[Federal Register Volume 69, Number 206 (Tuesday, October 26, 2004)]
[Notices]
[Pages 62522-62534]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-23871]



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Part II





Department of Transportation





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Federal Transit Administration



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Fiscal Year 2005 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements; 
Notice

  Federal Register / Vol. 69 , No. 206 / Tuesday, October 26, 2004 / 
Notices  

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Fiscal Year 2005 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 2005 certifications and assurances to be used in connection with 
all Federal assistance programs FTA administers during Federal Fiscal 
Year 2005, in compliance with 49 U.S.C. 5323(n).

EFFECTIVE DATE: These certifications and assurances became effective on 
October 1, 2004, the first day of fiscal year 2005.

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 
Administration at (202) 366-4022.

Region 1: Boston

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

Region 2: New York

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

Region 3: Philadelphia

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

Region 4: Atlanta

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

Region 5: Chicago

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

Region 6: Dallas/Ft. Worth

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

Region 7: Kansas City

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

Region 8: Denver

    States served: Colorado, Montana, North Dakota, South Dakota, Utah, 
and Wyoming. Telephone  720-963-3300.

Region 9: San Francisco

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

Region 10: Seattle

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

SUPPLEMENTARY INFORMATION: Before FTA may award Federal financial 
assistance through 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 2005 cover all projects for which the Applicant seeks 
funding during Federal Fiscal Year 2005 through the next fiscal year 
until FTA issues annual Certifications and Assurances for Federal 
Fiscal Year 2006. An Applicant's Annual Certifications and Assurances 
applicable to a specific grant or cooperative agreement generally 
remain in effect for either the duration of the grant or cooperative 
agreement to project closeout or the duration of the project or project 
property when a useful life or industry standard 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 of its Applicants and the projects into a single document for 
publication in the Federal Register. FTA intends to continue publishing 
this document annually, often 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 
(U.S. DOT) annual appropriations act.
    Federal Fiscal Year 2005 Changes: Apart from minor editorial 
revisions, changes include the following:
    (1) Added a new introductory paragraph explaining that:
    (a) Not all certifications and assurances apply to all Applicants.
    (b) The certifications and assurances are pre-award requirements 
and do not encompass all Federal requirements that may apply to the 
Applicant and its project.
    (c) A comprehensive list of Federal requirements is contained in 
FTA Master Agreement for fiscal year 2005 at http://www.fta.dot.gov/16000_16002_ENG.HTML.htm.
    (2) Certification 13A(1)(j) has been revised to explain that in the 
case of an Applicant serving an urbanized area with a population of 
200,000 or more, only capital security projects may be funded with the 
1% of the urbanized area formula funds set aside by 49 U.S.C. 
5307(d)(1)(J)(i) for transit security projects.
    (3) The Affirmation of the Applicant portion of the Signature Page 
has been edited to clarify that the criminal fraud provisions of 18 
U.S.C. 1001 apply to all certifications, assurances, agreements, and 
other submissions to FTA.
    Text of Federal Fiscal Year 2005 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/) in the 
``Recipients'' option at ``View/Modify Recipients,'' at the ``Cert's & 
Assurances'' tab. The certification and assurances also appear on the 
FTA public Web site at http://www.fta.dot.gov/grant_programs/applying_for_managing_grants/3946_ENG_HTML.htm. 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 2005; 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,

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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 it has selected to 
the extent they apply to a project for which the Applicant submits an 
application for assistance in Federal Fiscal Year 2005.
    Requirement for Attorney's Signature: FTA requires a current 
(Federal Fiscal Year 2005) 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 2005 
Certifications and Assurances within 90 days from the date of this 
publication or with their first grant application in Federal Fiscal 
Year 2005, 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 his or her personal 
identification number (PIN), which constitutes the Applicant's 
electronic signature for the certifications and assurances the 
Applicant 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 
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 and assurances 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.

    Issued on: October 19, 2004.
Jennifer L. Dorn,
Administrator.

Appendix A

Federal Fiscal Year 2005 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) assistance programs. FTA requests each 
Applicant to provide as many certifications and assurances as needed 
for all programs for which the Applicant intends to seek FTA 
assistance during Federal Fiscal Year 2005. FTA strongly encourages 
each Applicant to submit its certifications and assurances through 
TEAM-Web, FTA's electronic management system, at http://ftateamweb.fta.dot.gov.
    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. 
Category 02 applies to all applications exceeding $100,000. 
Categories (3) through 16 will apply to and be required for some, 
but not all, Applicants and projects.
    FTA and the Applicant understand and agree that not every 
provision of these certifications and assurances will apply to every 
Applicant or every Project for which FTA provides Federal financial 
assistance through a grant agreement or cooperative agreement. The 
type of Project and the section of the statute authorizing Federal 
financial assistance for the Project will determine which 
requirements apply. The Applicant also understands and agrees that 
these certifications and assurances are pre-award requirements and 
do not encompass all statutory and regulatory requirements that may 
apply to the Applicant or its Project. A comprehensive list of those 
requirements is contained in the current Master Agreement MA(11) for 
Federal Fiscal Year 2005 at http://www.fta.dot.gov/16000_16002_ENG_HTML.htm.

1. 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. Intergovernmental Review Assurance

    The Applicant assures that each application for Federal 
assistance it submits to FTA has been or will be submitted, as 
required by each state, for intergovernmental review to the 
appropriate state and local agencies. Specifically, the Applicant 
assures that it has fulfilled or will fulfill the

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obligations imposed on FTA by U.S. DOT regulations, 
``Intergovernmental Review of Department of Transportation Programs 
and Activities,'' 49 CFR part 17.

D. 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.
    Specifically, during the period in which Federal assistance is 
extended to the project, or project property is used for a purpose 
for which the Federal assistance is extended, or for another purpose 
involving the provision of similar services or benefits, or as long 
as the Applicant retains ownership or possession of the project 
property, whichever is longer, the Applicant assures that:
    (1) 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) 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.
    (3) It will include in each subagreement, property transfer 
agreement, third party contract, third party subcontract, or 
participation agreement adequate provisions to extend the 
requirements of 49 U.S.C. 5332 and 49 CFR part 21 to other parties 
involved therein including any subrecipient, transferee, third party 
contractor, third party subcontractor at any level, successor in 
interest, or any other participant in the project.
    (4) Should it transfer real property, structures, or 
improvements financed with Federal assistance provided by FTA to 
another party, any deeds and instruments recording the transfer of 
that property shall contain a covenant running with the land 
assuring nondiscrimination for the period during which the property 
is used for a purpose for which the Federal assistance is extended 
or for another purpose involving the provision of similar services 
or benefits.
    (5) The United States has a right to seek judicial enforcement 
with regard to any matter arising under the Act, regulations, and 
this assurance.
    (6) 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.

E. 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.

F. Procurement Compliance Certification

    The Applicant certifies that its procurements and procurement 
system will comply with all applicable third party procurement 
requirements of Federal laws, executive orders, regulations, FTA 
directives, and requirements, as amended and revised, and other 
requirements FTA may issue including FTA Circular 4220.1E, ``Third 
Party Contracting Requirements,'' and any revisions thereto, to the 
extent those requirements are applicable. 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 its 
contracts financed in whole or in part with FTA assistance all 
applicable clauses required by Federal laws, executive orders, or 
regulations.

G. Certifications and Assurances Required by the U.S. Office of 
Management and Budget (OMB) (SF-424B and SF-424D) As required by 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 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

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    (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, among other things, 
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 
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. 3141 et seq., the Copeland ``Anti-
Kickback'' Act, as amended, 18 U.S.C. 874, and the Contract Work 
Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq., 
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 Applicants and subrecipients 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 the 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) To the extent required by FTA, will record the Federal 
interest in the title of real property 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. 
4321-4335 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-
1465;
    (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. 7401-7671q;
    (g) Protection of underground sources of drinking water under 
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f-
300j-6;
    (h) Protection of endangered species under the Endangered 
Species Act of 1973, as amended, 16 U.S.C. 1531-1544; 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 to be used in a 
transportation project as required by 49 U.S.C. 303(b) and (c);
    (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. 1271-1287; and
    (k) Provision of assistance to FTA in complying 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-469c; 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. 1501-1508, and 7324-7326, 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;

[[Page 62526]]

    (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., OMB Circular No. A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations,'' Revised, and the most 
recent applicable OMB A-133 Compliance Supplement provisions for the 
Department of Transportation; and
    (19) Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations, and policies governing 
the project.

2. Lobbying

    An Applicant that submits or intends to submit an application 
for Federal assistance exceeding $100,000 must provide the following 
certification. FTA may not award Federal assistance 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 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 Federal agency, a Member 
of Congress, an officer or employee of Congress, or an employee of a 
Member of Congress regarding the award of 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 to influence or attempt to influence 
an officer or employee of any Federal agency, a Member of Congress, 
an officer or employee of Congress, or an employee of a Member of 
Congress in connection with any application for Federal assistance, 
the Applicant assures that it will complete and submit Standard 
Form-LLL, ``Disclosure Form to Report Lobbying,'' including 
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.
    (3) The language of this certification shall be included in the 
award documents for all subawards at all tiers (including 
subcontracts, subgrants, and contracts under grants, loans, and 
cooperative agreements).
    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. 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).

4. 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 proposed project; and
    D. Determined that the proposed project is consistent with 
official plans for developing the urban area.

5. Acquisition of Rolling Stock

    An Applicant seeking Federal assistance authorized by 49 U.S.C. 
chapter 53 to acquire any rolling stock must provide the following 
certification. FTA may not award any Federal assistance to acquire 
such 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.

6. Bus Testing

    An Applicant for Federal assistance appropriated or made 
available for 49 U.S.C. chapter 53 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.

7. Charter Service Agreement

    An Applicant seeking Federal assistance authorized by 49 U.S.C. 
chapter 53 (except 49 U.S.C. 5310), or Title 23, U.S.C. to acquire 
or operate any mass transportation equipment or facilities must 
enter into the following Charter Service Agreement. FTA may not 
provide assistance authorized by 49 U.S.C. chapter 53 (except 49 
U.S.C. 5310), or by Title 23, U.S.C. for projects 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 each of its subrecipients and third party contractors at each 
tier 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. for transportation 
projects, only to the extent that there are no private charter 
service operators willing and able to provide the charter service 
that it or its subrecipients or third party contractors 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

[[Page 62527]]

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 or its subrecipients or third party contractors 
provide,
    (2) The definitions of 49 CFR part 604 will 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.

8. School Transportation Agreement

    An Applicant seeking Federal assistance authorized by 49 U.S.C. 
chapter 53 or by Title 23, U.S.C. to acquire or operate 
transportation facilities and equipment 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 implementing FTA 
regulations at 49 CFR 605.14, the Applicant agrees that it and each 
of its subrecipients and third party contractors at each tier 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 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 or its subrecipients or third party 
contractors provide,
    (2) The definitions of 49 CFR part 605 will 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.

9. Demand Responsive Service

    An Applicant that operates demand responsive service and applies 
for direct Federal assistance authorized for 49 U.S.C. chapter 53 to 
acquire non-rail mass transportation vehicles is required to provide 
the following certification. FTA may not award direct Federal 
assistance authorized for 49 U.S.C. chapter 53 to an Applicant that 
operates demand responsive service to acquire non-rail mass 
transportation vehicles 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(d), 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 the Applicant's service is 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 an Applicant is required by FTA 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 the use of Federal 
assistance for 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

    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.''
    As used in this assurance, the term Intelligent Transportation 
Systems (ITS) project is defined to include 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.''
    A. In accordance with section 5206(e) of TEA-21, 23 U.S.C. 502 
note, the Applicant assures it will comply with all applicable 
requirements of Section V (Regional ITS Architecture) and Section VI 
(Project Implementation) of FTA Notice, ``FTA National ITS 
Architecture Policy on Transit Projects,'' at 66 FR 1455 et seq., 
January 8, 2001, and other FTA requirements that may be issued in 
connection with any ITS project financed with Highway Trust Funds 
(including funds from the Mass Transit Account) or funds made 
available for the Intelligent Transportation Systems Program 
authorized by TEA-21, title V, subtitle C, 23 U.S.C. 502 note.
    B. With respect to any ITS project financed with Federal 
assistance derived from a source other than Highway Trust Funds 
(including funds from the Mass Transit Account) or TEA-21, title V, 
subtitle C, 23 U.S.C. 502 note, the Applicant assures that it will 
use its best efforts to ensure that any ITS project it undertakes 
will not preclude interface with other intelligent transportation 
systems in the Region.

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.
    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 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 and assures as follows:
    (a) It has or will have the legal, financial, and technical 
capacity to carry out the proposed program of projects;

[[Page 62528]]

    (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 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, each fiscal year, the 
Applicant will spend at least one (1) percent of its funds 
authorized by 49 U.S.C. Sec.  5307(d)(1)(J) for transit security 
projects (this includes only capital projects in the case of an 
Applicant serving an urbanized area with a population of 200,000 or 
more), unless the Applicant has certified to FTA that such 
expenditures are not necessary and FTA accepts that certification. 
Transit security projects include 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, if 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 as follows:
    (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 
provide only incremental Federal assistance unless it has adequate 
financial resources 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 that item and the price of that item is no more than the price 
similar customers pay for that item, and that for each such 
procurement, it will maintain sufficient records on file and easily 
retrievable for inspection by FTA.

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 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 prospective subrecipient of capital 
assistance that is a

[[Page 62529]]

public body 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. After 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 4220.1E, ``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.
    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. After 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 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

[[Page 62530]]

in compliance with all applicable provisions of Federal laws, 
executive orders, regulations, FTA Circular 4220.1E, ``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 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.
    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.
    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 concerning any transit Project 
financed with Federal assistance derived from its SIB have been or 
will be fulfilled:
    A. The state organization, which is serving as the Applicant 
(state) for Federal assistance for its SIB, agrees and assures the 
agreement of its SIB and the agreement of 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 
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 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 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 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. After 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 
to disburse Federal assistance for a project, the subrecipient's 
project is included in the Statewide Transportation Improvement 
Program; all

[[Page 62531]]

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 as 
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 that the 
SIB may issue shall contain an express statement that the security 
or debt financing instrument does not constitute a commitment, 
guarantee, or obligation of the United States.
    H. The state also 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. After 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 4220.1E, ``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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BILLING CODE 4910-57-P

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Notices  

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[FR Doc. 04-23871 Filed 10-25-04; 8:45 am]
BILLING CODE 4910-57-C