
along with the applicant's grant application.
All applicants are advised to read the entire list of
Certifications and Assurances to be confident of their
responsibilities and commitments. The applicant may signify
compliance with all Categories by placing a single ``X'' in the
appropriate space at the top of the Signature Selection Page.
The Signature Page, once properly signed and submitted to FTA,
assures FTA that the applicant intends to comply with the
requirements for the Over-the-road Bus Accessibility Program. All
applicants must read the selection portion and the signature portion
of this document and signify compliance by marking, where
appropriate, with an ``X'' on the category selection side, and then
signifying compliance as indicated. The applicant should not
hesitate to consult with the appropriate FTA Regional Office before
submitting its certifications and assurances.
References
The Transportation Equity Act for the 21st Century, Pub. L. 105-
178, June 9, 1998, as amended by the TEA-21 Restoration Act 105-206,
112 Stat. 685, July 22, 1998, 49 U.S.C. chapter 53, Title 23 U.S.C.,
U.S. DOT and FTA regulations under 49 CFR, and FTA Circulars.
Over-the-road Bus Accessibility Program Certifications and
Assurances
In accordance with 49 U.S.C.5323(n), the following
certifications and assurances have been compiled for the Over-the-
road Bus Accessibility program. FTA requests each Applicant provide
as many of the following certifications and assurances as needed to
cover the types of projects for which the Applicant is seeking FTA
assistance. The categories of certifications and assurances are
listed by Roman numerals I through V on one side of the Signature
Page of this document. Categories II through V will apply to some,
but not necessarily all, applicants. The designation of the
categories corresponds to the circumstances mandating submission of
specific certifications, assurances, or agreements.
I. Certifications and Assurances Required of Each Applicant
Each Applicant for Over-the-road Bus Accessibility funding
assistance awarded by FTA must provide all certifications and
assurances in this Category I. Accordingly, FTA may not award any
Federal assistance until the Applicant provides assurance of
[[Page 6171]]
compliance by selecting Category I on the Signature Page at the end
of this document.
A. Authority of Applicant and Its Representative
The authorized representative of the Applicant and legal counsel
who sign these certifications, assurances, and agreements attest
that both the Applicant and its authorized representative have
adequate authority under state and local law and the by-laws or
internal rules of the Applicant organization to:
(1) Execute and file the application for Federal assistance on
behalf of the Applicant,
(2) Execute and file the required certifications, assurances,
and agreements on behalf of the Applicant binding the Applicant, and
(3) Execute grants with FTA on behalf of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable
Federal statutes, regulations, executive orders, FTA circulars, and
other Federal administrative requirements in carrying out any
project supported by an FTA grant. The Applicant acknowledges that
it is under a continuing obligation to comply with the terms and
conditions of the grant issued for its project with FTA. The
Applicant understands that Federal laws, regulations, policies, and
administrative practices might be modified from time to time and
affect the implementation of the project. The Applicant agrees that
the most recent Federal requirements will apply to the project,
unless FTA issues a written determination otherwise.
C. Debarment, Suspension, and Other Responsibility Matters--Primary
Covered Transactions
As required by U.S. DOT regulations on Governmentwide Debarment
and Suspension (Nonprocurement) at 49 CFR 29.510:
(1) The Applicant (Primary Participant) certifies, to the best
of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not, within a three-year period preceding this
certification, been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a
public (Federal, state, or local) transaction or contract under a
public transaction, violation of Federal or state antitrust
statutes, or commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements, or
receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, state, or local)
with commission of any of the offenses listed in subparagraph (1)(b)
of this certification; and
(d) Have not within a three-year period preceding this
certification had one or more public transactions (Federal, state,
or local) terminated for cause or default.
(2) The Applicant also certifies that, if it later becomes aware
of any information contradicting the statements of paragraph (1)
above, it will promptly provide that information to FTA.
(3) If the Applicant (Primary Participant) is unable to certify
to the statements in paragraphs (1) and (2) above, it shall indicate
so on its Signature Page and provide a written explanation to FTA.
D. Drug-Free Workplace Agreement
As required by U.S. DOT regulations, ``Drug-Free Workplace
Requirements (Grants),'' 49 CFR Part 29, Subpart F, as modified by
41 U.S.C. 702, the Applicant agrees that it will provide a drug-free
workplace by:
(1) Publishing a statement notifying its employees that the
unlawful manufacture, distribution, dispensing, possession, or use
of a controlled substance is prohibited in its workplace and
specifying the actions that will be taken against its employees for
violation of that prohibition;
(2) Establishing an ongoing drug-free awareness program to
inform its employees about:
(a) The dangers of drug abuse in the workplace,
(b) Its policy of maintaining a drug-free workplace,
(c) Any available drug counseling, rehabilitation, and employee
assistance programs, and
(d) The penalties that may be imposed upon its employees for
drug abuse violations occurring in the workplace;
(3) Making it a requirement that each of its employees to be
engaged in the performance of the grant or cooperative agreement be
given a copy of the statement required by paragraph (1);
(4) Notifying each of its employees in the statement required by
paragraph (1) that, as a condition of employment financed with
Federal assistance provided by the grant or cooperative agreement,
the employee will be required to:
(a) Abide by the terms of the statement, and
(b) Notify the employer (Applicant) in writing of any conviction
for a violation of a criminal drug statute occurring in the
workplace no later than 5 calendar days after that conviction;
(5) Notifying FTA in writing, within 10 calendar days after
receiving notice required by paragraph (4)(b) above from an employee
or otherwise receiving actual notice of that conviction. The
Applicant, as employer of any convicted employee, must provide
notice, including position title, to every project officer or other
designee on whose project activity the convicted employee was
working. Notice shall include the identification number(s) of each
affected grant or cooperative agreement.
(6) Taking one of the following actions within 30 calendar days
of receiving notice under paragraph (4)(b) above with respect to any
employee who is so convicted:
(a) Taking appropriate personnel action against that employee,
up to and including termination, consistent with the requirements of
the Rehabilitation Act of 1973, as amended, or
(b) Requiring that employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, state, or local health, law enforcement, or
other appropriate agency.
(7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3),
(4), (5), and (6) above.
The Applicant agrees to maintain a list identifying its
headquarters location and each workplace it maintains in which
project activities supported by FTA are conducted, and make that
list readily accessible to FTA.
E. Intergovernmental Review Assurance
The Applicant assures that each application for Federal
assistance submitted to FTA has been or will be submitted, as
required by each State, for intergovernmental review to the
appropriate State and local agencies. Specifically, the Applicant
assures that it has fulfilled or will fulfill the obligations
imposed on FTA by U.S. DOT regulations, ``Intergovernmental Review
of Department of Transportation Programs and Activities,'' 49 CFR
part 17.
F. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on
the basis of race, color, creed, national origin, sex, or age, and
prohibits discrimination in employment or business opportunity),
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000d, and U.S. DOT regulations, ``Nondiscrimination in Federally-
Assisted Programs of the Department of Transportation--Effectuation
of Title VI of the Civil Rights Act,'' 40 CFR part 21 at 21.7, the
Applicant assures that it will comply with all requirements of 49
CFR part 21; FTA Circular 4702.1, ``Title VI Program Guidelines for
Federal Transit Administration Recipients'', and other applicable
directives, so that no person in the United States, on the basis of
race, color, national origin, creed, sex, or age will be excluded
from participation in, be denied the benefits of, or otherwise be
subjected to discrimination in any program or activity (particularly
in the level and quality of transportation services and
transportation-related benefits) for which the Applicant receives
Federal assistance awarded by the U.S. DOT or FTA as follows:
(1) The Applicant assures that each project will be conducted,
property acquisitions will be undertaken, and project facilities
will be operated in accordance with all applicable requirements of
49 U.S.C. 5332 and 49 CFR part 21, and understands that this
assurance extends to its entire facility and to facilities operated
in connection with the project.
(2) The Applicant assures that it will take appropriate action
to ensure that any transferee receiving property financed with
Federal assistance derived from FTA will comply with the applicable
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
(3) The Applicant assures that it will promptly take the
necessary actions to effectuate this assurance, including notifying
the public that complaints of discrimination
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in the provision of transportation-related services or benefits may
be filed with U.S. DOT or FTA. Upon request by U.S. DOT or FTA, the
Applicant assures that it will submit the required information
pertaining to its compliance wit these requirements.
(4) The Applicant assures that it will make any changes in its
49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or
FTA may request.
(5) As required by 49 CFR 21.7(a)(2), the Applicant will include
in each third party contract or subagreement appropriate provisions
to impose the requirements of 49 U.S.C. 5332 and 49 CFR part 21, and
include appropriate provisions imposing those requirements in deeds
and instruments recording the transfer of real property, structures,
improvements.
G. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, ``Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or Benefiting
from Federal Financial Assistance,'' at 49 CFR part 27, implementing
the Rehabilitation Act of 1973, as amended, and the Americans with
Disabilities Act of 1990, as amended, the Applicant assures that, as
a condition to the approval or extension of any Federal assistance
awarded by FTA to construct any facility, obtain any rolling stock
or other equipment, undertake studies, conduct research, or to
participate in or obtain any benefit from any program administered
by FTA, no otherwise qualified person with a disability shall be,
solely by reason of that disability, excluded from participation in,
denied the benefits of, or otherwise subjected to discrimination in
any program or activity receiving or benefiting from Federal
assistance administered by the FTA or any entity within U.S. DOT.
The applicant assure that project implementation and operations so
assisted will comply with all applicable requirements of U.S. DOT
regulations implementing the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, and the Americans with Disabilities Act of 1990, as
amended, 42 U.S.C. 12101 et seq. at 49 CFR parts 27, 37, and 38, and
any applicable regulations and directives issued by other Federal
departments or agencies.
I. Certifications Prescribed by the Office of Management and Budget
(SF-424B and SF-424D)
The Applicant certifies that it:
(1) Has the legal authority to apply for Federal assistance and
the institutional, managerial, and financial capability (including
funds sufficient to pay the non-Federal share of project cost) to
ensure proper planning, management, and completion of the project
described in its application.
(2) Will give FTA, the Comptroller General of the United States
and, if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
(3) Will establish safeguards to prohibit employees form using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest or
personal gain.
(4) Will initiate and complete the work within the applicable
project time periods following receipt of FTA approval.
(5) Will comply with all statutes relating to nondiscrimination
including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which
prohibits discrimination on the basis of race, color, or national
origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20
U.S.C. 1681, 1683, and 1685 through 1687, which prohibits
discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, which prohibits discrimination on the basis of
handicaps;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 through 6107, which prohibits discrimination on the basis of
age;
(e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, relating to
nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention
Act of 1970, Pub. L. 91-616, Dec. 31, 1970, and amendments thereto,
relating to nondiscrimination on the basis of alcohol abuse or
alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C.
290dd-3 and 290ee-3, related to confidentiality of alcohol and drug
abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq.,
relating to nondiscrimination in the sale, rental, or financing of
housing;
(i) Any other nondiscrimination provisions in the specific
statutes under which Federal assistance for the project may be
provided including, but not limited to section 1101(b) of the
Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note,
which provides for participation of disadvantaged business
enterprises in FTA programs; and
(j) The requirements of any other nondiscrimination statute(s)
that may apply to the project.
(6) Will comply, or has complied, with the requirements of
Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended, (Uniform
Relocation Act) 42 U.S.C. 4601 et seq., which provide for fair and
equitable treatment of persons displaced or whose property is
acquired as a result of Federal or federally-assisted programs.
These requirements apply to all interests in real property acquired
for project purposes regardless of Federal participation in
purchases. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases. As required by U.S. DOT regulations,
``Uniform Relocation Assistance and Real Property Acquisition for
Federal and Federally assisted Programs,'' at 49 CFR 24.4, and
sections 210 and 305 of the Uniform Relocation Act, 42 U.S.C. 4630
and 4655, the Applicant assures that it has the requisite authority
under applicable state and local law and will comply or has complied
with the requirements of the Uniform Relocation Act, 42 U.S.C. 4601
et seq., and U.S. DOT regulations, ``Uniform Relocation Assistance
and Real Property Acquisition for Federal and Federally Assisted
Programs,'' 49 CFR 24 including, but not limited to the following:
(a) The Applicant will adequately inform each affected person of
the benefits, policies, and procedures provided for in 49 CFR part
24;
(b) The Applicant will provide fair and reasonable relocation
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624;
49 CFR part 24; and any applicable FTA procedures, to or for
families, individuals, partnerships, corporations or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs
offering the services described in 42 U.S.C. 4625 to such displaced
families, individuals, partnerships, corporations or associations in
the manner provided in 49 CFR part 24 and FTA procedures;
(d) Within a reasonable time before displacement, the Applicant
will make available comparable replacement dwellings to displaced
families and individuals as required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such
a manner as to provide displaced persons with uniform and consistent
services, and will make available replacement housing in the same
range of choices with respect to such housing to all displaced
persons regardless of race, color, religion, or national origin;
(f) In acquiring real property, the Applicant will be guided to
the greatest extent practicable under state law, but the real
property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for
necessary expenses as specified in 42 U.S.C. 4653 and 4654,
understanding that FTA will participate in the Applicant's costs of
providing those payments and that assistance for the project as
required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party
contracts and subagreements financed with FTA assistance and
execute, furnish, and be bound by such additional documents as FTA
may determine necessary to effectuate or implement the assurances
provided herein, and
(i) The Applicant agrees to make these assurances part of or
incorporate them by reference into any third party contract or
subagreement, or any amendments thereto, relating to any project
financed by FTA involving relocation or land acquisition and provide
in any affected document that these relocation and land acquisition
provisions shall supersede any conflicting provisions,
(7) Will comply, as applicable, with provisions of the Hatch
Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, which limit
the political activities of state and local agencies and their
officers and employees whose principal employment activities are
financed in whole or part with Federal funds including a Federal
loan, grant, or cooperative agreement, but does not apply to
[[Page 6173]]
a nonsupervisory employee of a transit system (or of any other
agency or entity performing related functions) receiving FTA
assistance to whom the Hatch Act does not otherwise apply.
(8) To the extent applicable will comply with the Davis-Bacon
Act, as amended, 40 U.S.C. 276a through 276a(7), the Copeland Act,
as amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the Contract Work
Hours and Safety Standards Act, as amended, 40 U.S.C. 327 through
333, regarding labor standards for federally-assisted subagreements.
(9) To the extent applicable, will comply with flood insurance
purchase requirements of section 102(a) of the Flood Disaster
Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), which
requires recipients in a special flood hazard area to participate in
the program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
(10) Will comply with environmental standards that may be
prescribed to implement the following Federal laws and executive
orders.
(a) Institution of environmental quality control measures under
the National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321 et seq. and Executive Order No. 11514, as amended, 42 U.S.C.
4321 note;
(b) Notification of violating facilities pursuant to Executive
Order No. 11738, 42 U.S.C. 7606 note;
(c) Protection of wetlands pursuant to Executive Order No.
11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards of floodplains in accordance
with Executive Order 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972, as amended, 16 U.S.C. 1451 et seq.;
(f) Conformity of Federal actions to State (Clean Air)
Implementation Plans under section 176(c) of the Clean Air Act of
1955, as amended, 42 U.S.C. 7401 et seq.;
(g) Protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et
seq.;
(h) Protection of endangered species under the Endangered
Species Act of 1973, as amended, Endangered Species Act of 1973, as
amended, 16 U.S.C. 1531 et seq.; and
(i) Environmental protections for Federal transit programs,
including, but no limited to protections for a park, recreation
area, or wildlife or waterfowl refuge of national, state, or local
significance or any land from a historic site of a national, state,
or local significance used in a transit project as required by 49
U.S.C. 303.
(11) Will comply with the Wild and Scenic Rivers Act of 1968, as
amended, 15 U.S.C. 1271 et seq. relating to protecting components of
the national wild and scenic rivers systems.
(12) Will assist FTA in assuring compliance with section 106 of
the National Historic Preservation Act of 1966, as amended, 16
U.S.C. 470f, Executive Order No. 11593 (identification and
protection of historic properties), 16 U.S.C. 470 note, and the
Archaeological and Historic Preservation Act of 1974, as amended, 16
U.S.C. 469a-I et seq.
(13) Will comply with the Lead-Based Paint Poisoning Prevention
Act, 42 U.S.C. 4801, which prohibits the use of lead-based paint in
construction or rehabilitation of residence structures.
(14) Will not dispose of, modify the use of, or change the terms
of the real property title, or other interest in the site and
facilities on which a construction project supported with FTA
assistance takes place without permission and instruction from the
awarding agency. Will record the Federal interest in the title of
real property in accordance with FTA directives and will include a
covenant in the title of real property acquired in whole or in part
with Federal assistance funds to assure nondiscrimination during the
useful life of the project.
(15) Will comply with FTA requirements concerning the drafting,
review, and approval of construction plans and specifications of any
construction project supported with FTA assistance. As required by
U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before
accepting delivery of any building financed with FTA assistance, it
will obtain a certificate of compliance with the seismic design and
construction requirements of 49 CFR part 41.
(16) Will provide and maintain competent and adequate
engineering supervision at the construction site of any project
supported with FTA assistance to ensure that the complete work
conforms with the approved plans and specifications and will furnish
progress reports and such other information as may be required by
FTA or the State.
(17) Will comply with the National Research Act, Pub. L. 93-348,
July 12, 1974, as amended, regarding the protection of human
subjects involved in research, development, and related activities
supported by the FTA assistance.
(18) Will comply with the Laboratory Animal Welfare Act of 1966,
as amended, 7 U.S.C. 2131 et seq. pertaining to the care, handling,
and treatment of warm blooded animals held for research, teaching,
or other activities supported by FTA assistance.
(19) Will have performed the required financial and compliance
audits in accordance with the Single Audit Act Amendments of 1996,
31 U.S.C. 7501 et seq. and OMB Circular No. A-133, ``Audits of
States, Local Governments, and Non-Profit Organizations.''
(20) Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies governing
the project.
II. Lobbying Certification for an Application Exceeding $100,000
An Applicant that submits an application for Federal assistance
exceeding $100,000 must provide the following certification. FTA may
not provide Federal assistance for an application exceeding $100,000
until the Applicant provides this certification by selecting
Category II on the Signature Page.
A. As required by U.S. DOT regulations, ``New Restrictions on
Lobbying,'' at CFR 20.110, the Applicant's authorized representative
certifies to the best of his or her knowledge and belief that for
each application for a Federal assistance exceeding $100,000:
(1) No Federal appropriated funds have been or will be paid, by
or on behalf of the Applicant, to any person for influencing or
attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress pertaining to the award of any
Federal assistance, or the extension, continuation, renewal,
amendment, or modification of any Federal assistance agreement; and
(2) If any funds other than Federal appropriated funds have been
or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with any application to FTA for
Federal assistance, the Applicant assures that it will complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,''
including the information required by the form's instructions, which
may be amended to omit such information as permitted by 31 U.S.C.
1352.
B. The Applicant understands that this certification is a
material representation of fact upon which reliance is placed and
that submission of this certification is a prerequisite for
providing Federal assistance for a transaction covered by 31 U.S.C.
1352. The Applicant also understands that any person who fails to
file a required certification shall be subject to a civil penalty of
not less than $10,000 and not more than $100,000 for each such
failure.
III. Certification of Pre-Award and Post-Delivery Reviews Required
for Acquisition of Rolling Stock
An Applicant seeking FTA assistance to purchase rolling stock
must provide the following certification. FTA may not provide
assistance for any rolling stock acquisition until the Applicant
provides this certification by selecting Category III on the
Signature Page.
As required by 49 U.S.C. 5323(m), and implementing FTA
regulations at 49 CFR 663.7, the Applicant certifies that it will
comply with the requirements of 49 CFR part 663, in the course of
purchasing revenue service rolling stock. Among other things, the
Applicant will conduct or cause to be conducted the prescribed pre-
award and post-delivery reviews, and will maintain on file the
certifications required by 49 CFR part 663, subparts B, C, and D.
IV. Bus Testing Certification Required for New Bus Acquisitions
An Applicant seeking FTA assistance to acquire new buses must
provide the following certification. FTA may not provide assistance
for the acquisition of new buses until the Applicant provides this
certification by selecting Category IV on the Signature Page.
As required by FTA regulations, ``Bus Testing,'' at 49 CFR
665.7, the Applicant
[[Page 6174]]
certifies that before expending any Federal assistance to acquire
the first bus of any new bus model or any bus model with a new major
change in configuration or components or authorizing final
acceptance of that bus (as described in 49 CFR part 665):
A. The model of the bus will have been tested at a bus testing
facility approved by FTA; and
B. It will have received a copy of the test report prepared on
the bus model.
V. School Transportation Agreement
An Applicant seeking FTA assistance to acquire or operate
transportation facilities and equipment acquired with Federal
assistance authorized by 49 U.S.C. chapter 53 must agree as follows.
FTA may not provide assistance for transportation facilities until
the Applicant enters into this Agreement by selecting Category V on
the Signature Page.
A. As required by 49 U.S.C. 5323(f) and FTA regulations,
``School Bus Operations,'' at 49 CFR 605.14, the Applicant agrees
that it and all its recipients will:
(1) Engage in school transportation operations in competition
with private school transportation operators only to the extent
permitted by an exception provided by 49 U.S.C. 5323(f), and
implementing regulations, and
(2) Comply with the requirements of 49 CFR part 605 before
providing any school transportation using equipment or facilities
acquired with Federal assistance awarded by FTA and authorized by 49
U.S.C. chapter 53 or Title 23 U.S.C. for transportation projects.
B. The Applicant understands that the requirements of 49 CFR
part 605 will apply to any school transportation it provides, the
definitions of 49 CFR part 605 apply to this school transportation
agreement may require corrective measures and the imposition of
penalties, including debarment from the receipt of further Federal
assistance for transportation.
Over-the-Road Bus Accessibility Program Certifications and Assurances
for FTA Assistance
NAME OF APPLICANT:-----------------------------------------------------
The Applicant agrees to comply with applicable requirements of
Categories I-V ______
(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 for the Purchase of Rolling Stock......... ________
IV. Bus Testing Certification................................ ________
V. School Transportation Agreement........................... ________
Over-the-Road Bus Accessibility Certifications and Assurances
Name of Applicant:-----------------------------------------------------
Name and relationship of Authorized Representative:--------------------
BY SIGNING BELOW I, ____________________(name), on behalf of the
Applicant, declare that the Applicant has duly authorized me to make
these certifications and assurances and bind the Applicant's
compliance. Thus, the Applicant agrees to comply with all Federal
statutes, regulations, executive orders, and administrative guidance
required for each application it makes to the Federal Transit
Administration (FTA).
FTA intends that the certifications and assurances the Applicant
selects on the other side of this document should apply, as
required, to each project for which the applicant seeks FTA
assistance.
The applicant affirms the truthfulness and accuracy of the
certifications and assurances it has made in the statements
submitted herein with this document and any other submission made to
FTA, and acknowledges that the provisions of the Program Fraud Civil
Remedies Act of 1986, 31 U.S.C. 3801 et seq., as implemented by U.S.
DOT regulations, ``Program Fraud Civil Remedies,'' 49 CFR part 31
apply to any certification, assurance or submission made to FTA. The
criminal fraud provisions of 18 U.S.C. 1001 apply to any
certification, assurance, or submission made in connection with any
other program administered by FTA.
In signing this document, I declare under penalties of perjury
that the foregoing certifications and assurances, and any other
statements made by me on behalf of the Application are true and
correct.
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------
Name-------------------------------------------------------------------
Authorized Representative of Applicant
Affirmation of Applicant's Attorney
For--------------------------------------------------------------------
(Name of Applicant)
As the undersigned legal counsel for the above name applicant, I
hereby affirm to the Applicant that it has authority under state and
local law to make and comply with the certifications and assurances
as indicated on the foregoing pages. I further affirm that, in my
opinion, the certifications and assurances have been legally made
and constitute legal and binding obligstions on the applicant.
I further affirm to the Applicant that, to the best of my
knowledge, there is no legislation or litigation pending or imminent
that might adversely affect the validity of these certifications and
assurances, or of the performance of the project. Furthermore, if I
become aware of circumstances that change the accuracy of the
foregoing statements, I will notify the applicant promptly, which
may so inform FTA.
Signature--------------------------------------------------------------
Date-------------------------------------------------------------------
Name-------------------------------------------------------------------
Applicant's Attorney
Each Applicant for FTA financial assistance and each FTA grantee
with an active capital project must provide an attorney's
affirmation of the Applicant's legal capacity.
Appendix D--Grant Application Checklist
1. Transmittal letter
2. SF-424
3. Project Eligibility
a. Organizational Capacity
b. 50 percent non-Federal match
4. Project Budget
5. Project Description
--Project Milestones
6. Project Narrative
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[FR Doc. 99-2826 Filed 2-5-99; 8:45 am]
BILLING CODE 4910-57-C