[Federal Register Volume 66, Number 18 (Friday, January 26, 2001)]
[Notices]
[Pages 8060-8068]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-2273]



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Part IV





Department of Transportation





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Federal Transit Administration



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Over-the-Road Bus Accessibility Program Grants; Notice

  Federal Register / Vol. 66, No. 18 / Friday, January 26, 2001 / 
Notices  

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Over-the-Road Bus Accessibility Program Grants

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice of availability of funds; Solicitation of grant 
applications.

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SUMMARY: The U.S. Department of Transportation (DOT) Federal Transit 
Administration (FTA) announces the availability of funds in fiscal year 
(FY) 2001 for the Over-the-Road Bus (OTRB) Accessibility Program, 
authorized by Section 3038 of the Transportation Equity Act for the 
21st Century (TEA-21), Pub. L. 105-178. The OTRB Accessibility Program 
makes funds available to private operators of over-the-road buses to 
finance the incremental capital and training costs of complying with 
DOT's over-the-road bus accessibility final rule, published in a 
Federal Register Notice on September 24, 1998. The OTRB Accessibility 
Program calls for national solicitation of applications, with grantees 
to be selected on a competitive basis. FTA's FY 2001 Appropriation Act 
makes Federal funds available to intercity fixed-route providers and 
other OTRB providers at up to 90 percent of the project cost.
    A total of $24.3 million is available for the program over the life 
of TEA-21. The guaranteed level of funding available for intercity 
fixed-route service was $2 million in FYs 1999 and 2000, and is $3 
million in FY 2001, and $5.25million in FYs 2002 and 2003, for a total 
of $17.5 million. The guaranteed level of funding for other over-the-
road bus services, including charter and tour bus, is $1.7 million per 
year from FYs 2000 and 2003, for a total of $6.8 million.
    For FY 2001, $3 million was appropriated for intercity fixed-route 
service providers and $1.7 million was appropriated for other over-the-
road service providers. After applying the .22 percent reduction for 
the government-wide rescission required by the FY 2001 Omnibus 
Consolidated Appropriations Act, Pub.L. 106-554, the amount available 
for the OTRB Accessibility Program has been reduced to $4,689,660. Of 
this amount, $2,993,400 is available to providers of intercity fixed-
route service, and $1,696,260 is available to other providers of over-
the-road bus services, including local fixed-route service, commuter 
service, and charter and tour service.
    This announcement describes application procedures for the OTRB 
Accessibility Program and the procedures FTA will use to determine 
which projects it will fund. It includes all of the information needed 
to apply for an OTRB Accessibility Program grant.
    This announcement is available on the Internet on the FTA website 
at: [http://www.fta.gov/library/legal/federal register/2001/index.htm]. 
FTA will announce final selections on the website and in the Federal 
Register.

DATES: Complete applications for OTRB Accessibility Program grants must 
be submitted to the appropriate FTA regional office (see Appendix A) by 
the close of business April 27, 2001. The appropriate FTA regional 
office is that office which serves the state in which an applicant's 
headquarters office is located. FTA intends to announce grant 
selections in July 2001, and it is anticipated that grants will be made 
by September 30, 2001, the end of the Federal fiscal year. FTA will 
accept comments on this notice until (30 days after date published). 
Based on input, FTA may provide amending or clarifying program 
information.

ADDRESSES: Comments and questions related to this notice can be mailed, 
faxed, or electronically submitted to the following: Sue Masselink, 
Federal Transit Administration, Room 9315, 400 7th Street, S.W., 
Washington, D.C. 20590 (FAX (202) 366-7951, e-mail address: 
[email protected]).

FOR FURTHER INFORMATION CONTACT:  The appropriate FTA Regional 
Administrator (Appendix A) for application-specific information and 
issues. For general program information, contact Sue Masselink, Office 
of Program Management, (202) 366-2053, e-mail: 
[email protected]. A TDD is available at 1-800-877-8339 (TDD/
FIRS).

SUPPLEMENTARY INFORMATION

Table of Contents

I. General Program Information
II. Guidelines for Preparing Grant Applications
III. Submission of Applications and Grant Review Process
Appendix A FTA Regional Offices
Appendix B Sample OTRB Accessibility Program Project Budget
Appendix C Certifications and Assurances
Appendix D Grant Application Checklist
Appendix E OMB Standard Form 424, ``Federal Assistance''

I. General Program Information

A. Authority

    The program is authorized under section 3038 of the Transportation 
Equity Act for the 21st Century (TEA-21). Funds have been appropriated 
for this program under the Department of Transportation and Related 
Agencies Appropriations Act, 2001, Pub.L. 106-346; however, a .22 
percent rescission was required pursuant to section 1403(a) of the FY 
2001 Omnibus Consolidated Appropriations Act.

B. Background

    Over-the-road buses are used in intercity fixed-route service as 
well as other services, such as charter and tour bus services. These 
services are an important element of the U.S. transportation system. 
TEA-21 authorized FTA's Over-the-road Bus Accessibility Program to 
assist over-the-road bus operators in complying with the Department's 
Over-the-road Bus Accessibility rule, ``Transportation Services for 
Individuals with Disabilities (ADA)'' (49 CFR part 37) published in a 
Federal Register notice on September 24, 1998.
    Summary of DOT's Over-the-Road Bus Accessibility Rule. Under the 
over-the-road bus accessibility rule, all new buses obtained by large 
(Class I carriers, i.e., those with gross annual operating revenues of 
$5.3 million or more), fixed-route carriers, starting in 2000, must be 
accessible, with wheelchair lifts and tie-downs that allow passengers 
to ride in their own wheelchairs. The rule requires the fixed-route 
carriers' fleets to be completely accessible by 2012. The buses 
acquired by small (gross operating revenues of less than $5.3 million 
annually) fixed-route providers also are required to be lift-equipped, 
although they do not have a deadline for total fleet accessibility. 
Small providers also can provide equivalent service in lieu of 
obtaining accessible buses. Starting in 2001, charter and tour 
companies will have to provide service in an accessible bus on 48 
hours' advance notice. Fixed-route companies must also provide this 
kind of service on an interim basis until their fleets are completely 
accessible.
    Small carriers who provide mostly charter or tour service and also 
provide a small amount of fixed-route service can meet all requirements 
through 48-hour advance-reservation service. Small carriers have an 
extra year to begin complying with the requirements which apply to them 
starting in October 2001, compared to October 2000 for large carriers.
    Specifications describing the design features that an over-the-road 
bus must have to be readily accessible to and usable by persons who use 
wheelchairs or other mobility aids required by the ``Americans with 
Disabilities Act Accessibility Guidelines for Transportation Vehicles: 
Over-the-Road

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Buses'' rule (36 CFR part 1192) were published in another Federal 
Register Notice on September 28, 1998.

C. Scope

    Improving mobility and shaping America's future by ensuring that 
the transportation system is accessible, integrated, efficient and 
offers flexibility of choices is a key strategic goal of the Department 
of Transportation. Over-the-road Bus Accessibility projects will 
improve mobility for individuals with disabilities by providing 
financial assistance to help make vehicles accessible and provide 
training to ensure that drivers and others understand how to use 
accessibility features as well as how to treat patrons with 
disabilities.

D. Eligible Applicants

    Grants will be made directly to operators of over-the-road buses. 
Intercity, fixed-route over-the-road bus service providers may apply 
for the nearly $3 million available to intercity fixed-route providers 
in FY 2001. Other over-the-road bus service providers, including 
operators of local fixed-route service, commuter service, and charter 
or tour service may apply for the nearly $1.7 million available in FY 
2001 for these providers. OTRB operators who provide intercity, fixed-
route service and another type of service, such as commuter, charter or 
tour, may apply for both categories of funds with a single application. 
Private for-profit operators of over-the-road buses are eligible to be 
direct applicants for this program. This is a departure from the other 
FTA programs in which the direct applicant must be a state or local 
public body.

E. Vehicle and Service Definitions

    An ``over-the-road bus'' is a bus characterized by an elevated 
passenger deck located over a baggage compartment.
    Intercity, fixed-route over-the-road bus service is regularly 
scheduled bus service for the general public, using an over-the-road 
bus that: operates with limited stops over fixed routes connecting two 
or more urban areas not in close proximity or connecting one or more 
rural communities with an urban area not in close proximity; has the 
capacity for transporting baggage carried by passengers; and makes 
meaningful connections with scheduled intercity bus service to more 
distant points.
    Other over-the-road bus service means any other transportation 
using over-the-road buses, including local fixed-route service, 
commuter service, and charter or tour service (including tour or 
excursion service that includes features in addition to bus 
transportation such as meals, lodging, admission to points of interest 
or special attractions). While some commuter service may also serve the 
needs of some intercity fixed-route passengers, the statute includes 
commuter service in the definition of ``other'' service. Commuter 
service providers should apply for these funds, even though the 
services designed to meet the needs of commuters may also provide 
service to intercity fixed-route passengers on an incidental basis. If 
a service provider can document that more than 50 percent of its 
passengers are using the service as intercity fixed-route service, the 
provider may apply for the funds designated for intercity fixed-route 
operators.

F. Eligible Projects

    Projects to finance the incremental capital and training costs of 
complying with DOT's over-the-road bus accessibility rule (49 CFR Part 
37, subpart H) are eligible for funding. Incremental capital costs 
eligible for funding include adding lifts, tie downs, moveable seats, 
doors and all labor costs associated with work on the vehicle needed to 
make new vehicles accessible. Retrofitting vehicles with such 
accessibility components is also an eligible expense. Please see Buy 
America section for further determination of eligibility.
    Funds may be awarded by FTA for costs already incurred by the 
applicants. For example, new wheelchair accessible vehicles delivered 
since June 9, 1998, the date that the TEA-21 was signed into law, are 
eligible for funding under the program. Vehicles of any age that have 
been retrofitted with lifts and other accessibility components since 
June 9, 1998 are also eligible for funding.
    Eligible training costs are those required by the final 
accessibility rule as described in 49 CFR 37.209. These activities 
include training in proper operation and maintenance of accessibility 
features and equipment, boarding assistance, securement of mobility 
aids, sensitive and appropriate interaction with passengers with 
disabilities, and handling and storage of mobility devices. The costs 
associated with developing training materials or providing training for 
local providers of over-the-road bus services for these purposes are 
eligible expenses.
    FTA has sponsored the development of accessibility training 
materials for public transit operators. FTA-funded Project Action is a 
national technical assistance program to promote cooperation between 
the disability community and transportation industry. Project Action 
provides training, resources and technical assistance to thousands of 
disability organizations, consumers with disabilities, and 
transportation operators. It maintains a resource center with the most 
up-to-date information on transportation accessibility. Project Action 
may be contacted at: Project Action, 700 Thirteenth Street, N.W., Suite 
200, Washington, DC 20590, Phone: 1-800-659-6428, Internet address: 
http://www.projectaction.org/.

G. Grant Criteria

    FTA will award grants based on:
    a. The identified need for over-the-road bus accessibility for 
persons with disabilities in the areas served by the applicant;
    b. The extent to which the applicant demonstrates innovative 
strategies and financial commitment to providing access to over-the-
road buses to persons with disabilities;
    c. The extent to which the over-the-road bus operator acquires 
equipment required by DOT's over-the-road bus accessibility rule prior 
to the required timeframe in the rule;
    d. The extent to which financing the costs of complying with DOT's 
rule presents a financial hardship for the applicant; and
    e. The impact of accessibility requirements on the continuation of 
over-the-road bus service, with particular consideration of the impact 
of the requirements on service to rural areas and for low-income 
individuals.
    These are the statutory criteria upon which funding decisions will 
be made. In addition to these criteria, FTA may also consider other 
factors, such as the size of the applicant's fleet and the approximate 
proportion of use the vehicle will get for the services eligible under 
the category of funds for which the applicant is applying. Funding 
decisions may also take into consideration whether intercity fixed-
route carriers are large (Class I carriers, i.e., those with gross 
annual operating revenues of $5.3 million or more) or small (gross 
operating revenues of less than $5.3 million annually).

H. Grant Requirements

    The grant application must include documentation necessary to meet 
the requirements of FTA's Nonurbanized Area Formula program (49 U.S.C. 
5311). Technical assistance regarding these requirements is available 
in each FTA regional office. Federal requirements apply only to the 
incremental cost of adding the wheelchair accessibility features, 
either to new vehicles or when retrofitting existing vehicles.

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    Training costs are not subject to all requirements. For example, 
labor protections, Buy America, and school transportation are not 
applicable to training assistance.
    1. Buy America. In the OTRB Accessibility program, FTA's Buy 
America regulations, 49 CFR part 661, apply to the incremental capital 
cost of making vehicles accessible. Those regulations do not apply to 
associated labor costs. The following discussion relates to the 
contract between the grantee and the prime contractor.
    The ``General Requirements'' found at 49 CFR 661.5 apply to that 
portion of the accessibility system being funded. That section requires 
that all of the manufacturing processes for the product take place in 
the United States and that all components of the product be made in the 
United States. A component is considered domestic if it is manufactured 
in the U.S.A., regardless of the origin of its subcomponents. The lift, 
the moveable seats, and the securement devices will all be considered 
components for purposes of this program; accordingly, a ``General 
Requirements'' analysis should be applied to each of these items 
individually. Should a recipient choose to request funding for only a 
specific component, such as the lift or the securement device, then the 
Buy America requirements would apply only to that item funded by FTA.
    Three exceptions to the general requirements that can be found at 
49 CFR 661.7: first, a waiver may be requested when the application of 
the regulation is not in the public interest; second, the general 
requirements will not apply if materials and products being procured 
are not produced in the United States in sufficient and reasonably 
available quantities and of a satisfactory quality; and third, a price 
differential waiver will be available under this program only if the 
grantee conducts a competitive procurement (see Competitive Procurement 
Section, below). FTA approval must be received by the recipient of FTA 
funds prior to the execution of contract.
    It should also be noted that FTA has issued a general public 
interest waiver for all purchases under the Federal ``small purchase'' 
threshold, which is currently set at $100,000. This waiver can be found 
in 49 CFR 661.7, Appendix A(e). In section 3038(b) of TEA-21, Congress 
authorized FTA financing of the incremental capital costs of compliance 
with DOT's OTRB accessibility rule. Consistent with this provision, the 
small purchase waiver applies only to the incremental cost of the 
accessibility features FTA is funding. Where more than one bus is 
purchased, the grantee must consider the incremental cost increase for 
the entire procurement when determining if the small purchase waiver 
applies. For example, if $30,000 is the incremental cost for the 
accessibility features eligible under this program per bus (regardless 
of the Federal share contribution), then a procurement of three buses 
with a total such cost of $90,000, would qualify for the small purchase 
waiver. No special application to FTA would be required.
    The grantee must obtain a certification from the bus manufacturer 
that all items included in the incremental cost for which the applicant 
is applying for funds meet Buy America requirements.
    The Buy America regulations can be found at www.fta.dot.gov/library/legal/49961.htm.
    2. Labor Protection. Before FTA may award a grant for capital 
assistance, 49 U.S.C. 5333(b) requires that fair and equitable 
arrangements must be made to protect the interests of transit employees 
affected by FTA assistance. Those arrangements must be certified by the 
Secretary of Labor as meeting the requirements of the statute. When a 
labor organization represents a group of affected employees in the 
service area of an FTA project, the employee protective arrangement is 
usually the product of negotiations or discussions with the union. The 
grant applicant can facilitate Department of Labor (DOL) certification 
by identifying in the application any previously certified protective 
arrangements that have been applied to similar projects undertaken by 
the grant applicant, if any. Receiving funds under the OTRB 
Accessibility program, however, will not require the grantee's 
employees to be represented by organized labor. Upon receipt of a grant 
application requiring employee protective arrangements, FTA will 
transmit the application to DOL and request certification of the 
employee protective arrangements. In accordance with DOL guidelines, 
DOL notifies the relevant unions in the area of the project that a 
grant for assistance is pending and affords the grant applicant and 
union the opportunity to agree to an arrangement establishing the terms 
and conditions of the employee protections. If necessary, DOL furnishes 
technical and mediation assistance to the parties during their 
negotiations. The Secretary of Labor may determine the protections to 
be certified if the parties do not reach an agreement after good faith 
bargaining and mediation efforts have been exhausted. DOL will also set 
the protective conditions when affected employees in the service area 
are not represented by a union. When DOL determines that employee 
protective arrangements comply with labor protection requirements, DOL 
will provide a certification to FTA. The grant agreement between FTA 
and the grant applicant incorporates by reference the employee 
protective arrangements certified by DOL.
    Applicants must identify any labor organizations that may represent 
their employees and all labor organizations that represent the 
employees of any other transit providers in the service area of the 
project.
    For each local of a nationally affiliated union, the applicant must 
provide the name of the national organization and the number or other 
designation of the local union. (For example, Amalgamated Transit Union 
local 1258.) Since DOL makes its referral to the national union's 
headquarters, there is no need to provide a means of contacting the 
local organization.
    However, for each independent labor organization (i.e., a union 
that is not affiliated with a national or international organization) 
the local information will be necessary (name of organization, address, 
contact person, phone, fax numbers).
    Where a labor organization represents transit employees in the 
service area of the project, DOL must refer the proposed protective 
arrangements to each union and to each recipient. For this reason, 
please provide DOL with a contact person, address, telephone number and 
fax number for your company, and associated union information.
    DOL issued a Federal Register Notice addressing the new TEA-21 
programs, including the OTRB Accessibility Program, ``Amendment to 
Section 5333(b) Guidelines to Carry Out New Programs Authorized by the 
Transportation Equity Act for the 21st Century (TEA-21); Final Rule, 
dated July 28, 1999. FTA issued a ``Dear Colleague'' letter, dated 
December 5, 2000, addressing DOL processing of grant applications. 
Attached to the letter is an application checklist which provides 
information that DOL must have in order to review and certify FTA grant 
applications. This letter and attachment can be found at: http://www.fta.dot.gov/office/public/c0019.html. Questions concerning 
protective arrangements and related matters pertaining to transit 
employees should be addressed to the Division of Statutory Programs, 
Department of Labor, 200 Constitution Avenue, NW., Room N-5411, 
Washington, DC 20210;

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telephone (202) 693-0126, fax (202) 219-5338.
    3. Competitive Procurement. Federal procurement requirements apply 
to FTA funds awarded to state and local governments and private 
nonprofit agencies under 49 CFR parts 18 and 19. To the extent a direct 
recipient of FTA funds under this program is a private for-profit 
entity, the Federal procurement requirements do not apply.
    4. Debarment, Suspension and Other Responsibility Matters. Pursuant 
to Executive Order 12549; 41 USC 701; and 49 CFR part 29, grantees must 
ensure that FTA funds are not given to anyone who has been debarred, 
suspended, or declared ineligible or voluntarily excluded from 
participation in federally assisted transactions. The burden of 
disclosure is on those debarred or suspended. The U.S. General Services 
Administration (GSA) issues a document titled ``Lists of Parties 
Excluded from Federal Procurement or Nonprocurement Programs'' monthly. 
The list is available on the GSA website (http//www.gsa.gov/index). If 
at any time the grantee or other covered entity learns that a 
certification it made or received was erroneous when submitted or if 
circumstances have changed, disclosure to FTA is required.
    5. Drug-Free Workplace. Grantees must maintain a drug-free 
workplace for all employees and have an anti-drug policy and awareness 
program. The grant applicant must certify to FTA that it will provide a 
drug-free workplace and comply with all requirements of the Drug-Free 
Workplace Act of 1988 (Public Law 100-690) and U.S. DOT's implementing 
regulations, 49 CFR part 29, Subpart F. The grantee is required to 
provide a written Drug-Free Workplace policy statement notifying 
employees that the unlawful manufacture, distribution, dispensing, 
possession, or use of a controlled substance is prohibited in the 
workplace and stating specific actions that will be taken for 
violations. The ongoing drug-free awareness program must inform 
employees about the dangers of drug abuse; about any available drug 
counseling, rehabilitation, and employee assistance programs; about 
penalties that may be imposed; and that employees are to be aware that 
the recipient operates a drug-free workplace. An employee of an FTA 
grantee is required to report in writing any conviction for a violation 
of criminal drug statute occurring in the workplace, and the grantee/
employer is required to provide written notice to FTA within 10 days of 
having received the notice. Within 30 days of receiving the notice of a 
conviction, the grantee/employer must have taken appropriate action 
against the employee or have required participation in a drug abuse 
assistance or rehabilitation program.
    6. Nondiscrimination Requirements. 49 U.S.C. section 5332 states 
that ``a person (defined broadly) may not be excluded from 
participating in, denied a benefit of, or discriminated against, under 
a project, program, or activity receiving financial assistance (from 
FTA) because of race, color, creed, national origin, sex, or age.''
    7. Title VI. Grantees must assure FTA that transit services and 
benefits obtained with FTA assistance will be provided in a 
nondiscriminatory manner, without regard to race, color, or national 
origin.
    8. Disadvantaged Business Enterprise. Grantees must assure FTA that 
disadvantaged business enterprises (DBEs) are provided the maximum 
opportunity to compete for FTA-assisted contracts and procurements.
    9. Equal Employment Opportunity (EEO). The grantee must assure that 
it will not discriminate against any employee or applicant for 
employment because of race, color, religion, sex, disability, age or 
national origin.
    10. Americans with Disabilities Act and Section 504. Compliance 
with the Americans with Disabilities Act of 1990 (ADA) (Public Law 101-
336) and DOT's implementing regulations (49 CFR parts 27, 37, and 38) 
and section 504 of the Rehabilitation Act of 1973, as amended, are 
eligibility requirements for Federal financial assistance. Section 504 
prohibits discrimination on the basis of disability by recipients of 
Federal financial assistance. The ADA prohibits discrimination against 
persons with disabilities in the provision of transportation services.
    11. Restrictions on Lobbying. Federal financial assistance may not 
be used to influence any member of Congress or an officer or employee 
of any agency in connection with the making of any Federal contract, 
grant, or cooperative agreement. The state, subrecipients, and third 
party contractors at any tier awarded FTA assistance exceeding $100,000 
must sign a certification so stating and also must disclose the 
expenditure of non-Federal funds for such purposes (49 CFR part 20). 
Other Federal laws also govern lobbying activities. For example, 
Federal funds may not be used for lobbying congressional 
representatives or senators indirectly, such as by contributing to a 
lobbying organization or funding a grass-roots campaign to influence 
legislation (31 U.S.C. 1352). General advocacy for over-the-road bus 
transportation and providing information to legislators about the 
services a recipient provides are not prohibited, nor is using non-
Federal funds for lobbying, so long as the required disclosures are 
made.
    12. Environmental Protection. Neither incremental capital costs 
associated with making vehicles wheelchair accessible nor training 
costs involve significant environmental impacts. Projects that do not 
involve significant environmental impacts are considered ``categorical 
exclusions'' in FTA's procedures because they have been categorically 
excluded from FTA's requirements to prepare environmental 
documentation. (49 USC part 622, incorporating 23 CFR part 771)
    13. Planning. Applicants are encouraged to notify the appropriate 
state departments of transportation and metropolitan planning 
organizations (MPO) in areas likely to be served by equipment made 
accessible through funds made available in this program. Those 
organizations, in turn, should take appropriate steps to inform the 
public, and individuals requiring fully accessible services in 
particular, of operators' intentions to expand the accessibility of 
their services. Incorporation of funded projects in the plans and 
transportation improvement programs of states and metropolitan areas by 
states and MPOs also is encouraged, but is not required.

II. Guidelines for Preparing Grant Application

    FTA is conducting a national solicitation for applications under 
the OTRB Accessibility program. Grant awards will be made on a 
competitive basis. Although most FTA grant applications are now 
submitted electronically, paper applications for the OTRB Accessibility 
program will be accepted. An original and two copies of the application 
must be submitted to the appropriate FTA Regional Office. The OTRB 
operators should submit the application to the office in the region in 
which its headquarters office is located. The application should 
provide information on all items for which you are requesting funding 
in FY 2001. The application must include the following elements:

1. Transmittal Letter

    This addresses basic identifying information, including:
    a. Grant applicant.
    b. Contact name, address, fax and phone number.
    c. Amount of grant request.

[[Page 8064]]

    d. Type of services for which funds are sought, either intercity 
fixed route services, other services, or both.
    e. For fixed-route carriers, whether you are a large (Class I, with 
gross annual operating revenues of $5.3 million or more) or small 
(gross operating reveues of less than $5.3 million annually) carrier.

2. Project Eligibility

    Every application must:
    a. Describe the applicant's technical, legal, and financial 
capacity to implement the proposed projects.
    b. Document matching funds, including amount and source.
    c. Include OMB Standard Form 424, ``Federal Assistance,'' which is 
a multi-purpose form which must be completed in its entirety. The forms 
are available from the FTA regional offices.

3. Project Information

    Provide a summary of project activities for which you are 
requesting funds. The summary should include:
    a. Description of the components included in request for funds, 
i.e., lifts, tie-downs, moveable seats, etc.
    b. Each project's time line, including significant milestones such 
as date of contract for purchase of vehicle(s), and actual or expected 
delivery date of vehicle(s).
    c. Project budget (See Appendix B).

4. Project Narrative

    Provide the information that addresses the criteria set forth in 
this notice at Section G, ``Grants Criteria''. Grants will be awarded 
competitively based upon that criteria. Please also provide the 
following information, which may also be used for funding decisions:
    a. Fleet Information. Provide information on the number of over-
the-road buses in your fleet, how many of those vehicles are 
accessible, and whether the vehicles for which you are seeking funds 
will be used to replace vehicles in your current fleet or to expand 
your fleet.
    b. Service Information. If funds are being sought for intercity 
fixed-route service, please describe how the service meets the 
definition of intercity fixed route service, including how the service 
makes meaningful connections with scheduled intercity bus service to 
more distant points. If you provide both intercity fixed-route service 
and another type of service, such as commuter, charter or tour service, 
please provide an estimate of the proportion of your service that is 
intercity fixed-route service. Describe your service area.

5. Labor Information

    a. Identify any labor organizations that may represent your 
employees and all labor organizations that represent the employees of 
any transit providers in the service area of the project. For each 
local of a nationally affiliated union, the applicant must provide the 
name of the national organization and the number or other designation 
of the local union. (For example, Amalgamated Transit Union local 
1258.) Since DOL makes its referral to the national union's 
headquarters, there is no need to provide a means of contacting the 
local organization.
    b. For each independent labor organization (i.e., a union that is 
not affiliated with a national or international organization) the local 
information will be necessary (name of organization, address, contact 
person, phone, fax numbers).
    c. Where a labor organization represents transit employees in the 
service area of the project, DOL must refer the proposed protective 
arrangements to each union and to each recipient. For this reason, 
please provide DOL with a contact person, address, telephone number and 
fax number for your company and associated union information.

III. Submission of Applications and Grant Review Process

    Applications are to be submitted to the appropriate FTA Regional 
Office by the close of business on April 27, 2001. FTA will screen all 
applications to determine whether all required eligibility elements, as 
described in Section 2 of the application, are present. An FTA 
evaluation team will evaluate each application according to the 
criteria described in this announcement.

A. Notification

    FTA expects to notify all applicants, both those selected for 
funding and those not selected, in July 2001. Grants are expected to be 
made by September 30, 2001, the end of Federal fiscal year 2001. FTA is 
committed to obligating FY 2001 OTRB Accessibility program funds 
expeditiously. Therefore, FTA urges applicants to develop and submit 
with their applications complete documentation necessary to meet the 
applicable FTA Section 5311 requirements.

    Issued on: January 19, 2001.
Hiram J. Walker,
Associate Administrator for Program Management.

APPENDIX A--FTA REGIONAL OFFICES

Region I--Massachusetts, Rhode Island, Connecticut, New Hampshire, 
Vermont and Maine

Richard H. Doyle, FTA Regional Administrator, Volpe National 
Transportation Systems Center, Kendall Square 55 Broadway, Suite 
920, Cambridge, MA 02142-1093, (617) 494-2055

Region II--New York, New Jersey, Virgin Islands

Letitia Thompson, FTA Regional Administrator, 26 Federal Plaza, 
Suite 2940, New York, NY 10278-0194, (212) 264-8162

Region III--Pennsylvania, Maryland, Virginia, West Virginia, Delaware, 
Washington, DC

Susan Schruth, FTA Regional Administrator, 1760 Market Street, Suite 
500, Philadelphia, PA 19103-4124, (215) 656-7100

Region IV--Georgia, North Carolina, South Carolina, Florida, 
Mississippi, Tennessee, Kentucky, Alabama, Puerto Rico

Jerry Franklin, FTA Regional Administrator, 61 Forsyth Street, S.W., 
Suite 17T50, Atlanta, GA 30303, (404) 562-3500

Region V--llinois, Indiana, Ohio, Wisconsin, Minnesota, Michigan

Joel Ettinger, FTA Regional Administrator, 200 West Adams Street, 
Suite 2410 Chicago, IL 60606-5232, (312) 353-2789

Region VI--Texas, New Mexico, Louisiana, Arkansas, Oklahoma

Robert Patrick, FTA Regional Administrator, 819 Taylor Street, Room 
8A36, Ft. Worth, TX 76102 (817) 978-0550

Region VII--Iowa, Nebraska, Kansas, Missouri

Mokhtee Ahmad, FTA Regional Administrator, 901 Locust Street, Suite 
404, Kansas City, MO 64106, (816) 329-3920

Region VIII--Colorado, North Dakota, South Dakota, Montana, Wyoming, 
Utah

Lee Waddleton, FTA Regional Administrator, Columbine Place, 216 16th 
Street, Suite 650, Denver, CO 80202-5120, (303) 844-3242

Region IX--California, Arizona, Nevada, Hawaii, American Samoa, Guam

Leslie Rogers, FTA Regional Administrator, 201 Mission Street, Suite 
2210, San Francisco, CA 94105-1831, (415) 744-3133

Region X--Washington, Oregon, Idaho, Alaska

Helen Knoll, FTA Regional Administrator, Jackson Federal Building, 
915 Second

[[Page 8065]]

Avenue, Suite 3142, Seattle, WA 98174-1002, (206) 220-7954

APPENDIX B--SAMPLE OTRB ACCESSIBILITY PROGRAM PROJECT BUDGET

      [Grantee: Hillsdale Intercity Services; Project: OR-38-0001]
------------------------------------------------------------------------
                                                               Eligible
                                                  Federal      project
                                                   share         cost
------------------------------------------------------------------------
Scope--111-01:................................
    Bus Rolling Stock.........................  ...........  ...........
    Activity: 11.42.43 Incremental cost of          $20,700      $23,000
     lift, securement devices and labor
     quantity--1..............................
    Activity: 11.44.33 Retrofit vehicle with         39,600       44,000
     lift quantity--1
Scope--117-00:
    Bus--Other................................  ...........  ...........
    Activity: 11.7D.01 Training...............       18,000       20,000
    Eligible project cost.....................            87,000
    Federal share (10 percent)................            78,300
    Applicant share (90 percent)..............            8,700
------------------------------------------------------------------------

APPENDIX C--CERTIFICATIONS AND ASSURANCES

List of Certifications and Assurances for Federal Transit 
Administration Over-the-Road-Bus Accessibility Grants

    This list is a comprehensive compilation of the certifications 
and assurances required by Federal law for the OTRB Accessibility 
program. At the end of this list is a single Signature Page on which 
the applicant and its attorney certifies compliance with all 
certifications and assurances applicable to the OTRB Accessibility 
program.
    All applicants are advised to read the entire list of 
Certifications and Assurances to be confident of their 
responsibilities and commitments. The applicant may signify 
compliance with all categories by placing a single ``X'' in the 
appropriate space at the top of the signature selection page.

References

    The Transportation Equity Act for the 21st Century, Pub. L. 105-
178, June 9, 1998, as amended, 49 U.S.C. chapter 53, Title 23, 
U.S.C., U.S. DOT and FTA regulations at 49 CFR, and FTA Circulars.

Over-the-Road Bus Accessibility Program Certifications and 
Assurances

1. Certifications and Assurances Required of Each Applicant

    Each Applicant for Federal assistance awarded by FTA must 
provide all certifications and assurances in this category I. 
Consequently, FTA may not award any Federal assistance until the 
Applicant provides assurance of compliance by selecting category 
``I'' Signature Page at the end of this document.

A. Authority of Applicant and Its Representative

    The authorized representative of the Applicant and legal counsel 
who sign these certifications, assurances, and agreements affirm 
that both the Applicant and its authorized representative have 
adequate authority under state and local law and the by-laws or 
internal rules of the Applicant organization to:
    (1) Execute and file the application for Federal assistance on 
behalf of the Applicant,
    (2) Execute and file the required certifications, assurances, 
and agreements on behalf of the Applicant binding the Applicant, and
    (3) Execute grant agreements and cooperative agreements with FTA 
on behalf of the Applicant.

B. Standard Assurances

    The Applicant assures that it will comply with all applicable 
Federal statutes, regulations, executive orders, FTA circulars, and 
other Federal administrative requirements in carrying out any 
project supported by the FTA grant. The Applicant acknowledges that 
it is under a continuing obligation to comply with the terms and 
conditions of the grant agreement issued for its project with FTA. 
The Applicant understands that Federal laws, regulations, policies, 
and administrative practices might be modified from time to time and 
affect the implementation of the project. The Applicant agrees that 
the most recent Federal requirements will apply to the project, 
unless FTA issues a written determination otherwise.

C. Debarment, Suspension, and Other Responsibility Matters for Primary 
Covered Transactions

    As required by U.S. DOT regulations on Government-wide Debarment 
and Suspension (Nonprocurement) at 49 CFR 29.510:
    (1) The Applicant (Primary Participant) certifies, to the best 
of its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal department or agency;
    (b) Have not, within a three (3) year period preceding this 
certification, been convicted of or had a civil judgment rendered 
against them for commission of fraud or a criminal offense in 
connection with obtaining, attempting to obtain, or performing a 
public (Federal, state, or local) transaction or contract under a 
public transaction, violation of Federal or state antitrust 
statutes, or commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, or 
receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, state, or local) 
with commission of any of the offenses listed in subparagraph (1)(b) 
of this certification; and
    (d) Have not within a three-year period preceding this 
certification had one or more public transactions (Federal, state, 
or local) terminated for cause or default.
    (2) The Applicant also certifies that, if it later becomes aware 
of any information contradicting the statements of paragraph (1) 
above, it will promptly provide that information to FTA.
    (3) If the Applicant (Primary Participant) is unable to certify 
to all statements in paragraphs (1) and (2) above, it shall indicate 
so in its signature page and provide a written explanation to FTA.

D. Drug-Free Workplace Agreement

    As required by U.S. DOT regulations, ``Drug-Free Workplace 
Requirements (Grants),'' 49 CFR part 29, Subpart F, as modified by 
41 U.S.C. 702, the Applicant agrees that it will provide a drug-free 
workplace by:
    (1) Publishing a statement notifying its employees that the 
unlawful manufacture, distribution, dispensing, possession, or use 
of a controlled substance is prohibited in its workplace and 
specifying the actions that will be taken against its employees for 
violation of that prohibition;
    (2) Establishing an ongoing drug-free awareness program to 
inform its employees about:
    (a) The dangers of drug abuse in the workplace,
    (b) Its policy of maintaining a drug-free workplace,
    (c) Any available drug counseling, rehabilitation, and employee 
assistance programs, and
    (d) The penalties that may be imposed upon its employees for 
drug abuse violations occurring in the workplace;
    (3) Making it a requirement that each of its employees to be 
engaged in the performance of the grant be given a copy of the 
statement required by paragraph (1) above;
    (4) Notifying each of its employees in the statement required by 
paragraph (1) that, as a condition of employment financed with 
Federal assistance provided by the grant, the employee will be 
required to:
    (a) Abide by the terms of the statement, and

[[Page 8066]]

    (b) Notify the employer (Applicant) in writing of any conviction 
for a violation of a criminal drug statute occurring in the 
workplace no later than five (5) calendar days after that 
conviction;
    (5) Notifying FTA in writing, within ten (10) calendar days 
after receiving notice required by paragraph (4)(b) above from an 
employee or otherwise receiving actual notice of that conviction. 
The Applicant, as employer of any convicted employee, must provide 
notice, including position title, to every project officer or other 
designee on whose project activity the convicted employee was 
working. Notice shall include the identification number(s) of each 
affected grant;
    (6) Taking one of the following actions within thirty (30) 
calendar days of receiving notice under paragraph (4)(b) of this 
agreement with respect to any employee who is so convicted:
    (a) Taking appropriate personnel action against that employee, 
up to and including termination, consistent with the requirements of 
the Rehabilitation Act of 1973, as amended, or
    (b) Requiring that employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, state, or local health, law enforcement, or 
other appropriate agency; and
    (7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3), 
(4), (5), and (6) of this agreement. The Applicant agrees to 
maintain a list identifying its headquarters location and each 
workplace it maintains in which project activities supported by FTA 
are conducted, and make that list readily accessible to FTA.

E. Intergovernmental Review Assurance

    The Applicant assures that each application for Federal 
assistance submitted to FTA has been or will be submitted, as 
required by each state, for intergovernmental review to the 
appropriate state and local agencies. Specifically, the Applicant 
assures that it has fulfilled or will fulfill the obligations 
imposed on FTA by U.S. DOT regulations, ``Intergovernmental Review 
of Department of Transportation Programs and Activities,'' 49 CFR 
part 17.

F. Nondiscrimination Assurance

    As required by 49 U.S.C. 5332 (which prohibits discrimination on 
the basis of race, color, creed, national origin, sex, or age, and 
prohibits discrimination in employment or business opportunity), 
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 
2000d, and U.S. DOT regulations, ``Nondiscrimination in Federally-
Assisted Programs of the Department of Transportation--Effectuation 
of Title VI of the Civil Rights Act,'' 49 CFR part 21 at 21.7, the 
Applicant assures that it will comply with all requirements of 49 
CFR part 21; FTA Circular 4702.1, ``Title VI Program Guidelines for 
Federal Transit Administration Recipients'', and other applicable 
directives, so that no person in the United States, on the basis of 
race, color, national origin, creed, sex, or age will be excluded 
from participation in, be denied the benefits of, or otherwise be 
subjected to discrimination in any program or activity (particularly 
in the level and quality of transportation services and 
transportation-related benefits) for which the Applicant receives 
Federal assistance awarded by the U.S. DOT or FTA as follows:
    (1) The Applicant assures that each project will be conducted, 
property acquisitions will be undertaken, and project facilities 
will be operated in accordance with all applicable requirements of 
49 U.S.C. 5332 and 49 CFR part 21, and understands that this 
assurance extends to its entire facility and to facilities operated 
in connection with the project.
    (2) The Applicant assures that it will take appropriate action 
to ensure that any transferee receiving property financed with 
Federal assistance derived from FTA will comply with the applicable 
requirements of 49 U.S.C. 5332 and 49 CFR part 21.
    (3) The Applicant assures that it will promptly take the 
necessary actions to effectuate this assurance, including notifying 
the public that complaints of discrimination in the provision of 
transportation-related services or benefits may be filed with U.S. 
DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures 
that it will submit the required information pertaining to its 
compliance with these requirements.
    (4) The Applicant assures that it will make any changes in its 
49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or 
FTA may request.
    (5) As required by 49 CFR 21.7(a)(2), the Applicant will include 
in each third party contract or subagreement provisions to invoke 
the requirements of 49 U.S.C. 5332 and 49 CFR part 21, and include 
provisions to invoke those requirements in deeds and instruments 
recording the transfer of real property, structures, improvements.

G. Assurance of Nondiscrimination on the Basis of Disability

    As required by U.S. DOT regulations, ``Nondiscrimination on the 
Basis of Handicap in Programs and Activities Receiving or Benefiting 
from Federal Financial Assistance,'' at 49 CFR part 27, implementing 
the Rehabilitation Act of 1973, as amended, and the Americans with 
Disabilities Act of 1990, as amended, the Applicant assures that, as 
a condition to the approval or extension of any Federal assistance 
awarded by FTA to construct any facility, obtain any rolling stock 
or other equipment, undertake studies, conduct research, or to 
participate in or obtain any benefit from any program administered 
by FTA, no otherwise qualified person with a disability shall be, 
solely by reason of that disability, excluded from participation in, 
denied the benefits of, or otherwise subjected to discrimination in 
any program or activity receiving or benefiting from Federal 
assistance administered by the FTA or any entity within U.S. DOT. 
The Applicant assures that project implementation and operations so 
assisted will comply with all applicable requirements of U.S. DOT 
regulations implementing the Rehabilitation Act of 1973, as amended, 
29 U.S.C. 794, and the Americans with Disabilities Act of 1990, as 
amended, 42 U.S.C. 12101 et seq. at 49 CFR parts 27, 37, and 38, and 
any applicable regulations and directives issued by other Federal 
departments or agencies.

1. Certifications Prescribed by the Office of Management and Budget 
(SF-424B and SF-424D)

    The Applicant certifies that it:
    (1) Has the legal authority to apply for Federal assistance and 
the institutional, managerial, and financial capability (including 
funds sufficient to pay the non-Federal share of project cost) to 
ensure proper planning, management, and completion of the project 
described in its application.
    (2) Will give FTA, the Comptroller General of the United States 
and, if appropriate, the state, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    (3) Will establish safeguard to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest or 
personal gain.
    (4) Will initiate and complete the work within the applicable 
project time periods following receipt of FTA approval.
    (5) Will comply with all statutes relating to nondiscrimination 
including, but not limited to:
    (a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which 
prohibits discrimination on the basis of race, color, or national 
origin;
    (b) Title IX of the Education Amendments of 1972, as amended, 20 
U.S.C. 1681, 1683, and 1685 through 1687, which prohibits 
discrimination on the basis of sex;
    (c) Section 504 of the Rehabilitation Act of 1973, as amended, 
29 U.S.C. 794, which prohibits discrimination on the basis of 
handicaps;
    (d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 
6101 through 6107, which prohibit discrimination on the basis of 
age;
    (e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, relating to 
nondiscrimination on the basis of drug abuse;
    (f) The Comprehensive Alcohol Abuse and Alcoholism Prevention 
Act of 1970, Pub. L. 91-616, Dec. 31, 1970, and amendments thereto, 
relating to nondiscrimination on the basis of alcohol abuse or 
alcoholism;
    (g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 
290dd-3 and 290ee-3, related to confidentiality of alcohol and drug 
abuse patient records;
    (h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., 
relating to nondiscrimination in the sale, rental, or financing of 
housing;
    (i) Any other nondiscrimination provisions in the specific 
statutes under which Federal assistance for the project may be 
provided including, but not limited to section 1101(b) of the 
Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note, 
which provides for participation of disadvantaged business 
enterprises in FTA programs; and

[[Page 8067]]

    (j) The requirements of any other nondiscrimination statute(s) 
that may apply to the project.
    (6) Will comply, or has complied, with the requirements of 
Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, as amended, (Uniform 
Relocation Act) 42 U.S.C. 4601 et seq., which provide for fair and 
equitable treatment of persons displaced or whose property is 
acquired as a result of Federal of federally-assisted programs. 
These requirements apply to all interests in real property acquired 
for project purposes regardless of Federal participation in 
purchases. As required by U.S. DOT regulations, ``Uniform Relocation 
Assistance and Real Property Acquisition for Federal and Federally 
Assisted Programs,'' at 49 CFR 24.4, and sections 210 and 305 of the 
Uniform Relocation Act, 42 U.S.C. 4630 and 4655, the Applicant 
assures that it has the requisite authority under applicable state 
and local law and will comply or has complied with the requirements 
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT 
regulations, ``Uniform Relocation Assistance and Real Property 
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR 
part 24 including, but not limited to the following:
    (a) The Applicant will adequately inform each affected person of 
the benefits, policies, and procedures provided for in 49 CFR part 
24;
    (b) The Applicant will provide fair and reasonable relocation 
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624; 
49 CFR part 24; and any applicable FTA procedures, to or for 
families, individuals, partnerships, corporations or associations 
displaced as a result of any project financed with FTA assistance;
    (c) The Applicant will provide relocation assistance programs 
offering the services described in 42 U.S.C. 4625 to such displaced 
families, individuals, partnerships, corporations, or associations 
in the manner provided in 49 CFR part 24 and FTA procedures;
    (d) Within a reasonable time before displacement, the Applicant 
will make available comparable replacement dwellings to displaced 
families and individuals as required by 42 U.S.C. 4625(c)(3);
    (e) The Applicant will carry out the relocation process in such 
a manner as to provide displaced persons with uniform and consistent 
services, and will make available replacement housing in the same 
range of choices with respect to such housing to all displaced 
persons regardless of race, color, religion, or national origin; and
    (f) In acquiring real property, the Applicant will be guided to 
the greatest extent practicable under state law, by the real 
property acquisition policies of 42 U.S.C. 4651 and 4652;
    (g) The Applicant will pay or reimburse property owners for 
necessary expenses as specified in 42 U.S.C. 4653 and 4654, with the 
understanding that FTA will participate in the Applicant's eligible 
costs of providing payments for those expenses as required by 42 
U.S.C. 4631;
    (h) The Applicant will execute such amendments to third party 
contracts and subagreements financed with FTA assistance and 
execute, furnish, and be bound by such additional documents as FTA 
may determine necessary to effectuate or implement the assurances 
provided herein; and
    (i) The Applicant agrees to make these assurances part of or 
incorporate them by reference into any third party contract or 
subagreement, or any amendments thereto, relating to any project 
financed by FTA involving relocation or land acquisition and provide 
in any affected document that these relocation and land acquisition 
provisions shall supersede any conflicting provisions.
    (7) To the extent applicable, will comply with provisions of the 
Hatch Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, which 
limit the political activities of state and local agencies and their 
officers and employees whose principal employment activities are 
financed in whole or part with Federal funds including a Federal 
loan, grant, or cooperative agreement, but pursuant to 23 U.S.C. 
142(g), does not apply to a nonsupervisory employee of a transit 
system (or of any other agency or entity performing related 
functions) receiving FTA assistance to whom the Hatch Act does not 
otherwise apply.
    (8) To the extent applicable, will comply with the Davis-Bacon 
Act, as amended, 40 U.S.C. 276a through 276a(7), the Copeland Act, 
as amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the Contract Work 
Hours and Safety Standards Act, as amended, 40 U.S.C. 327 through 
333, regarding labor standards for federally-assisted subagreements.
    (9) To the extent applicable, will comply with flood insurance 
purchase requirements of section 102(a) of the Flood Disaster 
Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), requiring 
recipients in a special flood hazard area to participate in the 
program and purchase flood insurance if the total cost of insurable 
construction and acquisition is $10,000 or more.
    (10) Will comply with environmental standards that may be 
prescribed to implement the following Federal laws and executive 
orders:
    (a) Institution of environmental quality control measures under 
the National Environmental Policy Act of 1969, as amended, 42 U.S.C. 
4321 et seq. and Executive Order No. 11514, as amended, 42 U.S.C. 
4321 note;
    (b) Notification of violating facilities pursuant to Executive 
Order No. 11738, 42 U.S.C. 7606 note;
    (c) Protection of wetlands pursuant to Executive Order No. 
11990, 42 U.S.C. 4321 note;
    (d) Evaluation of flood hazards in floodplains in accordance 
with Executive Order 11988, 42 U.S.C. 4321 note;
    (e) Assurance of project consistency with the approved State 
management program developed pursuant to the requirements of the 
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451 et 
seq.
    (f) Conformity of Federal actions to State (Clean Air) 
Implementation Plans under section 176(c) of the Clean Air Act of 
1955, as amended, 42 U.S.C. 7401 et seq.;
    (g) Protection of underground sources of drinking water under 
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et 
seq.;
    (h) Protection of endangered species under the Endangered 
Species Act of 1973, as amended, Endangered Species Act of 1973, as 
amended, 16 U.S.C. 1531 et seq.; and
    (i) Environmental protections for Federal transit programs, 
including, but not limited to protections for a park, recreation 
area, or wildlife or waterfowl refuge of national, state, or local 
significance or any land from a historic site of national, state, or 
local significance used in a transit project as required by 49 
U.S.C. 303.
    (11) Will comply with the Wild and Scenic Rivers Act of 1968, as 
amended, 16 U.S.C. 1271 et seq. relating to protecting components of 
the national wild and scenic rivers systems.
    (12) Will assist FTA in assuring compliance with section 106 of 
the National Historic Preservation Act of 1966, as amended, 16 
U.S.C. 470f, Executive Order No. 11593 (identification and 
protection of historic properties), 16 U.S.C. 470 note, and the 
Archaeological and Historic Preservation Act of 1974, as amended, 16 
U.S.C. 469a-1 et seq.
    (13) Will comply with the Lead-Based Paint Poisoning Prevention 
Act, 42 U.S.C. 4801, which prohibits the use of lead-based paint in 
construction or rehabilitation of residence structures.
    (14) Will not dispose of, modify the use of, or change the terms 
of the real property title, or other interest in the site and 
facilities on which a construction project supported with FTA 
assistance takes place without permission and instructions from the 
awarding agency.
    (15) Will record the Federal interest in the title of real 
property in accordance with FTA directives and will include a 
covenant in the title of real property acquired in whole or in part 
with Federal assistance funds to assure nondiscrimination during the 
useful life of the project.
    (16) Will comply with FTA requirements concerning the drafting, 
review, and approval of construction plans and specifications of any 
construction project supported with FTA assistance. As required by 
U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before 
accepting delivery of any building financed with FTA assistance, it 
will obtain a certificate of compliance with the seismic design and 
construction requirements of 49 CFR part 41.
    (17) Will provide and maintain competent and adequate 
engineering supervision at the construction site of any project 
supported with FTA assistance to ensure that the complete work 
conforms with the approved plans and specifications and will furnish 
progress reports and such other information as may be required by 
FTA or the State.
    (18) Will comply with the National Research Act, Pub. L. 93-348, 
July 12, 1974, as amended, regarding the protection of human 
subjects involved in research, development, and related activities 
supported by Federal assistance and DOT regulation, ``Protection of 
Human Subjects,'' 49 CFR part 11.
    (19) Will comply with the Laboratory Animal Welfare Act of 1966, 
as amended, 7

[[Page 8068]]

U.S.C. 2131 et seq. pertaining to the care, handling, and treatment 
of warm blooded animals held for research, teaching, or other 
activities supported by FTA assistance.
    (20) Will have performed the financial and compliance audits 
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 
et seq. and OMB Circular No. A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations and Department of 
Transportation provisions of OMB A-133 Compliance Supplement, March 
2000.''
    (21) Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations, and policies governing 
the project.

2. Lobbying Certification for an Application Exceeding $100,000

    An Applicant that submits, or intends to submit this fiscal 
year, an application for Federal assistance exceeding $100,000 must 
provide the following certification. Consequently, FTA may not 
provide Federal assistance for an application exceeding $100,000 
until the Applicant provides this certification by selecting 
category ``II'' on the Signature Page at the end of this document.
    A. As required by U.S. DOT regulations, ``New Restrictions on 
Lobbying,'' at 49 CFR 20.110, the Applicant's authorized 
representative certifies to the best of his or her knowledge and 
belief that for each application for a Federal assistance exceeding 
$100,000:
    (1) No Federal appropriated funds have been or will be paid, by 
or on behalf of the Applicant, to any person for influencing or 
attempting to influence an officer or employee of any agency, a 
Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress pertaining to the award of any 
Federal assistance, or the extension, continuation, renewal, 
amendment, or modification of any Federal assistance agreement; and
    (2) If any funds other than Federal appropriated funds have been 
or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with any application to FTA for 
Federal assistance, the Applicant assures that it will complete and 
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' 
including the information required by the form's instructions, which 
may be amended to omit such information as permitted by 31 U.S.C. 
1352.
    B. The Applicant understands that this certification is a 
material representation of fact upon which reliance is placed and 
that submission of this certification is a prerequisite for 
providing Federal assistance for a transaction covered by 31 U.S.C. 
1352. The Applicant also understands that any person who fails to 
file a required certification shall be subject to a civil penalty of 
not less than $10,000 and not more than $100,000 for each such 
failure.

Over-the-Road Bus Accessibility Program Certifications and Assurances 
for FTA Assistance

Name of applicant: ________________
    The Applicant agrees to comply with applicable requirements of 
Categories I-III.
    (The Applicant may make this selection in lieu of individual 
selections below.)
    or
    The applicant agrees to comply with the applicable requirements 
of the following categories it has selected:
I. Certifications and Assurances Required of Each Applicant ________
II. Lobbying Certification ________

Over-the-Road Bus Accessibility Certifications and Assurances

Name of Applicant:
----------------------------------------------------------------------
Name and relationship of Authorized Representative: __________
    BY SIGNING BELOW I, __________ (name), on behalf of the 
Applicant, declare that the Applicant has duly authorized me to make 
these certifications and assurances and bind the Applicant's 
compliance. Thus, the Applicant agrees to comply with all Federal 
statutes, regulations, executive orders, and administrative guidance 
required for each application it makes to the Federal Transit 
Administration (FTA).
    FTA intends that the certifications and assurances the Applicant 
selects on the other side of this document should apply, as 
required, to each project for which the applicant seeks FTA 
assistance.
    The applicant affirms the truthfulness and accuracy of the 
certifications and assurances it has made in the statements 
submitted herein with this document and any other submission made to 
FTA, and acknowledges that the provisions of the Program Fraud Civil 
Remedies Act of 1986, 31 U.S.C. 3801 et seq., as implemented by U.S. 
DOT regulations, ``Program Fraud Civil Remedies,'' 49 CFR part 31 
apply to any certification, assurance or submission made to FTA. The 
criminal fraud provisions of 18 U.S.C. 1001 apply to any 
certification, assurance, or submission made in connection with any 
other program administered by FTA.
    In signing this document, I declare under penalties of perjury 
that the foregoing certifications and assurances, and any other 
statements made by me on behalf of the Application are true and 
correct.
Signature ________________
Date ________________
Name ________________
Authorized Representative of Applicant

Affirmation of Applicant's Attorney

For ________________
(Name of Applicant)
    As the undersigned legal counsel for the above name applicant, I 
hereby affirm to the Applicant that it has authority under state and 
local law to make and comply with the certifications and assurances 
as indicated on the foregoing pages. I further affirm that, in my 
opinion, the certifications and assurances have been legally made 
and constitute legal and binding obligations on the applicant.
I further affirm to the Applicant that, to the best of my knowledge, 
there is no legislation or litigation pending or imminent that might 
adversely affect the validity of these certifications and 
assurances, or of the performance of the project. Furthermore, if I 
become aware of circumstances that change the accuracy of the 
foregoing statements, I will notify the applicant promptly, which 
may so inform FTA.
Signature ________________
Date ________________
Name ________________

Applicant's Attorney

    Each Applicant for FTA financial assistance and each FTA grantee 
with an active capital project must provide an attorney's 
affirmation of the Applicant's legal capacity.

APPENDIX D--GRANT APPLICATION CHECKLIST

1. Transmittal letter
2. Project Eligibility
3. Project Information
4. Project Narrative
5. Fleet Information
6. Service Information
7. Labor Information

[FR Doc. 01-2273 Filed 1-25-01; 8:45 am]
BILLING CODE 4910-57-P