[Federal Register Volume 67, Number 205 (Wednesday, October 23, 2002)]
[Notices]
[Pages 65171-65183]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-26975]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Fiscal Year 2003 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: Appendix A of this Notice contains the Federal Transit 
Administration's (FTA) comprehensive compilation of the Federal Fiscal 
Year 2003 certifications and assurances to be used in connection with 
all Federal assistance programs FTA administers during Federal Fiscal 
Year 2003, in compliance with 49 U.S.C. 5323(n).

EFFECTIVE DATE: These certifications and assurances became effective on 
October 1, 2002, the first day of fiscal year 2003.

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 FTA's Office of Public 
Affairs at (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 the Virgin Islands
Telephone  (212) 668-2170

[[Page 65172]]

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, Georgia, North Carolina, South Carolina, 
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 submit all certifications and 
assurances pertaining to itself and its project as required by Federal 
laws and regulations. These 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 2003 cover all projects for which the Applicant seeks 
funding during Federal Fiscal Year 2003 through the next fiscal year 
until FTA issues annual Certifications and Assurances for Federal 
Fiscal Year 2004. An Applicant's Annual Certifications and Assurances 
applicable to a specific grant or cooperative agreement generally 
remain in effect for either the life of the grant or cooperative 
agreement to closeout or the life of the project or project property 
when a useful life or industry standard life is in effect, whichever 
occurs later; except, if the Applicant provides certifications and 
assurances in a later year that differ from certifications and 
assurances previously provided, the later certifications and assurances 
will apply to the grant, cooperative agreement, project, or project 
property, unless FTA permits otherwise.
    Background: Since Federal Fiscal Year 1995, FTA has been 
consolidating the various certifications and assurances that may be 
required into a single document for publication in the Federal 
Register. FTA intends to continue publishing this document annually in 
conjunction with its publication of the FTA annual apportionment 
Notice, which sets forth the allocations of funds made available by the 
latest U.S. Department of Transportation annual appropriations act.
    Federal Fiscal Year 2003 Changes: Changes are as follows:
    (1) In Certification 1(J)(18), a reference to the latest Office of 
Management and Budget (OMB) A-133 Compliance Supplement for the U.S. 
Department of Transportation, dated March 2002, has been substituted 
for the previous OMB A-133 Compliance Supplement.
    (2) The titles of several categories of certifications and 
assurances have been shortened for consistency with the titles of those 
categories shown in TEAM-Web, FTA's electronic award and management 
system and other minor editorials changes have been made.
    Text of Federal Fiscal Year 2003 Certifications and Assurances: The 
text of the certifications and assurances in Appendix A of this Notice 
also appears in TEAM-Web (http://ftateamweb.fta.dot.gov/fta-flash2b.html) in the ``Recipients'' option at the ``Cert's & 
Assurances'' tab of ``View/Modify Recipients.'' It is important that 
each Applicant be familiar with all sixteen (16) certification and 
assurance categories and their requirements, as they may be a 
prerequisite for receiving FTA financial assistance. Provisions of this 
Notice supersede conflicting statements in any FTA circular containing 
a previous version of the Annual Certifications and Assurances. The 
certifications and assurances contained in those FTA circulars are 
merely examples, and are not acceptable or valid for Federal Fiscal 
Year 2003; do not rely on the provisions of certifications and 
assurances appearing in FTA circulars.
    Significance of Certifications and Assurances: Selecting and 
submitting certifications and assurances to FTA, either through TEAM-
Web or submission of the Signature Page(s) of Appendix A, signifies the 
Applicant's intent to comply with the requirements of the 
certifications and assurances selected to the extent they apply to a 
project for which the Applicant submits an application for assistance 
in Federal Fiscal Year 2003.
    Requirement for Attorney's Signature: FTA requires a current 
(Federal Fiscal Year 2003) affirmation, signed by the Applicant's 
attorney, of the Applicant's legal authority to certify compliance with 
the obligations imposed by the certifications and assurances the 
Applicant has selected. Irrespective of whether the Applicant makes a 
single selection for all 16 categories or selects individual options 
from the 16 categories, the Affirmation of Applicant's Attorney from a 
previous year is not acceptable.
    Deadline for Submission: All Applicants for FTA formula program or 
capital investment program assistance, and current FTA grantees with an 
active project financed with FTA formula program or capital investment 
program assistance, are expected to provide Federal Fiscal Year 2003 
Certifications and Assurances within 90 days from the date of this 
publication or with their first grant application in Federal Fiscal 
Year 2003, whichever is first. FTA encourages other Applicants to 
submit their certifications and assurances as soon as possible.
    Preference for Electronic Submission: Applicants registered in 
TEAM-Web must submit their certifications and assurances, as well as 
their applications, in TEAM-Web. Only if an Applicant is unable to 
submit its certifications and assurances in TEAM-Web should the 
Applicant use the Signature Page(s) in Appendix A of this Notice.
    Procedures for Electronic Submission: The TEAM-Web ``Recipients'' 
option at the ``Cert's & Assurances'' tab of ``View/Modify Recipients'' 
contains fields for selecting the categories of certifications and 
assurances to be submitted. Within that tab is a field for the 
Applicant's authorized representative to enter its personal 
identification number (PIN), which constitutes the Applicant's 
electronic signature for the certifications and assurances it has 
selected; in addition, there is a field for the Applicant's attorney to 
enter his or her PIN, affirming the Applicant's legal authority to make 
and comply with the certifications and assurances the Applicant has 
selected. In certain circumstances, the Applicant may enter its PIN in 
lieu of its Attorney's PIN, provided that the Applicant has on file the 
Affirmation of Applicant's Attorney

[[Page 65173]]

in Appendix A of this Notice, written and signed by the attorney and 
dated this Federal fiscal year. For more information, applicants may 
contact the appropriate Regional Office listed in this Notice or the 
TEAM-Web Helpdesk.
    Procedures for Paper Submission: If an Applicant is unable to 
submit its certifications electronically, it must mark the 
certifications and assurances it is making on the Signature Page(s) 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 or select the Categories applicable to itself and its 
projects. In certain circumstances, the Applicant may enter its 
signature in lieu of its Attorney's signature in the Affirmation of 
Applicant's Attorney section of the Signature Page(s), provided that 
the Applicant has on file the Affirmation of Applicant's Attorney in 
Appendix A of this Notice, written and signed by the attorney and dated 
this Federal fiscal year. For more information, applicants may contact 
the appropriate Regional Office listed in this Notice.
    References: The Transportation Equity Act for the 21st Century, 
Pub. L. 105-178, June 9, 1998, as amended by the TEA-21 Restoration 
Act, Pub. L. 105-206, July 22, 1998, 49 U.S.C. chapter 53, Title 23, 
United States Code, other Federal laws administered by FTA, U.S. DOT 
and FTA regulations at 49 CFR, and FTA Circulars.

    Dated: October 15, 2002.
Jennifer L. Dorn,
Administrator.

Appendix A--Federal Fiscal Year 2003 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 for all 
programs for which it will seek FTA assistance in Federal Fiscal 
Year 2003. FTA strongly encourages the Applicant to submit its 
certifications and assurances through TEAM-Web, FTA's electronic 
award and management system at http://ftateamweb.fta.dot.gov/fta-flash2b.html.
    Sixteen (16) Categories of certifications and assurances are 
listed by numbers 01 through 16 in the TEAM-Web ``Recipients'' 
option at the ``Cert's & Assurances'' tab of ``View/Modify 
Recipients,'' and on the opposite side of the Signature Page(s) at 
the end of this document. Category 01 applies to all Applicants. 
Categories 02 through 16 will apply to and be required for some, but 
not all, Applicants and projects.

01. Required of Each Applicant

    Each Applicant for FTA assistance must provide all 
certifications and assurances in this Category ``01.'' FTA may not 
award any Federal assistance until the Applicant provides these 
certifications and assurances by selecting Category ``01.''

A. Authority of Applicant and Its Representative

    The authorized representative of the Applicant and the attorney 
who sign these certifications, assurances, and agreements affirm 
that both the Applicant and its authorized representative have 
adequate authority under applicable state and local law and the 
Applicant's by-laws or internal rules 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 requirements in carrying out any project supported by 
an 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 may be 
modified from time to time and those modifications may affect 
project implementation. 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 regarding 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 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) 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 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 or implementation of the grant agreement 
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 
agreement 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

[[Page 65174]]

provide notice, including position title, to every project officer 
or other designee on whose project activity the convicted employee 
was working, and that notice shall include the identification 
number(s) of each affected grant agreement 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 Disadvantaged Business Enterprise (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 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, et seq., and 
the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 
12101 et seq., and implementing U.S. DOT regulations at 49 CFR parts 
27, 37, and 38, and any applicable regulations and directives issued 
by other Federal departments or agencies.

I. Procurement Compliance Certification

    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,'' 
as amended and revised, 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 and Assurances Required by the U.S. Office of 
Management and Budget (SF-424B and SF-424D)

    As 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

[[Page 65175]]

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 prohibit 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 
handicap;
    (d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 
6101 through 6107, which prohibits discrimination on the basis of 
age;
    (e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, 21 U.S.C. 1174 et seq. 
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, 
42 U.S.C. 4581 et seq. 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 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, and 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) Any other nondiscrimination statute(s) that may apply to the 
project;
    (6) Will comply with, or has complied with, the requirements of 
Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, as amended, (Uniform 
Relocation Act) 42 U.S.C. 4601 et seq., which provide for fair and 
equitable treatment of persons displaced or whose property is 
acquired as a result of Federal or federally assisted programs. 
These requirements apply to all interests in real property acquired 
for project purposes regardless of Federal participation in any 
purchase. As required by sections 210 and 305 of the Uniform 
Relocation Act, 42 U.S.C. 4630 and 4655, and U.S. DOT regulations, 
``Uniform Relocation Assistance and Real Property Acquisition for 
Federal and Federally Assisted Programs,'' 49 CFR 24.4, the 
Applicant assures that it has the requisite authority under 
applicable state and local law to comply 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, and will comply with or has complied with that Act and 
those U.S. DOT implementing regulations, 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 as 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 provide Federal financial assistance for 
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 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 the 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. 4831(b), 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 nondiscrimination 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 the seismic design and 
construction requirements of 49 CFR part 41;
    (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 any applicable 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;

[[Page 65176]]

    (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, 16 U.S.C. 1531 et seq.; and
    (i) Environmental protections for Federal transportation 
programs, including, but not limited to, protections for parks, 
recreation areas, or wildlife or waterfowl refuges of national, 
state, or local significance or any land from a historic site of 
national, state, or local significance that will be used in a 
transportation project as required by 49 U.S.C. 303;
    (j) Protection of the components of the national wild and scenic 
rivers systems, as required under the Wild and Scenic Rivers Act of 
1968, as amended, 16 U.S.C. 1271 et seq.; and
    (k) Provision of assistance to FTA in assuring compliance with 
section 106 of the National Historic Preservation Act of 1966, as 
amended, 16 U.S.C. 470f; the Archaeological and Historic 
Preservation Act of 1974, as amended, 16 U.S.C. 469a-1 et seq.; and 
Executive Order No. 11593 (identification and protection of historic 
properties), 16 U.S.C. 470 note;
    (15) To the extent applicable, will comply with the requirements 
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 primary employment activities are 
financed in whole or part with Federal funds including a Federal 
loan, grant agreement, or cooperative agreement except, in 
accordance with 23 U.S.C. 142(g), the Hatch Act 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 that Act does not otherwise apply;
    (16) Will comply with the National Research Act, Pub. L. 93-348, 
July 12, 1974, as amended, 42 U.S.C. 289 et seq., and U.S. DOT 
regulations, ``Protection of Human Subjects,'' 49 CFR part 11, 
regarding the protection of human subjects involved in research, 
development, and related activities supported by Federal assistance;
    (17) Will comply with the Laboratory Animal Welfare Act of 1966, 
as amended, 7 U.S.C. 2131 et seq., and U.S. Department of 
Agriculture regulations, ``Animal Welfare,'' 9 CFR subchapter A, 
parts 1, 2, 3, and 4, regarding the care, handling, and treatment of 
warm blooded animals held or used for research, teaching, or other 
activities supported by Federal assistance;
    (18) Will have performed the financial and compliance audits as 
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 
et seq. and by OMB Circular No. A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations,'' and OMB A-133 
Compliance Supplement provisions for the Department of 
Transportation, March 2002; and
    (19) Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations, and policies governing 
the project.

02. Lobbying

    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 ``02.''
    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 to influence or attempt 
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 regarding 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 instructions accompanying 
the form, which form may be amended to omit such information as 
authorized 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.

03. 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 or an 
interest in the property of a private mass transportation company or 
to operate mass transportation equipment or facilities 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 type of project until the Applicant provides this certification 
by selecting Category ``03.''
    As required by 49 U.S.C. 5323(a)(1), the Applicant certifies 
that before it acquires the property or an interest in the property 
of a private mass transportation company or operates mass 
transportation equipment or facilities 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 requirements of 49 U.S.C. 5333(a) and 5333(b).

04. Public Hearing

    An Applicant seeking Federal assistance authorized by 49 U.S.C. 
chapter 53 for a capital project that will substantially affect a 
community or a community's mass transportation service must provide 
the following certification. FTA may not award Federal assistance 
for that type of project until the Applicant provides this 
certification by selecting Category ``04.''
    As required by 49 U.S.C. 5323(b), the Applicant certifies that 
it has, or before submitting its application, it 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.

05. 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 ``05.''
    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, subparts B, C, and D.

[[Page 65177]]

06. Bus Testing

    An Applicant seeking FTA assistance to acquire any new bus model 
or any bus model with a new major change in configuration or 
components 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 ``06.''
    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 
before authorizing final acceptance of that bus (as described in 49 
CFR part 665), the bus model:
    A. Will have been tested at a bus testing facility approved by 
FTA; and
    B. Will have received a copy of the test report prepared on the 
bus model.

07. Charter Service Agreement

    An Applicant seeking FTA assistance to acquire or operate 
transportation equipment or facilities using 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 charter service agreement by selecting 
Category ``07.''
    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 by 49 U.S.C. chapter 53 
(except 49 U.S.C. 5310), 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 requirements of 49 CFR part 604 before 
providing any charter service using equipment or facilities acquired 
with Federal assistance authorized by 49 U.S.C. chapter 53 (except 
49 U.S.C. 5310), or Title 23, U.S.C. for transportation projects.
    B. As The Applicant understands that:
    (1) The requirements of 49 CFR part 604 will apply to any 
charter service it provides;
    (2) The definitions of 49 CFR part 604 apply to this charter 
service agreement; and
    (3) A violation of this charter service agreement may require 
corrective measures and imposition of penalties, including debarment 
from the receipt of further Federal assistance for transportation.

08. 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 enter 
into the following School Transportation Agreement. FTA may not 
provide assistance for such projects until the Applicant enters into 
this agreement by selecting Category ``08.''
    A. As required by 49 U.S.C. 5323(f) and FTA regulations, 
``School Bus Operations,'' at 49 CFR 605.14, the Applicant agrees 
that it and all its recipients will:
    (1) Engage in school transportation operations in competition 
with private school transportation operators only to the extent 
permitted by 49 U.S.C. 5323(f), and Federal 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. As The Applicant understands that:
    (1) The requirements of 49 CFR part 605 will apply to any school 
transportation service it provides;
    (2) The definitions of 49 CFR part 605 apply to this school 
transportation agreement; and
    (3) A violation of this school transportation agreement may 
require corrective measures and imposition of penalties, including 
debarment from the receipt of further Federal assistance for 
transportation.

09. 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 ``09.''
    As required by U.S. DOT regulations, ``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. Alcohol Misuse and Prohibited Drug Use

    If the Applicant is required by Federal regulations to provide 
the following certification concerning its activities to prevent 
alcohol misuse and 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 655, 
subpart I, the Applicant certifies that it has established and 
implemented an alcohol misuse and anti-drug program, and has 
complied with or will comply with all applicable requirements of FTA 
regulations, ``Prevention of Alcohol Misuse and Prohibited Drug Use 
in Transit Operations,'' 49 CFR part 655.

11. Interest and 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 selecting Category ``11.''
    In compliance with 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 unless its records demonstrate that it has used 
reasonable diligence in seeking the most favorable financing terms 
underlying those costs, to the extent FTA may require.

12. Intelligent Transportation Systems Program

    An Applicant for FTA assistance for an Intelligent 
Transportation Systems (ITS) project, defined as any project that in 
whole or in part finances 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 for an ITS project 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 Fed. Reg. 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. Urbanized Area, JARC, and Clean Fuels Programs

    Each Applicant 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 Clean Fuels Formula Program assistance 
authorized by 49 U.S.C. 5308 must provide the following 
certifications. FTA may not award Federal assistance for those 
programs until the Applicant provides these certifications and 
assurances by selecting Category ``13.'' A state or other Applicant 
providing certifications and assurances that require the compliance 
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 received Transit Enhancement 
funds authorized by 49 U.S.C. 5307(k)(1) must list the projects 
carried out during that Federal fiscal year with those funds in its 
quarterly report for the fourth quarter of the preceding Federal 
fiscal year. That list constitutes the report of transit enhancement 
projects carried out during that fiscal year, which report is 
required to be submitted as part of the

[[Page 65178]]

Applicant's annual certifications and assurances, in accordance with 
49 U.S.C. 5307(k)(3), and is therefore incorporated by reference and 
made part of the Applicant's annual certifications and assurances. 
FTA may not award Urbanized Area Formula Program assistance to any 
Applicant that has received Transit Enhancement funds 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 includes the requisite list.

A. Certifications Required for the Urbanized Area Formula Program

    (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 has or will have satisfactory continuing control over the 
use of Project equipment and facilities;
    (c) It will adequately maintain the equipment and facilities;
    (d) It will ensure that the elderly and handicapped persons, or 
any person presenting a Medicare card issued to himself or herself 
pursuant to title II or title XVIII of the Social Security Act (42 
U.S.C. 401 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;
    (e) In carrying out a procurement financed with Federal 
assistance authorized for the Urbanized Area Formula Program, 49 
U.S.C. 5307, or the Job Access and Reverse Commute Program, section 
3037 of TEA-21, 49 U.S.C. 5309 note, it: (1) Will use competitive 
procurement (as defined or approved by the Secretary), (2) will not 
use exclusionary or discriminatory specifications, and (3) will 
comply with applicable Buy America laws;
    (f) It has complied with or will comply with the requirements of 
49 U.S.C. 5307(c). Specifically, it: (1) Has made available, or will 
make available, to the public information on the amounts available 
for the Urbanized Area Formula Program, 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 proposes to 
undertake; (2) has developed or will develop, in consultation with 
interested parties including private transportation providers, a 
proposed program of projects for activities to be financed; (3) has 
published or will 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) has provided or will provide an 
opportunity for a public hearing to obtain the views of citizens on 
the proposed program of projects; (5) has ensured or will 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) has considered or will consider the comments and views 
received, especially those of private transportation providers, in 
preparing its final program of projects; and (7) has made or will 
make the final program of projects available to the public;
    (g) 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);
    (h) 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 to design and provide mass transportation 
for the elderly and persons with disabilities);
    (i) It has a locally developed process to solicit and consider 
public comment before raising fares or implementing a major 
reduction of transportation; and
    (j) 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 the projects it has implemented 
during that fiscal year using those funds, and that report is 
incorporated by reference and 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 acquires 
any capital asset by lease financed with Federal assistance 
authorized for 49 U.S.C. 5307 or section 3037 of TEA-21, 49 U.S.C. 
5309 note, 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 the Sole Source Acquisition of an 
Associated Capital Maintenance Item

    As required by 49 U.S.C. 5325(c), the Applicant certifies that 
when it procures an associated capital maintenance item as 
authorized by 49 U.S.C. 5307(b)(1), it will use competition, unless 
the original manufacturer or supplier of the item is the only source 
for the item and the price of the item is no more than the price 
similar customers pay for that item, and will, for each such 
procurement, maintain sufficient records on file and easily 
retrievable for FTA inspection.

D. Clean Fuels Formula Grant Program Certification

    As required by 49 U.S.C. 5308(c)(2), the Applicant certifies 
that vehicles financed with Federal assistance provided for the 
Clean Fuels Formula Program, 49 U.S.C. 5308, will be operated only 
with clean fuels.

14. 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 that require the compliance 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

[[Page 65179]]

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 state assures that, before issuing the state's formal 
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 to be 
implemented in urbanized areas recommended for approval are included 
in 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.
    F. The state recognizes that the subrecipient, rather than the 
state itself, will be ultimately responsible for implementing many 
Federal requirements covered by the certifications and assurances 
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:
    (1) The subrecipient has or will have by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
financed with Federal assistance awarded for its project;
    (2) The subrecipient has coordinated or will coordinate to the 
maximum extent feasible with other transportation providers and 
users, including social service agencies authorized to purchase 
transit service;
    (3) The subrecipient has complied or will comply with all 
applicable civil rights requirements;
    (4) The subrecipient has complied or will comply with applicable 
requirements of U.S. DOT regulations regarding participation of 
disadvantaged business enterprises in U.S. DOT programs;
    (5) The subrecipient has complied or will comply with Federal 
requirements regarding transportation of elderly persons and persons 
with disabilities;
    (6) The subrecipient has complied 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, the subrecipient has complied or will comply with 
the requirement to provide demand responsive service to persons with 
disabilities, including persons who use wheelchairs, meeting the 
standards of equivalent service set forth in 49 CFR 37.77(c), before 
purchasing non-accessible vehicles for use in demand responsive 
service for the general public;
    (8) The subrecipient has established or will establish a 
procurement system, and has conducted or will conduct its 
procurements in compliance with all applicable provisions of Federal 
laws, executive orders, regulations, FTA Circular 4220.1D, ``Third 
Party Contracting Requirements,'' as amended and revised, and other 
Federal requirements that may be applicable;
    (9) The subrecipient has complied or will comply with the 
requirement that its project provide for the participation of 
private mass transportation companies to the maximum extent 
feasible;
    (10) The subrecipient has 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) The subrecipient has complied or will comply with all 
applicable lobbying requirements for each application exceeding 
$100,000;
    (12) The subrecipient has complied or will comply with all 
applicable nonprocurement suspension and debarment requirements;
    (13) The subrecipient has complied or will comply with all 
applicable bus testing requirements for new bus models;
    (14) The subrecipient has complied or will comply with 
applicable FTA Intelligent Transportation Systems architecture 
requirements to the extent required by FTA; and
    (15) The subrecipient has complied or will comply with all 
applicable pre-award and post-delivery review requirements.
    G. 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, until the required Federal 
environmental finding is made, financial assistance will not be 
provided for any project that does not qualify for a categorical 
exclusion described in 23 CFR 771.117(c). The state further 
certifies that, until the required Federal conformity finding has 
been made, no financial assistance will be provided for a project 
requiring a Federal conformity finding in accordance with the U.S. 
Environmental Protection Agency's Clean Air Conformity regulations 
at 40 CFR parts 51 and 93.
    H. The state assures that it 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.
    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 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 subrecipients to assure compliance 
with applicable Federal requirements.

15. 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 that require the compliance 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 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. 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.
    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; and projects are included in a 
metropolitan Transportation Improvement Program, to the extent 
applicable.
    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 and assurances 
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:
    (1) The subrecipient has or will have, by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
financed with Federal assistance awarded for its project;
    (2) The subrecipient has coordinated or will coordinate to the 
maximum extent feasible with other transportation providers and 
users, including social service agencies authorized to purchase 
transit service;
    (3) The subrecipient has complied or will comply with all 
applicable civil rights requirements;
    (4) The subrecipient has complied or will comply with applicable 
requirements of U.S. DOT regulations regarding participation of 
disadvantaged business enterprises in U.S. DOT programs;
    (5) The subrecipient has complied or will comply with Federal 
requirements regarding transportation of elderly persons and persons 
with disabilities;
    (6) The subrecipient has complied or will comply with the 
transit employee protective provisions of 49 U.S.C. 5333(b), by one 
of the following actions: (a) signing the Special Warranty for the 
Nonurbanized Area Formula Program, (b) agreeing to alternative 
comparable arrangements approved by the Department of Labor (DOL), 
or (c) obtaining

[[Page 65180]]

a waiver from DOL; and the state has certified the subrecipient's 
compliance to DOL;
    (7) The subrecipient has 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;
    (8) The subrecipient has complied or will comply with applicable 
provisions of 49 CFR part 605 pertaining to school transportation 
operations;
    (9) Viewing its demand responsive service to the general public 
in its entirety, the subrecipient has complied or will comply with 
the requirement to provide demand responsive service to persons with 
disabilities, including persons who use wheelchairs, meeting the 
standards of equivalent service set forth in 49 CFR 37.77(c), before 
purchasing non-accessible vehicles for use in demand responsive 
service for the general public;
    (10) The subrecipient has established or will establish a 
procurement system, and has conducted or will conduct its 
procurements in compliance with all applicable provisions of Federal 
laws, executive orders, regulations, FTA Circular 4220.1D, ``Third 
Party Contracting Requirements,'' as amended and revised, and other 
Federal requirements that may be applicable;
    (11) The subrecipient has complied or will comply with the 
requirement that its project provide for the participation of 
private enterprise to the maximum extent feasible;
    (12) The subrecipient has 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;
    (13) The subrecipient has complied or will comply with all 
applicable lobbying requirements for each application exceeding 
$100,000;
    (14) The subrecipient has complied or will comply with all 
applicable nonprocurement suspension and debarment requirements;
    (15) The subrecipient has complied or will comply with all 
applicable bus testing requirements for new bus models;
    (16) The subrecipient has complied or will comply with all 
applicable pre-award and post-delivery review requirements;
    (17) The subrecipient has complied with or will comply with all 
assurances FTA requires for projects involving real property;
    (18) The subrecipient has complied or will comply with 
applicable FTA Intelligent Transportation Systems architecture 
requirements, to the extent required by FTA; and
    (19) The subrecipient has complied or will comply with 
applicable prevention of alcohol misuse and prohibited drug use 
program requirements, to the extent required by FTA.
    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, until the required Federal 
environmental finding is made, financial assistance will not be 
provided for any project that does not qualify for a categorical 
exclusion described in 23 CFR 771.117(c). The state further 
certifies that, until the required Federal conformity finding is 
made, no financial assistance will be provided for a project 
requiring a Federal conformity finding in accordance with the 
Environmental Protection Agency's Clean Air Conformity regulations 
at 40 CFR parts 51 and 93.
    G. The state assures that it 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 subrecipients to assure compliance 
with applicable Federal requirements.
    I. In compliance with the requirements of 49 U.S.C. 5311(f), the 
state assures that it will expend not less than fifteen (15) percent 
of the amounts of Federal assistance as provided in 49 U.S.C. 
5311(f) and apportioned during this Federal fiscal year to carry out 
a program within the State to develop and support intercity bus 
transportation, unless the chief executive officer of the state, or 
his or her designee, duly authorized under state law, regulations or 
procedures, certifies to the Federal Transit Administrator that the 
intercity bus service needs of the state are being adequately met.

16. State Infrastructure Bank Program

    An Applicant for a grant of Federal assistance for deposit in 
its State Infrastructure Bank (SIB) must provide the following 
certifications and assurances. In providing certifications and 
assurances that require the compliance 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 
SIB 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 
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 have been or will be fulfilled 
pertaining to any transit Project financed with Federal assistance 
derived from its 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 SIB within the state 
(subrecipient) that each transit Project financed with Federal 
assistance derived from SIB will be administered in accordance with:
    (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) The provisions of any applicable Federal guidance that may 
be issued;
    (3) The terms and conditions of Department of Labor 
Certification(s) of Transit Employee Protective Arrangements that 
are required by Federal law or regulations;
    (4) The provisions of the FHWA and FTA cooperative agreement 
with the state to establish the state's SIB program; and
    (5) The provisions of the FTA grant agreement with the state 
that provides 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, Federal guidance 
pertaining to the SIB program, the provisions of the cooperative 
agreement establishing the SIB program within the state, or the 
provisions of the FTA grant agreement.
    B. The state agrees to comply with, and assures the compliance 
of the SIB and each subrecipient of assistance provided by the SIB 
with, all applicable requirements for the SIB program, as those 
requirements may be amended from time to time. Pursuant to the 
requirements of subsection 1511(h)(2) of TEA-21, 23 U.S.C. 181 note, 
the state understands and agrees that any previous cooperative 
agreement entered into with FHWA and FTA under section 350 of the 
National Highway System Designation Act of 1995, as amended, 23 
U.S.C. 101 note, has been or will be revised to comply with the 
requirements of TEA-21.
    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.

[[Page 65181]]

    F. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    G. The state recognizes that the SIB, rather than the State 
itself, will be ultimately responsible for implementing many Federal 
requirements covered by the certifications and assurances 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 regarding participation of 
disadvantaged business enterprises 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 
metropolitan Transportation Improvement Program in which the 
subrecipient is located; and the requisite 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 Federal 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 and assurances 
the state has signed. Having taken appropriate measures to secure 
the necessary compliance of each subrecipient, the state assures, on 
behalf of each subrecipient, that:
    (1) The subrecipient has complied or will comply with all 
applicable civil rights requirements;
    (2) The subrecipient has complied or will comply with applicable 
requirements of U.S. DOT regulations regarding participation of 
disadvantaged business enterprises in U.S. DOT programs;
    (3) The subrecipient has complied or will comply with Federal 
requirements regarding transportation of elderly persons and persons 
with disabilities;
    (4) The subrecipient has 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) The subrecipient has 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) The subrecipient has 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, the subrecipient has complied or will comply with 
the requirement to provide demand responsive service to persons with 
disabilities, including persons who use wheelchairs, meeting the 
standards of equivalent service set forth in 49 CFR 37.77(c), before 
purchasing non-accessible vehicles for use in demand responsive 
service for the general public;
    (8) The subrecipient has established or will establish a 
procurement system, and has conducted or will conduct its 
procurements in compliance with all applicable provisions of Federal 
laws, executive orders, regulations, FTA Circular 4220.1D, ``Third 
Party Contracting Requirements,'' as amended and revised, and other 
implementing requirements FTA may issue;
    (9) The subrecipient has 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) The subrecipient has 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) The subrecipient has complied or will comply with all 
applicable lobbying requirements for each application exceeding 
$100,000;
    (12) The subrecipient has complied or will comply with all 
nonprocurement suspension and debarment requirements;
    (13) The subrecipient has complied or will comply with all 
applicable bus testing requirements for new bus models;
    (14) The subrecipient has complied or will comply with all 
applicable pre-award and post-delivery review requirements;
    (15) The subrecipient has complied with or will comply with all 
assurances FTA requires for projects involving real property;
    (16) The subrecipient has complied or will comply with 
applicable FTA Intelligent Transportation Systems architecture 
requirements, to the extent required by FTA; and
    (17) The subrecipient has complied or will comply with 
applicable prevention of alcohol misuse and prohibited drug use 
program requirements, to the extent required by FTA.
    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.
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[FR Doc. 02-26975 Filed 10-22-02; 8:45 am]
BILLING CODE 4910-57-C