[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.

-----------------------------------------------------------------------

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

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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

[[Page 6172]]

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