62522 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 

DEPARTMENT OF TRANSPORTATION

Federal Transit Administration 

Fiscal Year 2005 Annual List of 

Certifications and Assurances for 

Federal Transit Administration Grants 

and Cooperative Agreements

AGENCY: Federal Transit Administration, 

DOT.

ACTION: Notice.

SUMMARY: Appendix A of this Notice 

contains the Federal Transit 

Administration’s (FTA) comprehensive 

compilation of the Federal Fiscal Year 

2005 certifications and assurances to be 

used in connection with all Federal 

assistance programs FTA administers 

during Federal Fiscal Year 2005, in 

compliance with 49 U.S.C. 5323(n).

EFFECTIVE DATE: These certifications and 

assurances became effective on October 

1, 2004, the first day of fiscal year 2005.

FOR FURTHER INFORMATION CONTACT: FTA 

staff in the appropriate Regional Office 

listed below. For copies of other related 

documents, see the FTA Web site at 

http://www.fta.dot.gov or contact FTA’s 

Office of Administration at (202) 366–

4022. 

Region 1: Boston 

States served: Connecticut, Maine, 

Massachusetts, New Hampshire, Rhode 

Island, and Vermont. Telephone # 617–

494–2055. 

Region 2: New York 

States served: New Jersey, New York, 

and the Virgin Islands. Telephone # 

212–668–2170. 

Region 3: Philadelphia 

States served: Delaware, Maryland, 

Pennsylvania, Virginia, West Virginia, 

and District of Columbia. Telephone # 

215–656–7100. 

Region 4: Atlanta 

States served: Alabama, Florida, 

Georgia, Kentucky, Mississippi, North 

Carolina, Puerto Rico, South Carolina, 

and Tennessee. Telephone # 404–562–

3500. 

Region 5: Chicago 

States served: Illinois, Indiana, 

Michigan, Minnesota, Ohio, and 

Wisconsin. Telephone # 312–353–2789. 

Region 6: Dallas/Ft. Worth 

States served: Arkansas, Louisiana, 

Oklahoma, New Mexico and Texas. 

Telephone # 817–978–0550. 

Region 7: Kansas City 

States served: Iowa, Kansas, Missouri, 

and Nebraska. Telephone # 816–329–

3920. 

Region 8: Denver 

States served: Colorado, Montana, 

North Dakota, South Dakota, Utah, and 

Wyoming. Telephone # 720–963–3300. 

Region 9: San Francisco 

States served: American Samoa, 

Arizona, California, Guam, Hawaii, 

Nevada, and the Northern Mariana 

Islands. Telephone # 415–744–3133. 

Region 10: Seattle 

States served: Alaska, Idaho, Oregon, 

and Washington. Telephone # 206–220–

7954.

SUPPLEMENTARY INFORMATION: Before 

FTA may award Federal financial 

assistance through a Federal grant or 

cooperative agreement, the Applicant 

must submit all certifications and 

assurances pertaining to itself and its 

project as required by Federal laws and 

regulations. These certifications and 

assurances must be submitted to FTA 

irrespective of whether the project is 

financed under the authority of 49 

U.S.C. chapter 53, or Title 23, United 

States Code, or another Federal statute. 

The Applicant’s Annual Certifications 

and Assurances for Federal Fiscal Year 

2005 cover all projects for which the 

Applicant seeks funding during Federal 

Fiscal Year 2005 through the next fiscal 

year until FTA issues annual 

Certifications and Assurances for 

Federal Fiscal Year 2006. An 

Applicant’s Annual Certifications and 

Assurances applicable to a specific grant 

or cooperative agreement generally 

remain in effect for either the duration 

of the grant or cooperative agreement to 

project closeout or the duration of the 

project or project property when a 

useful life or industry standard is in 

effect, whichever occurs later; except, if 

the Applicant provides certifications 

and assurances in a later year that differ 

from certifications and assurances 

previously provided, the later 

certifications and assurances will apply 

to the grant, cooperative agreement, 

project, or project property, unless FTA 

permits otherwise. 

Background: Since Federal Fiscal 

Year 1995, FTA has been consolidating 

the various certifications and assurances 

that may be required of its Applicants 

and the projects into a single document 

for publication in the Federal Register. 

FTA intends to continue publishing this 

document annually, often in 

conjunction with its publication of the 

FTA annual apportionment Notice, 

which sets forth the allocations of funds 

made available by the latest U.S. 

Department of Transportation (U.S. 

DOT) annual appropriations act. 

Federal Fiscal Year 2005 Changes:

Apart from minor editorial revisions, 

changes include the following: 

(1) Added a new introductory 

paragraph explaining that: 

(a) Not all certifications and 

assurances apply to all Applicants. 

(b) The certifications and assurances 

are pre-award requirements and do not 

encompass all Federal requirements that 

may apply to the Applicant and its 

project.

(c) A comprehensive list of Federal 

requirements is contained in FTA 

Master Agreement for fiscal year 2005 at 

http://www.fta.dot.gov/

16000_16002_ENG.HTML.htm.

(2) Certification 13A(1)(j) has been 

revised to explain that in the case of an 

Applicant serving an urbanized area 

with a population of 200,000 or more, 

only capital security projects may be 

funded with the 1% of the urbanized 

area formula funds set aside by 49 

U.S.C. 5307(d)(1)(J)(i) for transit security 

projects. 

(3) The Affirmation of the Applicant 

portion of the Signature Page has been 

edited to clarify that the criminal fraud 

provisions of 18 U.S.C. 1001 apply to all 

certifications, assurances, agreements, 

and other submissions to FTA. 

Text of Federal Fiscal Year 2005 

Certifications and Assurances: The text 

of the certifications and assurances in 

Appendix A of this Notice also appears 

in TEAM–Web (http://

ftateamweb.fta.dot.gov/) in the 

‘‘Recipients’’ option at ‘‘View/Modify 

Recipients,’’ at the ‘‘Cert’s & 

Assurances’’ tab. The certification and 

assurances also appear on the FTA 

public Web site at http://

www.fta.dot.gov/grant_programs/

applying_for_managing_grants/

3946_ENG_HTML.htm. It is important 

that each Applicant be familiar with all 

sixteen (16) certification and assurance 

categories and their requirements, as 

they may be a prerequisite for receiving 

FTA financial assistance. Provisions of 

this notice supersede conflicting 

statements in any FTA circular 

containing a previous version of the 

Annual Certifications and Assurances. 

The certifications and assurances 

contained in those FTA circulars are 

merely examples, and are not acceptable 

or valid for Federal Fiscal Year 2005; do 

not rely on the provisions of 

certifications and assurances appearing 

in FTA circulars. 

Significance of Certifications and 

Assurances: Selecting and submitting 

certifications and assurances to FTA, 

Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 62523

either through TEAM–Web or 

submission of the Signature Page(s) of 

Appendix A, signifies the Applicant’s 

intent to comply with the requirements 

of the certifications and assurances it 

has selected to the extent they apply to 

a project for which the Applicant 

submits an application for assistance in 

Federal Fiscal Year 2005. 

Requirement for Attorney’s Signature:

FTA requires a current (Federal Fiscal 

Year 2005) affirmation, signed by the 

Applicant’s attorney, of the Applicant’s 

legal authority to certify compliance 

with the obligations imposed by the 

certifications and assurances the 

Applicant has selected. Irrespective of 

whether the Applicant makes a single 

selection for all 16 categories or selects 

individual options from the 16 

categories, the Affirmation of 

Applicant’s Attorney from a previous 

year is not acceptable. 

Deadline for Submission: All 

Applicants for FTA formula program or 

capital investment program assistance, 

and current FTA grantees with an active 

project financed with FTA formula 

program or capital investment program 

assistance, are expected to provide 

Federal Fiscal Year 2005 Certifications 

and Assurances within 90 days from the 

date of this publication or with their 

first grant application in Federal Fiscal 

Year 2005, whichever is first. FTA 

encourages other Applicants to submit 

their certifications and assurances as 

soon as possible. 

Preference for Electronic Submission:

Applicants registered in TEAM–Web 

must submit their certifications and 

assurances, as well as their applications, 

in TEAM–Web. Only if an Applicant is 

unable to submit its certifications and 

assurances in TEAM–Web should the 

Applicant use the Signature Page(s) in 

Appendix A of this notice. 

Procedures for Electronic Submission:

The TEAM–Web ‘‘Recipients’’ option at 

the ‘‘Cert’s & Assurances’’ tab of ‘‘View/

Modify Recipients’’ contains fields for 

selecting the categories of certifications 

and assurances to be submitted. Within 

that tab is a field for the Applicant’s 

authorized representative to enter his or 

her personal identification number 

(PIN), which constitutes the Applicant’s 

electronic signature for the certifications 

and assurances the Applicant has 

selected; in addition, there is a field for 

the Applicant’s attorney to enter his or 

her PIN, affirming the Applicant’s legal 

authority to make and comply with the 

certifications and assurances the 

Applicant has selected. In certain 

circumstances, the Applicant may enter 

its PIN in lieu of its Attorney’s PIN, 

provided that the Applicant has on file 

the Affirmation of Applicant’s Attorney 

in Appendix A of this notice, written 

and signed by the attorney and dated 

this Federal fiscal year. For more 

information, Applicants may contact the 

appropriate Regional Office listed in 

this notice or the TEAM–Web Helpdesk. 

Procedures for Paper Submission: If 

an Applicant is unable to submit its 

certifications and assurances 

electronically, it must mark the 

certifications and assurances it is 

making on the Signature Page(s) in 

Appendix A of this notice and submit 

it to FTA. The Applicant may signify 

compliance with all Categories by 

placing a single mark in the appropriate 

space or select the Categories applicable 

to itself and its projects. In certain 

circumstances, the Applicant may enter 

its signature in lieu of its Attorney’s 

signature in the Affirmation of 

Applicant’s Attorney section of the 

Signature Page(s), provided that the 

Applicant has on file the Affirmation of 

Applicant’s Attorney in Appendix A of 

this notice, written and signed by the 

attorney and dated this Federal fiscal 

year. For more information, Applicants 

may contact the appropriate Regional 

Office listed in this notice. 

References. The Transportation Equity 

Act for the 21st Century, Pub. L. 105–

178, June 9, 1998, as amended by the 

TEA–21 Restoration Act, Pub. L. 105–

206, July 22, 1998, 49 U.S.C. chapter 53, 

Title 23, United States Code, other 

Federal laws administered by FTA, U.S. 

DOT and FTA regulations at 49 CFR, 

and FTA Circulars.

Issued on: October 19, 2004. 

Jennifer L. Dorn, 

Administrator.

Appendix A 

Federal Fiscal Year 2005 Certifications and 

Assurances for Federal Transit 

Administration Assistance Programs 

In accordance with 49 U.S.C. 5323(n), the 

following certifications and assurances have 

been compiled for Federal Transit 

Administration (FTA) assistance programs. 

FTA requests each Applicant to provide as 

many certifications and assurances as needed 

for all programs for which the Applicant 

intends to seek FTA assistance during 

Federal Fiscal Year 2005. FTA strongly 

encourages each Applicant to submit its 

certifications and assurances through TEAMWeb, FTA’s electronic management system, 

at http://ftateamweb.fta.dot.gov. 

Sixteen (16) Categories of certifications and 

assurances are listed by numbers 01 through 

16 in the TEAM-Web ‘‘Recipients’’ option at 

the ‘‘Cert’s & Assurances’’ tab of ‘‘View/

Modify Recipients,’’ and on the opposite side 

of the Signature Page(s) at the end of this 

document. Category 01 applies to all 

Applicants. Category 02 applies to all 

applications exceeding $100,000. Categories 

(3) through 16 will apply to and be required 

for some, but not all, Applicants and projects. 

FTA and the Applicant understand and 

agree that not every provision of these 

certifications and assurances will apply to 

every Applicant or every Project for which 

FTA provides Federal financial assistance 

through a grant agreement or cooperative 

agreement. The type of Project and the 

section of the statute authorizing Federal 

financial assistance for the Project will 

determine which requirements apply. The 

Applicant also understands and agrees that 

these certifications and assurances are preaward requirements and do not encompass 

all statutory and regulatory requirements that 

may apply to the Applicant or its Project. A 

comprehensive list of those requirements is 

contained in the current Master Agreement 

MA(11) for Federal Fiscal Year 2005 at

http://www.fta.dot.gov/

16000_16002_ENG_HTML.htm.

1. Required of Each Applicant 

Each Applicant for FTA assistance must 

provide all certifications and assurances in 

this Category ‘‘01.’’ FTA may not award any 

Federal assistance until the Applicant 

provides these certifications and assurances 

by selecting Category ‘‘01.’’

A. Authority of Applicant and Its 

Representative 

The authorized representative of the 

Applicant and the attorney who sign these 

certifications, assurances, and agreements 

affirm that both the Applicant and its 

authorized representative have adequate 

authority under applicable state and local 

law and the Applicant’s by-laws or internal 

rules to: 

(1) Execute and file the application for 

Federal assistance on behalf of the Applicant; 

(2) Execute and file the required 

certifications, assurances, and agreements on 

behalf of the Applicant binding the 

Applicant; and 

(3) Execute grant agreements and 

cooperative agreements with FTA on behalf 

of the Applicant. 

B. Standard Assurances 

The Applicant assures that it will comply 

with all applicable Federal statutes, 

regulations, executive orders, FTA circulars, 

and other Federal requirements in carrying 

out any project supported by an FTA grant 

or cooperative agreement. The Applicant 

agrees that it is under a continuing obligation 

to comply with the terms and conditions of 

the grant agreement or cooperative agreement 

issued for its project with FTA. The 

Applicant recognizes that Federal laws, 

regulations, policies, and administrative 

practices may be modified from time to time 

and those modifications may affect project 

implementation. The Applicant agrees that 

the most recent Federal requirements will 

apply to the project, unless FTA issues a 

written determination otherwise. 

C. Intergovernmental Review Assurance 

The Applicant assures that each 

application for Federal assistance it submits 

to FTA has been or will be submitted, as 

required by each state, for intergovernmental 

review to the appropriate state and local 

agencies. Specifically, the Applicant assures 

that it has fulfilled or will fulfill the 

62524 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 

obligations imposed on FTA by U.S. DOT 

regulations, ‘‘Intergovernmental Review of 

Department of Transportation Programs and 

Activities,’’ 49 CFR part 17. 

D. Nondiscrimination Assurance 

As required by 49 U.S.C. 5332 (which 

prohibits discrimination on the basis of race, 

color, creed, national origin, sex, or age, and 

prohibits discrimination in employment or 

business opportunity), Title VI of the Civil 

Rights Act of 1964, as amended, 42 U.S.C. 

2000d, and U.S. DOT regulations, 

‘‘Nondiscrimination in Federally-Assisted 

Programs of the Department of 

Transportation—Effectuation of Title VI of 

the Civil Rights Act,’’ 49 CFR part 21 at 21.7, 

the Applicant assures that it will comply 

with all requirements of 49 CFR part 21; FTA 

Circular 4702.1, ‘‘Title VI Program 

Guidelines for Federal Transit 

Administration Recipients,’’ and other 

applicable directives, so that no person in the 

United States, on the basis of race, color, 

national origin, creed, sex, or age will be 

excluded from participation in, be denied the 

benefits of, or otherwise be subjected to 

discrimination in any program or activity 

(particularly in the level and quality of 

transportation services and transportationrelated benefits) for which the Applicant 

receives Federal assistance awarded by the 

U.S. DOT or FTA. 

Specifically, during the period in which 

Federal assistance is extended to the project, 

or project property is used for a purpose for 

which the Federal assistance is extended, or 

for another purpose involving the provision 

of similar services or benefits, or as long as 

the Applicant retains ownership or 

possession of the project property, whichever 

is longer, the Applicant assures that: 

(1) Each project will be conducted, 

property acquisitions will be undertaken, and 

project facilities will be operated in 

accordance with all applicable requirements 

of 49 U.S.C. 5332 and 49 CFR part 21, and 

understands that this assurance extends to its 

entire facility and to facilities operated in 

connection with the project. 

(2) It will promptly take the necessary 

actions to effectuate this assurance, including 

notifying the public that complaints of 

discrimination in the provision of 

transportation-related services or benefits 

may be filed with U.S. DOT or FTA. Upon 

request by U.S. DOT or FTA, the Applicant 

assures that it will submit the required 

information pertaining to its compliance with 

these requirements. 

(3) It will include in each subagreement, 

property transfer agreement, third party 

contract, third party subcontract, or 

participation agreement adequate provisions 

to extend the requirements of 49 U.S.C. 5332 

and 49 CFR part 21 to other parties involved 

therein including any subrecipient, 

transferee, third party contractor, third party 

subcontractor at any level, successor in 

interest, or any other participant in the 

project. 

(4) Should it transfer real property, 

structures, or improvements financed with 

Federal assistance provided by FTA to 

another party, any deeds and instruments 

recording the transfer of that property shall 

contain a covenant running with the land 

assuring nondiscrimination for the period 

during which the property is used for a 

purpose for which the Federal assistance is 

extended or for another purpose involving 

the provision of similar services or benefits. 

(5) The United States has a right to seek 

judicial enforcement with regard to any 

matter arising under the Act, regulations, and 

this assurance. 

(6) It will make any changes in its 49 

U.S.C. 5332 and Title VI implementing 

procedures as U.S. DOT or FTA may request. 

E. Assurance of Nondiscrimination on the 

Basis of Disability 

As required by U.S. DOT regulations, 

‘‘Nondiscrimination on the Basis of Handicap 

in Programs and Activities Receiving or 

Benefiting from Federal Financial 

Assistance,’’ at 49 CFR 27.9, the Applicant 

assures that, as a condition to the approval 

or extension of any Federal assistance 

awarded by FTA to construct any facility, 

obtain any rolling stock or other equipment, 

undertake studies, conduct research, or to 

participate in or obtain any benefit from any 

program administered by FTA, no otherwise 

qualified person with a disability shall be, 

solely by reason of that disability, excluded 

from participation in, denied the benefits of, 

or otherwise subjected to discrimination in 

any program or activity receiving or 

benefiting from Federal assistance 

administered by the FTA or any entity within 

U.S. DOT. The Applicant assures that project 

implementation and operations so assisted 

will comply with all applicable requirements 

of U.S. DOT regulations implementing the 

Rehabilitation Act of 1973, as amended, 29 

U.S.C. 794, et seq., and the Americans with 

Disabilities Act of 1990, as amended, 42 

U.S.C. 12101 et seq., and implementing U.S. 

DOT regulations at 49 CFR parts 27, 37, and 

38, and any applicable regulations and 

directives issued by other Federal 

departments or agencies. 

F. Procurement Compliance Certification 

The Applicant certifies that its 

procurements and procurement system will 

comply with all applicable third party 

procurement requirements of Federal laws, 

executive orders, regulations, FTA directives, 

and requirements, as amended and revised, 

and other requirements FTA may issue 

including FTA Circular 4220.1E, ‘‘Third 

Party Contracting Requirements,’’ and any 

revisions thereto, to the extent those 

requirements are applicable. The Applicant 

certifies that it will include in its contracts 

financed in whole or in part with FTA 

assistance all clauses required by Federal 

laws, executive orders, or regulations, and 

will ensure that each subrecipient and each 

contractor will also include in its 

subagreements and its contracts financed in 

whole or in part with FTA assistance all 

applicable clauses required by Federal laws, 

executive orders, or regulations.

G. Certifications and Assurances Required by 

the U.S. Office of Management and Budget 

(OMB) (SF–424B and SF–424D) As required 

by OMB, the Applicant certifies that it: 

(1) Has the legal authority to apply for 

Federal assistance and the institutional, 

managerial, and financial capability 

(including funds sufficient to pay the nonFederal share of project cost) to ensure 

proper planning, management, and 

completion of the project described in its 

application; 

(2) Will give FTA, the Comptroller General 

of the United States, and, if appropriate, the 

state, through any authorized representative, 

access to and the right to examine all records, 

books, papers, or documents related to the 

award; and will establish a proper accounting 

system in accordance with generally 

accepted accounting standards or agency 

directives; 

(3) Will establish safeguards to prohibit 

employees from using their positions for a 

purpose that constitutes or presents the 

appearance of personal or organizational 

conflict of interest or personal gain; 

(4) Will initiate and complete the work 

within the applicable project time periods 

following receipt of FTA approval; 

(5) Will comply with all applicable Federal 

statutes relating to nondiscrimination 

including, but not limited to: 

(a) Title VI of the Civil Rights Act, 42 

U.S.C. 2000d, which prohibits discrimination 

on the basis of race, color, or national origin; 

(b) Title IX of the Education Amendments 

of 1972, as amended, 20 U.S.C. 1681 through 

1683, and 1685 through 1687, and U.S. DOT 

regulations, ‘‘Nondiscrimination on the Basis 

of Sex in Education Programs or Activities 

Receiving Federal Financial Assistance,’’ 49 

CFR part 25, which prohibit discrimination 

on the basis of sex; 

(c) Section 504 of the Rehabilitation Act of 

1973, as amended, 29 U.S.C. 794, which 

prohibits discrimination on the basis of 

handicap; 

(d) The Age Discrimination Act of 1975, as 

amended, 42 U.S.C. 6101 through 6107, 

which prohibits discrimination on the basis 

of age; 

(e) The Drug Abuse Office and Treatment 

Act of 1972, Pub. L. 92–255, March 21, 1972, 

and amendments thereto, 21 U.S.C. 1174 et 

seq. relating to nondiscrimination on the 

basis of drug abuse; 

(f) The Comprehensive Alcohol Abuse and 

Alcoholism Prevention Act of 1970, Pub. L. 

91–616, Dec. 31, 1970, and amendments 

thereto, 42 U.S.C. 4581 et seq. relating to 

nondiscrimination on the basis of alcohol 

abuse or alcoholism; 

(g) The Public Health Service Act of 1912, 

as amended, 42 U.S.C. 290dd–3 and 290ee–

3, related to confidentiality of alcohol and 

drug abuse patient records; 

(h) Title VIII of the Civil Rights Act, 42 

U.S.C. 3601 et seq., relating to 

nondiscrimination in the sale, rental, or 

financing of housing; 

(i) Any other nondiscrimination provisions 

in the specific statutes under which Federal 

assistance for the project may be provided 

including, but not limited, to 49 U.S.C. 5332, 

which prohibits discrimination on the basis 

of race, color, creed, national origin, sex, or 

age, and prohibits discrimination in 

employment or business opportunity, and 

section 1101(b) of the Transportation Equity 

Act for the 21st Century, 23 U.S.C. 101 note, 

which provides for participation of 

disadvantaged business enterprises in FTA 

programs; and 

Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 62525

(j) Any other nondiscrimination statute(s) 

that may apply to the project; 

(6) Will comply with, or has complied 

with, the requirements of Titles II and III of 

the Uniform Relocation Assistance and Real 

Property Acquisition Policies Act of 1970, as 

amended, (Uniform Relocation Act) 42 U.S.C. 

4601 et seq., which, among other things, 

provide for fair and equitable treatment of 

persons displaced or whose property is 

acquired as a result of Federal or federally 

assisted programs. These requirements apply 

to all interests in real property acquired for 

project purposes regardless of Federal 

participation in any purchase. As required by 

sections 210 and 305 of the Uniform 

Relocation Act, 42 U.S.C. 4630 and 4655, and 

U.S. DOT regulations, ‘‘Uniform Relocation 

Assistance and Real Property Acquisition for 

Federal and Federally Assisted Programs,’’ 49 

CFR 24.4, the Applicant assures that it has 

the requisite authority under applicable state 

and local law to comply with the 

requirements of the Uniform Relocation Act, 

42 U.S.C. 4601 et seq., and U.S. DOT 

regulations, ‘‘Uniform Relocation Assistance 

and Real Property Acquisition for Federal 

and Federally Assisted Programs,’’ 49 CFR 

part 24, and will comply with or has 

complied with that Act and those U.S. DOT 

implementing regulations, including but not 

limited to the following: 

(a) The Applicant will adequately inform 

each affected person of the benefits, policies, 

and procedures provided for in 49 CFR part 

24; 

(b) The Applicant will provide fair and 

reasonable relocation payments and 

assistance as required by 42 U.S.C. 4622, 

4623, and 4624; 49 CFR part 24; and any 

applicable FTA procedures, to or for families, 

individuals, partnerships, corporations, or 

associations displaced as a result of any 

project financed with FTA assistance; 

(c) The Applicant will provide relocation 

assistance programs offering the services 

described in 42 U.S.C. 4625 to such 

displaced families, individuals, partnerships, 

corporations, or associations in the manner 

provided in 49 CFR part 24 and FTA 

procedures; 

(d) Within a reasonable time before 

displacement, the Applicant will make 

available comparable replacement dwellings 

to displaced families and individuals as 

required by 42 U.S.C. 4625(c)(3); 

(e) The Applicant will carry out the 

relocation process in such manner as to 

provide displaced persons with uniform and 

consistent services, and will make available 

replacement housing in the same range of 

choices with respect to such housing to all 

displaced persons regardless of race, color, 

religion, or national origin; 

(f) In acquiring real property, the Applicant 

will be guided to the greatest extent 

practicable under state law, by the real 

property acquisition policies of 42 U.S.C. 

4651 and 4652; 

(g) The Applicant will pay or reimburse 

property owners for necessary expenses as 

specified in 42 U.S.C. 4653 and 4654, with 

the understanding that FTA will provide 

Federal financial assistance for the 

Applicant’s eligible costs of providing 

payments for those expenses, as required by 

42 U.S.C. 4631; 

(h) The Applicant will execute such 

amendments to third party contracts and 

subagreements financed with FTA assistance 

and execute, furnish, and be bound by such 

additional documents as FTA may determine 

necessary to effectuate or implement the 

assurances provided herein; and

(i) The Applicant agrees to make these 

assurances part of or incorporate them by 

reference into any third party contract or 

subagreement, or any amendments thereto, 

relating to any project financed by FTA 

involving relocation or land acquisition and 

provide in any affected document that these 

relocation and land acquisition provisions 

shall supersede any conflicting provisions; 

(7) To the extent applicable, will comply 

with the Davis-Bacon Act, as amended, 40 

U.S.C. 3141 et seq., the Copeland ‘‘AntiKickback’’ Act, as amended, 18 U.S.C. 874, 

and the Contract Work Hours and Safety 

Standards Act, as amended, 40 U.S.C. 3701 

et seq., regarding labor standards for federally 

assisted subagreements; 

(8) To the extent applicable, will comply 

with the flood insurance purchase 

requirements of section 102(a) of the Flood 

Disaster Protection Act of 1973, as amended, 

42 U.S.C. 4012a(a), requiring Applicants and 

subrecipients in a special flood hazard area 

to participate in the program and purchase 

flood insurance if the total cost of insurable 

construction and acquisition is $10,000 or 

more; 

(9) Will comply with the Lead-Based Paint 

Poisoning Prevention Act, 42 U.S.C. 4831(b), 

which prohibits the use of lead-based paint 

in the construction or rehabilitation of 

residence structures; 

(10) Will not dispose of, modify the use of, 

or change the terms of the real property title 

or other interest in the site and facilities on 

which a construction project supported with 

FTA assistance takes place without 

permission and instructions from the 

awarding agency; 

(11) To the extent required by FTA, will 

record the Federal interest in the title of real 

property and will include a covenant in the 

title of real property acquired in whole or in 

part with Federal assistance funds to assure 

nondiscrimination during the useful life of 

the project; 

(12) Will comply with FTA requirements 

concerning the drafting, review, and approval 

of construction plans and specifications of 

any construction project supported with FTA 

assistance. As required by U.S. DOT 

regulations, ‘‘Seismic Safety,’’ 49 CFR 

41.117(d), before accepting delivery of any 

building financed with FTA assistance, it 

will obtain a certificate of compliance with 

the seismic design and construction 

requirements of 49 CFR part 41; 

(13) Will provide and maintain competent 

and adequate engineering supervision at the 

construction site of any project supported 

with FTA assistance to ensure that the 

complete work conforms with the approved 

plans and specifications, and will furnish 

progress reports and such other information 

as may be required by FTA or the state; 

(14) Will comply with any applicable 

environmental standards that may be 

prescribed to implement the following 

Federal laws and executive orders: 

(a) Institution of environmental quality 

control measures under the National 

Environmental Policy Act of 1969, as 

amended, 42 U.S.C. 4321–4335 and 

Executive Order No. 11514, as amended, 42 

U.S.C. 4321 note; 

(b) Notification of violating facilities 

pursuant to Executive Order No. 11738, 42 

U.S.C. 7606 note; 

(c) Protection of wetlands pursuant to 

Executive Order No. 11990, 42 U.S.C. 4321 

note; 

(d) Evaluation of flood hazards in 

floodplains in accordance with Executive 

Order 11988, 42 U.S.C. 4321 note; 

(e) Assurance of project consistency with 

the approved state management program 

developed pursuant to the requirements of 

the Coastal Zone Management Act of 1972, as 

amended, 16 U.S.C. 1451–1465; 

(f) Conformity of Federal actions to State 

(Clean Air) Implementation Plans under 

section 176(c) of the Clean Air Act of 1955, 

as amended, 42 U.S.C. 7401–7671q; 

(g) Protection of underground sources of 

drinking water under the Safe Drinking 

Water Act of 1974, as amended, 42 U.S.C. 

300f–300j–6; 

(h) Protection of endangered species under 

the Endangered Species Act of 1973, as 

amended, 16 U.S.C. 1531–1544; and 

(i) Environmental protections for Federal 

transportation programs, including, but not 

limited to, protections for parks, recreation 

areas, or wildlife or waterfowl refuges of 

national, state, or local significance or any 

land from a historic site of national, state, or 

local significance to be used in a 

transportation project as required by 49 

U.S.C. 303(b) and (c); 

(j) Protection of the components of the 

national wild and scenic rivers systems, as 

required under the Wild and Scenic Rivers 

Act of 1968, as amended, 16 U.S.C. 1271–

1287; and 

(k) Provision of assistance to FTA in 

complying with section 106 of the National 

Historic Preservation Act of 1966, as 

amended, 16 U.S.C. 470f; the Archaeological 

and Historic Preservation Act of 1974, as 

amended, 16 U.S.C. 469a–469c; and 

Executive Order No. 11593 (identification 

and protection of historic properties), 16 

U.S.C. 470 note; 

(15) To the extent applicable, will comply 

with the requirements of the Hatch Act, 5 

U.S.C. 1501–1508, and 7324–7326, which 

limit the political activities of state and local 

agencies and their officers and employees 

whose primary employment activities are 

financed in whole or part with Federal funds 

including a Federal loan, grant agreement, or 

cooperative agreement except, in accordance 

with 23 U.S.C. 142(g), the Hatch Act does not 

apply to a nonsupervisory employee of a 

transit system (or of any other agency or 

entity performing related functions) receiving 

FTA assistance to whom that Act does not 

otherwise apply; 

(16) Will comply with the National 

Research Act, Pub. L. 93–348, July 12, 1974, 

as amended, 42 U.S.C. 289 et seq., and U.S. 

DOT regulations, ‘‘Protection of Human 

Subjects,’’ 49 CFR part 11, regarding the 

protection of human subjects involved in 

research, development, and related activities 

supported by Federal assistance; 

62526 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 

(17) Will comply with the Laboratory 

Animal Welfare Act of 1966, as amended, 7 

U.S.C. 2131 et seq., and U.S. Department of 

Agriculture regulations, ‘‘Animal Welfare,’’ 9 

CFR subchapter A, parts 1, 2, 3, and 4, 

regarding the care, handling, and treatment of 

warm blooded animals held or used for 

research, teaching, or other activities 

supported by Federal assistance; 

(18) Will have performed the financial and 

compliance audits as required by the Single 

Audit Act Amendments of 1996, 31 U.S.C. 

7501 et seq., OMB Circular No. A–133, 

‘‘Audits of States, Local Governments, and 

Non-Profit Organizations,’’ Revised, and the 

most recent applicable OMB A–133 

Compliance Supplement provisions for the 

Department of Transportation; and 

(19) Will comply with all applicable 

requirements of all other Federal laws, 

executive orders, regulations, and policies 

governing the project. 

2. Lobbying 

An Applicant that submits or intends to 

submit an application for Federal assistance 

exceeding $100,000 must provide the 

following certification. FTA may not award 

Federal assistance exceeding $100,000 until 

the Applicant provides this certification by 

selecting Category ‘‘02.’’

A. As required by U.S. DOT regulations, 

‘‘New Restrictions on Lobbying,’’ at 49 CFR 

20.110, the Applicant’s authorized 

representative certifies to the best of his or 

her knowledge and belief that for each 

application for Federal assistance exceeding 

$100,000: 

(1) No Federal appropriated funds have 

been or will be paid by or on behalf of the 

Applicant to any person to influence or 

attempt to influence an officer or employee 

of any Federal agency, a Member of Congress, 

an officer or employee of Congress, or an 

employee of a Member of Congress regarding 

the award of Federal assistance, or the 

extension, continuation, renewal, 

amendment, or modification of any Federal 

assistance agreement; and 

(2) If any funds other than Federal 

appropriated funds have been or will be paid 

to any person to influence or attempt to 

influence an officer or employee of any 

Federal agency, a Member of Congress, an 

officer or employee of Congress, or an 

employee of a Member of Congress in 

connection with any application for Federal 

assistance, the Applicant assures that it will 

complete and submit Standard Form–LLL, 

‘‘Disclosure Form to Report Lobbying,’’

including information required by the 

instructions accompanying the form, which 

form may be amended to omit such 

information as authorized by 31 U.S.C. 1352. 

(3) The language of this certification shall 

be included in the award documents for all 

subawards at all tiers (including 

subcontracts, subgrants, and contracts under 

grants, loans, and cooperative agreements). 

B. The Applicant understands that this 

certification is a material representation of 

fact upon which reliance is placed and that 

submission of this certification is a 

prerequisite for providing Federal assistance 

for a transaction covered by 31 U.S.C. 1352. 

The Applicant also understands that any 

person who fails to file a required 

certification shall be subject to a civil penalty 

of not less than $10,000 and not more than 

$100,000 for each such failure. 

3. Private Mass Transportation Companies 

A state or local government Applicant 

seeking Federal assistance authorized by 49 

U.S.C. chapter 53 to acquire the property or 

an interest in the property of a private mass 

transportation company or to operate mass 

transportation equipment or facilities in 

competition with, or in addition to, 

transportation service provided by an 

existing mass transportation company must 

provide the following certification. FTA may 

not award Federal assistance for that type of 

project until the Applicant provides this 

certification by selecting Category ‘‘03.’’

As required by 49 U.S.C. 5323(a)(1), the 

Applicant certifies that before it acquires the 

property or an interest in the property of a 

private mass transportation company or 

operates mass transportation equipment or 

facilities in competition with, or in addition 

to, transportation service provided by an 

existing mass transportation company, it has 

or will have: 

A. Found that the assistance is essential to 

carrying out a program of projects as 

determined by the plans and programs of the 

metropolitan planning organization; 

B. Provided for the participation of private 

mass transportation companies to the 

maximum extent feasible consistent with 

applicable FTA requirements and policies;

C. Paid just compensation under state or 

local law to a private mass transportation 

company for its franchises or property 

acquired; and 

D. Acknowledged that the assistance falls 

within the labor standards compliance 

requirements of 49 U.S.C. 5333(a) and 

5333(b). 

4. Public Hearing 

An Applicant seeking Federal assistance 

authorized by 49 U.S.C. chapter 53 for a 

capital project that will substantially affect a 

community or a community’s mass 

transportation service must provide the 

following certification. FTA may not award 

Federal assistance for that type of project 

until the Applicant provides this certification 

by selecting Category ‘‘04.’’

As required by 49 U.S.C. 5323(b), the 

Applicant certifies that it has, or before 

submitting its application, it will have: 

A. Provided an adequate opportunity for a 

public hearing with adequate prior notice of 

the proposed project published in a 

newspaper of general circulation in the 

geographic area to be served; 

B. Held that hearing and provided FTA a 

transcript or detailed report summarizing the 

issues and responses, unless no one with a 

significant economic, social, or 

environmental interest requests a hearing; 

C. Considered the economic, social, and 

environmental effects of the proposed 

project; and 

D. Determined that the proposed project is 

consistent with official plans for developing 

the urban area. 

5. Acquisition of Rolling Stock 

An Applicant seeking Federal assistance 

authorized by 49 U.S.C. chapter 53 to acquire 

any rolling stock must provide the following 

certification. FTA may not award any Federal 

assistance to acquire such rolling stock until 

the Applicant provides this certification by 

selecting Category ‘‘05.’’

As required by 49 U.S.C. 5323(m) and 

implementing FTA regulations at 49 CFR 

663.7, the Applicant certifies that it will 

comply with the requirements of 49 CFR part 

663 when procuring revenue service rolling 

stock. Among other things, the Applicant 

agrees to conduct or cause to be conducted 

the requisite pre-award and post-delivery 

reviews, and maintain on file the 

certifications required by 49 CFR part 663, 

subparts B, C, and D. 

6. Bus Testing 

An Applicant for Federal assistance 

appropriated or made available for 49 U.S.C. 

chapter 53 to acquire any new bus model or 

any bus model with a new major change in 

configuration or components must provide 

the following certification. FTA may not 

provide assistance for the acquisition of new 

buses until the Applicant provides this 

certification by selecting Category ‘‘06.’’

As required by FTA regulations, ‘‘Bus 

Testing,’’ at 49 CFR 665.7, the Applicant 

certifies that before expending any Federal 

assistance to acquire the first bus of any new 

bus model or any bus model with a new 

major change in configuration or 

components, or before authorizing final 

acceptance of that bus (as described in 49 

CFR part 665), the bus model: 

A. Will have been tested at a bus testing 

facility approved by FTA; and 

B. Will have received a copy of the test 

report prepared on the bus model. 

7. Charter Service Agreement 

An Applicant seeking Federal assistance 

authorized by 49 U.S.C. chapter 53 (except 49 

U.S.C. 5310), or Title 23, U.S.C. to acquire or 

operate any mass transportation equipment 

or facilities must enter into the following 

Charter Service Agreement. FTA may not 

provide assistance authorized by 49 U.S.C. 

chapter 53 (except 49 U.S.C. 5310), or by 

Title 23, U.S.C. for projects until the 

Applicant enters into this Charter Service 

Agreement by selecting Category ‘‘07.’’

A. As required by 49 U.S.C. 5323(d) and 

FTA regulations, ‘‘Charter Service,’’ at 49 

CFR 604.7, the Applicant agrees that it and 

each of its subrecipients and third party 

contractors at each tier will: 

(1) Provide charter service that uses 

equipment or facilities acquired with Federal 

assistance authorized by 49 U.S.C. chapter 53 

(except 49 U.S.C. 5310), or Title 23, U.S.C. 

for transportation projects, only to the extent 

that there are no private charter service 

operators willing and able to provide the 

charter service that it or its subrecipients or 

third party contractors desire to provide, 

unless one or more of the exceptions in 49 

CFR 604.9 applies; and 

(2) Comply with the requirements of 49 

CFR part 604 before providing any charter 

service using equipment or facilities acquired 

with Federal assistance authorized by 49 

Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 62527

U.S.C. chapter 53 (except 49 U.S.C. 5310), or 

Title 23, U.S.C. for transportation projects. 

B. As The Applicant understands that: 

(1) The requirements of 49 CFR part 604 

will apply to any charter service it or its 

subrecipients or third party contractors 

provide, 

(2) The definitions of 49 CFR part 604 will 

apply to this Charter Service Agreement, and 

(3) A violation of this Charter Service 

Agreement may require corrective measures 

and imposition of penalties, including 

debarment from the receipt of further Federal 

assistance for transportation. 

8. School Transportation Agreement 

An Applicant seeking Federal assistance 

authorized by 49 U.S.C. chapter 53 or by 

Title 23, U.S.C. to acquire or operate 

transportation facilities and equipment must 

enter into the following School 

Transportation Agreement. FTA may not 

provide assistance for such projects until the 

Applicant enters into this agreement by 

selecting Category ‘‘08.’’

A. As required by 49 U.S.C. 5323(f) and 

implementing FTA regulations at 49 CFR 

605.14, the Applicant agrees that it and each 

of its subrecipients and third party 

contractors at each tier will: 

(1) Engage in school transportation 

operations in competition with private 

school transportation operators only to the 

extent permitted by 49 U.S.C. 5323(f), and 

Federal regulations; and 

(2) Comply with the requirements of 49 

CFR part 605 before providing any school 

transportation using equipment or facilities 

acquired with Federal assistance authorized 

by 49 U.S.C. chapter 53 or Title 23 U.S.C. for 

transportation projects. 

B. As The Applicant understands that: 

(1) The requirements of 49 CFR part 605 

will apply to any school transportation 

service it or its subrecipients or third party 

contractors provide, 

(2) The definitions of 49 CFR part 605 will 

apply to this School Transportation 

Agreement, and 

(3) A violation of this School 

Transportation Agreement may require 

corrective measures and imposition of 

penalties, including debarment from the 

receipt of further Federal assistance for 

transportation. 

9. Demand Responsive Service 

An Applicant that operates demand 

responsive service and applies for direct 

Federal assistance authorized for 49 U.S.C. 

chapter 53 to acquire non-rail mass 

transportation vehicles is required to provide 

the following certification. FTA may not 

award direct Federal assistance authorized 

for 49 U.S.C. chapter 53 to an Applicant that 

operates demand responsive service to 

acquire non-rail mass transportation vehicles 

until the Applicant provides this certification 

by selecting Category ‘‘09.’’

As required by U.S. DOT regulations, 

‘‘Transportation Services for Individuals with 

Disabilities (ADA),’’ at 49 CFR 37.77(d), the 

Applicant certifies that its demand 

responsive service offered to persons with 

disabilities, including persons who use 

wheelchairs, is equivalent to the level and 

quality of service offered to persons without 

disabilities. When the Applicant’s service is 

viewed in its entirety, the Applicant’s service 

for persons with disabilities is provided in 

the most integrated setting feasible and is 

equivalent with respect to: (1) Response time, 

(2) fares, (3) geographic service area, (4) 

hours and days of service, (5) restrictions on 

trip purpose, (6) availability of information 

and reservation capability, and (7) 

constraints on capacity or service 

availability. 

10. Alcohol Misuse and Prohibited Drug Use 

If an Applicant is required by FTA 

regulations to provide the following 

certification concerning its activities to 

prevent alcohol misuse and prohibited drug 

use in its transit operations, FTA may not 

provide Federal assistance to that Applicant 

until it provides this certification by selecting 

Category ‘‘10.’’

As required by FTA regulations, 

‘‘Prevention of Alcohol Misuse and 

Prohibited Drug Use in Transit Operations,’’

at 49 CFR part 655, subpart I, the Applicant 

certifies that it has established and 

implemented an alcohol misuse and antidrug program, and has complied with or will 

comply with all applicable requirements of 

FTA regulations, ‘‘Prevention of Alcohol 

Misuse and Prohibited Drug Use in Transit 

Operations,’’ 49 CFR part 655. 

11. Interest and Other Financing Costs 

An Applicant that intends to request the 

use of Federal assistance for reimbursement 

of interest or other financing costs incurred 

for its capital projects must provide the 

following certification. FTA may not provide 

assistance to support those costs until the 

Applicant provides this certification by 

selecting Category ‘‘11.’’

In compliance with 49 U.S.C. 5307(g), 49 

U.S.C. 5309(g)(2)(B), 49 U.S.C. 5309(g)(3)(A), 

and 49 U.S.C. 5309(n), the Applicant certifies 

that it will not seek reimbursement for 

interest and other financing costs unless its 

records demonstrate that it has used 

reasonable diligence in seeking the most 

favorable financing terms underlying those 

costs, to the extent FTA may require. 

12. Intelligent Transportation Systems 

An Applicant for FTA assistance for an 

Intelligent Transportation Systems (ITS) 

project, defined as any project that in whole 

or in part finances the acquisition of 

technologies or systems of technologies that 

provide or significantly contribute to the 

provision of one or more ITS user services as 

defined in the ‘‘National ITS Architecture,’’

must provide the following assurance. FTA 

may not award any Federal assistance for an 

ITS project until the Applicant provides this 

assurance by selecting Category ‘‘12.’’

As used in this assurance, the term 

Intelligent Transportation Systems (ITS) 

project is defined to include any project that 

in whole or in part finances the acquisition 

of technologies or systems of technologies 

that provide or significantly contribute to the 

provision of one or more ITS user services as 

defined in the ‘‘National ITS Architecture.’’

A. In accordance with section 5206(e) of 

TEA–21, 23 U.S.C. 502 note, the Applicant 

assures it will comply with all applicable 

requirements of Section V (Regional ITS 

Architecture) and Section VI (Project 

Implementation) of FTA Notice, ‘‘FTA 

National ITS Architecture Policy on Transit 

Projects,’’ at 66 FR 1455 et seq., January 8, 

2001, and other FTA requirements that may 

be issued in connection with any ITS project 

financed with Highway Trust Funds 

(including funds from the Mass Transit 

Account) or funds made available for the 

Intelligent Transportation Systems Program 

authorized by TEA–21, title V, subtitle C, 23 

U.S.C. 502 note. 

B. With respect to any ITS project financed 

with Federal assistance derived from a source 

other than Highway Trust Funds (including 

funds from the Mass Transit Account) or 

TEA–21, title V, subtitle C, 23 U.S.C. 502 

note, the Applicant assures that it will use its 

best efforts to ensure that any ITS project it 

undertakes will not preclude interface with 

other intelligent transportation systems in the 

Region. 

13. Urbanized Area, JARC, and Clean Fuels 

Programs 

Each Applicant for Urbanized Area 

Formula Program assistance authorized by 49 

U.S.C. 5307, each Applicant for Job Access 

and Reverse Commute Program assistance 

authorized by section 3037 of the 

Transportation Equity Act for the 21st 

Century, 49 U.S.C. 5309 note, and each 

Applicant for Clean Fuels Formula Program 

assistance authorized by 49 U.S.C. 5308 must 

provide the following certifications. FTA 

may not award Federal assistance for those 

programs until the Applicant provides these 

certifications and assurances by selecting 

Category ‘‘13.’’ A state or other Applicant 

providing certifications and assurances that 

require the compliance of its prospective 

subrecipients is expected to obtain sufficient 

documentation from those subrecipients to 

assure the validity of its certifications and 

assurances. 

Each Applicant that received Transit 

Enhancement funds authorized by 49 U.S.C. 

5307(k)(1) must list the projects carried out 

during that Federal fiscal year with those 

funds in its quarterly report for the fourth 

quarter of the preceding Federal fiscal year. 

That list constitutes the report of transit 

enhancement projects carried out during that 

fiscal year, which report is required to be 

submitted as part of the Applicant’s annual 

certifications and assurances, in accordance 

with 49 U.S.C. 5307(k)(3), and is therefore 

incorporated by reference and made part of 

the Applicant’s annual certifications and 

assurances. FTA may not award Urbanized 

Area Formula Program assistance to any 

Applicant that has received Transit 

Enhancement funds authorized by 49 U.S.C. 

5307(k)(1), unless that Applicant’s quarterly 

report for the fourth quarter of the preceding 

Federal fiscal year has been submitted to 

FTA and includes the requisite list. 

A. Certifications Required for the Urbanized 

Area Formula Program 

(1) As required by 49 U.S.C. 5307(d)(1)(A) 

through (J), the Applicant certifies and 

assures as follows: 

(a) It has or will have the legal, financial, 

and technical capacity to carry out the 

proposed program of projects; 

62528 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 

(b) It has or will have satisfactory 

continuing control over the use of Project 

equipment and facilities; 

(c) It will adequately maintain the 

equipment and facilities; 

(d) It will ensure that elderly and 

handicapped persons, or any person 

presenting a Medicare card issued to himself 

or herself pursuant to title II or title XVIII of 

the Social Security Act (42 U.S.C. 401 et seq.

or 42 U.S.C. 1395 et seq.), will be charged for 

transportation during non-peak hours using 

or involving a facility or equipment of a 

project financed with Federal assistance 

authorized for 49 U.S.C. 5307, or for the Job 

Access and Reverse Commute Program at 

section 3037 of the Transportation Equity Act 

for the 21st Century (TEA–21), 49 U.S.C. 

5309 note, not more than fifty (50) percent of 

the peak hour fare; 

(e) In carrying out a procurement financed 

with Federal assistance authorized for the 

Urbanized Area Formula Program, 49 U.S.C. 

5307, or the Job Access and Reverse 

Commute Program, section 3037 of TEA–21, 

49 U.S.C. 5309 note, it: (1) Will use 

competitive procurement (as defined or 

approved by the Secretary), (2) will not use 

exclusionary or discriminatory 

specifications, and (3) will comply with 

applicable Buy America laws; 

(f) It has complied with or will comply 

with the requirements of 49 U.S.C. 5307(c). 

Specifically, it: (1) Has made available, or 

will make available, to the public 

information on the amounts available for the 

Urbanized Area Formula Program, 49 U.S.C. 

5307 and, if applicable, the Job Access and 

Reverse Commute Grant Program, 49 U.S.C. 

5309 note, and the program of projects it 

proposes to undertake; (2) has developed or 

will develop, in consultation with interested 

parties including private transportation 

providers, a proposed program of projects for 

activities to be financed; (3) has published or 

will publish a proposed program of projects 

in a way that affected citizens, private 

transportation providers, and local elected 

officials have the opportunity to examine the 

proposed program and submit comments on 

the proposed program and the performance 

of the Applicant; (4) has provided or will 

provide an opportunity for a public hearing 

to obtain the views of citizens on the 

proposed program of projects; (5) has ensured 

or will ensure that the proposed program of 

projects provides for the coordination of 

transportation services assisted under 49 

U.S.C. 5336 with transportation services 

assisted by another Federal Government 

source; (6) has considered or will consider 

the comments and views received, especially 

those of private transportation providers, in 

preparing its final program of projects; and 

(7) has made or will make the final program 

of projects available to the public; 

(g) It has or will have available and will 

provide the amount of funds required by 49 

U.S.C. 5307(e) and applicable FTA policy 

(specifying Federal and local shares of 

project costs); 

(h) It will comply with: 49 U.S.C. 5301(a) 

(requirements for transportation systems that 

maximize mobility and minimize fuel 

consumption and air pollution); 49 U.S.C. 

5301(d) (requirements for transportation of 

the elderly and persons with disabilities); 49 

U.S.C. 5303 through 5306 (planning 

requirements); and 49 U.S.C. 5301(d) (special 

efforts to design and provide mass 

transportation for the elderly and persons 

with disabilities); 

(i) It has a locally developed process to 

solicit and consider public comment before 

raising fares or implementing a major 

reduction of transportation; and 

(j) As required by 49 U.S.C. 5307, each 

fiscal year, the Applicant will spend at least 

one (1) percent of its funds authorized by 49 

U.S.C. § 5307(d)(1)(J) for transit security 

projects (this includes only capital projects in 

the case of an Applicant serving an urbanized 

area with a population of 200,000 or more), 

unless the Applicant has certified to FTA 

that such expenditures are not necessary and 

FTA accepts that certification. Transit 

security projects include increased lighting 

in or adjacent to a transit system (including 

bus stops, subway stations, parking lots, and 

garages), increased camera surveillance of an 

area in or adjacent to that system, emergency 

telephone line or lines to contact law 

enforcement or security personnel in an area 

in or adjacent to that system, and any other 

project intended to increase the security and 

safety of an existing or planned transit 

system. 

(2) As required by 49 U.S.C. 5307(k)(3), if 

it has received Transit Enhancement funds 

authorized by 49 U.S.C. 5307(k)(1), its 

quarterly report for the fourth quarter of the 

preceding Federal fiscal year includes a list 

of the projects it has implemented during 

that fiscal year using those funds, and that 

report is incorporated by reference and made 

part of its certifications and assurances. 

B. Certification Required for Capital Leasing 

As required by FTA regulations, ‘‘Capital 

Leases,’’ at 49 CFR 639.15(b)(1) and 49 CFR 

639.21, if the Applicant acquires any capital 

asset by lease financed with Federal 

assistance authorized for 49 U.S.C. 5307 or 

section 3037 of TEA–21, 49 U.S.C. 5309 note, 

the Applicant certifies as follows:

(1) It will not use Federal assistance 

authorized for 49 U.S.C. 5307 or section 3037 

of TEA–21, 49 U.S.C. 5309 note, to finance 

the cost of leasing any capital asset until it 

performs calculations demonstrating that 

leasing the capital asset would be more costeffective than purchasing or constructing a 

similar asset; 

(2) It will complete these calculations 

before entering into the lease or before 

receiving a capital grant for the asset, 

whichever is later; and 

(3) It will not enter into a capital lease for 

which FTA can provide only incremental 

Federal assistance unless it has adequate 

financial resources to meet its future 

obligations under the lease in the event 

Federal assistance is not available for capital 

projects in subsequent years. 

C. Certification Required for the Sole Source 

Acquisition of an Associated Capital 

Maintenance Item 

As required by 49 U.S.C. 5325(c), the 

Applicant certifies that when it procures an 

associated capital maintenance item as 

authorized by 49 U.S.C. 5307(b)(1), it will use 

competition, unless the original 

manufacturer or supplier of the item is the 

only source for that item and the price of that 

item is no more than the price similar 

customers pay for that item, and that for each 

such procurement, it will maintain sufficient 

records on file and easily retrievable for 

inspection by FTA. 

D. Clean Fuels Formula Grant Program 

Certification 

As required by 49 U.S.C. 5308(c)(2), the 

Applicant certifies that vehicles financed 

with Federal assistance provided for the 

Clean Fuels Formula Program, 49 U.S.C. 

5308, will be operated only with clean fuels. 

14. Elderly and Persons With Disabilities 

Program 

An Applicant that intends to administer 

the Elderly and Persons with Disabilities 

Program on behalf of a state must provide the 

following certifications and assurances. In 

providing certifications and assurances that 

require the compliance of its prospective 

subrecipients, the Applicant is expected to 

obtain sufficient documentation from those 

subrecipients to assure the validity of its 

certifications and assurances. FTA may not 

award assistance for the Elderly and Persons 

with Disabilities Program until the Applicant 

provides these certifications and assurances 

by selecting Category ‘‘14.’’

The Applicant administering, on behalf of 

the state, the Elderly and Persons with 

Disabilities Program authorized by 49 U.S.C. 

5310 certifies and assures that the following 

requirements and conditions will be fulfilled: 

A. The state organization serving as the 

Applicant and each subrecipient has or will 

have the necessary legal, financial, and 

managerial capability to apply for, receive, 

and disburse Federal assistance authorized 

for 49 U.S.C. 5310; and to implement and 

manage the project. 

B. The state assures that each subrecipient 

either is recognized under state law as a 

private nonprofit organization with the legal 

capability to contract with the state to carry 

out the proposed project, or is a public body 

that has met the statutory requirements to 

receive Federal assistance authorized for 49 

U.S.C. 5310. 

C. The private nonprofit subrecipient’s 

application for 49 U.S.C. 5310 assistance 

contains information from which the state 

concludes that the transit service provided or 

offered to be provided by existing public or 

private transit operators is unavailable, 

insufficient, or inappropriate to meet the 

special needs of the elderly and persons with 

disabilities. 

D. The state assures that sufficient nonFederal funds have been or will be 

committed to provide the required local 

share. 

E. The state assures that, before issuing the 

state’s formal approval of a project, its 

Elderly and Persons with Disabilities 

Formula Program is included in the 

Statewide Transportation Improvement 

Program as required by 23 U.S.C. 135; all 

projects to be implemented in urbanized 

areas recommended for approval are 

included in the metropolitan Transportation 

Improvement Program in which the 

subrecipient is located; and any prospective 

subrecipient of capital assistance that is a 

Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 62529

public body has provided an opportunity for 

a public hearing. 

F. The state recognizes that the 

subrecipient, rather than the state itself, will 

be ultimately responsible for implementing 

many Federal requirements covered by the 

certifications and assurances the state has 

signed. After having taken appropriate 

measures to secure the necessary compliance 

by each subrecipient, the state assures, on 

behalf of each subrecipient, that: 

(1) The subrecipient has or will have by the 

time of delivery, sufficient funds to operate 

and maintain the vehicles and equipment 

financed with Federal assistance awarded for 

its project; 

(2) The subrecipient has coordinated or 

will coordinate to the maximum extent 

feasible with other transportation providers 

and users, including social service agencies 

authorized to purchase transit service; 

(3) The subrecipient has complied or will 

comply with all applicable civil rights 

requirements; 

(4) The subrecipient has complied or will 

comply with applicable requirements of U.S. 

DOT regulations regarding participation of 

disadvantaged business enterprises in U.S. 

DOT programs; 

(5) The subrecipient has complied or will 

comply with Federal requirements regarding 

transportation of elderly persons and persons 

with disabilities; 

(6) The subrecipient has complied or will 

comply with applicable provisions of 49 CFR 

part 605 pertaining to school transportation 

operations; 

(7) Viewing its demand responsive service 

to the general public in its entirety, the 

subrecipient has complied or will comply 

with the requirement to provide demand 

responsive service to persons with 

disabilities, including persons who use 

wheelchairs, meeting the standards of 

equivalent service set forth in 49 CFR 

37.77(c), before purchasing non-accessible 

vehicles for use in demand responsive 

service for the general public; 

(8) The subrecipient has established or will 

establish a procurement system, and has 

conducted or will conduct its procurements 

in compliance with all applicable provisions 

of Federal laws, executive orders, 

regulations, FTA Circular 4220.1E, ‘‘Third 

Party Contracting Requirements,’’ as 

amended and revised, and other Federal 

requirements that may be applicable; 

(9) The subrecipient has complied or will 

comply with the requirement that its project 

provide for the participation of private mass 

transportation companies to the maximum 

extent feasible; 

(10) The subrecipient has paid or will pay 

just compensation under state or local law to 

each private mass transportation company for 

its franchise or property acquired under the 

project; 

(11) The subrecipient has complied or will 

comply with all applicable lobbying 

requirements for each application exceeding 

$100,000; 

(12) The subrecipient has complied or will 

comply with all applicable nonprocurement 

suspension and debarment requirements; 

(13) The subrecipient has complied or will 

comply with all applicable bus testing 

requirements for new bus models; 

(14) The subrecipient has complied or will 

comply with applicable FTA Intelligent 

Transportation Systems architecture 

requirements to the extent required by FTA; 

and 

(15) The subrecipient has complied or will 

comply with all applicable pre-award and 

post-delivery review requirements. 

G. Unless otherwise noted, each of the 

subrecipient’s projects qualifies for a 

categorical exclusion and does not require 

further environmental approvals, as 

described in the joint FHWA/FTA 

regulations, ‘‘Environmental Impact and 

Related Procedures,’’ at 23 CFR 771.117(c). 

The state certifies that, until the required 

Federal environmental finding is made, 

financial assistance will not be provided for 

any project that does not qualify for a 

categorical exclusion described in 23 CFR 

771.117(c). The state further certifies that, 

until the required Federal conformity finding 

has been made, no financial assistance will 

be provided for a project requiring a Federal 

conformity finding in accordance with the 

U.S. Environmental Protection Agency’s 

Clean Air Conformity regulations at 40 CFR 

parts 51 and 93. 

H. The state assures that it will enter into 

a written agreement with each subrecipient 

stating the terms and conditions of assistance 

by which the project will be undertaken and 

completed. 

I. The state recognizes the authority of 

FTA, U.S. DOT, and the Comptroller General 

of the United States to conduct audits and 

reviews to verify compliance with the 

foregoing requirements and stipulations, and 

assures that, upon request, the state and its 

subrecipients will make the necessary 

records available to FTA, U.S. DOT and the 

Comptroller General of the United States. 

The state also acknowledges its obligation 

under 49 CFR 18.40(a) to monitor project 

activities carried out by its subrecipients to 

assure compliance with applicable Federal 

requirements. 

15. Nonurbanized Area Formula Program 

An Applicant that intends to administer 

the Nonurbanized Area Formula Program on 

behalf of a state must provide the following 

certifications and assurances. In providing 

certifications and assurances that require the 

compliance of its prospective subrecipients, 

the Applicant is expected to obtain sufficient 

documentation from those subrecipients to 

assure the validity of its certifications and 

assurances. 

The Applicant administering, on behalf of 

the state, the Nonurbanized Area Formula 

Program authorized by 49 U.S.C. 5311 

certifies and assures that the following 

requirements and conditions will be fulfilled:

A. The state organization serving as the 

Applicant and each subrecipient has or will 

have the necessary legal, financial, and 

managerial capability to apply for, receive, 

and disburse Federal assistance authorized 

for 49 U.S.C. 5311; and to implement and 

manage the project. 

B. The state assures that sufficient nonFederal funds have been or will be 

committed to provide the required local 

share. 

C. The state assures that before issuing the 

state’s formal approval of the project, its 

Nonurbanized Area Formula Program is 

included in the Statewide Transportation 

Improvement Program as required by 23 

U.S.C. 135; and projects are included in a 

metropolitan Transportation Improvement 

Program, to the extent applicable. 

D. The state has provided for a fair and 

equitable distribution of Federal assistance 

authorized for 49 U.S.C. 5311 within the 

state, including Indian reservations within 

the state. 

E. The state recognizes that the 

subrecipient, rather than the state itself, will 

be ultimately responsible for implementing 

many Federal requirements covered by the 

certifications and assurances the state has 

signed. After having taken appropriate 

measures to secure the necessary compliance 

by each subrecipient, the state assures, on 

behalf of each subrecipient, that: 

(1) The subrecipient has or will have, by 

the time of delivery, sufficient funds to 

operate and maintain the vehicles and 

equipment financed with Federal assistance 

awarded for its project; 

(2) The subrecipient has coordinated or 

will coordinate to the maximum extent 

feasible with other transportation providers 

and users, including social service agencies 

authorized to purchase transit service; 

(3) The subrecipient has complied or will 

comply with all applicable civil rights 

requirements; 

(4) The subrecipient has complied or will 

comply with applicable requirements of U.S. 

DOT regulations regarding participation of 

disadvantaged business enterprises in U.S. 

DOT programs; 

(5) The subrecipient has complied or will 

comply with Federal requirements regarding 

transportation of elderly persons and persons 

with disabilities; 

(6) The subrecipient has complied or will 

comply with the transit employee protective 

provisions of 49 U.S.C. 5333(b), by one of the 

following actions: (a) Signing the Special 

Warranty for the Nonurbanized Area Formula 

Program, (b) agreeing to alternative 

comparable arrangements approved by the 

Department of Labor (DOL), or (c) obtaining 

a waiver from DOL; and the state has 

certified the subrecipient’s compliance to 

DOL; 

(7) The subrecipient has complied or will 

comply with 49 CFR part 604 in the 

provision of any charter service provided 

with equipment or facilities acquired with 

FTA assistance; 

(8) The subrecipient has complied or will 

comply with applicable provisions of 49 CFR 

part 605 pertaining to school transportation 

operations; 

(9) Viewing its demand responsive service 

to the general public in its entirety, the 

subrecipient has complied or will comply 

with the requirement to provide demand 

responsive service to persons with 

disabilities, including persons who use 

wheelchairs, meeting the standards of 

equivalent service set forth in 49 CFR 

37.77(c), before purchasing non-accessible 

vehicles for use in demand responsive 

service for the general public; 

(10) The subrecipient has established or 

will establish a procurement system, and has 

conducted or will conduct its procurements 

62530 Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 

in compliance with all applicable provisions 

of Federal laws, executive orders, 

regulations, FTA Circular 4220.1E, ‘‘Third 

Party Contracting Requirements,’’ as 

amended and revised, and other Federal 

requirements that may be applicable; 

(11) The subrecipient has complied or will 

comply with the requirement that its project 

provide for the participation of private 

enterprise to the maximum extent feasible; 

(12) The subrecipient has paid or will pay 

just compensation under state or local law to 

each private mass transportation company for 

its franchise or property acquired under the 

project; 

(13) The subrecipient has complied or will 

comply with all applicable lobbying 

requirements for each application exceeding 

$100,000; 

(14) The subrecipient has complied or will 

comply with all applicable nonprocurement 

suspension and debarment requirements; 

(15) The subrecipient has complied or will 

comply with all applicable bus testing 

requirements for new bus models; 

(16) The subrecipient has complied or will 

comply with all applicable pre-award and 

post-delivery review requirements; 

(17) The subrecipient has complied with or 

will comply with all assurances FTA requires 

for projects involving real property; 

(18) The subrecipient has complied or will 

comply with applicable FTA Intelligent 

Transportation Systems architecture 

requirements, to the extent required by FTA; 

and 

(19) The subrecipient has complied or will 

comply with applicable prevention of alcohol 

misuse and prohibited drug use program 

requirements, to the extent required by FTA. 

F. Unless otherwise noted, each of the 

subrecipient’s projects qualifies for a 

categorical exclusion and does not require 

further environmental approvals, as 

described in the joint FHWA/FTA 

regulations, ‘‘Environmental Impact and 

Related Procedures,’’ at 23 CFR 771.117(c). 

The state certifies that, until the required 

Federal environmental finding is made, 

financial assistance will not be provided for 

any project that does not qualify for a 

categorical exclusion described in 23 CFR 

771.117(c). The state further certifies that, 

until the required Federal conformity finding 

has been made, no financial assistance will 

be provided for a project requiring a Federal 

conformity finding in accordance with the 

U.S. Environmental Protection Agency’s 

Clean Air Conformity regulations at 40 CFR 

parts 51 and 93. 

G. The state assures that it will enter into 

a written agreement with each subrecipient 

stating the terms and conditions of assistance 

by which the project will be undertaken and 

completed. 

H. The state recognizes the authority of 

FTA, U.S. DOT, and the Comptroller General 

of the United States to conduct audits and 

reviews to verify compliance with the 

foregoing requirements and stipulations, and 

assures that, upon request, the state and its 

subrecipients will make the necessary 

records available to FTA, U.S. DOT and the 

Comptroller General of the United States. 

The state also acknowledges its obligation 

under 49 CFR 18.40(a) to monitor project 

activities carried out by its subrecipients to 

assure compliance with applicable Federal 

requirements. 

I. In compliance with the requirements of 

49 U.S.C. 5311(f), the state assures that it will 

expend not less than fifteen (15) percent of 

the amounts of Federal assistance as 

provided in 49 U.S.C. 5311(f) and 

apportioned during this Federal fiscal year to 

carry out a program within the state to 

develop and support intercity bus 

transportation, unless the chief executive 

officer of the state, or his or her designee, 

duly authorized under state law, regulations 

or procedures, certifies to the Federal Transit 

Administrator that the intercity bus service 

needs of the state are being adequately met. 

16. State Infrastructure Bank Program 

An Applicant for a grant of Federal 

assistance for deposit in its State 

Infrastructure Bank (SIB) must provide the 

following certifications and assurances. In 

providing certifications and assurances that 

require the compliance of its prospective 

subrecipients, the Applicant is expected to 

obtain sufficient documentation from those 

subrecipients to assure the validity of its 

certifications and assurances. 

The state, serving as the Applicant for 

Federal assistance for its State Infrastructure 

Bank (SIB) Program authorized by either 

section 350 of the National Highway System 

Designation Act of 1995, as amended, 23 

U.S.C. 101 note, or the State Infrastructure 

Bank Pilot Program, 23 U.S.C. 181 note, 

certifies and assures that the following 

requirements and conditions concerning any 

transit Project financed with Federal 

assistance derived from its SIB have been or 

will be fulfilled: 

A. The state organization, which is serving 

as the Applicant (state) for Federal assistance 

for its SIB, agrees and assures the agreement 

of its SIB and the agreement of each recipient 

of Federal assistance derived from the SIB 

within the state (subrecipient) that each 

transit Project financed with Federal 

assistance derived from SIB will be 

administered in accordance with: 

(1) Applicable provisions of section 350 of 

the National Highway System Designation 

Act of 1995, as amended, 23 U.S.C. 101 note, 

or of the State Infrastructure Bank Pilot 

Program, 23 U.S.C. 181 note, and any further 

amendments thereto; 

(2) The provisions of any applicable 

Federal guidance that may be issued; 

(3) The terms and conditions of 

Department of Labor Certification(s) of 

Transit Employee Protective Arrangements 

that are required by Federal law or 

regulations; 

(4) The provisions of the FHWA and FTA 

cooperative agreement with the state to 

establish the state’s SIB Program; and 

(5) The provisions of the FTA grant 

agreement with the state that provides 

Federal assistance for the SIB, except that 

any provision of the Federal Transit 

Administration Master Agreement 

incorporated by reference into that grant 

agreement will not apply if it conflicts with 

any provision of National Highway System 

Designation Act of 1995, as amended, 23 

U.S.C. 101 note, or section 1511 of TEA–21, 

as amended, 23 U.S.C. 181 note, Federal 

guidance pertaining to the SIB Program, the 

provisions of the cooperative agreement 

establishing the SIB Program within the state, 

or the provisions of the FTA grant agreement. 

B. The state agrees to comply with, and 

assures the compliance of the SIB and each 

subrecipient of assistance provided by the 

SIB with, all applicable requirements for the 

SIB Program, as those requirements may be 

amended from time to time. Pursuant to 

subsection 1511(h)(2) of TEA–21, 23 U.S.C. 

181 note, the state understands and agrees 

that any previous cooperative agreement 

entered into with FHWA and FTA under 

section 350 of the National Highway System 

Designation Act of 1995, as amended, 23 

U.S.C. 101 note, has been or will be revised 

to comply with the requirements of TEA–21. 

C. The state assures that the SIB will 

provide Federal assistance from its Transit 

Account only for transit capital projects 

eligible under section 350 of the National 

Highway System Designation Act of 1995, as 

amended, 23 U.S.C. 101 note or under 

section 1511 of TEA–21, 23 U.S.C. 181 note, 

and that those projects will fulfill all 

requirements imposed on comparable capital 

transit projects financed by FTA. 

D. The state understands that the total 

amount of funds to be awarded will not be 

immediately available for draw down. 

Consequently, the state assures that it will 

limit the amount of Federal assistance it 

draws down for deposit in the SIB to 

amounts that do not exceed the limitations 

specified in the grant agreement or the 

approved project budget for that grant 

agreement. 

E. The state assures that each subrecipient 

has or will have the necessary legal, 

financial, and managerial capability to apply 

for, receive, and disburse Federal assistance 

authorized by Federal statute for use in the 

SIB, and to implement, manage, operate, and 

maintain the project and project property for 

which such assistance will support. 

F. The state assures that sufficient nonFederal funds have been or will be 

committed to provide the required local 

share. 

G. The state recognizes that the SIB, rather 

than the state itself, will be ultimately 

responsible for implementing many Federal 

requirements covered by the certifications 

and assurances the state has signed. After 

having taken appropriate measures to secure 

the necessary compliance by the SIB, the 

state assures, on behalf of the SIB, that: 

(1) The SIB has complied or will comply 

with all applicable civil rights requirements; 

(2) The SIB has complied or will comply 

with applicable requirements of U.S. DOT 

regulations regarding participation of 

disadvantaged business enterprises in U.S. 

DOT programs; 

(3) The SIB will provide Federal assistance 

only to a subrecipient that is either a public 

or private entity recognized under state law 

as having the legal capability to contract with 

the state to carry out its proposed project; 

(4) Before the SIB enters into an agreement 

with a subrecipient to disburse Federal 

assistance for a project, the subrecipient’s 

project is included in the Statewide 

Transportation Improvement Program; all 

Federal Register / Vol. 69, No. 206 / Tuesday, October 26, 2004 / Notices 62531

projects in urbanized areas recommended for 

approval are included in the metropolitan 

Transportation Improvement Program in 

which the subrecipient is located; and the 

requisite certification that an opportunity for 

a public hearing has been provided; 

(5) The SIB will not provide Federal 

financial assistance for any project that does 

not qualify for a categorical exclusion as 

described in 23 CFR 771.117(c) until the 

required Federal environmental finding has 

been made. Moreover, the SIB will provide 

no financial assistance for a project requiring 

a Federal conformity finding in accordance 

with the Environmental Protection Agency’s 

Clean Air Conformity regulations at 40 CFR 

parts 51 and 93, until the required Federal 

conformity finding has been made; 

(6) Before the SIB provides Federal 

assistance for a transit project, each 

subrecipient will have complied with the 

applicable transit employee protective 

provisions of 49 U.S.C. 5333(b) as required 

for that subrecipient and its project; and

(7) The SIB will enter into a written 

agreement with each subrecipient stating the 

terms and conditions of assistance by which 

the project will be undertaken and 

completed, including specific provisions that 

any security or debt financing instrument 

that the SIB may issue shall contain an 

express statement that the security or debt 

financing instrument does not constitute a 

commitment, guarantee, or obligation of the 

United States. 

H. The state also recognizes that the 

subrecipient, rather than the state itself, will 

be ultimately responsible for implementing 

many Federal requirements covered by the 

certifications and assurances the state has 

signed. After having taken appropriate 

measures to secure the necessary compliance 

of each subrecipient, the state assures, on 

behalf of each subrecipient, that: 

(1) The subrecipient has complied or will 

comply with all applicable civil rights 

requirements; 

(2) The subrecipient has complied or will 

comply with applicable requirements of U.S. 

DOT regulations regarding participation of 

disadvantaged business enterprises in U.S. 

DOT programs; 

(3) The subrecipient has complied or will 

comply with Federal requirements regarding 

transportation of elderly persons and persons 

with disabilities; 

(4) The subrecipient has complied or will 

comply with the applicable transit employee 

protective provisions of 49 U.S.C. 5333(b) as 

required for that subrecipient and its project; 

(5) The subrecipient has complied or will 

comply with 49 CFR part 604 in the 

provision of any charter service provided 

with equipment or facilities acquired with 

FTA assistance; 

(6) The subrecipient has complied with or 

will comply with applicable provisions of 49 

CFR part 605 pertaining to school 

transportation operations; 

(7) Viewing its demand responsive service 

to the general public in its entirety, the 

subrecipient has complied or will comply 

with the requirement to provide demand 

responsive service to persons with 

disabilities, including persons who use 

wheelchairs, meeting the standards of 

equivalent service set forth in 49 CFR 

37.77(c), before purchasing non-accessible 

vehicles for use in demand responsive 

service for the general public; 

(8) The subrecipient has established or will 

establish a procurement system, and has 

conducted or will conduct its procurements 

in compliance with all applicable provisions 

of Federal laws, executive orders, 

regulations, FTA Circular 4220.1E, ‘‘Third 

Party Contracting Requirements,’’ as 

amended and revised, and other 

implementing requirements FTA may issue; 

(9) The subrecipient has complied or will 

comply with the requirement that its project 

provides for the participation of private mass 

transportation companies to the maximum 

extent feasible; 

(10) The subrecipient has paid or will pay 

just compensation under state or local law to 

each private mass transportation company for 

its franchise or property acquired under the 

project; 

(11) The subrecipient has complied or will 

comply with all applicable lobbying 

requirements for each application exceeding 

$100,000; 

(12) The subrecipient has complied or will 

comply with all nonprocurement suspension 

and debarment requirements; 

(13) The subrecipient has complied or will 

comply with all applicable bus testing 

requirements for new bus models; 

(14) The subrecipient has complied or will 

comply with all applicable pre-award and 

post-delivery review requirements; 

(15) The subrecipient has complied with or 

will comply with all assurances FTA requires 

for projects involving real property; 

(16) The subrecipient has complied or will 

comply with applicable FTA Intelligent 

Transportation Systems architecture 

requirements, to the extent required by FTA; 

and 

(17) The subrecipient has complied or will 

comply with applicable prevention of alcohol 

misuse and prohibited drug use program 

requirements, to the extent required by FTA. 

I. The state recognizes the authority of 

FTA, U.S. DOT, and the Comptroller General 

of the United States to conduct audits and 

reviews to verify compliance with the 

foregoing requirements and stipulations, and 

assures that, upon request, the SIB and its 

subrecipients, as well as the states, will make 

the necessary records available to FTA, U.S. 

DOT and the Comptroller General of the 

United States. The state also acknowledges 

its obligation under 49 CFR 18.40(a) to 

monitor project activities carried out by the 

SIB and its subrecipients to assure 

compliance with applicable Federal 

requirements. 

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[FR Doc. 04–23871 Filed 10–25–04; 8:45 am] 

BILLING CODE 4910–57–C


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