[Federal Register Volume 75, Number 211 (Tuesday, November 2, 2010)]
[Notices]
[Pages 67433-67450]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-27563]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Federal Fiscal Year 2011 Annual List of Certifications and 
Assurances for Federal Transit Administration Grants and Cooperative 
Agreements

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice.

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SUMMARY: Pursuant to 49 U.S.C. 5323(n), FTA is authorized to 
consolidate the certifications and assurances required by Federal law 
or regulations for its programs into a single document. FTA is also 
required by 49 U.S.C. 5323(n) to publish a list of those certifications 
and assurances annually.
    Appendix A of this Notice contains the comprehensive compilation of 
FTA's Certifications and Assurances applicable to the various Federal 
assistance programs that FTA will administer during Federal FY 2011. 
FTA's Certifications and Assurances for Federal FY 2011 reflect Federal 
statutory, regulatory, and programmatic changes that have now become 
effective.

DATES: Effective Date: These FTA Certifications and Assurances are 
effective on October 1, 2010, the first day of Federal FY 2011.

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

Region 1: Boston

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

Region 2: New York

    States served: New York and New Jersey. Telephone  212-
668-2170.

Region 3: Philadelphia

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

Region 4: Atlanta

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

Region 5: Chicago

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

Region 6: Dallas/Ft. Worth

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

Region 7: Kansas City

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

Region 8: Denver

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

Region 9: San Francisco

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

Region 10: Seattle

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

Chicago Metropolitan Office

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

Los Angeles Metropolitan Office

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

Lower Manhattan Recovery Office

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

New York Metropolitan Office

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

Philadelphia Metropolitan Office

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

Washington DC Metropolitan Office

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

SUPPLEMENTARY INFORMATION:

1. Purposes

    The purposes of this Notice are to:
     Publish FTA's Federal FY 2011 Certifications and 
Assurances for Applicants for Federal assistance administered by FTA 
and the Projects for which they seek Federal assistance awarded by FTA.
     Highlight the changes within the new FTA Certifications 
and Assurances for Federal FY 2011 now in effect.
     Identify locations where these FTA Certifications and 
Assurances may be viewed, and
     Provide directions for submitting these FTA Certifications 
and Assurances for Federal FY 2011 to FTA.

2. Background

    a. FTA's Responsibilities. Since Federal FY 1995, FTA has been 
consolidating the various certifications and assurances that may be 
required of its Applicants and their projects into a single document 
for publication in the Federal Register. FTA intends to continue 
publishing this document annually, when feasible in conjunction with 
its publication of the FTA annual apportionment notice, which sets 
forth the allocations of funds made available by the latest U.S. 
Department of Transportation (U.S. DOT) annual appropriations act. 
Because U.S. DOT's full-year appropriations for Federal FY 2011 were 
not signed into law on

[[Page 67434]]

October 1, 2010 (the first day of Federal FY 2011), and have not yet 
been signed into law, FTA is proceeding with publication of its 
Certifications and Assurances for Federal FY 2011.
    b. Applicant's Responsibilities. Irrespective of whether a project 
will be financed under the authority of 49 U.S.C. chapter 53, Title 23, 
United States Code, or another Federal statute, the Applicant must 
submit Federal FY 2011 Certifications and Assurances to FTA applicable 
to all projects for which the Applicant seeks funding from FTA during 
Federal FY 2011.
    FTA requests that an Applicant submit all of the twenty-four (24) 
categories of the Certifications and Assurances that may be needed for 
all projects for which the Applicant intends to or might seek Federal 
assistance in the Federal FY 2011. Selecting and submitting these 
Certifications and Assurances to FTA signifies the Applicant's intent 
and ability to comply with all applicable provisions thereof.
    In order to assure FTA that the Applicant is authorized under State 
and local law to certify compliance with the FTA Certifications and 
Assurances it has selected, FTA requires the Applicant to obtain a 
current (Federal FY 2011) affirmation signed by the Applicant's 
attorney affirming the legal authority of the Applicant to certify its 
compliance with the FTA Certifications and Assurances that the 
Applicant has selected. The Applicant's attorney must sign this 
affirmation during Federal FY 2011. Irrespective of whether the 
Applicant makes a single selection of all twenty-four (24) categories 
of FTA Certifications and Assurances or selects individual categories 
from the FTA Certifications and Assurances, the Affirmation of 
Applicant's Attorney from a previous Federal FY is not acceptable, 
unless FTA expressly determines otherwise in writing.
    c. Effect of Subrecipient Participation. Absent a written 
determination by FTA to the contrary, the Applicant itself is 
ultimately responsible for compliance with the FTA Certifications and 
Assurances it has selected even though the Project may be carried out 
in whole or in part by one or more subrecipients. Thus, if 
subrecipients will be participating in the Project, when the Applicant 
submits its FTA Certifications and Assurances, the Applicant is also 
signifying that it will be responsible for compliance, both by itself 
and by each of its subrecipients, with the provisions of the FTA 
Certifications and Assurances it has selected. Therefore, in providing 
Certifications and Assurances that necessarily involve the compliance 
of any prospective subrecipient, FTA strongly recommends that the 
Applicant take appropriate measures, including but not limited to 
obtaining sufficient documentation from each subrecipient participating 
in the project, to assure the validity of the Applicant's 
Certifications and Assurances to FTA.

3. Significant Information about FTA's Certifications and Assurances 
for Federal FY 2011

    a. Legal Implications.
    (1) Binding Commitments. Because the Applicant is required by 
Federal law and Federal regulations to comply with the applicable 
provisions of all FTA Certifications and Assurances it submits, it is 
important that the Applicant be familiar with the provisions of all 
twenty-four (24) categories of FTA Certifications and Assurances for 
Federal FY 2011. The text of those Certifications and Assurances is 
contained in Appendix A of this Notice, and also appears at http://www.fta.dot.gov/documents/2011-Certs-Appendix.A.pdf, and in FTA's 
electronic award and management system, TEAM-Web, http://ftateamweb.fta.dot.gov, at the ``Cert's & Assurances'' tab of the 
``View/Modify Recipients'' page in the ``Recipients'' option. 
Provisions of this Notice supersede conflicting statements in any FTA 
circular containing a previous version of FTA's annual Certifications 
and Assurances. The Certifications and Assurances contained in those 
FTA circulars are merely examples, and are not acceptable or valid for 
Federal FY 2011.
    An Applicant's annual Certifications and Assurances to FTA 
generally remain in effect for either the duration of the Grant or 
Cooperative Agreement supporting the Project until the Project is 
closed out or for the duration of the Project or Project property when 
a useful life or industry standard is in effect, whichever occurs 
later. If, however, the Applicant provides Certifications and 
Assurances to FTA in a later year that differ from the Certifications 
and Assurances previously provided, the later Certifications and 
Assurances will apply to the Grant, Cooperative Agreement, Project, or 
Project property, except to the extent FTA permits otherwise in 
writing.
    (2) Penalties for Noncompliance. If the Applicant makes a false, 
fictitious, or fraudulent claim, statement, submission, certification, 
assurance, or representation to the Federal government or includes a 
false, fictitious, or fraudulent statement or representation in any 
agreement with the Federal government in connection with a Project 
authorized under 49 U.S.C. chapter 53 or any other Federal law, the 
Federal government reserves the right to impose on the Applicant the 
penalties of the Program Fraud Civil Remedies Act of 1986, as amended, 
31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations, 
``Program Fraud Civil Remedies,'' 49 CFR part 31, or the penalties of 
49 U.S.C. 5323(l) invoking the criminal provisions of 18 U.S.C. 1001, 
or other applicable Federal law to the extent the Federal government 
deems appropriate.
    (3) FTA's Certifications and Assurances Constitute Only a Partial 
List of Federal Requirements. FTA cautions that the FTA Certifications 
and Assurances required by Federal law and regulations do not address 
all the Federal requirements that will apply to the Applicant and its 
Project. FTA's Certifications and Assurances are generally pre-award 
requirements, i.e., those requirements of Federal law and regulations 
that the Applicant must fulfill before FTA is legally authorized to 
award Federal financial assistance to an Applicant.
    (4) Other Federal Requirements. Because FTA's Certifications and 
Assurances do not encompass all Federal requirements that will apply to 
the Applicant and its Project, FTA strongly encourages the Applicant to 
review the Federal authorizing legislation, regulations, and directives 
pertaining to the program or programs for which the Applicant seeks 
Federal assistance. The FTA Master Agreement for Federal FY 2011 at 
http://www.fta.dot.gov/documents/17-Master.pdf identifies a substantial 
number of those Federal laws, regulations, and directives that apply to 
Applicants and their various projects.
    b. Importance of FTA's Certifications and Assurances for Federal FY 
2011. Following publication of these Certifications and Assurances, FTA 
may not award Federal financial assistance through a Federal Grant or 
Cooperative Agreement until the Applicant submits all of the FTA 
Certifications and Assurances for Federal FY 2011 pertaining to itself 
and its project as required by Federal laws and regulations. The 
Applicant's Certifications and Assurances for Federal FY 2011 will be 
applicable to all projects for which it seeks Federal assistance during 
Federal FY 2011 and through the next Federal FY until FTA issues its 
annual Certifications and Assurances for Federal FY 2012.
    c. Federal FY 2011 Changes. Apart from minor editorial revisions, 
significant matters concerning FTA's

[[Page 67435]]

Certifications and Assurances include the following:
    (1) In the Introductory paragraphs preceding the text of FTA's 
Certifications and Assurances, the FTA Web site for the FTA Master 
Agreement for Federal FY 2011 is identified as http://www.fta.dot.gov/documents/17-Master.pdf.
    (2) Certification (01), Subsection ``B'' has been revised to add a 
statement emphasizing that the FTA Master Agreement has always been 
incorporated by reference and made part of the FTA grant agreement and 
cooperative agreement and that the Applicant is certifying that it will 
comply with the edition of the FTA Master Agreement incorporated by 
reference and made part of the latest amendment to its grant agreement 
or cooperative agreement, as specified within that agreement.
    (3) A new Subsection ``F'' has been added to Certification (01), 
reinstating the Government-wide ``Suspension and Debarment'' 
certification. Due to serious concerns expressed by the Government 
Accountability Office, the U.S. DOT Inspector General, and U.S. DOT 
officials, FTA considers it prudent to re-emphasize the importance of 
each Applicant identifying its status to FTA with respect to its 
eligibility for award of any FTA grant, loan (including a line of 
credit), cooperative agreement, loan guarantee, or loan insurance, or 
the extension, continuation, renewal, amendment, or modification of any 
Federal grant, loan (including a line of credit), cooperative 
agreement, loan guarantee, or loan insurance. Former Subsection ``F'' 
of Certification (01) has been re-numbered Subsection ``G.''
    (4) The text of Certification (02), ``Lobbying Certification,'' has 
been revised to substitute the current title of OMB's Standard Form-
LLL, ``Disclosure Form to Report Lobbying,'' currently in use.
    d. When to Submit. All Applicants for FTA formula program or 
capital program assistance, and current FTA Grantees with an active 
project financed with FTA formula program or capital program 
assistance, are expected to provide their FTA Certifications and 
Assurances for Federal FY 2011 within 90 days from the date of this 
publication or as soon as feasible after their first application for 
Federal assistance authorized or made available for Federal FY 2011, 
whichever is earlier. In addition, FTA encourages Applicants seeking 
Federal assistance for other projects to submit their FTA 
Certifications and Assurances to FTA as soon as possible to expedite 
awards of FTA assistance.

4. Ways to Submit FTA'S Certifications and Assurances

    As further explained, FTA will accept an Applicant's Certifications 
and Assurances submitted either in TEAM-Web at http://ftateamweb.fta.dot.gov, or on paper containing the text set forth on 
the Signature Page(s) of Appendix A of this Notice. In order of 
preference, FTA permits:
    a. Electronic Submission in Team-Web. An Applicant registered in 
TEAM-Web must submit its FTA Certifications and Assurances, as well as 
its applications for Federal assistance in TEAM-Web. FTA prefers that 
other Applicants for Federal assistance submit their FTA Certifications 
and Assurances through TEAM-Web.
    The TEAM-Web ``Recipients'' option at the ``Cert's & Assurances'' 
tab of the ``View/Modify Recipients'' page contains fields for 
selecting among the twenty-four (24) categories of FTA Certifications 
and Assurances to be submitted. There is also a field for entering a 
single selection covering all twenty-four (24) categories of FTA 
Certifications and Assurances.
    Within the ``Cert's & Assurances'' tab is a field for the 
Applicant's authorized representative to enter his or her personal 
identification number (PIN), which constitutes the Applicant's 
electronic signature for the FTA Certifications and Assurances 
selected. In addition, there is a field for the Applicant's attorney to 
enter his or her PIN, affirming the Applicant's legal authority to make 
and comply with the FTA Certifications and Assurances the Applicant has 
selected. The Applicant's authorized representative may enter his or 
her PIN in lieu of the Attorney's PIN, provided that the Applicant has 
a current Affirmation of Applicant's Attorney as set forth in Appendix 
A of this Notice, written and signed by the attorney in Federal FY 
2011.
    For more information, the Applicant may contact the appropriate FTA 
Regional Office or Metropolitan Office listed in this Notice or the 
TEAM-Web Helpdesk.
    b. Paper Submission. Only if the Applicant is unable to submit its 
FTA Certifications and Assurances in TEAM-Web may the Applicant submit 
its FTA Certifications and Assurances on paper.
    If an Applicant is unable to submit its FTA Certifications and 
Assurances electronically, it must mark the categories of FTA 
Certifications and Assurances it is making on the Signature Page(s) in 
Appendix A of this Notice and submit them to FTA. The Applicant may 
signify compliance with all categories by placing a single mark in the 
appropriate space or select the categories applicable to itself and its 
projects.
    The Applicant must enter its signature on the Signature Page(s) and 
must provide an Affirmation of Applicant's Attorney pertaining to the 
Applicant's legal capacity to make and comply with the Certifications 
and Assurances the Applicant has selected. The Applicant may enter its 
signature in lieu of its Attorney's signature in the Affirmation of 
Applicant's Attorney section of the Signature Page(s), provided that 
the Applicant has on file the Affirmation of Applicant's Attorney as 
set forth in Appendix A of this Notice, written and signed by the 
attorney and dated in Federal FY 2011.
    For more information, the Applicant may contact the appropriate FTA 
Regional Office or Metropolitan Office listed in this Notice.

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

    Issued in Washington, DC this 26th day of October 2010.
Peter M. Rogoff,
Administrator.

FEDERAL FISCAL YEAR 2011 CERTIFICATIONS AND ASSURANCES FOR FEDERAL 
TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS

PREFACE

    In accordance with 49 U.S.C. 5323(n), the following 
certifications and assurances have been compiled for Federal Transit 
Administration (FTA) assistance programs. FTA requests each 
Applicant to provide as many certifications and assurances as needed 
for all programs for which the Applicant intends to seek FTA 
assistance during Federal Fiscal Year 2011. Category 01 applies to 
all Applicants. Category 02 applies to all applications for Federal 
assistance in excess of $100,000. Categories 03 through 24 will 
apply to and be required for some, but not all, Applicants and 
projects. An Applicant may select a single certification that will 
cover all the programs for which it anticipates submitting an 
application. FTA requests each Applicant to read each certification 
and assurance carefully and select all certifications and assurances 
that may apply to the programs for which it expects to seek Federal 
assistance.
    FTA and the Applicant understand and agree that not every 
provision of these certifications and assurances will apply to every 
Applicant or every project for which FTA provides Federal financial 
assistance through a Grant Agreement or Cooperative

[[Page 67436]]

Agreement. The type of project and the section of the statute 
authorizing Federal financial assistance for the project will 
determine which provisions apply. The terms of these certifications 
and assurances reflect applicable requirements of FTA's enabling 
legislation currently in effect.
    The Applicant also understands and agrees that these 
certifications and assurances are special pre-award requirements 
specifically prescribed by Federal law or regulation and do not 
encompass all Federal laws, regulations, and directives that may 
apply to the Applicant or its project. A comprehensive list of those 
Federal laws, regulations, and directives is contained in the FTA 
Master Agreement MA(17) for Federal Fiscal Year 2011 at the FTA Web 
site http://www.fta.dot.gov/documents/17-Master.pdf. The 
certifications and assurances in this document have been streamlined 
to remove most provisions not covered by statutory or regulatory 
certification or assurance requirements.
    Because many requirements of these certifications and assurances 
will require the compliance of the subrecipient of an Applicant, we 
strongly recommend that each Applicant, including a State, that will 
be implementing projects through one or more subrecipients, secure 
sufficient documentation from each subrecipient to assure 
compliance, not only with these certifications and assurances, but 
also with the terms of the Grant Agreement or Cooperative Agreement 
for the project, and the applicable Master Agreement for its 
project, if applicable, incorporated therein by reference. Each 
Applicant is ultimately responsible for compliance with the 
provisions of the certifications and assurances applicable to itself 
or its project irrespective of participation in the project by any 
subrecipient. The Applicant understands and agrees that when it 
applies for FTA assistance on behalf of a consortium, joint venture, 
partnership, or team, each member of that consortium, joint venture, 
partnership, or team is responsible for compliance with the 
certifications and assurances the Applicant selects.
    FTA strongly encourages each Applicant to submit its 
certifications and assurances through TEAM-Web, FTA's electronic 
award and management system, at http://ftateamweb.fta.dot.gov. 
Twenty-four (24) Categories of certifications and assurances are 
listed by numbers 01 through 24 in the TEAM-Web ``Recipients'' 
option at the ``Cert's & Assurances'' tab of ``View/Modify 
Recipients.'' Should the Applicant choose not to submit its 
certifications and assurances through TEAM-Web, the Applicant may 
submit its certifications and assurances on paper by submitting the 
Signature Page(s) at the end of this document, indicating the 
certifications and assurances it is making on one side of the 
document or on one page, and signing its affirmation and that of its 
attorney on the other side or other page.

01. ASSURANCES REQUIRED FOR EACH APPLICANT

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

A. Assurance of Authority of the Applicant and Its Representative

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

B. Standard Assurances

    The Applicant assures that it will comply with all applicable 
Federal statutes and regulations in carrying out any project 
supported by an FTA grant or cooperative agreement. The Applicant 
agrees that it is under a continuing obligation to comply with the 
terms and conditions of the FTA grant agreement or cooperative 
agreement, including the FTA Master Agreement that is incorporated 
by reference and made part of the latest amendment to its grant 
agreement or cooperative agreement with FTA issued for its project. 
The Applicant recognizes that Federal laws and regulations may be 
modified from time to time and those modifications may affect 
project implementation. The Applicant understands that Presidential 
executive orders and Federal directives, including Federal policies 
and program guidance may be issued concerning matters affecting the 
Applicant or its project. The Applicant agrees that the most recent 
Federal laws, regulations, and directives will apply to the project, 
unless FTA issues a written determination otherwise.

C. Intergovernmental Review Assurance

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

D. Nondiscrimination Assurance

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

[[Page 67437]]

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

E. Assurance of Nondiscrimination on the Basis of Disability

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

F. Suspension and Debarment

    In accordance with the terms of U.S. DOT regulations, 
``Nonprocurement Suspension and Debarment,'' 2 CFR Part 1200, which 
adopts and supplements the provisions of U.S. Office of Management 
and Budget (U.S. OMB) ``Guidelines to Agencies on Governmentwide 
Debarment and Suspension (Nonprocurement),'' 2 CFR Part 180:
    (1) The Applicant (Primary Participant) certifies to the best of 
its knowledge and belief, that it and its principals, including its 
first tier subrecipients:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded or 
disqualified from covered transactions by any Federal department or 
agency;
    (b) Have not within a three-year period preceding its latest 
application or proposal been convicted of or had a civil judgment 
rendered against any of them for commission of fraud or a criminal 
offense in connection with obtaining, attempting to obtain, or 
performing a public (Federal, State, or local) transaction, or 
contract under a public transaction; violation of any Federal or 
State antitrust statute; or commission of embezzlement, theft, 
forgery, bribery, falsification or destruction of records, making 
any false statement, or receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State, or local) 
with commission of any of the offenses listed in subparagraph (1)(b) 
of this certification;
    (d) Have not within a three-year period preceding this 
certification had one or more public transactions (Federal, State, 
or local) terminated for cause or default.
    (2) The Applicant (Primary Participant) certifies that it and 
its principals, including its first tier subrecipients, will treat 
each lower tier contract or lower tier subcontract under the Project 
that (a) equals or exceeds $25,000, (b) is for audit services, or 
(3) requires the consent of a Federal official, as a covered 
contract for purposes of 2 CFR Part 1200 and 2 CFR Part 180, and 
will otherwise comply with the Federal requirements of 2 CFR Part 
1200 and 2 CFR Part 180, and will assure that each lower tier 
participant involved in the Project is not presently debarred, 
suspended, proposed for debarment, declared ineligible, or 
voluntarily excluded or disqualified from participation in this 
transaction by any Federal department or agency;
    (3) The Applicant (Primary Participant) certifies that if, 
later, it or its principals, including any of its first tier 
subrecipients, become aware of any information contradicting the 
statements of subparagraphs (1)(a) through (d) above, it will 
promptly provide any necessary information to FTA;
    (4) If the Applicant (Primary Participant) or any of its 
principals, including any of its first tier subrecipients or lower 
tier participants, is unable to certify to the statements within 
paragraphs (1), (2), and (3) above, the Applicant shall indicate so 
on its Signature Page or a Page attached in FTA's TEAM system 
providing a written explanation to FTA.

G. U.S. OMB Assurances

    Consistent with U.S. OMB assurances set forth in SF-424B and SF-
424D, the Applicant assures that, with respect to itself or its 
project, the Applicant:
    (1) Has the legal authority to apply for Federal assistance and 
the institutional, managerial, and financial capability (including 
funds sufficient to pay the non-Federal share of project cost) to 
assure proper planning, management, and completion of the project 
described in its application;
    (2) Will give FTA, the Comptroller General of the United States, 
and, if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives;
    (3) Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest or 
personal gain;
    (4) Will initiate and complete the work within the applicable 
project time periods following receipt of FTA approval;
    (5) Will comply with all applicable Federal statutes relating to 
nondiscrimination including, but not limited to:
    (a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which 
prohibits discrimination on the basis of race, color, or national 
origin;
    (b) Title IX of the Education Amendments of 1972, as amended, 20 
U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT 
regulations, ``Nondiscrimination on the Basis of Sex in Education 
Programs or Activities Receiving Federal Financial Assistance,'' 49 
CFR part 25, which prohibit discrimination on the basis of sex;
    (c) Section 504 of the Rehabilitation Act of 1973, as amended, 
29 U.S.C. 794, which prohibits discrimination on the basis of 
disability;
    (d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 
6101 through 6107, which prohibits discrimination on the basis of 
age;
    (e) The Drug Abuse Office and Treatment Act of 1972, as amended, 
21 U.S.C. 1101 et seq., relating to nondiscrimination on the basis 
of drug abuse;
    (f) The Comprehensive Alcohol Abuse and Alcoholism Prevention 
Act of 1970, as amended, 42 U.S.C. 4541 et seq. relating to 
nondiscrimination on the basis of alcohol abuse or alcoholism;
    (g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 
290dd through 290dd-2., relating to confidentiality of alcohol and 
drug abuse patient records;
    (h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., 
relating to nondiscrimination in the sale, rental, or financing of 
housing; and
    (i) Any other nondiscrimination statute(s) that may apply to the 
project;
    (6) To the extent applicable, will comply with, or has complied 
with, the requirements of Titles II and III of the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970, as amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq., 
which, among other things, provide for fair and equitable treatment 
of persons displaced or persons whose property is acquired as a 
result of Federally assisted programs. These requirements apply to 
all interests in real property acquired for project purposes and 
displacement caused by the project regardless of Federal 
participation in any purchase. As required by sections 210 and 305 
of the Uniform Relocation Act, 42 U.S.C. 4630 and 4655, and by U.S. 
DOT regulations, ``Uniform Relocation Assistance and Real Property 
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR 
24.4, the Applicant assures that it has the requisite authority 
under applicable State and local law to comply with the requirements 
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT 
regulations, ``Uniform Relocation Assistance and Real Property 
Acquisition for Federal and Federally Assisted Programs,'' 49 CFR 
part 24, and will comply with that Act or has complied with that Act 
and those implementing regulations, including but not limited to the 
following:
    (a) The Applicant will adequately inform each affected person of 
the benefits, policies, and procedures provided for in 49 CFR part 
24;
    (b) The Applicant will provide fair and reasonable relocation 
payments and assistance as required by 42 U.S.C. 4622, 4623, and 
4624; 49 CFR part 24; and any applicable FTA procedures, to or for 
families, individuals, partnerships, corporations, or

[[Page 67438]]

associations displaced as a result of any project financed with FTA 
assistance;
    (c) The Applicant will provide relocation assistance programs 
offering the services described in 42 U.S.C. 4625 to such displaced 
families, individuals, partnerships, corporations, or associations 
in the manner provided in 49 CFR part 24;
    (d) Within a reasonable time before displacement, the Applicant 
will make available comparable replacement dwellings to displaced 
families and individuals as required by 42 U.S.C. 4625(c)(3);
    (e) The Applicant will carry out the relocation process in such 
manner as to provide displaced persons with uniform and consistent 
services, and will make available replacement housing in the same 
range of choices with respect to such housing to all displaced 
persons regardless of race, color, religion, or national origin;
    (f) In acquiring real property, the Applicant will be guided to 
the greatest extent practicable under State law, by the real 
property acquisition policies of 42 U.S.C. 4651 and 4652;
    (g) The Applicant will pay or reimburse property owners for 
their necessary expenses as specified in 42 U.S.C. 4653 and 4654, 
with the understanding that FTA will provide Federal financial 
assistance for the Applicant's eligible costs of providing payments 
for those expenses, as required by 42 U.S.C. 4631;
    (h) The Applicant will execute such amendments to third party 
contracts and subagreements financed with FTA assistance and 
execute, furnish, and be bound by such additional documents as FTA 
may determine necessary to effectuate or implement the assurances 
provided herein; and
    (i) The Applicant agrees to make these assurances part of or 
incorporate them by reference into any third party contract or 
subagreement, or any amendments thereto, relating to any project 
financed by FTA involving relocation or land acquisition and provide 
in any affected document that these relocation and land acquisition 
provisions shall supersede any conflicting provisions;
    (7) To the extent applicable, will comply with the Davis-Bacon 
Act, as amended, 40 U.S.C. 3141 et seq., the Copeland ``Anti-
Kickback'' Act, as amended, at 18 U.S.C. 874, and at 40 U.S.C. 3145, 
and the Contract Work Hours and Safety Standards Act, as amended, 40 
U.S.C. 3701 et seq., regarding labor standards for Federally 
assisted projects;
    (8) To the extent applicable, will comply with the flood 
insurance purchase requirements of section 102(a) of the Flood 
Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), 
requiring the Applicant and its subrecipients in a special flood 
hazard area to participate in the program and purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more;
    (9) To the extent applicable, will comply with the Lead-Based 
Paint Poisoning Prevention Act, 42 U.S.C. 4831(b), which prohibits 
the use of lead-based paint in the construction or rehabilitation of 
residence structures;
    (10) To the extent applicable, will not dispose of, modify the 
use of, or change the terms of the real property title or other 
interest in the site and facilities on which a construction project 
supported with FTA assistance takes place without permission and 
instructions from FTA;
    (11) To the extent required by FTA, will record the Federal 
interest in the title of real property, and will include a covenant 
in the title of real property acquired in whole or in part with 
Federal assistance funds to assure nondiscrimination during the 
useful life of the project;
    (12) To the extent applicable, will comply with FTA provisions 
concerning the drafting, review, and approval of construction plans 
and specifications of any construction project supported with FTA 
assistance. As required by U.S. DOT regulations, ``Seismic Safety,'' 
49 CFR 41.117(d), before accepting delivery of any building financed 
with FTA assistance, it will obtain a certificate of compliance with 
the seismic design and construction requirements of 49 CFR part 41;
    (13) To the extent applicable, will provide and maintain 
competent and adequate engineering supervision at the construction 
site of any project supported with FTA assistance to assure that the 
complete work conforms with the approved plans and specifications, 
and will furnish progress reports and such other information as may 
be required by FTA or the State;
    (14) To the extent applicable, will comply with any applicable 
environmental standards that may be prescribed to implement the 
following Federal laws and executive orders:
    (a) Institution of environmental quality control measures under 
the National Environmental Policy Act of 1969, as amended, 42 U.S.C. 
4321 through 4335 and Executive Order No. 11514, as amended, 42 
U.S.C. 4321 note;
    (b) Notification of violating facilities pursuant to Executive 
Order No. 11738, 42 U.S.C. 7606 note;
    (c) Protection of wetlands pursuant to Executive Order No. 
11990, 42 U.S.C. 4321 note;
    (d) Evaluation of flood hazards in floodplains in accordance 
with Executive Order No. 11988, 42 U.S.C. 4321 note;
    (e) Assurance of project consistency with the approved State 
management program developed pursuant to the requirements of the 
Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451 
through 1465;
    (f) Conformity of Federal actions to State (Clean Air) 
Implementation Plans under section 176(c) of the Clean Air Act of 
1955, as amended, 42 U.S.C. 7401 through 7671q;
    (g) Protection of underground sources of drinking water under 
the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f 
through 300j-6;
    (h) Protection of endangered species under the Endangered 
Species Act of 1973, as amended, 16 U.S.C. 1531 through 1544; and
    (i) Environmental protections for Federal transportation 
programs, including, but not limited to, protections for parks, 
recreation areas, or wildlife or waterfowl refuges of national, 
State, or local significance or any land from a historic site of 
national, State, or local significance to be used in a 
transportation project as required by 49 U.S.C. 303(b) and 303(c);
    (j) Protection of the components of the national wild and scenic 
rivers systems, as required under the Wild and Scenic Rivers Act of 
1968, as amended, 16 U.S.C. 1271 through 1287; and
    (k) Provision of assistance to FTA in complying with section 106 
of the National Historic Preservation Act of 1966, as amended, 16 
U.S.C. 470f; with the Archaeological and Historic Preservation Act 
of 1974, as amended, 16 U.S.C. 469 through 469c; and with Executive 
Order No. 11593 (identification and protection of historic 
properties), 16 U.S.C. 470 note;
    (15) To the extent applicable, will comply with the requirements 
of the Hatch Act, 5 U.S.C. 1501 through 1508 and 7324 through 7326, 
which limit the political activities of State and local agencies and 
their officers and employees whose primary employment activities are 
financed in whole or part with Federal funds including a Federal 
loan, grant agreement, or cooperative agreement except, in 
accordance with 49 U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), the Hatch 
Act does not apply to a nonsupervisory employee of a public 
transportation system (or of any other agency or entity performing 
related functions) receiving FTA assistance to whom that Act does 
not otherwise apply;
    (16) To the extent applicable, will comply with the National 
Research Act, Pub. L. 93-348, July 12, 1974, as amended, 42 U.S.C. 
289 et seq., and U.S. DOT regulations, ``Protection of Human 
Subjects,'' 49 CFR part 11, regarding the protection of human 
subjects involved in research, development, and related activities 
supported by Federal assistance;
    (17) To the extent applicable, will comply with the Animal 
Welfare Act, as amended, 7 U.S.C. 2131 et seq., and U.S. Department 
of Agriculture regulations, ``Animal Welfare,'' 9 CFR subchapter A, 
parts 1, 2, 3, and 4, regarding the care, handling, and treatment of 
warm blooded animals held or used for research, teaching, or other 
activities supported by Federal assistance;
    (18) Will have performed the financial and compliance audits as 
required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 
et seq., U.S. OMB Circular A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations,'' Revised, and the most 
recent applicable U.S. OMB A-133 Compliance Supplement provisions 
for the U.S. DOT; and
    (19) To the extent applicable, will comply with all applicable 
provisions of all other Federal laws or regulations, and follow 
Federal directives governing the project, except to the extent that 
FTA has expressly approved otherwise in writing.

02. LOBBYING CERTIFICATION

    An Applicant that submits or intends to submit an application to 
FTA for any Federal grant, loan (including a line of credit), 
cooperative agreement, loan guarantee, or loan insurance exceeding 
$100,000 is required to provide the following certification. FTA may 
not award Federal grant, loan (including a line of credit), 
cooperative agreement, loan guarantee, or loan insurance exceeding 
$100,000 until the Applicant provides this certification by 
selecting Category ``02.''

[[Page 67439]]

    A. As required by 31 U.S.C. 1352 and U.S. DOT regulations, ``New 
Restrictions on Lobbying,'' at 49 CFR 20.110, the Applicant's 
authorized representative certifies to the best of his or her 
knowledge and belief that for each application to U.S. DOT or FTA 
for a Federal grant, loan (including a line of credit), cooperative 
agreement, or a commitment that the Federal Government to guarantee 
or insure a loan 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 a Federal grant, loan 
(including a line of credit), cooperative agreement, loan guarantee, 
or loan insurance, or the extension, continuation, renewal, 
amendment, or modification of any Federal grant, loan (including a 
line of credit), cooperative agreement, loan guarantee, or loan 
insurance;
    (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 a Federal grant, 
loan (including a line of credit), cooperative agreement, loan 
guarantee, or loan insurance, the Applicant assures that it will 
complete and submit Standard Form-LLL, ``Disclosure Form to Report 
Lobbying,'' in accordance with its instructions; and
    (3) The language of this certification shall be included in the 
award documents for all subawards at all tiers (including 
subcontracts, subgrants, subagreements, and contracts under grants, 
loans (including a line of credit), cooperative agreements, loan 
guarantees, and loan insurance).
    B. The Applicant understands that this certification is a 
material representation of fact upon which reliance is placed by the 
Federal government and that submission of this certification is a 
prerequisite for providing a Federal grant, loan (including a line 
of credit), cooperative agreement, loan guarantee, or loan insurance 
for a transaction covered by 31 U.S.C. 1352. The Applicant also 
understands that any person who fails to file a required 
certification shall be subject to a civil penalty of not less than 
$10,000 and not more than $100,000 for each such failure.

03. PROCUREMENT COMPLIANCE

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

04. PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS

    Each Applicant that is a State, local, or Indian Tribal 
government that is seeking Federal assistance authorized under 49 
U.S.C. chapter 53 to acquire any property or an interest in the 
property of a private provider of public transportation or to 
operate public transportation equipment or facilities in competition 
with, or operate public transportation equipment or facilities in 
addition to, transportation service provided by an existing private 
provider of public transportation is required to provide the 
following certification. FTA may not award Federal assistance for 
such a project until the Applicant provides this certification by 
selecting Category ``04.''
    As required by 49 U.S.C. 5323(a)(1), the Applicant certifies 
that before it acquires the property or an interest in the property 
of a private provider of public transportation or operates public 
transportation equipment or facilities in competition with, or in 
addition to, transportation service provided by an existing public 
transportation company, it has or will have:
    A. Determined that the assistance is essential to carrying out a 
program of projects as required by 49 U.S.C. 5303, 5304, and 5306;
    B. Provided for the participation of private companies engaged 
in public transportation to the maximum extent feasible; and
    C. Paid just compensation under State or local law to the 
company for any franchise or property acquired.

05. PUBLIC HEARING

    An Applicant seeking Federal assistance authorized under 49 
U.S.C. chapter 53 for a capital project that will substantially 
affect a community or a community's public transportation service is 
required to provide the following certification. FTA may not award 
Federal assistance for a capital project of that type until the 
Applicant provides this certification by selecting Category ``05.''
    As required by 49 U.S.C. 5323(b), for a proposed capital project 
that will substantially affect a community, or the public 
transportation service of a community, the Applicant certifies that 
it has, or before submitting its application, it will have:
    A. Provided an adequate opportunity for public review and 
comment on the proposed project;
    B. After providing notice, including a concise description of 
the proposed project, published in a newspaper of general 
circulation in the geographic area to be served, held a public 
hearing on the project if the project affects significant economic, 
social, or environmental interests;
    C. Considered the economic, social, and environmental effects of 
the proposed project; and
    D. Determined that the proposed project is consistent with 
official plans for developing the community.

06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE

    An Applicant seeking Federal assistance authorized under 49 
U.S.C. chapter 53 to acquire any rolling stock for use in revenue 
service is required to provide the following certification. FTA may 
not award any Federal assistance to acquire such rolling stock until 
the Applicant provides this certification by selecting Category 
``06.''
    As required by 49 U.S.C. 5323(m) and implementing FTA 
regulations, ``Pre-Award and Post-Delivery Audits of Rolling Stock 
Purchases,'' 49 CFR part 663, at 49 CFR 663.7, the Applicant 
certifies that it will comply with the requirements of 49 CFR part 
663 as modified by amendments authorized by section 3023(k) of 
SAFETEA-LU when procuring revenue service rolling stock. Among other 
things, the Applicant agrees to conduct or cause to be conducted the 
requisite pre-award and post delivery reviews, and maintain on file 
the certifications required by 49 CFR part 663, subparts B, C, and 
D.

07. ACQUISITION OF CAPITAL ASSETS BY LEASE

    An Applicant that intends to request the use of Federal 
assistance authorized under 49 U.S.C. chapter 53 to acquire capital 
assets by lease is required to provide the following certifications. 
FTA may not provide Federal assistance to support those costs until 
the Applicant provides this certification by selecting Category 
``07.''
    As required by FTA regulations, ``Capital Leases,'' 49 CFR part 
639, at 49 CFR 639.15(b)(1) and 49 CFR 639.21, if the Applicant 
acquires any capital asset by lease financed with Federal assistance 
authorized under 49 U.S.C. chapter 53, the Applicant certifies as 
follows:
    (1) It will not use Federal assistance authorized under 49 
U.S.C. chapter 53 to finance the cost of leasing any capital asset 
until it performs calculations demonstrating that leasing the 
capital asset would be more cost-effective than purchasing or 
constructing a similar asset; and it will complete these 
calculations before entering into the lease or before receiving a 
capital grant for the asset, whichever is later; and
    (2) It will not enter into a capital lease for which FTA can 
provide only incremental Federal assistance unless it has adequate 
financial resources to meet its future obligations under the lease 
if Federal assistance is not available for capital projects in the 
subsequent years.

08. BUS TESTING

    An Applicant for Federal assistance appropriated or made 
available for 49 U.S.C. chapter 53 to acquire any new bus model or 
any bus model with a new major change in configuration or components 
is required to provide the following certification. FTA may not 
provide Federal assistance for the acquisition of any new bus model 
or bus

[[Page 67440]]

model with a major change until the Applicant provides this 
certification by selecting Category ``08.''
    As required by 49 U.S.C. 5318 and FTA regulations, ``Bus 
Testing,'' at 49 CFR 665.7, the Applicant certifies that, before 
expending any Federal assistance to acquire the first bus of any new 
bus model or any bus model with a new major change in configuration 
or components, or before authorizing final acceptance of that bus 
(as described in 49 CFR part 665):
    A. The bus model will have been tested at FTA's bus testing 
facility; and
    B. The Applicant will have received a copy of the test report 
prepared on the bus model.

09. CHARTER SERVICE AGREEMENT

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

10. SCHOOL TRANSPORTATION AGREEMENT

    An Applicant that is seeking Federal assistance authorized under 
49 U.S.C. chapter 53 or under 23 U.S.C. 133 or 142 to acquire or 
operate public transportation facilities and equipment is required 
to enter into the following School Transportation Agreement. FTA may 
not provide Federal assistance authorized under 49 U.S.C. chapter 53 
or under 23 U.S.C. 133 or 142 for such projects until the Applicant 
enters into this School Transportation Agreement by selecting 
Category ``10.''
    A. As required by 49 U.S.C. 5323(f) and (g) and FTA regulations 
at 49 CFR 605.14, the Applicant understands and agrees that it and 
each subrecipient, lessee, third party contractor, or other 
participant in the project at any tier may engage in school 
transportation operations in competition with private school 
transportation operators that uses equipment or facilities acquired 
with Federal assistance authorized under the Federal transit laws or 
under 23 U.S.C. 133 or 142, only in compliance with those laws and 
FTA regulations, ``School Bus Operations,'' 49 CFR part 605, to the 
extent consistent with 49 U.S.C. 5323(f) or (g), the terms and 
conditions of which are incorporated herein by reference.
    B. The Applicant understands and agrees that:
    (1) The requirements of FTA regulations, ``School Bus 
Operations,'' 49 CFR part 605, to the extent consistent with 49 
U.S.C. 5323(f) or (g), will apply to any school transportation 
service it or its subrecipients, lessees, third party contractors, 
or other participants in the project provide;
    (2) The definitions of FTA regulations, ``School Bus 
Operations,'' 49 CFR part 605 will apply to this School 
Transportation Agreement; and
    (3) If there is a violation of this School Transportation 
Agreement, FTA will bar the Applicant, subrecipient, lessee, third 
party contractor, or other participant in the project that has 
violated this School Transportation Agreement from receiving Federal 
transit assistance in an amount FTA considers appropriate.

11. DEMAND RESPONSIVE SERVICE

    An Applicant that operates demand responsive service and applies 
for direct Federal assistance authorized under 49 U.S.C. chapter 53 
to acquire non-rail public transportation vehicles is required to 
provide the following certification. FTA may not award direct 
Federal assistance authorized under 49 U.S.C. chapter 53 to an 
Applicant that operates demand responsive service to acquire non-
rail public transportation vehicles until the Applicant provides 
this certification by selecting Category ``11.''
    As required by U.S. DOT regulations, ``Transportation Services 
for Individuals with Disabilities (ADA),'' at 49 CFR 37.77(d), the 
Applicant certifies that its demand responsive service offered to 
individuals with disabilities, including individuals who use 
wheelchairs, is equivalent to the level and quality of service 
offered to individuals without disabilities. Viewed in its entirety, 
the Applicant's service for individuals with disabilities is 
provided in the most integrated setting feasible and is equivalent 
with respect to: (1) response time, (2) fares, (3) geographic 
service area, (4) hours and days of service, (5) restrictions on 
trip purpose, (6) availability of information and reservation 
capability, and (7) constraints on capacity or service availability.

12. ALCOHOL MISUSE AND PROHIBITED DRUG USE

    If the Applicant is required by FTA regulations, ``Prevention of 
Alcohol Misuse and Prohibited Drug Use in Transit Operations,'' at 
49 CFR part 655, to provide the following certification concerning 
its activities to prevent alcohol misuse and prohibited drug use in 
its public transportation operations, FTA may not provide Federal 
assistance to that Applicant until it provides this certification by 
selecting Category ``12.''
    As required by FTA regulations, ``Prevention of Alcohol Misuse 
and Prohibited Drug Use in Transit Operations,'' at 49 CFR part 655, 
subpart I, the Applicant certifies that it has established and 
implemented an alcohol misuse and anti-drug program, and has 
complied with or will comply with all applicable requirements of FTA 
regulations, ``Prevention of Alcohol Misuse and Prohibited Drug Use 
in Transit Operations,'' 49 CFR part 655.

13. INTEREST AND OTHER FINANCING COSTS

    An Applicant that intends to request the use of Federal 
assistance for reimbursement of interest or other financing costs 
incurred for its capital projects financed with Federal assistance 
under the Urbanized Area Formula Program, the Capital Investment 
Program, or the Paul S. Sarbanes Transit in Parks Program is 
required to provide the following certification. FTA may not provide 
Federal assistance to support interest or other financing costs 
until the Applicant provides this certification by selecting 
Category ``13.''
    As required by 49 U.S.C. 5307(g)(3), 5309(g)(2)(B)(iii), 
5309(g)(3)(B)(iii), 5309(i)(2)(C), and 5320(h)(2)(C), the Applicant 
certifies that it will not seek reimbursement for interest or other 
financing costs unless it is eligible to receive Federal assistance 
for those costs and its records demonstrate that it has used 
reasonable diligence in seeking the most favorable financing terms 
underlying those costs, to the extent FTA may require.

14. INTELLIGENT TRANSPORTATION SYSTEMS

    An Applicant for FTA assistance for an Intelligent 
Transportation Systems (ITS) project, defined as any project that in 
whole or in part finances the acquisition of technologies or systems 
of technologies that provide or significantly contribute to the 
provision of one or more ITS user services as defined in the 
``National ITS Architecture,'' is requested to provide the following 
assurance. FTA strongly encourages any Applicant for FTA financial 
assistance to support an ITS project to provide this assurance by 
selecting Category ``14.'' An Applicant for FTA assistance for an 
ITS project that fails to provide this assurance, without providing 
other documentation assuring its commitment to comply with 
applicable Federal ITS standards and protocols, may be determined 
ineligible for award of Federal assistance for the ITS project.

[[Page 67441]]

    As used in this assurance, the term Intelligent Transportation 
Systems (ITS) project is defined to include any project that in 
whole or in part finances the acquisition of technologies or systems 
of technologies that provide or significantly contribute to the 
provision of one or more ITS user services as defined in the 
``National ITS Architecture.''
    A. As provided in subsection 5307(c) of SAFETEA-LU, 23 U.S.C. 
512 note, apart from certain exceptions, ``intelligent 
transportation system projects carried out using funds made 
available from the Highway Trust Fund, including funds made 
available under this subtitle to deploy intelligent transportation 
system technologies, [shall] conform to the national architecture, 
applicable standards or provisional standards, and protocols 
developed under subsection (a) [of section 5307 of SAFETEA-LU].'' To 
facilitate compliance with subsection 5307(c) of SAFETEA-LU, 23 
U.S.C. 512 note, the Applicant assures it will comply with all 
applicable provisions of Section V (Regional ITS Architecture) and 
Section VI (Project Implementation) of FTA Notice, ``FTA National 
ITS Architecture Policy on Transit Projects,'' at 66 FR 1455 et 
seq., January 8, 2001, and other FTA policies that may be issued in 
connection with any ITS project it undertakes financed with funds 
authorized under Title 49 or Title 23, United States Code, except to 
the extent that FTA expressly determines otherwise in writing; and
    B. With respect to any ITS project financed with Federal 
assistance derived from a source other than Title 49 or Title 23, 
United States Code, the Applicant assures that it will use its best 
efforts to assure that any ITS project it undertakes will not 
preclude interface with other intelligent transportation systems in 
the Region.

15. URBANIZED AREA FORMULA PROGRAM

    Each Applicant for Urbanized Area Formula Program assistance 
authorized under 49 U.S.C. 5307 is required to provide the following 
certifications on behalf of itself and any subrecipients 
participating in its projects. Unless FTA determines otherwise in 
writing, the Applicant is ultimately responsible for compliance with 
its certifications and assurances even though a subrecipient, 
lessee, third party contractor, or other participant may participate 
in that project. Consequently, in providing certifications and 
assurances that involve the compliance of its prospective 
subrecipients, the Applicant is strongly encouraged to take 
appropriate measures, including but not limited to obtaining 
sufficient documentation from each subrecipient, to assure the 
validity of all certifications and assurances the Applicant has made 
to FTA. If, however a ``Designated Recipient'' as defined at 49 
U.S.C. 5307(a)(2)(A) enters into a Supplemental Agreement with FTA 
and a Prospective Grantee, that Grantee is recognized as the 
Applicant for Urbanized Area Formula Program assistance and must 
provide the following certifications and assurances.
    Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to expend 
at least one (1) percent of its Urbanized Area Formula Program 
assistance for public transportation security projects, unless the 
Applicant has certified that such expenditures are not necessary. 
Information about the Applicant's intentions will be recorded in the 
``Security'' tab page of the TEAM-Web ``Project Information'' window 
when the Applicant enters its Urbanized Area Formula Program 
application in TEAM-Web.
    FTA may not award Urbanized Area Formula Program assistance to 
any Applicant that is required by 49 U.S.C. 5307(d)(1)(K) to expend 
one (1) percent of its Urbanized Area Formula Program assistance for 
eligible transit enhancements unless that Applicant's quarterly 
report for the fourth quarter of the preceding Federal fiscal year 
has been submitted to FTA and includes the requisite list or the 
Applicant attaches in TEAM-Web or includes in its quarterly report 
information sufficient to demonstrate that the Designated Recipients 
in its area together have expended one (1) percent of the amount of 
Urbanized Area Program assistance made available to them for transit 
enhancement projects.
    FTA may not award Federal assistance for the Urbanized Area 
Formula Program to the Applicant until the Applicant provides these 
certifications and assurances by selecting Category ``15.''
    As required by 49 U.S.C. 5307(d)(1), the Applicant certifies as 
follows:
    A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has 
or will have the legal, financial, and technical capacity to carry 
out its proposed program of projects, including the safety and 
security aspects of that program;
    B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has 
or will have satisfactory continuing control over the use of Project 
equipment and facilities;
    C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant 
will adequately maintain the Project equipment and facilities;
    D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant 
will assure that any elderly individual, any individual with 
disabilities, or any person presenting a Medicare card issued to 
himself or herself pursuant to title II or title XVIII of the Social 
Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will 
be charged for transportation during non-peak hours using or 
involving a facility or equipment of a project financed with Federal 
assistance authorized for 49 U.S.C. 5307, not more than fifty (50) 
percent of the peak hour fare;
    E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in 
carrying out a procurement financed with Federal assistance 
authorized under 49 U.S.C. 5307: (1) will use competitive 
procurement (as defined or approved by FTA), (2) will not use 
exclusionary or discriminatory specifications in its procurements, 
(3) will comply with applicable Buy America laws, and (4) will 
comply with the general provisions for FTA assistance of 49 U.S.C. 
5323 and the third party procurement requirements of 49 U.S.C. 5325;
    F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has 
complied with or will comply with the requirements of 49 U.S.C. 
5307(c). Specifically, the Applicant: (1) has made available, or 
will make available, to the public information on the amounts 
available for the Urbanized Area Formula Program, 49 U.S.C. 5307, 
and the program of projects it proposes to undertake; (2) has 
developed or will develop, in consultation with interested parties 
including private transportation providers, a proposed program of 
projects for activities to be financed; (3) has published or will 
publish a proposed program of projects in a way that affected 
citizens, private transportation providers, and local elected 
officials have the opportunity to examine the proposed program and 
submit comments on the proposed program and the performance of the 
Applicant; (4) has provided or will provide an opportunity for a 
public hearing to obtain the views of citizens on the proposed 
program of projects; (5) has assured or will assure that the 
proposed program of projects provides for the coordination of 
transportation services assisted under 49 U.S.C. 5336 with 
transportation services assisted by another Federal government 
source; (6) has considered or will consider the comments and views 
received, especially those of private transportation providers, in 
preparing its final program of projects; and (7) has made or will 
make the final program of projects available to the public;
    G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has 
or will have available and will provide the amount of funds required 
by 49 U.S.C. 5307(e) for the local share, and that those funds will 
be provided from approved non-Federal sources except as permitted by 
Federal law;
    H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant 
will comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and 
minimize transportation-related fuel consumption and reliance on 
foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and 
provide public transportation for elderly individuals and 
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 
(planning and private enterprise requirements);
    I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has 
a locally developed process to solicit and consider public comment 
before raising a fare or implementing a major reduction of public 
transportation;
    J. In compliance with 49 U.S.C. 5307(d)(1)(J), each Federal 
fiscal year, the Applicant will spend at least one (1) percent of 
its funds authorized by 49 U.S.C. 5307 for public transportation 
security projects, unless the Applicant has certified to FTA that 
such expenditures are not necessary. Public transportation security 
projects include increased lighting in or adjacent to a public 
transportation system (including bus stops, subway stations, parking 
lots, and garages), increased camera surveillance of an area in or 
adjacent to that system, emergency telephone line or lines to 
contact law enforcement or security personnel in an area in or 
adjacent to that system, and any other project intended to increase 
the security and safety of existing or planned public 
transportation; and

[[Page 67442]]

    K. In compliance with 49 U.S.C. 5307(d)(1)(K), if the Applicant 
is a Designated Recipient serving an urbanized area with a 
population of at least 200,000, (1) the Applicant certifies either 
that it has expended or will expend for transit enhancements as 
defined at 49 U.S.C. 5302(a)(15) not less than one (1) percent of 
the amount of the Urbanized Area Formula Assistance it receives this 
Federal fiscal year, or that at least one Designated Recipient in 
its urbanized area has certified or will certify that the Designated 
Recipients within that urbanized area together have expended or will 
expend for transit enhancements as defined at 49 U.S.C. 5302(a)(15) 
not less than one (1) percent of the total amounts the Designated 
Recipients receive each Federal fiscal year under 49 U.S.C. 5307, 
and (2) either the Applicant has listed or will list the transit 
enhancement projects it has carried out with those funds, or at 
least one Designated Recipient in the Applicant's urbanized area has 
listed or will list the transit enhancement projects carried out 
with funds authorized under 49 U.S.C. 5307. If the Designated 
Recipient's quarterly report for the fourth quarter of the preceding 
Federal fiscal year includes a list of transit enhancement projects 
the Designated Recipients in its urbanized area have implemented 
during that preceding Federal fiscal year using those funds, the 
information in that quarterly report will fulfill the requirements 
of 49 U.S.C. 5307(d)(1)(K)(ii), and thus that quarterly report will 
be incorporated by reference and made part of the Designated 
Recipient's and Applicant's certifications and assurances.

16. CLEAN FUELS GRANT PROGRAM

    Each Applicant for Clean Fuels Grant Program assistance 
authorized under 49 U.S.C. 5308 is required to provide the following 
certifications on behalf of itself and its subrecipients. Unless FTA 
determines otherwise in writing, the Applicant is ultimately 
responsible for compliance with its certifications and assurances 
even though a subrecipient, lessee, third party contractor, or other 
participant may participate in that project. Consequently, in 
providing certifications and assurances that involve the compliance 
of its prospective subrecipients, the Applicant is strongly 
encouraged to take the appropriate measures, including but not 
limited to obtaining sufficient documentation from each 
subrecipient, to assure the validity of all certifications and 
assurances the Applicant has made to FTA. FTA may not award Federal 
assistance for the Clean Fuels Grant Program until the Applicant 
provides these certifications by selecting Category ``16.''
    As required by 49 U.S.C. 5308(d)(1), which makes the 
requirements of 49 U.S.C. 5307 applicable to Clean Fuels Grant 
Program assistance, and 49 U.S.C. 5307(d)(1), the designated 
recipient or the recipient serving as the Applicant on behalf of the 
designated recipient, or the State or State organization serving as 
the Applicant on behalf of the State, certifies as follows:
    A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has 
or will have the legal, financial, and technical capacity to carry 
out its proposed program of projects, including the safety and 
security aspects of that program;
    B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has 
or will have satisfactory continuing control over the use of project 
equipment and facilities;
    C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant 
will adequately maintain the project equipment and facilities;
    D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant 
will assure that any elderly individual, any individual with 
disabilities, or any person presenting a Medicare card issued to 
himself or herself pursuant to title II or title XVIII of the Social 
Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will 
be charged for transportation during non-peak hours using or 
involving a facility or equipment of a project financed with Federal 
assistance authorized under 49 U.S.C. 5308, not more than fifty (50) 
percent of the peak hour fare;
    E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in 
carrying out a procurement financed with Federal assistance 
authorized under 49 U.S.C. 5308: (1) will use competitive 
procurement (as defined or approved by FTA), (2) will not use 
exclusionary or discriminatory specifications in its procurements, 
(3) will comply with applicable Buy America laws, and (4) will 
comply with the general provisions for FTA assistance of 49 U.S.C. 
5323 and the third party procurement requirements of 49 U.S.C. 5325;
    F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has 
complied with or will comply with the requirements of 49 U.S.C. 
5307(c). Specifically, the Applicant: (1) has made available, or 
will make available, to the public information on the amounts 
available for the Clean Fuels Grant Program, 49 U.S.C. 5308, and the 
projects it proposes to undertake; (2) has developed or will 
develop, in consultation with interested parties including private 
transportation providers, the proposed projects to be financed; (3) 
has published or will publish a list of the proposed projects in a 
way that affected citizens, private transportation providers, and 
local elected officials have the opportunity to examine the proposed 
projects and submit comments on the proposed projects and the 
performance of the Applicant; (4) has provided or will provide an 
opportunity for a public hearing to obtain the views of citizens on 
the proposed projects; (5) has assured or will assure that the 
proposed projects provide for the coordination of transportation 
services assisted under 49 U.S.C. 5336 with transportation services 
assisted by another Federal government source; (6) has considered or 
will consider the comments and views received, especially those of 
private transportation providers, in preparing its final list of 
projects; and (7) has made or will make the final list of projects 
available to the public;
    G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has 
or will have available and will provide the amount of funds required 
by 49 U.S.C. 5308(d)(2) for the local share, and that those funds 
will be provided from approved non-Federal sources except as 
permitted by Federal law;
    H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant 
will comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and 
minimize transportation-related fuel consumption and reliance on 
foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and 
provide public transportation for elderly individuals and 
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 
(planning and private enterprise requirements);
    I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has 
a locally developed process to solicit and consider public comment 
before raising a fare or implementing a major reduction of public 
transportation; and
    J. The Applicant certifies it will operate vehicles purchased 
with Federal assistance provided under the Clean Fuels Grant 
Program, 49 U.S.C. 5308 only with clean fuels.

17. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES FORMULA GRANT 
PROGRAM AND PILOT PROGRAM

    Before FTA may award Elderly Individuals and Individuals with 
Disabilities Formula Grant Program assistance and, if applicable, 
Elderly Individuals and Individuals with Disabilities Pilot Program 
assistance to a State, the U.S. Secretary of Transportation or his 
or her designee is required to make the pre-award determinations 
required by 49 U.S.C. 5310. Because certain information is needed 
before FTA can make those determinations, each State is requested to 
provide the following certifications assurances on behalf of itself 
and its subrecipients. Unless FTA determines otherwise in writing, 
the State itself is ultimately responsible for compliance with its 
certifications and assurances even though a subrecipient, lessee, 
third party contractor, or other participant may participate in that 
project. Consequently, in providing certifications and assurances 
that involve the compliance of its prospective subrecipients, the 
State is strongly encouraged to take the appropriate measures, 
including but not limited to obtaining sufficient documentation from 
each subrecipient, to assure the validity of all certifications and 
assurances the State has made to FTA. A State that fails to provide 
these certifications and assurances on behalf of itself and its 
subrecipients may be determined ineligible for a grant of Federal 
assistance under 49 U.S.C. 5310 if FTA lacks sufficient information 
from which to make those determinations required by Federal laws and 
regulations governing the Elderly Individuals and Individuals with 
Disabilities Formula Grant Program and, if applicable, the Elderly 
Individuals and Individuals with Disabilities Pilot Program 
authorized by 49 U.S.C. 5310 and section 3012 of SAFETEA-LU, 
respectively. The State is thus requested to select Category ``17.''
    A. As required by 49 U.S.C. 5310(d), which makes the 
requirements of 49 U.S.C. 5307 applicable to the Elderly Individuals 
and

[[Page 67443]]

Individuals with Disabilities Formula Grant Program to the extent 
that the Federal Transit Administrator or his or her designee 
determines appropriate, and 49 U.S.C. 5307(d)(1), the State or State 
organization serving as the Applicant (State) and that administers, 
on behalf of the State, the Elderly Individuals and Individuals with 
Disabilities Program authorized by 49 U.S.C. 5310, and, if 
applicable, the Elderly Individuals and Individuals with 
Disabilities Pilot Program authorized by subsection 3012(b) of 
SAFETEA-LU, 49 U.S.C. 5310 note, certifies and assures on behalf of 
itself and its subrecipients as follows:
    (1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant 
has or will have the legal, financial, and technical capacity to 
carry out its proposed program of projects, including the safety and 
security aspects of that program;
    (2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant 
has or will have satisfactory continuing control over the use of 
project equipment and facilities;
    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant 
will adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, 
in carrying out a procurement financed with Federal assistance 
authorized under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU: 
(1) will use competitive procurement (as defined or approved by 
FTA), (2) will not use exclusionary or discriminatory specifications 
in its procurements, (3) will comply with applicable Buy America 
laws, and (4) will comply with the general provisions for FTA 
assistance of 49 U.S.C. 5323 and the third party procurement 
requirements of 49 U.S.C. 5325;
    (5) The State has or will have available and will provide the 
amount of funds required by 49 U.S.C. 5310(c), and if applicable by 
subsections 3012(b)(3) and (4) of SAFETEA-LU, for the local share, 
and that those funds will be provided from approved non-Federal 
sources except as permitted by Federal law; and
    (6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant 
will comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and 
minimize transportation-related fuel consumption and reliance on 
foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and 
provide public transportation for elderly individuals and 
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 
(planning and private enterprise requirements);
    B. The State assures that each subrecipient either is recognized 
under State law as a private nonprofit organization with the legal 
capability to contract with the State to carry out the proposed 
project, or is a public body that has met the statutory requirements 
to receive Federal assistance authorized for 49 U.S.C. 5310;
    C. The private nonprofit subrecipient's application for 49 
U.S.C. 5310 assistance contains information from which the State 
concludes that the transit service provided or offered to be 
provided by existing public or private transit operators is 
unavailable, insufficient, or inappropriate to meet the special 
needs of the elderly and persons with disabilities;
    D. In compliance with 49 U.S.C. 5310(d)(2)(A) and subsection 
3012(b)(2) of SAFETEA-LU, the State certifies that, before it 
transfers funds to a project funded under 49 U.S.C. 5336, that 
project has been or will have been coordinated with private 
nonprofit providers of services under 49 U.S.C. 5310;
    E. In compliance with 49 U.S.C. 5310(d)(2)(C), the State 
certifies that allocations to subrecipients of financial assistance 
authorized under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU 
will be distributed on a fair and equitable basis; and
    F. In compliance with 49 U.S.C. 5310(d)(2)(B) and subsection 
3012(b)(2) of SAFETEA-LU, the State certifies that: (1) projects it 
has selected or will select for assistance under that program were 
derived from a locally developed, coordinated public transit-human 
services transportation plan; and (2) the plan was developed through 
a process that included representatives of public, private, and 
nonprofit transportation and human services providers and 
participation by the public.

18. NONURBANIZED AREA FORMULA PROGRAM FOR STATES

    The provisions of 49 U.S.C. 5311 establishing the Nonurbanized 
Area Formula Program for States do not impose, as a pre-condition of 
award, any explicit certification or assurance requirements 
established specifically for that program. Only a State or a State 
organization acting as the Recipient on behalf of a State (State) 
may be a direct recipient of this Nonurbanized Area Formula Program 
assistance. Separate certifications and assurances have been 
established in Category 22 for an Indian Tribe that is an Applicant 
for Tribal Transit Program assistance authorized by 49 U.S.C. 
5311(c)(1).
    Before FTA may award Nonurbanized Area Formula Program 
assistance to a State, the U.S. Secretary of Transportation or his 
or her designee is required to make the pre-award determinations 
required by 49 U.S.C. 5311. Because certain information is needed 
before FTA can make those determinations, each State is requested to 
provide the following certifications and assurances on behalf of 
itself and its subrecipients. Unless FTA determines otherwise in 
writing, the State itself is ultimately responsible for compliance 
with its certifications and assurances even though a subrecipient, 
lessee, third party contractor, or other participant may participate 
in that project. Consequently, in providing certifications and 
assurances that involve the compliance of its prospective 
subrecipients, the State is strongly encouraged to take the 
appropriate measures, including but not limited to obtaining 
sufficient documentation from each subrecipient, to assure the 
validity of all certifications and assurances the State has made to 
FTA. A State that fails to provide these certifications and 
assurances on behalf of itself and its subrecipients may be 
determined ineligible for a grant of Federal assistance under 49 
U.S.C. 5311 if FTA lacks sufficient information from which to make 
those determinations required by Federal laws and regulations 
governing the Nonurbanized Area Formula Program authorized by 49 
U.S.C. 5311. The State is thus requested to select Category ``18.''
    The State or State organization serving as the Applicant and 
that administers, on behalf of the State (State) the Nonurbanized 
Area Formula Program for States authorized by 49 U.S.C. 5311, 
assures on behalf of itself and its subrecipients as follows:
    A. The State has or will have the necessary legal, financial, 
and managerial capability to apply for, receive, and disburse 
Federal assistance authorized for 49 U.S.C. 5311; and to carry out 
each project, including the safety and security aspects of that 
project;
    B. The State has or will have satisfactory continuing control 
over the use of project equipment and facilities;
    C. The State assures that the project equipment and facilities 
will be adequately maintained;
    D. In compliance with 49 U.S.C. 5311(b)(2)(C)(i), the State's 
program has provided for a fair distribution of Federal assistance 
authorized for 49 U.S.C. 5311 within the State, including Indian 
reservations within the State;
    E. In compliance with 49 U.S.C. 5311(b)(2)(C)(ii), the State's 
program provides or will provide the maximum feasible coordination 
of public transportation service to receive assistance under 49 
U.S.C. 5311 with transportation service assisted by other Federal 
sources;
    F. The projects in the State's Nonurbanized Area Formula Program 
are included in the Statewide Transportation Improvement Program 
and, to the extent applicable, the projects are included in a 
metropolitan Transportation Improvement Program;
    G. The State has or will have available and will provide the 
amount of funds required by 49 U.S.C. 5311(g) for the local share, 
and that those funds will be provided from approved non-Federal 
sources except as permitted by Federal law; and
    H. In compliance with 49 U.S.C. 5311(f), the State will expend 
not less than fifteen (15) percent of its Federal assistance 
authorized under 49 U.S.C. 5311 to develop and support intercity bus 
transportation within the State, unless the chief executive officer 
of the State, or his or her designee, after consultation with 
affected intercity bus service providers, certifies to the Federal 
Transit Administrator, apart from these certifications and 
assurances herein, that the intercity bus service needs of the State 
are being adequately met.

19. JOB ACCESS AND REVERSE COMMUTE FORMULA GRANT PROGRAM

    Each Applicant for Job Access and Reverse Commute (JARC) Formula 
Grant Program assistance authorized under 49 U.S.C. 5316 is required 
to provide the following certifications on behalf of itself and any 
subrecipient that may be implementing its project. Unless FTA 
determines otherwise in writing, the Applicant itself is ultimately 
responsible for compliance with its

[[Page 67444]]

certifications and assurances even though a subrecipient, lessee, 
third party contractor, or other participant may participate in that 
project. Consequently, in providing certifications and assurances 
that involve the compliance of its prospective subrecipients, the 
Applicant is strongly encouraged to take the appropriate measures, 
including but not limited to obtaining sufficient documentation from 
each subrecipient, to assure the validity of all certifications and 
assurances the Applicant has made to FTA. FTA may not award Federal 
assistance for the JARC Formula Grant Program until the Applicant 
provides these certifications by selecting Category ``19.''
    A. As required by 49 U.S.C. 5316(f)(1), which makes the 
requirements of 49 U.S.C. 5307 applicable to Job Access and Reverse 
Commute (JARC) formula grants, and 49 U.S.C. 5307(d)(1), the 
Applicant for JARC Formula Program assistance authorized under 49 
U.S.C. 5316, certifies on behalf of itself and its subrecipients, if 
any, as follows:
    (1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant 
has or will have the legal, financial, and technical capacity to 
carry out its proposed program of projects, including the safety and 
security aspects of that program;
    (2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant 
has or will have satisfactory continuing control over the use of 
project equipment and facilities;
    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant 
will adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant 
will assure that any elderly individual, any individual with 
disabilities, or any person presenting a Medicare card issued to 
himself or herself pursuant to title II or title XVIII of the Social 
Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will 
be charged for transportation during non-peak hours using or 
involving a facility or equipment of a project financed with Federal 
assistance authorized under 49 U.S.C. 5316 not more than fifty (50) 
percent of the peak hour fare;
    (5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, 
in carrying out a procurement financed with Federal assistance 
authorized under 49 U.S.C. 5316: (1) will use competitive 
procurement (as defined or approved by FTA), (2) will not use 
exclusionary or discriminatory specifications in its procurements, 
(3) will comply with applicable Buy America laws, and (4) will 
comply with the general provisions for FTA assistance of 49 U.S.C. 
5323 and the third party procurement requirements of 49 U.S.C. 5325;
    (6) In compliance with 49 U.S.C. 5316(f)(1) and 49 U.S.C. 
5307(d)(1)(F), the Applicant certifies that (1) with respect to 
financial assistance authorized under 49 U.S.C. 5316, it will 
conduct in cooperation with the appropriate MPO an areawide 
solicitation for applications, and make awards on a competitive 
basis and (2) with respect to financial assistance authorized under 
49 U.S.C. 5316, it will conduct a statewide solicitation for 
applications, and make awards on a competitive basis; and that these 
activities will be carried out in a manner that complies with or 
will comply with 49 U.S.C. 5307(c);
    (7) The Applicant has or will have available and will provide 
the amount of funds required by 49 U.S.C. 5316(h) for the local 
share, and that those funds will be provided from approved non-
Federal sources except as permitted by Federal law; and
    (8) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant 
will comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and 
minimize transportation-related fuel consumption and reliance on 
foreign oil); and (2) 49 U.S.C. 5301(d) (special efforts to design 
and provide public transportation for elderly individuals and 
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 
(planning and private enterprise requirements);
    B. In compliance with 49 U.S.C. 5316(d), the Applicant certifies 
that (1) with respect to financial assistance authorized under 49 
U.S.C. 5316(c)(1)(A), it will conduct in cooperation with the 
appropriate MPO an areawide solicitation for applications, and make 
awards on a competitive basis and (2) with respect to financial 
assistance authorized under 49 U.S.C. 5316(c)(1)(B) or 49 U.S.C. 
5316(c)(1)(C), it will conduct a statewide solicitation for 
applications, and make awards on a competitive basis;
    C. In compliance with 49 U.S.C. 5316(f)(2), the Applicant 
certifies that any allocations to subrecipients of financial 
assistance authorized under 49 U.S.C. 5316 will be distributed on a 
fair and equitable basis;
    D. In compliance with 49 U.S.C. 5316(g)(2), the Applicant 
certifies that, before it transfers funds to a project funded under 
49 U.S.C. 5336, that project has been or will have been coordinated 
with private nonprofit providers of services;
    E. In compliance with 49 U.S.C. 5316(g)(3), the Applicant 
certifies that: (1) the projects it has selected or will select for 
assistance under that program were derived from a locally developed, 
coordinated public transit-human services transportation plan; and 
(2) the plan was developed through a process that included 
representatives of public, private, and nonprofit transportation and 
human services providers and participation by the public; and
    F. In compliance with 49 U.S.C. 5316(c)(3), before the Applicant 
uses funding apportioned under 49 U.S.C. 5316(c)(1)(B) or (C) for 
projects serving an area other than that specified in 49 U.S.C. 
5316(2)(B) or (C), the Applicant certifies that the chief executive 
officer of the State, or his or her designee will have certified to 
the Federal Transit Administrator, apart from these certifications 
herein, that all of the objectives of 49 U.S.C. 5316 are being met 
in the area from which such funding would be derived.

20. NEW FREEDOM PROGRAM

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

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disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and 
private enterprise requirements);
    B. In compliance with 49 U.S.C. 5317(d), the Applicant certifies 
that (1) with respect to financial assistance authorized under 49 
U.S.C. 5317(c)(1)(A), it will conduct in cooperation with the 
appropriate MPO an areawide solicitation for applications, and make 
awards on a competitive basis and (2) with respect to financial 
assistance authorized under 49 U.S.C. 5317(c)(1)(B) or financial 
assistance authorized under 49 U.S.C. 5317(c)(1)(C), it will conduct 
a statewide solicitation for applications, and make awards on a 
competitive basis;
    C. In compliance with 49 U.S.C. 5317(f)(2), the Applicant 
certifies that, before it transfers funds to a project funded under 
49 U.S.C. 5336, that project has been or will have been coordinated 
with private nonprofit providers of services;
    D. In compliance with 49 U.S.C. 5317(e)(2), the Applicant 
certifies that any allocations to subrecipients of financial 
assistance authorized under 49 U.S.C. 5317 will be distributed on a 
fair and equitable basis; and
    E. In compliance with 49 U.S.C. 5317(f)(3), the Applicant 
certifies that: (1) the projects it has selected or will select for 
assistance under that program were derived from a locally developed, 
coordinated public transit-human services transportation plan; and 
(2) the plan was developed through a process that included 
representatives of public, private, and nonprofit transportation and 
human services providers and through participation by the public.

21. PAUL S. SARBANES TRANSIT IN PARKS PROGRAM

    Each State, Tribal area, or local government authority that is 
an Applicant for Paul S. Sarbanes Transit in Parks Program 
assistance (Applicant) authorized by 49 U.S.C. 5320, is required to 
provide the following certifications. FTA may not award assistance 
for the Paul S. Sarbanes Transit in Parks Program to the Applicant 
until the Applicant provides these certifications by selecting 
Category ``21.''
    A. As required by 49 U.S.C. 5320(i), which makes the 
requirements of 49 U.S.C. 5307 applicable to the Paul S. Sarbanes 
Transit in Parks Program to the extent the Federal Transit 
Administrator or his or her designee determines appropriate, and 49 
U.S.C. 5307(d)(1), the Applicant certifies as follows:
    (1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant 
has or will have the legal, financial, and technical capacity to 
carry out its proposed project, including the safety and security 
aspects of that project;
    (2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant 
has or will have satisfactory continuing control over the use of 
project equipment and facilities;
    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant 
will adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(E), in carrying out 
a procurement financed with Federal assistance authorized under 49 
U.S.C. 5320, the Applicant: (1) will use competitive procurement (as 
defined or approved by FTA), (2) will not use exclusionary or 
discriminatory specifications in its procurements, (3) will comply 
with applicable Buy America laws, and (4) will comply with the 
general provisions for FTA assistance of 49 U.S.C. 5323 and the 
third party procurement requirements of 49 U.S.C. 5325;
    (5) In compliance with 49 U.S.C. 5307(d)(1)(F) and with 49 
U.S.C. 5320(e)(2)(C), the Applicant has complied with or will comply 
with the requirements of 49 U.S.C. 5307(c). Specifically, it: (1) 
has made available, or will make available, to the public 
information on the amounts available for the Paul S. Sarbanes 
Transit in Parks Program, 49 U.S.C. 5320, and the projects it 
proposes to undertake; (2) has developed or will develop, in 
consultation with interested parties including private 
transportation providers, projects to be financed; (3) has published 
or will publish a list of proposed projects in a way that affected 
citizens, private transportation providers, and local elected 
officials have the opportunity to examine the proposed projects and 
submit comments on the proposed projects and the performance of the 
Applicant; (4) has provided or will provide an opportunity for a 
public hearing to obtain the views of citizens on the proposed 
projects; (5) has assured or will assure that the proposed projects 
provide for the coordination of transportation services assisted 
under 49 U.S.C. 5336 with transportation services assisted by 
another Federal government source; (6) has considered or will 
consider the comments and views received, especially those of 
private transportation providers, in preparing its final list of 
projects; and (7) has made or will make the final list of projects 
available to the public;
    (6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant 
will comply with: (1) 49 U.S.C. 5301(a) (requirements for public 
transportation systems that maximize the safe, secure, and efficient 
mobility of individuals, minimize environmental impacts, and 
minimize transportation-related fuel consumption and reliance on 
foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and 
provide public transportation for elderly individuals and 
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 
(planning and private enterprise requirements); and
    (7) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant 
has a locally developed process to solicit and consider public 
comment before raising a fare or implementing a major reduction of 
public transportation; and
    B. In compliance with 49 U.S.C. 5320(e)(2)(A), (B), and (D), the 
Applicant assures that it will:
    (1) Comply with the metropolitan planning provisions of 49 
U.S.C. 5303;
    (2) Comply with the statewide planning provisions of 49 U.S.C. 
5304; and
    (3) Consult with the appropriate Federal land management agency 
during the planning process.

22. TRIBAL TRANSIT PROGRAM

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

23. TIFIA PROJECTS

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

[[Page 67446]]

    (3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant 
will adequately maintain the project equipment and facilities;
    (4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant 
will assure that any elderly individual, any individual with 
disabilities, or any person presenting a Medicare card issued to 
himself or herself pursuant to title II or title XVIII of the Social 
Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will 
be charged for transportation during non-peak hours using or 
involving a facility or equipment of a project financed with Federal 
assistance authorized under 23 U.S.C. chapter 6, not more than fifty 
(50) percent of the peak hour fare;
    (5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, 
in carrying out a procurement financed with Federal assistance 
authorized under 23 U.S.C. chapter 6: (1) will use competitive 
procurement (as defined or approved by FTA), (2) will not use 
exclusionary or discriminatory specifications in its procurements, 
(3) will comply with applicable Buy America laws, and (4) will 
comply with the general provisions for FTA assistance of 49 U.S.C. 
5323 and the third party procurement requirements of 49 U.S.C. 5325;
    (6) In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant 
has complied with or will comply with the requirements of 49 U.S.C. 
5307(c). Specifically, it: (a) Has made available, or will make 
available, to the public information on the amounts available for 
TIFIA credit assistance, 23 U.S.C. chapter 6, and the projects it 
proposes to undertake; (b) has developed or will develop, in 
consultation with interested parties including private 
transportation providers, the proposed projects to be financed; (c) 
has published or will publish a list of projects in a way that 
affected citizens, private transportation providers, and local 
elected officials have the opportunity to examine the proposed 
projects and submit comments on the proposed projects and the 
performance of the Applicant; (d) has provided or will provide an 
opportunity for a public hearing to obtain the views of citizens on 
the proposed projects; (e) has assured or will assure that the 
proposed projects provide for the coordination of transportation 
services assisted under 49 U.S.C. 5336 with transportation services 
assisted by another Federal government source; (f) has considered or 
will consider the comments and views received, especially those of 
private transportation providers, in preparing its final list of 
projects; and (g) has made or will make the final list of projects 
available to the public;
    (7) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant 
has or will have available and will provide the amount of funds 
required for the local share, and that those funds will be provided 
from approved non-Federal sources except as permitted by Federal 
law;
    (8) In compliance with 49 U.S.C. 5307(d)(1)(H), (1) the 
Applicant will comply with: 49 U.S.C. 5301(a) (requirements for 
public transportation systems that maximize the safe, secure, and 
efficient mobility of individuals, minimize environmental impacts, 
and minimize transportation-related fuel consumption and reliance on 
foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and 
provide public transportation for elderly individuals and 
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 
(planning and private enterprise requirements);
    (9) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant 
has a locally developed process to solicit and consider public 
comment before raising a fare or implementing a major reduction of 
public transportation;
    (10) To the extent that the Applicant will be using funds 
authorized under 49 U.S.C. 5307 for the project, in compliance with 
49 U.S.C. 5307(d)(1)(J), each Federal fiscal year, the Applicant 
will spend at least one (1) percent of those funds authorized under 
49 U.S.C. 5307 for public transportation security projects (this 
includes only capital projects in the case of 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. Public transportation security projects include increased 
lighting in or adjacent to a public transportation system (including 
bus stops, subway stations, parking lots, and garages), increased 
camera surveillance of an area in or adjacent to that system, 
emergency telephone line or lines to contact law enforcement or 
security personnel in an area in or adjacent to that system, and any 
other project intended to increase the security and safety of an 
existing or planned public transportation; and
    (11) To the extent that the Applicant will be using funds 
authorized under 49 U.S.C. 5307 for the project, in compliance with 
49 U.S.C. 5309(d)(1)(K): (1) An Applicant that serves an urbanized 
area with a population of at least 200,000 will expend not less than 
one (1) percent of the amount it receives each Federal fiscal year 
under 49 U.S.C. 5307 for transit enhancements, as defined at 49 
U.S.C. 5302(a), and (2) if it has received transit enhancement funds 
authorized by 49 U.S.C. 5307(k)(1), its quarterly report for the 
fourth quarter of the preceding Federal fiscal year includes a list 
of the projects it has implemented during that Federal fiscal year 
using those funds, and that report is incorporated by reference and 
made part of its certifications and assurances; and
    B. As required by 49 U.S.C. 5323(o), which makes the 
requirements of 49 U.S.C. 5309 applicable to Applicants seeking 
TIFIA credit assistance authorized under 23 U.S.C. chapter 6, and by 
49 U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and 5309(i)(2)(C), 
the Applicant certifies that it will not seek reimbursement for 
interest and other financing costs incurred in connection with the 
Project unless the Applicant is eligible to receive Federal 
assistance for those expenses and the Applicant's records 
demonstrate that it has used reasonable diligence in seeking the 
most favorable financing terms underlying those costs, to the extent 
FTA may require.

24. DEPOSITS OF FEDERAL FINANCIAL ASSISTANCE TO STATE INFRASTRUCTURE 
BANKS

    The State organization that administers the State Infrastructure 
Bank (SIB) Program on behalf of a State (State) and that is also an 
Applicant for Federal assistance authorized under 49 U.S.C. chapter 
53 that it intends to deposit in its SIB is requested to provide the 
following assurances on behalf of itself, its SIB, and each 
subrecipient. Unless FTA determines otherwise in writing, the State 
itself is ultimately responsible for compliance with its 
certifications and assurances even though the SIB and a subrecipient 
may participate in that project. Consequently, in providing 
certifications and assurances that involve the compliance of its SIB 
and prospective subrecipients, the State is strongly encouraged to 
take the appropriate measures, including but not limited to 
obtaining sufficient documentation from the SIB and each 
subrecipient, to assure the validity of all certifications and 
assurances the State has made to FTA. FTA may not award Federal 
assistance for the SIB Program to the State until the State provides 
these assurances by selecting Category ``24.''
    The State organization, serving as the Applicant (State) for 
Federal assistance for its State Infrastructure Bank (SIB) Program 
authorized by section 1602 of SAFETEA-LU, now codified at 23 U.S.C. 
610, or by section 1511 of TEA-21, 23 U.S.C. 181 note, or by section 
350 of the National Highway System Designation Act of 1995, as 
amended, 23 U.S.C. 181 note, agrees and assures the agreement of its 
SIB and the agreement of each recipient of Federal assistance 
derived from the SIB within the State (subrecipient) that each 
public transportation project financed with Federal assistance 
derived from SIB will be administered in accordance with:
    A. Applicable provisions of section 1602 of SAFETEA-LU, now 
codified at 23 U.S.C. 610, or by section 1511 of TEA-21, 23 U.S.C. 
181 note, or by section 350 of the National Highway System 
Designation Act of 1995, as amended, 23 U.S.C. 181;
    B. The provisions of the FHWA, FRA, and FTA or the FHWA and FTA 
cooperative agreement with the State to establish the State's SIB 
Program;
    C. The provisions of the FTA grant agreement with the State that 
provides Federal assistance for the SIB, except that any provision 
of the Federal Transit Administration Master Agreement incorporated 
by reference into that grant agreement will not apply if it 
conflicts with any provision of section 1602 of SAFETEA-LU, now 
codified at 23 U.S.C. 610, or section 1511 of TEA-21, 23 U.S.C. 181 
note, or section 350 of the National Highway System Designation Act 
of 1995, as amended, 23 U.S.C. 181 note, or Federal guidance 
pertaining to the SIB Program, the provisions of the cooperative 
agreement establishing the SIB Program within the State, or the 
provisions of the FTA grant agreement;
    D. The requirements applicable to projects of 49 U.S.C. 5307 and 
5309, as required by 49 U.S.C. 5323(o); and
    E. The provisions of applicable Federal guidance that may be 
issued and

[[Page 67447]]

amendments thereto, unless FTA has provided written approval of an 
alternative procedure or course of action.
    
    Selection and Signature Page(s) follow.
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[FR Doc. 2010-27563 Filed 11-1-10; 8:45 am]
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