[Federal Register Volume 73, Number 212 (Friday, October 31, 2008)]
[Notices]
[Pages 65010-65029]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-26030]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Federal Fiscal Year 2009 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: Pursuant to 49 U.S.C. 5323(n), FTA is authorized to 
consolidate the certifications and assurances required by Federal law 
or regulations for its programs into a single document. FTA is also 
required by 49 U.S.C. 5323(n) to publish a list of those certifications 
and assurances annually.
    Appendix A of this Notice contains the comprehensive compilation of 
FTA's Certifications and Assurances for Federal Fiscal Year (Federal 
FY) 2009 applicable to the various Federal assistance programs that FTA 
will administer during that Federal FY. FTA's Certifications and 
Assurances for Federal FY 2009 reflect Federal statutory, regulatory, 
and programmatic changes that have now become effective.

DATES: Effective Date: These FTA Certifications and Assurances are 
effective on October 1, 2008, the first day of Federal FY 2009.

FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate FTA 
Regional Office or FTA Metropolitan 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 York and New Jersey. Telephone  212-
668-2170.

Region 3: Philadelphia

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

Region 4: Atlanta

    States served: Alabama, Florida, Georgia, Kentucky, Mississippi, 
North Carolina, Puerto Rico, South Carolina, Tennessee, and the U.S. 
Virgin Islands. Telephone  404-865-5600.

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

Region 10: Seattle

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

Lower Manhattan Recovery Office

    Area served: Lower Manhattan. Telephone  212-668-1770.

New York Metropolitan Office

    Area served: New York Metropolitan Area. Telephone  212-
668-2201.

Philadelphia Metropolitan Office

    Area served: Philadelphia Metropolitan Area. Telephone  
215-656-7070.

Washington DC Metropolitan Office

    Area served: Washington DC Metropolitan Area. Telephone  
202-219-3562/219-3565.

Chicago Metropolitan Office

    Area served: Chicago Metropolitan Area. Telephone  312-
886-1616.

Los Angeles Metropolitan Office

    Area served: Los Angeles Metropolitan Area. Telephone  
213-202-3950.

SUPPLEMENTARY INFORMATION:

1. Purposes

    The purposes of this Notice are to:
     Publish FTA's Federal FY 2009 Certifications and 
Assurances for Applicants for Federal assistance administered by FTA 
and the Projects for which they seek Federal assistance.
     Highlight new changes to the FTA Certifications and 
Assurances now in effect.
     Identify locations where these FTA Certifications and 
Assurances may be viewed, and
     Provide directions for submitting these FTA Certifications 
and Assurances.

2. Background

    a. FTA's Responsibilities. Since Federal FY 1995, FTA has been

[[Page 65011]]

consolidating the various certifications and assurances that may be 
required of its Applicants and their projects into a single document 
for publication in the Federal Register. FTA intends to continue 
publishing this document annually, when feasible 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. 
Because U.S. DOT's full-year appropriations for Federal FY 2009 were 
not signed into law on October 1, 2008 (the first day of Federal FY 
2009), and have not yet been signed into law, FTA is proceeding with 
publication of its Certifications and Assurances for FY 2009.
    b. Applicant's Responsibilities. Irrespective of whether a project 
will be financed under the authority of 49 U.S.C. chapter 53, Title 23, 
United States Code, or another Federal statute, the Applicant must 
submit Federal FY 2009 Certifications and Assurances to FTA applicable 
to all projects for which the Applicant seeks funding during Federal FY 
2009.
    FTA requests that an Applicant to submit all of the twenty-four 
(24) categories of the Certifications and Assurances that may be needed 
for all projects for which the Applicant intends to or might seek 
Federal assistance in the Federal FY 2009. Selecting and submitting 
these Certifications and Assurances to FTA signifies the Applicant's 
intent and ability to comply with all applicable provisions thereof.
    In order to assure FTA that the Applicant is authorized under State 
and local law to certify compliance with the FTA Certifications and 
Assurances it has selected, FTA requires the Applicant to obtain a 
current (Federal FY 2009) affirmation signed by the Applicant's 
attorney affirming the Applicant's legal authority to certify its 
compliance with the FTA Certifications and Assurances that the 
Applicant has selected. The Applicant's attorney must sign this 
affirmation during Federal FY 2009. Irrespective of whether the 
Applicant makes a single selection of all twenty-four (24) categories 
of FTA Certifications and Assurances or selects individual categories 
from the FTA Certifications and Assurances, the Affirmation of 
Applicant's Attorney from a previous Federal FY is not acceptable, 
unless FTA expressly determines otherwise in writing.
    c. Effect of Subrecipient Participation. Absent a written 
determination by FTA to the contrary, the Applicant itself is 
ultimately responsible for compliance with the FTA Certifications and 
Assurances it has selected even though the Project may be carried out 
in whole or in part by one or more subrecipients. Thus, if 
subrecipients will be participating in the Project, when the Applicant 
submits its FTA Certifications and Assurances, the Applicant is also 
signifying that it will be responsible for compliance, both of itself 
and of each of its subrecipients, with the provisions of the FTA 
Certifications and Assurances it has selected. Therefore, in providing 
Certifications and Assurances that necessarily involve the compliance 
of any prospective subrecipient, FTA strongly recommends that the 
Applicant take the appropriate measures, including but not limited to 
obtaining sufficient documentation from each subrecipient participating 
in the project, to assure the validity of the Applicant's 
Certifications and Assurances to FTA.

3. Significant Information About FTA's Certifications and Assurances 
for Federal FY 2009

a. Legal Implications

    (1) Binding Commitments. Because the Applicant is required by 
Federal law and regulations to comply with the applicable provisions of 
all FTA Certifications and Assurances it submits, it is important that 
the Applicant be familiar with the provisions of all twenty-four (24) 
categories of FTA Certifications and Assurances for Federal FY 2009. 
The text of those Certifications and Assurances is contained in 
Appendix A of this Notice, and also appears at http://www.fta.dot.gov/documents/2009-Certs-Appendix.A.pdf, and in FTA's electronic award and 
management system, TEAM-Web, http://ftateamweb.fta.dot.gov, at the 
``Cert's & Assurances'' tab of the ``View/Modify Recipients'' page in 
the ``Recipients'' option. Provisions of this Notice supersede 
conflicting statements in any FTA circular containing a previous 
version of FTA's annual Certifications and Assurances. The 
Certifications and Assurances contained in those FTA circulars are 
merely examples, and are not acceptable or valid for Federal FY 2009.
    An Applicant's annual Certifications and Assurances to FTA 
generally remain in effect for either the duration of the Grant or 
Cooperative Agreement supporting the Project until the Project is 
closed out or for the duration of the Project or Project property when 
a useful life or industry standard is in effect, whichever occurs 
later. If, however, the Applicant provides Certifications and 
Assurances to FTA in a later year that differ from the Certifications 
and Assurances previously provided, the later Certifications and 
Assurances will apply to the Grant, Cooperative Agreement, Project, or 
Project property, except to the extent FTA permits otherwise in 
writing.
    (2) Penalties for Noncompliance. If the Applicant makes a false, 
fictitious, or fraudulent claim, statement, submission, certification, 
assurance, or representation to the Federal government or includes a 
false, fictitious, or fraudulent statement or representation in any 
agreement with the Federal government in connection with a Project 
authorized under 49 U.S.C. chapter 53 or any other Federal law, the 
Federal government reserves the right to impose on the Applicant the 
penalties of the Program Fraud Civil Remedies Act of 1986, as amended, 
31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations, 
``Program Fraud Civil Remedies,'' 49 CFR part 31, or the penalties of 
49 U.S.C. 5323(l) invoking the criminal provisions of 18 U.S.C. 1001, 
or other applicable Federal law to the extent the Federal government 
deems appropriate.
    (3) FTA's Certifications and Assurances Constitute Only a Partial 
List of Federal Requirements. FTA cautions that the FTA Certifications 
and Assurances required by Federal law and regulations do not address 
all the Federal requirements that will apply to the Applicant and its 
Project. FTA's Certifications and Assurances are generally pre-award 
requirements, i.e., those requirements of Federal law and regulations 
the Applicant must fulfill before FTA is legally authorized to award of 
Federal financial assistance to an Applicant.
    (4) Other Federal Requirements. Because FTA's Certifications and 
Assurances do not encompass all Federal requirements that will apply to 
the Applicant and its Project, FTA strongly encourages the Applicant to 
review the Federal authorizing legislation, regulations, and directives 
pertaining to the program or programs for which the Applicant seeks 
Federal assistance. The FTA Master Agreement for Federal FY 2009 at 
http://www.fta.dot.gov/documents/15-Master.pdf identifies a substantial 
number of those Federal laws, regulations, and directives that apply to 
Applicants and their various projects.
    b. Importance of FTA's Certifications and Assurances for Federal FY 
2009. Following publication of these Certifications and Assurances, FTA 
may not award Federal financial assistance through a Federal Grant or 
Cooperative Agreement until the Applicant submits

[[Page 65012]]

all of the FTA Certifications and Assurances for Federal FY 2009 
pertaining to itself and its project as required by Federal laws and 
regulations. The Applicant's Certifications and Assurances for Federal 
FY 2009 will be applicable to all projects for which it seeks Federal 
assistance during Federal FY 2009 and through the next Federal FY until 
FTA issues its annual Certifications and Assurances for Federal FY 
2010.
    c. Federal FY 2009 Changes. Apart from minor editorial revisions, 
significant changes to FTA's Certifications and Assurances include the 
following:
    (1) In the Introductory paragraphs preceding the text of FTA's 
Certifications and Assurances:
    (a) The FTA Web site for the FTA Master Agreement for Federal FY 
2009 is identified as http://www.fta.dot.gov/documents/15-Master.pdf.
    (b) A new provision has been added expressly reminding the 
Applicant that when it applies for FTA assistance on behalf of a 
consortium, joint venture, partnership, or team, each member of that 
consortium, joint venture, partnership, or team is responsible for 
compliance with the certifications and assurances the Applicant selects 
pertaining to any FTA assisted project.
    (2) Category 09. The Charter Service Agreement has been amended for 
consistency with the new FTA regulations, ``Charter Service,'' 
published at 73 FR 2325 et seq., January 14, 2008, and amended at 73 FR 
44927 et seq., August 1, 2008, and 73 FR 46554 et seq., August 11, 
2008.
    (3) Categories 13 and 21. Subsection 201(i) of the SAFETEA-LU 
Technical Corrections Act, 2008, Pub. L. 110-244, June 6, 2008, changed 
the name of the ``Alternative Transportation in Parks and Public Lands 
Program'' to the ``Paul S. Sarbanes Transit in Parks Program.'' 
References to that program have been amended to reflect the new name 
change.
    d. When to Submit. All Applicants for FTA formula program or 
capital program assistance, and current FTA Grantees with an active 
project financed with FTA formula program or capital program 
assistance, are expected to provide their FTA Certifications and 
Assurances for Federal FY 2009 within 90 days from the date of this 
publication or as soon as feasible after their first application for 
Federal assistance authorized or made available for Federal FY 2009, 
whichever is earlier. In addition, FTA encourages Applicants seeking 
Federal assistance for other projects to submit their FTA 
Certifications and Assurances to FTA as soon as possible to expedite 
awards of FTA assistance.

4. Ways to Submit FTA's Certifcations and Assurances

    As further explained, FTA will accept an Applicant's Certifications 
and Assurances submitted either in TEAM-Web at http://ftateamweb.fta.dot.gov, or on paper containing the text set forth on 
the Signature Page(s) of Appendix A of this Notice. In order of 
preference, FTA permits:
    a. Electronic Submission in TEAM-Web. An Applicant registered in 
TEAM-Web must submit its FTA Certifications and Assurances, as well as 
its applications for Federal assistance in TEAM-Web. FTA prefers that 
other Applicants for Federal assistance submit their FTA Certifications 
and Assurances through TEAM-Web.
    The TEAM-Web ``Recipients'' option at the ``Cert's & Assurances'' 
tab of the ``View/Modify Recipients'' page contains fields for 
selecting among the twenty-four (24) categories of FTA Certifications 
and Assurances to be submitted. There is also a field for entering a 
single selection covering all twenty-four (24) categories of FTA 
Certifications and Assurances.
    Within the ``Cert's & Assurances'' 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 FTA Certifications and Assurances 
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 FTA Certifications and Assurances the Applicant has 
selected. The Applicant's authorized representative may enter his or 
her PIN in lieu of the attorney's PIN, provided that the Applicant has 
a current Affirmation of Applicant's Attorney as set forth in Appendix 
A of this Notice, written and signed by the attorney in Federal FY 
2009.
    For more information, the Applicant may contact the appropriate FTA 
Regional Office or Metropolitan Office listed in this Notice or the 
TEAM-Web Helpdesk.
    b. Paper Submission. Only if the Applicant is unable to submit its 
FTA Certifications and Assurances in TEAM-Web may the Applicant submit 
its FTA Certifications and Assurances on paper.
    If an Applicant is unable to submit its FTA Certifications and 
Assurances electronically, it must mark the categories of FTA 
Certifications and Assurances it is making on the Signature Page(s) in 
Appendix A of this Notice and submit them 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.
    The Applicant must enter its signature on the Signature Page(s) and 
must provide an Affirmation of Applicant's Attorney pertaining to the 
Applicant's legal capacity to make and comply with the Certifications 
and Assurances the Applicant has selected. 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 as 
set forth in Appendix A of this Notice, written and signed by the 
attorney and dated in Federal FY 2009.
    For more information, the Applicant may contact the appropriate FTA 
Regional Office or Metropolitan Office listed in this Notice.

    Authority. 49 U.S.C. chapter 53; the Safe, Accountable, 
Flexible, Efficient Transportation Equity Act: A Legacy for Users 
(SAFETEA-LU), as amended by the SAFETEA-LU Technical Corrections 
Act, 2008, Pub. L. 110-244, June 6, 2008; Title 23, United States 
Code (Highways); other Federal laws administered by FTA; U.S. DOT 
and FTA regulations at Title 49, Code of Federal Regulations; and 
FTA Circulars.

    Issued in Washington, DC, this 27th day of October 2008.
James S. Simpson,
Administrator.

Federal Fiscal Year 2009 Certifications and Assurances for Federal 
Transit Administration Assistance Programs

Preface

    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 
2009. Category 01 applies to all Applicants. Category 02 applies to all 
applications for Federal assistance in excess of $100,000. Categories 
03 through 24 will apply to and be required for some, but not all, 
Applicants and projects. An Applicant may select a single certification 
that will cover all the programs for which it anticipates submitting an 
application. FTA requests the Applicant to read each certification and 
assurance carefully and select all certifications and assurances that 
may apply to the programs for

[[Page 65013]]

which it expects to seek Federal assistance.
    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 provisions apply. The terms of 
these certifications and assurances reflect applicable requirements of 
FTA's enabling legislation currently in effect.
    The Applicant also understands and agrees that these certifications 
and assurances are special preaward requirements specifically 
prescribed by Federal law or regulation and do not encompass all 
Federal laws, regulations, and directives that may apply to the 
Applicant or its project. A comprehensive list of those Federal laws, 
regulations, and directives is contained in the current FTA Master 
Agreement MA(15) for Federal Fiscal Year 2009 at the FTA Web site 
http://www.fta.dot.gov/documents/15-Master.pdf. The certifications and 
assurances in this document have been streamlined to remove most 
provisions not covered by statutory or regulatory certification or 
assurance requirements.
    Because many requirements of these certifications and assurances 
will require the compliance of the subrecipient of an Applicant, we 
strongly recommend that each Applicant, including a State, that will be 
implementing projects through one or more subrecipients, secure 
sufficient documentation from each subrecipient to assure compliance, 
not only with these certifications and assurances, but also with the 
terms of the Grant Agreement or Cooperative Agreement for the project, 
and the applicable Master Agreement for its project, if applicable, 
incorporated therein by reference. Each Applicant is ultimately 
responsible for compliance with the provisions of the certifications 
and assurances applicable to itself or its project irrespective of 
participation in the project by any subrecipient. The Applicant 
understands and agrees that when it applies for FTA assistance on 
behalf of a consortium, joint venture, partnership, or team, each 
member of that consortium, joint venture, partnership, or team is 
responsible for compliance with the certifications and assurances the 
Applicant selects.
    FTA strongly encourages each Applicant to submit its certifications 
and assurances through TEAM-Web, FTA's electronic award and management 
system, at http://ftateamweb.fta.dot.gov. Twenty-four (24) Categories 
of certifications and assurances are listed by numbers 01 through 24 in 
the TEAM-Web ``Recipients'' option at the ``Cert's & Assurances'' tab 
of ``View/Modify Recipients.'' Should the Applicant choose not to 
submit its certifications and assurances through TEAM-Web, the 
Applicant may submit its certifications and assurances on paper by 
submitting the Signature Page(s) at the end of this document, 
indicating the certifications and assurances it is making on one side 
of the document or on one page, and signing its affirmation and that of 
its attorney on the other side or other page.

01. Assurances Required for Each Applicant

    Each Applicant for FTA assistance must provide all assurances in 
this Category ``01.'' Except to the extent that FTA expressly 
determines otherwise in writing, FTA may not award any Federal 
assistance until the Applicant provides the following assurances by 
selecting Category ``01.''

A. Assurance of Authority of the 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, local, or Indian tribal law and regulations, 
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 and regulations 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 with FTA 
issued for its project. The Applicant recognizes that Federal laws and 
regulations may be modified from time to time and those modifications 
may affect project implementation. The Applicant understands that 
Presidential executive orders and Federal directives, including Federal 
policies and program guidance may be issued concerning matters 
affecting the Applicant or its project. The Applicant agrees that the 
most recent Federal laws, regulations, and directives will apply to the 
project, unless FTA issues a written determination otherwise.

C. Intergovernmental Review Assurance

    Except if the Applicant is an Indian tribal government seeking 
assistance authorized by 49 U.S.C. 5311(c)(1), the Applicant assures 
that each application for Federal assistance it submits to FTA has been 
submitted or will be submitted for intergovernmental review to the 
appropriate State and local agencies as determined by the State. 
Specifically, the Applicant assures that it has fulfilled or will 
fulfill the obligations imposed on FTA by U.S. Department of 
Transportation (U.S. DOT) regulations, ``Intergovernmental Review of 
Department of Transportation Programs and Activities,'' 49 CFR part 17. 
This assurance does not apply to Applicants for Federal assistance 
under FTA's Tribal Transit Program, 49 U.S.C. 5311(c)(1).

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), by 
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, 
and by 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 imposed by or issued 
pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21, 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,

[[Page 65014]]

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, 42 U.S.C. 2000d, 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 provisions.
    (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 
imposed by or issued pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d 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 Title VI of the Civil Rights Act, 
U.S. DOT implementing regulations, and this assurance.
    (6) It will make any changes in its Title VI implementing 
procedures as U.S. DOT or FTA may request to achieve compliance with 
the requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42 
U.S.C. 2000d, and 49 CFR part 21.

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 other applicable Federal laws 
that may be enacted or Federal regulations that may be promulgated.

F. U.S. Office of Management and Budget (OMB) Assurances

    Consistent with OMB assurances set forth in SF-424B and SF-424D, 
the Applicant assures that, with respect to itself or its project, the 
Applicant:
    (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 assure 
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 disability;
    (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, as amended, 21 
U.S.C. 1101 et seq., relating to nondiscrimination on the basis of drug 
abuse;
    (f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act 
of 1970, as amended, 42 U.S.C. 4541 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. 
201 et seq., relating 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; and
    (i) Any other nondiscrimination statute(s) that may apply to the 
project;
    (6) To the extent applicable, 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 persons whose property is acquired as a result of 
federally assisted programs. These requirements apply to all interests 
in real property acquired for project purposes and displacement caused 
by the project 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 by 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

[[Page 65015]]

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 that Act or has complied with that Act and those 
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;
    (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 their 
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 projects;
    (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 the 
Applicant and its 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) To the extent applicable, 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) To the extent applicable, 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 
FTA;
    (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) To the extent applicable, will comply with FTA provisions 
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) To the extent applicable, will provide and maintain competent 
and adequate engineering supervision at the construction site of any 
project supported with FTA assistance to assure 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) To the extent applicable, 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 
through 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 No. 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 through 
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 through 7671q;
    (g) Protection of underground sources of drinking water under the 
Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f through 
300j-6;
    (h) Protection of endangered species under the Endangered Species 
Act of 1973, as amended, 16 U.S.C. 1531 through 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 303(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 through 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; with the Archaeological and Historic Preservation Act of 1974, as 
amended, 16 U.S.C. 469 through 469c ; and with

[[Page 65016]]

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 49 
U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), the Hatch Act does not apply to 
a nonsupervisory employee of a public transportation system (or of any 
other agency or entity performing related functions) receiving FTA 
assistance to whom that Act does not otherwise apply;
    (16) To the extent applicable, 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) To the extent applicable, will comply with the Animal Welfare 
Act, 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 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 U.S. DOT; and
    (19) To the extent applicable, will comply with all applicable 
provisions of all other Federal laws or regulations, and follow Federal 
directives governing the project, except to the extent that FTA has 
expressly approved otherwise in writing.

02. Lobbying Certification

    An Applicant that submits or intends to submit an application to 
FTA for Federal assistance exceeding $100,000 is required to 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 31 U.S.C. 1352 and 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 to FTA 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, subagreements, 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 by the Federal 
government 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. Procurement Compliance

    In accordance with 49 CFR 18.36(g)(3)(ii), each Applicant that is a 
State, local, or Indian tribal government that is seeking Federal 
assistance to acquire property or services in support of its project is 
requested to provide the following certification by selecting Category 
``03.'' FTA also requests other Applicants to provide the following 
certification. An Applicant for FTA assistance to acquire property or 
services in support of its project that fails to provide this 
certification may be determined ineligible for award of Federal 
assistance for the project, if FTA determines that its procurement 
practices and procurement system fail to comply with Federal laws or 
regulations in accordance with applicable Federal directives.
    The Applicant certifies that its procurements and procurement 
system will comply with all applicable Federal laws and regulations in 
accordance with applicable Federal directives, except to the extent FTA 
has expressly approved otherwise in writing.

04. Protections for Private Transportation Providers

    Each Applicant that is a State, local, or Indian tribal government 
that is seeking Federal assistance authorized under 49 U.S.C. chapter 
53 to acquire any property or an interest in the property of a private 
provider of public transportation or to operate public transportation 
equipment or facilities in competition with, or in addition to, 
transportation service provided by an existing private provider of 
public transportation is required to provide the following 
certification. FTA may not award Federal assistance for such a project 
until the Applicant provides this certification by selecting Category 
``04.''
    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 provider of public transportation or operates public 
transportation equipment or facilities in competition with, or in 
addition to, transportation service provided by an existing public 
transportation company, it has or will have:
    A. Determined that the assistance is essential to carrying out a 
program of projects as required by 49 U.S.C. 5303, 5304, and 5306;
    B. Provided for the participation of private companies engaged in 
public transportation to the maximum extent feasible; and
    C. Paid just compensation under State or local law to the company 
for any franchise or property acquired.

05. Public Hearing

    An Applicant seeking Federal assistance authorized under 49 U.S.C. 
chapter 53 for a capital project that will substantially affect a 
community or a community's public transportation service is required to 
provide the following certification. FTA may not

[[Page 65017]]

award Federal assistance for a capital project of that type until the 
Applicant provides this certification by selecting Category ``05.''
    As required by 49 U.S.C. 5323(b), for a proposed capital project 
that will substantially affect a community, or the public 
transportation service of a community, the Applicant certifies that it 
has, or before submitting its application, it will have:
    A. Provided an adequate opportunity for public review and comment 
on the proposed project;
    B. After providing notice, including a concise description of the 
proposed project, published in a newspaper of general circulation in 
the geographic area to be served, held a public hearing on the project 
if the project affects significant economic, social, or environmental 
interests;
    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 community.

06. Acquisition of Rolling Stock for Use in Revenue Service

    An Applicant seeking Federal assistance authorized under 49 U.S.C. 
chapter 53 to acquire any rolling stock for use in revenue service is 
required to 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 ``06.''
    As required by 49 U.S.C. 5323(m) and implementing FTA regulations, 
``Pre-Award and Post-Delivery Audits of Rolling Stock Purchases,'' 49 
CFR part 663, at 49 CFR 663.7, the Applicant certifies that it will 
comply with the requirements of 49 CFR part 663 as modified by 
amendments authorized by section 3023(k) of SAFETEA-LU when procuring 
revenue service rolling stock. Among other things, the Applicant agrees 
to conduct or cause to be conducted the requisite preaward and post 
delivery reviews, and maintain on file the certifications required by 
49 CFR part 663, subparts B, C, and D.

07. Acquisition of Capital Assets by Lease

    An Applicant that intends to request the use of Federal assistance 
authorized under 49 U.S.C. chapter 53 to acquire capital assets by 
lease is required to provide the following certifications. FTA may not 
provide Federal assistance to support those costs until the Applicant 
provides this certification by selecting Category ``07.''
    As required by FTA regulations, ``Capital Leases,'' 49 CFR part 
639, 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 under 49 U.S.C. chapter 53, the Applicant certifies as 
follows:
    (1) It will not use Federal assistance authorized 49 U.S.C. chapter 
53 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; and it 
will complete these calculations before entering into the lease or 
before receiving a capital grant for the asset, whichever is later; and
    (2) 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 if 
Federal assistance is not available for capital projects in the 
subsequent years.

08. 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 is required to 
provide the following certification. FTA may not provide Federal 
assistance for the acquisition of any new bus model or bus model with a 
major change until the Applicant provides this certification by 
selecting Category ``08.''
    As required by 49 U.S.C. 5318 and 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):
    A. The bus model will have been tested at FTA's bus testing 
facility; and
    B. The Applicant will have received a copy of the test report 
prepared on the bus model.

09. Charter Service Agreement

    An Applicant seeking Federal assistance authorized under 49 U.S.C. 
chapter 53 (except as permitted by 49 CFR 604.2), or under 23 U.S.C. 
133 or 142, to acquire or operate any public transportation equipment 
or facilities is required to enter into the following Charter Service 
Agreement. FTA may not provide Federal assistance authorized under 49 
U.S.C. chapter 53 (except as permitted by 49 CFR 604.2), or under 23 
U.S.C.133 or 142, for such projects until the Applicant enters into 
this Charter Service Agreement by selecting Category ``09.''
    A. As required by 49 U.S.C. 5323(d) and (g) and FTA regulations at 
49 CFR 604.4, the Applicant understands and agrees that it and each 
subrecipient, lessee, third party contractor, or other participant in 
the project at any tier may provide charter service for transportation 
projects that uses equipment or facilities acquired with Federal 
assistance authorized under the Federal transit laws (except as 
permitted by 49 CFR 604.2), or under 23 U.S.C. 133 or 142, only in 
compliance with those laws and FTA regulations, ``Charter Service,'' 49 
CFR part 604, the terms and conditions of which are incorporated herein 
by reference.
    B. The Applicant understands and agrees that:
    (1) The requirements of FTA regulations, ``Charter Service,'' 49 
CFR part 604, will apply to any charter service it or its 
subrecipients, lessees, third party contractors, or other participants 
in the project provide,
    (2) The definitions of FTA regulations, ``Charter Service,'' 49 CFR 
part 604, will apply to this Charter Service Agreement, and
    (3) A pattern of violations of this Charter Service Agreement may 
require corrective measures and imposition of remedies, including 
barring the Applicant, subrecipient, lessee, third party contractor, or 
other participant in the project that has engaged in that pattern of 
violations from receiving FTA financial assistance, or withholding an 
amount of Federal assistance as set forth in FTA regulations, ``Charter 
Service,'' 49 CFR part 604, Appendix D.

10. School Transportation Agreement

    An Applicant that is seeking Federal assistance authorized under 49 
U.S.C. chapter 53 or under 23 U.S.C. 133 or 142 to acquire or operate 
public transportation facilities and equipment is required to enter 
into the following School Transportation Agreement. FTA may not provide 
Federal assistance authorized under 49 U.S.C. chapter 53 or under 23 
U.S.C. 133 or 142 for such projects until the Applicant enters into 
this School Transportation Agreement by selecting Category ``10.''
    A. As required by 49 U.S.C. 5323(f) and (g) and FTA regulations at 
49 CFR 605.14, the Applicant understands and agrees that it and each 
subrecipient, lessee, third party contractor, or other participant in 
the project at any tier may engage in school transportation operations 
in competition with private school transportation operators that uses 
equipment or facilities acquired with

[[Page 65018]]

Federal assistance authorized under the Federal transit laws or under 
23 U.S.C. 133 or 142, only in compliance with those laws and FTA 
regulations, ``School Bus Operations,''49 CFR part 605, to the extent 
consistent with 49 U.S.C. 5323(f) or (g), the terms and conditions of 
which are incorporated herein by reference.
    B. The Applicant understands and agrees that:
    (1) The requirements of FTA regulations, ``School Bus Operations,'' 
49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(f) or 
(g), will apply to any school transportation service it or its 
subrecipients, lessees, third party contractors, or other participants 
in the project provide,
    (2) The definitions of FTA regulations, ``School Bus Operations,'' 
49 CFR part 605 will apply to this School Transportation Agreement, and
    (3) If there is a violation of this School Transportation 
Agreement, FTA will bar the Applicant, subrecipient, lessee, third 
party contractor, or other participant in the project that has violated 
this School Transportation Agreement from receiving Federal transit 
assistance in an amount FTA considers appropriate.

11. 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 public 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 public 
transportation vehicles until the Applicant provides this certification 
by selecting Category ``11.''
    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 
individuals with disabilities, including individuals who use 
wheelchairs, is equivalent to the level and quality of service offered 
to individuals without disabilities. Viewed in its entirety, the 
Applicant's service for individuals 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.

12. Alcohol Misuse and Prohibited Drug Use

    If the Applicant is required by FTA regulations, ``Prevention of 
Alcohol Misuse and Prohibited Drug Use in Transit Operations,'' at 49 
CFR part 655, to provide the following certification concerning its 
activities to prevent alcohol misuse and prohibited drug use in its 
public transportation operations, FTA may not provide Federal 
assistance to that Applicant until it provides this certification by 
selecting Category ``12.''
    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.

13. 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 financed with Federal assistance under the Urbanized 
Area Formula Program, the Capital Investment Program, or the Paul S. 
Sarbanes Transit in Parks Program is required to provide the following 
certification. FTA may not provide Federal assistance to support 
interest or other financing costs until the Applicant provides this 
certification by selecting Category ``13.''
    As required by 49 U.S.C. 5307(g)(3), 5309(g)(2)(B)(iii), 
5309(g)(3)(B)(iii), 5309(i)(2)(C), and 5320(h)(2)(C), the Applicant 
certifies that it will not seek reimbursement for interest or other 
financing costs unless it is eligible to receive Federal assistance for 
those costs and 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.

14. 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,'' 
is requested to provide the following assurance. FTA strongly 
encourages any Applicant for FTA financial assistance to support an ITS 
project to provide this assurance by selecting Category ``14.'' An 
Applicant for FTA assistance for an ITS project that fails to provide 
this assurance, without providing other documentation assuring the 
Applicant's commitment to comply with applicable Federal ITS standards 
and protocols, may be determined ineligible for award of Federal 
assistance for the ITS project.
    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. As provided in SAFETEA-LU section 5307(c), 23 U.S.C. 512 note, 
apart from certain exceptions, ``intelligent transportation system 
projects carried out using funds made available from the Highway Trust 
Fund, including funds made available under this subtitle to deploy 
intelligent transportation system technologies, [shall] conform to the 
national architecture, applicable standards or provisional standards, 
and protocols developed under [SAFETEA-LU, section 5307] subsection 
(a).'' To facilitate compliance with SAFETEA-LU section 5307(c), 23 
U.S.C. 512 note, the Applicant assures it will comply with all 
applicable provisions 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 policies that may be issued in 
connection with any ITS project it undertakes financed with funds 
authorized under Title 49 or Title 23, United States Code, except to 
the extent that FTA expressly determines otherwise in writing.
    B. With respect to any ITS project financed with Federal assistance 
derived from a source other than Title 49 or Title 23, United States 
Code, the Applicant assures that it will use its best efforts to assure 
that any ITS project it undertakes will not preclude interface with 
other intelligent transportation systems in the Region.

15. Urbanized Area Formula Program

    Each Applicant for Urbanized Area Formula Program assistance 
authorized under 49 U.S.C. 5307 is required to provide the following 
certifications on behalf of itself and any subrecipients participating 
in its projects. Unless FTA determines otherwise in writing, the

[[Page 65019]]

Applicant is ultimately responsible for compliance with its 
certifications and assurances even though a subrecipient, lessee, third 
party contractor, or other participant may participate in that project. 
Consequently, in providing certifications and assurances that involve 
the compliance of its prospective subrecipients, the Applicant is 
strongly encouraged to take appropriate measures, including but not 
limited to obtaining sufficient documentation from each subrecipient, 
to assure the validity of all certifications and assurances the 
Applicant has made to FTA. If, however a ``Designated Recipient'' as 
defined at 49 U.S.C. 5307(a)(2)(A) enters into a Supplemental Agreement 
with FTA and a Prospective Grantee, that Grantee is recognized as the 
Applicant for Urbanized Area Formula Program assistance and must 
provide the following certifications and assurances.
    Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to expend at 
least one (1) percent of its Urbanized Area Formula Program assistance 
for public transportation security projects, unless the Applicant has 
certified that such expenditures are not necessary. Information about 
the Applicant's intentions will be recorded in the ``Security'' tab 
page of the TEAM-Web ``Project Information'' window when the Applicant 
enters its Urbanized Area Formula Program application in TEAM-Web.
    FTA may not award Urbanized Area Formula Program assistance to any 
Applicant that is required by 49 U.S.C. 5307(d)(1)(K) to expend one (1) 
percent of its Urbanized Area Formula Program assistance for eligible 
transit enhancements 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 or the Applicant attaches in 
TEAM-Web or includes in its quarterly report information sufficient to 
demonstrate that the Designated Recipients in its area together have 
expended one (1) percent of the amount of Urbanized Area Program 
assistance made available to them for transit enhancement projects.
    FTA may not award Federal assistance for the Urbanized Area Formula 
Program to the Applicant until the Applicant provides these 
certifications and assurances by selecting Category ``15.''
    As required by 49 U.S.C. 5307(d)(1), the Applicant certifies as 
follows:
    A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or 
will have the legal, financial, and technical capacity to carry out its 
proposed program of projects, including the safety and security aspects 
of that program;
    B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or 
will have satisfactory continuing control over the use of Project 
equipment and facilities;
    C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will 
adequately maintain the Project equipment and facilities;
    D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will 
assure that any elderly individual, any individual with disabilities, 
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, not more than fifty (50) percent of the peak hour fare;
    E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in 
carrying out a procurement financed with Federal assistance authorized 
under 49 U.S.C. 5307: (1) Will use competitive procurement (as defined 
or approved by FTA), (2) will not use exclusionary or discriminatory 
specifications in its procurements, (3) will comply with applicable Buy 
America laws, and (4) will comply with the general provisions for FTA 
assistance of 49 U.S.C. 5323 and the third party procurement 
requirements of 49 U.S.C. 5325;
    F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has 
complied with or will comply with the requirements of 49 U.S.C. 
5307(c). Specifically, the Applicant: (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 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 assured or will assure 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. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or 
will have available and will provide the amount of funds required by 49 
U.S.C. 5307(e) for the local share, and that those funds will be 
provided from approved non-Federal sources except as permitted by 
Federal law;
    H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will 
comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and minimize 
transportation-related fuel consumption and reliance on foreign oil); 
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public 
transportation for elderly individuals and individuals with 
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and 
private enterprise requirements);
    I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a 
locally developed process to solicit and consider public comment before 
raising a fare or implementing a major reduction of public 
transportation;
    J. In compliance with 49 U.S.C. 5307(d)(1)(J), each Federal fiscal 
year, the Applicant will spend at least one (1) percent of its funds 
authorized by 49 U.S.C. 5307 for public transportation security 
projects, unless the Applicant has certified to FTA that such 
expenditures are not necessary. Public transportation security projects 
include increased lighting in or adjacent to a public transportation 
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 public transportation; and
    K. In compliance with 49 U.S.C. 5307(d)(1)(K), if the Applicant is 
a Designated Recipient serving an urbanized area with a population of 
at least 200,000, (1) the Applicant certifies either that it has 
expended or will expend for transit enhancements as

[[Page 65020]]

defined at 49 U.S.C. 5302(a)(15) not less than one (1) percent of the 
amount of the Urbanized Area Formula Assistance it receives this 
Federal fiscal year, or that at least one Designated Recipient in its 
urbanized area has certified or will certify that the Designated 
Recipients within that urbanized area together have expended or will 
expend for transit enhancements as defined at 49 U.S.C. 5302(a)(15) not 
less than one (1) percent of the amount of the total amounts the 
Designated Recipients receive each Federal fiscal year under 49 U.S.C. 
5307, and (2) either the Applicant has listed or will list the transit 
enhancement projects it has carried out with those funds, or at least 
one Designated Recipient in the Applicant's urbanized area has listed 
or will list the transit enhancement projects carried out with funds 
authorized under 49 U.S.C. 5307. If the Designated Recipient's 
quarterly report for the fourth quarter of the preceding Federal fiscal 
year includes a list of transit enhancement projects the Designated 
Recipients in its urbanized area have implemented during that preceding 
Federal fiscal year using those funds, the information in that 
quarterly report will fulfill the requirements of 49 U.S.C. 
5307(d)(1)(K)(ii), and thus that quarterly report will be incorporated 
by reference and made part of the Designated Recipient's and 
Applicant's certifications and assurances.

16. Clean Fuels Grant Program

    Each Applicant for Clean Fuels Grant Program assistance authorized 
under 49 U.S.C. 5308 is required to provide the following 
certifications on behalf of itself and its subrecipients. Unless FTA 
determines otherwise in writing, the Applicant is ultimately 
responsible for compliance with its certifications and assurances even 
though a subrecipient, lessee, third party contractor, or other 
participant may participate in that project. Consequently, in providing 
certifications and assurances that involve the compliance of its 
prospective subrecipients, the Applicant is strongly encouraged to take 
the appropriate measures, including but not limited to obtaining 
sufficient documentation from each subrecipient, to assure the validity 
of all certifications and assurances the Applicant has made to FTA. FTA 
may not award Federal assistance for the Clean Fuels Grant Program 
until the Applicant provides these certifications by selecting Category 
``16.''
    As required by 49 U.S.C. 5308(d)(1), which makes the requirements 
of 49 U.S.C. 5307 applicable to Clean Fuels Grant Program assistance, 
and 49 U.S.C. 5307(d)(1), the designated recipient or the recipient 
serving as the Applicant on behalf of the designated recipient, or the 
State or State organization serving as the Applicant on behalf of the 
State, certifies as follows:
    A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or 
will have the legal, financial, and technical capacity to carry out its 
proposed program of projects, including the safety and security aspects 
of that program;
    B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or 
will have satisfactory continuing control over the use of project 
equipment and facilities;
    C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will 
adequately maintain the project equipment and facilities;
    D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will 
assure that any elderly individual, any individual with disabilities, 
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 
under 49 U.S.C. 5308, not more than fifty (50) percent of the peak hour 
fare;
    E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in 
carrying out a procurement financed with Federal assistance authorized 
under 49 U.S.C. 5308: (1) will use competitive procurement (as defined 
or approved by FTA), (2) will not use exclusionary or discriminatory 
specifications in its procurements, (3) will comply with applicable Buy 
America laws, and (4) will comply with the general provisions for FTA 
assistance of 49 U.S.C. 5323 and the third party procurement 
requirements of 49 U.S.C. 5325;
    F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has 
complied with or will comply with the requirements of 49 U.S.C. 
5307(c). Specifically, the Applicant: (1) Has made available, or will 
make available, to the public information on the amounts available for 
the Clean Fuels Grant Program, 49 U.S.C. 5308, and the projects it 
proposes to undertake; (2) has developed or will develop, in 
consultation with interested parties including private transportation 
providers, the proposed projects to be financed; (3) has published or 
will publish a list of the proposed projects in a way that affected 
citizens, private transportation providers, and local elected officials 
have the opportunity to examine the proposed projects and submit 
comments on the proposed projects 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 projects; (5) has assured 
or will assure that the proposed projects provide 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 list of projects; and (7) has made or will make the final list of 
projects available to the public;
    G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or 
will have available and will provide the amount of funds required by 49 
U.S.C. 5308(d)(2) for the local share, and that those funds will be 
provided from approved non-Federal sources except as permitted by 
Federal law;
    H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will 
comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and minimize 
transportation-related fuel consumption and reliance on foreign oil); 
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public 
transportation for elderly individuals and individuals with 
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and 
private enterprise requirements);
    I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a 
locally developed process to solicit and consider public comment before 
raising a fare or implementing a major reduction of public 
transportation; and
    J. The Applicant certifies will operate vehicles purchased with 
Federal assistance provided under the Clean Fuels Grant Program, 49 
U.S.C. 5308 only with clean fuels.

17. Elderly Individuals and Individuals With Disabilities Formula Grant 
Program and Pilot Program

    Before FTA may award Elderly Individuals and Individuals with 
Disabilities Formula Grant Program assistance and, if applicable, 
Elderly Individuals and Individuals with Disabilities Pilot Program 
assistance to a State, the U.S. Secretary of Transportation or his or 
her designee is required to make the preaward determinations required 
by 49 U.S.C. 5310. Because certain information is

[[Page 65021]]

needed before FTA can make those determinations, each State is 
requested to provide the following certifications assurances on behalf 
of itself and its subrecipients. Unless FTA determines otherwise in 
writing, the State itself is ultimately responsible for compliance with 
its certifications and assurances even though a subrecipient, lessee, 
third party contractor, or other participant may participate in that 
project. Consequently, in providing certifications and assurances that 
involve the compliance of its prospective subrecipients, the State is 
strongly encouraged to take the appropriate measures, including but not 
limited to obtaining sufficient documentation from each subrecipient, 
to assure the validity of all certifications and assurances the State 
has made to FTA. A State that fails to provide these certifications and 
assurances on behalf of itself and its subrecipients may be determined 
ineligible for a grant of Federal assistance under 49 U.S.C. 5310 if 
FTA lacks sufficient information from which to make those 
determinations required by Federal laws and regulations governing the 
Elderly Individuals and Individuals with Disabilities Formula Grant 
Program and, if applicable, the Elderly Individuals and Individuals 
with Disabilities Pilot Program authorized by 49 U.S.C. 5310 and 
Section 3012 of SAFETEA-LU, respectively. The State is thus requested 
to select Category ``(17).''
    A. As required by 49 U.S.C. 5310(d), which makes the requirements 
of 49 U.S.C. 5307 applicable to the Elderly Individuals and Individuals 
with Disabilities Formula Grant Program to the extent that the Federal 
Transit Administrator or his or her designee determines appropriate, 
and 49 U.S.C. 5307(d)(1), the State or State organization serving as 
the Applicant (State) and that administers, on behalf of the State, the 
Elderly Individuals and Individuals with Disabilities Program 
authorized by 49 U.S.C. 5310, and, if applicable, the Elderly 
Individuals and Individuals with Disabilities Pilot Program authorized 
by subsection 3012(b) of SAFETEA-LU, 49 U.S.C. 5310 note, certifies and 
assures on behalf of itself and its subrecipients as follows:
    (1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has 
or will have the legal, financial, and technical capacity to carry out 
its proposed program of projects, including the safety and security 
aspects of that program;
    (2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has 
or will have satisfactory continuing control over the use of project 
equipment and facilities;
    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will 
adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in 
carrying out a procurement financed with Federal assistance authorized 
under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU: (1) Will use 
competitive procurement (as defined or approved by FTA), (2) will not 
use exclusionary or discriminatory specifications in its procurements, 
(3) will comply with applicable Buy America laws, and (4) will comply 
with the general provisions for FTA assistance of 49 U.S.C. 5323 and 
the third party procurement requirements of 49 U.S.C. 5325;
    (5) The State has or will have available and will provide the 
amount of funds required by 49 U.S.C. 5310(c), and if applicable by 
section 3012(b)(3) and (4), for the local share, and that those funds 
will be provided from approved non-Federal sources except as permitted 
by Federal law; and
    (6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will 
comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and minimize 
transportation-related fuel consumption and reliance on foreign oil); 
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public 
transportation for elderly individuals and individuals with 
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and 
private enterprise requirements);
    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. In compliance with 49 U.S.C. 5310(d)(2)(A) and section 
3012(b)(2), the State certifies that, before it transfers funds to a 
project funded under 49 U.S.C. 5336, that project has been or will have 
been coordinated with private nonprofit providers of services under 49 
U.S.C. 5310;
    E. In compliance with 49 U.S.C. 5310(d)(2)(C), the State certifies 
that allocations to subrecipients of financial assistance authorized 
under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU will be 
distributed on a fair and equitable basis; and
    F. In compliance with 49 U.S.C. 5310(d)(2)(B) and Subsection 
3012(b)(2) of SAFETEA-LU, the State certifies that: (1) projects it has 
selected or will select for assistance under that program were derived 
from a locally developed, coordinated public transit-human services 
transportation plan; and (2) the plan was developed through a process 
that included representatives of public, private, and nonprofit 
transportation and human services providers and participation by the 
public.

18. Nonurbanized Area Formula Program for States

    The provisions of 49 U.S.C. 5311 establishing the Nonurbanized Area 
Formula Program for States do not impose, as a pre-condition of award, 
any explicit certification or assurance requirements established 
specifically for that program. Only a State or a State organization 
acting as the Recipient on behalf of a State (State) may be a direct 
recipient of this Nonurbanized Area Formula Program assistance. 
Separate certifications and assurances have been established in 
Category 22 for an Indian tribe that is an Applicant for Tribal Transit 
Program assistance authorized by 49 U.S.C. 5311(c)(1).
    Before FTA may award Nonurbanized Area Formula Program assistance 
to a State, the U.S. Secretary of Transportation or his or her designee 
is required to make the preaward determinations required by 49 U.S.C. 
5311. Because certain information is needed before FTA can make those 
determinations, each State is requested to provide the following 
certifications and assurances on behalf of itself and its 
subrecipients. Unless FTA determines otherwise in writing, the State 
itself is ultimately responsible for compliance with its certifications 
and assurances even though a subrecipient, lessee, third party 
contractor, or other participant may participate in that project. 
Consequently, in providing certifications and assurances that involve 
the compliance of its prospective subrecipients, the State is strongly 
encouraged to take the appropriate measures, including but not limited 
to obtaining sufficient documentation from each subrecipient, to assure 
the validity of all certifications

[[Page 65022]]

and assurances the State has made to FTA. A State that fails to provide 
these certifications and assurances on behalf of itself and its 
subrecipients may be determined ineligible for a grant of Federal 
assistance under 49 U.S.C. 5311 if FTA lacks sufficient information 
from which to make those determinations required by Federal laws and 
regulations governing the Nonurbanized Area Formula Program authorized 
by 49 U.S.C. 5311. The State is thus requested to select Category 
``(18).''
    The State or State organization serving as the Applicant and that 
administers, on behalf of the State (State) the Nonurbanized Area 
Formula Program for States authorized by 49 U.S.C. 5311, assures on 
behalf of itself and its subrecipients as follows:
    A. The State 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 carry out each 
project, including the safety and security aspects of that project;
    B. The State has or will have satisfactory continuing control over 
the use of project equipment and facilities;
    C. The State assures that the project equipment and facilities will 
be adequately maintained;
    D. In compliance with 49 U.S.C. 5311(b)(2)(C)(i), the State's 
program has provided for a fair distribution of Federal assistance 
authorized for 49 U.S.C. 5311 within the State, including Indian 
reservations within the State;
    E. In compliance with 49 U.S.C. 5311(b)(2)(C)(ii), the State's 
program provides or will provide the maximum feasible coordination of 
public transportation service to receive assistance under 49 U.S.C. 
5311 with transportation service assisted by other Federal sources;
    F. The projects in the State's Nonurbanized Area Formula Program 
are included in the Statewide Transportation Improvement Program and, 
to the extent applicable, the projects are included in a metropolitan 
Transportation Improvement Program;
    G. The State has or will have available and will provide the amount 
of funds required by 49 U.S.C. 5311(g) for the local share, and that 
those funds will be provided from approved non-Federal sources except 
as permitted by Federal law; and
    H. In compliance with 49 U.S.C. 5311(f), the State will expend not 
less than fifteen (15) percent of its Federal assistance authorized 
under 49 U.S.C. 5311 to develop and support intercity bus 
transportation within the State, unless the chief executive officer of 
the State, or his or her designee, after consultation with affected 
intercity bus service providers, certifies to the Federal Transit 
Administrator, apart from these certifications and assurances herein, 
that the intercity bus service needs of the State are being adequately 
met.

19. Job Access and Reverse Commute Formula Grant Program

    Each Applicant for Job Access and Reverse Commute (JARC) Formula 
Grant Program assistance authorized under 49 U.S.C. 5316 is required to 
provide the following certifications on behalf of itself and any 
subrecipient that may be implementing its project. Unless FTA 
determines otherwise in writing, the Applicant itself is ultimately 
responsible for compliance with its certifications and assurances even 
though a subrecipient, lessee, third party contractor, or other 
participant may participate in that project. Consequently, in providing 
certifications and assurances that involve the compliance of its 
prospective subrecipients, the Applicant is strongly encouraged to take 
the appropriate measures, including but not limited to obtaining 
sufficient documentation from each subrecipient, to assure the validity 
of all certifications and assurances the Applicant has made to FTA. FTA 
may not award Federal assistance for the JARC Formula Grant Program 
until the Applicant provides these certifications by selecting Category 
``19.''
    A. As required by 49 U.S.C. 5316(f)(1), which makes the 
requirements of 49 U.S.C. 5307 applicable to Job Access and Reverse 
Commute (JARC) formula grants, and 49 U.S.C. 5307(d)(1), the Applicant 
for JARC Formula Program assistance authorized under 49 U.S.C. 5316, 
certifies on behalf of itself and its subrecipients, if any, as 
follows:
    (1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has 
or will have the legal, financial, and technical capacity to carry out 
its proposed program of projects, including the safety and security 
aspects of that program;
    (2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has 
or will have satisfactory continuing control over the use of project 
equipment and facilities;
    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will 
adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will 
assure that any elderly individual, any individual with disabilities, 
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 
under 49 U.S.C. 5316 not more than fifty (50) percent of the peak hour 
fare;
    (5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in 
carrying out a procurement financed with Federal assistance authorized 
under 49 U.S.C. 5316: (1) Will use competitive procurement (as defined 
or approved by FTA), (2) will not use exclusionary or discriminatory 
specifications in its procurements, (3) will comply with applicable Buy 
America laws, and (4) will comply with the general provisions for FTA 
assistance of 49 U.S.C. 5323 and the third party procurement 
requirements of 49 U.S.C. 5325;
    (6) In compliance with 49 U.S.C. 5316(f)(1) and 49 U.S.C. 
5307(d)(1)(F), the Applicant certifies that (1) with respect to 
financial assistance authorized under 49 U.S.C. 5316, it will conduct 
in cooperation with the appropriate MPO an areawide solicitation for 
applications, and make awards on a competitive basis and (2) with 
respect to financial assistance authorized under 49 U.S.C. 5316, it 
will conduct a statewide solicitation for applications, and make awards 
on a competitive basis; and that these activities will be carried out 
in a manner that complies with or will comply with 49 U.S.C. 5307(c);
    (7) The Applicant has or will have available and will provide the 
amount of funds required by 49 U.S.C. 5316(h) for the local share, and 
that those funds will be provided from approved non-Federal sources 
except as permitted by Federal law;
    (8) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will 
comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and minimize 
transportation-related fuel consumption and reliance on foreign oil); 
and (2) 49 U.S.C. 5301(d) (special efforts to design and provide public 
transportation for elderly individuals and individuals with 
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and 
private enterprise requirements).
    B. In compliance with 49 U.S.C. 5316(d), the Applicant certifies 
that (1) with respect to financial assistance authorized under 49 
U.S.C. 5316(c)(1)(A), it will conduct in

[[Page 65023]]

cooperation with the appropriate MPO an areawide solicitation for 
applications, and make awards on a competitive basis and (2) with 
respect to financial assistance authorized under 49 U.S.C. 
5316(c)(1)(B) or 49 U.S.C. 5316(c)(1)(C), it will conduct a statewide 
solicitation for applications, and make awards on a competitive basis;
    C. In compliance with 49 U.S.C. 5316(f)(2), the Applicant certifies 
that any allocations to subrecipients of financial assistance 
authorized under 49 U.S.C. 5316 will be distributed on a fair and 
equitable basis;
    D. In compliance with 49 U.S.C. 5316(g)(2), the Applicant certifies 
that, before it transfers funds to a project funded under 49 U.S.C. 
5336, that project has been or will have been coordinated with private 
nonprofit providers of services;
    E. In compliance with 49 U.S.C. 5316(g)(3), The Applicant certifies 
that: (1) The projects it has selected or will select for assistance 
under that program were derived from a locally developed, coordinated 
public transit-human services transportation plan; and (2) the plan was 
developed through a process that included representatives of public, 
private, and nonprofit transportation and human services providers and 
participation by the public; and
    F. In compliance with 49 U.S.C. 5316(c)(3), before the Applicant 
uses funding apportioned under 49 U.S.C. 5316(c)(1)(B) or (C) for 
projects serving an area other than that specified in 49 U.S.C. 
5316(2)(B) or (C), the Applicant certifies that the chief executive 
officer of the State, or his or her designee will have certified to the 
Federal Transit Administrator, apart from these certifications herein, 
that all of the objectives of 49 U.S.C. 5316 are being met in the area 
from which such funding would be derived.

20. New Freedom Program

    Each Applicant for New Freedom Program assistance authorized under 
49 U.S.C. 5317 must provide the following certifications on behalf of 
itself and any subrecipient that may be implementing its project. 
Unless FTA determines otherwise in writing, the Applicant itself is 
ultimately responsible for compliance with its certifications and 
assurances even though a subrecipient, lessee, third party contractor, 
or other participant may participate in that project. Consequently, in 
providing certifications and assurances that involve the compliance of 
its prospective subrecipients, the Applicant is strongly encouraged to 
take the appropriate measures, including but not limited to obtaining 
sufficient documentation from each subrecipient, to assure the validity 
of all certifications and assurances the Applicant has made to FTA. FTA 
may not award Federal assistance for the New Freedom Program until the 
Applicant provides these certifications by selecting Category ``20.''
    A. As required by 49 U.S.C. 5317(e)(1), which makes the 
requirements of 49 U.S.C. 5310 applicable to New Freedom grants to the 
extent the Federal Transit Administrator or his or her designee 
determines appropriate, by 49 U.S.C. 5310(d)(1), which makes the 
requirements of 49 U.S.C. 5307 applicable to Elderly Individuals and 
Individuals with Disabilities Formula grants to the extent the Federal 
Transit Administrator or his or her designee determines appropriate, 
and by 49 U.S.C. 5307(d)(1), the Applicant for New Freedom Program 
assistance authorized under 49 U.S.C. 5317 certifies and assures on 
behalf of itself and its subrecipients, if any, as follows:
    (1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has 
or will have the legal, financial, and technical capacity to carry out 
its proposed program of projects, including the safety and security 
aspects of that program;
    (2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has 
or will have satisfactory continuing control over the use of project 
equipment and facilities;
    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will 
adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in 
carrying out a procurement financed with Federal assistance authorized 
under 49 U.S.C. 5317: (1) Will use competitive procurement (as defined 
or approved by FTA), (2) will not use exclusionary or discriminatory 
specifications in its procurements, (3) will comply with applicable Buy 
America laws, and (4) will comply with the general provisions for FTA 
assistance of 49 U.S.C. 5323 and the third party procurement 
requirements of 49 U.S.C. 5325;
    (5) The Applicant has or will have available and will provide the 
amount of funds required by 49 U.S.C. 5317(g) for the local share, and 
that those funds will be provided from approved non-Federal sources 
except as permitted by Federal law; and
    (6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will 
comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and minimize 
transportation-related fuel consumption and reliance on foreign oil); 
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public 
transportation for elderly individuals and individuals with 
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and 
private enterprise requirements);
    B. In compliance with 49 U.S.C. 5317(d), the Applicant certifies 
that (1) with respect to financial assistance authorized under 49 
U.S.C. 5317(c)(1)(A), it will conduct in cooperation with the 
appropriate MPO an areawide solicitation for applications, and make 
awards on a competitive basis and (2) with respect to financial 
assistance authorized under 49 U.S.C. 5317(c)(1)(B) or 49 U.S.C. 
5317(c)(1)(C), it will conduct a statewide solicitation for 
applications, and make awards on a competitive basis;
    C. In compliance with 49 U.S.C. 5317(f)(2), the Applicant certifies 
that, before it transfers funds to a project funded under 49 U.S.C. 
5336, that project has been or will have been coordinated with private 
nonprofit providers of services;
    D. In compliance with 49 U.S.C. 5317(e)(2), the Applicant certifies 
that any allocations to subrecipients of financial assistance 
authorized under 49 U.S.C. 5317 will be distributed on a fair and 
equitable basis; and
    E. In compliance with 49 U.S.C. 5317(f)(3), the Applicant certifies 
that: (1) projects it has selected or will select for assistance under 
that program were derived from a locally developed, coordinated public 
transit-human services transportation plan; and (2) the plan was 
developed through a process that included representatives of public, 
private, and nonprofit transportation and human services providers and 
participation by the public.

21. Paul S. Sarbanes Transit in Parks Program

    Each State, tribal area, or local government authority that is an 
Applicant for Paul S. Sarbanes Transit in Parks Program assistance 
(Applicant) authorized by 49 U.S.C. 5320, is required to provide the 
following certifications. FTA may not award assistance for the Paul S. 
Sarbanes Transit in Parks Program to the Applicant until the Applicant 
provides these certifications by selecting Category ``21.''
    A. As required by 49 U.S.C. 5320(i), which makes the requirements 
of 49 U.S.C. 5307 applicable to the Paul S.

[[Page 65024]]

Sarbanes Transit in Parks Program to the extent the Federal Transit 
Administrator or his or her designee determines appropriate, and 49 
U.S.C. 5307(d)(1), the Applicant certifies as follows:
    (1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has 
or will have the legal, financial, and technical capacity to carry out 
its proposed project, including the safety and security aspects of that 
project;
    (2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has 
or will have satisfactory continuing control over the use of project 
equipment and facilities;
    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will 
adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(E) in carrying out a 
procurement financed with Federal assistance authorized under 49 U.S.C. 
5320, the Applicant: (1) will use competitive procurement (as defined 
or approved by FTA), (2) will not use exclusionary or discriminatory 
specifications in its procurements, (3) will comply with applicable Buy 
America laws, and (4) will comply with the general provisions for FTA 
assistance of 49 U.S.C. 5323 and the third party procurement 
requirements of 49 U.S.C. 5325;
    (5) In compliance with 49 U.S.C. 5307(d)(1)(F) and with 49 U.S.C. 
5320(e)(2)(C), the Applicant 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 Paul S. Sarbanes Transit in Parks Program, 49 
U.S.C. 5320, and the projects it proposes to undertake; (2) has 
developed or will develop, in consultation with interested parties 
including private transportation providers, projects to be financed; 
(3) has published or will publish a list of projects in a way that 
affected citizens, private transportation providers, and local elected 
officials have the opportunity to examine the proposed projects and 
submit comments on the proposed projects 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 projects; (5) 
has assured or will assure that the proposed projects provide 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 list of projects; and (7) has made or will make the 
final list of projects available to the public;
    (6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will 
comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and minimize 
transportation-related fuel consumption and reliance on foreign oil); 
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public 
transportation for elderly individuals and individuals with 
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and 
private enterprise requirements).
    (7) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a 
locally developed process to solicit and consider public comment before 
raising a fare or implementing a major reduction of public 
transportation.
    B. In compliance with 49 U.S.C. 5320(e)(2)(A), (B), and (D), the 
Applicant assures that it will:
    (1) Comply with the metropolitan planning provisions of 49 U.S.C. 
5303;
    (2) Comply with the statewide planning provisions of 49 U.S.C. 
5304; and
    (3) Consult with the appropriate Federal land management agency 
during the planning process.

22. Tribal Transit Program

    Each Applicant for Tribal Transit Program assistance must provide 
all certifications and assurances set forth below. Except to the extent 
that FTA determines otherwise in writing, FTA may not award any Federal 
assistance under the Tribal Transit Program until the Applicant 
provides these certifications and assurances by selecting Category 
``22.''
    In accordance with 49 U.S.C. 5311(c)(1) that authorizes the 
Secretary of Transportation to establish terms and conditions for 
direct grants to Indian tribal governments, the Applicant certifies and 
assures as follows:
    A. The Applicant assures that:
    (1) It 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 carry out each 
project, including the safety and security aspects of that project;
    (2) It has or will have satisfactory continuing control over the 
use of project equipment and facilities;
    (3) The project equipment and facilities will be adequately 
maintained; and
    (4) Its project will achieve maximum feasible coordination with 
transportation service assisted by other Federal sources.
    B. In accordance with 49 CFR 18.36(g)(3)(ii), the Applicant 
certifies that its procurement system will comply with the requirements 
of 49 CFR 18.36, or will inform FTA promptly that its procurement 
system does not comply with 49 CFR 18.36.
    C. To the extent applicable to the Applicant or its Project, the 
Applicant certifies that it will comply with the certifications, 
assurances, and agreements in Category 08 (Bus Testing), Category 09 
(Charter Bus Agreement), Category 10 (School Transportation Agreement), 
Category 11 (Demand Responsive Service), Category 12 (Alcohol Misuse 
and Prohibited Drug Use), and Category 14 (National Intelligent 
Transportation Systems Architecture and Standards) of this document.
    D. If its application exceeds $100,000, the Applicant agrees to 
comply with the certification in Category 02 (Lobbying) of this 
document.

23. Infrastructure Finance Projects

    Each Applicant for Infrastructure Finance assistance authorized 
under 23 U.S.C. chapter 6, is required to provide the following 
certifications. FTA may not award Infrastructure Finance assistance to 
the Applicant until the Applicant provides these certifications by 
selecting Category ``23.''
    A. As required by 49 U.S.C. 5323(o), which makes the requirements 
of 49 U.S.C. 5307 applicable to Applicants seeking Infrastructure 
Finance assistance authorized under 23 U.S.C. chapter 6, and by 49 
U.S.C. 5307(d)(1), the Applicant certifies as follows:
    (1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has 
or will have the legal, financial, and technical capacity to carry out 
its proposed program of projects, including the safety and security 
aspects of that program;
    (2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has 
or will have satisfactory continuing control over the use of project 
equipment and facilities;
    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will 
adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will 
assure that any elderly individual, any individual with disabilities, 
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

[[Page 65025]]

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 under 23 U.S.C. chapter 6, 
not more than fifty (50) percent of the peak hour fare;
    (5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in 
carrying out a procurement financed with Federal assistance authorized 
under 23 U.S.C. chapter 6: (1) will use competitive procurement (as 
defined or approved by FTA), (2) will not use exclusionary or 
discriminatory specifications in its procurements, (3) will comply with 
applicable Buy America laws, and (4) will comply with the general 
provisions for FTA assistance of 49 U.S.C. 5323 and the third party 
procurement requirements of 49 U.S.C. 5325;
    (6) In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant 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 
Infrastructure Finance assistance, 23 U.S.C. chapter 6, and the 
projects it proposes to undertake; (2) has developed or will develop, 
in consultation with interested parties including private 
transportation providers, the proposed projects to be financed; (3) has 
published or will publish a list of projects in a way that affected 
citizens, private transportation providers, and local elected officials 
have the opportunity to examine the proposed projects and submit 
comments on the proposed projects 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 projects; (5) has assured 
or will assure that the proposed projects provide 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 list of projects; and (7) has made or will make the final list of 
projects available to the public;
    (7) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has 
or will have available and will provide the amount of funds required 
for the local share, and that those funds will be provided from 
approved non-Federal sources except as permitted by Federal law;
    (8) In compliance with 49 U.S.C. 5307(d)(1)(H), (1) the Applicant 
will comply with: 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and minimize 
transportation-related fuel consumption and reliance on foreign oil); 
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public 
transportation for elderly individuals and individuals with 
disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and 
private enterprise requirements);
    (9) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a 
locally developed process to solicit and consider public comment before 
raising a fare or implementing a major reduction of public 
transportation;
    (10) To the extent that the Applicant will be using funds 
authorized under 49 U.S.C. 5307 for the project, in compliance with 49 
U.S.C. 5307(d)(1)(J), each Federal fiscal year, the Applicant will 
spend at least one (1) percent of those funds authorized under 49 
U.S.C. 5307 for public transportation security projects (this includes 
only capital projects in the case of a 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. Public 
transportation security projects include increased lighting in or 
adjacent to a public transportation 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 public transportation; 
and
    (11) To the extent that the Applicant will be using funds 
authorized under 49 U.S.C. 5307 for the project, in compliance with 49 
U.S.C. 5309(d)(1)(K): (1) an Applicant that serves an urbanized area 
with a population of at least 200,000 will expend not less than one (1) 
percent of the amount it receives each Federal fiscal year under 49 
U.S.C. 5307 for transit enhancements, as defined at 49 U.S.C. 5302(a), 
and (2) 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 Federal fiscal year using those funds, and that 
report is incorporated by reference and made part of its certifications 
and assurances.
    B. As required by 49 U.S.C. 5323(o), which makes the requirements 
of 49 U.S.C. 5309 applicable to Applicants seeking Infrastructure 
Finance assistance authorized under 23 U.S.C. chapter 6, and by 49 
U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and 5309(i)(2)(C), the 
Applicant certifies that it will not seek reimbursement for interest 
and other financing costs incurred in connection with the Project 
unless it is eligible to receive Federal assistance for those expenses 
and 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.

24. Deposits of Federal Financial Assistance to State Infrastructure 
Banks

    The State organization that administers the State Infrastructure 
Bank (SIB) Program on behalf of a State (State) and that is also an 
Applicant for Federal assistance authorized under 49 U.S.C. chapter 53 
that it intends to deposit in its SIB is requested to provide the 
following assurances on behalf of itself, its SIB, and each 
subrecipient. Unless FTA determines otherwise in writing, the State 
itself is ultimately responsible for compliance with its certifications 
and assurances even though the SIB and a subrecipient may participate 
in that project. Consequently, in providing certifications and 
assurances that involve the compliance of its SIB and prospective 
subrecipients, the State is strongly encouraged to take the appropriate 
measures, including but not limited to obtaining sufficient 
documentation from the SIB and each subrecipient, to assure the 
validity of all certifications and assurances the State has made to 
FTA. FTA may not award Federal assistance for the SIB Program to the 
State until the State provides these assurances by selecting Category 
``24.''
    The State organization, serving as the Applicant (State) for 
Federal assistance for its State Infrastructure Bank (SIB) Program 
authorized by section 1602 of SAFETEA-LU, now codified at 23 U.S.C. 
610, or by section 1511 of TEA-21, 23 U.S.C. 181 note, or by section 
350 of the National Highway System Designation Act of 1995, as amended, 
23 U.S.C. 181 note, 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 public transportation project 
financed with

[[Page 65026]]

Federal assistance derived from SIB will be administered in accordance 
with:
    A. Applicable provisions of section 1602 of SAFETEA-LU, now 
codified at 23 U.S.C. 610, or by section 1511 of TEA-21, 23 U.S.C. 181 
note, or by section 350 of the National Highway System Designation Act 
of 1995, as amended, 23 U.S.C. 181;
    B. The provisions of the FHWA, FRA, and FTA or the FHWA and FTA 
cooperative agreement with the State to establish the State's SIB 
Program; and
    C. 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 section 1602 of SAFETEA-LU, now codified at 23 U.S.C. 
610, or section 1511 of TEA-21, 23 U.S.C. 181 note, or section 350 of 
the National Highway System Designation Act of 1995, as amended, 23 
U.S.C. 181 note, or 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.
    D. The requirements applicable to projects of 49 U.S.C. 5307 and 
5309, as required by 49 U.S.C. 5323(o); and
    E. The provisions of any applicable Federal guidance that may be 
issued as it may be amended from time-to-time, unless FTA has provided 
written approval of an alternative procedure or course of action.
    Selection and Signature Page(s) follow.
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[FR Doc. E8-26030 Filed 10-30-08; 8:45 am]
BILLING CODE 4910-57-C