Federal Register, Volume 69 Issue 206 (Tuesday, October 26, 2004)

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

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Part II

Department of Transportation

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Federal Transit Administration

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

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

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

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

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice.

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SUMMARY: Appendix A of this Notice contains the Federal Transit
Administration's (FTA) comprehensive compilation of the Federal Fiscal
Year 2005 certifications and assurances to be used in connection with
all Federal assistance programs FTA administers during Federal Fiscal
Year 2005, in compliance with 49 U.S.C. 5323(n).

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

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

Region 1: Boston

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

Region 2: New York

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

Region 3: Philadelphia

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

Region 4: Atlanta

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

Region 5: Chicago

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

Region 6: Dallas/Ft. Worth

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

Region 7: Kansas City

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

Region 8: Denver

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

Region 9: San Francisco

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

Region 10: Seattle

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

SUPPLEMENTARY INFORMATION: Before FTA may award Federal financial
assistance through a Federal grant or cooperative agreement, the
Applicant must submit all certifications and assurances pertaining to
itself and its project as required by Federal laws and regulations.
These certifications and assurances must be submitted to FTA
irrespective of whether the project is financed under the authority of
49 U.S.C. chapter 53, or Title 23, United States Code, or another
Federal statute.
The Applicant's Annual Certifications and Assurances for Federal
Fiscal Year 2005 cover all projects for which the Applicant seeks
funding during Federal Fiscal Year 2005 through the next fiscal year
until FTA issues annual Certifications and Assurances for Federal
Fiscal Year 2006. An Applicant's Annual Certifications and Assurances
applicable to a specific grant or cooperative agreement generally
remain in effect for either the duration of the grant or cooperative
agreement to project closeout or the duration of the project or project
property when a useful life or industry standard is in effect,
whichever occurs later; except, if the Applicant provides
certifications and assurances in a later year that differ from
certifications and assurances previously provided, the later
certifications and assurances will apply to the grant, cooperative
agreement, project, or project property, unless FTA permits otherwise.
Background: Since Federal Fiscal Year 1995, FTA has been
consolidating the various certifications and assurances that may be
required of its Applicants and the projects into a single document for
publication in the Federal Register. FTA intends to continue publishing
this document annually, often in conjunction with its publication of
the FTA annual apportionment Notice, which sets forth the allocations
of funds made available by the latest U.S. Department of Transportation
(U.S. DOT) annual appropriations act.
Federal Fiscal Year 2005 Changes: Apart from minor editorial
revisions, changes include the following:
(1) Added a new introductory paragraph explaining that:
(a) Not all certifications and assurances apply to all Applicants.
(b) The certifications and assurances are pre-award requirements
and do not encompass all Federal requirements that may apply to the
Applicant and its project.
(c) A comprehensive list of Federal requirements is contained in
FTA Master Agreement for fiscal year 2005 at http://www.fta.dot.gov/16000_16002_ENG.HTML.htm.
(2) Certification 13A(1)(j) has been revised to explain that in the
case of an Applicant serving an urbanized area with a population of
200,000 or more, only capital security projects may be funded with the
1% of the urbanized area formula funds set aside by 49 U.S.C.
5307(d)(1)(J)(i) for transit security projects.
(3) The Affirmation of the Applicant portion of the Signature Page
has been edited to clarify that the criminal fraud provisions of 18
U.S.C. 1001 apply to all certifications, assurances, agreements, and
other submissions to FTA.
Text of Federal Fiscal Year 2005 Certifications and Assurances: The
text of the certifications and assurances in Appendix A of this Notice
also appears in TEAM-Web (http://ftateamweb.fta.dot.gov/) in the
``Recipients'' option at ``View/Modify Recipients,'' at the ``Cert's &
Assurances'' tab. The certification and assurances also appear on the
FTA public Web site at http://www.fta.dot.gov/grant_programs/applying_for_managing_grants/3946_ENG_HTML.htm. It is important
that each Applicant be familiar with all sixteen (16) certification and
assurance categories and their requirements, as they may be a
prerequisite for receiving FTA financial assistance. Provisions of this
notice supersede conflicting statements in any FTA circular containing
a previous version of the Annual Certifications and Assurances. The
certifications and assurances contained in those FTA circulars are
merely examples, and are not acceptable or valid for Federal Fiscal
Year 2005; do not rely on the provisions of certifications and
assurances appearing in FTA circulars.
Significance of Certifications and Assurances: Selecting and
submitting certifications and assurances to FTA,

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either through TEAM-Web or submission of the Signature Page(s) of
Appendix A, signifies the Applicant's intent to comply with the
requirements of the certifications and assurances it has selected to
the extent they apply to a project for which the Applicant submits an
application for assistance in Federal Fiscal Year 2005.
Requirement for Attorney's Signature: FTA requires a current
(Federal Fiscal Year 2005) affirmation, signed by the Applicant's
attorney, of the Applicant's legal authority to certify compliance with
the obligations imposed by the certifications and assurances the
Applicant has selected. Irrespective of whether the Applicant makes a
single selection for all 16 categories or selects individual options
from the 16 categories, the Affirmation of Applicant's Attorney from a
previous year is not acceptable.
Deadline for Submission: All Applicants for FTA formula program or
capital investment program assistance, and current FTA grantees with an
active project financed with FTA formula program or capital investment
program assistance, are expected to provide Federal Fiscal Year 2005
Certifications and Assurances within 90 days from the date of this
publication or with their first grant application in Federal Fiscal
Year 2005, whichever is first. FTA encourages other Applicants to
submit their certifications and assurances as soon as possible.
Preference for Electronic Submission: Applicants registered in
TEAM-Web must submit their certifications and assurances, as well as
their applications, in TEAM-Web. Only if an Applicant is unable to
submit its certifications and assurances in TEAM-Web should the
Applicant use the Signature Page(s) in Appendix A of this notice.
Procedures for Electronic Submission: The TEAM-Web ``Recipients''
option at the ``Cert's & Assurances'' tab of ``View/Modify Recipients''
contains fields for selecting the categories of certifications and
assurances to be submitted. Within that tab is a field for the
Applicant's authorized representative to enter his or her personal
identification number (PIN), which constitutes the Applicant's
electronic signature for the certifications and assurances the
Applicant has selected; in addition, there is a field for the
Applicant's attorney to enter his or her PIN, affirming the Applicant's
legal authority to make and comply with the certifications and
assurances the Applicant has selected. In certain circumstances, the
Applicant may enter its PIN in lieu of its Attorney's PIN, provided
that the Applicant has on file the Affirmation of Applicant's Attorney
in Appendix A of this notice, written and signed by the attorney and
dated this Federal fiscal year. For more information, Applicants may
contact the appropriate Regional Office listed in this notice or the
TEAM-Web Helpdesk.
Procedures for Paper Submission: If an Applicant is unable to
submit its certifications and assurances electronically, it must mark
the certifications and assurances it is making on the Signature Page(s)
in Appendix A of this notice and submit it to FTA. The Applicant may
signify compliance with all Categories by placing a single mark in the
appropriate space or select the Categories applicable to itself and its
projects. In certain circumstances, the Applicant may enter its
signature in lieu of its Attorney's signature in the Affirmation of
Applicant's Attorney section of the Signature Page(s), provided that
the Applicant has on file the Affirmation of Applicant's Attorney in
Appendix A of this notice, written and signed by the attorney and dated
this Federal fiscal year. For more information, Applicants may contact
the appropriate Regional Office listed in this notice.
References. The Transportation Equity Act for the 21st Century,
Pub. L. 105-178, June 9, 1998, as amended by the TEA-21 Restoration
Act, Pub. L. 105-206, July 22, 1998, 49 U.S.C. chapter 53, Title 23,
United States Code, other Federal laws administered by FTA, U.S. DOT
and FTA regulations at 49 CFR, and FTA Circulars.

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

Appendix A

Federal Fiscal Year 2005 Certifications and Assurances for Federal
Transit Administration Assistance Programs

In accordance with 49 U.S.C. 5323(n), the following
certifications and assurances have been compiled for Federal Transit
Administration (FTA) assistance programs. FTA requests each
Applicant to provide as many certifications and assurances as needed
for all programs for which the Applicant intends to seek FTA
assistance during Federal Fiscal Year 2005. FTA strongly encourages
each Applicant to submit its certifications and assurances through
TEAM-Web, FTA's electronic management system, at http://ftateamweb.fta.dot.gov.
Sixteen (16) Categories of certifications and assurances are
listed by numbers 01 through 16 in the TEAM-Web ``Recipients''
option at the ``Cert's & Assurances'' tab of ``View/Modify
Recipients,'' and on the opposite side of the Signature Page(s) at
the end of this document. Category 01 applies to all Applicants.
Category 02 applies to all applications exceeding $100,000.
Categories (3) through 16 will apply to and be required for some,
but not all, Applicants and projects.
FTA and the Applicant understand and agree that not every
provision of these certifications and assurances will apply to every
Applicant or every Project for which FTA provides Federal financial
assistance through a grant agreement or cooperative agreement. The
type of Project and the section of the statute authorizing Federal
financial assistance for the Project will determine which
requirements apply. The Applicant also understands and agrees that
these certifications and assurances are pre-award requirements and
do not encompass all statutory and regulatory requirements that may
apply to the Applicant or its Project. A comprehensive list of those
requirements is contained in the current Master Agreement MA(11) for
Federal Fiscal Year 2005 at http://www.fta.dot.gov/16000_16002_ENG_HTML.htm.

1. Required of Each Applicant

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

A. Authority of Applicant and Its Representative

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

B. Standard Assurances

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

C. Intergovernmental Review Assurance

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

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

D. Nondiscrimination Assurance

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

E. Assurance of Nondiscrimination on the Basis of Disability

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

F. Procurement Compliance Certification

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

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

(1) Has the legal authority to apply for Federal assistance and
the institutional, managerial, and financial capability (including
funds sufficient to pay the non-Federal share of project cost) to
ensure proper planning, management, and completion of the project
described in its application;
(2) Will give FTA, the Comptroller General of the United States,
and, if appropriate, the state, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives;
(3) Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest or
personal gain;
(4) Will initiate and complete the work within the applicable
project time periods following receipt of FTA approval;
(5) Will comply with all applicable Federal statutes relating to
nondiscrimination including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which
prohibits discrimination on the basis of race, color, or national
origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20
U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT
regulations, ``Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance,'' 49
CFR part 25, which prohibit discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended,
29 U.S.C. 794, which prohibits discrimination on the basis of
handicap;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C.
6101 through 6107, which prohibits discrimination on the basis of
age;
(e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92-
255, March 21, 1972, and amendments thereto, 21 U.S.C. 1174 et seq.
relating to nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention
Act of 1970, Pub. L. 91-616, Dec. 31, 1970, and amendments thereto,
42 U.S.C. 4581 et seq. relating to nondiscrimination on the basis of
alcohol abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C.
290dd-3 and 290ee-3, related to confidentiality of alcohol and drug
abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq.,
relating to nondiscrimination in the sale, rental, or financing of
housing;
(i) Any other nondiscrimination provisions in the specific
statutes under which Federal assistance for the project may be
provided including, but not limited, to 49 U.S.C. 5332, which
prohibits discrimination on the basis of race, color, creed,
national origin, sex, or age, and prohibits discrimination in
employment or business opportunity, and section 1101(b) of the
Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note,
which provides for participation of disadvantaged business
enterprises in FTA programs; and

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(j) Any other nondiscrimination statute(s) that may apply to the
project;
(6) Will comply with, or has complied with, the requirements of
Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended, (Uniform
Relocation Act) 42 U.S.C. 4601 et seq., which, among other things,
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in any purchase. As required by sections 210 and 305
of the Uniform Relocation Act, 42 U.S.C. 4630 and 4655, and U.S. DOT
regulations, ``Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR
24.4, the Applicant assures that it has the requisite authority
under applicable state and local law to comply with the requirements
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT
regulations, ``Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR
part 24, and will comply with or has complied with that Act and
those U.S. DOT implementing regulations, including but not limited
to the following:
(a) The Applicant will adequately inform each affected person of
the benefits, policies, and procedures provided for in 49 CFR part
24;
(b) The Applicant will provide fair and reasonable relocation
payments and assistance as required by 42 U.S.C. 4622, 4623, and
4624; 49 CFR part 24; and any applicable FTA procedures, to or for
families, individuals, partnerships, corporations, or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs
offering the services described in 42 U.S.C. 4625 to such displaced
families, individuals, partnerships, corporations, or associations
in the manner provided in 49 CFR part 24 and FTA procedures;
(d) Within a reasonable time before displacement, the Applicant
will make available comparable replacement dwellings to displaced
families and individuals as required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such
manner as to provide displaced persons with uniform and consistent
services, and will make available replacement housing in the same
range of choices with respect to such housing to all displaced
persons regardless of race, color, religion, or national origin;
(f) In acquiring real property, the Applicant will be guided to
the greatest extent practicable under state law, by the real
property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for
necessary expenses as specified in 42 U.S.C. 4653 and 4654, with the
understanding that FTA will provide Federal financial assistance for
the Applicant's eligible costs of providing payments for those
expenses, as required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party
contracts and subagreements financed with FTA assistance and
execute, furnish, and be bound by such additional documents as FTA
may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or
incorporate them by reference into any third party contract or
subagreement, or any amendments thereto, relating to any project
financed by FTA involving relocation or land acquisition and provide
in any affected document that these relocation and land acquisition
provisions shall supersede any conflicting provisions;
(7) To the extent applicable, will comply with the Davis-Bacon
Act, as amended, 40 U.S.C. 3141 et seq., the Copeland ``Anti-
Kickback'' Act, as amended, 18 U.S.C. 874, and the Contract Work
Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq.,
regarding labor standards for federally assisted subagreements;
(8) To the extent applicable, will comply with the flood
insurance purchase requirements of section 102(a) of the Flood
Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a),
requiring Applicants and subrecipients in a special flood hazard
area to participate in the program and purchase flood insurance if
the total cost of insurable construction and acquisition is $10,000
or more;
(9) Will comply with the Lead-Based Paint Poisoning Prevention
Act, 42 U.S.C. 4831(b), which prohibits the use of lead-based paint
in the construction or rehabilitation of residence structures;
(10) Will not dispose of, modify the use of, or change the terms
of the real property title or other interest in the site and
facilities on which a construction project supported with FTA
assistance takes place without permission and instructions from the
awarding agency;
(11) To the extent required by FTA, will record the Federal
interest in the title of real property and will include a covenant
in the title of real property acquired in whole or in part with
Federal assistance funds to assure nondiscrimination during the
useful life of the project;
(12) Will comply with FTA requirements concerning the drafting,
review, and approval of construction plans and specifications of any
construction project supported with FTA assistance. As required by
U.S. DOT regulations, ``Seismic Safety,'' 49 CFR 41.117(d), before
accepting delivery of any building financed with FTA assistance, it
will obtain a certificate of compliance with the seismic design and
construction requirements of 49 CFR part 41;
(13) Will provide and maintain competent and adequate
engineering supervision at the construction site of any project
supported with FTA assistance to ensure that the complete work
conforms with the approved plans and specifications, and will
furnish progress reports and such other information as may be
required by FTA or the state;
(14) Will comply with any applicable environmental standards
that may be prescribed to implement the following Federal laws and
executive orders:
(a) Institution of environmental quality control measures under
the National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321-4335 and Executive Order No. 11514, as amended, 42 U.S.C. 4321
note;
(b) Notification of violating facilities pursuant to Executive
Order No. 11738, 42 U.S.C. 7606 note;
(c) Protection of wetlands pursuant to Executive Order No.
11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance
with Executive Order 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved state
management program developed pursuant to the requirements of the
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451-
1465;
(f) Conformity of Federal actions to State (Clean Air)
Implementation Plans under section 176(c) of the Clean Air Act of
1955, as amended, 42 U.S.C. 7401-7671q;
(g) Protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f-
300j-6;
(h) Protection of endangered species under the Endangered
Species Act of 1973, as amended, 16 U.S.C. 1531-1544; and
(i) Environmental protections for Federal transportation
programs, including, but not limited to, protections for parks,
recreation areas, or wildlife or waterfowl refuges of national,
state, or local significance or any land from a historic site of
national, state, or local significance to be used in a
transportation project as required by 49 U.S.C. 303(b) and (c);
(j) Protection of the components of the national wild and scenic
rivers systems, as required under the Wild and Scenic Rivers Act of
1968, as amended, 16 U.S.C. 1271-1287; and
(k) Provision of assistance to FTA in complying with section 106
of the National Historic Preservation Act of 1966, as amended, 16
U.S.C. 470f; the Archaeological and Historic Preservation Act of
1974, as amended, 16 U.S.C. 469a-469c; and Executive Order No. 11593
(identification and protection of historic properties), 16 U.S.C.
470 note;
(15) To the extent applicable, will comply with the requirements
of the Hatch Act, 5 U.S.C. 1501-1508, and 7324-7326, which limit the
political activities of state and local agencies and their officers
and employees whose primary employment activities are financed in
whole or part with Federal funds including a Federal loan, grant
agreement, or cooperative agreement except, in accordance with 23
U.S.C. 142(g), the Hatch Act does not apply to a nonsupervisory
employee of a transit system (or of any other agency or entity
performing related functions) receiving FTA assistance to whom that
Act does not otherwise apply;
(16) Will comply with the National Research Act, Pub. L. 93-348,
July 12, 1974, as amended, 42 U.S.C. 289 et seq., and U.S. DOT
regulations, ``Protection of Human Subjects,'' 49 CFR part 11,
regarding the protection of human subjects involved in research,
development, and related activities supported by Federal assistance;

[[Page 62526]]

(17) Will comply with the Laboratory Animal Welfare Act of 1966,
as amended, 7 U.S.C. 2131 et seq., and U.S. Department of
Agriculture regulations, ``Animal Welfare,'' 9 CFR subchapter A,
parts 1, 2, 3, and 4, regarding the care, handling, and treatment of
warm blooded animals held or used for research, teaching, or other
activities supported by Federal assistance;
(18) Will have performed the financial and compliance audits as
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501
et seq., OMB Circular No. A-133, ``Audits of States, Local
Governments, and Non-Profit Organizations,'' Revised, and the most
recent applicable OMB A-133 Compliance Supplement provisions for the
Department of Transportation; and
(19) Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies governing
the project.

2. Lobbying

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

3. Private Mass Transportation Companies

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

4. Public Hearing

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

5. Acquisition of Rolling Stock

An Applicant seeking Federal assistance authorized by 49 U.S.C.
chapter 53 to acquire any rolling stock must provide the following
certification. FTA may not award any Federal assistance to acquire
such rolling stock until the Applicant provides this certification
by selecting Category ``05.''
As required by 49 U.S.C. 5323(m) and implementing FTA
regulations at 49 CFR 663.7, the Applicant certifies that it will
comply with the requirements of 49 CFR part 663 when procuring
revenue service rolling stock. Among other things, the Applicant
agrees to conduct or cause to be conducted the requisite pre-award
and post-delivery reviews, and maintain on file the certifications
required by 49 CFR part 663, subparts B, C, and D.

6. Bus Testing

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

7. Charter Service Agreement

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

[[Page 62527]]

U.S.C. chapter 53 (except 49 U.S.C. 5310), or Title 23, U.S.C. for
transportation projects.
B. As The Applicant understands that:
(1) The requirements of 49 CFR part 604 will apply to any
charter service it or its subrecipients or third party contractors
provide,
(2) The definitions of 49 CFR part 604 will apply to this
Charter Service Agreement, and
(3) A violation of this Charter Service Agreement may require
corrective measures and imposition of penalties, including debarment
from the receipt of further Federal assistance for transportation.

8. School Transportation Agreement

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

9. Demand Responsive Service

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

10. Alcohol Misuse and Prohibited Drug Use

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

11. Interest and Other Financing Costs

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

12. Intelligent Transportation Systems

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

13. Urbanized Area, JARC, and Clean Fuels Programs

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

A. Certifications Required for the Urbanized Area Formula Program

(1) As required by 49 U.S.C. 5307(d)(1)(A) through (J), the
Applicant certifies and assures as follows:
(a) It has or will have the legal, financial, and technical
capacity to carry out the proposed program of projects;

[[Page 62528]]

(b) It has or will have satisfactory continuing control over the
use of Project equipment and facilities;
(c) It will adequately maintain the equipment and facilities;
(d) It will ensure that elderly and handicapped persons, or any
person presenting a Medicare card issued to himself or herself
pursuant to title II or title XVIII of the Social Security Act (42
U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for
transportation during non-peak hours using or involving a facility
or equipment of a project financed with Federal assistance
authorized for 49 U.S.C. 5307, or for the Job Access and Reverse
Commute Program at section 3037 of the Transportation Equity Act for
the 21st Century (TEA-21), 49 U.S.C. 5309 note, not more than fifty
(50) percent of the peak hour fare;
(e) In carrying out a procurement financed with Federal
assistance authorized for the Urbanized Area Formula Program, 49
U.S.C. 5307, or the Job Access and Reverse Commute Program, section
3037 of TEA-21, 49 U.S.C. 5309 note, it: (1) Will use competitive
procurement (as defined or approved by the Secretary), (2) will not
use exclusionary or discriminatory specifications, and (3) will
comply with applicable Buy America laws;
(f) It has complied with or will comply with the requirements of
49 U.S.C. 5307(c). Specifically, it: (1) Has made available, or will
make available, to the public information on the amounts available
for the Urbanized Area Formula Program, 49 U.S.C. 5307 and, if
applicable, the Job Access and Reverse Commute Grant Program, 49
U.S.C. 5309 note, and the program of projects it proposes to
undertake; (2) has developed or will develop, in consultation with
interested parties including private transportation providers, a
proposed program of projects for activities to be financed; (3) has
published or will publish a proposed program of projects in a way
that affected citizens, private transportation providers, and local
elected officials have the opportunity to examine the proposed
program and submit comments on the proposed program and the
performance of the Applicant; (4) has provided or will provide an
opportunity for a public hearing to obtain the views of citizens on
the proposed program of projects; (5) has ensured or will ensure
that the proposed program of projects provides for the coordination
of transportation services assisted under 49 U.S.C. 5336 with
transportation services assisted by another Federal Government
source; (6) has considered or will consider the comments and views
received, especially those of private transportation providers, in
preparing its final program of projects; and (7) has made or will
make the final program of projects available to the public;
(g) It has or will have available and will provide the amount of
funds required by 49 U.S.C. 5307(e) and applicable FTA policy
(specifying Federal and local shares of project costs);
(h) It will comply with: 49 U.S.C. 5301(a) (requirements for
transportation systems that maximize mobility and minimize fuel
consumption and air pollution); 49 U.S.C. 5301(d) (requirements for
transportation of the elderly and persons with disabilities); 49
U.S.C. 5303 through 5306 (planning requirements); and 49 U.S.C.
5301(d) (special efforts to design and provide mass transportation
for the elderly and persons with disabilities);
(i) It has a locally developed process to solicit and consider
public comment before raising fares or implementing a major
reduction of transportation; and
(j) As required by 49 U.S.C. 5307, each fiscal year, the
Applicant will spend at least one (1) percent of its funds
authorized by 49 U.S.C. Sec. 5307(d)(1)(J) for transit security
projects (this includes only capital projects in the case of an
Applicant serving an urbanized area with a population of 200,000 or
more), unless the Applicant has certified to FTA that such
expenditures are not necessary and FTA accepts that certification.
Transit security projects include increased lighting in or adjacent
to a transit system (including bus stops, subway stations, parking
lots, and garages), increased camera surveillance of an area in or
adjacent to that system, emergency telephone line or lines to
contact law enforcement or security personnel in an area in or
adjacent to that system, and any other project intended to increase
the security and safety of an existing or planned transit system.
(2) As required by 49 U.S.C. 5307(k)(3), if it has received
Transit Enhancement funds authorized by 49 U.S.C. 5307(k)(1), its
quarterly report for the fourth quarter of the preceding Federal
fiscal year includes a list of the projects it has implemented
during that fiscal year using those funds, and that report is
incorporated by reference and made part of its certifications and
assurances.

B. Certification Required for Capital Leasing

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

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

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

D. Clean Fuels Formula Grant Program Certification

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

14. Elderly and Persons With Disabilities Program

An Applicant that intends to administer the Elderly and Persons
with Disabilities Program on behalf of a state must provide the
following certifications and assurances. In providing certifications
and assurances that require the compliance of its prospective
subrecipients, the Applicant is expected to obtain sufficient
documentation from those subrecipients to assure the validity of its
certifications and assurances. FTA may not award assistance for the
Elderly and Persons with Disabilities Program until the Applicant
provides these certifications and assurances by selecting Category
``14.''
The Applicant administering, on behalf of the state, the Elderly
and Persons with Disabilities Program authorized by 49 U.S.C. 5310
certifies and assures that the following requirements and conditions
will be fulfilled:
A. The state organization serving as the Applicant and each
subrecipient has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal
assistance authorized for 49 U.S.C. 5310; and to implement and
manage the project.
B. The state assures that each subrecipient either is recognized
under state law as a private nonprofit organization with the legal
capability to contract with the state to carry out the proposed
project, or is a public body that has met the statutory requirements
to receive Federal assistance authorized for 49 U.S.C. 5310.
C. The private nonprofit subrecipient's application for 49
U.S.C. 5310 assistance contains information from which the state
concludes that the transit service provided or offered to be
provided by existing public or private transit operators is
unavailable, insufficient, or inappropriate to meet the special
needs of the elderly and persons with disabilities.
D. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
E. The state assures that, before issuing the state's formal
approval of a project, its Elderly and Persons with Disabilities
Formula Program is included in the Statewide Transportation
Improvement Program as required by 23 U.S.C. 135; all projects to be
implemented in urbanized areas recommended for approval are included
in the metropolitan Transportation Improvement Program in which the
subrecipient is located; and any prospective subrecipient of capital
assistance that is a

[[Page 62529]]

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

15. Nonurbanized Area Formula Program

An Applicant that intends to administer the Nonurbanized Area
Formula Program on behalf of a state must provide the following
certifications and assurances. In providing certifications and
assurances that require the compliance of its prospective
subrecipients, the Applicant is expected to obtain sufficient
documentation from those subrecipients to assure the validity of its
certifications and assurances.
The Applicant administering, on behalf of the state, the
Nonurbanized Area Formula Program authorized by 49 U.S.C. 5311
certifies and assures that the following requirements and conditions
will be fulfilled:
A. The state organization serving as the Applicant and each
subrecipient has or will have the necessary legal, financial, and
managerial capability to apply for, receive, and disburse Federal
assistance authorized for 49 U.S.C. 5311; and to implement and
manage the project.
B. The state assures that sufficient non-Federal funds have been
or will be committed to provide the required local share.
C. The state assures that before issuing the state's formal
approval of the project, its Nonurbanized Area Formula Program is
included in the Statewide Transportation Improvement Program as
required by 23 U.S.C. 135; and projects are included in a
metropolitan Transportation Improvement Program, to the extent
applicable.
D. The state has provided for a fair and equitable distribution
of Federal assistance authorized for 49 U.S.C. 5311 within the
state, including Indian reservations within the state.
E. The state recognizes that the subrecipient, rather than the
state itself, will be ultimately responsible for implementing many
Federal requirements covered by the certifications and assurances
the state has signed. After having taken appropriate measures to
secure the necessary compliance by each subrecipient, the state
assures, on behalf of each subrecipient, that:
(1) The subrecipient has or will have, by the time of delivery,
sufficient funds to operate and maintain the vehicles and equipment
financed with Federal assistance awarded for its project;
(2) The subrecipient has coordinated or will coordinate to the
maximum extent feasible with other transportation providers and
users, including social service agencies authorized to purchase
transit service;
(3) The subrecipient has complied or will comply with all
applicable civil rights requirements;
(4) The subrecipient has complied or will comply with applicable
requirements of U.S. DOT regulations regarding participation of
disadvantaged business enterprises in U.S. DOT programs;
(5) The subrecipient has complied or will comply with Federal
requirements regarding transportation of elderly persons and persons
with disabilities;
(6) The subrecipient has complied or will comply with the
transit employee protective provisions of 49 U.S.C. 5333(b), by one
of the following actions: (a) Signing the Special Warranty for the
Nonurbanized Area Formula Program, (b) agreeing to alternative
comparable arrangements approved by the Department of Labor (DOL),
or (c) obtaining a waiver from DOL; and the state has certified the
subrecipient's compliance to DOL;
(7) The subrecipient has complied or will comply with 49 CFR
part 604 in the provision of any charter service provided with
equipment or facilities acquired with FTA assistance;
(8) The subrecipient has complied or will comply with applicable
provisions of 49 CFR part 605 pertaining to school transportation
operations;
(9) Viewing its demand responsive service to the general public
in its entirety, the subrecipient has complied or will comply with
the requirement to provide demand responsive service to persons with
disabilities, including persons who use wheelchairs, meeting the
standards of equivalent service set forth in 49 CFR 37.77(c), before
purchasing non-accessible vehicles for use in demand responsive
service for the general public;
(10) The subrecipient has established or will establish a
procurement system, and has conducted or will conduct its
procurements

[[Page 62530]]

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

16. State Infrastructure Bank Program

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

[[Page 62531]]

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

Selection and Signature Page(s) Follow

BILLING CODE 4910-57-P

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

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