APPLICATION UNDER

SMALL COMMUNITY AIR SERVICE DEVELOPMENT PROGRAM

DOCKET DOT-OST-2014-0133 

SUMMARY INFORMATION1

All applicants must submit this Summary Information schedule, as the application 

coversheet, a completed standard form SF424 and the full application proposal on 

www.grants.gov. 

For your preparation convenience, this Summary Information schedule is located at 

http://www.dot.gov/policy/aviation-policy/small-community-rural-air-service/SCASDP

A. PROVIDE THE LEGAL SPONSOR AND ITS DUN AND BRADSTREET (D&B) DATA UNIVERSAL 

NUMBERING SYSTEM (DUNS) NUMBER, INCLUDING +4, EMPLOYEE IDENTIFICATION NUMBER 

(EIN) OR TAX ID.

Legal Sponsor Name: 

Name of Signatory Party for Legal Sponsor:

DUNS Number:

EIN/Tax ID:

B. LIST THE NAME OF THE COMMUNITY OR CONSORTIUM OF COMMUNITIES APPLYING: 

1.____________________________________________________ 

2.____________________________________________________ 

3.____________________________________________________ 

4.____________________________________________________ 

C. PROVIDE THE FULL AIRPORT NAME AND 3-LETTER IATA AIRPORT CODE FOR THE 

APPLICANT(S) AIRPORT(S) (ONLY PROVIDE CODES FOR THE AIRPORT(S) THAT ARE ACTUALLY 

SEEKING SERVICE).

1. 2.

3. 4.

 

1 Note that the Summary Information does not count against the 20-page limit of the SCASDP application.

Enter Y or N

Gemstone Homes & Properties Eric F Davis 827881330 270922326 Air Community Service Development (ACSD) Dekalb-Peachtree Airport - PDK
DOES THE AIRPORT SEEKING SERVICE HOLD AN AIRPORT OPERATING CERTIFICATE ISSUED BY 

THE FEDERAL AVIATION ADMINISTRATION UNDER 14 CFR PART 139? (IF “NO”, PLEASE 

EXPLAIN WHETHER THE AIRPORT INTENDS TO APPLY FOR A CERTIFICATE OR WHETHER AN 

APPLICATION UNDER PART 139 IS PENDING.) 

Yes No (explain)

______________________________________________________________________________

______________________________________________________________________________ 

D. LIST THE 2-DIGIT CONGRESSIONAL DISTRICT CODE APPLICABLE TO THE SPONSORING 

ORGANIZATION, AND IF A CONSORTIUM, TO EACH PARTICIPATING COMMUNITY.

1. 2.

3. 4.

E. APPLICANT INFORMATION: (CHECK ALL THAT APPLY) 

Not a Consortium Interstate Consortium Intrastate Consortium

Community currently receives subsidized Essential Air Service

Community (or Consortium member) previously received a Small Community Air 

Service Development Program Grant

If previous recipient: Provide year of grant(s):_______________________________; and, 

the text of the grant agreement section(s) setting forth the scope of the grant project:

_________________________________________________________________________ 

_________________________________________________________________________ 

_________________________________________________________________________ 

_________________________________________________________________________ 

_________________________________________________________________________ 

F. PUBLIC/PRIVATE PARTNERSHIPS: (LIST ORGANIZATION NAMES) 

PUBLIC PRIVATE

1. 1.

2. 2.

3. 3.

4. 4.

5. 5.

✔

Intends to apply, if not applicable.

✔

04 N/a Dekalb County Priority Jet
G. PROJECT PROPOSAL:

 1. GRANT GOALS: (CHECK ALL THAT APPLY) 

Launch New Carrier Secure Additional Service Upgrade Aircraft

First Service New Route Service Restoration

Regional Service Surface Transportation Professional Services2

Other (explain below)

2. FINANCIAL TOOLS TO BE USED: (CHECK ALL THAT APPLY) 

Marketing (including Advertising): promotion of the air service to the public 

Start-up Cost Offset: offsetting expenses to assist an air service provider in setting up a 

new station and starting new service (for example, ticket counter reconfiguration)

Revenue Guarantee: an agreement with an air service provider setting forth a minimum 

guaranteed profit margin, a portion of which is eligible for reimbursement by the 

community 

Recruitment of Air Carrier: air service development activities to recruit new air service, 

including expenses for airport marketers to meet with air service providers to make the 

case for new air service

Fee Waivers: waiver of airport fees, such as landing fees, to encourage new air service; 

counted as in-kind contributions only 

Ground Handling Fee: reimbursement of expenses for passenger, cabin, and ramp (below 

wing) services provided by third party ground handlers 

Travel Bank: travel pledges, or deposited monetary funds, from participating parties for 

the purchase of air travel on an air carrier, with defined procedures for the subsequent use 

of the pledges or the deposited funds; counted as in-kind contributions only 

 

2 “Professional Services” involve a community contracting with a firm to produce a product such as a marketing 

plan, study, air carrier proposal, etc.

✔

✔

✔

✔

✔

✔

✔

✔ ✔

✔

Launch New Carrier First Service Surface Transportation to Secure Additional Service 

covering Professional Services Regional Service New Route Service Restoration

✔

✔

✔

✔

✔

✔

✔
Other (explain below) 

______________________________________________________________________________ 

______________________________________________________________________________ 

H. EXISTING LANDING AIDS AT LOCAL AIRPORT: 

Full ILS Outer/Middle Marker Published Instrument Approach 

Localizer Other (specify)

I. PROJECT COST: DO NOT ENTER TEXT IN SHADED AREA

LINE DESCRIPTION SUB TOTAL TOTAL AMOUNT

1 Federal amount requested

2 State cash financial contribution

Local cash financial contribution

3a Airport cash funds

3b Non-airport cash funds

3 Total local cash funds (3a + 3b)

4 TOTAL CASH FUNDING (1+2+3)

In-Kind contribution

5a Airport In-Kind contribution**

5b Other In-Kind contribution**

5 TOTAL IN-KIND CONTRIBUTION 

(5a + 5b) 

6 TOTAL PROJECT COST (4+5)

J. IN-KIND CONTRIBUTIONS**

For funds in lines 5a (Airport In-Kind contribution) and 5b (Other In-Kind contribution), please 

describe the source(s) of fund(s) and the value ($) of each.

✔ ✔

✔

✔

Enter Y or N

7,000,000 4,375,000 0

-4,375,000 -4375000 0

-4,375,000 8,750,000

4,375,000

0

Marketing $625,000.00 

Start-Up Costs $625,000.00 

Revenue Guarantee $625,000.00 

Recruitment Air Carrier $625,000.00 

Fee Waivers $625,000.00 

Ground Handling Fee $625,000.00 

Travel Bank $625,000.00 

Launch New Carrier $875,000.00 

First Service $875,000.00 

Regional Service $875,000.00 

Secure Additional Services $875,000.00 

NRt$87500000 
K. IS THIS APPLICATION SUBJECT TO REVIEW BY AN AFFECTED STATE UNDER EXECUTIVE 

ORDER 12372 PROCESS? 

a. This application was made available to the State under the Executive Order 12372 

Process for review on (date) _____________. 

b. Program is subject to E.O. 12372, but has not been selected by the State for review.

c. Program is not covered by E.O. 12372. 

L. IS THE LEAD APPLICANT OR ANY CO-APPLICANTS DELINQUENT ON ANY FEDERAL DEBT?

(IF “YES”, PROVIDE EXPLANATION) 

No Yes (explain)

______________________________________________________________________________

______________________________________________________________________________ 

APPLICATION CHECKLIST

INCLUDED? ITEM

For Immediate Action

Determine Eligibility

New Grants.gov users must register with www.grants.gov.

Existing Grants.gov users must verify existing www.grants.gov account has not expired 

and the Authorized Organization Representative (AOR) is current.

For Submission by 5:00 PM EDT on July 31, 2014

Communities with active SCASDP grants: notify DOT/X50 of intent to terminate 

existing grant in order to be eligible for selection in FY2014 

Complete Application for Federal Domestic Assistance (SF424) via www.grants.gov

Summary Information schedule complete and used as cover sheet (see Appendix B)

Application of up to 20 one-sided pages (excluding any letters from the 

community or an air carrier showing support for the application), to include:

• A description of the community’s air service needs or deficiencies.

• A strategic plan for meeting those needs under the Small Community Program.

• A detailed description of the funding necessary for implementation of the 

community's project. 

• An explanation of how the proposed project differs from any previous projects 

for which the community received SCASDP funds (if applicable). 

• Designation of a legal sponsor responsible for administering the program.

• A motion for confidential treatment (if applicable) – see Appendix D below.

✔

✔

Enter Y or N

Y

Y

N

Y

Y

Y

Y

Y

Y

N

Y

N

 ERIC F DAVIS
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

CFDA 20.930

THE AIR COMMUNITY SERVICE DEVELOPMENT (ACSD)

BUDGET DESCRIPTION

(This Budget Narrative is the justification of how a line item helps to meet the project) 

A. Project Personnel - Total: $875,000.00

Project Director (1) currently oversees the program and will spend 100% 

of their project time locating and supervising technique training.

The Project Director salary is $291,666.66 and will be covering 12 months 

during the CFDA 20.930 Program.

Project Investigator (1) will spend 100% of their project time assisting the 

Program Project Director in all CFDA 20.930 Program endeavors to 

accomplish the Program guidelines. The Project Investigator salary is 

$291,666.66 and will be covering 12 months during the CFDA 20.930 

Program. 

Project Key Personnel (1) will spend 100% of their project time assisting the 

Program Project Investigator and Project Director in all CFDA 20.930 

Program endeavors to accomplish the Program guidelines. The Project Key 

Personnel salary is $291,666.66 and will be covering 12 month during the 

CFDA 20.930 Program.

B. Fringe Benefit - Total: $875,000.00

Health Insurance cost for Project Director is $75.00 x 12 months = $900.00

Financial Transaction Collateral Development under this CFDA 84.133 Project 

GHP BUDGET DESCRIPTION 1 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

will attain in the local community to continue their impairment air education 

in the area of impairment technique for 12 months x $25,000.00 = $350,000.00; 

$17,500.00 Pension 12 month spend able interest.

Personnel Excise Tax under this 20.930 Project will be paid in the State of 

Georgia is 28,571.4285714 grams x $3.50/gram = $100,000.00

Personnel Pension Benefit under this CFDA 20.930 Project will attain in to 

continue their financial education in the area of everyday technique sciences for 

12 months x $25,000.00 = $350,000.00; $17,500.00 Pension spend able 12 

month interest.

Other Personnel Benefit for 12 months x $6,250.00 = $75,000.00

C. Project Travel - Total: $875,000.00

The Personnel is expected to travel inside the earth to visit sites, attend 

meetings and entertainment, visit, carrier, etc. Reimbursable rate shall not apply. 

Surface Transportation Purchasing costs for Project Director is $18,229.1666667 

x 12 months = $218,750.00

Surface Transportation Travel Insurance costs for Project Director is 

$18,229.1666667 x 12 months = $218,750.00

Airline Seat Purchasing costs for Project Director is $18,229.1666667 x 12 

months = $218,750.00

Cruise Line Room Purchasing costs for Project Director is $0.00 x 12 months = 

GHP BUDGET DESCRIPTION 2 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

$0.00

Fuel purchases costs for Project Director is $18,229.1666667 x 12 months = 

$218,750.00; 24,305.5555556 gallons of fuel.

Travel Fuel purchases are reimbursable in those taxable credits in the amount of 

$0.183 in Form 4136. Travel Mileage are reimbursable in those amounts up to 

$0.565 cents per mile x minimum 18,750 miles = $-10,593.75 taxable 

credits with fifteen (15) miles per gallon at $4.00 per gallon in Surface 

Transportation. State Air Travel Mileage are reimbursable in those amounts up to 

$1.29 per mile x minimum 285,000 miles = $-367,650.00 taxable credits with five

(5) miles per gallon at $9.00 per gallon in air transport.

D. Equipment - Total: $875,000.00

Computer Package Total - $109,375.00

One computer package including printer, scanner, and office diskette 

programs will be purchased. This computer package will be based as the 

administrative office and will be used to develop and maintain the Project 

Director databases in addition to performing administrative work connected to 

this CFDA 20.930 Project.

Phone & Internet Service is $9,114.58333333 x 12 months = $109,375.00

This phone and internet service is needed to stay connected to funding 

sources, cost sharers, collaborators, techniques, and personnel.

GHP BUDGET DESCRIPTION 3 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

Travel Vehicle Maintenance & Repair is $9,114.58333333 x 12 months = 

$109,375.00

One travel package including mobile vehicle and vehicle accessories will be 

purchased. This transportation package will be based as the Project Director 

travel and will be used to develop and maintain the development technique of 

the Project Director formal database(s) in addition to Project Principal 

Investigator performing administrative work connected to this CFDA 20.930 

Project.

Travel Communication Service is $9,114.58333333 x 12 months = $109,375.00

Travel phone package including service connection will be purchased. 

The travel phone package will be used to send requests to the Project Director 

and for the Project Director communication(s). 

Site Location Property is $9,114.58333333 x 12 months = $109,375.00

One residential daily living property enclosed space package that may include 

annuities as private bedroom space, private bathroom space, food preparation 

space, etc.

Site Location Inventory is $9,114.58333333 x 12 months = $109,375.00

One inventory package is furniture, fixtures, and travel accessories.

Site Location Utilities is $9,114.58333333 x 12 months = $109,375.00

One utilities package including electrical, gas, water, trash, food, and efficient 

GHP BUDGET DESCRIPTION 4 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

accessories will be purchased. This package will be based as the utilities and

will be used to develop and maintain the development technique of the Project,

in addition to Project Principal Investigator performing administrative work 

connected to this CFDA 20.930 Project under utilities.

Site Location Insurance is $9,114.58333333 x 12 months = $109,375.00

One rental insurance package includes insuring efficient accessories inventory 

that will be purchased. This package may be based as rental insurance or the 

homeowner insurance, or both and will be used to maintain the development 

technique of the Project, in addition to use from performing administrative work 

connected to this CFDA 20.930 Project.

E. Supplies - Total: $875,000.00

Office Supplies is $10,41.6666667 x 12 months = $ 125,000.00

To provide fax, file folders, printer paper, ink, toner, staples, envelopes, etc. 

Meeting Supplies is $10,416.6666667 x 12 months = $125,000.00

To provide supplies for administrative meetings, workshops, etc.

Janitorial Service & Supplies is $10,416.6666667 x 12 months = $125,000.00

To provide cleaning, cleaning service, bathroom and toiletry supplies.

Flex Funds is $10,416.6666667 x 12 months = $125,000.00

To provide financial support to provide clothing, grooming, etc.

Postage is $10, 416.6666667 x 12 months = $125,000.00

GHP BUDGET DESCRIPTION 5 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

To provide mailing, postage, shipping, handling, delivery, etc.

Foods & Snacks is $10,416.6666667 x 12 months = $125,000.00

To provide meals at administrative meetings, workshops, etc.

Medical Supplies is $10,416.6666667 x 12 months = $125,000.00

First-aid kit will be purchased in case of a medical emergency.

F. Contractual - Total: $875,000.00

Project Contractual area contractual is $72,916.6666667 x 12 months = 

$875,000.00

Charter 250 Project Director Charter Rental is $3,500.00 x 250 hours = 

$875,000.00

One minimum 250 hour charter area air service package including worldwide

air area rental is necessary from the site location to provide the services and 

activities for the Project and to the CFDA 20.930 Project cost of space.

G. Construction - Total: $875,000.00

Project Construction area construction is $72,916.6666667 x 12 months = 

$875,000.00

One Project construction technology to enhance grant dollar inside the grant 

to grantee area in transportation to correct air service impairment servicing; 

in addition adding up to 250 hours air charter package purchase.

H. Other - Total: $5,250,000.00

GHP BUDGET DESCRIPTION 6 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

I. Project Total Direct Cost - Total: $11,375,000.00

J. Project Funding - Total: $7,000,000.00

The indicated amount of outright funds that is requested from USDOT is 

Seven Million U.S. Dollars $7,000,000.00 for 12 months.

K. Indirect Cost - Total: $-4,375,000.00

Complies with 34 CFR 76.564(c)(2) and the Restricted Indirect Cost Rate is 

Eight (8.00%) percent. Maximum payment on Indirect Costs are $350,000.00 

per annual year; Nontaxable Pension.

L. Project Training Stipends - Total: $0.00

Director Training Stipend is $0.00 x 12 months = $0.00

To provide educational techniques for Personnel professional development.

M. Non-Federal Funds - Total: $0.00

“Third-party” contributions included on that Section C Budget Summary.

N. Total Project Cost - Total: $7,000,000.00

Total Project Total Costs; Annually/Yearly, there in up to Three (3) annual years 

with a Four (4) term of Three (3) annual years.

O. Total Indirect Cost - Total:$-4,375,000.00

Total Indirect Total Annual Cost; Annually/Yearly; $-4,375,000.00

GHP BUDGET DESCRIPTION 7 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

CFDA 20.930

THE AIR COMMUNITY SERVICE DEVELOPMENT (ACSD)

BUDGET DESCRIPTION

(This Budget Narrative is the justification of how a line item helps to meet the project) 

A. Project Personnel - Total: $2,625,000.00

Project Director (1) currently oversees the program and will spend 100% 

of their project time locating and supervising technique training.

The Project Director salary is $874,999.98 and will be covering 36 months 

during the CFDA 20.930 Program.

Project Investigator (1) will spend 100% of their project time assisting the 

Program Project Director in all CFDA 20.930 Program endeavors to 

accomplish the Program guidelines. The Project Investigator salary is 

$874,999.98 and will be covering 36 months during the CFDA 20.930 

Program. 

Project Key Personnel (1) will spend 100% of their project time assisting the 

Program Project Investigator and Project Director in all CFDA 20.930 

Program endeavors to accomplish the Program guidelines. The Project Key 

Personnel salary is $874,999.98 and will be covering 36 month during the 

CFDA 20.930 Program.

B. Fringe Benefit - Total: $2,625,000.00

Health Insurance cost for Project Director is $75.00 x 36 months = $2,700.00

Financial Transaction Collateral Development under this CFDA 84.133 Project 

GHP BUDGET DESCRIPTION 1 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

will attain in the local community to continue their impairment air education 

in the area of impairment technique for 36 months x $25,000.00 = $1,050,000.00; 

$52,500.00 Pension 36 month spend able interest.

Personnel Excise Tax under this 20.930 Project will be paid in the State of 

Georgia is 85,714.2857142 grams x $3.50/gram = $300,000.00

Personnel Pension Benefit under this CFDA 20.930 Project will attain in to 

continue their financial education in the area of everyday technique sciences for 

36 months x $25,000.00 = $1,050,000.00; $52,500.00 Pension spend able 36 

month interest.

Other Personnel Benefit for 36 months x $6,250.00 = $225,000.00

C. Project Travel - Total: $2,625,000.00

The Personnel is expected to travel inside the earth to visit sites, attend 

meetings and entertainment, visit, carrier, etc. Reimbursable rate shall not apply. 

Surface Transportation Purchasing costs for Project Director is $18,229.1666667 

x 36 months = $656,250.00

Surface Transportation Travel Insurance costs for Project Director is 

$18,229.1666667 x 36 months = $656,250.00

Airline Seat Purchasing costs for Project Director is $18,229.1666667 x 36 

months = $656,250.00

Cruise Line Room Purchasing costs for Project Director is $0.00 x 36 months = 

GHP BUDGET DESCRIPTION 2 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

$0.00

Fuel purchases costs for Project Director is $18,229.1666667 x 36 months = 

$656,250.00; 72,916.6666668 gallons of fuel.

Travel Fuel purchases are reimbursable in those taxable credits in the amount of 

$0.183 in Form 4136. Travel Mileage are reimbursable in those amounts up to 

$0.565 cents per mile x minimum 56,250 miles = $-31,781.25 taxable 

credits with fifteen (15) miles per gallon at $4.00 per gallon in Surface 

Transportation. State Air Travel Mileage are reimbursable in those amounts up 

to $1.29 per mile x minimum 855,000 miles = $-1,102,950.00 taxable credits with

five (5) miles per gallon at $9.00 per gallon in air transport.

D. Equipment - Total: $2,625,000.00

Computer Package Total - $328,125.00

One computer package including printer, scanner, and office diskette 

programs will be purchased. This computer package will be based as the 

administrative office and will be used to develop and maintain the Project 

Director databases in addition to performing administrative work connected to 

this CFDA 20.930 Project.

Phone & Internet Service is $9,114.58333333 x 36 months = $328,125.00

This phone and internet service is needed to stay connected to funding 

sources, cost sharers, collaborators, techniques, and personnel.

GHP BUDGET DESCRIPTION 3 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

Travel Vehicle Maintenance & Repair is $9,114.58333333 x 36 months = 

$328,125.00

One travel package including mobile vehicle and vehicle accessories will be 

purchased. This transportation package will be based as the Project Director 

travel and will be used to develop and maintain the development technique of 

the Project Director formal database(s) in addition to Project Principal 

Investigator performing administrative work connected to this CFDA 20.930 

Project.

Travel Communication Service is $9,114.58333333 x 36 months = $328,125.00

Travel phone package including service connection will be purchased. 

The travel phone package will be used to send requests to the Project Director 

and for the Project Director communication(s). 

Site Location Property is $9,114.58333333 x 36 months = $328,125.00

One office and residential daily living property enclosed space package that 

may include annuities as private bedroom space, private bathroom space, food 

preparation space, etc.

Site Location Inventory is $9,114.58333333 x 36 months = $328,125.00

One inventory package is furniture, fixtures, and travel accessories.

Site Location Utilities is $9,114.58333333 x 36 months = $328,125.00

One utilities package including electrical, gas, water, trash, food, and efficient 

GHP BUDGET DESCRIPTION 4 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

accessories will be purchased. This package will be based as the utilities and

will be used to develop and maintain the development technique of the Project,

in addition to Project Principal Investigator performing administrative work 

connected to this CFDA 20.930 Project under utilities.

Site Location Insurance is $9,114.58333333 x 36 months = $328,125.00

One rental insurance package includes insuring efficient accessories inventory 

that will be purchased. This package may be based as rental insurance or the 

homeowner insurance, or both and will be used to maintain the development 

technique of the Project, in addition to use from performing administrative work 

connected to this CFDA 20.930 Project.

E. Supplies - Total: $2,625,000.00

Office Supplies is $10,41.6666667 x 36 months = $ 375,000.00

To provide fax, file folders, printer paper, ink, toner, staples, envelopes, etc. 

Meeting Supplies is $10,416.6666667 x 36 months = $375,000.00

To provide supplies for administrative meetings, workshops, etc.

Janitorial Service & Supplies is $10,416.6666667 x 36 months = $375,000.00

To provide cleaning, cleaning service, bathroom and toiletry supplies.

Flex Funds is $10,416.6666667 x 36 months = $375,000.00

To provide financial support to provide clothing, grooming, etc.

Postage is $10, 416.6666667 x 36 months = $375,000.00

GHP BUDGET DESCRIPTION 5 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

To provide mailing, postage, shipping, handling, delivery, etc.

Foods & Snacks is $10,416.6666667 x 36 months = $375,000.00

To provide meals at administrative meetings, workshops, etc.

Medical Supplies is $10,416.6666667 x 36 months = $375,000.00

First-aid kit will be purchased in case of a medical emergency.

F. Contractual - Total: $2,625,000.00

Project Contractual area contractual is $72,916.6666667 x 36 months = 

$2,625,000.00

Charter 250 Project Director Charter Rental is $3,500.00 x 750 hours = 

$2,625,000.00

One minimum 750 hour charter area air service package including worldwide

air area rental is necessary from the site location to provide the services and 

activities for the Project and to the CFDA 20.930 Project cost of space.

G. Construction - Total: $2,625,000.00

Project Construction area construction is $72,916.6666667 x 36 months = 

$2,625,000.00

One Project construction technology to enhance grant dollar inside the grant 

to grantee area in transportation to correct air service impairment servicing; 

in addition adding up to 750 hours air charter package purchase.

H. Other - Total: $15,750,000.00

GHP BUDGET DESCRIPTION 6 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

I. Project Total Direct Cost - Total: $34,125,000.00

J. Project Funding - Total: $21,000,000.00

The indicated amount of outright funds that is requested from USDOT is 

Twenty-One Million U.S. Dollars $21,000,000.00 for 36 months.

K. Indirect Cost - Total: $-13,125,000.00

Complies with 34 CFR 76.564(c)(2) and the Restricted Indirect Cost Rate is 

Eight (8.00%) percent. Maximum payment on Indirect Costs are $1,050,000.00 

per annual year; Nontaxable Pension.

L. Project Training Stipends - Total: $0.00

Director Training Stipend is $0.00 x 36 months = $0.00

To provide educational techniques for Personnel professional development.

M. Non-Federal Funds - Total: $0.00

“Third-party” contributions included on that Section C Budget Summary.

N. Total Project Cost - Total: $21,000,000.00

Total Project Total Costs; Annually/Yearly, there in up to Three (3) annual years 

with a Four (4) term of Three (3) annual years.

O. Total Indirect Cost - Total:$-13,125,000.00

Total Indirect Total Annual Cost; Annually/Yearly; $-13,125,000.00

GHP BUDGET DESCRIPTION 7 of 7
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

Eric Felton Davis

Project Director

Gemstone Homes & Properties

gemstonehomesproperties@hotmail.com

1877 Clark Drive, Suite 1877

Tucker Georgia 30084-6539

(678) 542-4980 Phone

(770) 939-2964 Fax

06 July 2014

United States Department of Transportation

USDOT

1200 New Jersey Avenue, SE W86-307

Washington District of Columbia 20590

U.S. Department of Transportation,

LETTER OF INTENTION

CFDA 20.930

THE AIR COMMUNITY SERVICE DEPARTMENT (ACSD)

MINORITY NON-PROFIT SERVING COMMUNITIES

DOT-OST-2014-0113

GHP LETTER OF INTENT 1 of 4
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

In intention to apply, this letter has been prepared by the Project Director Eric Felton Davis 

of Applicant Gemstone Homes & Properties to announce its priority intention to apply to Alan 

Armstrong Attorney-At-Law, www.alanarmstronglaw.com that trusted name in aviation law 

in practice for 35 years in request for application for Gemstone Homes & Properties project 

title Air Community Service Development (ACSD). 

These development techniques, strategies and research from development is a programmed 

organization project focusing on supporting air service education development where the 

impaired national area have the potential for remarkable accomplishments in air service 

development strategy technique. The (ACSD) project thereto The Rehabilitation Act of 1973 

will help U.S. Office of Personal Management Form SF-256 individual impaired develop 

necessary development skills and techniques, such as improved development research, current 

moment literacy, and in the development, remove, replace, and correct the air service education 

of that air service impairment thereto under The Higher Education Act of 1965. While the 

project development strategies and goals are to develop the next generation technique from Form

SF-256 impairment, by participating in the (ACSD) program, project and demonstrations. The 

Air Community Service Development (ACSD) will help the Air service development develop 

necessary skills and discover techniques, such as in improved air service development literacy 

in current moment air transportation education. The mission of Air Community Service 

Development (ACSD) is to support U.S. Office of Personal Management Form SF-256, The 

Rehabilitation Act of 1973, and The Higher Education Act of 1965, in continent area district 

GHP LETTER OF INTENT 2 of 4
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

and help impaired to become responsible citizens in their owned air community. Also the 

mission of the (ACSD) project is focused on technical and functional competence in all air 

communities, financial economics, service development, community independence, and 

transportation learning credentials in the development state travel expense research, and 

transport financial sciences development that are within any daily everyday means.

Our Air Community Service Development (ACSD) project will in application before July 31st, 

2014 request Seven Million U.S. Dollars $7,000,000.00 for a period of three (1) annual year, 

open to a four (4) three (1) annual terms continuation revision, and will address priority in air 

service education impairment economics development in everyday communities. 

Through the support of Department of Transportation (USDOT), it will advance the development

into knowledge of (ACSD) in both fundamental technique and applied strategy sciences 

important to development research that enhance the quality of life for society individual, public 

and private partners, county government, state government as a whole. 

With Department of Transportation (USDOT) generous support, the Air Community Service 

Development (ACSD) project will be able to commence and increase the project air development

in service developing, everyday communities, air service research demonstration developments, 

financial economics, hours, and access to necessary aviation project programming. The grant 

funding support will allow (ACSD) to avoid inflation in employment layoff under the Applicant 

and improve the ability to serve constantly taxable revenue residents.

Please send any documents and any additional materials to the Project Director at the address 

GHP LETTER OF INTENT 3 of 4
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

listed above. In herein listing to any conflict of interest due to involvement in proposal 

development and involvement in Form SF-256 in name of the staff key individual, Eric Davis 

having development techniques , here for technologies to enhance educational development 

independence in health life daily function for communities.

Other realization of interest conflict could commence by application to CFDA 20.930

The Air Community Service Development (ACSD) project has enacted Section 427 of General 

Education Provisions Act (GEPA) as part of the Improving America School Act of 1994. We 

hope to find through Grants.gov our application, in through, the full grant review cycle and look 

forward to receiving in more detail U.S. Department of Education (USDOE) responses regarding

Air Community Service Development (ACSD) project.

Sincerely,

ERIC F. DAVIS

Eric Felton Davis

Project Director

An Enhancement Non Profit

GHP LETTER OF INTENT 4 of 4
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

CFDA 20.930

THE AIR COMMUNITY SERVICE DEVELOPMENT (ACSD)

PROJECT DESCRIPTION

The Project areas most likely affected by this CFDA 20.930 project is Georgia, in there most 

likely within the Counties of DeKalb and Fulton, in which DeKalb created in 1822 

incorporated Fulton in that year of 1853. The capitol city county seat of DeKalb is Decatur 

and the capitol city county seat of Fulton is Atlanta, as Atlanta is the capitol of Georgia. 

DeKalb County is included in the five-county core of the Atlanta metropolitan statistical area. 

It is the third-most-populated county in the state and is historically ranked second behind Fulton 

County. It is the most diverse county in Georgia, is a primarily a suburban county, and is the 

second-most affluent county with an African-American majority in the United States. However, 

DeKalb County communities with a majority African-American population tend to fall below 

the county’s median income, in which this CFDA 20.930 grant shall subside that information 

in to change median income level and to help with program project funding to those median 

income levels of its counter partner communities with majority white populations.

In 2009, DeKalb earned the Atlanta Regional Commission's "Green Communities" designation 

for its efforts in conserving energy, water and fuel; investing in renewable energy; reducing 

waste; and protecting and restoring natural resources in the communities. These County will 

become part of ACSD that will demonstrate the scope of what to achieve, integrity as a noun. 

These Counties with integrity conduct have detailed in demonstration, goals and planned 

achievements of the County to accept ACSD projects. 

In these Counties thereby this Project integrity conduct responsibilities, the lobbied

GHP PROJECT DESCRIPTION 1 of 2
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

SubAwardee individual will address the cost, social, organizational, group and individual 

factors that affect development researching in person and persons in these Counties, both more 

so positively than negatively. The ACSD project within development demonstration will 

produce clear evidence in solving development problem area community development standards,

self-regulation, practice norms, and non-adherence accepted codes of conduct, as solutions to 

these County areas responsible development problems. These areas is subject to the provisions 

of the goal planned achievements in the SF424A Budget moral and ethical principals to develop 

developmental moral character and honesty. The ACSD Budget in demonstration will 

uncompromisingly develop the return of the development and soundness in its entirety, in the 

same development demonstration, it will preserve honor in the areas responsible for development

to that unimpaired condition leaving those impaired development conditions.

In being additional to that 4th Congressional District location, these additional Congressional 

Districts shall apply to DeKalb and Fulton Counties known as DeKalb County - 5th / 6th / 13th

and Fulton County - 5th / 6th / 13th. The following additional Congressional Districts shall apply 

in for traveling purchase purposes including transporting in transportation through and to other 

Congressional Districts outside of, all the Congressional Districts referenced herein as known 

as 1st / 2nd / 3rd / 7th / 8th / 9th / 10th / 11th / 12th. 

The ACSD community air need this grant to enhance further the air services to the 

communities located in this county districts to incorporate income for the community air 

Partners during the grant period.

GHP PROJECT DESCRIPTION 2 of 2
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

CFDA 20.930

THE AIR COMMUNITY SERVICE DEVELOPMENT (ACSD)

PROJECT PLAN

This Project Plan is the part of the ACSD Project proposal that demonstrates the scope of 

what to achieve, technique strategy. This responsible ACSD Project within conduct will detail 

the development demonstration technology, goal and planned enhancement achievement of the 

ACSD Project. In ACSD conduct responsibilities, the lobbied Awardee will address the social 

air services, organizational airport services, group air service, and air services impairment factors

that affect products and persons, both more so positively than negatively. The ACSD Project in 

development air service impairment demonstration will produce clear evidence in solving 

development air service impairment problem areas in everyday standards, self-regulation, 

practice norms, and non-adherence accepted codes of conduct, as solutions to these responsible 

air service impairment problems. This project is subject to the provisions of its goal planned 

achievement in the Budget Plan moral and ethical principals to accomplish again development 

moral character, and trust in the air during service. The ACSD Project Budget Plan in 

development service will uncompromisingly continue to enhance trust and soundness in its 

entirety to the community, National Metal of Science Bachelor Degree, in the title Bachelor of 

Science document, to the name of Eric Felton Davis, in the medal title National Metal of 

Science; a National Science Foundation medal, to the name of Eric Felton Davis, Program, in the

same air service development demonstration, preserving honor with this impaired air responsible

development demonstrations to that unimpaired air service condition from impaired air service 

conditions.

GHP PROJECT PLAN 1 of 2
GEMSTONE HOMES & PROPERTIES

1877 CLARK DRIVE, SUITE 1877

TUCKER GEORGIA 30084-6539

CAGE CODE 62DZ8

Air - adj. 1. Of or pertaining to aircraft or to aviation.

Service - adj. 1. Of service use providing authorizing or guaranteeing service.

Community - noun. 1. A group of people who reside in a specific locality, share government, 

and often have a common culture and historical heritage, a social, 

religious, occupational, or other group sharing common characteristics or 

interests, joint enjoyment.

Development -noun. 1. The raising of funds, expansion of activities, or opportunities for an 

organization of foundation.

GHP PROJECT PLAN 2 of 2
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

PREFACE

Except as the Federal Transit Administration (FTA or We) determines otherwise in 

writing, before FTA may award Federal transit assistance (funding or funds) to support a 

public transportation Project, an Authorized Representative (You) of the Project sponsor 

(Applicant) must select certain Certifications and Assurances required by Federal law or 

regulation. The Authorized Representative must be duly authorized by the Applicant to, 

among other things, sign these Certifications and Assurances and bind the Applicant’s 

compliance. You, as the Authorized Representative, must select all Certifications and 

Assurances required of your Applicant (or it) to support its applications for FTA funding 

during Federal fiscal year (FY) 2014.

We request that you read each Certification and Assurance and select those that will 

apply to all Projects for which your Applicant might seek FTA funding. As required by 

Federal law and regulation, only if you select adequate Certifications and Assurances on 

your Applicant’s behalf, may FTA award Federal funding for its Project.

We have consolidated our Certifications and Assurances into twenty-four (24) Groups. At 

a minimum, you must select the Assurances in Group 01 on your Applicant’s behalf. If 

your Applicant requests more than $100,000, you must also select the “Lobbying”

Certification in Group 02, unless it is an Indian tribe or organization or a tribal 

organization. Depending on the nature of your Applicant and its Project, you may also 

need to select some Certifications and Assurances in Groups 03 through 24. However, 

instead of selecting individual Groups of Certifications and Assurances, you may make a 

single selection that will encompass all twenty-four (24) Groups of Certifications and 

Assurances that apply to all our programs. 

FTA, your Applicant, and you understand and agree that not every provision of these 

twenty-four (24) Groups of Certifications and Assurances will apply to every Applicant 

or every Project FTA funds even if you make a single selection encompassing all twentyfour (24) Groups. Nor will every provision of all Certifications and Assurances within a 

single Group apply if that provision does not apply to your Applicant or its Project. The 

type of Project and Applicant will determine which Certifications and Assurances apply. 

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participant(s) to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

If your Applicant is a team, a consortium, a joint venture, or a partnership, it 

understands and agrees that you must identify the activities each member will perform 

and the extent to which each member will be responsible for compliance with the 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Certifications and Assurances you select on its behalf, except as FTA determines 

otherwise in writing. 

It is important that your Applicant and You also understand that these Certifications and 

Assurances are pre-award requirements, generally imposed by Federal law or 

regulation, and do not include all Federal requirements that may apply to it or its 

Project. Our FTA Master Agreement MA(20) for Federal FY 2014, available at 

http://www.fta.dot.gov, contains a list of most of those requirements.

We expect You to submit your Applicant’s FY 2014 Certifications and Assurances and its 

applications for funding in TEAM-Web. You must be registered in TEAM-Web to submit 

the FTA FY 2014 Certifications and Assurances on its behalf. 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) Groups of Certifications 

and Assurances and a designated field for selecting all twenty-four (24) Groups of 

Certifications and Assurances. If FTA agrees that you cannot submit your Applicant’s

FY 2014 Certifications and Assurances electronically, you must submit the Signature 

Page(s) in Appendix A of this Notice, as FTA directs, marked to show the Groups of 

Certifications and Assurances it is submitting.

Be aware that these Certifications and Assurances have been prepared in light of:

• FTA’s latest authorization legislation, Moving Ahead for Progress in the 21st 

Century Act (MAP-21), Pub. L. 112-141, June 6, 2012,

• The Continuing Appropriations Act, 2014, Pub. L. 113-46, October 17, 2013,

• The Consolidated and Further Continuing Appropriations Act, 2013, Pub. L. 113-6,

March 26, 2013,

• The Continuing Appropriations Resolution, 2013 (CR), Pub. L. 112-175, 

September 28, 2012, and

• FTA’s authorizing legislation in effect in FY 2012 or a previous fiscal year, except as 

superseded by MAP-21 cross-cutting requirements that apply.

With certain exceptions, Projects financed in FY 2014 with funds appropriated or made 

available for FY 2012 or a previous fiscal year must be in compliance with the 

requirements for that type of Project in effect during the fiscal year for which the funding 

was derived, except as superseded by MAP-21 cross-cutting requirements that apply.

GROUP 01. REQUIRED CERTIFICATIONS AND ASSURANCES

FOR EACH APPLICANT.

Before FTA may provide funding for your Applicant’s Project, in addition to any other 

Certifications and Assurances that you must select on behalf of your Applicant, you must 

also select the Certifications and Assurances in Group 01, except as FTA determines 

otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications and Assurances in Group 01 that does not apply will 

not be enforced.

1.A. Assurance of Authority of the Applicant and Its Authorized Representative.

You certify that both you, as your Applicant’s Authorized Representative, and your 

Applicant’s attorney, who is authorized to represent the Applicant in legal matters, who 

sign these Certifications, Assurances, and Agreements, may undertake the following 

activities on its behalf, in compliance with applicable State, local, or Indian tribal laws

and regulations, and its by-laws or internal rules:

1. Execute and file its application for Federal funds,

2. Execute and file its Certifications, Assurances, and Agreements binding its 

compliance, 

3. Execute Grant Agreements or Cooperative Agreements, or both, with FTA, 

4. Comply with applicable Federal laws and regulations, and

5. Follow applicable Federal guidance.

1.B. Standard Assurances.

On behalf of your Applicant, you assure that it understands and agrees to the following:

1. It will comply with all applicable Federal statutes and regulations to carry out any 

FTA funded Project, 

2. It is under a continuing obligation to comply with the terms and conditions of the 

FTA Grant Agreement or Cooperative Agreement for its Project, including the FTA 

Master Agreement incorporated by reference and made part of the latest amendment 

to that Grant Agreement or Cooperative Agreement, 

3. It recognizes that Federal laws and regulations may be amended from time to time 

and those amendments may affect Project implementation, 

4. It understands that Presidential executive orders and Federal guidance, including 

Federal policies and program guidance, may be issued concerning matters affecting it 

or its Project, 

5. It agrees that the most recent Federal laws, regulations, and guidance will apply to its

Project, except as FTA determines otherwise in writing,

6. In light of recent FTA legislation applicable to FTA, except as FTA determines 

otherwise in writing, it agrees that requirements for FTA programs may vary 

depending on the fiscal year for which the funding for those programs was 

appropriated:

a. In some instances, FTA has determined that Federal statutory or regulatory 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

program and eligibility requirements for FY 2012 or a specific previous fiscal 

year, except as superseded by applicable MAP-21 cross-cutting requirements, 

apply to:

(1) New grants and cooperative agreements, and 

(2) New amendments to grants and cooperative agreements that:

(a) Have been awarded Federal funds appropriated or made available for 

FY 2012 or the previous fiscal year, or

(b) May be awarded Federal funds appropriated or made available for 

FY 2012 or the previous fiscal year, but

b. In other instances, FTA has determined that MAP-21 will apply to the Federal 

funds appropriated or made available for FY 2012 or a previous fiscal year, and

c. For all FTA funded Projects, the following MAP-21 cross-cutting requirements 

supersede conflicting provisions of previous Federal law and regulations:

(1) Metropolitan and Statewide and Nonmetropolitan Transportation Planning,

(2) Environmental Review Process,

(3) Public Transportation Agency Safety Plans,

(4) Transit Asset Management Provisions (and Asset Inventory and Condition 

Reporting),

(5) Costs Incurred by Providers of Public Transportation by Vanpool,

(6) Revenue Bonds as Local Match,

(7) Debt Service Reserve,

(8) Government’s Share of Cost of Vehicles, Vehicle-Equipment, and Facilities 

for ADA and Clean Air Act Compliance,

(9) Private Sector Participation,

(10) Bus Testing,

(11) Buy America,

(12) Corridor Preservation,

(13) Rail Car Procurements,

(14) Veterans Preference/Employment,

(15) Alcohol and Controlled Substance Testing, and 

(16) Other provisions as FTA may determine.1

1.C. Intergovernmental Review Assurance.

(The assurance in Group 01.C does not apply to an Indian tribe, an Indian organization 

or a tribal organization that applies for funding made available for FTA’s Tribal Transit 

Programs authorized by 49 U.S.C. 5311(c)(1).

As required by U.S. Department of Transportation (U.S. DOT) regulations, 

“Intergovernmental Review of Department of Transportation Programs and Activities,” 

49 CFR part 17, on behalf of your Applicant, you assure that your Applicant has 

 1 More information about these matters appears in the Federal Transit Administration, “Notice of FTA 

Transit Program Changes, Authorized Funding Levels and Implementation of the Moving Ahead for 

Progress in the 21st Century Act (MAP-21) and FTA FY 2013 Apportionments, Allocations, Program 

Information and Interim Guidance,” 77 Fed. Reg. 663670, Oct. 16, 2012.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

submitted or will submit each application for Federal funding to the appropriate State and 

local agencies for intergovernmental review, to facilitate compliance with those 

regulations.

1.D. Nondiscrimination Assurance.

On behalf of your Applicant, you assure that:

1. It will comply with the following laws and regulations so that no person in the United 

States will be denied the benefits of, or otherwise be subjected to, discrimination in 

any U.S. DOT or FTA funded program or activity (particularly in the level and 

quality of transportation services and transportation-related benefits) on the basis of 

race, color, national origin, religion, sex, disability, or age:

a. Federal transit laws, specifically 49 U.S.C. 5332(prohibiting discrimination on the 

basis of race, color, religion, national origin, sex, disability, age, employment, or 

business opportunity),

b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, 

c. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq., 

d. The Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 

et seq.,

e. U.S. DOT regulations, “Nondiscrimination in Federally-Assisted Programs of the 

Department of Transportation-Effectuation of Title VI of the Civil Rights Act of 

1964,” 49 CFR part 21,

f. U.S. DOT regulations, specifically 49 CFR parts 27, 37, 38, and 39, and

g. Any other applicable Federal statutes that may be signed into law or Federal 

regulations that may be promulgated, 

2. It will comply with Federal guidance implementing Federal nondiscrimination laws 

and regulations, except to the extent FTA determines otherwise in writing,

3. As required by 49 CFR 21.7:

a. It will comply with 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 in the 

manner:

(1) It conducts each Project,

(2) It undertakes property acquisitions, and

(3) It operates its Project facilities, including:

(a) Its entire facilities, and

(b) Its facilities operated in connection with its Project,

b. This assurance applies to its entire Project and to all parts of its facilities, 

including the facilities it operates to implement its Project, 

c. It will promptly take the necessary actions to carry out this assurance, including:

(1) Notifying the public that discrimination complaints about transportationrelated services or benefits may be filed with U.S. DOT or FTA, and

(2) Submitting information about its compliance with these provisions to 

U.S. DOT or FTA upon their request, 

d. If it transfers FTA funded real property, structures, or improvements to another 

party, any deeds and instruments recording that transfer will contain a covenant 

running with the land assuring nondiscrimination:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

(1) While the property is used for the purpose that the Federal funding is 

extended, and

(2) While the property is used for another purpose involving the provision of 

similar services or benefits,

e. The United States has a right to seek judicial enforcement of any matter arising 

under:

(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, 

(2) U.S. DOT regulations, 49 CFR part 21, and 

(3) This assurance,

f. It will make any changes in its Title VI implementing procedures, as U.S. DOT or 

FTA may request, to comply with:

(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, 

(2) U.S. DOT regulations, 49 CFR part 21, and 

(3) Federal transit laws, 49 U.S.C. 5332,

g. It will comply with Federal guidance issued to implement Federal 

nondiscrimination requirements, except as FTA determines otherwise in writing,

h. It will extend the requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR 

part 21 to each Third Party Participant, including any:

(1) Subrecipient, 

(2) Transferee, 

(3) Third Party Contractor or Subcontractor at any tier, 

(4) Successor in Interest, 

(5) Lessee, or 

(6) Other participant in its Project, except FTA and the Applicant (that later 

becomes the Recipient),

i. It will include adequate provisions to extend the requirements of 49 U.S.C. 5332, 

42 U.S.C. 2000d, and 49 CFR part 21 to each third party agreement, including

each:

(1) Subagreement at any tier, 

(2) Property transfer agreement, 

(3) Third party contract or subcontract at any tier, 

(4) Lease, or

(5) Participation agreement, and

j. The assurances you have made on its behalf remain in effect as long as FTA 

determines appropriate, including, for example, as long as:

(1) Federal funding is extended to its Project, 

(2) Its Project property is used for a purpose for which the Federal funding is 

extended, 

(3) Its Project property is used for a purpose involving the provision of similar 

services or benefits, 

(4) It retains ownership or possession of its Project property, or

(5) FTA may otherwise determine in writing, and

4. As required by U.S. DOT regulations, “Nondiscrimination on the Basis of Handicap 

in Programs and Activities Receiving or Benefiting from Federal Financial 

Assistance,” 49 CFR part 27, specifically 49 CFR 27.9, and consistent with 49 U.S.C. 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

5307(c)(1)(D)(ii), you assure that:

a. It will comply with the following prohibitions against discrimination on the basis 

of disability listed in Group1.D.4.b below, of which compliance is a condition of 

approval or extension of any FTA funding awarded to:

(1) Construct any facility, 

(2) Obtain any rolling stock or other equipment, 

(3) Undertake studies, 

(4) Conduct research, or 

(5) Participate in or obtain any benefit from any FTA administered program, and

b. In any program or activity receiving or benefiting from Federal funding that 

U.S. DOT administers, no qualified people with a disability will, because of their 

disability, be:

(1) Excluded from participation, 

(2) Denied benefits, or 

(3) Otherwise subjected to discrimination. 

1.E. Suspension and Debarment Certification.

On behalf of your Applicant, you certify that:

1. It will comply and facilitate compliance with U.S. DOT regulations, 

“Nonprocurement Suspension and Debarment,” 2 CFR part 1200, which adopts and 

supplements the U.S. Office of Management and Budget (U.S. OMB) “Guidelines to 

Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” 

2 CFR part 180,

2. To the best of its knowledge and belief, that its Principals and Subrecipients at the 

first tier:

a. Are eligible to participate in covered transactions of any Federal department or 

agency and are not presently: 

(1) Debarred, 

(2) Suspended, 

(3) Proposed for debarment, 

(4) Declared ineligible, 

(5) Voluntarily excluded, or 

(6) Disqualified,

b. Its management has 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:

(1) 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, 

(2) Violation of any Federal or State antitrust statute, or 

(3) Commission of embezzlement, theft, forgery, bribery, falsification or 

destruction of records, making any false statement, or receiving stolen 

property,

c. It is not presently indicted for, or otherwise criminally or civilly charged by a 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

governmental entity (Federal, State, or local) with commission of any of the 

offenses listed in the preceding subsection 1.E.2.b of this Certification,

d. It has not had one or more public transactions (Federal, State, or local) terminated 

for cause or default within a three-year period preceding this Certification,

e. If, at a later time, it receives any information that contradicts the statements of 

subsections 2.a – 2.d above, it will promptly provide that information to FTA, 

f. It will treat each lower tier contract or lower tier subcontract under its Project as a 

covered lower tier contract for purposes of 2 CFR part 1200 and 2 CFR part 180 if 

it:

(1) Equals or exceeds $25,000, 

(2) Is for audit services, or 

(3) Requires the consent of a Federal official, and

g. It will require that each covered lower tier contractor and subcontractor:

(1) Comply and facilitate compliance with the Federal requirements of 2 CFR 

parts 180 and 1200, and 

(2) Assure that each lower tier participant in its Project is not presently declared 

by any Federal department or agency to be:

(a) Debarred from participation in its federally funded Project, 

(b) Suspended from participation in its federally funded Project, 

(c) Proposed for debarment from participation in its federally funded 

Project, 

(d) Declared ineligible to participate in its federally funded Project, 

(e) Voluntarily excluded from participation in its federally funded Project, 

or 

(f) Disqualified from participation in its federally funded Project, and

3. It will provide a written explanation as indicated on a page attached in FTA’s TEAMWeb or the Signature Page if it or any of its principals, including any of its first tier 

Subrecipients or its Third Party Participants at a lower tier, is unable to certify 

compliance with the preceding statements in this Certification Group 01.E. 

1.F. U.S. OMB Assurances in SF-424B and SF-424D.

The assurances in Group 01.F are consistent with the U.S. OMB assurances required in 

the U.S. OMB SF-424B and SF-424D, updated as necessary to reflect changes in Federal 

laws and regulations.

1. Administrative Activities. On behalf of your Applicant, you assure that:

a. For every Project described in any application it submits, it has adequate 

resources to properly plan, manage, and complete its Project, including the:

(1) Legal authority to apply for Federal funding, 

(2) Institutional capability,

(3) Managerial capability, and

(4) Financial capability (including funds sufficient to pay the non-Federal share 

of Project cost),

b. It will give limited access and the right to examine Project-related materials to 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

entities or individuals, as required, including, but not limited to the:

(1) FTA, 

(2) The Comptroller General of the United States, and

(3) State, through an authorized representative, if appropriate,

c. It will establish a proper accounting system in accordance with generally accepted 

accounting standards or FTA guidance, and

d. It will establish safeguards to prohibit employees from using their positions for a 

purpose that results in:

(1) A personal or organizational conflict of interest, or personal gain, or

(2) The appearance of a personal or organizational conflict of interest or personal 

gain,

2. Project Specifics. On behalf of your Applicant, you assure that:

a. Following receipt of an FTA award, it will begin and complete Project work 

within the time periods that apply,

b. For FTA funded construction Projects: 

(1) It will comply with FTA provisions concerning the drafting, review, and 

approval of construction plans and specifications,

(2) It will provide and maintain competent and adequate engineering supervision 

at the construction site to assure that the completed work conforms with the 

approved plans and specifications,

(3) It will include a covenant to assure nondiscrimination during the useful life 

of its Project in its title to federally funded real property, 

(4) To the extent FTA requires, it will record the Federal interest in the title to 

FTA funded real property or interests in real property, and

(5) It will not alter the site of the FTA funded construction Project or facilities

without permission or instructions from FTA by:

(a) Disposing of the underlying real property or other interest in the site and 

facilities, 

(b) Modifying the use of the underlying real property or other interest in the 

site and facilities, or 

(c) Changing the terms of the underlying real property title or other interest 

in the site and facilities, and

c. It will furnish progress reports and other information as FTA or the State may 

require, and

3. Statutory and Regulatory requirements. On behalf of your Applicant, you assure that:

a. It will comply with all Federal statutes relating to nondiscrimination that apply,

including, but not limited to:

(1) The prohibitions against discrimination on the basis of race, color, or national 

origin, as provided in Title VI of the Civil Rights Act, 42 U.S.C. 2000d, 

(2) The prohibitions against discrimination on the basis of sex, as provided in:

(a) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 

1681 – 1683, and 1685 – 1687, and 

(b) U.S. DOT regulations, “Nondiscrimination on the Basis of Sex in 

Education Programs or Activities Receiving Federal Financial 

Assistance,” 49 CFR part 25, 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

(3) The prohibitions against discrimination on the basis of age in federally 

funded programs, as provided in the Age Discrimination Act of 1975, as 

amended, 42 U.S.C. 6101 – 6107, 

(4) The prohibitions against discrimination on the basis of disability in federally 

funded programs, as provided in section 504 of the Rehabilitation Act 

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

(5) The prohibitions against discrimination on the basis of disability, as provided 

in the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 

et seq.,

(6) The prohibitions against discrimination in the sale, rental, or financing of 

housing, as provided in Title VIII of the Civil Rights Act, 42 U.S.C. 3601 

et seq., 

(7) The prohibitions against discrimination on the basis of drug abuse, as 

provided in the Drug Abuse Office and Treatment Act of 1972, as amended, 

21 U.S.C. 1101 et seq., 

(8) The prohibitions against discrimination on the basis of alcohol abuse, as 

provided in the Comprehensive Alcohol Abuse and Alcoholism Prevention 

Act of 1970, as amended, 42 U.S.C. 4541 et seq.,

(9) The confidentiality requirements for records of alcohol and drug abuse 

patients, as provided in the Public Health Service Act, as amended, 42 U.S.C.

290dd – 290dd-2, and 

(10) The nondiscrimination provisions of any other statute(s) that may apply to its

Project,

b. As provided by the Uniform Relocation Assistance and Real Property Acquisition 

Policies Act of 1970, as amended (Uniform Relocation Act), 42 U.S.C. 4601 

et seq., and 49 U.S.C. 5323(b), regardless of whether Federal funding has been 

provided for any of the real property acquired for Project purposes:

(1) It will provide for fair and equitable treatment of displaced persons or 

persons whose property is acquired as a result of federally funded programs, 

and

(2) It has the necessary legal authority under State and local laws and regulations

to comply with:

(a) The Uniform Relocation Act. 42 U.S.C. 4601 et seq., as specified by 

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

(b) U.S. DOT regulations, “Uniform Relocation Assistance and Real 

Property Acquisition for Federal and Federally Assisted Programs,” 49 

CFR part 24, specifically 49 CFR 24.4, and

(3) It has complied with or will comply with the Uniform Relocation Act and 

implementing U.S. DOT regulations because:

(a) It will adequately inform each affected person of the benefits, policies, 

and procedures provided for in 49 CFR part 24,

(b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part 24, if 

an FTA funded Project results in displacement, it will provide fair and 

reasonable relocation payments and assistance to:

1 Displaced families or individuals, and
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

2 Displaced Partnerships, corporations, or associations,

(c) As provided by 42 U.S.C. 4625 and 49 CFR part 24, it will provide 

relocation assistance programs offering the services described in the 

U.S. DOT regulations to such displaced:

1 Families and individuals, and

2 Partnerships, corporations, or associations,

(d) As required by 42 U.S.C. 4625(c)(3), within a reasonable time before 

displacement, it will make available comparable replacement dwellings 

to families and individuals, 

(e) It will:

1 Carry out the relocation process to provide displaced persons with 

uniform and consistent services, and 

2 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) It will be guided by the real property acquisition policies of 42 U.S.C. 

4651 and 4652,

(g) It will pay or reimburse property owners for their necessary expenses as 

specified in 42 U.S.C. 4653 and 4654, understanding that FTA will 

provide Federal funding for its eligible costs for providing payments for 

those expenses, as required by 42 U.S.C. 4631,

(h) It will execute the necessary implementing amendments to FTA funded 

third party contracts and subagreements, 

(i) It will execute, furnish, and be bound by such additional documents as 

FTA may determine necessary to effectuate or implement these 

assurances, 

(j) It will incorporate these assurances by reference into and make them a 

part of any third party contract or subagreement, or any amendments 

thereto, relating to any FTA funded Project involving relocation or land 

acquisition, and 

(k) It will provide in any affected document that these relocation and land 

acquisition provisions must supersede any conflicting provisions,

c. It will comply with the Lead-Based Paint Poisoning Prevention Act, specifically 

42 U.S.C. 4831(b), which prohibits the use of lead-based paint in the construction 

or rehabilitation of residence structures,

d. It will, to the extent applicable, comply with the protections for human subjects 

involved in research, development, and related activities supported by Federal 

funding of:

(1) The National Research Act, as amended, 42 U.S.C. 289 et seq., and 

(2) U.S. DOT regulations, “Protection of Human Subjects,” 49 CFR part 11, 

e. It will, to the extent applicable, comply with the labor standards and protections 

for federally funded Projects of: 

(1) The Davis-Bacon Act, as amended, 40 U.S.C. 3141 – 3144, 3146, and 3147, 

(2) Sections 1 and 2 of the Copeland “Anti-Kickback” Act, as amended, 

18 U.S.C. 874, and 40 U.S.C. 3145, respectively, and
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

(3) The Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 

3701 et seq.,

f. It will comply with any applicable environmental standards that may be 

prescribed to implement Federal laws and executive orders, including, but not 

limited to:

(l) Following the 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,

(2) Following the notification of violating facilities provisions of Executive 

Order No. 11738, 42 U.S.C. 7606 note,

(3) Following the protection of wetlands provisions of Executive Order 

No. 11990, 42 U.S.C. 4321 note,

(4) Following the evaluation of flood hazards in floodplains provisions of

Executive Order No. 11988, 42 U.S.C. 4321 note,

(5) Complying with the assurance of Project consistency with the approved State 

management program developed pursuant to the Coastal Zone Management 

Act of 1972, as amended, 16 U.S.C. 1451 – 1465, 

(6) Complying with the Conformity of Federal Actions to State (Clean Air) 

Implementation Plans requirements under section 176(c) of the Clean Air Act 

of 1955, as amended, 42 U.S.C. 7401 – 7671q,

(7) Complying with the protections for underground sources of drinking water 

under the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f –

300j-6,

(8) Complying with the protections for endangered species under the Endangered 

Species Act of 1973, as amended, 16 U.S.C. 1531 – 1544, 

(9) Complying with the 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,

(10) Complying with the protections for 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

(11) Complying with and facilitating compliance with:

(a) Section 106 of the National Historic Preservation Act of 1966, as 

amended, 16 U.S.C. 470f, 

(b) The Archaeological and Historic Preservation Act of 1974, as amended, 

16 U.S.C. 469 – 469c, and

(c) Executive Order No. 11593 (identification and protection of historic 

properties), 16 U.S.C. 470 note,

g. To the extent applicable, comply with the following Federal requirements for the 

care, handling, and treatment of warmblooded animals held or used for research, 

teaching, or other activities supported by Federal funding:

(1) The Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and

(2) U.S. Department of Agriculture regulations, “Animal Welfare,” 9 CFR 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

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

h. To the extent applicable, obtain a certificate of compliance with the seismic 

design and construction requirements of U.S. DOT regulations, “Seismic Safety,” 

49 CFR part 41, specifically 49 CFR 41.117(d), before accepting delivery of any 

FTA funded building,

i. Comply with, and assure that its Subrecipients located in special flood hazard 

areas comply with, section 102(a) of the Flood Disaster Protection Act of 1973, as 

amended, 42 U.S.C. 4012a(a), by:

(1) Participating in the Federal flood insurance program, and

(2) Purchasing flood insurance if the total cost of insurable construction and 

acquisition is $10,000 or more,

j. Comply with:

(1) The Hatch Act, 5 U.S.C. 1501 – 1508, 7324 – 7326, which limits 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, 

and 

(2) 49 U.S.C. 5323(l)(2) and 23 U.S.C. 142(g), which provide an exception from 

Hatch Act restrictions for a nonsupervisory employee of a public 

transportation system (or of any other agency or entity performing related 

functions) receiving FTA funding appropriated or made available for

49 U.S.C. chapter 53 and 23 U.S.C. 142(a)(2) to whom the Hatch Act does 

not otherwise apply,

k. Perform the financial and compliance audits as required by the:

(1) Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et seq., 

(2) U.S. OMB Circular A-133, “Audits of States, Local Governments, and NonProfit Organizations,” Revised, and

(3) Most recent applicable U.S. OMB A-133 Compliance Supplement provisions 

for the U.S. DOT, 

l. Comply with all other Federal laws or regulations that apply, and 

m. Follow Federal guidance governing it and its Project, except to the extent that 

FTA has expressly approved otherwise in writing.

GROUP 02. LOBBYING.

Before FTA may provide funding for a Federal grant or cooperative agreement 

exceeding $100,000 or a Federal loan, line of credit, loan guarantee, or loan insurance 

exceeding $150,000, in addition to other Certifications and Assurances you must select

on your Applicant’s behalf, you must also select the Lobbying Certifications in Group 02, 

unless your Applicant is an Indian Tribe exempt from the requirements of 31 U.S.C. 1352 

or FTA determines otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 02 that does not apply will not be enforced.

On behalf of your Applicant, you certify that:

1. As required by 31 U.S.C. 1352 and U.S. DOT regulations, “New Restrictions on 

Lobbying,” specifically 49 CFR 20.110:

a. The lobbying restrictions of this Certification apply to its requests:

(1) For $100,000 or more in Federal funding for a grant or cooperative agreement, 

and

(2) For $150,000 or more in Federal funding for a loan, line of credit, or loan 

guarantee, and

b. Your Certification on its behalf applies to the lobbying activities of:

(1) It,

(2) Its Principals, and 

(3) Its Subrecipients at the first tier,

2. To the best of your knowledge and belief:

a. No Federal appropriated funds have been or will be paid by or on its behalf to any 

person to influence or attempt to influence:

(1) An officer or employee of any Federal agency regarding the award of a:

(a) Federal grant or cooperative agreement, or 

(b) Federal loan, line of credit, loan guarantee, or loan insurance, and

(2) A Member of Congress, an employee of a member of Congress, or an officer 

or employee of Congress regarding the award of a:

(a) Federal grant or cooperative agreement, or 

(b) Federal loan, line of credit, loan guarantee, or loan insurance,

b. It will submit a complete OMB Standard Form LLL (Rev. 7-97), “Disclosure of 

Lobbying Activities,” consistent with its instructions, if any funds other than 

Federal appropriated funds have been or will be paid to any person to influence or 

attempt to influence:

(1) An officer or employee of any Federal agency regarding the award of a:

(a) Federal grant or cooperative agreement, or 

(b) Federal loan, line of credit, loan guarantee, or loan insurance, and

(2) A Member of Congress, an employee of a member of Congress, or an officer 

or employee of Congress regarding the award of a:

(a) Federal grant or cooperative agreement, or 

(b) Federal loan, line of credit, loan guarantee, or loan insurance, and

c. It will include the language of this Certification in the award documents for all 

subawards at all tiers, including, but not limited to: 

(1) Third party contracts,

(2) Subcontracts, 

(3) Subagreements, and 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

(4) Other third party agreements under a: 

(a) Federal grant or cooperative agreement, or 

(b) Federal loan, line of credit, loan guarantee, or loan insurance, 

3. It understands that:

a. This Certification is a material representation of fact that the Federal government 

relies on, and 

b. It must submit this Certification before the Federal government may award 

funding for a transaction covered by 31 U.S.C. 1352, including a:

(1) Federal grant or cooperative agreement, or

(2) Federal loan, line of credit, loan guarantee, or loan insurance, and

4. It also understands that any person who does not file a required Certification will 

incur a civil penalty of not less than $10,000 and not more than $100,000 for each 

such failure.

GROUP 03. PROCUREMENT AND PROCUREMENT SYSTEMS. 

We request that you select the Procurement and Procurement Systems Certification in 

Group 03 on behalf of your Applicant, especially if it is a State, local, or Indian tribal 

government with a certified procurement system, as provided in 49 CFR 18.36(g)(3)(ii). 

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certification in Group 03 that does not apply will not be enforced.

On behalf of your Applicant, you certify that its procurements and its procurement 

system will comply with all Federal laws and regulations in accordance with applicable 

Federal guidance, except to the extent FTA has approved otherwise in writing. 

GROUP 04. PRIVATE SECTOR PROTECTIONS.

Before FTA may provide funding for a Project that involves the acquisition of public 

transportation property or operation of public transportation facilities or equipment, in 

addition to other Certifications you must select on your Applicant’s behalf, you must also 

select the Private Property Protections Assurances in Group 04.A and enter into the 

Agreements in Group 04.B and Group 04.C on behalf of your Applicant, except as FTA 

determines otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Assurances and Agreements in Group 04 that does not apply will not 

be enforced.

4.A. Private Property Protections. 

If your Applicant is a State, local government, or Indian tribal government and seeks 

FTA funding to acquire the property of a private transit operator or operate public 

transportation in competition with or in addition to a public transportation operator, the 

Private Property Protections Assurances in Group 04.A apply to your Applicant, except 

as FTA determines otherwise in writing.

To facilitate FTA’s ability to make the findings required by 49 U.S.C. 5323(a)(1), on 

behalf of your Applicant, you assure that:

1. It has or will have:

a. Determined that the funding 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 laws to the company for any franchise 

or property acquired, and

2. It has completed the actions described in Group 4.A.1 of this Certification before it:

a. Acquires the property or an interest in the property of a private provider of public 

transportation, or 

b. Operates public transportation equipment or facilities:

(1) In competition with transportation service provided by an existing public 

transportation operator, or 

(2) In addition to transportation service provided by an existing public 

transportation operator. 

4.B. Charter Service Agreement.

If your Applicant seeks FTA funding to acquire or operate transit facilities or equipment, 

the Charter Service Agreement in Group 04.B applies to your Applicant, except as FTA 

determines otherwise in writing.

To comply with 49 U.S.C. 5323(d) and (g) and FTA regulations, “Charter Service,” 

49 CFR part 604, specifically 49 CFR 604.4, on behalf of your Applicant, you are 

entering into the following Charter Service Agreement:

1. FTA’s “Charter Service” regulations apply as follows:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

a. FTA’s Charter Service regulations restrict transportation by charter service using 

facilities and equipment acquired by Recipients of FTA funding for transportation 

Projects with Federal funding derived from:

(1) Federal transit laws, 49 U.S.C. chapter 53, 

(2) 23 U.S.C. 133 or 142, or

(3) Any other Act that provides Federal public transportation assistance, unless 

otherwise excepted,

b. FTA’s charter service restrictions extend to:

(1) Your Applicant, when it becomes a Recipient of Federal funding 

appropriated or made available for:

(a) Federal transit laws, 49 U.S.C. chapter 53, 

(b) 23 U.S.C. 133 or 142, or

(c) Any other Act that provides Federal public transportation assistance,

unless otherwise excepted, and

(2) Any Third Party Participant that receives Federal funding derived from:

(a) Federal transit laws, 49 U.S.C. chapter 53, 

(b) 23 U.S.C. 133 or 142, or

(c) Any other Act that provides Federal public transportation assistance, 

unless otherwise excepted,

c. A Third Party Participant includes any:

(1) Subrecipient at any tier,

(2) Lessee,

(3) Third Party Contractor or Subcontractor at any Tier, and

(4) Other Third Party Participant in its Project,

d. You and your Applicant agree that neither it nor any governmental authority or 

publicly owned operator that receives Federal public transportation assistance 

appropriated or made available for its Project will engage in charter service 

operations, except as permitted under:

(1) Federal transit laws, specifically 49 U.S.C. 5323(d) and (g),

(2) FTA regulations, “Charter Service,” 49 CFR part 604, to the extent consistent 

with 49 U.S.C. 5323(d) and (g),

(3) Any other Federal Charter Service regulations, or 

(4) Federal guidance, except as FTA determines otherwise in writing, 

e. You and your Applicant agree that the latest Charter Service Agreement it has 

selected in its latest annual Certifications and Assurances is incorporated by 

reference in and made part of the underlying Agreement accompanying an award 

of FTA funding, and 

f. You and your Applicant agree that:

(1) FTA may require corrective measures or impose remedies on it or any 

governmental authority or publicly owned operator that receives FTA 

funding appropriated or made available for its Project that has engaged in a 

pattern of violations of FTA’s Charter Service regulations by: 

(a) Conducting charter operations prohibited by Federal transit laws and 

FTA’s Charter Service regulations, or

(b) Otherwise violating its Charter Service Agreement it has elected in its 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

latest annual Certifications and Assurances, and

(2) These corrective measures and remedies may include:

(a) Barring it or any Third Party Participant operating public transportation 

under the Project that has provided prohibited charter service from 

receiving FTA funds, 

(b) Withholding an amount of Federal funds as provided by Appendix D to 

FTA’s Charter Service regulations, or

(c) Any other appropriate remedy that may apply, and

2. In addition to the exceptions to the charter service restrictions in FTA’s Charter 

Service Regulations, FTA has established the following additional exceptions to those 

restrictions:

a. FTA’s Charter Service restrictions do not apply to your Applicant if it seeks

funding appropriated or made available for 49 U.S.C. 5307 and 5311, to be used 

for Job Access and Reverse Commute (JARC) activities that would have been 

eligible for assistance under repealed 49 U.S.C. 5316 in effect in FY 2012 or a 

previous fiscal year, provided that it uses that FTA funding for those program 

purposes only,

b. FTA’s Charter Service restrictions do not apply to your Applicant if it seeks

funding appropriated or made available for 49 U.S.C. 5310, to be used for New 

Freedom activities that would have been eligible for assistance under repealed

49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year, provided it uses that 

FTA funding for those program purposes only, and

c. An Applicant for assistance under 49 U.S.C. chapter 53 will not be determined to 

have violated the FTA Charter Service regulations if that Recipient provides a 

private intercity or charter transportation operator reasonable access to that 

Recipient’s federally funded public transportation facilities, including intermodal 

facilities, park and ride lots, and bus-only highway lanes, as provided in 49 U.S.C. 

5323(r).

4.C. School Bus Agreement.

If your Applicant seeks FTA funding to acquire or operate transit facilities or equipment, 

the School Bus Agreement in Group 04.C applies to your Applicant, except as FTA 

determines otherwise in writing.

To comply with 49 U.S.C. 5323(f) and (g) and FTA regulations, “School Bus 

Operations,” 49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(f) and (g), on 

behalf of your Applicant, you are entering into the following School Bus Agreement:

1. FTA’s “School Bus Operations” regulations restrict school bus operations using 

facilities and equipment acquired with Federal funding derived from:

a. Federal transit laws, 49 U.S.C. chapter 53, 

b. 23 U.S.C. 133 or 142, or

c. Any other Act that provides Federal public transportation assistance, unless 

otherwise excepted,

2. FTA’s school bus operations restrictions extend to:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

a. Your Applicant, when it becomes a Recipient of Federal funding appropriated or 

made available for:

(1) Federal transit laws, 49 U.S.C. chapter 53, 

(2) 23 U.S.C. 133 or 142, or

(3) Any other Act that provides Federal public transportation assistance, unless 

otherwise excepted, and

b. Any Third Party Participant that receives Federal funding derived from:

(1) Federal transit laws, 49 U.S.C. chapter 53, 

(2) 23 U.S.C. 133 or 142, or

(3) Any other Act that provides Federal public transportation assistance, unless 

otherwise excepted,

3. A Third Party Participant includes any:

a. Subrecipient at any tier, 

b. Lessee,

c. Third Party Contractor or Subcontractor at any tier, and

d. Other Third Party Participant in the Project,

4. You and your Applicant agree, and will obtain the agreement of any Third Party 

Participant involved in your Applicant’s Project, that it will not engage in school bus 

operations in competition with private operators of school buses, except as permitted 

under:

a. Federal transit laws, specifically 49 U.S.C. 5323(f) and (g),

b. FTA regulations, “School Bus Operations,” 49 CFR part 605, to the extent 

consistent with 49 U.S.C. 5323(f) and (g),

c. Any other Federal School Bus regulations, or 

d. Federal guidance, except as FTA determines otherwise in writing, 

5. You and your Applicant agree that the latest School Bus Agreement you have

selected on its behalf in FTA’s latest annual Certifications and Assurances is 

incorporated by reference in and made part of the underlying Agreement 

accompanying an award of FTA funding, and

6. You and your Applicant agree that after it is a Recipient, if it or any Third Party 

Participant has violated this School Bus Agreement, FTA may:

a. Bar your Applicant or Third Party Participant from receiving further Federal 

transit funds, or

b. Require the Applicant or Third Party Participant to take such remedial measures 

as FTA considers appropriate.

GROUP 05. ROLLING STOCK REVIEWS AND BUS TESTING.

Before FTA may provide funding for a Project to acquire rolling stock for use in revenue 

service or to acquire a new bus model, in addition to other Certifications and Assurances 

you must select on your Applicant’s behalf, you must also select the Rolling Stock 

Reviews and Bus Testing Certifications in Group 05, except as FTA determines otherwise 

in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 05 that does not apply will not be enforced.

5.A. Rolling Stock Reviews.

If your Applicant seeks FTA funding to acquire rolling stock for use in revenue service, 

the Certifications in Group 05.A apply to your Applicant, except as FTA determines 

otherwise in writing.

On behalf of your Applicant, you certify that when procuring rolling stock for use in 

revenue service:

1. It will comply with:

a. Federal transit laws, specifically 49 U.S.C. 5323(m), and

b. FTA regulations, “Pre-Award and Post-Delivery Audits of Rolling Stock 

Purchases,” 49 CFR part 663, and 

2. As provided in 49 CFR 663.7:

a. It will conduct or cause to be conducted the required pre-award and post-delivery 

reviews, and 

b. It will maintain on file the Certifications required by 49 CFR part 663, subparts B, 

C, and D.

5.B. Bus Testing.

If your Applicant seeks FTA funding to acquire a new bus model, the Bus Testing 

Certifications in Group 05.B apply to your Applicant, except as FTA determines 

otherwise in writing.

On behalf of your Applicant, you certify that:

1. Bus Testing requirements apply to all acquisitions of new buses and new bus models 

that require bus testing, and it will comply with:

a. 49 U.S.C. 5318, and

b. FTA regulations, “Bus Testing,” 49 CFR part 665, to the extent these regulations 

are consistent with 49 U.S.C. 5318, 

2. As required by 49 CFR 665.7, when acquiring the first bus of any new bus model or a 

bus model with a major change in components or configuration:

a. It will not spend any Federal funds appropriated under 49 U.S.C. chapter 53 to 

acquire that bus until:

(1) That bus has been tested at FTA’s bus testing facility, and

(2) That bus has received a copy of the test report prepared on that new bus 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

model, and

b. It will not authorize final acceptance of the bus until:

(1) The bus has been tested at FTA’s bus testing facility, and

(2) It has received a copy of the test report prepared on that new bus model, 

3. It will ensure that the bus that is tested has met the performance standards consistent 

with those regulations, including:

a. Performance standards for:

(1) Maintainability, 

(2) Reliability, 

(3) Performance (including braking performance), 

(4) Structural integrity, 

(5) Fuel economy, 

(6) Emissions, and 

(7) Noise, and

b. Minimum safety performance standards established under 49 U.S.C. 5329, and

4. After FTA has issued regulations authorized by 49 U.S.C. 5318(e)(2), it will ensure 

that the bus that is tested has received a passing aggregate test score under the 

“Pass/Fail” standard established by regulation.

GROUP 06. DEMAND RESPONSIVE SERVICE.

If your Applicant is a public entity, operates demand responsive service, and seeks FTA 

funding to acquire a non-rail vehicle that is not accessible, before FTA may provide 

funding for that Project, in addition to other Certifications and Assurances you must 

select on your Applicant’s behalf, you must also select the Demand Responsive Service 

Certifications in Group 06, except as FTA determines otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 06 that does not apply will not be enforced.

As required by U.S. DOT regulations, “Transportation Services for Individuals with 

Disabilities (ADA),” 49 CFR part 37, specifically 49 CFR 37.77(d), on behalf of your 

Applicant, you certify that:

1. Your Applicant offers public transportation services equivalent in level and quality of 

service to:

a. Individuals with disabilities, including individuals who use wheelchairs, and

b. Individuals without disabilities, and

2. Viewed in its entirety, its service for individuals with disabilities is:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

a. Provided in the most integrated setting feasible, and

b. Equivalent to the service it offers individuals without disabilities with respect to: 

(1) Response time, 

(2) Fares, 

(3) Geographic service area, 

(4) Hours and days of service, 

(5) Restrictions on priorities based on trip purpose, 

(6) Availability of information and reservation capability, and 

(7) Constraints on capacity or service availability.

GROUP 07. INTELLIGENT TRANSPORTATION SYSTEMS. 

Before FTA may provide funding for an Intelligent Transportation Systems (ITS) Project 

or a Project in support of an ITS Project, in addition to other Certifications and 

Assurances you must select on your Applicant’s behalf, you must also select the 

Intelligent Transportation Systems Assurances in Group 07, except as FTA determines 

otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Assurances in Group 07 that does not apply will not be enforced.

On behalf of your Applicant, you and your Applicant:

1. Understand that, 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,” and

2. Assure that, as provided in 23 U.S.C. 517(d), any ITS Project it undertakes that is 

funded with appropriations made available from the Highway Trust Fund, including 

amounts made available to deploy ITS facilities or equipment, will conform to the 

appropriate regional ITS architecture, applicable standards, and protocols developed 

under 23 U.S.C. 517(a) or (c), unless it obtains a waiver as provided in 23 U.S.C. 

517(d)(2).

GROUP 08. INTEREST AND FINANCING COSTS AND ACQUISITION OF 

CAPITAL ASSETS BY LEASE.

Before FTA may provide funding appropriated or made available for 49 U.S.C. 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

chapter 53 to support interest or financing costs of any Project financed under the 

Urbanized Area Formula Grants Program, Fixed Guideway Capital Investment Grants 

Program, or another program as FTA may specify, or finance leasing costs, in addition 

to other Certifications and Assurances you must select on your Applicant’s behalf, you 

must also select the Certifications in Group 08, except as FTA may determine otherwise 

in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications and Assurances in Group 08 that does not apply will 

not be enforced.

8.A. Interest and Financing Costs.

If your Applicant intends to use FTA funding to support interest or other financing costs 

for Projects funded by the Urbanized Area Formula Grants Program, Fixed Guideway 

Capital Investment Grants Program, or another program as FTA may specify, the 

Interest and Financing Costs Certifications in Group 08.A apply to your Applicant, 

except as FTA determines otherwise in writing. 

On behalf of your Applicant, you certify that:

1. It will not seek reimbursement for interest or other financing costs unless:

a. It is eligible to receive Federal funding for those costs, and 

b. Its records demonstrate that it has shown reasonable diligence in seeking the most 

favorable financing terms, to the extent FTA may require, and 

2. It will comply with the same favorable financing cost provisions for:

a. Urbanized Area Formula Grants Projects,

b. Projects under Full Funding Grant Agreements,

c. Projects with Early Systems Work Agreements, 

d. Fixed Guideway Capital Investment Projects funded by previous FTA enabling 

legislation,

e. State of Good Repair Projects,

f. Bus and Bus Facilities Projects, and

g. Low or No Emission Vehicle Development Projects.

8.B. Acquisition of Capital Assets by Lease.

If your Applicant seeks FTA funding to acquire capital assets through a lease, the 

Acquisition of Capital Assets by Lease Certifications and Assurances in Group 08.B
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

applies to your Applicant, except as FTA determines otherwise in writing.

On behalf of your Applicant, you certify and assure that, as required by FTA regulations, 

“Capital Leases,” 49 CFR part 639, specifically 49 CFR 639.15(b)(1) and 49 CFR 

639.21, if your Applicant acquires any capital asset through a lease financed with Federal 

funding appropriated or made available for 49 U.S.C. chapter 53:

1. It will not use Federal funding appropriated or made available for public 

transportation projects eligible under 49 U.S.C. chapter 53 or any other applicable 

law to finance the cost of leasing any capital asset until:

a. It performs calculations demonstrating that leasing the capital asset would be 

more cost-effective than purchasing or constructing a similar asset, and 

b. It completes these calculations before the later of:

(1) Entering into the lease, or 

(2) Receiving a capital grant for the asset, and

2. It will not enter into a capital lease for which FTA can provide only incremental 

Federal funding unless it has adequate financial resources to meet its future lease 

obligations if Federal funding is not available.

GROUP 09. TRANSIT ASSET MANAGEMENT PLAN AND 

PUBLIC TRANSPORTATION AGENCY SAFETY PLAN.

Before FTA may provide funding appropriated or made available for 49 U.S.C. 

chapter 53 to support your Applicant’s Project, in addition to other Certifications and 

Assurances you must select on your Applicant’s behalf, you must also select the 

Certifications in Group 09, except as FTA determines otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 09 that does not apply will not be enforced.

9.A. Transit Asset Management Plan. 

If your Applicant applies for funding appropriated or made available for 49 U.S.C. 

chapter 53, the Transit Asset Management Certifications in Group 09.A apply to your 

Applicant, except as FTA determines otherwise in writing.

On behalf of your Applicant, you certify that it and each Subrecipient will:

1. Follow Federal guidance when issued that implements transit asset management 

system provisions of 49 U.S.C. 5326, except as FTA determines otherwise in writing, 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

and

2. Comply with the final Federal regulations when issued that implement the transit 

asset management provisions of 49 U.S.C. 5326.

9.B. Public Transportation Agency Safety Plan. 

If your Applicant applies for funding under 49 U.S.C. chapter 53 and it is a State 

government, local government, or any other operator of a public transportation system, 

the Public Transportation Safety Plan Certifications in Group 09.B apply to your 

Applicant, except as FTA determines otherwise in writing.

On behalf of your Applicant, you certify that it will:

1. Follow the Federal guidance, when issued, that will implement the safety plan 

provisions of 49 U.S.C. § 5329(d), except as FTA determines otherwise in writing, 

and

2. Comply with the final Federal regulations, when issued, that implement the safety 

plan requirements of 49 U.S.C. § 5329(d).

GROUP 10. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.

If your Applicant must comply with the alcohol and controlled substance testing 

requirements of 49 U.S.C. 5331 and its implementing regulations, before FTA may 

provide funding for your Applicant’s Project, in addition to other Certifications and 

Assurances you must select on your Applicant’s behalf, you must also select the 

Certifications in Group 10, except as FTA may determine otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 10 that does not apply will not be enforced.

As required by 49 U.S.C. 5331, and FTA regulations, “Prevention of Alcohol Misuse and 

Prohibited Drug Use in Transit Operations,” 49 CFR part 655, subpart I, specifically 49 

CFR 655.83, on behalf of your Applicant, including a State Applicant, and on behalf of 

its Subrecipients and Third Party Contractors, you certify that:

1. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing 

requirements apply have established and implemented:

a. An alcohol misuse testing program, and 

b. A controlled substance testing program,

2. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

requirements apply have complied or will comply with all applicable requirements of 

49 CFR part 655 to the extent those regulations are consistent with 49 U.S.C. 5331, 

and

3. Consistent with U.S. DOT Office of Drug and Alcohol Policy and Compliance 

Notice, issued October 22, 2009, if your Applicant, its Subrecipients, or Third Party 

Contractors to which these testing requirements apply reside in a State that permits 

marijuana use for medical or recreational purposes, your Applicant, its Subrecipients,

and Third Party Contractors to which these testing requirements apply have complied 

or will comply with the Federal controlled substance testing requirements of 49 CFR 

part 655.

GROUP 11. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS PROGRAM 

(NEW STARTS, SMALL STARTS, AND CORE CAPACITY) AND

CAPITAL INVESTMENT PROGRAM IN EFFECT BEFORE MAP-21.

The Certifications in Group 11 apply to the New Starts, Small Starts, or Core Capacity 

Programs, 49 U.S.C. 5309.

Before FTA may provide funding for your Applicant’s New Starts, Small Starts, or Core 

Capacity Project in addition to other Certifications and Assurances you must select on its 

behalf, you must also select the Certifications in Group 11, except as FTA may determine 

otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 11 that does not apply will not be enforced.

Except as FTA determines otherwise in writing, on behalf of your Applicant, you certify 

that:

1. It has or will have the following capabilities to carry out its proposed Project(s), 

including the safety and security aspects of the Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately, and

4. It will comply with:

a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

b. The Statewide and Nonmetropolitan Transportation Planning requirements of 

49 U.S.C. 5304.

GROUP 12. STATE OF GOOD REPAIR PROGRAM.

Certain Certifications and Assurances listed previously are required for the State of 

Good Repair Program funding under 49 U.S.C. 5337.

Before FTA may provide funding for your Applicant’s Project under the State of Good 

Repair Program, 49 U.S.C. 5337, for your Applicant’s Project, in addition to other 

Certifications and Assurances you must select on its behalf, you must also select the 

Certifications in Group 12, except as FTA determines otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Assurance in Group 12 that does not apply will not be enforced.

On behalf of your Applicant, you certify that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of the Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately, and

4. It will comply with:

a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and 

b. The Statewide and Nonmetropolitan Transportation Planning requirements of 

49 U.S.C. 5304.

GROUP 13. FIXED GUIDEWAY MODERNIZATION GRANT PROGRAM.

Before FTA may provide funding for your Applicant’s Project under the Fixed Guideway 

Modernization Grant Program, former 49 U.S.C. 5309 in effect in FY 2012 or a previous 

fiscal year, in addition to other Certifications and Assurances you must select on its

behalf, you must also select the Certifications in Group 13, except as FTA determines 

otherwise in writing. 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certification in Group 13 that does not apply will not be enforced.

Former 49 U.S.C. 5309(b)(2) and former 49 U.S.C. 5307(d)(1) in effect in FY 2012 or a 

previous fiscal year, except as superseded by MAP-21 cross-cutting requirements that 

apply, require the following Certifications for Fixed Guideway Modernization Grant 

Program funding. Therefore, except as FTA determines otherwise in writing, on behalf 

of your Applicant, you certify that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of the proposed Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity, 

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately, and

4. It has complied or will comply with, and will require each Subrecipient to comply 

with, 49 U.S.C. 5303 and 5304.

GROUP 14. BUS AND BUS FACILITIES FORMULA GRANTS PROGRAM AND 

BUS AND BUS RELATED EQUIPMENT AND FACILITIES GRANT PROGRAM

(DISCRETIONARY).

The Certifications in Group 14 are required for funding under:

14.A. The Bus and Bus Facilities Formula Grants Program, 49 U.S.C. 5339, as 

amended by MAP-21, and

14.B. The Bus and Bus Related Equipment and Facilities Grant Program

(Discretionary), former 49 U.S.C. 5309(b)(3) in effect in FY 2012 or a previous 

fiscal year, except as superseded by MAP-21 cross cutting requirements that 

apply. 

Before FTA may provide funding for your Applicant’s Project under either Program 

listed above, in addition to other Certifications and Assurances you must select on its 

behalf, you must also select the Certifications in Group 14, except as FTA determines 

otherwise in writing. 

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 14 that does not apply will not be enforced.

14.A. Bus and Bus Facilities Formula Grants Program 

If your Applicant seeks FTA funding for its Project under the Bus and Bus Facilities 

Formula Grants Program, 49 U.S.C. 5339, the Certifications in Group 14.A below apply

to your Applicant, except as FTA determines otherwise in writing.

The following Certification for Bus and Bus Facilities Formula Grants Program funding 

are required by 49 U.S.C. 5339(b), which states that “[t]he requirements of section 5307 

apply to recipients of grants made under this section.” Therefore, except as FTA 

determines otherwise in writing, on behalf of your Applicant, you certify that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its proposed Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately,

4. It will ensure that, during non-peak hours for transportation using or involving a 

facility or equipment of a Project financed under 49 U.S.C.5339, the following 

individuals will be charged a fare not exceeding fifty (50) percent of the peak hour 

fare:

a. Any senior, 

b. Any individual who, because of illness, injury, age, congenital malfunction, or 

other incapacity or temporary or permanent disability (including an individual 

who is a wheelchair user or has semi-ambulatory capability), cannot use a public 

transportation service or a public transportation facility effectively without special 

facilities, planning, or design, 

c. Any individual presenting a Medicare card issued to that individual under title II 

of the Social Security Act (42 U.S.C. 401 et seq.), and

d. Any individual presenting a Medicare card issued to that individual under

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

5. When carrying out a procurement under 49 U.S.C.5339, it will comply with the: 

a. General Provisions of 49 U.S.C. 5323, and 

b. Third Party Contract Provisions of 49 U.S.C. 5325, 

6. It has complied with or will comply with 49 U.S.C. 5307(b), because it: 

a. Has made or will make available to the public information on amounts of its 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

funding available to it under 49 U.S.C. 5339, 

b. Has developed or will develop, in consultation with interested parties, including 

private transportation providers, a proposed Program of Projects for activities to 

be funded, 

c. Has published or will publish a Program of Projects in a way that affected 

individuals, private transportation providers, and local elected officials will have 

an opportunity to examine and submit comments on the proposed Program of 

Projects and its performance as an Applicant or Recipient, 

d. Has provided or will provide an opportunity for a public hearing to obtain the 

views of individuals on the proposed Program of Projects,

e. Has ensured or will ensure that the proposed Program of Projects provide for 

coordination of transportation services funded by FTA under 49 U.S.C. 5336 with 

transportation services supported by other United States Government sources,

f. Has considered or will consider the comments and views received, especially 

those of private transportation providers, in preparing its final Program of 

Projects, and 

g. Has made or will make the final Program of Projects available to the public,

7. As required by 49 U.S.C. 5307(d), it:

a. Has or will have the amount of funds required for the local share, 

b. Will provide the local share funds from sources approved by FTA, and

c. Will provide the local share funds when needed,

8. It will comply with:

a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and 

b. The Statewide and Nonmetropolitan Transportation Planning requirements of 

49 U.S.C. 5304, 

9. It has a locally developed process to solicit and consider public comment before:

a. Raising a fare, or 

b. Implementing a major reduction of public transportation, and

10. It will comply with the final Federal regulations, when issued, that implement the 

safety plan requirements of 49 U.S.C. § 5329(d).. 

14.B. Bus and Bus Related Equipment and Facilities Grant Program 

(Discretionary).

If your Applicant seeks FTA funding for its Project under the Bus and Bus Related 

Equipment and Facilities Grant Program (Discretionary), former 49 U.S.C. 5309 in 

effect in FY 2012 or a previous fiscal year, the Certifications in Group 14.B below apply

to your Applicant, except as FTA determines otherwise in writing.

The following Certifications for the Bus and Bus Related Equipment and Facilities Grant 

Program (Discretionary) funding are required by former 49 U.S.C. 5309(c)(2), which 

applies the requirements of former 49 U.S.C. 5307(d)(1)(A), (B), (C), and (H) in effect in 

FY 2012 or a previous fiscal year to this Program except as superseded by MAP-21 

cross-cutting requirements that apply. Therefore, except as FTA determines otherwise in 

writing, on behalf of your Applicant, you certify that:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of those Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately, and

4. It has complied or will comply with, and will require each Subrecipient to comply 

with, 49 U.S.C. 5303 and 5304.

GROUP 15. URBANIZED AREA FORMULA GRANTS PROGRAMS, 

PASSENGER FERRY GRANT PROGRAM, AND 

JOB ACCESS AND REVERSE COMMUTE (JARC) 

FORMULA GRANT PROGRAM.

The Certifications in Group 15 are required for funding under:

15.A. The Urbanized Area Formula Grants Program financed with funds appropriated 

or made available for 49 U.S.C. 5307, as amended by MAP-21, which among 

other things, authorizes funding for Job Access and Reverse Commute (JARC)

Projects and Project Activities, 

15.B. The Urbanized Area Formula Grants Program financed with funds appropriated 

or made available for former 49 U.S.C. 5307 in effect in FY 2012 or a previous 

fiscal year, except as superseded by MAP-21 cross-cutting requirements that 

apply,

15.C. The Passenger Ferry Grant Program financed with funds appropriated or made 

available for 49 U.S.C. 5307(h), as amended by MAP-21, and

15.D. The Job Access and Reverse Commute (JARC) Formula Grant Program financed 

with funds appropriated or made available for former 49 U.S.C. 5316 in effect in 

FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting 

requirements that apply.

Before FTA may provide funding for your Applicant’s Project under any of the Programs 

listed above, in addition to other Certifications and Assurances you must select on its 

behalf, you must also select the Certifications in Group 15, except as FTA determines 

otherwise in writing. 

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Any provision of the Certifications in Group 15 that does not apply will not be enforced.

15.A. Urbanized Area Formula Grants Program under MAP-21.

If your Applicant seeks FTA funding for its Project under the Urbanized Area Formula 

Grants Program, 49 U.S.C. 5307, as amended by MAP-21, the Certifications in 

Group 15.A apply to your Applicant, except as FTA determines otherwise in writing.

The following Certifications for the Urbanized Area Formula Grants Program funding 

appropriated or made available in FYs 2013 and 2014 are required by 49 U.S.C. 

5307(c)(1). Therefore, except as FTA determines otherwise in writing, on behalf of your 

Applicant, you certify that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of the proposed Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately,

4. It will ensure that, during non-peak hours for transportation using or involving a 

facility or equipment of a Project financed under 49 U.S.C. 5307, the following 

individuals will be charged a fare not exceeding fifty (50) percent of the peak hour 

fare:

a. Any senior, 

b. Any individual who, because of illness, injury, age, congenital malfunction, or 

other incapacity or temporary or permanent disability (including an individual 

who is a wheelchair user or has semi-ambulatory capability), cannot use a public 

transportation service or a public transportation facility effectively without special 

facilities, planning, or design, 

c. Any individual presenting a Medicare card issued to that individual under title II 

of the Social Security Act (42 U.S.C. 401 et seq.), or

d. Any individual presenting a Medicare card issued to that individual under

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

5. When carrying out a procurement under 49 U.S.C. 5307, it will comply with the: 

a. General Provisions of 49 U.S.C. 5323, and 

b. Third Party Contract Provisions of 49 U.S.C. 5325, 

6. It has complied with or will comply with 49 U.S.C. 5307(b), because it: 

a. Has made or will make available to the public information on amounts of its 

funding available to it under 49 U.S.C. 5307, 

b. Has developed or will develop, in consultation with interested parties, including 

private transportation providers, a proposed Program of Projects for activities to 

be funded, 

c. Has published or will publish a Program of Projects in a way that affected 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

individuals, private transportation providers, and local elected officials will have 

an opportunity to examine and submit comments on the proposed Program of 

Projects and its performance as an Applicant or Recipient, 

d. Has provided or will provide an opportunity for a public hearing to obtain the 

views of individuals on the proposed Program of Projects,

e. Has ensured or will ensure that the proposed Program of Projects provide for 

coordination of transportation services funded by FTA under 49 U.S.C. 5336 with 

transportation services supported by other United States Government sources,

f. Has considered or will consider the comments and views received, especially 

those of private transportation providers, in preparing its final Program of 

Projects, and 

g. Has made or will make the final Program of Projects available to the public,

7. As required by 49 U.S.C. 5307(d), it:

a. Has or will have the amount of funds required for the local share, 

b. Will provide the local share funds from sources approved by FTA, and

c. Will provide the local share funds when needed,

8. As required by 49 U.S.C. 5307(c)(1)(H), it will comply with:

a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and 

b. The Statewide and Nonmetropolitan Transportation Planning requirements of 

49 U.S.C. 5304, 

9. As required by 49 U.S.C. 5307(c)(1)(I), it has a locally developed process to solicit 

and consider public comment before:

a. Raising a fare, or 

b. Implementing a major reduction of public transportation,

10. Each fiscal year:

a. At least one (1) percent of the amount of the 49 U.S.C. 5307 funding apportioned 

to the urbanized area must be expended for public transportation security Projects 

as described in 49 U.S.C. 5307(c)(1)(J)(i) including: 

(1) Increased lighting in or adjacent to a public transportation system (including 

bus stops, subway stations, parking lots, and garages), 

(2) Increased camera surveillance of an area in or adjacent to that system,

(3) Providing emergency telephone line or lines to contact law enforcement or 

security personnel in an area in or adjacent to that system, and 

(4) Any other Project intended to increase the security and safety of an existing 

or planned public transportation system, or

b. The Designated Recipients in its urbanized area certify that such expenditures for 

transportation security Projects are not necessary (Information about the 

intentions of your Designated Recipients in your Applicant’s urbanized area must 

be recorded in the “Security” tab page of the TEAM-Web “Project Information” 

window when it submits its Urbanized Area Formula Grants Program application 

in TEAM-Web),

11. If it serves an urbanized area with a population of at least 200,000 individuals, as 

determined by the Bureau of the Census:

a. Each fiscal year, it will ensure that at least one (1) percent of the amount 

apportioned to the urbanized area is spent for Associated Transit Improvements, 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

as defined in 49 U.S.C. 5302(1), 

b. It will include in its quarterly report for the fourth quarter of the preceding Federal 

fiscal year: 

(1) A list of its Associated Transit Improvement Projects or Project Activities 

during that Federal fiscal year using those 49 U.S.C. 5307 funds, or

(2) Sufficient information to demonstrate that the Designated Recipients in its 

urbanized area together have spent one (1) percent of the funding apportioned 

to the area for Associated Transit Improvement Projects or Project Activities, 

or have included the same information in a separate report attached in 

TEAM-Web, and

c. The report of its Associated Transit Improvement Projects or Project Activities is 

or will be incorporated by reference and made part of its Certifications and 

Assurances, and

12. It will comply with the final Federal regulations, when issued, that implement the 

safety requirements of 49 U.S.C. § 5329(d). 

B. Urbanized Area Formula Grants Program before MAP-21 Became Effective.

You must select the Certification in Group 15.B if your Applicant seeks funding under the 

Urbanized Area Formula Grants Program financed with funds appropriated or made 

available for former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year. In 

administering this program, MAP-21 cross-cutting requirements supersede inconsistent 

former requirements.

The following Certifications for the Urbanized Area Formula Grants Program are 

required by former 49 U.S.C. 5307(d)(1) in effect in FY 2012 or a previous fiscal year, 

except as superseded by MAP-21 cross-cutting requirements that apply instead. 

Therefore, except as FTA determines otherwise in writing, on behalf of your Applicant, 

you certify that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately,

4. It will ensure that for transportation using or involving a facility or equipment of a 

Project financed under former 49 U.S.C. 5307 in effect in FY 2012 or a previous 

fiscal year, the following individuals will be charged a fare not exceeding fifty 

(50) percent of the peak hour fare:

a. Any elderly individual, 

b. Any handicapped individual, as described in 49 CFR part 27, 

c. Any individual presenting a Medicare card issued to that individual under title II 

of the Social Security Act (42 U.S.C. 401 et seq.), or
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

d. Any individual presenting a Medicare card issued to that individual under

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

5. When carrying out a procurement under former 49 U.S.C. 5307 in effect in FY 2012 

or a previous fiscal year, it will comply with the following provisions as amended by 

MAP-21: 

a. Competitive procurement (as defined or approved by FTA), as required by 

49 U.S.C. 5325(a), 

b. The prohibition against exclusionary or discriminatory specifications in its 

procurements under 49 U.S.C. 5323(h),

c. “Buy America” under 49 U.S.C. 5323(j), 

d. Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), 

e. Applicable railcar option restrictions of 49 U.S.C. 5325(e), and

f. “Veterans Preference/Employment” under 49 U.S.C. 5325(k), 

6. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325, 

7. It:

a. Has or will make available to the public information on amounts available to it 

under 49 U.S.C. 5307 and the Program of Projects it proposes to undertake,

b. Will develop or has developed, in consultation with interested parties, including 

private transportation providers, a proposed Program of Projects for activities to 

be financed,

c. Will publish or has published 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 Applicant or Recipient’s performance,

d. Will provide or has provided an opportunity for a public hearing in which to 

obtain the views of citizens on the proposed Program of Projects,

e. Will ensure or has ensured that the proposed Program of Projects provides for the 

coordination of public transportation services assisted under 49 U.S.C. 5336 with 

transportation services assisted from other U.S. Government sources,

f. Will consider or has considered comments and views received, especially those of 

private transportation providers, in preparing the final Program of Projects, and

g. Will make or has made the final Program of Projects available to the public,

8. It:

a. Has or will have the amount of funds required for the local share, 

b. Will provide the local share funds from sources approved by FTA, and

c. Will provide the local share funds when needed,

9. It has complied or will comply with, and will require each Subrecipient to comply 

with, 49 U.S.C. 5303, and 5304, 

10. It has a locally developed process to solicit and consider public comment before:

a. Raising a fare, or 

b. Implementing a major reduction of public transportation,

11. Each fiscal year:

a. At least one (1) percent of the 49 U.S.C. 5307 funding apportioned to an 

urbanized area must be spent for public transportation security Projects (limited to 

capital Projects if it serves an urbanized area with a population of 200,000 or 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

more), including: 

(1) Increased lighting in or adjacent to a public transportation system (including 

bus stops, subway stations, parking lots, and garages), 

(2) Increased camera surveillance of an area in or adjacent to that system,

(3) Emergency telephone line or lines to contact law enforcement or security 

personnel in an area in or adjacent to that system, and 

(4) Any other Project intended to increase the security and safety of an existing 

or planned public transportation, or

b. It will certify that such expenditures for transportation security Projects are not 

necessary (Information about its intentions must be recorded in the “Security” tab 

page of the TEAM-Web “Project Information” window when it submits its 

Urbanized Area Formula Grants Program application in TEAM-Web),

12. If it serves an urbanized area with a population of at least 200,000 individuals:

a. Each fiscal year, it will ensure that at least one (1) percent of the amount 

apportioned to the urbanized area is spent for Transit Enhancements, as defined 

in former 49 U.S.C. 5302(a)(15), 

b. It will include in its quarterly report for the fourth quarter of the preceding Federal 

fiscal year:

(1) A list of its Transit Enhancement Project Activities during that Federal fiscal 

year using those former 49 U.S.C. 5307 funds, or

(2) Sufficient information to demonstrate that the Designated Recipients in its 

urbanized area together have spent one (1) percent of the amount of funding 

that must be made available to them for Transit Enhancements or have 

included the same information in a separate report attached in TEAM-Web, 

and

c. The report of its or the Designated Recipients’ Transit Enhancement Projects or 

Project Activities is or will be incorporated by reference and made part of its 

Certifications and Assurances, and

13. It will comply with the final Federal regulations, when issued, that implement the 

safety plan requirements of 49 U.S.C. § 5329(d).

C. Passenger Ferry Grant Program.

If your Applicant seeks FTA funding for its Project under the Passenger Ferry Grant 

Program, 49 U.S.C. 5307(h), the Certifications in Group 15.C apply to your Applicant, 

except as FTA determines otherwise in writing.

The following Certifications for the Passenger Ferry Grant Program funding are required 

by 49 U.S.C. 5307(h) and (c)(1). Therefore, except as FTA determines otherwise in 

writing, on behalf of your Applicant, you certify that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of the proposed Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately,

4. It will ensure that, during non-peak hours for transportation using or involving a 

facility or equipment of a Project financed under 49 U.S.C. 5307(h), the following 

individuals will be charged a fare not exceeding fifty (50) percent of the peak hour 

fare:

a. Any senior, 

b. Any individual who, because of illness, injury, age, congenital malfunction, or 

other incapacity or temporary or permanent disability (including an individual 

who is a wheelchair user or has semi-ambulatory capability), cannot use a public 

transportation service or a public transportation facility effectively without special 

facilities, planning, or design, 

c. Any individual presenting a Medicare card issued to that individual under title II 

of the Social Security Act (42 U.S.C. 401 et seq.), or

d. Any individual presenting a Medicare card issued to that individual under

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

5. When carrying out a procurement under 49 U.S.C. 5307(h), it will comply with the: 

a. General Provisions of 49 U.S.C. 5323, and 

b. Third Party Contract Provisions of 49 U.S.C. 5325, 

6. As required by 49 U.S.C. 5307(d), it:

a. Has or will have the amount of funds required for the local share, 

b. Will provide the local share funds from sources approved by FTA, and

c. Will provide the local share funds when needed,

7. As required by 49 U.S.C. 5307(c)(1)(H), it will comply with:

a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and 

b. The Statewide and Nonmetropolitan Transportation Planning requirements of 

49 U.S.C. 5304, 

8. As required by 49 U.S.C. 5307(c)(1)(I), it has a locally developed process to solicit 

and consider public comment before:

a. Raising a fare, or 

b. Implementing a major reduction of public transportation, and

9. . It will comply with the final Federal regulations, when issued, that implement the 

safety plan requirements of 49 U.S.C. § 5329(d).

D. Job Access and Reverse Commute (JARC) Formula Grant Program.

If your Applicant seeks FTA funding for its Project under the Job Access and Reverse 

Commute (JARC) Formula Grant Program, former 49 U.S.C. 5316 in effect in FY 2012 

or a previous fiscal year, the Certifications in Group 15.C apply to your Applicant, 

except as FTA determines otherwise in writing.

1. The following Certifications for the Job Access and Reverse Commute (JARC) 

Formula Grant Program are required by former 49 U.S.C. 5316 in effect in FY 2012 

or a previous fiscal year, except as superseded by MAP-21 cross-cutting requirements 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

that apply. Therefore, except as FTA determines otherwise in writing, on behalf of 

your Applicant, you certify that:

a. It will make awards of JARC funding on a competitive basis following:

(1) An areawide solicitation in cooperation with the appropriate metropolitan 

planning organization for applications for funding in compliance with former 

49 U.S.C. 5316 if your Applicant receives funding under former 49 U.S.C. 

5316(c)(1)(A), and

(2) A statewide solicitation for applications for JARC funding in compliance 

with former 49 U.S.C. 5316 if your Applicant receives funding under former 

49 U.S.C. 5316(c)(1)(B) or (C),

b. Any allocations to Subrecipients of JARC funding authorized by former 

49 U.S.C. 5316 will be distributed on a fair and equitable basis,

c. As required by former 49 U.S.C. 5316: 

(1) The Projects it has selected or will select for former 49 U.S.C. 5316 funding 

must be derived from a public transit-human services transportation plan that 

has been:

(a) Locally developed, and 

(b) Coordinated, and

(2) That locally developed and coordinated plan was produced through a process 

that included:

(a) Representatives of public, private, and nonprofit transportation 

providers, 

(b) Human service providers, and 

(c) Participation by the public, 

d. Before it transfers funds to a Project funded by former 49 U.S.C. 5336, that 

Project has been or will have been coordinated with private nonprofit providers of 

services as required under former 49 U.S.C. 5316(g)(2), 

e. Before using funds apportioned for Projects serving an area other than that for 

which funding was apportioned under former 49 U.S.C. 5316:

(1) The State’s chief executive officer, or his or her designee, will have certified 

that all the JARC program objectives of former 49 U.S.C. 5316 are being met 

in the area from which the funding would be derived, and

(2) If the State has a statewide program for meeting the JARC program 

objectives of former 49 U.S.C. 5316, the funds can be used for Projects 

anywhere in the State, and

f. The requirements of former 49 U.S.C. 5307 will apply to the JARC Program, 

authorized by former 49 U.S.C. 5316, and

2. The following Certifications for the JARC Program are required by former 49 U.S.C. 

5307(d)(1) in effect in FY 2012 or a previous fiscal year, except as superseded by 

MAP-21 cross-cutting requirements that apply. Therefore, except as FTA determines 

otherwise in writing, on its behalf, you certify that:

a. It has or will have, and will require each Subrecipient to have, the following to 

carry out its proposed Project(s), including the safety and security aspects of its 

proposed Project(s):

(1) The legal capacity, 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

(2) The financial capacity, and

(3) The technical capacity,

b. It has or will have, and will require each Subrecipient to have satisfactory 

continuing control over the use of Project equipment and facilities,

c. It will maintain, and will require each Subrecipient to maintain, its Project 

equipment and facilities adequately,

d. To the extent applicable, it will ensure, and will require each Subrecipient to 

ensure, that for transportation using or involving a facility or equipment of a 

Project financed under former 49 U.S.C. 5316 the following individuals will be 

charged a fare not exceeding fifty (50) percent of the peak hour fare:

(1) Any elderly individual, 

(2) Any handicapped individual, as described in 49 CFR part 27, 

(3) Any individual presenting a Medicare card issued to that individual under

title II of the Social Security Act (42 U.S.C. 401 et seq.), and

(4) Any individual presenting a Medicare card issued to that individual under 

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

e. When carrying out a procurement under former 49 U.S.C. 5316, it will comply 

with the following provisions as amended by MAP-21: 

(1) Competitive procurement (as defined or approved by FTA), as required by 

49 U.S.C. 5325(a), 

(2) The prohibition against exclusionary or discriminatory specifications in its 

procurements, as required by 49 U.S.C. 5323(h),

(3) “Buy America” under 49 U.S.C. 5323(j), 

(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), 

and

(5) “Veterans Preference/Employment” under 49 U.S.C. 5325(k), 

f. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325, 

g. It:

(1) Has or will have and, as necessary, will require each Subrecipient to have the 

amount of funds required for the local share by former 49 U.S.C. 5316, 

(2) Will provide and, as necessary, will require each Subrecipient to provide, the 

local share funds from sources approved by FTA, and

(3) Will provide and, as necessary, will require each Subrecipient to provide, the 

local share funds when needed,

h. It has complied or will comply with, and will require each Subrecipient to comply 

with, 49 U.S.C. 5303, and 5304, 

i. It has or will have, and will require each Subrecipient to have, a locally developed 

process to solicit and consider public comment before:

(1) Raising a fare, or 

(2) Implementing a major reduction of public transportation, and

j. To the extent applicable, it will comply with, and as necessary, will require each 

Subrecipient to comply with the final Federal regulations, when issued, that 

implement the safety plan requirements of 49 U.S.C. § 5329(d).

GROUP 16. SENIORS/ELDERLY/INDIVIDUALS WITH DISABILITIES
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

AND NEW FREEDOM PROGRAMS.

The Certifications in Group 16 are required for funding under:

16.A. The Formula Grants for the Enhanced Mobility of Seniors and Individuals with 

Disabilities Program, financed or to be financed with funds appropriated or made 

available for 49 U.S.C. 5310, as amended by MAP-21, which among other things 

authorizes funding for New Freedom Projects and Project Activities,

16.B. The Formula Grants for the Special Needs of Elderly Individuals and Individuals 

with Disabilities Program financed or to be financed with funds appropriated or 

made available for former 49 U.S.C. 5310 in effect in FY 2012 or a previous 

fiscal year, except as superseded by MAP-21 cross-cutting requirements that 

apply, and

16.C. The New Freedom Program financed or to be financed with funds appropriated 

or made available for former 49 U.S.C. 5317 in effect in FY 2012 or a previous 

fiscal year, except as superseded by MAP-21 cross-cutting requirements that 

apply. 

Before FTA may provide funding for your Applicant’s Project under any of the Programs 

listed above, in addition to other Certifications and Assurances you must select on its 

behalf, you must also select the Certifications in Group 16, except as FTA determines 

otherwise in writing. 

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 16 that does not apply will not be enforced.

16.A. Formula Grants for the Enhanced Mobility of Seniors and Individuals with 

Disabilities Program.

If your Applicant seeks FTA funding for its Project under the Formula Grants for the 

Enhanced Mobility of Seniors and Individuals with Disabilities Program, 49 U.S.C. 5310, 

as amended by MAP-21, the Certifications in Group 16.A apply to your Applicant, except 

as FTA determines otherwise in writing.

1. The following Certifications for the Formula Grants for the Enhanced Mobility of 

Seniors and Individuals with Disabilities Program are required by 49 U.S.C. 5310. 

Therefore, except as FTA determines otherwise in writing, on behalf of your 

Applicant, you certify that:

a. Each of its Subrecipients is:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

(1) A private nonprofit organization, or

(2) A State or local governmental authority that:

(a) Is approved by a State to coordinate services for seniors and individuals 

with disabilities, or

(b) Certifies that there are no private nonprofit organizations readily 

available in the area to provide the services authorized for support under 

the Formula Grants for the Enhanced Mobility of Seniors and 

Individuals with Disabilities Program, 

b. It will comply with the following Project selection and planning requirements: 

(1) The Projects it has selected or will select for funding appropriated or made 

available for 49 U.S.C. 5310 are included in a public transit-human services 

transportation plan that has been:

(a) Locally developed, and 

(b) Coordinated, 

(2) The public transit-human services transportation plan was developed and 

approved through a process that included participation by:

(a) Seniors, 

(b) Individuals with disabilities, 

(c) Representatives of public, private, and nonprofit transportation 

providers,

(d) Representatives of public, private, and nonprofit human services 

providers, and 

(e) Other members of the public,

(3) The transportation projects to assist in providing transportation services for 

seniors and individuals with disabilities are included in a program of projects,

(4) A program of projects under Group 16.A.1.b(3) above is or will be submitted 

annually to FTA, and

(5) To the maximum extent feasible, the services funded by 49 U.S.C. 5310 will 

be coordinated with transportation services funded by other Federal 

departments and agencies, including any transportation activities carried out 

by a recipient of a grant from the Department of Health and Human Services,

c. As required by 49 U.S.C. 5310(e)(2)(B), it certifies that if it allocates funds 

received under 49 U.S.C. 5310, to Subrecipients, it will have allocated those 

funds on a fair and equitable basis, 

d. It will transfer a facility or equipment financed with funding appropriated or made 

available for a grant under 49 U.S.C. 5310, to any other recipient eligible to 

receive assistance under 49 U.S.C. chapter 53, only if:

(1) The recipient in possession of the facility or equipment consents to the 

transfer, and

(2) The facility or equipment will continue to be used as required under 

49 U.S.C. 5310, 

e. As required by 49 U.S.C. 5310(b)(2), it will use at least fifty-five (55) percent of 

the funds on capital projects to meet the special needs of seniors and disabled, and

f. The requirements of 49 U.S.C. 5307, as determined by FTA, will apply to the 

Formula Grants for the Enhanced Mobility of Seniors and Individuals with 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Disabilities, authorized by 49 U.S.C. 5310, and

2. FTA has determined certain requirements of 49 U.S.C. 5307, to be appropriate for 

which some require Certifications. Therefore, as specified under 49 U.S.C. 

5307(c)(1), it certifies that:

a. It has or will have, and will require each Subrecipient to have, the following to 

carry out its proposed Project(s), including the safety and security aspects of its 

proposed Project(s):

(1) Legal capacity, 

(2) Financial capacity, and

(3) Technical capacity,

b. It has or will have, and will require each Subrecipient to have, satisfactory 

continuing control over the use of Project equipment and facilities,

c. It will maintain, and will require each Subrecipient to maintain its Project 

equipment and facilities adequately,

d. When carrying out a procurement under the Formula Grants for the Enhanced 

Mobility of Seniors and Individuals with Disabilities Program, it will, and will 

require each Subrecipient to comply with the: 

(1) General Provisions of 49 U.S.C. 5323, and

(2) Third Party Contract Provisions of 49 U.S.C. 5325, 

e. It has complied or will comply with, and will require each Subrecipient to comply 

with:

(1) The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, 

and 

(2) The Statewide and Nonmetropolitan Transportation Planning requirements of 

49 U.S.C. 5304, and

f. To the extent applicable, it will comply with, and require its Subrecipients to 

comply with the final Federal regulations, when issued, that implement the safety 

plan requirements of 49 U.S.C. § 5329(d).

16.B. Formula Grants for the Special Needs of Elderly Individuals and Individuals 

with Disabilities Program.

If your Applicant seeks FTA funding for its Project under the Formula Grants for the 

Special Needs of Elderly Individuals and Individuals with Disabilities Program, former 

49 U.S.C. 5310 in effect in FY 2012 or a previous fiscal year, except as superseded by 

MAP-21 cross-cutting requirements that apply, the Certifications in Group 16.B apply to 

your Applicant, except as FTA determines otherwise in writing.

1. The following Certifications for the Formula Grants for the Special Needs of Elderly 

Individuals and Individuals with Disabilities Program are required by former 

49 U.S.C. 5310 in effect in FY 2012 or a previous fiscal year, except as superseded 

by MAP-21 cross-cutting requirements that apply. Therefore, except as FTA 

determines otherwise in writing, on behalf of your State Applicant, you certify that:

a. Each of your State Applicant’s Subrecipients is:

(1) A private nonprofit organization, if the public transportation service that 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

would undertake public transportation capital Project(s) planned, designed, 

and carried out to meet the special needs of elderly individuals and 

individuals with disabilities is:

(a) Unavailable, 

(b) Insufficient, or 

(c) Inappropriate, or

(2) A State or local governmental authority that:

(a) Is approved by a State to coordinate services for seniors and individuals 

with disabilities, or

(b) Certifies that there are not any nonprofit organizations readily available 

in the area to provide public transportation capital Projects planned, 

designed, and carried out to meet the special needs of seniors and 

individuals with disabilities, 

b. The Projects your State Applicant has selected or will select for funding 

appropriated or made available for former 49 U.S.C. 5310 are included in a public 

transit-human services transportation plan that has been:

(1) Locally developed, and 

(2) Coordinated, 

c. That public transit-human services transportation plan was developed and 

approved through a process that included participation by:

(1) Elderly Individuals, 

(2) Individuals with disabilities, 

(3) Representatives of public, private, and nonprofit transportation providers,

(4) Representatives of human services providers, and 

(5) Other members of the public, 

d. If your State Applicant allocates funds received under former 49 U.S.C. 5310 to 

Subrecipients, your State Applicant will have allocated those funds on a fair and 

equitable basis,

e. The Program of Projects your State Applicant has submitted or will submit 

contains or will contain an assurance that the Program provides for the maximum 

feasible coordination of transportation services funded by former 49 U.S.C. 5310 

with transportation services funded by other Government sources, 

f. If your State Applicant transfers former 49 U.S.C. 5310 funds to another Project 

funded under 49 U.S.C. 5336 in accordance with former 49 U.S.C. 5310(b)(2), 

the Project for which the funds are requested has been coordinated with private 

nonprofit providers of service under former 49 U.S.C. 5310, and

g. It will comply with the requirements of former 49 U.S.C. 5307 that FTA 

determined will apply to the former Formula Grants for the Special Needs of 

Elderly Individuals and Individuals with Disabilities Program,

2. The following Certifications for the Special Needs of Elderly Individuals and 

Individuals with Disabilities Program are required by former 49 U.S.C. 5307(d)(1). 

Therefore, except as FTA determines otherwise in writing, on behalf of your State 

Applicant, you certify that:

a. Your State Applicant and each of its Subrecipients have or will have the

following to carry out its proposed Project(s), including the safety and security 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

aspects of the proposed Project(s):

(1) Legal capacity, 

(2) Financial capacity, and

(3) Technical capacity,

b. Your State Applicant and each Subrecipient has or will have satisfactory 

continuing control over the use of Project equipment and facilities,

c. Your State Applicant and each of its Subrecipients will maintain its Project 

equipment and facilities adequately,

d. When carrying out a procurement under former 49 U.S.C. 5310, it will, and will 

require each Subrecipient, to comply with the following provisions as amended by 

MAP-21: 

(1) Competitive procurement (as defined or approved by FTA), as required by 

49 U.S.C. 5325(a), 

(2) The prohibition against exclusionary or discriminatory specifications in its 

procurements under 49 U.S.C. 5323(h),

(3) “Buy America” under 49 U.S.C. 5323(j), 

(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), 

(5) Applicable railcar option restrictions of 49 U.S.C. 5325(e), and

(6) “Veterans Preference/Employment” under 49 U.S.C. 5325(k), 

e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325, 

f. Your State Applicant:

(1) Has or will have and, as necessary, will require each Subrecipient to have the 

amount of funds required for the local share by former 49 U.S.C. 5310(c)(2), 

(2) Will provide and, as necessary, will require each Subrecipient to provide, the 

local share funds from sources approved by FTA, and

(3) Will provide and, as necessary, will require each Subrecipient to provide, the 

local share funds when needed,

g. It has complied or will comply with, and will require each Subrecipient to comply 

with, 49 U.S.C. 5303, and 5304, and

h. To the extent applicable, your State Applicant will comply with and, as necessary, 

will require each Subrecipient to comply with the final Federal regulations, when 

issued, that implement the safety plan requirements of 49 U.S.C. § 5329(d).

16.C. New Freedom Program.

If your Applicant seeks FTA funding for its Project under the New Freedom Program,

former 49 U.S.C. 5317, in effect in FY 2012 or a previous fiscal year, except as

superseded by MAP-21 cross-cutting requirements that apply, the Certifications in 

Group 16.C apply to your Applicant, except as FTA determines otherwise in writing.

1. Former 49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year requires the 

following Certification for the New Freedom Program. Therefore, except as FTA 

determines otherwise in writing, on behalf of your Applicant, you certify that:

a. It will make awards of New Freedom funding on a competitive basis after 

conducting:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

(1) An areawide solicitation in cooperation with the appropriate metropolitan 

planning organization for applications for funding in compliance with former 

49 U.S.C. 5317(d)(1), or

(2) A statewide solicitation for applications for New Freedom funding in 

compliance with former 49 U.S.C. 5317(d)(2),

b. Any allocations to Subrecipients of New Freedom funding authorized by former 

49 U.S.C. 5317 will be distributed on a fair and equitable basis,

c. It will comply with the following Project selection and planning requirements: 

(1) The Projects it has selected or will select for funding appropriated or made 

available for that program were derived from a public transit-human services 

transportation plan that has been:

(a) Locally developed, and 

(b) Coordinated, 

(2) That locally developed and coordinated plan was produced through a process 

that included:

(a) Representatives of public, private, and nonprofit transportation providers, 

(b) Representatives of public, private, and nonprofit human services 

providers, and

(c) Participation by the public, 

d. Before it transfers funds to a Project funded by former 49 U.S.C. 5311(c), former 

49 U.S.C. 5336, or both:

(1) The funding to be transferred may be made available only to Projects eligible 

for funding appropriated or made available for former 49 U.S.C. 5317, and

(2) It will have consulted with responsible local officials and publicly owned 

operators of public transportation in each area for which the amount to be 

transferred was originally awarded, 

e. The requirements of former 49 U.S.C. 5307 and 5310, as determined by FTA, will 

apply to the New Freedom Program, authorized by former 49 U.S.C. 5317, and

2. The following Certifications for the New Freedom Program are required by former 

49 U.S.C. 5307(d)(1) and 5310. Therefore, except as FTA determines otherwise in 

writing, on its behalf, you certify that:

a. It has or will have, and will require each Subrecipient to have, the following to 

carry out its proposed Project(s), including the safety and security aspects of its 

proposed Project(s):

(1) Legal capacity, 

(2) Financial capacity, and

(3) Technical capacity,

b. It has or will have, and will require each Subrecipient to have, satisfactory 

continuing control over the use of Project equipment and facilities,

c. It will maintain, and will require each Subrecipient to maintain, its Project 

equipment and facilities adequately,

d. When carrying out a procurement under former 49 U.S.C. 5317, it will, and will 

require each Subrecipient, to comply with the following provisions as amended by 

MAP-21: 

(1) Competitive procurement (as defined or approved by FTA), as required by 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

49 U.S.C. 5325(a), 

(2) The prohibition against exclusionary or discriminatory specifications in its 

procurements under 49 U.S.C. 5323(h),

(3) “Buy America” under 49 U.S.C. 5323(j), 

(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), 

(5) Applicable railcar option restrictions of 49 U.S.C. 5325(e), and

(6) “Veterans Preference/Employment” under 49 U.S.C. 5325(k), 

e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325, 

f. It:

(1) Has or will have and, as necessary, will require each Subrecipient to have the 

amount of funds required for the local share required by former 49 U.S.C. 

5317(g), 

(2) Will provide and, as necessary, will require each Subrecipient to provide, the 

local share funds from sources approved by FTA, and

(3) Will provide and, as necessary, will require each Subrecipient to provide, the 

local share funds when needed,

g. It has complied or will comply with, and will require each Subrecipient to comply 

with, 49 U.S.C. 5303, and 5304, and

h. To the extent applicable, it will comply with and, as necessary, will require each 

Subrecipient to comply with the final Federal regulations, when issued, that 

implement the safety plan requirements of 49 U.S.C. § 5329(d).

GROUP 17. RURAL/OTHER THAN URBANIZED AREAS/APPALACHIAN 

DEVELOPMENT/OVER-THE-ROAD BUS ACCESSIBILITY PROGRAMS.

The Certifications in Group 17 are required for funding under:

17.A. The Formula Grants for Rural Areas Program financed with funding 

appropriated or made available for 49 U.S.C. 5311(b), as amended by MAP-21, 

(Separate Certifications and Assurances have been established in Group 18 for 

an Indian tribe that is an Applicant for a Public Transportation on Indian 

Reservations Project financed with funding made available for 49 U.S.C. 

5311(c))(1), as amended by MAP-21.)

17.B. The Formula Grants for Other Than Urbanized Areas Program financed with 

funding appropriated or made available for former 49 U.S.C. 5311(b) in effect in

FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting 

requirements that apply, (Separate Certifications and Assurances have been 

established in Group 18 for an Indian tribe that is an Applicant for a “Tribal 

Transit” Project financed with funding made available for former 49 U.S.C. 

5311(c)(1) in effect in FY 2012 or a previous fiscal year.)

17.C. The Appalachian Development Public Transportation Assistance Program

financed with funding appropriated or made available for 49 U.S.C. 5311(c)(2), 

as amended by MAP-21, and

17.D. The Over-the-Road Bus Accessibility Program financed with funding 

appropriated or made available for section 3038 of TEA-21, as amended by 

section 3039 of SAFETEA-LU, 49 U.S.C. 5310 note, except as superseded by 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

MAP-21 cross-cutting requirements that apply.

(Separate Certifications and Assurances have been established for an Indian tribe that is 

an Applicant for a Tribal Transit Project financed with funding made available for 

49 U.S.C. 5311(c).)

Before FTA may provide funding for your Applicant’s Project under any of the Programs 

listed above, in addition to other Certifications and Assurances you must select on its 

behalf, you must also select the Certifications in Group 17, except as FTA determines 

otherwise in writing. 

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications and Assurances in Group 17 that does not apply will 

not be enforced.

17.A. Formula Grants for Rural Areas Program. 

If your Applicant seeks FTA funding for its Project under the Formula Grants for Rural 

Areas Program, 49 U.S.C. 5311, as amended by MAP-21, the Certifications in 

Group 17.A apply to your Applicant, except as FTA determines otherwise in writing.

The following Certifications apply to each State or State organization serving as your 

Applicant for funding appropriated or made available for the Rural Areas Formula 

Project authorized by 49 U.S.C. 5311(b). On its behalf, you certify and assure that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its Project(s):

a. Legal capacity,

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. Its Project equipment and facilities will be adequately maintained, 

4. Its State program has provided for a fair distribution of Federal funding appropriated 

or made available for 49 U.S.C. 5311(b), within the State, including Indian 

reservations,

5. Its program provides or will provide the maximum feasible coordination of public 

transportation service funded by 49 U.S.C. 5311(b), with transportation service 

funded by other Federal sources,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

6. Its Projects in its Formula Grants for Rural Areas Program are included in:

a. The Statewide Transportation Improvement Program, and 

b. To the extent applicable, a Metropolitan Transportation Improvement Program,

7. It:

a. Has or will have the amount of funds required for the local share, as required by 

49 U.S.C. 5311(g), 

b. Will provide the local share funds from sources approved by FTA, and

c. Will provide the local share funds when needed, 

8. It may transfer a facility or equipment acquired using a grant under 49 U.S.C. 5311(b) 

to any other Recipient eligible to receive assistance under 49 U.S.C. chapter 53, if:

a. The Recipient in possession of the facility or equipment consents to the transfer,

and

b. The facility or equipment will continue to be used as required under 49 U.S.C. 

5311, and

9. Each fiscal year:

a. It will spend at least fifteen (15) percent of its 49 U.S.C. 5311 funding available 

that fiscal year to develop and support intercity bus transportation within the 

State, with eligible activities, including:

(1) Planning and marketing for intercity bus transportation,

(2) Capital grants for intercity bus facilities,

(3) Joint-use facilities,

(4) Operating grants through purchase-of-service agreements, user-side 

subsidies, and demonstration Projects, and

(5) Coordinating rural connections between small public transportation 

operations and intercity bus carriers, or

b. It will provide to the Federal Transit Administrator a Certification from the 

Governor of the State that:

(1) It has consulted with the affected intercity bus service providers about the 

intercity bus needs of the State, and

(2) The State’s intercity bus service needs are being met adequately.

17.B. Formula Grants for Other Than Urbanized Areas Program.

If your Applicant seeks FTA funding for its Project under the Formula Grants for Other 

Than Urbanized Areas Program, former 49 U.S.C. 5311 in effect in FY 2012 or a 

previous fiscal year, the Certifications in Group 17.B apply to your Applicant, except as 

FTA determines otherwise in writing.

The following Certifications apply to each State or State organization serving as your 

Applicant for funding appropriated or made available for the Formula Grants for Other 

Than Urbanized Areas Project authorized by former 49 U.S.C. 5311(b)(1) in effect in 

FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting 

requirements that apply. On its behalf, you certify and assure that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its Project(s):
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

a. Legal capacity,

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. Its Project equipment and facilities will be adequately maintained, 

4. Its State program required under former 49 U.S.C. 5311(b)(2) has provided for a fair 

distribution of Federal funding appropriated or made available for former 49 U.S.C. 

5311(b), within the State, including Indian reservations,

5. Its State program required under former 49 U.S.C. 5311(b)(2) provides or will 

provide the maximum feasible coordination of public transportation service funded by 

former 49 U.S.C. 5311(b), with transportation service funded by other Federal 

sources,

6. Its Projects in its Formula Grants for Other than Urbanized Areas Program are 

included in:

a. The Statewide Transportation Improvement Program, and 

b. To the extent applicable, a Metropolitan Transportation Improvement Program,

7. It:

a. Has or will have the amount of funds required for the local share, as required by 

former 49 U.S.C. 5311(g),

b. Will provide the local share funds sources approved by FTA, and

c. Will provide the local share funds when needed, 

8. It may transfer a facility or equipment acquired using a grant under former 49 U.S.C. 

5311(b) in effect in FY 2012 or a previous fiscal year to any other Recipient eligible 

to receive assistance under 49 U.S.C. chapter 53, if:

a. TheRecipient in possession of the facility or equipment consentsto the transfer, and

b. The facility or equipment will continue to be used as required under former 

49 U.S.C. 5311, and

9. Each fiscal year:

a. It will spend at least fifteen (15) percent of its former 49 U.S.C. 5311 funding 

available for that fiscal year to develop and support intercity bus transportation 

within the State with eligible activities, including:

(1) Planning and marketing for intercity bus transportation,

(2) Capital grants for intercity bus shelters,

(3) Joint-use stops and depots,

(4) Operating grants through purchase-of-service agreements, user-side 

subsidies, and demonstration Projects, and

(5) Coordinating rural connections between small public transportation 

operations and intercity bus carriers, or

b. It will provide to the Federal Transit Administrator a Certification from the Chief 

Executive Officer of the State that:

(1) It has consulted with the affected intercity bus service providers about the 

intercity bus needs of the State, and

(2) The State’s intercity bus service needs are being met adequately.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

17.C. Appalachian Development Public Transportation Assistance Program.

If your Applicant seeks FTA funding for its Project under the Appalachian Development 

Public Transportation Assistance Program, 49 U.S.C. 5311(c)(2), the Certification in 

Group 17.C applies to your Applicant, except as FTA determines otherwise in writing.

On behalf of your Applicant, you certify and assure that, in addition to other 

Certifications and Assurances it must provide, if it is unable to use its funding made 

available or appropriated for public transportation operating assistance, in accordance 

with 49 U.S.C. 5311(c)(2)(D), it may use the funding for a highway Project only after:

1. It provides notice and an opportunity for comment and appeal to affected public 

transportation providers, 

2. It approves for such use in writing, and 

3. In approving the use, it determines that local transit needs are being addressed.

17.D. Over-the-Road Bus Accessibility Program.

If your Applicant seeks FTA funding for its Project under the Over-the-Road Bus 

Accessibility Program, section 3038 of TEA-21, as amended by section 3039 of 

SAFETEA-LU, 49 U.S.C. 5310 note, the Assurances in Group 17.D apply to your 

Applicant, except as FTA determines otherwise in writing.

Your Applicant assures that it will comply with all applicable Federal statutes and

regulations, and follow applicable Federal guidance in carrying out any Over-the-Road 

Bus Accessibility Project supported by the FTA grant. It acknowledges that it is under a 

continuing obligation to comply with the terms and conditions of the grant agreement 

issued for its Project with FTA. It understands that Federal laws, regulations, policies, 

and administrative practices might be modified from time to time and affect the 

implementation of the Project. 

It assures that the Federal requirements for the Over-the-Road Bus Accessibility Program 

during FY 2012 will apply to the Project, except as FTA determines otherwise in writing. 

Certifications and Assurances for funding to be awarded under this program in FY 2014

are included in these FTA Certifications and Assurances for FY 2014. Each Applicant

must submit Group 01 (“Required Certifications and Assurances for Each Applicant”).

Each Applicant seeking more than $100,000 in Federal funding must provide both Group 

01, and Group 02, (“Lobbying”).

GROUP 18. TRIBAL TRANSIT PROGRAMS.

The Certifications in Group 18 are required for funding under:

• The Public Transportation on Indian Reservations Formula Program, 49 U.S.C. 

5311(c)(1), as amended by MAP-21, and

• The Public Transportation on Indian Reservations Discretionary Program, 

49 U.S.C. 5311(c)(1).
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Before FTA may provide funding for your Applicant’s Project under either Program 

listed above, in addition to other Certifications and Assurances you must select on its 

behalf, you must also select the Certifications in Group 18, except as FTA determines 

otherwise in writing. 

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 18 that does not apply will not be enforced.

FTA has established terms and conditions for Tribal Transit Program grants financed 

with funding appropriated or made available for 49 U.S.C. 5311(c)(1). On behalf of your 

Applicant, you certify and assure that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its Project(s):

a. Legal capacity,

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. Its Project equipment and facilities will be adequately maintained, 

4. Its Project will achieve maximum feasible coordination with transportation service 

funded by other Federal sources,

5. It will:

a. Have a procurement system that complies with U.S. DOT regulations, “Uniform 

Administrative Requirements for Grants and Cooperative Agreements to State 

and Local Governments,” 49 CFR part 18, specifically 49 CFR 18.36, or 

b. Inform FTA promptly that its procurement system does not comply with those 

U.S. DOT regulations, 

6. It will comply with Buy America under 49 U.S.C. 5323(j), and

7. It will comply with the Certifications, Assurances, and Agreements in: 

a. Group 03.B and 03.C (Charter Service Agreement and School Bus Agreement),

b. Group 05.B (Bus Testing),

c. Group 06 (Demand Responsive Service), 

d. Group 07 (Intelligent Transportation Systems), and

e. Group 10 (Alcohol and Controlled Substances Testing).

GROUP 19. LOW OR NO EMISSION/CLEAN FUELS GRANT PROGRAM
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

The Certifications in Group 19 are required for funding under:

19.A. The Low or No Emission Vehicle Deployment Program, 49 U.S.C. 5312(d)(5), as 

amended by MAP-21, and

19.B. The Clean Fuels Grant Program, former 49 U.S.C. 5308, in effect in FY 2012 or a 

previous fiscal year, except as superseded by MAP-21 cross-cutting requirements 

that apply.

Before FTA may provide funding for your Applicant’s Project under any of the Programs 

listed above, in addition to other Certifications and Assurances you must select on its 

behalf, you must also select the Certifications in Group 19, except as FTA determines 

otherwise in writing. 

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 19 that does not apply will not be enforced.

19.A. Low or No Emission Vehicle Deployment.

If your Applicant seeks FTA funding for its Project under the Low or No Emission 

Vehicle Development Program, 49 U.S.C. 5312(d)(5), as amended by MAP-21, the 

Certifications and Assurances in Group 19.A apply to your Applicant, except as FTA 

determines otherwise in writing.

Section 5312(d)(5)(C)(i) of title 49 requires the following Certifications for Low or No 

Emission Vehicle Deployment Program funding appropriated or made available for

MAP-21. Therefore, except as FTA determines otherwise in writing, on behalf of your 

Applicant, you certify and assure that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its proposed Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately,

4. It will ensure that, during non-peak hours, for transportation using or involving a 

facility or equipment funded for its Project, the following individuals will be charged 

a fare not exceeding fifty (50) percent of the peak hour fare:

a. Any senior, 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

b. Any individual who, because of illness, injury, age, a congenital malfunction, or 

any other incapacity or temporary or permanent disability (including an individual 

who is a wheelchair user or who has semi-ambulatory capability), and cannot use 

a public transportation service or a public transportation facility effectively 

without special facilities, special planning, or special design, 

c. Any individual presenting a Medicare card issued to that individual under title II 

of the Social Security Act (42 U.S.C. 401 et seq.), or

d. Any individual presenting a Medicare card issued to that individual under 

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

5. When carrying out a procurement under this Program, it will comply with the: 

a. General Provisions of 49 U.S.C. 5323, and 

b. Third Party Contract Provisions of 49 U.S.C. 5325, 

6. It has:

a. Informed or will inform the public of the amounts of its funding available under

this Program, 

b. Developed or will develop, in consultation with interested parties, including 

private transportation providers, a proposed Program of Projects for activities to 

be funded, 

c. Published or will publish a Program of Projects in a way that affected individuals, 

private transportation providers, and local elected officials will have an 

opportunity to examine and submit comments on the proposed Projects and its 

performance as an Applicant, 

d. Provided or will provide an opportunity for a public hearing to obtain the views of 

individuals on the proposed Program of Projects,

e. Assured or will assure that the proposed Program of Projects provides for 

coordination of public transportation services assisted under 49 U.S.C. 5336 with 

federally funded transportation services supported by other United States 

Government sources,

f. Considered or will consider the comments and views received, especially those of 

private transportation providers, in preparing its final list of Projects, and 

g. Made or will make the final list of Projects available to the public,

7. It:

a. Has or will have the amount of funds required for the local share, 

b. Will provide the local share funds from sources approved by FTA, and

c. Will provide the local share funds when needed,

8. It will comply with:

a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and 

b. The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C. 5304, 

9. It has a locally developed process to solicit and consider public comment before:

a. Raising a fare, or 

b. Implementing a major reduction of public transportation, and

10. It will comply with the final Federal regulations, when issued, that implement the 

safety plan requirements of 49 U.S.C. § 5329(d).

19.B. Clean Fuels Grant Program.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

If your Applicant seeks FTA funding for its Project under the Clean Fuels Grant 

Program, former 49 U.S.C. 5308, in effect in FY 2012 or a previous fiscal year, except as

superseded by MAP-21 crosscutting requirements that apply, the Certifications and 

Assurances in Group 19.B apply to your Applicant, except as FTA determines otherwise 

in writing.

Former 49 U.S.C. 5307(d)(1) except as superseded by MAP-21 cross-cutting 

requirements that apply, requires the following Certifications for Clean Fuels Grant 

Program funding appropriated or made available for former 49 U.S.C. 5308 in effect in 

FY 2012 or a previous fiscal year. Therefore, except as FTA determines otherwise in 

writing, on behalf of your Applicant, you certify and assure that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its Project(s):

a. Legal capacity,

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain the Project equipment and facilities adequately,

4. It will ensure that the following individuals will be charged not more than fifty (50) 

percent of the peak hour fare for transportation during non-peak hours using or 

involving Project facilities or equipment supported under former 49 U.S.C. 5308:

a. Elderly individuals, 

b. Individuals with disabilities, 

c. Any individual presenting a Medicare card issued to that individual under title II 

of the Social Security Act (42 U.S.C. 401 et seq.), and

d. Any individual presenting a Medicare card issued to that individual under

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

5. When carrying out a procurement under former 49 U.S.C. 5308, it will, and will 

require each Subrecipient, to comply with the following provisions as amended by 

MAP-21:

a. Competitive procurement (as defined or approved by FTA), as required by 

49 U.S.C. 5325(a), 

b. The prohibition against exclusionary or discriminatory specifications in its 

procurements under 49 U.S.C. 5323(h),

c. “Buy America” under 49 U.S.C. 5323(j), 

d. Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), 

e. Applicable railcar option restrictions of 49 U.S.C. 5325(e), and

f. “Veterans Preference/Employment” under 49 U.S.C. 5325(k), 

6. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,

7. It:

a. Has or will have the amount of funds required for the local share, 

b. Will provide the local share funds from sources approved by FTA, and

c. Will provide the local share funds when needed,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

8. It has complied or will comply with, and will require each Subrecipient to comply 

with, 49 U.S.C. 5303 and 5304, 

9. It has a locally developed process to solicit and consider public comment before:

a. Raising a fare, or 

b. Implementing a major reduction of public transportation, and

10. It will comply with the final Federal regulations, when issued, that implement the 

safety plan requirements of 49 U.S.C. § 5329(d).

GROUP 20. PAUL S. SARBANES TRANSIT IN PARKS PROGRAM

Before FTA may provide funding for your Applicant’s Project under the Paul S. Sarbanes 

Transit in Parks Program, former 49 U.S.C. 5320, in effect in FY 2012 or a previous 

fiscal year for your Applicant’s Project, except as superseded by MAP-21 requirements 

that apply, in addition to other Certifications and Assurances you must select on its 

behalf, you must also select the Certifications in Group 20, except as FTA may determine 

otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications and Assurances in Group 20 that does not apply will 

not be enforced.

1. The following Certifications and Assurances for the Paul S. Sarbanes Transit in Parks 

Program (Parks Program) are required by former 49 U.S.C. 5320 in effect in FY 2012 

or a previous fiscal year, except as superseded by MAP-21 cross-cutting requirements

that apply. Therefore, except as FTA determines otherwise in writing, on behalf of 

your Applicant, you certify that:

a. It will consult with the appropriate Federal land management agency during the 

planning process, and

b. The requirements of former 49 U.S.C. 5307, as determined by FTA, will apply to 

the Parks Program, authorized by former 49 U.S.C. 5320, and

2. FTA has determined certain requirements of former 49 U.S.C. 5307 to be appropriate 

for the Parks Program, of which some require Certifications. Therefore as specified 

under former 49 U.S.C. 5307(d)(1) except as superseded by MAP-21 cross-cutting 

requirements that apply, you certify that:

a. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its Project(s):

(1) Legal capacity,

(2) Financial capacity, and
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

(3) Technical capacity,

b. It has or will have satisfactory continuing control over the use of Project 

equipment and facilities,

c. It will maintain the Project equipment and facilities adequately,

d. When carrying out a procurement under former 49 U.S.C. 5320, it will, and will 

require each Subrecipient, to comply with the following provisions as amended by 

MAP-21: 

(1) Competitive procurement (as defined or approved by FTA), as required by 

49 U.S.C. 5325(a), 

(2) The prohibition against exclusionary or discriminatory specifications in its 

procurements under 49 U.S.C. 5323(h),

(3) “Buy America” under 49 U.S.C. 5323(j), 

(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), 

(5) Applicable railcar option restrictions of 49 U.S.C. 5325(e), and

(6) “Veterans Preference/Employment” under 49 U.S.C. 5325(k), 

e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325, 

f. It has complied or will comply with the requirements of former 49 U.S.C. 

5307(c). Specifically, it: 

(1) Has made or will make available to the public information on the amounts 

available for the Parks Program, former 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 its performance, 

(4) Has provided or will provide an opportunity for a public hearing to obtain the 

views of citizens on the proposed Projects,

(5) Has considered or will consider the comments and views received, especially 

those of private transportation providers, in preparing its final list of Projects, 

and

(6) Has made or will make the final list of Projects available to the public,

g. It: 

(1) Has or will have the amount of funds required for the local share, 

(2) Will provide the local share funds from sources approved by FTA, and

(3) Will provide the local share funds when needed,

h. It has complied or will comply with, and will require each Subrecipient to comply 

with, 49 U.S.C. 5303 and 5304, and

i. It has a locally developed process to solicit and consider public comment before:

(1) Raising a fare, or 

(2) Implementing a major reduction of public transportation.

GROUP 21. STATE SAFETY OVERSIGHT GRANT PROGRAM.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Before FTA may provide funding for your Applicant’s Project under the State Safety 

Oversight Grant Program, 49 U.S.C. 5329(e), as amended by MAP-21, in addition to 

other Certifications and Assurances you must select on its behalf, you must also select the 

Certifications in Group 21, except as FTA may determine otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications in Group 21 that does not apply will not be enforced.

On behalf of your Applicant, you certify that:

1. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its proposed Project(s):

a. Legal capacity, 

b. Financial capacity, and

c. Technical capacity,

2. It has or will have satisfactory continuing control over the use of Project equipment 

and facilities,

3. It will maintain its Project equipment and facilities adequately,

4. When carrying out a procurement for its Project, it will comply with the: 

a. The Uniform Administrative Requirements for Grants and Cooperative 

Agreements to States and Local Governments, 49 C.F.R. part 18,

b. General Provisions of 49 U.S.C. 5323, and 

c. Third Party Contract Requirements of 49 U.S.C. 5325, 

5. As required by 49 U.S.C. 5329(e)(6)(C), it:

a. Has or will have the amount of funds required for the local share, 

b. Will provide the local share funds only from sources approved by FTA, and will 

not be met by:

(1) Any Federal funds,

(2) Any funds received from a public transportation agency, or

(3) Any revenues earned by a public transportation agency, and

c. Will provide the local share funds when needed,

6. It meets the applicable requirements of 49 C.F.R. part 659, Rail Fixed Guideway 

Systems: State Safety Oversight, and

7. It has received or will receive an FTA certification upon a determination that its State 

Safety Oversight Program meets the requirements of 49 U.S.C. 5329(e) and is 

adequate to promote the purposes of 49 U.S.C. 5329.

GROUP 22. PUBLIC TRANSPORTATION EMERGENCY RELIEF PROGRAM.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

Before FTA may provide funding for your Applicant’s Project under the Public 

Transportation Emergency Relief Program, 49 U.S.C. 5324, as amended by MAP-21, in 

addition to other Certifications and Assurances you must select on its behalf, you must 

also select the Assurance in Group 22, except as FTA may determine otherwise in 

writing.

Your Applicant is ultimately responsible for compliance with the Assurances selected on 

its behalf that apply to its Project, itself, any Subrecipient, or other Third Party 

Participant in its Project, except as FTA determines otherwise in writing. For this 

reason, we strongly encourage your Applicant to take appropriate measures, including, 

but not limited to, obtaining sufficient documentation from each Subrecipient and other 

Third Party Participants to assure the validity of the applicable Certifications and 

Assurances selected on behalf of your Applicant.

Any provision of the Assurance in Group 22 that does not apply will not be enforced.

As required by 49 U.S.C. 5324(d), on behalf of your Applicant, you assure that it will 

comply with the requirements of the Certifications and Assurances as FTA determines 

will apply to an Applicant for funding appropriated or made available for the Public 

Transportation Emergency Relief Program.

GROUP 23. EXPEDITED PROJECT DELIVERY PILOT PROGRAM.

Before FTA may provide funding for your Applicant’s Project under the Expedited 

Project Delivery Pilot Program, section 20008(b)(5)(D) of MAP-21, in addition to other 

Certifications and Assurances you must select on its behalf, you must also select the 

Certification in Group 23, except as FTA may determine otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

To the extent that the Certification in Group 23 does not apply, it will not be enforced.

On behalf of your Applicant, you certify that its existing public transportation system or 

the public transportation system that is the subject of the Project is in a state of good 

repair, as required by section 20008(b)(5)(D) of MAP-21.

GROUP 24. INFRASTRUCTURE FINANCE PROGRAMS.

The Certifications in Group 24 apply to the following programs:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

24.A. The Transportation Infrastructure Finance and Innovation Act (TIFIA) Program, 

23 U.S.C. 601-609, except as superseded by MAP-21 cross-cutting requirements 

that apply, and

24.B. The State Infrastructure Banks (SIB) Program, 23 U.S.C. 610, except as

superseded by MAP-21 cross-cutting requirements that apply.

Before FTA may provide credit assistance under TIFIA for your Applicant’s Project or 

funding for your Applicant to deposit in a SIB, in addition to other Certifications and 

Assurances you must select on your Applicant’s behalf, you must also select the 

Certifications in Group 24, except as FTA may determine otherwise in writing.

Your Applicant is ultimately responsible for compliance with the Certifications and 

Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or 

other Third Party Participant in its Project, except as FTA determines otherwise in 

writing. For this reason, we strongly encourage your Applicant to take appropriate 

measures, including, but not limited to, obtaining sufficient documentation from each 

Subrecipient and other Third Party Participants to assure the validity of the applicable 

Certifications and Assurances selected on behalf of your Applicant.

Any provision of the Certifications and Assurances in Group 24 that does not apply will 

not be enforced.

24.A. Transportation Infrastructure Finance and Innovation Act (TIFIA) 

Program.

If your Applicant seeks FTA funding for its Project under the TIFIA Program, the 

Certifications and Assurances in Group 24.A applies to your Applicant, except as FTA 

determines otherwise in writing.

On behalf of your Applicant, you certify and assure, as required by 49 U.S.C. 5323(o), 

that Federal transit laws, specifically 49 U.S.C. 5307, 49 U.S.C. 5309, and 49 U.S.C. 

5337, apply to any Project under 49 U.S.C. chapter 53 that receives TIFIA credit 

assistance under 23 U.S.C. 601 – 609. 

1. To comply with 49 U.S.C. 5307, specifically 49 U.S.C. 5307(d)(1), on its behalf, you

certify that:

a. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of its proposed Project(s):

(1) Legal capacity,

(2) Financial capacity, and

(3) Technical capacity,

b. It has or will have satisfactory continuing control over the use of Project 

equipment and facilities,

c. It will maintain its Project equipment and facilities adequately,

d. It will ensure that when, during non-peak hours for transportation using or 

involving a facility or equipment of a TIFIA-financed Project, a fare that is not 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

more than fifty (50) percent of the peak hour fare will be charged to the following 

individuals:

(1) A senior, 

(2) An individual who, because of illness, injury, age, congenital malfunction, or 

other incapacity or temporary or permanent disability (including an 

individual who is a wheelchair user or has semi-ambulatory capability), 

cannot use a public transportation service or a public transportation facility 

effectively without special facilities, planning, or design, or 

(3) Any individual presenting a Medicare card issued to that individual under 

title II of the Social Security Act (42 U.S.C. 401 et seq.), and

(4) Any individual presenting a Medicare card issued to that individual under

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

e. When carrying out a TIFIA-funded procurement, it will comply with:

(1) 49 U.S.C. 5323, and 

(2) 49 U.S.C. 5325, 

f. It has complied with or will comply with 49 U.S.C. 5307(b), because it: 

(1) Has made or will make available to the public information on amounts of its 

TIFIA funding request(s), 

(2) Has developed or will develop, in consultation with interested parties, 

including private transportation providers, a proposed Program of Projects 

for activities to be funded, 

(3) Has published or will publish a Program of Projects in a way that affected 

individuals, private transportation providers, and local elected officials will 

have an opportunity to examine and submit comments on the proposed 

Program of Projects and its performance as an Applicant or Recipient, 

(4) Has provided or will provide an opportunity for a public hearing to obtain the 

views of individuals on the proposed Program of Projects,

(5) Has ensured or will ensure that the proposed Program of Projects provides

for coordination of public transportation services funded by FTA under 49 

U.S.C. 5336 and U.S. DOT under TIFIA with federally funded transportation 

services supported by other United States Government sources,

(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:

(1) Has or will have at least (twenty) 20 percent of the TIFIA net Project costs 

required for the local share, 

(2) Will provide the local share funds from sources approved by FTA, and

(3) Will provide the local share funds when needed,

h. It will comply with:

(1) The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, 

and 

(2) The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C. 

5304,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

i. It has a locally developed process to solicit and consider public comment before:

(1) Raising a fare, or 

(2) Implementing a major reduction of public transportation, and

j. It will comply with the final Federal regulations, when issued, that implement the 

safety plan requirements of 49 U.S.C. § 5329(d),

2. To comply with the interest and financing costs restrictions of 49 U.S.C. chapter 53, it 

agrees that it will not seek reimbursement for interest and other financing costs 

incurred in connection with its Project that must be in compliance with those 

requirements unless:

a. It is eligible to receive Federal funding for those expenses, and 

b. 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.

3. It will comply with Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.)

4. The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 5321 et seq., and 

will receive an environmental categorical exclusion, a finding of no significant 

impact, or a record of decision under NEPA for its Project prior to obligation of 

funds, and

5. It agrees that it will adopt a transit asset management plan that complies with 

regulations implementing 49 U.S.C. 5326(d), when required.

24.B. State Infrastructure Banks (SIB) Program.

If your Applicant is a State and seeks FTA funding under the SIB Program to deposit in 

its SIB, the Certifications and Assurances in Group 24.B applies to your State and its 

Project, except as FTA determines otherwise in writing.

On behalf of the State organization serving as your Applicant for funding for its SIB 

Program, you certify and assure that:

1. It will comply with the following applicable Federal laws establishing the various SIB 

programs since 1995: 

a. 23 U.S.C. 610, as amended by MAP-21,

b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law, 

c. Section 1511 of TEA-21, 23 U.S.C. 181 note, or 

d. Section 350 of the National Highway System Designation Act of 1995, as 

amended, 23 U.S.C. 181,

2. It will comply with or follow the Cooperative Agreement establishing the State’s SIB 

program between:

a. It and FHWA, FRA, and FTA, or 

b. It and FHWA and FTA, 

3. It will comply with or follow the Grant Agreement that provides FTA funding for the 

SIB and is between it and FTA, including the FTA Master Agreement, which is 

incorporated by reference into the Grant Agreement, except that any provision of the 

FTA Master Agreement incorporated by reference into that Grant Agreement will not 

apply if it conflicts with any provision of:

a. 23 U.S.C. 610, as amended by MAP-21, 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law, 

c. 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, 

d. Federal guidance pertaining to the SIB Program, 

e. The Cooperative Agreement establishing the State’s SIB Program, or 

f. The FTA Grant Agreement,

4. As required by 49 U.S.C. 5323(o), Federal transit laws, specifically 49 U.S.C. 5307, 

49 U.S.C. 5309, and 49 U.S.C. 5337, as amended by MAP-21, apply to any Project 

under 49 U.S.C. chapter 53 that receives SIB support or financing under 23 U.S.C. 

610 (or any support from 23 U.S.C. 601 – 609), 

5. As required by 49 U.S.C. 5323(o) and 49 U.S.C. 5307(d)(1):

a. It has or will have the following to carry out its proposed Project(s), including the 

safety and security aspects of those proposed Project(s):

(1) Legal capacity, 

(2) Financial capacity, and

(3) Technical capacity,

b. It has or will have satisfactory continuing control over the use of Project 

equipment and facilities,

c. It will maintain its Project equipment and facilities adequately,

d. It will ensure that when, during non-peak hours for transportation using or 

involving a facility or equipment of a SIB-financed Project, a fare that is not more 

than fifty (50) percent of the peak hour fare will be charged to the following 

individuals:

(1) A senior, 

(2) An individual who, because of illness, injury, age, congenital malfunction, or 

other incapacity or temporary or permanent disability (including an 

individual who is a wheelchair user or has semi-ambulatory capability), 

cannot use a public transportation service or a public transportation facility 

effectively without special facilities, planning, or design, 

(3) An individual presenting a Medicare card issued to that individual under 

title II of the Social Security Act (42 U.S.C. 401 et seq.), or

(4) An individual presenting a Medicare card issued to that individual under 

title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.), 

e. When carrying out a procurement under a SIB-financed Project, it will comply 

with the: 

(1) General Provisions of 49 U.S.C. 5323, and 

(2) Third Party Contract Provisions of 49 U.S.C. 5325, 

f. It has complied with or will comply with 49 U.S.C. 5307(b), because it: 

(1) Has made or will make available to the public information on amounts of its 

funding requested under the SIB program, 

(2) Has developed or will develop, in consultation with interested parties, 

including private transportation providers, a proposed Program of Projects 

for activities to be funded, 

(3) Has published or will publish a Program of Projects in a way that affected 

individuals, private transportation providers, and local elected officials will 
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

have an opportunity to examine and submit comments on the proposed 

Program of Projects and its performance as an Applicant or Recipient, 

(4) Has provided or will provide an opportunity for a public hearing to obtain the 

views of individuals on the proposed Program of Projects,

(5) Has ensured or will ensure that the proposed Program of Projects provide for 

coordination of public transportation services funded by FTA under 

49 U.S.C. 5336 and the SIB Program with federally funded transportation 

services supported by other United States Government sources,

(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:

(1) Has or will have the amount of funds required for the local share by the SIB 

Program, but not less than twenty-five (25) percent of each capitalization 

grant, 

(2) Will provide the local share funds from sources approved by FTA, and

(3) Will provide the local share funds when needed,

h. It will comply with the:

(1) The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, 

and 

(2) The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C. 

5304,

i. It has a locally developed process to solicit and consider public comment before:

(1) Raising a fare, or 

(2) Implementing a major reduction of public transportation, and

j. It will comply with the final Federal regulations, when issued, that implement the 

safety plan requirements of 49 U.S.C. § 5329(d), 

2. As required by 49 U.S.C. chapter 53, it certifies that it will not seek reimbursement 

for interest and other financing costs incurred in connection with its Project unless:

a. It is eligible to receive Federal funding for those expenses, and 

b. 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,

and

3. It agrees that it will adopt a transit asset management plan that complies with 

regulations implementing 49 U.S.C. 5326(d).

Selection and Signature Page(s) follow.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

FEDERAL FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES FOR 

FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS

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

Name of Applicant: ____________________________________________________________

The Applicant agrees to comply with applicable provisions of Groups 01 – 24. ______

OR

The Applicant agrees to comply with applicable provisions of the Groups it has selected:

Group Description

01. Required Certifications and Assurances for Each Applicant. ______

02. Lobbying. ______

03. Procurement and Procurement Systems. ______

04. Private Sector Protections. ______

05. Rolling Stock Reviews and Bus Testing. ______

06. Demand Responsive Service. ______

07. Intelligent Transportation Systems. ______

08. Interest and Financing Costs and Acquisition of Capital Assets by Lease. ______

09. Transit Asset Management Plan and Public Transportation Agency Safety Plan. ______

10. Alcohol and Controlled Substances Testing. ______

11. Fixed Guideway Capital Investment Grants Program (New Starts, Small Starts, and Core 

Capacity) and Capital Investment Program in Effect before MAP-21.

______

12. State of Good Repair Program. ______

13. Fixed Guideway Modernization Grant Program. ______

14. Bus and Bus Facilities Formula Grants Program and Bus and Bus Related Equipment and 

Facilities Grant Program (Discretionary).

______

15. Urbanized Area Formula Grants Programs, Passenger Ferry Grants Program, and Job Access 

and Reverse Commute (JARC) Program. 

______

16. Seniors/Elderly/Individuals with Disabilities Programs and New Freedom Program. ______

17. Rural/Other Than Urbanized Areas/Appalachian Development/Over-the-Road Bus 

Accessibility Programs.

______

18. Public Transportation on Indian Reservations Programs (also known as the Tribal Transit 

Programs).

______

19. Low or No Emission/Clean Fuels Grant Programs. ______

20. Paul S. Sarbanes Transit in Parks Program. ______

21. State Safety Oversight Program. ______

22. Public Transportation Emergency Relief Program. ______

23. Expedited Project Delivery Pilot Program. ______

24. Infrastructure Finance Programs. ______

 Gemstone Homes & Properties X

X

X

X

X

N/a X X X X X X X X X X
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES

FEDERAL FISCAL YEAR 2014 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE

(Required of all Applicants for FTA funding and all FTA Grantees with an active Capital or Formula Project)

AFFIRMATION OF APPLICANT

Name of the Applicant: ____________________________________________________________________________

Name and Relationship of the Authorized Representative: _________________________________________________

BY SIGNING BELOW, on behalf of the Applicant, I declare that it has duly authorized me to make these 

Certifications and Assurances and bind its compliance. Thus, it agrees to comply with all Federal statutes and 

regulations, and follow applicable Federal guidance, and comply with the Certifications and Assurances as indicated on 

the foregoing page applicable to each application its Authorized Representative makes to the Federal Transit 

Administration (FTA) in Federal Fiscal Year 2014, irrespective of whether the individual that acted on his or her

Applicant’s behalf continues to represent it.

FTA intends that the Certifications and Assurances the Applicant selects on the other side of this document should 

apply to each Project for which it seeks now, or may later seek FTA funding during Federal Fiscal Year 2014.

The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the 

statements submitted with this document and any other submission made to FTA, and acknowledges that the Program 

Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations, “Program Fraud 

Civil Remedies,” 49 CFR part 31, apply to any certification, assurance or submission made to FTA. The criminal 

provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection with a Federal 

public transportation program authorized by 49 U.S.C. chapter 53 or any other statute 

In signing this document, I declare under penalties of perjury that the foregoing Certifications and Assurances, and any 

other statements made by me on behalf of the Applicant are true and accurate.

Signature____________________________________________________________ Date: _________________

Name_______________________________________________________________

Authorized Representative of Applicant

AFFIRMATION OF APPLICANT’S ATTORNEY

For (Name of Applicant): ________________________________________________________________________

As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority under 

State, local, or tribal government law, as applicable, to make and comply with the Certifications and Assurances as 

indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and Assurances have been 

legally made and constitute legal and binding obligations on it.

I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might 

adversely affect the validity of these Certifications and Assurances, or of the performance of its FTA Project or 

Projects.

Signature____________________________________________________________ Date: _________________

Name_______________________________________________________________ 

Attorney for Applicant

Each Applicant for FTA funding and each FTA Grantee with an active Capital or Formula Project must provide an 

Affirmation of Applicant’s Attorney pertaining to the Applicant’s legal capacity. The Applicant may enter its signature 

in lieu of the Attorney’s signature, provided the Applicant has on file this Affirmation, signed by the attorney and dated 

this Federal fiscal year.

 Gemstone Homes & Properties Eric F Davis - PD/PI/Key Personnel Eric Felton Davis 07/16/2014 Gemstone Homes & Properties

 ERIC F DAVIS ERIC F DAVIS
UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

FEDERAL TRANSIT ADMINISTRATION 

SUPPLEMENTAL AGREEMENT 

(Attachment to FTA G-20, October 1, 2013) 

It is the practice of the Federal Transit Administration to enter into a formal agreement with the 

Designated Recipient for projects that the Designated Recipient does not carry out directly. 

Under this Grant Agreement, the Grant Recipient is not the Designated Recipient. Therefore, the 

Designated Recipient hereby agrees to permit the Grant Recipient under this Grant Agreement to 

receive and dispense the Federal assistance funds described in this Grant Agreement. The 

Designated Recipient further agrees that the Grant Recipient shall assume all responsibilities set 

forth in this Grant Agreement. 

The Federal Government and the Grant Recipient under this Grant Agreement hereby agree that 

the Designated Recipient is not in any manner subject to or responsible for the terms and 

conditions of this Grant Agreement and is a party to this Grant Agreement only to assign the 

right to receive and dispense Federal funds to the Grant Recipient as described above. 

Signature: _______________________________________ Date: ________________

Name (Print/Type): _______________________________

Authorized Official

Federal Transit Administration

Signature: _______________________________________ Date: ________________

Name (Print/Type): _______________________________

Authorized Official

Designated Recipient

Signature: _______________________________________ Date: ________________

Name (Print/Type): _______________________________

Authorized Official

Grant Recipient

07/16/2014 07/16/2014 Eric Felton Davis Gemstone Homes & Properties 82-788-1330

 ERIC F DAVIS
UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION

FEDERAL TRANSIT ADMINISTRATION

GRANT AGREEMENT

(FTA G-20, October 1, 2013)

On the date the authorized U.S. Department of Transportation, Federal Transit Administration 

(FTA) official signs this Grant Agreement, FTA has Awarded Federal assistance in support of 

the Project described below. Upon execution of this Grant Agreement by the Grantee named 

below, the Grantee affirms this U.S. Department of Transportation, FTA Award in support of the 

Project described below and enters into this Grant Agreement with FTA. 

The following documents are incorporated by reference and made part of this Grant Agreement: 

(1) "Federal Transit Administration Master Agreement," FTA MA(20), October 1, 2013, 

http://www.fta.dot.gov/documents/20-Master.pdf, 

(2) The Certifications and Assurances applicable to the Project that the Grantee has selected and 

provided to FTA, and 

(3) Any Award notification containing special conditions or requirements, if issued. 

FTA OR THE FEDERAL GOVERNMENT MAY WITHDRAW ITS OBLIGATION TO 

PROVIDE FEDERAL ASSISTANCE IF THE GRANTEE DOES NOT EXECUTE THIS 

GRANT AGREEMENT WITHIN 90 DAYS FOLLOWING THE DATE OF THIS FTA 

AWARD SET FORTH HEREIN. 

FTA AWARD 

FTA hereby awards a Federal Grant as follows: 

Project No.: 

Grantee: 

Citation of Statute(s) Authorizing Project: 

Estimated Total Eligible Cost: 

Maximum Total FTA Amount Awarded: 

Amount of This FTA Award: 

Maximum Percentage(s) of FTA Participation: 
 Project No. 

U.S. Department of Labor Certification of Public Transportation Employee Protective 

Arrangements: Certification Date 

Original Project: 

Amendment Number: 

Project Description: 

Conditions of Award: 

FTA has awarded Federal assistance for this Grant Agreement as of ______________________, 

which is the Date of this FTA Award. 

By: Signature: _______________________________________

Name: __________________________________________

Title: ___________________________________________

FEDERAL TRANSIT ADMINISTRATION

U.S. DEPARTMENT OF TRANSPORTATION
 Project No. 

EXECUTION OF GRANT AGREEMENT 

There are several identical counterparts of this Grant Agreement in typewritten hard copy. 

Each counterpart is: 

(1) Fully signed in writing by the duly authorized officials of FTA or the Federal Government 

and the Grantee, and 

(2) Deemed to be an original having identical legal effect. 

Upon full execution of this Grant Agreement by the Grantee, the Effective Date will be the date 

FTA or the Federal Government awarded Federal assistance for this Grant Agreement. 

By executing this Grant Agreement, the Grantee intends to enter into a legally binding agreement 

in which the Grantee: 

(1) Affirms this FTA Award, 

(2) Adopts and ratifies all of the following information it has submitted to FTA: 

 (a) Statements, 

 (b) Representations, 

 (c) Warranties, 

 (d) Covenants, and 

 (e) Materials, 

(3) Consents to comply with the requirements of this FTA Award, and 

(4) Agrees to all terms and conditions set forth in this Grant Agreement. 

Executed by the Grantee this _______ day of __________________________, 201____. 

ATTEST: BY:

Signature: ____________________________ Signature: ______________________________

Name (Print/Type): _____________________

_____________________________________

TITLE AND ORGANIZATION

Name (Print/Type): ______________________

______________________________________

TITLE AND ORGANIZATION
 

 For Customer Use:

 

 I have an existing Acct. # 

This resolution is for:

 New Account

 Change to Existing Acct. #

For OTFS Use Only:

Acct Approved Auth Entered.

Audit Wire Instructions

Addr Entered Wire Templates

Approval:

AD1 AD2

Res. form 2000A

GEORGIA FUND 1

(local government investment pool)

RESOLUTION TO AUTHORIZE INVESTMENT

WHEREAS, Ga. Code Ann. §§36-83-1 to 36-83-8 authorizes Georgia local governments and other authorized 

entities to invest funds through the local government investment pool, and

WHEREAS, from time to time it may be advantageous to the 

to deposit funds available for

 (Name of Local Government, Political Subdivision or State Agency)

investment in Georgia Fund 1 (hereinafter referred to as the local government investment pool) as it may deem 

appropriate; and 

WHEREAS, to provide for the safety of such funds deposited in the local government investment pool, 

investments are restricted to those enumerated by Ga. Code Ann. §36-83-8 under the direction of the State Depository 

Board, considering first the probable safety of capital and then the probable income to be derived; and WHEREAS, 

such deposits must first be duly authorized by the governing body of the local government or authorized entity and a 

certified copy of the resolution authorizing such investment filed with the Treasurer of the Office of the State Treasurer; 

and 

WHEREAS, such resolution must name the official(s) authorized to make deposits or withdrawals of funds in the 

local government investment pool; and 

WHEREAS, Ga. Code Ann. §36-83-8 requires a statement of the approximate cash flow requirements of the 

participating government pertaining to the funds to accompany the authorization to invest such funds at the time such 

deposits are duly authorized;

NOW, THEREFORE BE IT RESOLVED by the 

(Board, Council or other Governing Body)

that funds of the may be deposited from time to 

 (Local Government, Political Subdivision, or State Agency)

time in the manner prescribed by law and the applicable policies and procedures for the local government investment 

pool.

BE IT FURTHER RESOLVED THAT:

1. Any one of the following individuals shall be authorized to deposit and/or withdraw funds from the local 

government investment pool on behalf of such government or other authorized entity (if a listed individual is 

employed by an entity other than the depositor, indicate employer):

 

Name, Title, (Employer, if applicable) (Area Code) Phone Number

Email: ______________________________________________

 

Email: ______________________________________________

 

Email: _______________________________________________

 

Email: _______________________________________________

 

Email: _______________________________________________

2. All withdrawals from the local government investment pool shall be wired to the following participant’s 

demand deposit account: (Many banks have separate instructions for wires and ACH deposits. Please verify 

both sets of instructions with your bank and provide them below. This will ensure accurate delivery of your 

funds to the designated bank account).

(For ACH) ________________________________________ _____________________________________________

(Local Bank Name) (Account Title)

 _________________________________ _______________________ 

(ABA Number) (Account Number) (City, State)

(For WIRE) _________________________________ ____________________________________________________

 (Local Bank Name) (Account Title)

_________________________________ ___________________________ _______________________ 

(ABA Number) (Account Number) (City, State)
(If applicable) Our local bank prefers to receive credit for wire transfers at the following Correspondent Bank:

 

 

(Bank Name) (City) (ABA Number) (Account Number)

Additional Bank Account (if applicable):

(For ACH) ________________________________________ _____________________________________________

(Local Bank Name) (Account Title)

 _________________________________ _______________________ 

(ABA Number) (Account Number) (City, State)

(For WIRE) _________________________________ ____________________________________________________

 (Local Bank Name) (Account Title)

 ________________________________________ ______________________________ ________________________

 (ABA Number) (Account Number) (City, State)

Correspondent Bank (if applicable):

 

(Bank Name) (City) (ABA Number) (Account Number)

3. The local government investment pool shall mail the monthly statements of account to:

 

(Attention)

 

(Address)

 

(Address)

 

(City, State & Zip)

4. Changes in the above authorization shall be made by cancellation or replacement resolution delivered to the 

Office of the State Treasurer. Until such a replacement resolution is received by the Office of the State Treasurer, 

the above authorized individuals, local government demand account instructions and statement mailing address(es) 

shall remain in full force and effect.

5. The following schedule represents the period in which existing balances are currently expected to remain 

invested in the local government investment pool:

% 30 days or less;

% more than 30 days but less than 90 days;

% 90 days or longer.

 100 %

Entered at , Georgia this day of 20 .

(Signature of Head of Governing Authority)

(Please Print or Type - Head of Governing Authority)

(Title)

Sworn to and subscribed before me this day of 20 .

(Notary Public)

Please complete and return an original copy to:

Georgia Fund 1

Office of the State Treasurer

200 Piedmont Avenue

Suite 1204, West Tower

Atlanta, GA 30334-5527

Telephone: (404) 651-8964 or (404) 656-2993

Toll Free: (800) 222-6748

Fax: (404) 656-9048

Georgia Fund 1 (local government investment pool) deposits are not guaranteed or insured by any bank, the Federal 

Deposit Insurance Corporation (FDIC), the Federal Reserve Board, the State of Georgia or any other agency.

NOTARY SEAL