[Federal Register Volume 67, Number 1 (Wednesday, January 2, 2002)]
[Notices]
[Pages 186-197]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-32118]



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Part III





Department of Transportation





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Federal Transit Administration



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Fiscal Year 2002 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements; 
Notice

  Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / 
Notices  

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Fiscal Year 2002 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice.

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SUMMARY: This Notice contains FTA's comprehensive compilation of the 
Federal Fiscal Year 2002 certifications and assurances to be used in 
connection with all Federal assistance programs FTA administers during 
Federal Fiscal Year 2002, as required by 49 U.S.C. 5323(n).

EFFECTIVE DATE: January 2, 2002.

FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate Regional 
Office listed below. For copies of other related documents, see the FTA 
Web site at http://www.fta.dot.gov or contact the Office of Public 
Affairs, Federal Transit Administration (202) 366-4019.

Region 1: Boston

    States served: Maine, New Hampshire, Vermont, Connecticut, Rhode 
Island, and Massachusetts Telephone # 617-494-2055.

Region 2: New York

    States served: New York, New Jersey, and Virgin Islands Telephone # 
212-668-2170.

Region 3: Philadelphia

    States served: Pennsylvania, Delaware, Maryland, Virginia, West 
Virginia, and District of Columbia Telephone # 215-656-7100.

Region 4: Atlanta

    States served: Kentucky, North Carolina, South Carolina, Georgia, 
Florida, Alabama, Mississippi, Tennessee, and Puerto Rico Telephone # 
404-562-3500.

Region 5: Chicago

    States served: Minnesota, Wisconsin, Michigan, Illinois, Indiana, 
and Ohio Telephone # 312-353-2789.

Region 6: Dallas/Ft. Worth

    States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico 
Telephone # 817-978-0550.

Region 7: Kansas City

    States served: Missouri, Iowa, Kansas, and Nebraska Telephone # 
816-329-3920.

Region 8: Denver

    States served: Colorado, Utah, Wyoming, Montana, North Dakota, and 
South Dakota, Telephone # 303-844-3242.

Region 9: San Francisco

    States served: California, Hawaii, Guam, Arizona, Nevada, American 
Samoa, and the Northern Mariana Islands Telephone # 415-744-3133

Region 10: Seattle

    States served: Idaho, Oregon, Washington, and Alaska Telephone # 
206-220-7954.

SUPPLEMENTARY INFORMATION: Before FTA may award a Federal grant or 
cooperative agreement, the Applicant must provide to FTA all 
certifications and assurances pertaining to itself or its project as 
required by Federal laws and regulations. The requisite certifications 
and assurances must be submitted to FTA irrespective of whether the 
project is financed under the authority of 49 U.S.C. chapter 53, or 
title 23, United States Code, or another Federal statute.
    The Applicant's Annual Certifications and Assurances for Federal 
Fiscal Year 2002 cover all projects for which the Applicant seeks 
funding during that fiscal year. An Applicant's Annual Certifications 
and Assurances applicable to a specific grant or cooperative agreement 
generally remain in effect either for the life of the grant or 
cooperative agreement to closeout, or for the life of the project or 
project property when a useful life or industry standard life is in 
effect, whichever occurs later; except, however, if in a later year, 
the Applicant provides certifications and assurances that differ from 
the certifications and assurances previously made, the later 
certifications and assurances will apply to the grant, cooperative 
agreement, project, or project property, except as FTA otherwise 
permits.

Background

    Since Federal Fiscal Year 1995, FTA has been consolidating the 
various certifications and assurances that may be required into a 
single document. FTA intends to continue publishing this document 
annually in conjunction with its publication of the FTA annual 
apportionment Notice, which allocates funds made available by the 
latest U.S. Department of Transportation (U.S. DOT) annual 
appropriations act.

Federal Fiscal Year 2002 Changes

    The following changes have been made:
    (1) In Certification 1.J(18), a reference to the latest OMB A-133 
Compliance Supplement provisions for the Department of Transportation, 
dated March 2001 has been substituted for the previous compliance 
supplement.
    (2) In Certification 10, new FTA regulations, ``Prevention of 
Alcohol Misuse and Prohibited Drug Use in Transit Operations,'' 49 CFR 
part 655, replace FTA's former separate drug and alcohol regulations.
    (3) A new Intelligent Transportation Systems Program Assurance, 
(Number 12) has been added to cover the provisions of Section VII of 
FTA Notice, ``FTA National ITS Architecture Policy on Transit 
Projects'' 66 FR 1455 et seq., January 8, 2001. Accordingly, former 
Certifications 12, 13, 14, and 15 have been renumbered 13, 14, 15, and 
16.
    (4) In Certification 16, a reference to Federal guidance was 
substituted for the reference to FTA guidelines because it is unlikely 
that FTA will issue State Infrastructure Bank guidelines.

Text of Federal Fiscal Year 2002 Certifications and Assurances

    A detailed compilation of the provisions of the Certifications and 
Assurances and the Signature Page as set forth in Appendix A of this 
Notice, also appears in the ``Cert's & Assurances'' tab page of FTA's 
electronic award and management system. It is important that each 
Applicant be familiar with all sixteen (16) certification and assurance 
categories contained in this Notice, as they may be a prerequisite for 
receiving FTA financial assistance. Provisions of this Notice supersede 
conflicting statements in any circular containing a previous version of 
the Annual Certifications and Assurances. The certifications and 
assurances contained in those circulars are merely examples, and are 
not acceptable or valid for Federal Fiscal Year 2002; do not rely on 
the statements within certifications and assurances appearing in 
circulars.

Significance of Certifications and Assurances

    Selecting and submitting certifications and assurances to FTA, 
either through FTA's electronic award and management system or 
submission of the Signature Page of Appendix A, signifies the 
Applicant's intent to comply with the requirements of those 
certifications and assurances to the extent they apply to a program for 
which the Applicant submits an application for assistance in Federal 
Fiscal Year 2002.

Requirement for Attorney's Signature

    FTA requires a current (Federal Fiscal Year 2002) attorney's 
affirmation of the

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Applicant's legal authority to certify compliance with the funding 
obligations in this document. Irrespective of whether the Applicant 
chooses to make a single selection for all 16 categories or select 
individual options from the 16 categories, the attorney's signature 
from a previous year is not acceptable.

Deadline for Submission

    All Applicants for FTA capital investment program or formula 
program assistance, and current grantees with an active project 
financed with FTA capital investment program or formula program 
assistance, are expected to provide Federal Fiscal Year 2002 
Certifications and Assurances within 90 days from the date of this 
publication or with its first grant application in Fiscal Year 2002, 
whichever is first. Other Applicants are encouraged to submit their 
certifications and assurances as soon as possible.

Preference for Electronic Submission

    FTA has expanded the use of the electronic programs for Applicants, 
first introduced in 1995. FTA expects Applicants registered in FTA's 
electronic award and management system to submit their applications as 
well as certifications and assurances electronically through FTA's 
electronic award and management system. Only if an Applicant is unable 
to submit its certifications and assurances through FTA's electronic 
award and management system should the Applicant use the Signature Page 
form in Appendix A of this Notice.

Procedures for Electronic Submission

    The ``Cert's & Assurances'' tab page of FTA's electronic award and 
management system contain fields for selecting the certifications and 
assurances to be submitted. Within that tab page are fields for the 
Applicant's authorized representative and its attorney to enter their 
personal identification numbers (PINs), and thus ``sign'' the 
certifications and assurances for electronic transmission to FTA. In 
certain circumstances, the Applicant may enter its PIN number in lieu 
of an electronic signature provided by its Attorney, provided the 
Applicant has on file the Affirmation of its Attorney in writing dated 
this Federal fiscal year as set forth in Appendix A of this Notice. 
Applicants may contact the appropriate Regional Office listed in this 
Notice or the Helpdesk for FTA's electronic award and management system 
for more information.

Procedures for Paper Submission

    The following procedures apply to an Applicant that is unable to 
submit its certifications electronically. The Applicant must mark the 
certifications and assurances it is making on the Signature Page form 
in Appendix A of this Notice and submit it to FTA. The Applicant may 
signify compliance with all Categories by placing a single mark in the 
appropriate space at the top of the Signature Selection Page in 
Appendix A. In certain circumstances, the Applicant may certify in lieu 
of the signature of its Attorney, provided the Applicant has on file 
the Affirmation of its Attorney in writing dated this Federal fiscal 
year as set forth in Appendix A of this Notice. Applicants may contact 
the appropriate Regional Office listed in this Notice for more 
information.

References

    The Transportation Equity Act for the 21st Century, Pub. L. 105-
178, June 9, 1998, as amended by the TEA-21 Restoration Act 105-206, 
112 Stat. 685, July 22, 1998, 49 U.S.C. chapter 53, Title 23, United 
States Code, U.S. DOT and FTA regulations at 49 CFR, and FTA Circulars.

    Dated: December 21, 2001.
Jennifer L. Dorn,
Administrator.
BILLING CODE 4910-57-P

Appendix A

Federal Fiscal Year 2002 Certifications and Assurances for Federal 
Transit Administration Assistance Programs

    In accordance with 49 U.S.C. 5323(n), the following 
certifications and assurances have been compiled for Federal Transit 
Administration (FTA) programs. FTA requests each Applicant to 
provide as many certifications and assurances as needed to cover all 
programs for which it will seek FTA assistance in Federal Year 2002. 
FTA strongly encourages the Applicant to submit its certifications 
and assurances through FTA's electronic award and management system.
    The 16 Categories of certifications and assurances are listed by 
numbers 1 through 16 on the Cert's & Assurances tab page of the FTA 
electronic award and management system and on the opposite side of 
the Signature Page at the end of this document. Categories 2 through 
16 will apply to some, but not all, applicants. The designation of 
the 16 categories corresponds to the circumstances mandating 
submission of specific certifications, assurances, or agreements.

1. Certifications and Assurances Required of Each Applicant

    Each Applicant for FTA assistance awarded must provide all 
certifications and assurances in this Category ``1.'' FTA may not 
award any Federal assistance until the Applicant provides these 
certifications and assurances by selecting Category ``1.''

A. Authority of Applicant and Its Representative

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

B. Standard Assurances

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

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

    As required by U.S. DOT regulations on Governmentwide Debarment 
and Suspension (Nonprocurement) at 49 CFR 29.510:
    (1) The Applicant (Primary Participant) certifies, to the best 
of its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal department or agency;
    (b) Have not, within a three (3) year period preceding this 
certification, been convicted of or had a civil judgment rendered 
against them for commission of fraud or a criminal offense in 
connection with obtaining, attempting to obtain, or performing a 
public (Federal, state, or local) transaction or contract under a 
public transaction, violation of Federal or state antitrust 
statutes, or commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, or 
receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, state, or local) 
with commission of any of the offenses listed in subparagraph (1)(b) 
of this certification; and
    (d) Have not within a three-year period preceding this 
certification had one or more

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public transactions (Federal, state, or local) terminated for cause 
or default.
    (2) The Applicant also certifies that, if it later becomes aware 
of any information contradicting the statements of paragraph (1) 
above, it will promptly provide that to FTA.
    (3) If the Applicant (Primary Participant) is unable to certify 
to all statements in paragraphs (1) and (2) of this certification, 
it shall indicate so in its applications, or in the transmittal 
letter or message accompanying its annual certifications and 
assurances, and provide a written explanation to FTA.

D. Drug-Free Workplace Agreement

    As required by U.S. DOT regulations, ``Drug-Free Workplace 
Requirements (Grants),'' 49 CFR part 29, Subpart F, and as modified 
by 41 U.S.C. 702, the Applicant agrees that it will provide a drug-
free workplace by:
    (1) Publishing a statement notifying its employees that the 
unlawful manufacture, distribution, dispensing, possession, or use 
of a controlled substance is prohibited in its workplace and 
specifying the actions that will be taken against its employees for 
violation of that prohibition;
    (2) Establishing an ongoing drug-free awareness program to 
inform its employee about:
    (a) The dangers of drug abuse in the workplace;
    (b) Its policy of maintaining a drug-free workplace;
    (c) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (d) The penalties that may be imposed upon its employees for 
drug abuse violations occurring in the workplace;
    (3) Making it a requirement that each of its employees to be 
engaged in the performance of the grant or cooperative agreement be 
given a copy of the statement required by paragraph (1) of this 
certification;
    (4) Notifying each of its employees in the statement required by 
paragraph (1) of this certification that, as a condition of 
employment financed with Federal assistance provided by the grant or 
cooperative agreement, the employee will be required to:
    (a) Abide by the terms of the statement; and
    (b) Notify the employer (Applicant) in writing of any conviction 
for a violation of a criminal drug statute occurring in the 
workplace no later than five (5) calendar days after that 
conviction;
    (5) Notifying FTA in writing, within ten (10) calendar days 
after receiving notice required by paragraph (4)(b) above from an 
employee or otherwise receiving actual notice of that conviction. 
The Applicant, as employer of any convicted employee, must provide 
notice, including position title, to every project officer or other 
designee on whose project activity the convicted employee was 
working. Notice shall include the identification number(s) of each 
affected grant or cooperative agreement;
    (6) Taking one of the following actions within thirty (30) 
calendar days of receiving notice under paragraph (4)(b) of this 
agreement with respect to any employee who is so convicted:
    (a) Taking appropriate personnel action against that employee, 
up to and including termination, consistent with the requirements of 
the Rehabilitation Act of 1973, as amended; or
    (b) Requiring that employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, state, or local health, law enforcement, or 
other appropriate agency; and
    (7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3), 
(4), (5), and (6) of this agreement. The Applicant agrees to 
maintain a list identifying its headquarters location and each 
workplace it maintains in which project activities supported by FTA 
are conducted, and make that list readily accessible to FTA.

E. Intergovernmental Review Assurance

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

F. Nondiscrimination Assurance

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

G. Disadvantaged Business Enterprise Assurance

    In accordance with 49 CFR 26.13(a), the Recipient assures that 
it shall not discriminate on the basis of race, color, national 
origin, or sex in the implementation of the project and in the award 
and performance of any third party contract, or subagreement 
supported with Federal assistance derived from the U.S. DOT or in 
the administration of its DBE program or the requirements of 49 CFR 
part 26. The Recipient assures that it shall take all necessary and 
reasonable steps set forth in 49 CFR part 26 to ensure 
nondiscrimination in the award and administration of all third party 
contracts and subagreements supported with Federal assistance 
derived from the U.S. DOT. The Recipient's DBE program, as required 
by 49 CFR part 26 and approved by the U.S. DOT, will be incorporated 
by reference and made part of the grant agreement or cooperative 
agreement for any Federal assistance awarded by FTA or U.S. DOT. 
Implementation of this DBE program is a legal obligation of the 
Recipient, and failure to carry out its terms shall be treated as a 
violation of the grant agreement or cooperative agreement. Upon 
notification by the Government to the Recipient of its failure to 
implement its approved DBE program, the U.S. DOT may impose 
sanctions as provided for under 49 CFR part 26 and may, in 
appropriate cases, refer the matter for enforcement under 18 U.S.C. 
1001, and/or the Program Fraud Civil Remedies Act, 31 U.S.C. 3801 et 
seq.

H. Assurance of Nondiscrimination on the Basis of Disability

    As required by U.S. DOT regulations, ``Nondiscrimination on the 
Basis of Handicap in Programs and Activities Receiving or Benefiting 
from Federal Financial Assistance,'' at 49 CFR 27.9, the Applicant 
assures that, as a condition to the approval or extension of any 
Federal assistance awarded by FTA to construct any facility, obtain 
any rolling stock or other equipment, undertake studies, conduct 
research, or to

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participate in or obtain any benefit from any program administered 
by FTA, no otherwise qualified person with a disability shall be, 
solely by reason of that disability, excluded from participation in, 
denied the benefits of, or otherwise subjected to discrimination in 
any program or activity receiving or benefiting from Federal 
assistance administered by the FTA or any entity within U.S. DOT. 
The Applicant assures that assures that project implementation and 
operations so assisted will comply with all applicable requirements 
of U.S. DOT regulations implementing the Rehabilitation Act of 1973, 
as amended, 29 U.S.C. 794, et seq., and the Americans with 
Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq. at 49 
CFR parts 27, 37, and 38, and any applicable regulations and 
directives issued by other Federal departments or agencies.

I. Procurement Compliance

    The Applicant certifies that its procurements and procurement 
system will comply with all applicable requirements imposed by 
Federal laws, executive orders, or regulations and the requirements 
of FTA Circular 4220.1D, ``Third Party Contracting Requirements,'' 
and FTA third party contracting regulations when promulgated, as 
well as other requirements FTA may issue. The Applicant certifies 
that it will include in its contracts financed in whole or in part 
with FTA assistance all clauses required by Federal laws, executive 
orders, or regulations, and will ensure that each subrecipient and 
each contractor will also include in its subagreements and contracts 
financed in whole or in part with FTA assistance all applicable 
clauses required by Federal laws, executive orders, or regulations.

J. Certifications Required by the U.S. Office of Management and 
Budget (SF-424B and SF-424D)

    A required by the U.S. Office of Management and Budget (OMB), 
the Applicant certifies that it:
    (1) Has the legal authority to apply for Federal assistance and 
the institutional, managerial, and financial capability (including 
funds sufficient to pay the non-Federal share of project cost) to 
ensure proper planning, management, and completion of the project 
described in its application;
    (2) Will give FTA, the Comptroller General of the United States 
and, if appropriate, the state, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives;
    (3) Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest or 
personal gain;
    (4) Will initiate and complete the work within the applicable 
project time periods following receipt of FTA approval;
    (5) Will comply with all applicable Federal statutes relating to 
nondiscrimination including, but not limited to:
    (a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which 
prohibits discrimination on the basis of race, color, or national 
origin;
    (b) Title IX of the Education Amendments of 1972, as amended, 20 
U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT 
regulations, ``Nondiscrimination on the Basis of Sex in Education 
Programs or Activities Receiving Federal Financial Assistance,'' 49 
CFR part 25, which prohibits discrimination on the basis of sex;
    (c) Section 504 of the Rehabilitation Act of 1973, as amended, 
29 U.S.C. 794, which prohibits discrimination on the basis of 
handicaps;
    (d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 
6101 through 6107, which prohibit discrimination on the basis of 
age;
    (e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, relating to 
nondiscrimination on the basis of drug abuse;
    (f) The Comprehensive Alcohol Abuse and Alcoholism Prevention 
Act of 1970, Pub. L. 91-616, Dec. 31, 1970, and amendments thereto, 
relating to nondiscrimination on the basis of alcohol abuse or 
alcoholism;
    (g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 
290dd-3 and 290ee-3, related to confidentiality of alcohol and drug 
abuse patient records;
    (h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., 
relating to nondiscrimination in the sale, rental, or financing of 
housing;
    (i) Any other nondiscrimination provisions in the specific 
statutes under which Federal assistance for the project may be 
provided including, but not limited to section 1101(b) of the 
Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note, 
which provides for participation of disadvantaged business 
enterprises in FTA programs; and
    (j) The requirements of any other nondiscrimination statute(s) 
that may apply to the project;
    (6) Will comply, or has compiled, with the requirements of 
Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, as amended, (Uniform 
Relocation Act) 42 U.S.C. 4601 et seq., which provide for fair and 
equitable treatment of persons displaced or whose property is 
acquired as a result of Federal of federally-assisted programs. 
These requirements apply to all interests in real property acquired 
for project purposes regardless of Federal participation in 
purchases. As required by U.S. DOT regulations, ``Uniform Relocation 
Assistance and Real Property Acquisition for Federal and Federally 
Assisted Programs,'' at 49 CFR 24.4, and sections 210 and 305 of the 
Uniform Relocation Act, 42 U.S.C. 4630 and 4655, the Applicant 
assures that it has the requisite authority under applicable state 
and local law and will comply or has complied with the requirements 
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT 
regulations, ``Uniform Relocation Assistance and Real Property 
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR 
part 24 including, but not limited to the following:
    (a) The Applicant will adequately inform each affected person of 
the benefits, policies, and procedures provided for in 49 CFR part 
24;
    (b) The Applicant will provide fair and reasonable relocation 
payments and assistance required by 42 U.S.C. 4622, 4623, and 4624; 
49 CFR part 24; and any applicable FTA procedures, to or for 
families, individuals, partnerships, corporations or associations 
displaced as a result of any project financed with FTA assistance;
    (c) The Applicant will provide relocation assistance programs 
offering the services described in 42 U.S.C. 4625 to such displaced 
families, individuals, partnerships, corporations, or associations 
in the manner provided in 49 CFR part 24 and FTA procedures;
    (d) Within a reasonable time before displacement, the Applicant 
will make available comparable replacement dwellings to displaced 
families and individuals as required by 42 U.S.C. 4625(c)(3);
    (e) The Applicant will carry out the relocation process in such 
a manner as to provide displaced persons with uniform and consistent 
services, and will make available replacement housing in the same 
range of choices with respect to such housing to all displaced 
persons regardless of race, color, religion, or national origin;
    (f) In acquiring real property, the Applicant will be guided to 
the greatest extent practicable under state law, by the real 
property acquisition policies of 42 U.S.C. 4651 and 4652;
    (g) The Applicant will pay or reimburse property owners for 
necessary expenses as specified in 42 U.S.C. 4653 and 4654, with the 
understanding that FTA will participate in the Applicant's eligible 
costs of providing payments for those expenses as required by 42 
U.S.C. 4631;
    (h) The Applicant will execute such amendments to third party 
contracts and subagreements financed with FTA assistance and 
execute, furnish, and be found by such additional documents as FTA 
may determine necessary to effectuate or implement the assurances 
provided herein; and
    (i) The Applicant agrees to make these assurances part of or 
incorporate them by reference into any third party contract or 
subagreement, or any amendments thereto, relating to any project 
financed by FTA involving relocation or land acquisition and provide 
in any affected document that these relocation and land acquisition 
provisions shall supersede any conflicting provisions;
    (7) To the extent applicable, will comply with the Davis-Bacon 
Act, as amended, 40 U.S.C. 276a through 276a(7), the Copeland Act, 
as amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the Contract Work 
Hours and Safety Standards Act, as amended, 40 U.S.C. 327 through 
333, regarding labor standards for federally-assisted subagreements;
    (8) To the extent applicable, will comply with flood insurance 
purchase requirements of section 102(a) of the Flood Disaster 
Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), requiring 
recipients in a special flood hazard area to participate in the 
program and purchase flood insurance if the total cost of insurable 
construction and acquisition is $10,000 or more;
    (9) Will comply with the Lead-Based Paint Poisoning Prevention 
Act, 42 U.S.C. 4801,

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which prohibits the use of lead-based paint in construction or 
rehabilitation of residence structures;
    (10) Will not dispose of, modify the use of, or change the terms 
of the real property title, or other interest in the site and 
facilities on which a construction project supported with FTA 
assistance takes place without permission and instructions from the 
awarding agency;
    (11) Will record the Federal interest in the title of real 
property in accordance with FTA directives and will include a 
covenant in the title of real property acquired in whole or in part 
with Federal assistance funds to assure nondiscriminating during the 
useful life of the project;
    (12) Will comply with FTA requirements concerning the drafting, 
review, and approval of construction plans and specifications of any 
construction project supported with FTA assistance. As required by 
U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before 
accepting delivery of any building financed with FTA assistance, it 
will obtain a certificate of compliance with 49 CFR part 41 seismic 
design and construction requirements;
    (13) Will provide and maintain competent and adequate 
engineering supervision at the construction site of any project 
supported with FTA assistance to ensure that the complete work 
conforms with the approved plans and specifications and will furnish 
progress reports and such other information as may be required by 
FTA or the state;
    (14) Will comply with environmental standards that may be 
prescribed to implement the following Federal laws and executive 
orders:
    (a) Institution of environmental quality control measures under 
the National Environmental Policy Act of 1969, as amended, 42 U.S.C. 
4321 et seq. and Executive Order No. 11514, as amended, 42 U.S.C. 
4321 note;
    (b) Notification of violating facilities pursuant to Executive 
Order No. 11738, 42 U.S.C. 7606 note;
    (c) Protection of wetlands pursuant to Executive Order No. 
11990, 42 U.S.C. 4321 note;
    (d) Evaluation of flood hazards in floodplains in accordance 
with Executive Order 11988, 42 U.S.C. 4321 note;
    (e) Assurance of project consistency with the approved state 
management program developed pursuant to the requirements of the 
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451 et 
seq.;
    (f) Conformity of Federal actions to State (Clean Air) 
Implementation Plans under section 176(c) of the Clean Air Act of 
1955, as amended, 42 U.S.C. 7401 et seq.;
    (g) Protection of underground sources of drinking water under 
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et 
seq.;
    (h) Protection of endangered species under the Endangered 
Species Act of 1973, as amended, Endangered Species Act of 1973, as 
amended, 16 U.S.C. 1531 et seq.; and
    (i) Environmental protections for Federal transit programs, 
including, but not limited to protections for a park, recreation 
area, or wildlife or waterfowl refuge of national, state, or local 
significance or any land from a historic site of national, state, or 
local significance used in a transit project as required by 49 
U.S.C. 303;
    (j) Will comply with the Wild and Scenic Rivers Act of 1968, as 
amended, 16 U.S.C. 1271 et seq. relating to protecting components of 
the national wild and scenic rivers systems; and
    (k) Will assist FTA in assuring compliance with section 106 of 
the National Historic Preservation Act of 1966, as amended, 16 
U.S.C. 470f, Executive Order No. 11593 (identification and 
protection of historic properties), 16 U.S.C. 470 note, and the 
Archaeological and Historic Preservation Act of 1974, as amended, 16 
U.S.C. 469a-1 et seq.;
    (15) To the extent applicable, will comply with provisions of 
the Hatch Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, 
which limit the political activities of state and local agencies and 
their officers and employees whose principal employment activities 
are financed in whole or part with Federal funds including a Federal 
loan, grant, or cooperative agreement, but pursuant to 23 U.S.C. 
142(g), does not apply to a nonsupervisory employee of a transit 
system (or of any other agency or entity performing related 
functions) receiving FTA assistance to whom the Hatch Act does not 
otherwise apply;
    (16) Will comply with the National Research Act, Pub. L. 93-348, 
July 12, 1974, as amended, regarding the protection of human 
subjects involved in research, development, and related activities 
supported by Federal assistance and DOT regulations, ``Protection of 
Human Subjects,'' 49 CFR part 11;
    (17) Will comply with the Laboratory Animal Welfare Act of 1966, 
as amended, 7 U.S.C. 2131 et seq. pertaining to the care, handling, 
and treatment of warm blooded animals held for research, teaching, 
or other activities supported by FTA assistance;
    (18) Will have performed the financial and compliance audits 
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 
et seq. and OMB Circular No. A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations and Department of 
Transportation provisions of OMB A-133 Compliance Supplement, March 
2001''; and
    (19) Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations, and policies governing 
the project.

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

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

3. Certification pertaining To The Effects of The Project on Private 
Mass Transportation Companies

    A State or local government Applicant seeking Federal assistance 
authorized by 49 U.S.C. chapter 53 to acquire the property of or an 
interest therein of a private mass transportation company or to 
operate mass transportation equipment or a facility in competition 
with or in addition to transportation service provided by an 
existing mass transportation company must provide the following 
certification. FTA may not award Federal assistance for that project 
until the Applicant provides this certification by selecting 
Category ``3.''
    As required by 49 U.S.C. 5323(a)(1), the Applicant certifies 
that before it acquires property or an interest in property of a 
private mass transportation company or operates mass transportation 
equipment or a facility in competition with or in addition to 
transportation service provided by an existing mass transportation 
company it has or will have:
    A. Found that the assistance is essential to carrying out a 
program of projects as determined by the plans and programs of the 
metropolitan planning organization;
    B. Provided for the participation of private mass transportation 
companies to the maximum extent feasible consistent with applicable 
FTA requirements and policies;
    C. Paid just compensation under state or local law to a private 
mass transportation company for its franchises or property acquired; 
and
    D. Acknowledged that the assistance falls within the labor 
standards compliance

[[Page 191]]

requirements of 49 U.S.C. 5333(a) and 5333(b).

4. Public Hearing Certification For a Capital Project That Will 
Substantially Affect A Community or Its Transit Service

    An Applicant seeking Federal assistance authorized by 49 U.S.C. 
chapter 53 for a capital project that will substantially affect a 
community or the community's mass transportation service must 
provide the following certification. FTA may not award Federal 
assistance for that project until the Applicant provides this 
certification by selecting Category ``4.''
    As required by 49 U.S.C. 5323(b), the Applicant certifies that 
it has, or before submitting its application, will have:
    A. Provided an adequate opportunity for a public hearing with 
adequate prior notice of the proposed project published in a 
newspaper of general circulation in the geographic area to be 
served;
    B. Held that hearing and provided FTA a transcript or detailed 
report summarizing the issues and responses, unless no one with a 
significant economic, social, or environmental interest requests a 
hearing;
    C. Considered the economic, social, and environmental effects of 
the project; and
    D. Determined that the project is consistent with official plans 
for developing the urban area.

5. Certification of Pre-Award And Post-Delivery Reviews Required For 
Acquisition of Rolling Stock

    An Applicant seeking FTA assistance to acquire rolling stock 
must provide the following certification. FTA may not provide 
assistance to acquire rolling stock until the Applicant provides 
this certification by selecting Category ``5.''
    As required by 49 U.S.C. 5323(m) and implementing FTA 
regulations at 49 CFR 663.7, the Applicant certifies that it will 
comply with the requirements of 49 CFR part 663 when procuring 
revenue service rolling stock. Among other things, the Applicant 
agrees to conduct or cause to be conducted the requisite pre-award 
and post-delivery reviews, and maintain on file the certifications 
required by 49 CFR part 663, subpart B, C, and D.

6. Bus Testing Certification Required For New Bus Acquisitions

    An Applicant seeking FTA assistance to acquire new buses must 
provide the following certification. FTA may not provide assistance 
for the acquisition of new buses until the Applicant provides this 
certification by selecting Category ``6.''
    As required by FTA regulations, ``Bus Testing,'' at 49 CFR 
665.7, the Applicant certifies that before expending any Federal 
assistance to acquire the first bus of any new bus model or any bus 
model with a new major change in configuration or components or 
authorizing final acceptance of that bus (as described in 49 CFR 
part 665):
    A. The model of the bus will have been tested at a bus testing 
facility approved by FTA; and
    B. It will have received a copy of the test report prepared on 
the bus model.

7. Charter Service Agreement

    An Applicant seeking FTA assistance to acquire or operate 
transportation equipment or facilities financed with Federal 
assistance authorized by 49 U.S.C. chapter 53 (except 49 U.S.C. 
5310) or Title 23, U.S.C. must enter into the following charter 
service agreement. FTA may not provide assistance for projects 
authorized by 49 U.S.C. chapter 53 (except 49 U.S.C. 5310) or Title 
23, U.S.C. until the Applicant enters into this agreement by 
selecting Category ``7.''
    A. As required by 49 U.S.C. 5323(d) and FTA regulations, 
``Charter Service,'' at 49 CFR 604.7, the Applicant agrees that it 
and its recipients will:
    (1) Provide charter service that uses equipment or facilities 
acquired with Federal assistance authorized for 49 U.S.C. 5307, 
5309, or 5311 or Title 23 U.S.C., only to the extent that there are 
no private charter service operators willing and able to provide the 
charter service that it or its recipients desire to provide, unless 
one or more of the exceptions in 49 CFR 604.9 applies; and
    (2) Comply with the provisions of 49 CFR part 604 before they 
provide any charter service using equipment of facilities acquired 
with Federal assistance authorized for the above statutes.
    B. The Applicant understands that the requirements of 49 CFR 
part 604 will apply to any charter service provided, the definitions 
in 49 CFR part 604 apply to this agreement, and violation of this 
agreement may require corrective measures and the imposition of 
penalties, including debarment from the receipt of further Federal 
assistance for transportation.

8. School Transportation Agreement

    An Applicant seeking FTA assistance to acquire or operate 
transportation facilities and equipment using Federal assistance 
authorized by 49 U.S.C. chapter 53 or Title 23, U.S.C. must agree as 
follows. FTA may not provide assistance for transportation 
facilities until the Applicant enters into this Agreement by 
selecting Category ``8.''
    A. As required by 49 U.S.C. 5323(f) and FTA regulations, 
``School Bus Operation,'' at 49 CFR 605.14, the Applicant agrees 
that it and all its recipients will:
    (1) Engage in school transportation operations in competition 
with private school transportation operators only to the extent 
permitted by 49 U.S.C. 5323(f), and implementing regulations; and
    (2) Comply with the requirements of 49 CFR part 605 before 
providing any school transportation using equipment or facilities 
acquired with Federal assistance awarded by FTA and authorized by 49 
U.S.C. chapter 53 or Title 23 U.S.C. for transportation projects.
    B. The Applicant understands that the requirements of 49 CFR 
part 605 will apply to any school transportation it provides, the 
definitions of 49 CFR part 605 apply to this school transportation 
agreement, and a violation of this agreement may require corrective 
measures and the imposition of penalties, including debarment from 
the receipt of further Federal assistance for transportation.

9. Certification Required for the Direct Award of FTA Assistance to an 
Applicant for Its Demand Responsive Service

    An Applicant seeking direct Federal assistance to support demand 
responsive service must provide the following certification. FTA may 
not award Federal assistance directly to an Applicant to support its 
demand responsive service until the Applicant provides this 
certification by selecting Category ``9.''
    As required by U.S. DOT regulation, ``Transportation Services 
for Individuals with Disabilities (ADA),'' at 49 CFR 37.77, the 
Applicant certifies that its demand responsive service offered to 
persons with disabilities, including persons who use wheelchairs, is 
equivalent to the level and quality of service offered to persons 
without disabilities. When viewed in its entirety, the Applicant's 
service for persons with disabilities is provided in the most 
integrated setting feasible and is equivalent with respect to: (1) 
response time, (2) fares, (3) geographic service area, (4) hours and 
days of service, (5) restrictions on trip purpose, (6) availability 
of information and reservation capability, and (7) constraints on 
capacity or service availability.

10. Prevention of Alcohol Misuse and Prohibited Drug Use Certification

    If the Applicant is required by Federal regulations to provide 
the following certification concerning its activities to prevent 
alcohol misuse of prohibited drug use in its transit operations, FTA 
may not provide Federal assistance to that Applicant until it 
provides this certification by selecting Category ``10.''
    As required by FTA regulations, ``Prevention of Alcohol Misuse 
and Prohibited Drug Use in Transit Operations,'' at 49 CFR part 665, 
subpart I, the Applicant certifies that it has established and 
implemented an anti-drug and alcohol misuse program, and has 
complied with or will comply with applicable requirements of FTA 
regulations, ``Prevention of Alcohol Misuse and Prohibited Drug Use 
in Transit Operations,'' at 49 CFR part 665.

11. Certification Required For Interest or Other Financing Costs

    An Applicant that intends to request reimbursement of interest 
or other financing costs incurred for its capital projects must 
provide the following certification. FTA may not provide assistance 
to support those costs until the Applicant provides this 
certification by selection Category ``11.''
    As required by 49 U.S.C. 5307(g), 49 U.S.C. 5309(g)(2)(B), 49 
U.S.C. 5309(g)(3)(A), and 49 U.S.C. 5309(n), the Applicant certifies 
that it will not seek reimbursement for interest and other financing 
costs until its records demonstrate it has used reasonable diligence 
in seeking the most favorable financing terms underlying those 
costs, to the extent FTA might require.

12. Intelligent Transportation System Program Assurance

    An Applicant for FTA assistance for an Intelligence 
Transportation System Project (ITS Project), defined as any project 
that in

[[Page 192]]

whole or in part funds the acquisition of technologies or systems of 
technologies that provide or significantly contribute to the 
provision of one or more ITS user services as defined in the 
National ITS Architecture,'' must provide the following assurance. 
FTA may not award any Federal assistance until the Applicant 
provides this assurance by selecting Category ``12.''
    In compliance with Section VII of FTA Notice, ``FTA National ITs 
Architecture Policy on Transit Projects,'' at 66 FR 1459, January 8, 
2001, in the course of implementing an ITS Project, the Applicant 
assures that it will comply, and require its third party contractors 
and subrecipients to comply, with all applicable requirements 
imposed by Section V (Regional ITS Architecture) and Section VI 
(Project Implementation) of that Notice.

13. Certifications and Assurances For The Urbanized Area Formula 
Program, The Job Access and Reverse Commute Program and The Clean Fuels 
Formula Program

    Each Applicant to FTA for Urbanized Area Formula Program 
assistance authorized by 49 U.S.C. 5307, each Applicant for Job 
Access and Reverse Commute Program assistance authorized by section 
3037 of the Transportation Equity Act for the 21st Century, 49 
U.S.C. 5309 note, and each Applicant for the Clean Fuels Formula 
Program assistance authorized by 49 U.S.C. 5308 must provide the 
following certifications in connection with its application. FTA may 
not award Urbanized Area Formula Program assistance, the Job Access 
and Reverse Commute Program assistance, or the Clean Fuels Formula 
Program assistance to the Applicant until the Applicant provides 
these certifications and assurances by selecting Category ``13.'' A 
state or other Applicant providing certifications and assurances on 
behalf of its prospective subrecipients is expected to obtain 
sufficient documentation from those subrecipients to assure the 
validity of its certifications and assurances.
    In addition, each Applicant that has received Transit 
Enhancement funding authorized by 49 U.S.C. 5307(k)(1) must include 
within its quarterly report for the fourth quarter of the preceding 
Federal fiscal year a list of the projects carried out during the 
preceding Federal fiscal year with those Transit Enhancement funds. 
That list constitutes the report of transit projects carried out 
during the preceding fiscal year to be submitted as part of the 
Applicant's annual certifications and assurances, as required by 49 
U.S.C. 5307(k)(3), and is thus incorporated by reference and made 
part of that Applicant's annual certifications and assurances. FTA 
may not award Urbanized Area Formula Program assistance to any 
Applicant that has received Transit Enhancement funding authorized 
by 49 U.S.C. 5307(k)(1), unless that Applicant's quarterly report 
for the fourth quarter of the preceding Federal fiscal year has been 
submitted to FTA and that report contains the requisite list.

A. Certifications Required by Statute

    (1) As required by 49 U.S.C. 5307(d)(1)(A) through (J), the 
Applicant certifies that:
    (a) It has or will have the legal, financial, and technical 
capacity to carry out the proposed program of projects;
    (b) It will adequately maintain the equipment and facilities;
    (c) It will ensure that elderly or handicapped persons, or any 
person presenting a Medicare card issued to himself pursuant to 
title II or title XVIII of the Social Security Act (42 U.S.C. et 
seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation 
during non-peak hours using or involving a facility or equipment of 
a project financed with Federal assistance authorized for 49 U.S.C. 
5307, or for the Job Access and Reverse Commute Program at section 
3037 of the Transportation Equity Act for the 21st Century (TEA-21), 
49 U.S.C. 5309 note, not more than fifty (50) percent of the peak 
hour fare;
    (d) In carrying out a procurement financed with Federal 
assistance authorized for the Urbanized Area Formula Program at 49 
U.S.C. 5307, or the Job Access and Reverse Commute Program at 
section 3037 of TEA-21, 49 U.S.C. 5309 note, it will use competitive 
procurement (as defined or approved by the Secretary), it will not 
use a procurement using exclusionary or discriminatory 
specifications, and it will comply with applicable Buy America laws 
in carrying out a procurement;
    (e) It has complied or will comply with the requirements of 49 
U.S.C. 5307(c). Specifically, it has made available, or before 
submitting its application, it will make available: (1) to the 
public information on amounts available for the Urbanized Area 
Formula Program at 49 U.S.C. 5307 and, if applicable, the Job Access 
and Reverse Commute Grant Program, 49 U.S.C. 5309 note, and the 
program of projects it proposed to undertake with those funds; (2) 
in consultation with interested parties including private 
transportation providers, develop a proposed program of projects for 
activities to be financed; (3) publish a proposed program of 
projects in a way that affected citizens, private transportation 
providers and local elected officials have the opportunity to 
examine the proposed program and submit comments on the proposed 
program and the performance of the Applicant; (4) provide an 
opportunity for a public hearing to obtain the views of citizens on 
the proposed program of projects; and (5) ensure that the proposed 
program of projects provides for the coordination of transportation 
services assisted under 49 U.S.C. 5336 with transportation services 
assisted by another Federal Government source; (6) consider comments 
and views received, especially those of private transportation 
providers, in preparing the final program of projects; and (7) make 
the final program of projects available to the public;
    (f) It has or will have available and will provide the amount of 
funds required by 49 U.S.C. 5307(e) and applicable FTA policy 
(specifying Federal and local shares of project costs);
    (g) It will comply with: 49 U.S.C. 5301(a) (requirements for 
transportation systems that maximize mobility and minimize fuel 
consumption and air pollution); 49 U.S.C. 5301(d) (requirements for 
transportation of the elderly and persons with disabilities); 49 
U.S.C. 5303 through 5306 (planning requirements); and 49 U.S.C. 
5301(d) (special efforts for designing and providing mass 
transportation for the elderly and persons with disabilities);
    (h) It has a locally developed process to solicit and consider 
public comment before raising fares or implementing a major 
reduction of transportation; and
    (i) As required by 49 U.S.C. 5307(d)(1)(J), unless it has 
determined that it is not necessary to expend one (1) percent of the 
amount of Federal assistance it receives for this fiscal year 
apportioned in accordance with 49 U.S.C. 5336 for transit security 
projects, it will expend at least one (1) percent of the amount of 
that assistance for transit security projects, including increased 
lighting in or adjacent to a transit system (including bus stops, 
subway stations, parking lots, and garages), increased camera 
surveillance of an area in or adjacent to that system, emergency 
telephone line or lines to contact law enforcement or security 
personnel in an area in or adjacent to that system, and any other 
project intended to increase the security and safety of an existing 
or planned transit system.
    (2) As required by 49 U.S.C. 5307(k)(3), if it has received 
Transit Enhancement funds authorized by 49 U.S.C. 5307(k)(1), its 
quarterly report for the fourth quarter of the preceding Federal 
fiscal year includes a list of projects implemented in the preceding 
Federal fiscal year using Transit Enhancement funds, and that report 
is made part of its certifications and assurances.

B. Certification Required for Capital Leasing

    As required by FTA regulations, ``Capital Leases,'' at 49 CFR 
639.15(b)(1) and 49 CFR 639.21, to the extent the Applicant uses 
Federal assistance authorized for 49 U.S.C. 5307 or section 3037 of 
TEA-21, 49 U.S.C. 5309 note, to acquire any capital asset by lease, 
the Applicant certifies that:
    (1) It will not use Federal assistance authorized for 49 U.S.C. 
5307 or section 3037 of TEA-21, 49 U.S.C. 5309 note, to finance the 
cost of leasing any capital asset until it performs calculations 
demonstrating that leasing the capital asset would be more cost-
effective than purchasing or constructing a similar asset;
    (2) It will complete these calculations before entering into the 
lease or before receiving a capital grant for the asset, whichever 
is later; and
    (3) It will not enter into a capital lease for which FTA can 
only provide incremental funding unless it has the financial 
capacity to meet its future obligations under the lease in the event 
Federal assistance is not available for capital projects in 
subsequent years.

C. Certification Required for Sole Source Purchase of Associated 
Capital Maintenance Item

    As required by 49 U.S.C. 5325(c), to the extent that the 
Applicant procures an associated capital maintenance item under the 
authority of 49 U.S.C. 5307(b)(1), the Applicant certifies that it 
will use

[[Page 193]]

competition to procure an associated capital maintenance item unless 
the manufacturer or supplier of that item is the only source for the 
item and the price of the item is no more than the price similar 
customers pay for the item, and maintain sufficient records 
pertaining to each such procurement on file easily retrievable for 
FTA inspection.

D. Clean Fuels Program Certification

    As required by 49 U.S.C. 5308(c)(2), the Applicant certifies 
that, in connection with any application for assistance authorized 
for the Clean Fuels Formula Program, vehicles purchased with grant 
funds made available for 49 U.S.C. 5308 will be operated only with 
clean fuels.

14. Certifications and Assurances for the Elderly and Persons With 
Disabilities Program

    An Applicant that intends to administer the Elderly and Persons 
with Disabilities Program on behalf of a state must provide the 
following certifications and assurances. In providing certifications 
and assurances on behalf of its prospective subrecipients, the 
Applicant is expected to obtain sufficient documentation from those 
subrecipients to assure the validity of its certifications and 
assurances. FTA may not award assistance for the Elderly and Persons 
with Disabilities Program until the Applicant provides these 
certifications and assurances by selecting Category ``14.''
    The Applicant administering on behalf of the state the Elderly 
and Persons with Disabilities Program authorized by 49 U.S.C. 5310 
certifies and assures that the following requirements and conditions 
will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive and disburse Federal 
assistance authorized for 49 U.S.C. 5310; and to implement and 
manage the project.
    B. The state assures that each subrecipient either is recognized 
under state law as a private nonprofit organization with the legal 
capability to contract with the state to carry out the proposed 
project, or is a public body that has met the statutory requirements 
to receive Federal assistance authorized for 49 U.S.C. 5310.
    C. The private nonprofit subrecipient's application for 49 
U.S.C. 5310 assistance contains information from which the state 
concludes that the transit service provided or offered to be 
provided by existing public or private transit operators is 
unavailable, insufficient, or inappropriate to meet the special 
needs of the elderly and persons with disabilities.
    D. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    E. The subrecipient has, or will have by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
purchased with Federal assistance awarded for this project.
    F. The state assures that before issuing the state's formula 
approval of a project, its Elderly and Persons with Disabilities 
Formula Program is included in the Statewide Transportation 
Improvement Program as required by 23 U.S.C. 135; all projects in 
urbanized areas recommended for approval are included in the annual 
element of the metropolitan Transportation Improvement Program in 
which the subrecipient is located; and any public body that is a 
prospective subrecipient of capital assistance has provided an 
opportunity for a public hearing.
    G. The state recognizes that the subrecipient, rather than the 
state itself, will be ultimately responsible for implementing many 
Federal requirements covered by the certifications the state has 
signed. Having taken appropriate measures to secure the necessary 
compliance by each subrecipient, the state assures, on behalf of 
each subrecipient, that each subrecipient has:
    (1) Coordinated or will coordinate to the maximum extent 
feasible with other transportation providers and users, including 
social service agencies authorized to purchase transit service;
    (2) Complied or will comply with all applicable civil rights 
requirements;
    (3) Complied or will comply with applicable requirements of U.S. 
DOT regulations on participation of disadvantaged business 
enterprise in U.S. DOT programs;
    (4) Complied or will comply with Federal requirements regarding 
transportation of elderly persons and persons with disabilities;
    (5) Complied with or will comply with applicable provisions of 
49 CFR part 605 pertaining to school transportation operations;
    (6) Viewing its demand responsive service to the general public 
in its entirety, complied or will comply with the requirement to 
provide demand responsive service to persons with disabilities, 
including persons who use wheelchairs, meeting the standard of 
equivalent service set forth in 40 CFR 37.77(c), if it purchases 
non-accessible vehicles for use in demand responsive service for the 
general public;
    (7) Established or will establish a procurement system and 
conducted or will conduct its procurements in compliance with all 
applicable requirements imposed by Federal laws, executive orders, 
or regulations and the requirements of FTA Circular 4220.1D, ``Third 
Party Contracting Requirements,'' and other implementing 
requirements FTA may issue;
    (8) Complied or will comply with the requirement that its 
project provides for the participation of private mass 
transportation companies to the maximum extent feasible;
    (9) Paid or will pay just compensation under state or local law 
to each private mass transportation company for its franchise or 
property acquired under the project;
    (10) Complied or will comply with all applicable lobbying 
requirements for each application exceeding $100,000;
    (11) Complied or will comply with all applicable nonprocurement 
suspension and debarment requirements;
    (12) Complied or will comply with all applicable bus testing 
requirements for new bus models;
    (13) Complied with, or to the extent required by FTA, will 
comply with, applicable FTA Intelligent Transportation System (ITS) 
architecture requirements; and
    (14) Complied or will comply with all applicable pre-award and 
post-delivery review requirements.
    H. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a categorical exclusion and does not require further 
environmental approvals, as described in the joint FHWA/FT 
regulations, ``Environmental Impact and Related Procedures,'' at 23 
CFR 771.117(c). The state certifies that financial assistance will 
not be provided for any project that does not qualify for a 
categorical exclusion described in 23 CFR 771.117(c) until FTA has 
made the required environmental finding. The state further certifies 
that no financial assistance will be provided for a project 
requiring a conformity finding in accordance with the Environmental 
Protection Agency's Clean Air Conformity regulations at 40 CFR parts 
51 and 93, until FTA makes the required conformity finding.
    I. The state will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed.
    J. The state recognizes the authority of FTA, U.S. DOT, and the 
Comptroller General of the United States to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations, and assures that, upon request, the State and its 
subrecipients will make the necessary records available to FTA, U.S. 
DOT and the Comptroller General of the United States. The state also 
knowledges its obligation under 49 CFR 18.40(a) to monitor project 
activities carried out by its subrecipients to assure compliance 
with applicable Federal requirements.

15. Certifications and Assurances for the Nonurbanized Area Formula 
Program

    An Applicant that intends to administer the Nonurbanized Area 
Formula Program on behalf of a state must provide the following 
certifications and assurances. In providing certifications and 
assurances on behalf of its prospective subrecipients, the Applicant 
is expected to obtain sufficient documentation from those 
subrecipients to assure the validity of its certifications and 
assurances. FTA may not award Nonurbanized Area Formula Program 
assistance to the Applicant until the Applicant provides these 
certifications and assurances by selecting Categories ``1'' through 
11'' and ``15.''
    The Applicant administering on behalf of the state the 
Nonurbanized Area Formula Program authorized by 49 U.S.C. 5311 
certifies and assurances that the following requirements and 
conditions will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive and disburse Federal 
assistance authorized for 49 U.S.C. 5311; and to implement and 
manage the project.
    B. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.

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    C. The state assures that before issuing the state's formal 
approval of the project, its Nonurbanized Area Formula Program is 
included in the Statewide Transportation Improvement Program as 
required by 23 U.S.C. 135; to the extent applicable, projects are 
included in a metropolitan Transportation Improvement Program.
    D. The state has provided for a fair and equitable distribution 
of Federal assistance authorized for 49 U.S.C. 5311 within the 
state, including Indian reservations within the state.
    E. The state recognizes that the subrecipient, rather than the 
state itself, will be ultimately responsible for implementing many 
Federal requirements covered by the certifications the state has 
signed. Having taken appropriate measures to secure the necessary 
compliance by each subrecipient, the state assure, on behalf of each 
subrecipient, that each subrecipient has:
    (1) Coordinated or will coordinate to the maximum extent 
feasible with other transportation providers and users, including 
social service agencies authorized to purchase transit service;
    (2) Complied or will comply with all applicable civil rights 
requirements;
    (3) Complied or will comply with applicable requirements of U.S. 
DOT regulations on participation of disadvantaged business 
enterprise in U.S. DOT programs;
    (4) Complied or will comply with Federal requirements regarding 
transportation of elderly persons and persons with disabilities;
    (5) Complied or will comply with the transit employee protective 
provisions of 49 U.S.C. 5333(b), by one of the following actions: 
(1) signing the Special Warranty for the Nonurbanized Area Formula 
Program, (2) agreeing to alternative comparable arrangements 
approved by the Department of Labor (DOL), or (3) obtaining a waiver 
from DOL; and the state has certified the subrecipient's compliance 
to DOL;
    (6) Complied or will comply with 49 CFR part 604 in the 
provision of any charter service provided with equipment or 
facilities acquired with FTA assistance;
    (7) Complied with or will comply with applicable provisions of 
49 CFR part 605 pertaining to school transportation operations;
    (8) Viewing its demand responsive service to the general public 
in its entirety, complied or will comply with the requirement to 
provide demand responsive service to persons with disabilities, 
including persons who use wheelchairs, meeting the standard of 
equivalent service set forth in 40 CFR 37.77(C), if it purchases 
non-accessible vehicles for use in demand responsive service for the 
general public;
    (9) Established or will establish a procurement system and 
conducted or will conduct its procurements in compliance with all 
applicable requirements imposed by Federal laws, executive orders, 
or regulations and the requirements of FTA Circular 4220.1D, ``Third 
Party Contracting Requirements,'' and other implementing 
requirements FTA may issue;
    (10) Complied or will comply with the requirement that its 
project provides for the participation of private enterprise to the 
maximum extent feasible;
    (11) Paid or will pay just compensation under state or local law 
to each private mass transportation company for its franchise or 
property acquired under the project;
    (12) Complied or will comply with all applicable lobbying 
requirements for each application exceeding $100,000;
    (13) Complied or will comply with all applicable nonprocurement 
suspension and debarment requirements;
    (14) Complied or will comply with all applicable bus testing 
requirements for new bus models;
    (15) Complied or will comply with all applicable pre-award and 
post-delivery review requirements;
    (16) Complied with or will comply with all assurances FTA 
requires for projects involving real property;
    (17) Complied with, or to the extent required by FTA, will 
comply with, applicable FTA Intelligent Transportation System (ITS) 
architecture requirements; and
    (18) Complied with, or to the extent required by FTA will comply 
with, applicable anti-drug and alcohol program requirements.
    F. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a categorical exclusion and does not require further 
environmental approvals, as described in the joint FHWA/FTA 
regulations, ``Environmental Impact and Related Procedures,'' at 23 
CFR 771.117(c). The state certifies that financial assistance will 
not be provided for any project that does not qualify for a 
categorical exclusion described in 23 CFR 771.117(c) until FTA has 
made the required environmental finding. The state further certifies 
that no financial assistance will be provided for a project 
requiring a conformity finding in accordance with the Environmental 
Protection Agency's Clean Air Conformity regulations at 40 CFR parts 
51 and 93, until FTA makes the required conformity finding.
    G. The state will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed.
    H. The state recognizes the authority of FTA, U.S. DOT, and the 
Comptroller General of the United States to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations, and assures that, upon request, the State and its 
subrecipients will make the necessary records available to FTA, U.S. 
DOT and the Comptroller General of the United States. The state also 
acknowledges its obligation under 49 CFR 18.40(a) to monitor project 
activities carried out by its subrecipient to assure compliance with 
applicable Federal requirements.
    I. As required by 49 U.S.C. 5311(f), the state will expend not 
less than fifteen (15) percent of the Federal assistance authorized 
for 49 U.S.C. 5311(f) and apportioned during this fiscal year to 
carry out a program to develop and support intercity bus 
transportation, unless the chief executive officer of the state or 
his or her duly authorized designee certifies that the intercity bus 
service needs of the state are being adequately met.

16. Certifications and Assurances for the State Infrastructure Bank 
Program

    An Applicant for a grant of Federal assistance for deposit in 
the State Infrastructure Bank (SIB) must provide the following 
certifications and assurances. In providing certifications and 
assurances on behalf of its prospective subrecipients, the Applicant 
is expected to obtain sufficient documentation from those 
subrecipients to assure the validity of its certifications and 
assurances. FTA may not award assistance for the State 
Infrastructure Bank program to the Applicant until the Applicant 
provides these certifications and assurances by selecting Categories 
``1'' through 11,'' and ``16.''
    The state serving as the Applicant for Federal assistance for 
the Transit Account of its State Infrastructure Bank (SIB) program 
authorized by either section 350 of the National Highway System 
Designation Act of 1995, as amended, 23 U.S.C. 101 note, or the 
State Infrastructure Bank Pilot Program, 23 U.S.C. 181 note, 
certifies and assures that the following requirements and conditions 
will be fulfilled pertaining to any project financed with Federal 
assistance derived from the Transit Account of the SIB:
    A. The state organization serving as the Applicant (state) 
agrees and assures the agreement of the SIB and each recipient of 
Federal assistance derived from the Transit Account of the SIB 
within the state (subrecipient) that each Project financed with 
Federal assistance derived from the Transit Account will be 
administered in accordance with the:
    (1) Applicable provisions of section 350 of the National Highway 
System Designation Act of 1995, as amended, 23 U.S.C. 101 note, or 
of the State Infrastructure Bank Pilot Program, 23 U.S.C. 181 note, 
and any further amendments thereto;
    (2) Provisions of any applicable Federal guidance that may be 
issued;
    (3) Terms and conditions of Department of Labor Certification(s) 
of Transit Employee Protective Arrangements that are required by 
Federal law or regulations;
    (4) Provisions of FHWA and FTA cooperative agreement with the 
state to establish the state's SIB program; and
    (5) Provisions of the FTA grant agreement with the state that 
obligating Federal assistance for the SIB, except that any provision 
of the Federal Transit Administration Master Agreement incorporated 
by reference into that grant agreement will not apply if it 
conflicts with any provision of National Highway System Designation 
Act of 1995, as amended, 23 U.S.C. 101 note, or section 1511 of TEA-
21, as amended, 23 U.S.C. 181 note, and Federal guidance on SIBs, 
the provisions of the cooperative agreement establishing the SIB 
program within the state, or the text within the FTA grant 
agreement.
    B. The state agrees to comply with and assures the compliance of 
the SIB and each subrecipient of assistance under the SIB with all 
applicable requirements for the SIB program, as those requirements 
may be amended from time and time. Pursuant to the requirements of 
subsection 1511(h)(2) of TEA-21, 23 U.S.C. 181 note, applicants for

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assistance authorized by the state Infrastructure Bank Pilot Program 
agree that previous cooperative agreements entered into with states 
under section 350 of the National Highway System Designation Act of 
1995, as amended, 23 U.S.C. 101 note, will be revised to comply with 
new requirements.
    C. The state assures that the SIB will provide Federal 
assistance from its Transit Account only for transit capital 
projects eligible under section 350 of the National Highway System 
Designation Act of 1995, as amended, 23 U.S.C. 101 note or under 
section 1511 of TEA-21, 23 U.S.C. 181 note, and that those projects 
will fulfill all requirements imposed on comparable capital transit 
projects financed by FTA.
    D. The state understands that the total amount of funds to be 
awarded for a grant agreement will not be immediately available for 
draw down. Consequently, the state assures that it will limit the 
amount of Federal assistance it draws down for deposit in the SIB to 
amounts that do not exceed the limitations specified in the 
underlying grant agreement or the approved project budget for that 
grant agreement.
    E. The state assures that each subrecipient has or will have the 
necessary legal, financial, and managerial capability to apply for, 
receive, and disburse Federal assistance authorized by Federal 
statute for use in the SIB, and to implement, manage, operate, and 
maintain the project and project property for which such assistance 
will support.
    F. The state recognizes that the SIB, rather than the state 
itself, will be ultimately responsible for implementing many Federal 
requirements covered by the certifications the state has signed. 
Having taken appropriate measures to secure the necessary compliance 
by the SIB, the state assures, on behalf of the SIB, that:
    (1) The SIB has complied or will comply with all applicable 
civil rights requirements;
    (2) The SIB has complied or will comply with applicable 
requirements of U.S. DOT regulations on participation of 
disadvantaged business enterprise in U.S. DOT programs;
    (3) The SIB will provide Federal assistance only to a 
subrecipient that is either a public or private entity recognized 
under state law as having the legal capability to contract with the 
state to carry out its proposed project;
    (4) Before the SIB enters into an agreement with a subrecipient 
under which Federal assistance will be disbursed to the 
subrecipient, the subrecipient's project is included in the 
Statewide Transportation Improvement Program; all projects in 
urbanized areas recommended for approval are included in the annual 
element of the metropolitan Transportation Improvement Program in 
which the subrecipient is located; a certification that an 
opportunity for a public hearing has been provided;
    (5) The SIB will not provide Federal financial assistance for 
any project that does not qualify for a categorical exclusion 
described in 23 CFR 771.117(c) until the required Federal 
environmental finding has been made. Moreover, the SIB will provide 
no financial assistance for a project requiring a conformity finding 
in accordance with the Environmental Protection Agency's Clean Air 
Conformity regulations at 40 CFR parts 51 and 93, until the required 
Federal conformity finding has been made;
    (6) Before the SIB provides Federal assistance for a transit 
project, each subrecipient will have complied with the applicable 
transit employee protective provisions of 49 U.S.C. 5333(b) as 
required for that subrecipient and its project; and
    (7) The SIB will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed, including specific 
provisions that any security or debt financing instrument the SIB 
may issue will contain an express statement that the security or 
instrument does not constitute a commitment, guarantee, or 
obligation of the United States.
    H. The state recognizes that the subrecipient, rather than the 
state itself, will be ultimately responsible for implementing many 
Federal requirements covered by the certifications the state has 
signed. Having taken appropriate measures to secure the necessary 
compliance by the SIB and each subrecipient, the state assures, on 
behalf of each subrecipient, that each subrecipient has:
    (1) Complied or will comply with all applicable civil rights 
requirements;
    (2) Complied or will comply with applicable requirements of U.S. 
DOT regulations on participation of disadvantaged business 
enterprise in U.S. DOT programs;
    (3) Complied or will comply with Federal requirements regarding 
transportation of elderly persons and persons with disabilities;
    (4) Complied or will comply with the applicable transit employee 
protective provisions of 49 U.S.C. 5333(b) as required for that 
subrecipient and its project;
    (5) Complied or will comply with 49 CFR part 604 in the 
provision of any charter service provided with equipment or 
facilities acquired with FTA assistance;
    (6) Complied with or will comply with applicable provisions of 
49 CFR part 605 pertaining to school transportation operations;
    (7) Viewing its demand responsive service to the general public 
in its entirety, complied or will comply with the requirement to 
provide demand responsive service to persons with disabilities, 
including persons who use wheelchairs, meeting the standard of 
equivalent service set forth in 40 CFR 37.77(c), if it purchases 
non-accessible vehicle for use in demand responsive service for the 
general public;
    (8) Established or will establish a procurement system and 
conducted or will conduct its procurements in compliance with all 
applicable requirements imposed by Federal laws, executive orders, 
or regulations and the requirements of FTA Circular 4220.1D, ``Third 
Party Contracting Requirements,'' and other implementing 
requirements FTA may issue;
    (9) Complied or will comply with the requirement that its 
project provides for the participation of private mass 
transportation companies to the maximum extent feasible;
    (10) Paid or will pay just compensation under state or local law 
to each private mass transportation company for its franchise or 
property acquired under the project;
    (11) Complied or will comply with all applicable lobbying 
requirements for each application exceeding $100,000;
    (12) Complied or will comply with all nonprocurement suspension 
and debarment requirements;
    (13) Complied with or will comply with all applicable bus 
testing requirements for new bus models;
    (14) Complied with or will comply with all applicable pre-award 
and post-delivery review requirements;
    (15) Complied with or will comply with all assurances FTA 
requires for projects involving real property;
    (16) Complied with, or to the extent required by FTA, will 
comply with, applicable FTA Intelligent Transportation System (ITS) 
architecture requirements; and
    (17) Complied with, or to the extent required by FTA will comply 
with, applicable anti-drug and alcohol program requirements.
    I. The state recognizes the authority of FTA, U.S. DOT, and the 
Comptroller General of the United States to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations, and assures that, upon request, the SIB and its 
subrecipients, as well as the states, will make the necessary 
records available to FTA, U.S. DOT and the Comptroller General of 
the United States. The state also acknowledges its obligation under 
49 CFR 18.40(a) to monitor project activities carried out by the SIB 
and its subrecipients to assure compliance with applicable Federal 
requirements.
    Selection and Signature Pages follow.
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[FR Doc. 01-32118 Filed 12-31-01; 8:45 am]
BILLING CODE 4910-57-C