[Federal Register Volume 69, Number 10 (Thursday, January 15, 2004)]
[Notices]
[Pages 2454-2465]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 04-924]



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Part IV





Department of Transportation





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Federal Transit Administration



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Fiscal Year 2004 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements; 
Notice

Federal Register / Vol. 69, No. 10 / Thursday, January 15, 2004 / 
Notices

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Fiscal Year 2004 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice.

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SUMMARY: Appendix A of this Notice contains the Federal Transit 
Administration's (FTA) comprehensive compilation of the Federal Fiscal 
Year 2004 certifications and assurances to be used in connection with 
all Federal assistance programs FTA administers during Federal Fiscal 
Year 2004, in compliance with 49 U.S.C. 5323(n).

EFFECTIVE DATE: These certifications and assurances became effective on 
October 1, 2003, the first day of fiscal year 2004.

FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate Regional 
Office listed below. For copies of other related documents, see the FTA 
Web site at http://www.fta.dot.gov or contact FTA's Office of 
Administration at (202) 366-4022.

Region 1: Boston

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

Region 2: New York

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

Region 3: Philadelphia

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

Region 4: Atlanta

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

Region 5: Chicago

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

Region 6: Dallas/Ft. Worth

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

Region 7: Kansas City

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

Region 8: Denver

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

Region 9: San Francisco

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

Region 10: Seattle

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

SUPPLEMENTARY INFORMATION: Before FTA may award a Federal grant or 
cooperative agreement, the Applicant must submit all certifications and 
assurances pertaining to itself and its project as required by Federal 
laws and regulations. These certifications and assurances must be 
submitted to FTA irrespective of whether the project is financed under 
the authority of 49 U.S.C. chapter 53, or Title 23, United States Code, 
or another Federal statute.
    The Applicant's Annual Certifications and Assurances for Federal 
Fiscal Year 2004 cover all projects for which the Applicant seeks 
funding during Federal Fiscal Year 2004 through the next fiscal year 
until FTA issues annual Certifications and Assurances for Federal 
Fiscal Year 2005. An Applicant's Annual Certifications and Assurances 
applicable to a specific grant or cooperative agreement generally 
remain in effect for either the duration of the grant or cooperative 
agreement to project closeout or the duration of the project or project 
property when a useful life or industry standard is in effect, 
whichever occurs later; EXCEPT, if the Applicant provides 
certifications and assurances in a later year that differ from 
certifications and assurances previously provided, the later 
certifications and assurances will apply to the grant, cooperative 
agreement, project, or project property, unless FTA permits otherwise.
    Background: Since Federal Fiscal Year 1995, FTA has been 
consolidating the various certifications and assurances that may be 
required into a single document for publication in the Federal 
Register. FTA intends to continue publishing this document annually, 
often in conjunction with its publication of the FTA annual 
apportionment Notice, which sets forth the allocations of funds made 
available by the latest U.S. Department of Transportation (U.S. DOT) 
annual appropriations act.
    Federal Fiscal Year 2004 Changes: Apart from minor editorial 
revisions, changes include the following:
    (1) Former Certification 01.C, ``Debarment, Suspension, and Other 
Responsibility Matters for Primary Covered Transactions,'' has been 
deleted because the newly revised U.S. DOT regulations, ``Debarment and 
Suspension (Nonprocurement),'' published in the Federal Register of 
November 26, 2003 (68 FR 66534-66557, and 66643-66645) no longer 
require a certification, although FTA cautions that the substantive 
provisions of the revised regulations will apply to Recipients of 
Federal assistance awarded by FTA.
    (2) Former Certification 01.D, ``Drug-Free Workplace Agreement,'' 
has been deleted because the newly revised U.S. DOT regulations, 
``Governmentwide Requirements for Drug-Free Workplace (Financial 
Assistance),'' published in the Federal Register of November 26, 2003 
(68 FR 66557-66560, and 66645-666460) no longer require a 
certification, although FTA cautions that the substantive provisions of 
the new regulations will apply to Recipients of Federal assistance 
awarded by FTA.
    (3) Former Certification 01.G, ``Disadvantaged Business Enterprise 
Assurance'' does not apply to projects administered by FTA that are not 
financed by TEA-21, ISTEA, or the Highway Trust Fund. U.S. DOT's DBE 
regulations, 49 CFR part 26 do not treat the DBE assurance as a pre-
award requirement, but only require that the assurance be included in 
each financial assistance agreement funded under specified titles of 
TEA-21, ISTEA, or the Highway Trust Funds, such as our FTA's Master 
Agreement, which is incorporated by reference and made part of each 
Grant or Cooperative Agreement. See, 49 CFR 26.3(a) and 26.13(a). For 
these reasons, we have deleted the DBE certification from the list of 
certifications required of all Applicants.
    (4) Re-numbered Certification 01.D, ``Nondiscrimination 
Assurance,'' has been revised to state expressly that the Federal 
Government has a right to seek judicial enforcement with regard to any 
matter arising under Title VI of the Civil Rights Act and implementing 
regulations.
    (5) Renumbered Certification 01.F, ``Procurement Compliance 
Certification,'' has been modified to add a reference to the new FTA 
Circular 4220.1E, ``Third Party Contracting Guidelines,'' and indicate 
that those requirements are applicable to the

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extent required by Federal law or regulation.
    (6) Renumbered Certification 01.G(7) pertaining to employee 
protection certifications has been revised to reflect new citation to 
various Federal labor protection statutes resulting from the partial 
codification of Title 40, United States Code.
    (7) Renumbered Certification 01.G(18) covering Federal audit 
requirements has been modified to acknowledge that OMB Circular A-133 
has been revised, and to state that the most recent applicable OMB 
Compliance Supplement provisions for the Department of Transportation 
will apply.
    (8) Certification 02.A(3), ``Lobbying,'' has been added to 
emphasize that the lobbying certification flows down to subrecipients 
and third party contractors at all tiers.
    (9) The applicability paragraph preceding Certification 05, 
``Acquisition of Rolling Stock,'' has been modified to clarify that the 
requirement applies to Applicants for Federal assistance authorized by 
49 U.S.C. chapter 53.
    (10) The applicability paragraph preceding Certification 06, ``Bus 
Testing,'' has been modified to clarify that the requirement applies to 
Applicants for Federal assistance appropriated or authorized for 49 
U.S.C. chapter 53.
    (11) The applicability paragraph preceding Certification 09, 
``Demand Responsive Service,'' has been modified to clarify that the 
requirements limited to non-rail acquisitions by Applicants that have 
demand responsive service.
    (12) Certification 12, ``Intelligent Transportation Systems,'' has 
been expanded to add a best efforts requirement for Applicants 
intending to procure intelligent transportation systems using Federal 
assistance other than Highway Trust Funds (including funds from the 
Mass Transit Account) or funds made available for the Intelligent 
Transportation Systems program authorized by TEA-21, title V, subtitle 
C, 23 U.S.C. 502 note.
    Text of Federal Fiscal Year 2004 Certifications and Assurances: The 
text of the certifications and assurances in Appendix A of this Notice 
also appears in TEAM-Web (http://ftateamweb.fta.dot.gov/) in the 
``Recipients'' option at the ``Cert's & Assurances'' tab of ``View/
Modify Recipients.'' It is important that each Applicant be familiar 
with all sixteen (16) certification and assurance categories and their 
requirements, as they may be a prerequisite for receiving FTA financial 
assistance. Provisions of this Notice supersede conflicting statements 
in any FTA circular containing a previous version of the Annual 
Certifications and Assurances. The certifications and assurances 
contained in those FTA circulars are merely examples, and are not 
acceptable or valid for Federal Fiscal Year 2004; do not rely on the 
provisions of certifications and assurances appearing in FTA circulars.
    Significance of Certifications and Assurances: Selecting and 
submitting certifications and assurances to FTA, either through TEAM-
Web or submission of the Signature Page(s) of Appendix A, signifies the 
Applicant's intent to comply with the requirements of the 
certifications and assurances it has selected to the extent they apply 
to a project for which the Applicant submits an application for 
assistance in Federal Fiscal Year 2004.
    Requirement for Attorney's Signature: FTA requires a current 
(Federal Fiscal Year 2004) affirmation, signed by the Applicant's 
attorney, of the Applicant's legal authority to certify compliance with 
the obligations imposed by the certifications and assurances the 
Applicant has selected. Irrespective of whether the Applicant makes a 
single selection for all 16 categories or selects individual options 
from the 16 categories, the Affirmation of Applicant's Attorney from a 
previous year is not acceptable.
    Deadline for Submission: All Applicants for FTA formula program or 
capital investment program assistance, and current FTA grantees with an 
active project financed with FTA formula program or capital investment 
program assistance, are expected to provide Federal Fiscal Year 2004 
Certifications and Assurances within 90 days from the date of this 
publication or with their first grant application in Federal Fiscal 
Year 2004, whichever is first. FTA encourages other Applicants to 
submit their certifications and assurances as soon as possible.
    Preference for Electronic Submission: Applicants registered in 
TEAM-Web must submit their certifications and assurances, as well as 
their applications, in TEAM-Web. Only if an Applicant is unable to 
submit its certifications and assurances in TEAM-Web should the 
Applicant use the Signature Page(s) in Appendix A of this Notice.
    Procedures for Electronic Submission: The TEAM-Web ``Recipients'' 
option at the ``Cert's & Assurances'' tab of ``View/Modify Recipients'' 
contains fields for selecting the categories of certifications and 
assurances to be submitted. Within that tab is a field for the 
Applicant's authorized representative to enter its personal 
identification number (PIN), which constitutes the Applicant's 
electronic signature for the certifications and assurances it has 
selected; in addition, there is a field for the Applicant's attorney to 
enter his or her PIN, affirming the Applicant's legal authority to make 
and comply with the certifications and assurances the Applicant has 
selected. In certain circumstances, the Applicant may enter its PIN in 
lieu of its Attorney's PIN, provided that the Applicant has on file the 
Affirmation of Applicant's Attorney in Appendix A of this Notice, 
written and signed by the attorney and dated this Federal fiscal year. 
For more information, Applicants may contact the appropriate Regional 
Office listed in this Notice or the TEAM-Web Helpdesk.
    Procedures for Paper Submission: If an Applicant is unable to 
submit its certifications electronically, it must mark the 
certifications and assurances it is making on the Signature Page(s) in 
Appendix A of this Notice and submit it to FTA. The Applicant may 
signify compliance with all Categories by placing a single mark in the 
appropriate space or select the Categories applicable to itself and its 
projects. In certain circumstances, the Applicant may enter its 
signature in lieu of its Attorney's signature in the Affirmation of 
Applicant's Attorney section of the Signature Page(s), provided that 
the Applicant has on file the Affirmation of Applicant's Attorney in 
Appendix A of this Notice, written and signed by the attorney and dated 
this Federal fiscal year. For more information, Applicants may contact 
the appropriate Regional Office listed in this Notice.
    References. The Transportation Equity Act for the 21st Century, 
Pub. L. 105-178, June 9, 1998, as amended by the TEA-21 Restoration 
Act, Pub. L. 105-206, July 22, 1998, 49 U.S.C. chapter 53, Title 23, 
United States Code, other Federal laws administered by FTA, U.S. DOT 
and FTA regulations at 49 CFR, and FTA Circulars.

    Dated: December 29, 2003.
Jennifer L. Dorn,
Administrator.

Appendix A

Federal Fiscal Year 2004 Certifications and Assurances for Federal 
Transit Administration Assistance Programs

    In accordance with 49 U.S.C. 5323(n), the following 
certifications and assurances have been compiled for Federal Transit 
Administration (FTA) assistance programs. FTA requests each 
Applicant to provide as many certifications and assurances as needed 
for all programs for which the Applicant intends to seek FTA 
assistance during Federal Fiscal Year 2004. FTA strongly encourages 
each Applicant to submit its

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certifications and assurances through TEAM-Web, FTA's electronic 
award and management system, at http://ftateamweb.fta.dot.gov.
    Sixteen (16) Categories of certifications and assurances are 
listed by numbers 01 through 16 in the TEAM-Web ``Recipients'' 
option at the ``Cert's & Assurances'' tab of ``View/Modify 
Recipients,'' and on the opposite side of the Signature Page(s) at 
the end of this document. Category 01 applies to all Applicants. 
Categories 02 through 16 will apply to and be required for some, but 
not all, Applicants and projects.

1. Required of Each Applicant

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

A. Authority of Applicant and Its Representative

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

B. Standard Assurances

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

C. Intergovernmental Review Assurance

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

D. Nondiscrimination Assurance

    As required by 49 U.S.C. 5332 (which prohibits discrimination on 
the basis of race, color, creed, national origin, sex, or age, and 
prohibits discrimination in employment or business opportunity), 
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 
2000d, and U.S. DOT regulations, ``Nondiscrimination in Federally-
Assisted Programs of the Department of Transportation--Effectuation 
of Title VI of the Civil Rights Act,'' 49 CFR part 21 at 21.7, the 
Applicant assures that it will comply with all requirements of 49 
CFR part 21; FTA Circular 4702.1, ``Title VI Program Guidelines for 
Federal Transit Administration Recipients,'' and other applicable 
directives, so that no person in the United States, on the basis of 
race, color, national origin, creed, sex, or age will be excluded 
from participation in, be denied the benefits of, or otherwise be 
subjected to discrimination in any program or activity (particularly 
in the level and quality of transportation services and 
transportation-related benefits) for which the Applicant receives 
Federal assistance awarded by the U.S. DOT or FTA.
    Specifically, during the period in which Federal assistance is 
extended to the project, or project property is used for a purpose 
for which the Federal assistance is extended or for another purpose 
involving the provision of similar services or benefits, or as long 
as the Applicant retains ownership or possession of the project 
property, whichever is longer, the Applicant assures that:
    (1) Each project will be conducted, property acquisitions will 
be undertaken, and project facilities will be operated in accordance 
with all applicable requirements of 49 U.S.C. 5332 and 49 CFR part 
21, and understands that this assurance extends to its entire 
facility and to facilities operated in connection with the project.
    (2) It will promptly take the necessary actions to effectuate 
this assurance, including notifying the public that complaints of 
discrimination in the provision of transportation-related services 
or benefits may be filed with U.S. DOT or FTA. Upon request by U.S. 
DOT or FTA, the Applicant assures that it will submit the required 
information pertaining to its compliance with these requirements.
    (3) It will include in each subagreement, property transfer 
agreement, third party contract, third party subcontract, or 
participation agreement adequate provisions to extend the 
requirements of 49 U.S.C. 5332 and 49 CFR part 21 to other parties 
involved therein including any subrecipient, transferee, third party 
contractor, third party subcontractor at any level, successor in 
interest, or any other participant in the project.
    (4) Should it transfer real property, structures, or 
improvements financed with Federal assistance provided by FTA to 
another party, any deeds and instruments recording the transfer of 
that property shall contain a covenant running with the land 
assuring nondiscrimination for the period during which the property 
is used for a purpose for which the Federal assistance is extended 
or for another purpose involving the provision of similar services 
or benefits.
    (5) The United States has a right to seek judicial enforcement 
with regard to any matter arising under the Act, regulations, and 
this assurance.
    (6) It will make any changes in its 49 U.S.C. 5332 and Title VI 
implementing procedures as U.S. DOT or FTA may request.

E. Assurance of Nondiscrimination on the Basis of Disability

    As required by U.S. DOT regulations, ``Nondiscrimination on the 
Basis of Handicap in Programs and Activities Receiving or Benefiting 
from Federal Financial Assistance,'' at 49 CFR 27.9, the Applicant 
assures that, as a condition to the approval or extension of any 
Federal assistance awarded by FTA to construct any facility, obtain 
any rolling stock or other equipment, undertake studies, conduct 
research, or to participate in or obtain any benefit from any 
program administered by FTA, no otherwise qualified person with a 
disability shall be, solely by reason of that disability, excluded 
from participation in, denied the benefits of, or otherwise 
subjected to discrimination in any program or activity receiving or 
benefiting from Federal assistance administered by the FTA or any 
entity within U.S. DOT. The Applicant assures that project 
implementation and operations so assisted will comply with all 
applicable requirements of U.S. DOT regulations implementing the 
Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq., and 
the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 
12101 et seq., and implementing U.S. DOT regulations at 49 CFR parts 
27, 37, and 38, and any applicable regulations and directives issued 
by other Federal departments or agencies.

F. Procurement Compliance Certification

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

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

    As required by OMB, the Applicant certifies that it:
    (1) Has the legal authority to apply for Federal assistance and 
the institutional, managerial, and financial capability (including 
funds sufficient to pay the non-Federal share of project cost) to 
ensure proper planning, management, and

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completion of the project described in its application;
    (2) Will give FTA, the Comptroller General of the United States, 
and, if appropriate, the state, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives;
    (3) Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest or 
personal gain;
    (4) Will initiate and complete the work within the applicable 
project time periods following receipt of FTA approval;
    (5) Will comply with all applicable Federal statutes relating to 
nondiscrimination including, but not limited to:
    (a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which 
prohibits discrimination on the basis of race, color, or national 
origin;
    (b) Title IX of the Education Amendments of 1972, as amended, 20 
U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT 
regulations, ``Nondiscrimination on the Basis of Sex in Education 
Programs or Activities Receiving Federal Financial Assistance,'' 49 
CFR part 25, which prohibit discrimination on the basis of sex;
    (c) Section 504 of the Rehabilitation Act of 1973, as amended, 
29 U.S.C. 794, which prohibits discrimination on the basis of 
handicap;
    (d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 
6101 through 6107, which prohibits discrimination on the basis of 
age;
    (e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, 21 U.S.C. 1174 et seq. 
relating to nondiscrimination on the basis of drug abuse;
    (f) The Comprehensive Alcohol Abuse and Alcoholism Prevention 
Act of 1970, Pub. L. 91-616, Dec. 31, 1970, and amendments thereto, 
42 U.S.C. 4581 et seq. relating to nondiscrimination on the basis of 
alcohol abuse or alcoholism;
    (g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 
290dd-3 and 290ee-3, related to confidentiality of alcohol and drug 
abuse patient records;
    (h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., 
relating to nondiscrimination in the sale, rental, or financing of 
housing;
    (i) Any other nondiscrimination provisions in the specific 
statutes under which Federal assistance for the project may be 
provided including, but not limited, to 49 U.S.C. 5332, which 
prohibits discrimination on the basis of race, color, creed, 
national origin, sex, or age, and prohibits discrimination in 
employment or business opportunity, and section 1101(b) of the 
Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note, 
which provides for participation of disadvantaged business 
enterprises in FTA programs; and
    (j) Any other nondiscrimination statute(s) that may apply to the 
project;
    (6) Will comply with, or has complied with, the requirements of 
Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, as amended, (Uniform 
Relocation Act) 42 U.S.C. 4601 et seq., which, among other things, 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in any purchase. As required by sections 210 and 305 
of the Uniform Relocation Act, 42 U.S.C. 4630 and 4655, and U.S. DOT 
regulations, ``Uniform Relocation Assistance and Real Property 
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR 
24.4, the Applicant assures that it has the requisite authority 
under applicable state and local law to comply with the requirements 
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT 
regulations, ``Uniform Relocation Assistance and Real Property 
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR 
part 24, and will comply with or has complied with that Act and 
those U.S. DOT implementing regulations, including but not limited 
to the following:
    (a) The Applicant will adequately inform each affected person of 
the benefits, policies, and procedures provided for in 49 CFR part 
24;
    (b) The Applicant will provide fair and reasonable relocation 
payments and assistance as required by 42 U.S.C. 4622, 4623, and 
4624; 49 CFR part 24; and any applicable FTA procedures, to or for 
families, individuals, partnerships, corporations, or associations 
displaced as a result of any project financed with FTA assistance;
    (c) The Applicant will provide relocation assistance programs 
offering the services described in 42 U.S.C. 4625 to such displaced 
families, individuals, partnerships, corporations, or associations 
in the manner provided in 49 CFR part 24 and FTA procedures;
    (d) Within a reasonable time before displacement, the Applicant 
will make available comparable replacement dwellings to displaced 
families and individuals as required by 42 U.S.C. 4625(c)(3);
    (e) The Applicant will carry out the relocation process in such 
manner as to provide displaced persons with uniform and consistent 
services, and will make available replacement housing in the same 
range of choices with respect to such housing to all displaced 
persons regardless of race, color, religion, or national origin;
    (f) In acquiring real property, the Applicant will be guided to 
the greatest extent practicable under state law, by the real 
property acquisition policies of 42 U.S.C. 4651 and 4652;
    (g) The Applicant will pay or reimburse property owners for 
necessary expenses as specified in 42 U.S.C. 4653 and 4654, with the 
understanding that FTA will provide Federal financial assistance for 
the Applicant's eligible costs of providing payments for those 
expenses, as required by 42 U.S.C. 4631;
    (h) The Applicant will execute such amendments to third party 
contracts and subagreements financed with FTA assistance and 
execute, furnish, and be bound by such additional documents as FTA 
may determine necessary to effectuate or implement the assurances 
provided herein; and
    (i) The Applicant agrees to make these assurances part of or 
incorporate them by reference into any third party contract or 
subagreement, or any amendments thereto, relating to any project 
financed by FTA involving relocation or land acquisition and provide 
in any affected document that these relocation and land acquisition 
provisions shall supersede any conflicting provisions;
    (1) To the extent applicable, will comply with the Davis-Bacon 
Act, as amended, 40 U.S.C. 3141 et seq., the Copeland ``Anti-
Kickback'' Act, as amended, 18 U.S.C. 874, and the Contract Work 
Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq., 
regarding labor standards for federally assisted subagreements;
    (2) To the extent applicable, will comply with the flood 
insurance purchase requirements of section 102(a) of the Flood 
Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), 
requiring recipients in a special flood hazard area to participate 
in the program and purchase flood insurance if the total cost of 
insurable construction and acquisition is $10,000 or more;
    (9) Will comply with the Lead-Based Paint Poisoning Prevention 
Act, 42 U.S.C. 4831(b), which prohibits the use of lead-based paint 
in the construction or rehabilitation of residence structures;
    (10) Will not dispose of, modify the use of, or change the terms 
of the real property title or other interest in the site and 
facilities on which a construction project supported with FTA 
assistance takes place without permission and instructions from the 
awarding agency;
    (11) Will record the Federal interest in the title of real 
property in accordance with FTA directives and will include a 
covenant in the title of real property acquired in whole or in part 
with Federal assistance funds to assure nondiscrimination during the 
useful life of the project;
    (12) Will comply with FTA requirements concerning the drafting, 
review, and approval of construction plans and specifications of any 
construction project supported with FTA assistance. As required by 
U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before 
accepting delivery of any building financed with FTA assistance, it 
will obtain a certificate of compliance with the seismic design and 
construction requirements of 49 CFR part 41;
    (13) Will provide and maintain competent and adequate 
engineering supervision at the construction site of any project 
supported with FTA assistance to ensure that the complete work 
conforms with the approved plans and specifications, and will 
furnish progress reports and such other information as may be 
required by FTA or the state;
    (14) Will comply with any applicable environmental standards 
that may be prescribed to implement the following Federal laws and 
executive orders:
    (a) Institution of environmental quality control measures under 
the National Environmental Policy Act of 1969, as amended, 42 U.S.C. 
4321 et seq. and

[[Page 2458]]

Executive Order No. 11514, as amended, 42 U.S.C. 4321 note;
    (b) Notification of violating facilities pursuant to Executive 
Order No. 11738, 42 U.S.C. 7606 note;
    (c) Protection of wetlands pursuant to Executive Order No. 
11990, 42 U.S.C. 4321 note;
    (d) Evaluation of flood hazards in floodplains in accordance 
with Executive Order 11988, 42 U.S.C. 4321 note;
    (e) Assurance of project consistency with the approved state 
management program developed pursuant to the requirements of the 
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451 et 
seq.;
    (f) Conformity of Federal actions to State (Clean Air) 
Implementation Plans under section 176(c) of the Clean Air Act of 
1955, as amended, 42 U.S.C. 7401 et seq.;
    (g) Protection of underground sources of drinking water under 
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et 
seq.;
    (h) Protection of endangered species under the Endangered 
Species Act of 1973, as amended, 16 U.S.C. 1531 et seq.; and
    (i) Environmental protections for Federal transportation 
programs, including, but not limited to, protections for parks, 
recreation areas, or wildlife or waterfowl refuges of national, 
state, or local significance or any land from a historic site of 
national, state, or local significance to be used in a 
transportation project as required by 49 U.S.C. 303;
    (j) Protection of the components of the national wild and scenic 
rivers systems, as required under the Wild and Scenic Rivers Act of 
1968, as amended, 16 U.S.C. 1271 et seq.; and
    (k) Provision of assistance to FTA in complying with section 106 
of the National Historic Preservation Act of 1966, as amended, 16 
U.S.C. 470f; the Archaeological and Historic Preservation Act of 
1974, as amended, 16 U.S.C. 469a-1 et seq.; and Executive Order No. 
11593 (identification and protection of historic properties), 16 
U.S.C. 470 note;
    (15) To the extent applicable, will comply with the requirements 
of the Hatch Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, 
which limit the political activities of state and local agencies and 
their officers and employees whose primary employment activities are 
financed in whole or part with Federal funds including a Federal 
loan, grant agreement, or cooperative agreement except, in 
accordance with 23 U.S.C. 142(g), the Hatch Act does not apply to a 
nonsupervisory employee of a transit system (or of any other agency 
or entity performing related functions) receiving FTA assistance to 
whom that Act does not otherwise apply;
    (16) Will comply with the National Research Act, Pub. L. 93-348, 
July 12, 1974, as amended, 42 U.S.C. 289 et seq., and U.S. DOT 
regulations, ``Protection of Human Subjects,'' 49 CFR part 11, 
regarding the protection of human subjects involved in research, 
development, and related activities supported by Federal assistance;
    (17) Will comply with the Laboratory Animal Welfare Act of 1966, 
as amended, 7 U.S.C. 2131 et seq., and U.S. Department of 
Agriculture regulations, ``Animal Welfare,'' 9 CFR subchapter A, 
parts 1, 2, 3, and 4, regarding the care, handling, and treatment of 
warm blooded animals held or used for research, teaching, or other 
activities supported by Federal assistance;
    (18) Will have performed the financial and compliance audits as 
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 
et seq., OMB Circular No. A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations,'' Revised, and the most 
recent applicable OMB A-133 Compliance Supplement provisions for the 
Department of Transportation; and
    (19) Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations, and policies governing 
the project.

2. Lobbying

    An Applicant that submit or intends to submit an application for 
Federal assistance exceeding $100,000 must provide the following 
certification. FTA may not award Federal assistance exceeding 
$100,000 until the Applicant provides this certification by 
selecting Category ``02.''
    A. As required by U.S. DOT regulations, ``New Restrictions on 
Lobbying,'' at 49 CFR 20.110, the Applicant's authorized 
representative certifies to the best of his or her knowledge and 
belief that for each application for Federal assistance exceeding 
$100,000:
    (1) No Federal appropriated funds have been or will be paid by 
or on behalf of the Applicant to any person to influence or attempt 
to influence an officer or employee of any Federal agency, a Member 
of Congress, an officer or employee of Congress, or an employee of a 
Member of Congress regarding the award of Federal assistance, or the 
extension, continuation, renewal, amendment, or modification of any 
Federal assistance agreement; and
    (2) If any funds other than Federal appropriated funds have been 
or will be paid to any person to influence or attempt to influence 
an officer or employee of any Federal agency, a Member of Congress, 
an officer or employee of Congress, or an employee of a Member of 
Congress in connection with any application for Federal assistance, 
the Applicant assures that it will complete and submit Standard 
Form-LLL, ``Disclosure Form to Report Lobbying,'' including 
information required by the instructions accompanying the form, 
which form may be amended to omit such information as authorized by 
31 U.S.C. 1352.
    (3) The language of this certification shall be included in the 
award documents for all subawards at all tiers (including 
subcontracts, subgrants, and contracts under grants, loans, and 
cooperative agreements).
    B. The Applicant understands that this certification is a 
material representation of fact upon which reliance is placed and 
that submission of this certification is a prerequisite for 
providing Federal assistance for a transaction covered by 31 U.S.C. 
1352. The Applicant also understands that any person who fails to 
file a required certification shall be subject to a civil penalty of 
not less than $10,000 and not more than $100,000 for each such 
failure.

3. Private Mass Transportation Companies

    A State or local government Applicant seeking Federal assistance 
authorized by 49 U.S.C. chapter 53 to acquire the property or an 
interest in the property of a private mass transportation company or 
to operate mass transportation equipment or facilities in 
competition with, or in addition to, transportation service provided 
by an existing mass transportation company must provide the 
following certification. FTA may not award Federal assistance for 
that type of project until the Applicant provides this certification 
by selecting Category ``03.''
    As required by 49 U.S.C. 5323(a)(1), the Applicant certifies 
that before it acquires the property or an interest in the property 
of a private mass transportation company or operates mass 
transportation equipment or facilities in competition with, or in 
addition to, transportation service provided by an existing mass 
transportation company, it has or will have:
    A. Found that the assistance is essential to carrying out a 
program of projects as determined by the plans and programs of the 
metropolitan planning organization;
    B. Provided for the participation of private mass transportation 
companies to the maximum extent feasible consistent with applicable 
FTA requirements and policies;
    C. Paid just compensation under state or local law to a private 
mass transportation company for its franchises or property acquired; 
and
    D. Acknowledged that the assistance falls within the labor 
standards compliance requirements of 49 U.S.C. 5333(a) and 5333(b).

4. Public Hearing

    An Applicant seeking Federal assistance authorized by 49 U.S.C. 
chapter 53 for a capital project that will substantially affect a 
community or a community's mass transportation service must provide 
the following certification. FTA may not award Federal assistance 
for that type of project until the Applicant provides this 
certification by selecting Category ``04.''
    As required by 49 U.S.C. 5323(b), the Applicant certifies that 
it has, or before submitting its application, it will have:
    A. Provided an adequate opportunity for a public hearing with 
adequate prior notice of the proposed project published in a 
newspaper of general circulation in the geographic area to be 
served;
    B. Held that hearing and provided FTA a transcript or detailed 
report summarizing the issues and responses, unless no one with a 
significant economic, social, or environmental interest requests a 
hearing;
    C. Considered the economic, social, and environmental effects of 
the proposed project; and
    D. Determined that the proposed project is consistent with 
official plans for developing the urban area.

5. Acquisition of Rolling Stock

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

[[Page 2459]]

the Applicant provides this certification by selecting Category 
``05.''
    As required by 49 U.S.C. 5323(m) and implementing FTA 
regulations at 49 CFR 663.7, the Applicant certifies that it will 
comply with the requirements of 49 CFR part 663 when procuring 
revenue service rolling stock. Among other things, the Applicant 
agrees to conduct or cause to be conducted the requisite pre-award 
and post-delivery reviews, and maintain on file the certifications 
required by 49 CFR part 663, subparts B, C, and D.

6. Bus Testing

    An Applicant for Federal assistance appropriated or made 
available for 49 U.S.C. chapter 53 to acquire any new bus model or 
any bus model with a new major change in configuration or components 
must provide the following certification. FTA may not provide 
assistance for the acquisition of new buses until the Applicant 
provides this certification by selecting Category ``06.''
    As required by FTA regulations, ``Bus Testing,'' at 49 CFR 
665.7, the Applicant certifies that before expending any Federal 
assistance to acquire the first bus of any new bus model or any bus 
model with a new major change in configuration or components, or 
before authorizing final acceptance of that bus (as described in 49 
CFR part 665), the bus model:
    A. Will have been tested at a bus testing facility approved by 
FTA; and
    B. Will have received a copy of the test report prepared on the 
bus model.

7. Charter Service Agreement

    An Applicant seeking Federal assistance authorized by 49 U.S.C. 
chapter 53 (except 49 U.S.C. 5310), or by Title 23, U.S.C. to 
acquire or operate any mass transportation equipment or facilities 
must enter into the following Charter Service Agreement. FTA may not 
provide assistance authorized by 49 U.S.C. chapter 53 (except 49 
U.S.C. 5310), or by Title 23, U.S.C. for projects until the 
Applicant enters into this Charter Service Agreement by selecting 
Category ``07.''
    A. As required by 49 U.S.C. 5323(d) and FTA regulations, 
``Charter Service,'' at 49 CFR 604.7, the Applicant agrees that it 
and its recipients will:
    (1) Provide charter service that uses equipment or facilities 
acquired with Federal assistance authorized by 49 U.S.C. chapter 53 
(except 49 U.S.C. 5310), or Title 23, U.S.C., only to the extent 
that there are no private charter service operators willing and able 
to provide the charter service that it or its recipients desire to 
provide, unless one or more of the exceptions in 49 CFR 604.9 
applies; and
    (2) Comply with the requirements of 49 CFR part 604 before 
providing any charter service using equipment or facilities acquired 
with Federal assistance authorized by 49 U.S.C. chapter 53 (except 
49 U.S.C. 5310), or Title 23, U.S.C. for transportation projects.
    B. As The Applicant understands that:
    (1) The requirements of 49 CFR part 604 will apply to any 
charter service it provides,
    (2) The definitions of 49 CFR part 604 will apply to this 
Charter Service Agreement, and
    (3) A violation of this Charter Service Agreement may require 
corrective measures and imposition of penalties, including debarment 
from the receipt of further Federal assistance for transportation.

8. School Transportation Agreement

    An Applicant seeking Federal assistance authorized by 49 U.S.C. 
chapter 53 or by Title 23, U.S.C. to acquire or operate 
transportation facilities and equipment must enter into the 
following School Transportation Agreement. FTA may not provide 
assistance for such projects until the Applicant enters into this 
agreement by selecting Category ``08.''
    A. As required by 49 U.S.C. 5323(f) and FTA regulations, 
``School Bus Operations,'' at 49 CFR 605.14, the Applicant agrees 
that it and all its recipients will:
    (1) Engage in school transportation operations in competition 
with private school transportation operators only to the extent 
permitted by 49 U.S.C. 5323(f), and Federal regulations; and
    (2) Comply with the requirements of 49 CFR part 605 before 
providing any school transportation using equipment or facilities 
acquired with Federal assistance and authorized by 49 U.S.C. chapter 
53 or Title 23 U.S.C. for transportation projects.
    B. As The Applicant understands that:
    (1) The requirements of 49 CFR part 605 will apply to any school 
transportation service it provides,
    (2) The definitions of 49 CFR part 605 will apply to this school 
transportation agreement, and
    (3) A violation of this School Transportation Agreement may 
require corrective measures and imposition of penalties, including 
debarment from the receipt of further Federal assistance for 
transportation.

9. Demand Responsive Service

    An Applicant that operates demand responsive service and applies 
for direct Federal assistance authorized for 49 U.S.C. chapter 53 to 
acquire non-rail mass transportation vehicles is required to provide 
the following certification. FTA may not award direct Federal 
assistance authorized for 49 U.S.C. chapter 53 to an Applicant that 
operates demand responsive service to acquire non-rail mass 
transportation vehicles until the Applicant provides this 
certification by selecting Category ``09.''
    As required by U.S. DOT regulations, ``Transportation Services 
for Individuals with Disabilities (ADA),'' at 49 CFR 37.77(d), the 
Applicant certifies that its demand responsive service offered to 
persons with disabilities, including persons who use wheelchairs, is 
equivalent to the level and quality of service offered to persons 
without disabilities. When the Applicant's service is viewed in its 
entirety, the Applicant's service for persons with disabilities is 
provided in the most integrated setting feasible and is equivalent 
with respect to: (1) Response time, (2) fares, (3) geographic 
service area, (4) hours and days of service, (5) restrictions on 
trip purpose, (6) availability of information and reservation 
capability, and (7) constraints on capacity or service availability.

10. Alcohol Misuse and Prohibited Drug Use

    If the Applicant is required to provide the following 
certification concerning its activities to prevent alcohol misuse 
and prohibited drug use in its transit operations, FTA may not 
provide Federal assistance to that Applicant until it provides this 
certification by selecting Category ``10.''
    As required by FTA regulations, ``Prevention of Alcohol Misuse 
and Prohibited Drug Use in Transit Operations,'' at 49 CFR part 655, 
subpart I, the Applicant certifies that it has established and 
implemented an alcohol misuse and anti-drug program, and has 
complied with or will comply with all applicable requirements of FTA 
regulations, ``Prevention of Alcohol Misuse and Prohibited Drug Use 
in Transit Operations,'' 49 CFR part 655.

11. Interest and Other Financing Costs

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

12. Intelligent Transportation Systems

    An Applicant for FTA assistance for an Intelligent 
Transportation Systems (ITS) project, defined as any project that in 
whole or in part finances the acquisition of technologies or systems 
of technologies that provide or significantly contribute to the 
provision of one or more ITS user services as defined in the 
``National ITS Architecture,'' must provide the following assurance. 
FTA may not award any Federal assistance for an ITS project until 
the Applicant provides this assurance by selecting Category ``12.''
    As used in this assurance, the term Intelligent Transportation 
Systems (ITS) project is defined to include any project that in 
whole or in part finances the acquisition of technologies or systems 
of technologies that provide or significantly contribute to the 
provision of one or more ITS user services as defined in the 
``National ITS Architecture.''
    A. In accordance with section 5206(e) of TEA-21, 23 U.S.C. 502 
note, the Applicant assures it will comply with all applicable 
requirements of Section V (Regional ITS Architecture and Section VI 
(Project Implementation) of FTA Notice, ``FTA National ITS 
Architecture Policy on Transit Projects,'' at 66 FR 1455 et seq., 
January 8, 2001, and other FTA requirements that may be issued in 
connection with any ITS project it undertakes financed with Highway 
Trust Funds (including funds from the mass transit account) or funds 
made available for the Intelligent Transportation Systems Program 
authorized by TEA-21, title V, subtitle C, 23 U.S.C. 502 note.

[[Page 2460]]

    B. With respect to any ITS project financed with Federal 
assistance derived from a source other than Highway Trust Funds 
(including funds from the Mass Transit Account) or TEA-21, title V, 
subtitle C, 23 U.S.C. 502 note, the Applicant assures that is will 
use its best efforts to ensure that any ITS project it undertakes 
will not preclude interface with other intelligent transportation 
systems in the Region.

13. Urbanized Area, JARC, and Clean Fuels Programs

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

A. Certifications Required for the Urbanized Area Formula Program

    (1) As required by 49 U.S.C. 5307(d)(1)(A) through (J), the 
Applicant certifies and assures as follows:
    (a) It has or will have the legal, financial, and technical 
capacity to carry out the proposed program of projects;
    (b) It has or will have satisfactory continuing control over the 
use of Project equipment and facilities;
    (c) It will adequately maintain the equipment and facilities;
    (d) It will ensure that elderly and handicapped persons, or any 
person presenting a Medicare card issued to himself or herself 
pursuant to title II or title XVIII of the Social Security Act (42 
U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for 
transportation during non-peak hours using or involving a facility 
or equipment of a project financed with Federal assistance 
authorized for 49 U.S.C. 5307, or for the Job Access and Reverse 
Commute Program at section 3037 of the Transportation Equity Act for 
the 21st Century (TEA-21), 49 U.S.C. 5309 note, not more than fifty 
(50) percent of the peak hour fare;
    (e) In carrying out a procurement financed with Federal 
assistance authorized for the Urbanized Area Formula Program, 49 
U.S.C. 5307, or the Job Access and Reverse Commute Program, section 
3037 of TEA-21, 49 U.S.C. 5309 note, it: (1) will use competitive 
procurement (as defined or approved by the Secretary), (2) will not 
use exclusionary or discriminatory specifications, and (3) will 
comply with applicable Buy America laws;
    (f) It has complied with or will comply with the requirements of 
49 U.S.C. 5307(c). Specifically, it: (1) Has made available, or will 
make available, to the public information on the amounts available 
for the Urbanized Area Formula Program, 49 U.S.C. 5307 and, if 
applicable, the Job Access and Reverse Commute Grant Program, 49 
U.S.C. 5309 note, and the program of projects it proposes to 
undertake; (2) has developed or will develop, in consultation with 
interested parties including private transportation providers, a 
proposed program of projects for activities to be financed; (3) has 
published or will publish a proposed program of projects in a way 
that affected citizens, private transportation providers, and local 
elected officials have the opportunity to examine the proposed 
program and submit comments on the proposed program and the 
performance of the Applicant; (4) has provided or will provide an 
opportunity for a public hearing to obtain the views of citizens on 
the proposed program of projects; (5) has ensured or will ensure 
that the proposed program of projects provides for the coordination 
of transportation services assisted under 49 U.S.C. 5336 with 
transportation services assisted by another Federal Government 
source; (6) has considered or will consider the comments and views 
received, especially those of private transportation providers, in 
preparing its final program of projects; and (7) has made or will 
make the final program of projects available to the public;
    (g) It has or will have available and will provide the amount of 
funds required by 49 U.S.C. 5307(e) and applicable FTA policy 
(specifying Federal and local shares of project costs);
    (h) It will comply with: 49 U.S.C. 5301(a) (requirements for 
transportation systems that maximize mobility and minimize fuel 
consumption and air pollution); 49 U.S.C. 5301(d) (requirements for 
transportation of the elderly and persons with disabilities); 49 
U.S.C. 5303 through 5306 (planning requirements); and 49 U.S.C. 
5301(d) (special efforts to design and provide mass transportation 
for the elderly and persons with disabilities);
    (i) It has a locally developed process to solicit and consider 
public comment before raising fares or implementing a major 
reduction of transportation; and
    (j) As required by 49 U.S.C. 5307(d)(1)(J), unless it has 
determined that it is not necessary to expend one (1) percent of the 
amount of Federal assistance it receives for this fiscal year 
apportioned in accordance with 49 U.S.C. 5336 for transit security 
projects, it will expend at least one (1) percent of that assistance 
for transit security projects, including increased lighting in or 
adjacent to a transit system (including bus stops, subway stations, 
parking lots, and garages), increased camera surveillance of an area 
in or adjacent to that system, emergency telephone line or lines to 
contact law enforcement or security personnel in an area in or 
adjacent to that system, and any other project intended to increase 
the security and safety of an existing or planned transit system.
    (2) As required by 49 U.S.C. 5307(k)(3), if it has received 
Transit Enhancement funds authorized by 49 U.S.C. 5307(k)(1), its 
quarterly report for the fourth quarter of the preceding Federal 
fiscal year includes a list of the projects it has implemented 
during that fiscal year using those funds, and that report is 
incorporated by reference and made part of its certifications and 
assurances.

B. Certification Required for Capital Leasing

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

C. Certification Required for the Sole Source Acquisition of an 
Associated Capital Maintenance Item

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

D. Clean Fuels Formula Grant Program Certification

    As required by 49 U.S.C. 5308(c)(2), the Applicant certifies 
that vehicles financed with Federal assistance provided for the

[[Page 2461]]

Clean Fuels Formula Program, 49 U.S.C. 5308, will be operated only 
with clean fuels.

14. Elderly and Persons With Disabilities Program

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

15. Nonurbanized Area Formula Program

    An Applicant that intends to administer the Nonurbanized Area 
Formula Program on behalf of a state must provide the following 
certifications and assurances. In providing certifications and 
assurances that require the compliance of its prospective 
subrecipients, the Applicant is expected to obtain sufficient 
documentation from those subrecipients to assure the validity of its 
certifications and assurances. FTA may not award Nonurbanized Area 
Formula Program assistance to the Applicant until the Applicant 
provides these certifications and assurances by selecting Categories 
``1 through 11'' and ``15.''
    The Applicant administering, on behalf of the state, the 
Nonurbanized Area Formula Program authorized by 49 U.S.C. 5311 
certifies and assures that the following requirements and conditions 
will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive, and disburse Federal 
assistance authorized for 49 U.S.C. 5311; and to implement and 
manage the project.
    B. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    C. The state assures that before issuing the state's formal 
approval of the project, its Nonurbanized Area Formula Program is 
included in the Statewide Transportation Improvement Program as 
required by 23 U.S.C. 135; and projects are included in a 
metropolitan Transportation Improvement Program, to the extent 
applicable.

[[Page 2462]]

    D. The state has provided for a fair and equitable distribution 
of Federal assistance authorized for 49 U.S.C. 5311 within the 
state, including Indian reservations within the state.
    E. The state recognizes that the subrecipient, rather than the 
state itself, will be ultimately responsible for implementing many 
Federal requirements covered by the certifications and assurances 
the state has signed. After having taken appropriate measures to 
secure the necessary compliance by each subrecipient, the state 
assures, on behalf of each subrecipient, that:
    (1) The subrecipient has or will have, by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
financed with Federal assistance awarded for its project;
    (2) The subrecipient has coordinated or will coordinate to the 
maximum extent feasible with other transportation providers and 
users, including social service agencies authorized to purchase 
transit service;
    (3) The subrecipient has complied or will comply with all 
applicable civil rights requirements;
    (4) The subrecipient has complied or will comply with applicable 
requirements of U.S. DOT regulations regarding participation of 
disadvantaged business enterprises in U.S. DOT programs;
    (5) The subrecipient has complied or will comply with Federal 
requirements regarding transportation of elderly persons and persons 
with disabilities;
    (6) The subrecipient has complied or will comply with the 
transit employee protective provisions of 49 U.S.C. 5333(b), by one 
of the following actions: (a) signing the Special Warranty for the 
Nonurbanized Area Formula Program, (b) agreeing to alternative 
comparable arrangements approved by the Department of Labor (DOL), 
or (c) obtaining a waiver from DOL; and the state has certified the 
subrecipient's compliance to DOL;
    (7) The subrecipient has complied or will comply with 49 CFR 
part 604 in the provision of any charter service provided with 
equipment or facilities acquired with FTA assistance;
    (8) The subrecipient has complied or will comply with applicable 
provisions of 49 CFR part 605 pertaining to school transportation 
operations;
    (9) Viewing its demand responsive service to the general public 
in its entirety, the subrecipient has complied or will comply with 
the requirement to provide demand responsive service to persons with 
disabilities, including persons who use wheelchairs, meeting the 
standards of equivalent service set forth in 49 CFR 37.77(c), before 
purchasing non-accessible vehicles for use in demand responsive 
service for the general public;
    (10) The subrecipient has established or will establish a 
procurement system, and has conducted or will conduct its 
procurements in compliance with all applicable provisions of Federal 
laws, executive orders, regulations, FTA Circular 4220.1E, ``Third 
Party Contracting Requirements,'' as amended and revised, and other 
Federal requirements that may be applicable;
    (11) The subrecipient has complied or will comply with the 
requirement that its project provide for the participation of 
private enterprise to the maximum extent feasible;
    (12) The subrecipient has paid or will pay just compensation 
under state or local law to each private mass transportation company 
for its franchise or property acquired under the project;
    (13) The subrecipient has complied or will comply with all 
applicable lobbying requirements for each application exceeding 
$100,000;
    (14) The subrecipient has complied or will comply with all 
applicable nonprocurement suspension and debarment requirements;
    G. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a categorical exclusion and does not require further 
environmental approvals, as described in the joint FHWA/FTA 
regulations, ``Environmental Impact and Related Procedures,'' at 23 
CFR 771.117(c). The state certifies that, until the required Federal 
environmental finding is made, financial assistance will not be 
provided for any project that does not qualify for a categorical 
exclusion described in 23 CFR 771.117(c). The state further 
certifies that, until the required Federal conformity finding has 
been made, no financial assistance will be provided for a project 
requiring a Federal conformity finding in accordance with the U.S. 
Environmental Protection Agency's Clean Air Conformity regulations 
at 40 CFR parts 51 and 93.
    H. The state assures that it will enter into a written agreement 
with each subrecipient stating the terms and conditions of 
assistance by which the project will be undertaken and completed.
    I. The state recognizes the authority of FTA, U.S. DOT, and the 
Comptroller General of the United States to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations, and assures that, upon request, the State and its 
subrecipients will make the necessary records available to FTA, U.S. 
DOT and the Comptroller General of the United States. The state also 
acknowledges its obligation under 49 CFR 18.40(a) to monitor project 
activities carried out by its subrecipients to assure compliance 
with applicable Federal requirements.

15. Nonurbanized Area Formula Program

    An Applicant that intends to administer the Nonurbanized Area 
Formula Program on behalf of a state must provide the following 
certifications and assurances. In providing certifications and 
assurances that require the compliance of its prospective 
subrecipients, the Applicant is expected to obtain sufficient 
documentation from those subrecipients to assure the validity of its 
certifications and assurances. FTA may not award Nonurbanized Area 
Formula Program assistance to the Applicant until the Applicant 
provides these certifications and assurances by selecting Categories 
``1 through 11'' and ``15.''
    The Applicant administering, on behalf of the state, the 
Nonurbanized Area Formula Program authorized by 49 U.S.C. 5311 
certifies and assures that the following requirements and conditions 
will be fulfilled:
    A. The state organization serving as the Applicant and each 
subrecipient has or will have the necessary legal, financial, and 
managerial capability to apply for, receive, and disburse Federal 
assistance authorized for 49 U.S.C. 5311; and to implement and 
manage the project.
    B. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    C. The state assures that before issuing the state's formal 
approval of the project, its Nonurbanized Area Formula Program is 
included in the Statewide Transportation Improvement Program as 
required by 23 U.S.C. 135; and projects are included in a 
metropolitan Transportation Improvement Program, to the extent 
applicable.
    D. The state has provided for a fair and equitable distribution 
of Federal assistance authorized for 49 U.S.C. 5311 within the 
state, including Indian reservations within the state.
    E. The state recognizes that the subrecipient, rather than the 
state itself, will be ultimately responsible for implementing many 
Federal requirements covered by the certifications and assurances 
the state has signed. After having taken appropriate measures to 
secure the necessary compliance by each subrecipient, the state 
assures, on behalf of each subrecipient, that:
    (1) The subrecipient has or will have, by the time of delivery, 
sufficient funds to operate and maintain the vehicles and equipment 
financed with Federal assistance awarded for its project;
    (2) The subrecipient has coordinated or will coordinate to the 
maximum extent feasible with other transportation providers and 
users, including social service agencies authorized to purchase 
transit service;
    (3) The subrecipient has complied or will comply with all 
applicable civil rights requirements;
    (4) The subrecipient has complied or will comply with applicable 
requirements of U.S. DOT regulations regarding participation of 
disadvantaged business enterprises in U.S. DOT programs;
    (5) The subrecipient has complied or will comply with Federal 
requirements regarding transportation of elderly persons and persons 
with disabilities;
    (6) The subrecipient has complied or will comply with the 
transit employee protective provisions of 49 U.S.C. 5333(b), by one 
of the following actions: (a) signing the Special Warranty for the 
Nonurbanized Area Formula Program, (b) agreeing to alternative 
comparable arrangements approved by the Department of Labor (DOL), 
or (c) obtaining a waiver from DOL; and the state has certified the 
subrecipient's compliance to DOL;
    (7) The subrecipient has complied or will comply with 49 CFR 
part 604 in the provision of any charter service provided with 
equipment or facilities acquired with FTA assistance;
    (8) The subrecipient has complied or will comply with applicable 
provisions of 49 CFR part 605 pertaining to school transportation 
operations;
    (9) Viewing its demand responsive service to the general public 
in its entirety, the

[[Page 2463]]

subrecipient has complied or will comply with the requirement to 
provide demand responsive service to persons with disabilities, 
including persons who use wheelchairs, meeting the standards of 
equivalent service set forth in 49 CFR 37.77(c), before purchasing 
non-accessible vehicles for use in demand responsive service for the 
general public;
    (10) The subrecipient has established or will establish a 
procurement system, and has conducted or will conduct its 
procurements in compliance with all applicable provisions of Federal 
laws, executive orders, regulations, FTA Circular 4220.1E, ``Third 
Party Contracting Requirements,'' as amended and revised, and other 
Federal requirements that may be applicable;
    (11) The subrecipient has complied or will comply with the 
requirement that its project provide for the participation of 
private enterprise to the maximum extent feasible;
    (12) The subrecipient has paid or will pay just compensation 
under state or local law to each private mass transportation company 
for its franchise or property acquired under the project;
    (13) The subrecipient has complied or will comply with all 
applicable lobbying requirements for each application exceeding 
$100,000;
    (14) The subrecipient has complied or will comply with all 
applicable nonprocurement suspension and debarment requirements;
    (15) The subrecipient has complied or will comply with all 
applicable bus testing requirements for new bus models;
    (16) The subrecipient has complied or will comply with all 
applicable pre-award and post-delivery review requirements;
    (17) The subrecipient has complied with or will comply with all 
assurances FTA requires for projects involving real property;
    (18) The subrecipient has complied or will comply with 
applicable FTA Intelligent Transportation Systems architecture 
requirements, to the extent required by FTA; and
    (19) The subrecipient has complied or will comply with 
applicable prevention of alcohol misuse and prohibited drug use 
program requirements, to the extent required by FTA.
    F. Unless otherwise noted, each of the subrecipient's projects 
qualifies for a categorical exclusion and does not require further 
environmental approvals, as described in the joint FHWA/FTA 
regulations, ``Environmental Impact and Related Procedures,'' at 23 
CFR 771.117(c). The state certifies that, until the required Federal 
environmental finding is made, financial assistance will not be 
provided for any project that does not qualify for a categorical 
exclusion described in 23 CFR 771.117(c). The state further 
certifies that, until the required Federal conformity finding has 
been made, no financial assistance will be provided for a project 
requiring a Federal conformity finding in accordance with the U.S. 
Environmental Protection Agency's Clean Air Conformity regulations 
at 40 CFR parts 51 and 93.
    G. The state assures that it will enter into a written agreement 
with each subrecipient stating the terms and conditions of 
assistance by which the project will be undertaken and completed.
    H. The state recognizes the authority of FTA, U.S. DOT, and the 
Comptroller General of the United States to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations, and assures that, upon request, the State and its 
subrecipients will make the necessary records available to FTA, U.S. 
DOT and the Comptroller General of the United States. The state also 
acknowledges its obligation under 49 CFR 18.40(a) to monitor project 
activities carried out by its subrecipients to assure compliance 
with applicable Federal requirements.
    I. In compliance with the requirements of 49 U.S.C. 5311(f), the 
state assures that it will expend not less than fifteen (15) percent 
of the amounts of Federal assistance as provided in 49 U.S.C. 
5311(f) and apportioned during this Federal fiscal year to carry out 
a program within the State to develop and support intercity bus 
transportation, unless the chief executive officer of the state, or 
his or her designee, duly authorized under state law, regulations or 
procedures, certifies to the Federal Transit Administrator that the 
intercity bus service needs of the state are being adequately met.

16. State Infrastructure Bank Program

    An Applicant for a grant of Federal assistance for deposit in 
its State Infrastructure Bank (SIB) must provide the following 
certifications and assurances. In providing certifications and 
assurances that require the compliance of its prospective 
subrecipients, the Applicant is expected to obtain sufficient 
documentation from those subrecipients to assure the validity of its 
certifications and assurances. FTA may not award assistance for the 
SIB program to the Applicant until the Applicant provides these 
certifications and assurances by selecting Categories ``1'' through 
11,'' and ``16.''
    The state, serving as the Applicant for Federal assistance for 
its State Infrastructure Bank (SIB) program authorized by either 
section 350 of the National Highway System Designation Act of 1995, 
as amended, 23 U.S.C. 101 note, or the State Infrastructure Bank 
Pilot Program, 23 U.S.C. 181 note, certifies and assures that the 
following requirements and conditions concerning any transit Project 
financed with Federal assistance derived from its SIB have been or 
will be fulfilled:
    A. The state organization, which is serving as the Applicant 
(state) for Federal assistance for its SIB, agrees and assures the 
agreement of its SIB and the agreement of each recipient of Federal 
assistance derived from the SIB within the state (subrecipient) that 
each transit Project financed with Federal assistance derived from 
SIB will be administered in accordance with:
    (1) Applicable provisions of section 350 of the National Highway 
System Designation Act of 1995, as amended, 23 U.S.C. 101 note, or 
of the State Infrastructure Bank Pilot Program, 23 U.S.C. 181 note, 
and any further amendments thereto;
    (2) The provisions of any applicable Federal guidance that may 
be issued;
    (3) The terms and conditions of Department of Labor 
Certification(s) of Transit Employee Protective Arrangements that 
are required by Federal law or regulations;
    (4) The provisions of the FHWA and FTA cooperative agreement 
with the state to establish the state's SIB program; and
    (5) The provisions of the FTA grant agreement with the state 
that provides Federal assistance for the SIB, except that any 
provision of the Federal Transit Administration Master Agreement 
incorporated by reference into that grant agreement will not apply 
if it conflicts with any provision of National Highway System 
Designation Act of 1995, as amended, 23 U.S.C. 101 note, or section 
1511 of TEA-21, as amended, 23 U.S.C. 181 note, Federal guidance 
pertaining to the SIB program, the provisions of the cooperative 
agreement establishing the SIB program within the state, or the 
provisions of the FTA grant agreement.
    B. The state agrees to comply with, and assures the compliance 
of the SIB and each subrecipient of assistance provided by the SIB 
with, all applicable requirements for the SIB program, as those 
requirements may be amended from time to time. Pursuant to 
subsection 1511(h)(2) of TEA-21, 23 U.S.C. 181 note, the state 
understands and agrees that any previous cooperative agreement 
entered into with FHWA and FTA under section 350 of the National 
Highway System Designation Act of 1995, as amended, 23 U.S.C. 101 
note, has been or will be revised to comply with the requirements of 
TEA-21.
    C. The state assures that the SIB will provide Federal 
assistance from its Transit Account only for transit capital 
projects eligible under section 350 of the National Highway System 
Designation Act of 1995, as amended, 23 U.S.C. 101 note or under 
section 1511 of TEA-21, 23 U.S.C. 181 note, and that those projects 
will fulfill all requirements imposed on comparable capital transit 
projects financed by FTA.
    D. The state understands that the total amount of funds to be 
awarded will not be immediately available for draw down. 
Consequently, the state assures that it will limit the amount of 
Federal assistance it draws down for deposit in the SIB to amounts 
that do not exceed the limitations specified in the grant agreement 
or the approved project budget for that grant agreement.
    E. The state assures that each subrecipient has or will have the 
necessary legal, financial, and managerial capability to apply for, 
receive, and disburse Federal assistance authorized by Federal 
statute for use in the SIB, and to implement, manage, operate, and 
maintain the project and project property for which such assistance 
will support.
    F. The state assures that sufficient non-Federal funds have been 
or will be committed to provide the required local share.
    G. The state recognizes that the SIB, rather than the State 
itself, will be ultimately responsible for implementing many Federal 
requirements covered by the certifications and assurances the state 
has signed. After having taken appropriate measures to secure the 
necessary compliance by the SIB, the state assures, on behalf of the 
SIB, that:
    (1) The SIB has complied or will comply with all applicable 
civil rights requirements;

[[Page 2464]]

    (2) The SIB has complied or will comply with applicable 
requirements of U.S. DOT regulations regarding participation of 
disadvantaged business enterprises in U.S. DOT programs;
    (3) The SIB will provide Federal assistance only to a 
subrecipient that is either a public or private entity recognized 
under state law as having the legal capability to contract with the 
state to carry out its proposed project;
    (4) Before the SIB enters into an agreement with a subrecipient 
to disburse Federal assistance for a project, the subrecipient's 
project is included in the Statewide Transportation Improvement 
Program; all projects in urbanized areas recommended for approval 
are included in the metropolitan Transportation Improvement Program 
in which the subrecipient is located; and the requisite 
certification that an opportunity for a public hearing has been 
provided;
    (5) The SIB will not provide Federal financial assistance for 
any project that does not qualify for a categorical exclusion as 
described in 23 CFR 771.117(c) until the required Federal 
environmental finding has been made. Moreover, the SIB will provide 
no financial assistance for a project requiring a Federal conformity 
finding in accordance with the Environmental Protection Agency's 
Clean Air Conformity regulations at 40 CFR parts 51 and 93, until 
the required Federal conformity finding has been made;
    (6) Before the SIB provides Federal assistance for a transit 
project, each subrecipient will have complied with the applicable 
transit employee protective provisions of 49 U.S.C. 5333(b) as 
required for that subrecipient and its project; and
    (7) The SIB will enter into a written agreement with each 
subrecipient stating the terms and conditions of assistance by which 
the project will be undertaken and completed, including specific 
provisions that any security or debt financing instrument that the 
SIB may issue shall contain an express statement that the security 
or debt financing instrument does not constitute a commitment, 
guarantee, or obligation of the United States.
    H. The state also recognizes that the subrecipient, rather than 
the state itself, will be ultimately responsible for implementing 
many Federal requirements covered by the certifications and 
assurances the state has signed. After having taken appropriate 
measures to secure the necessary compliance of each subrecipient, 
the state assures, on behalf of each subrecipient, that:
    (1) The subrecipient has complied or will comply with all 
applicable civil rights requirements;
    (2) The subrecipient has complied or will comply with applicable 
requirements of U.S. DOT regulations regarding participation of 
disadvantaged business enterprises in U.S. DOT programs;
    (3) The subrecipient has complied or will comply with Federal 
requirements regarding transportation of elderly persons and persons 
with disabilities;
    (4) The subrecipient has complied or will comply with the 
applicable transit employee protective provisions of 49 U.S.C. 
5333(b) as required for that subrecipient and its project;
    (5) The subrecipient has complied or will comply with 49 CFR 
part 604 in the provision of any charter service provided with 
equipment or facilities acquired with FTA assistance;
    (6) The subrecipient has complied with or will comply with 
applicable provisions of 49 CFR part 605 pertaining to school 
transportation operations;
    (7) Viewing its demand responsive service to the general public 
in its entirety, the subrecipient has complied or will comply with 
the requirement to provide demand responsive service to persons with 
disabilities, including persons who use wheelchairs, meeting the 
standards of equivalent service set forth in 49 CFR 37.77(c), before 
purchasing non-accessible vehicles for use in demand responsive 
service for the general public;
    (8) The subrecipient has established or will establish a 
procurement system, and has conducted or will conduct its 
procurements in compliance with all applicable provisions of Federal 
laws, executive orders, regulations, FTA Circular 4220.1E, ``Third 
Party Contracting Requirements,'' as amended and revised, and other 
implementing requirements FTA may issue;
    (9) The subrecipient has complied or will comply with the 
requirement that its project provides for the participation of 
private mass transportation companies to the maximum extent 
feasible;
    (10) The subrecipient has paid or will pay just compensation 
under state or local law to each private mass transportation company 
for its franchise or property acquired under the project;
    (11) The subrecipient has complied or will comply with all 
applicable lobbying requirements for each application exceeding 
$100,000;
    (12) The subrecipient has complied or will comply with all 
nonprocurement suspension and debarment requirements;
    (13) The subrecipient has complied or will comply with all 
applicable bus testing requirements for new bus models;
    (14) The subrecipient has complied or will comply with all 
applicable pre-award and post-delivery review requirements;
    (15) The subrecipient has complied with or will comply with all 
assurances FTA requires for projects involving real property;
    (16) The subrecipient has complied or will comply with 
applicable FTA Intelligent Transportation Systems architecture 
requirements, to the extent required by FTA; and
    (17) The subrecipient has complied or will comply with 
applicable prevention of alcohol misuse and prohibited drug use 
program requirements, to the extent required by FTA.
    I. The state recognizes the authority of FTA, U.S. DOT, and the 
Comptroller General of the United States to conduct audits and 
reviews to verify compliance with the foregoing requirements and 
stipulations, and assures that, upon request, the SIB and its 
subrecipients, as well as the states, will make the necessary 
records available to FTA, U.S. DOT and the Comptroller General of 
the United States. The state also acknowledges its obligation under 
49 CFR 18.40(a) to monitor project activities carried out by the SIB 
and its subrecipients to assure compliance with applicable Federal 
requirements.
    Selection and Signature Page(s) follow.

Federal Fiscal Year 2004 Certifications and Assurances for Federal 
Transit Administration Assistance Programs

(Signature page alternative to providing Certifications and Assurances 
in TEAM-Web)

Name of Applicant:-----------------------------------------------------
    The Applicant agrees to comply with applicable requirements of 
Categories 01--16.------
(The Applicant may make this selection in lieu of individual 
selections below.)
 OR
    The Applicant agrees to comply with the applicable requirements 
of the following Categories it has selected:

------------------------------------------------------------------------
    Category                     Description
------------------------------------------------------------------------
01.............  Required of Each Applicant.................        ____
02.............  Lobbying...................................       _____
03.............  Private Mass Transportation Companies......       _____
04.............  Public Hearing.............................       _____
05.............  Acquisition of Rolling Stock...............       _____
06.............  Bus Testing................................       _____
07.............  Charter Service Agreement..................       _____
08.............  School Transportation Agreement............       _____
09.............  Demand Responsive Service..................       _____
10.............  Alcohol Misuse and Prohibited Drug Use.....       _____
11.............  Interest and Other Financing Costs.........       _____
12.............  Intelligent Transportation Systems.........       _____
13.............  Urbanized Area, JARC, and Clean Fuels             _____
                  Programs.
14.............  Elderly and Persons with Disabilities             _____
                  Program.
15.............  Nonurbanized Area Formula Program..........       _____

[[Page 2465]]

 
16.............  State Infrastructure Bank Program..........      _____
(Both sides of this Signature Page must be appropriately completed and
 signed as indicated.)
------------------------------------------------------------------------

Federal Fiscal Year 2004 FTA Certifications and Assurances Signature 
Page

(Required of all Applicants for FTA assistance and all FTA Grantees 
with an active capital or formula project)

Affirmation of Applicant

 Name of Applicant:----------------------------------------------------
 Name and Relationship of Authorized Representative:-------------------

    BY SIGNING BELOW, on behalf of the Applicant, I declare that the 
Applicant has duly authorized me to make these certifications and 
assurances and bind the Applicant's compliance. Thus, the Applicant 
agrees to comply with all Federal statutes, regulations, executive 
orders, and Federal requirements applicable to each application it 
makes to the Federal Transit Administration (FTA) in Federal Fiscal 
Year 2004.
    FTA intends that the certifications and assurances the Applicant 
selects on the other side of this document, as representative of the 
certifications and assurances in Appendix A, should apply, as 
required, to each project for which the Applicant seeks now, or may 
later, seek FTA assistance during Federal Fiscal Year 2004.
    The Applicant affirms the truthfulness and accuracy of the 
certifications and assurances it has made in the statements 
submitted herein with this document and any other submission made to 
FTA, and acknowledges that the provisions of the Program Fraud Civil 
Remedies Act of 1986, 31 U.S.C. 3801 et seq., as implemented by U.S. 
DOT regulations, ``Program Fraud Civil Remedies,'' 49 CFR part 31 
apply to any certification, assurance or submission made to FTA. The 
criminal fraud provisions of 18 U.S.C. 1001 apply to any 
certification, assurance, or submission made in connection with the 
Urbanized Area Formula Program, 49 U.S.C. 5307, and may apply to any 
other certification, assurance, or submission made in connection 
with any other program administered by FTA.
    In signing this document, I declare under penalties of perjury 
that the foregoing certifications and assurances, and any other 
statements made by me on behalf of the Applicant are true and 
correct.
 Signature-------------------------------------------------------------
 Date:-----------------------------------------------------------------
 Name------------------------------------------------------------------
Authorized Representative of Applicant

Affirmation of Applicant's Attorney

 For (Name of Applicant):----------------------------------------------

    As the undersigned Attorney for the above named Applicant, I 
hereby affirm to the Applicant that it has authority under state and 
local law to make and comply with the certifications and assurances 
as indicated on the foregoing pages. I further affirm that, in my 
opinion, the certifications and assurances have been legally made 
and constitute legal and binding obligations on the Applicant.
    I further affirm to the Applicant that, to the best of my 
knowledge, there is no legislation or litigation pending or imminent 
that might adversely affect the validity of these certifications and 
assurances, or of the performance of the project.

 Signature-------------------------------------------------------------
 Date:-----------------------------------------------------------------
 Name------------------------------------------------------------------
 Attorney for Applicant------------------------------------------------

    Each Applicant for FTA financial assistance (except 49 U.S.C. 
5312(b) assistance) and each FTA Grantee with an active capital or 
formula project must provide an Affirmation of Applicant's Attorney 
pertaining to the Applicant's legal capacity. The Applicant may 
enter its signature in lieu of the Attorney's signature, provided 
the Applicant has on file this Affirmation, signed by the attorney 
and dated this Federal fiscal year.

[FR Doc. 04-924 Filed 1-14-04; 8:45 am]
BILLING CODE 4910-57-P