Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices 67433 

Information Programs and Services 

(address above). 

CONTESTING RECORD PROCEDURES: 

(See above). 

RECORD SOURCE CATEGORIES: 

The information is compiled directly 

from the individual and from 

Department automated sources. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

None. 

[FR Doc. 2010–27667 Filed 11–1–10; 8:45 am] 

BILLING CODE 4710–24–P 

DEPARTMENT OF STATE 

[Public Notice: 7220] 

Waiver of Restriction on Assistance to 

the Government of Saudi Arabia 

Pursuant to Section 7041 of the 

Department of State, Foreign 

Operations, and Related Programs 

Appropriations Act, 2010 (Division F, 

Pub. L. 111–117) (‘‘the Act’’), I hereby 

determine that it is in the national 

interest of the United States to waive 

Section 7041 of the Act, and hereby 

waive this restriction. 

This determination shall be reported 

to the Congress, and published in the 

Federal Register. 

Dated: February 22, 2010. 

Hillary Rodham Clinton, 

Secretary of State. 

[FR Doc. 2010–27665 Filed 11–1–10; 8:45 am] 

BILLING CODE 4710–31–P 

DEPARTMENT OF TRANSPORTATION 

Federal Transit Administration 

Federal Fiscal Year 2011 Annual List of 

Certifications and Assurances for 

Federal Transit Administration Grants 

and Cooperative Agreements 

AGENCY: Federal Transit Administration, 

DOT. 

ACTION: Notice. 

SUMMARY: Pursuant to 49 U.S.C. 5323(n), 

FTA is authorized to consolidate the 

certifications and assurances required 

by Federal law or regulations for its 

programs into a single document. FTA 

is also required by 49 U.S.C. 5323(n) to 

publish a list of those certifications and 

assurances annually. 

Appendix A of this Notice contains 

the comprehensive compilation of 

FTA’s Certifications and Assurances 

applicable to the various Federal 

assistance programs that FTA will 

administer during Federal FY 2011. 

FTA’s Certifications and Assurances for 

Federal FY 2011 reflect Federal 

statutory, regulatory, and programmatic 

changes that have now become effective. 

DATES: Effective Date: These FTA 

Certifications and Assurances are 

effective on October 1, 2010, the first 

day of Federal FY 2011. 

FOR FURTHER INFORMATION CONTACT: FTA 

staff in the appropriate FTA Regional 

Office or FTA Metropolitan Office listed 

herein. For copies of other related 

documents and information, see the 

FTA Web site at http://www.fta.dot.gov 

or contact FTA’s Office of 

Administration at 202–366–4022. 

Region 1: Boston 

States served: Connecticut, Maine, 

Massachusetts, New Hampshire, Rhode 

Island, and Vermont. Telephone # 617– 

494–2055. 

Region 2: New York 

States served: New York and New 

Jersey. Telephone # 212–668–2170. 

Region 3: Philadelphia 

States served: Delaware, Maryland, 

Pennsylvania, Virginia, and West 

Virginia. Telephone # 215–656–7100. 

Region 4: Atlanta 

States served: Alabama, Florida, 

Georgia, Kentucky, Mississippi, North 

Carolina, South Carolina, Tennessee, 

Territories served: Puerto Rico and the 

U.S. Virgin Islands. Telephone # 404– 

865–5600. 

Region 5: Chicago 

States served: Illinois, Indiana, 

Michigan, Minnesota, Ohio, and 

Wisconsin. Telephone # 312–353–2789. 

Region 6: Dallas/Ft. Worth 

States served: Arkansas, Louisiana, 

New Mexico, Oklahoma, and Texas. 

Telephone # 817–978–0550. 

Region 7: Kansas City 

States served: Iowa, Kansas, Missouri, 

and Nebraska. Telephone # 816–329– 

3920. 

Region 8: Denver 

States served: Colorado, Montana, 

North Dakota, South Dakota, Utah, and 

Wyoming. Telephone # 720–963–3300. 

Region 9: San Francisco 

States served: Arizona, California, 

Hawaii, Nevada, Territories served: 

Guam, American Samoa, and the 

Northern Mariana Islands. Telephone 

#415–744–3133. 

Region 10: Seattle 

States served: Alaska, Idaho, Oregon, 

and Washington. Telephone # 206–220– 

7954. 

Chicago Metropolitan Office 

Area served: Chicago Metropolitan 

Area. Telephone # 312–886–1616. 

Los Angeles Metropolitan Office 

Area served: Los Angeles 

Metropolitan Area. Telephone # 213– 

202–3950. 

Lower Manhattan Recovery Office 

Area served: Lower Manhattan. 

Telephone # 212–668–1770. 

New York Metropolitan Office 

Area served: New York Metropolitan 

Area. Telephone # 212–668–2201. 

Philadelphia Metropolitan Office 

Area served: Philadelphia 

Metropolitan Area. Telephone # 215– 

656–7070. 

Washington DC Metropolitan Office 

Area served: Washington DC 

Metropolitan Area. Telephone # 202– 

219–3562/219–3565. 

SUPPLEMENTARY INFORMATION: 

1. Purposes 

The purposes of this Notice are to: 

• Publish FTA’s Federal FY 2011 

Certifications and Assurances for 

Applicants for Federal assistance 

administered by FTA and the Projects 

for which they seek Federal assistance 

awarded by FTA. 

• Highlight the changes within the 

new FTA Certifications and Assurances 

for Federal FY 2011 now in effect. 

• Identify locations where these FTA 

Certifications and Assurances may be 

viewed, and 

• Provide directions for submitting 

these FTA Certifications and Assurances 

for Federal FY 2011 to FTA. 

2. Background 

a. FTA’s Responsibilities. Since 

Federal FY 1995, FTA has been 

consolidating the various certifications 

and assurances that may be required of 

its Applicants and their projects into a 

single document for publication in the 

Federal Register. FTA intends to 

continue publishing this document 

annually, when feasible in conjunction 

with its publication of the FTA annual 

apportionment notice, which sets forth 

the allocations of funds made available 

by the latest U.S. Department of 

Transportation (U.S. DOT) annual 

appropriations act. Because U.S. DOT’s 

full-year appropriations for Federal FY 

2011 were not signed into law on 


hsrobinson on DSK69SOYB1PROD with NOTICES
67434 Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices 

October 1, 2010 (the first day of Federal 

FY 2011), and have not yet been signed 

into law, FTA is proceeding with 

publication of its Certifications and 

Assurances for Federal FY 2011. 

b. Applicant’s Responsibilities. 

Irrespective of whether a project will be 

financed under the authority of 49 

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

States Code, or another Federal statute, 

the Applicant must submit Federal FY 

2011 Certifications and Assurances to 

FTA applicable to all projects for which 

the Applicant seeks funding from FTA 

during Federal FY 2011. 

FTA requests that an Applicant 

submit all of the twenty-four (24) 

categories of the Certifications and 

Assurances that may be needed for all 

projects for which the Applicant intends 

to or might seek Federal assistance in 

the Federal FY 2011. Selecting and 

submitting these Certifications and 

Assurances to FTA signifies the 

Applicant’s intent and ability to comply 

with all applicable provisions thereof. 

In order to assure FTA that the 

Applicant is authorized under State and 

local law to certify compliance with the 

FTA Certifications and Assurances it 

has selected, FTA requires the 

Applicant to obtain a current (Federal 

FY 2011) affirmation signed by the 

Applicant’s attorney affirming the legal 

authority of the Applicant to certify its 

compliance with the FTA Certifications 

and Assurances that the Applicant has 

selected. The Applicant’s attorney must 

sign this affirmation during Federal FY 

2011. Irrespective of whether the 

Applicant makes a single selection of all 

twenty-four (24) categories of FTA 

Certifications and Assurances or selects 

individual categories from the FTA 

Certifications and Assurances, the 

Affirmation of Applicant’s Attorney 

from a previous Federal FY is not 

acceptable, unless FTA expressly 

determines otherwise in writing. 

c. Effect of Subrecipient Participation. 

Absent a written determination by FTA 

to the contrary, the Applicant itself is 

ultimately responsible for compliance 

with the FTA Certifications and 

Assurances it has selected even though 

the Project may be carried out in whole 

or in part by one or more subrecipients. 

Thus, if subrecipients will be 

participating in the Project, when the 

Applicant submits its FTA Certifications 

and Assurances, the Applicant is also 

signifying that it will be responsible for 

compliance, both by itself and by each 

of its subrecipients, with the provisions 

of the FTA Certifications and 

Assurances it has selected. Therefore, in 

providing Certifications and Assurances 

that necessarily involve the compliance 

of any prospective subrecipient, FTA 

strongly recommends that the Applicant 

take appropriate measures, including 

but not limited to obtaining sufficient 

documentation from each subrecipient 

participating in the project, to assure the 

validity of the Applicant’s Certifications 

and Assurances to FTA. 

3. Significant Information about FTA’s 

Certifications and Assurances for 

Federal FY 2011 

a. Legal Implications. 

(1) Binding Commitments. Because 

the Applicant is required by Federal law 

and Federal regulations to comply with 

the applicable provisions of all FTA 

Certifications and Assurances it 

submits, it is important that the 

Applicant be familiar with the 

provisions of all twenty-four (24) 

categories of FTA Certifications and 

Assurances for Federal FY 2011. The 

text of those Certifications and 

Assurances is contained in Appendix A 

of this Notice, and also appears at 

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

2011-Certs-Appendix.A.pdf, and in 

FTA’s electronic award and 

management system, TEAM–Web, 

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

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

Modify Recipients’’ page in the 

‘‘Recipients’’ option. Provisions of this 

Notice supersede conflicting statements 

in any FTA circular containing a 

previous version of FTA’s annual 

Certifications and Assurances. The 

Certifications and Assurances contained 

in those FTA circulars are merely 

examples, and are not acceptable or 

valid for Federal FY 2011. 

An Applicant’s annual Certifications 

and Assurances to FTA generally 

remain in effect for either the duration 

of the Grant or Cooperative Agreement 

supporting the Project until the Project 

is closed out or for the duration of the 

Project or Project property when a 

useful life or industry standard is in 

effect, whichever occurs later. If, 

however, the Applicant provides 

Certifications and Assurances to FTA in 

a later year that differ from the 

Certifications and Assurances 

previously provided, the later 

Certifications and Assurances will apply 

to the Grant, Cooperative Agreement, 

Project, or Project property, except to 

the extent FTA permits otherwise in 

writing. 

(2) Penalties for Noncompliance. If 

the Applicant makes a false, fictitious, 

or fraudulent claim, statement, 

submission, certification, assurance, or 

representation to the Federal 

government or includes a false, 

fictitious, or fraudulent statement or 

representation in any agreement with 

the Federal government in connection 

with a Project authorized under 49 

U.S.C. chapter 53 or any other Federal 

law, the Federal government reserves 

the right to impose on the Applicant the 

penalties of the Program Fraud Civil 

Remedies Act of 1986, as amended, 31 

U.S.C. 3801 et seq., and implementing 

U.S. DOT regulations, ‘‘Program Fraud 

Civil Remedies,’’ 49 CFR part 31, or the 

penalties of 49 U.S.C. 5323(l) invoking 

the criminal provisions of 18 U.S.C. 

1001, or other applicable Federal law to 

the extent the Federal government 

deems appropriate. 

(3) FTA’s Certifications and 

Assurances Constitute Only a Partial 

List of Federal Requirements. FTA 

cautions that the FTA Certifications and 

Assurances required by Federal law and 

regulations do not address all the 

Federal requirements that will apply to 

the Applicant and its Project. FTA’s 

Certifications and Assurances are 

generally pre-award requirements, i.e., 

those requirements of Federal law and 

regulations that the Applicant must 

fulfill before FTA is legally authorized 

to award Federal financial assistance to 

an Applicant. 

(4) Other Federal Requirements. 

Because FTA’s Certifications and 

Assurances do not encompass all 

Federal requirements that will apply to 

the Applicant and its Project, FTA 

strongly encourages the Applicant to 

review the Federal authorizing 

legislation, regulations, and directives 

pertaining to the program or programs 

for which the Applicant seeks Federal 

assistance. The FTA Master Agreement 

for Federal FY 2011 at http:// 

www.fta.dot.gov/documents/17- 

Master.pdf identifies a substantial 

number of those Federal laws, 

regulations, and directives that apply to 

Applicants and their various projects. 

b. Importance of FTA’s Certifications 

and Assurances for Federal FY 2011. 

Following publication of these 

Certifications and Assurances, FTA may 

not award Federal financial assistance 

through a Federal Grant or Cooperative 

Agreement until the Applicant submits 

all of the FTA Certifications and 

Assurances for Federal FY 2011 

pertaining to itself and its project as 

required by Federal laws and 

regulations. The Applicant’s 

Certifications and Assurances for 

Federal FY 2011 will be applicable to all 

projects for which it seeks Federal 

assistance during Federal FY 2011 and 

through the next Federal FY until FTA 

issues its annual Certifications and 

Assurances for Federal FY 2012. 

c. Federal FY 2011 Changes. Apart 

from minor editorial revisions, 

significant matters concerning FTA’s 


hsrobinson on DSK69SOYB1PROD with NOTICES
Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices 67435 

Certifications and Assurances include 

the following: 

(1) In the Introductory paragraphs 

preceding the text of FTA’s 

Certifications and Assurances, the FTA 

Web site for the FTA Master Agreement 

for Federal FY 2011 is identified as 

http://www.fta.dot.gov/documents/17- 

Master.pdf. 

(2) Certification (01), Subsection ‘‘B’’ 

has been revised to add a statement 

emphasizing that the FTA Master 

Agreement has always been 

incorporated by reference and made part 

of the FTA grant agreement and 

cooperative agreement and that the 

Applicant is certifying that it will 

comply with the edition of the FTA 

Master Agreement incorporated by 

reference and made part of the latest 

amendment to its grant agreement or 

cooperative agreement, as specified 

within that agreement. 

(3) A new Subsection ‘‘F’’ has been 

added to Certification (01), reinstating 

the Government-wide ‘‘Suspension and 

Debarment’’ certification. Due to serious 

concerns expressed by the Government 

Accountability Office, the U.S. DOT 

Inspector General, and U.S. DOT 

officials, FTA considers it prudent to reemphasize the importance of each 

Applicant identifying its status to FTA 

with respect to its eligibility for award 

of any FTA grant, loan (including a line 

of credit), cooperative agreement, loan 

guarantee, or loan insurance, or the 

extension, continuation, renewal, 

amendment, or modification of any 

Federal grant, loan (including a line of 

credit), cooperative agreement, loan 

guarantee, or loan insurance. Former 

Subsection ‘‘F’’ of Certification (01) has 

been re-numbered Subsection ‘‘G.’’ 

(4) The text of Certification (02), 

‘‘Lobbying Certification,’’ has been 

revised to substitute the current title of 

OMB’s Standard Form–LLL, ‘‘Disclosure 

Form to Report Lobbying,’’ currently in 

use. 

d. When to Submit. All Applicants for 

FTA formula program or capital 

program assistance, and current FTA 

Grantees with an active project financed 

with FTA formula program or capital 

program assistance, are expected to 

provide their FTA Certifications and 

Assurances for Federal FY 2011 within 

90 days from the date of this publication 

or as soon as feasible after their first 

application for Federal assistance 

authorized or made available for Federal 

FY 2011, whichever is earlier. In 

addition, FTA encourages Applicants 

seeking Federal assistance for other 

projects to submit their FTA 

Certifications and Assurances to FTA as 

soon as possible to expedite awards of 

FTA assistance. 

4. Ways to Submit FTA’S Certifications 

and Assurances 

As further explained, FTA will accept 

an Applicant’s Certifications and 

Assurances submitted either in TEAM– 

Web at http://ftateamweb.fta.dot.gov, or 

on paper containing the text set forth on 

the Signature Page(s) of Appendix A of 

this Notice. In order of preference, FTA 

permits: 

a. Electronic Submission in TeamWeb. An Applicant registered in TEAM– 

Web must submit its FTA Certifications 

and Assurances, as well as its 

applications for Federal assistance in 

TEAM–Web. FTA prefers that other 

Applicants for Federal assistance submit 

their FTA Certifications and Assurances 

through TEAM–Web. 

The TEAM–Web ‘‘Recipients’’ option 

at the ‘‘Cert’s & Assurances’’ tab of the 

‘‘View/Modify Recipients’’ page contains 

fields for selecting among the twentyfour (24) categories of FTA 

Certifications and Assurances to be 

submitted. There is also a field for 

entering a single selection covering all 

twenty-four (24) categories of FTA 

Certifications and Assurances. 

Within the ‘‘Cert’s & Assurances’’ tab 

is a field for the Applicant’s authorized 

representative to enter his or her 

personal identification number (PIN), 

which constitutes the Applicant’s 

electronic signature for the FTA 

Certifications and Assurances selected. 

In addition, there is a field for the 

Applicant’s attorney to enter his or her 

PIN, affirming the Applicant’s legal 

authority to make and comply with the 

FTA Certifications and Assurances the 

Applicant has selected. The Applicant’s 

authorized representative may enter his 

or her PIN in lieu of the Attorney’s PIN, 

provided that the Applicant has a 

current Affirmation of Applicant’s 

Attorney as set forth in Appendix A of 

this Notice, written and signed by the 

attorney in Federal FY 2011. 

For more information, the Applicant 

may contact the appropriate FTA 

Regional Office or Metropolitan Office 

listed in this Notice or the TEAM–Web 

Helpdesk. 

b. Paper Submission. Only if the 

Applicant is unable to submit its FTA 

Certifications and Assurances in 

TEAM–Web may the Applicant submit 

its FTA Certifications and Assurances 

on paper. 

If an Applicant is unable to submit its 

FTA Certifications and Assurances 

electronically, it must mark the 

categories of FTA Certifications and 

Assurances it is making on the 

Signature Page(s) in Appendix A of this 

Notice and submit them to FTA. The 

Applicant may signify compliance with 

all categories by placing a single mark 

in the appropriate space or select the 

categories applicable to itself and its 

projects. 

The Applicant must enter its 

signature on the Signature Page(s) and 

must provide an Affirmation of 

Applicant’s Attorney pertaining to the 

Applicant’s legal capacity to make and 

comply with the Certifications and 

Assurances the Applicant has selected. 

The Applicant may enter its signature in 

lieu of its Attorney’s signature in the 

Affirmation of Applicant’s Attorney 

section of the Signature Page(s), 

provided that the Applicant has on file 

the Affirmation of Applicant’s Attorney 

as set forth in Appendix A of this 

Notice, written and signed by the 

attorney and dated in Federal FY 2011. 

For more information, the Applicant 

may contact the appropriate FTA 

Regional Office or Metropolitan Office 

listed in this Notice. 

Authority: 49 U.S.C. chapter 53; the Safe, 

Accountable, Flexible, Efficient 

Transportation Equity Act: A Legacy for 

Users (SAFETEA–LU), as amended by the 

SAFETEA–LU Technical Corrections Act, 

2008, Pub. L. 110–244, June 6, 2008; Title 23, 

United States Code (Highways); other Federal 

laws administered by FTA; U.S. DOT and 

FTA regulations at Title 49, Code of Federal 

Regulations; and FTA Circulars. 

Issued in Washington, DC this 26th day of 

October 2010. 

Peter M. Rogoff, 

Administrator. 

FEDERAL FISCAL YEAR 2011 

CERTIFICATIONS AND ASSURANCES FOR 

FEDERAL TRANSIT ADMINISTRATION 

ASSISTANCE PROGRAMS 

PREFACE 

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

following certifications and assurances have 

been compiled for Federal Transit 

Administration (FTA) assistance programs. 

FTA requests each Applicant to provide as 

many certifications and assurances as 

needed for all programs for which the 

Applicant intends to seek FTA assistance 

during Federal Fiscal Year 2011. Category 01 

applies to all Applicants. Category 02 applies 

to all applications for Federal assistance in 

excess of $100,000. Categories 03 through 24 

will apply to and be required for some, but 

not all, Applicants and projects. An 

Applicant may select a single certification 

that will cover all the programs for which it 

anticipates submitting an application. FTA 

requests each Applicant to read each 

certification and assurance carefully and 

select all certifications and assurances that 

may apply to the programs for which it 

expects to seek Federal assistance. 

FTA and the Applicant understand and 

agree that not every provision of these 

certifications and assurances will apply to 

every Applicant or every project for which 

FTA provides Federal financial assistance 

through a Grant Agreement or Cooperative 


hsrobinson on DSK69SOYB1PROD with NOTICES
67436 Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices 

Agreement. The type of project and the 

section of the statute authorizing Federal 

financial assistance for the project will 

determine which provisions apply. The terms 

of these certifications and assurances reflect 

applicable requirements of FTA’s enabling 

legislation currently in effect. 

The Applicant also understands and 

agrees that these certifications and 

assurances are special pre-award 

requirements specifically prescribed by 

Federal law or regulation and do not 

encompass all Federal laws, regulations, and 

directives that may apply to the Applicant or 

its project. A comprehensive list of those 

Federal laws, regulations, and directives is 

contained in the FTA Master Agreement 

MA(17) for Federal Fiscal Year 2011 at the 

FTA Web site http://www.fta.dot.gov/ 

documents/17–Master.pdf. The certifications 

and assurances in this document have been 

streamlined to remove most provisions not 

covered by statutory or regulatory 

certification or assurance requirements. 

Because many requirements of these 

certifications and assurances will require the 

compliance of the subrecipient of an 

Applicant, we strongly recommend that each 

Applicant, including a State, that will be 

implementing projects through one or more 

subrecipients, secure sufficient 

documentation from each subrecipient to 

assure compliance, not only with these 

certifications and assurances, but also with 

the terms of the Grant Agreement or 

Cooperative Agreement for the project, and 

the applicable Master Agreement for its 

project, if applicable, incorporated therein by 

reference. Each Applicant is ultimately 

responsible for compliance with the 

provisions of the certifications and 

assurances applicable to itself or its project 

irrespective of participation in the project by 

any subrecipient. The Applicant understands 

and agrees that when it applies for FTA 

assistance on behalf of a consortium, joint 

venture, partnership, or team, each member 

of that consortium, joint venture, 

partnership, or team is responsible for 

compliance with the certifications and 

assurances the Applicant selects. 

FTA strongly encourages each Applicant to 

submit its certifications and assurances 

through TEAM–Web, FTA’s electronic award 

and management system, at http:// 

ftateamweb.fta.dot.gov. Twenty-four (24) 

Categories of certifications and assurances 

are listed by numbers 01 through 24 in the 

TEAM–Web ‘‘Recipients’’ option at the ‘‘Cert’s 

& Assurances’’ tab of ‘‘View/Modify 

Recipients.’’ Should the Applicant choose not 

to submit its certifications and assurances 

through TEAM–Web, the Applicant may 

submit its certifications and assurances on 

paper by submitting the Signature Page(s) at 

the end of this document, indicating the 

certifications and assurances it is making on 

one side of the document or on one page, and 

signing its affirmation and that of its attorney 

on the other side or other page. 

01. ASSURANCES REQUIRED FOR EACH 

APPLICANT 

Each Applicant for FTA assistance must 

provide all assurances in this Category ‘‘01.’’ 

Except to the extent that FTA expressly 

determines otherwise in writing, FTA may 

not award any Federal assistance until the 

Applicant provides the following assurances 

by selecting Category ‘‘01.’’ 

A. Assurance of Authority of the Applicant 

and Its Representative 

The authorized representative of the 

Applicant and the attorney who sign these 

certifications, assurances, and agreements 

affirm that both the Applicant and its 

authorized representative have adequate 

authority under applicable State, local, or 

Indian Tribal law and regulations, and the 

Applicant’s by-laws or internal rules to: 

(1) Execute and file the application for 

Federal assistance on behalf of the Applicant; 

(2) Execute and file the required 

certifications, assurances, and agreements on 

behalf of the Applicant binding the 

Applicant; and 

(3) Execute grant agreements and 

cooperative agreements with FTA on behalf 

of the Applicant. 

B. Standard Assurances 

The Applicant assures that it will comply 

with all applicable Federal statutes and 

regulations in carrying out any project 

supported by an FTA grant or cooperative 

agreement. The Applicant agrees that it is 

under a continuing obligation to comply with 

the terms and conditions of the FTA grant 

agreement or cooperative agreement, 

including the FTA Master Agreement that is 

incorporated by reference and made part of 

the latest amendment to its grant agreement 

or cooperative agreement with FTA issued 

for its project. The Applicant recognizes that 

Federal laws and regulations may be 

modified from time to time and those 

modifications may affect project 

implementation. The Applicant understands 

that Presidential executive orders and 

Federal directives, including Federal policies 

and program guidance may be issued 

concerning matters affecting the Applicant or 

its project. The Applicant agrees that the 

most recent Federal laws, regulations, and 

directives will apply to the project, unless 

FTA issues a written determination 

otherwise. 

C. Intergovernmental Review Assurance 

Except if the Applicant is an Indian Tribal 

government seeking assistance authorized by 

49 U.S.C. 5311(c)(1), the Applicant assures 

that each application for Federal assistance it 

submits to FTA has been submitted or will 

be submitted for intergovernmental review to 

the appropriate State and local agencies as 

determined by the State. Specifically, the 

Applicant assures that it has fulfilled or will 

fulfill the obligations imposed on FTA by 

U.S. Department of Transportation (U.S. 

DOT) regulations, ‘‘Intergovernmental Review 

of Department of Transportation Programs 

and Activities,’’ 49 CFR part 17. This 

assurance does not apply to Applicants for 

Federal assistance under FTA’s Tribal Transit 

Program, 49 U.S.C. 5311(c)(1). 

D. Nondiscrimination Assurance 

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

prohibits discrimination on the basis of race, 

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

prohibits discrimination in employment or 

business opportunity), by Title VI of the Civil 

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

2000d, and by U.S. DOT regulations, 

‘‘Nondiscrimination in Federally-Assisted 

Programs of the Department of 

Transportation—Effectuation of Title VI of 

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

the Applicant assures that it will comply 

with all requirements imposed by or issued 

pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d, 

and 49 CFR part 21, so that no person in the 

United States, on the basis of race, color, 

national origin, creed, sex, or age will be 

excluded from participation in, be denied the 

benefits of, or otherwise be subjected to 

discrimination in any program or activity 

(particularly in the level and quality of 

transportation services and transportationrelated benefits) for which the Applicant 

receives Federal assistance awarded by the 

U.S. DOT or FTA. 

Specifically, during the period in which 

Federal assistance is extended to the project, 

or project property is used for a purpose for 

which the Federal assistance is extended or 

for another purpose involving the provision 

of similar services or benefits, or as long as 

the Applicant retains ownership or 

possession of the project property, whichever 

is longer, the Applicant assures that: 

(1) Each project will be conducted, 

property acquisitions will be undertaken, and 

project facilities will be operated in 

accordance with all applicable requirements 

of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 

CFR part 21, and understands that this 

assurance extends to its entire facility and to 

facilities operated in connection with the 

project; 

(2) It will promptly take the necessary 

actions to effectuate this assurance, including 

notifying the public that complaints of 

discrimination in the provision of 

transportation-related services or benefits 

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

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

assures that it will submit the required 

information pertaining to its compliance with 

these provisions; 

(3) It will include in each subagreement, 

property transfer agreement, third party 

contract, third party subcontract, or 

participation agreement adequate provisions 

to extend the requirements imposed by or 

issued pursuant to 49 U.S.C. 5332, 42 U.S.C. 

2000d and 49 CFR part 21 to other parties 

involved therein including any subrecipient, 

transferee, third party contractor, third party 

subcontractor at any level, successor in 

interest, or any other participant in the 

project; 

(4) Should it transfer real property, 

structures, or improvements financed with 

Federal assistance provided by FTA to 

another party, any deeds and instruments 

recording the transfer of that property shall 

contain a covenant running with the land 

assuring nondiscrimination for the period 

during which the property is used for a 

purpose for which the Federal assistance is 

extended or for another purpose involving 

the provision of similar services or benefits; 

(5) The United States has a right to seek 

judicial enforcement with regard to any 

matter arising under Title VI of the Civil 

Rights Act, U.S. DOT implementing 

regulations, and this assurance; and 


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(6) It will make any changes in its Title VI 

implementing procedures as U.S. DOT or 

FTA may request to achieve compliance with 

the requirements imposed by or issued 

pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d, 

and 49 CFR part 21. 

E. Assurance of Nondiscrimination on the 

Basis of Disability 

As required by U.S. DOT regulations, 

‘‘Nondiscrimination on the Basis of Handicap 

in Programs and Activities Receiving or 

Benefiting from Federal Financial 

Assistance,’’ at 49 CFR 27.9, the Applicant 

assures that, as a condition to the approval 

or extension of any Federal assistance 

awarded by FTA to construct any facility, 

obtain any rolling stock or other equipment, 

undertake studies, conduct research, or to 

participate in or obtain any benefit from any 

program administered by FTA, no otherwise 

qualified person with a disability shall be, 

solely by reason of that disability, excluded 

from participation in, denied the benefits of, 

or otherwise subjected to discrimination in 

any program or activity receiving or 

benefiting from Federal assistance 

administered by the FTA or any entity within 

U.S. DOT. The Applicant assures that project 

implementation and operations so assisted 

will comply with all applicable requirements 

of U.S. DOT regulations implementing the 

Rehabilitation Act of 1973, as amended, 29 

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

Disabilities Act of 1990, as amended, 42 

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

DOT regulations at 49 CFR parts 27, 37, and 

38, and any other applicable Federal laws 

that may be enacted or Federal regulations 

that may be promulgated. 

F. Suspension and Debarment 

In accordance with the terms of U.S. DOT 

regulations, ‘‘Nonprocurement Suspension 

and Debarment,’’ 2 CFR Part 1200, which 

adopts and supplements the provisions of 

U.S. Office of Management and Budget (U.S. 

OMB) ‘‘Guidelines to Agencies on 

Governmentwide Debarment and Suspension 

(Nonprocurement),’’ 2 CFR Part 180: 

(1) The Applicant (Primary Participant) 

certifies to the best of its knowledge and 

belief, that it and its principals, including its 

first tier subrecipients: 

(a) Are not presently debarred, suspended, 

proposed for debarment, declared ineligible, 

or voluntarily excluded or disqualified from 

covered transactions by any Federal 

department or agency; 

(b) Have not within a three-year period 

preceding its latest application or proposal 

been convicted of or had a civil judgment 

rendered against any of them for commission 

of fraud or a criminal offense in connection 

with obtaining, attempting to obtain, or 

performing a public (Federal, State, or local) 

transaction, or contract under a public 

transaction; violation of any Federal or State 

antitrust statute; or commission of 

embezzlement, theft, forgery, bribery, 

falsification or destruction of records, making 

any false statement, or receiving stolen 

property; 

(c) Are not presently indicted for or 

otherwise criminally or civilly charged by a 

governmental entity (Federal, State, or local) 

with commission of any of the offenses listed 

in subparagraph (1)(b) of this certification; 

(d) Have not within a three-year period 

preceding this certification had one or more 

public transactions (Federal, State, or local) 

terminated for cause or default. 

(2) The Applicant (Primary Participant) 

certifies that it and its principals, including 

its first tier subrecipients, will treat each 

lower tier contract or lower tier subcontract 

under the Project that (a) equals or exceeds 

$25,000, (b) is for audit services, or (3) 

requires the consent of a Federal official, as 

a covered contract for purposes of 2 CFR Part 

1200 and 2 CFR Part 180, and will otherwise 

comply with the Federal requirements of 2 

CFR Part 1200 and 2 CFR Part 180, and will 

assure that each lower tier participant 

involved in the Project is not presently 

debarred, suspended, proposed for 

debarment, declared ineligible, or voluntarily 

excluded or disqualified from participation 

in this transaction by any Federal department 

or agency; 

(3) The Applicant (Primary Participant) 

certifies that if, later, it or its principals, 

including any of its first tier subrecipients, 

become aware of any information 

contradicting the statements of 

subparagraphs (1)(a) through (d) above, it 

will promptly provide any necessary 

information to FTA; 

(4) If the Applicant (Primary Participant) or 

any of its principals, including any of its first 

tier subrecipients or lower tier participants, 

is unable to certify to the statements within 

paragraphs (1), (2), and (3) above, the 

Applicant shall indicate so on its Signature 

Page or a Page attached in FTA’s TEAM 

system providing a written explanation to 

FTA. 

G. U.S. OMB Assurances 

Consistent with U.S. OMB assurances set 

forth in SF–424B and SF–424D, the 

Applicant assures that, with respect to itself 

or its project, the Applicant: 

(1) Has the legal authority to apply for 

Federal assistance and the institutional, 

managerial, and financial capability 

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

planning, management, and completion of 

the project described in its application; 

(2) Will give FTA, the Comptroller General 

of the United States, and, if appropriate, the 

State, through any authorized representative, 

access to and the right to examine all records, 

books, papers, or documents related to the 

award; and will establish a proper accounting 

system in accordance with generally 

accepted accounting standards or agency 

directives; 

(3) Will establish safeguards to prohibit 

employees from using their positions for a 

purpose that constitutes or presents the 

appearance of personal or organizational 

conflict of interest or personal gain; 

(4) Will initiate and complete the work 

within the applicable project time periods 

following receipt of FTA approval; 

(5) Will comply with all applicable Federal 

statutes relating to nondiscrimination 

including, but not limited to: 

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

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

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

(b) Title IX of the Education Amendments 

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

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

regulations, ‘‘Nondiscrimination on the Basis 

of Sex in Education Programs or Activities 

Receiving Federal Financial Assistance,’’ 49 

CFR part 25, which prohibit discrimination 

on the basis of sex; 

(c) Section 504 of the Rehabilitation Act of 

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

prohibits discrimination on the basis of 

disability; 

(d) The Age Discrimination Act of 1975, as 

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

which prohibits discrimination on the basis 

of age; 

(e) The Drug Abuse Office and Treatment 

Act of 1972, as amended, 21 U.S.C. 1101 et 

seq., relating to nondiscrimination on the 

basis of drug abuse; 

(f) The Comprehensive Alcohol Abuse and 

Alcoholism Prevention Act of 1970, as 

amended, 42 U.S.C. 4541 et seq. relating to 

nondiscrimination on the basis of alcohol 

abuse or alcoholism; 

(g) The Public Health Service Act of 1912, 

as amended, 42 U.S.C. 290dd through 

290dd–2., relating to confidentiality of 

alcohol and drug abuse patient records; 

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

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

nondiscrimination in the sale, rental, or 

financing of housing; and 

(i) Any other nondiscrimination statute(s) 

that may apply to the project; 

(6) To the extent applicable, will comply 

with, or has complied with, the requirements 

of Titles II and III of the Uniform Relocation 

Assistance and Real Property Acquisition 

Policies Act of 1970, as amended, (Uniform 

Relocation Act) 42 U.S.C. 4601 et seq., 

which, among other things, provide for fair 

and equitable treatment of persons displaced 

or persons whose property is acquired as a 

result of Federally assisted programs. These 

requirements apply to all interests in real 

property acquired for project purposes and 

displacement caused by the project 

regardless of Federal participation in any 

purchase. As required by sections 210 and 

305 of the Uniform Relocation Act, 42 U.S.C. 

4630 and 4655, and by U.S. DOT regulations, 

‘‘Uniform Relocation Assistance and Real 

Property Acquisition for Federal and 

Federally Assisted Programs,’’ 49 CFR 24.4, 

the Applicant assures that it has the requisite 

authority under applicable State and local 

law to comply with the requirements of the 

Uniform Relocation Act, 42 U.S.C. 4601 et 

seq., and U.S. DOT regulations, ‘‘Uniform 

Relocation Assistance and Real Property 

Acquisition for Federal and Federally 

Assisted Programs,’’ 49 CFR part 24, and will 

comply with that Act or has complied with 

that Act and those implementing regulations, 

including but not limited to the following: 

(a) The Applicant will adequately inform 

each affected person of the benefits, policies, 

and procedures provided for in 49 CFR part 

24; 

(b) The Applicant will provide fair and 

reasonable relocation payments and 

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

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

applicable FTA procedures, to or for families, 

individuals, partnerships, corporations, or 


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associations displaced as a result of any 

project financed with FTA assistance; 

(c) The Applicant will provide relocation 

assistance programs offering the services 

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

displaced families, individuals, partnerships, 

corporations, or associations in the manner 

provided in 49 CFR part 24; 

(d) Within a reasonable time before 

displacement, the Applicant will make 

available comparable replacement dwellings 

to displaced families and individuals as 

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

(e) The Applicant will carry out the 

relocation process in such manner as to 

provide displaced persons with uniform and 

consistent services, and will make available 

replacement housing in the same range of 

choices with respect to such housing to all 

displaced persons regardless of race, color, 

religion, or national origin; 

(f) In acquiring real property, the Applicant 

will be guided to the greatest extent 

practicable under State law, by the real 

property acquisition policies of 42 U.S.C. 

4651 and 4652; 

(g) The Applicant will pay or reimburse 

property owners for their necessary expenses 

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

the understanding that FTA will provide 

Federal financial assistance for the 

Applicant’s eligible costs of providing 

payments for those expenses, as required by 

42 U.S.C. 4631; 

(h) The Applicant will execute such 

amendments to third party contracts and 

subagreements financed with FTA assistance 

and execute, furnish, and be bound by such 

additional documents as FTA may determine 

necessary to effectuate or implement the 

assurances provided herein; and 

(i) The Applicant agrees to make these 

assurances part of or incorporate them by 

reference into any third party contract or 

subagreement, or any amendments thereto, 

relating to any project financed by FTA 

involving relocation or land acquisition and 

provide in any affected document that these 

relocation and land acquisition provisions 

shall supersede any conflicting provisions; 

(7) To the extent applicable, will comply 

with the Davis-Bacon Act, as amended, 40 

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

and at 40 U.S.C. 3145, and the Contract Work 

Hours and Safety Standards Act, as amended, 

40 U.S.C. 3701 et seq., regarding labor 

standards for Federally assisted projects; 

(8) To the extent applicable, will comply 

with the flood insurance purchase 

requirements of section 102(a) of the Flood 

Disaster Protection Act of 1973, as amended, 

42 U.S.C. 4012a(a), requiring the Applicant 

and its subrecipients in a special flood 

hazard area to participate in the program and 

purchase flood insurance if the total cost of 

insurable construction and acquisition is 

$10,000 or more; 

(9) To the extent applicable, will comply 

with the Lead-Based Paint Poisoning 

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

prohibits the use of lead-based paint in the 

construction or rehabilitation of residence 

structures; 

(10) To the extent applicable, will not 

dispose of, modify the use of, or change the 

terms of the real property title or other 

interest in the site and facilities on which a 

construction project supported with FTA 

assistance takes place without permission 

and instructions from FTA; 

(11) To the extent required by FTA, will 

record the Federal interest in the title of real 

property, and will include a covenant in the 

title of real property acquired in whole or in 

part with Federal assistance funds to assure 

nondiscrimination during the useful life of 

the project; 

(12) To the extent applicable, will comply 

with FTA provisions concerning the drafting, 

review, and approval of construction plans 

and specifications of any construction project 

supported with FTA assistance. As required 

by U.S. DOT regulations, ‘‘Seismic Safety,’’ 49 

CFR 41.117(d), before accepting delivery of 

any building financed with FTA assistance, 

it will obtain a certificate of compliance with 

the seismic design and construction 

requirements of 49 CFR part 41; 

(13) To the extent applicable, will provide 

and maintain competent and adequate 

engineering supervision at the construction 

site of any project supported with FTA 

assistance to assure that the complete work 

conforms with the approved plans and 

specifications, and will furnish progress 

reports and such other information as may be 

required by FTA or the State; 

(14) To the extent applicable, will comply 

with any applicable environmental standards 

that may be prescribed to implement the 

following Federal laws and executive orders: 

(a) Institution of environmental quality 

control measures under the National 

Environmental Policy Act of 1969, as 

amended, 42 U.S.C. 4321 through 4335 and 

Executive Order No. 11514, as amended, 42 

U.S.C. 4321 note; 

(b) Notification of violating facilities 

pursuant to Executive Order No. 11738, 42 

U.S.C. 7606 note; 

(c) Protection of wetlands pursuant to 

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

note; 

(d) Evaluation of flood hazards in 

floodplains in accordance with Executive 

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

(e) Assurance of project consistency with 

the approved State management program 

developed pursuant to the requirements of 

the Coastal Zone Management Act of 1972, as 

amended, 16 U.S.C. 1451 through 1465; 

(f) Conformity of Federal actions to State 

(Clean Air) Implementation Plans under 

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

as amended, 42 U.S.C. 7401 through 7671q; 

(g) Protection of underground sources of 

drinking water under the Safe Drinking 

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

300f through 300j–6; 

(h) Protection of endangered species under 

the Endangered Species Act of 1973, as 

amended, 16 U.S.C. 1531 through 1544; and 

(i) Environmental protections for Federal 

transportation programs, including, but not 

limited to, protections for parks, recreation 

areas, or wildlife or waterfowl refuges of 

national, State, or local significance or any 

land from a historic site of national, State, or 

local significance to be used in a 

transportation project as required by 49 

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

(j) Protection of the components of the 

national wild and scenic rivers systems, as 

required under the Wild and Scenic Rivers 

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

through 1287; and 

(k) Provision of assistance to FTA in 

complying with section 106 of the National 

Historic Preservation Act of 1966, as 

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

Archaeological and Historic Preservation Act 

of 1974, as amended, 16 U.S.C. 469 through 

469c; and with Executive Order No. 11593 

(identification and protection of historic 

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

(15) To the extent applicable, will comply 

with the requirements of the Hatch Act, 5 

U.S.C. 1501 through 1508 and 7324 through 

7326, which limit the political activities of 

State and local agencies and their officers 

and employees whose primary employment 

activities are financed in whole or part with 

Federal funds including a Federal loan, grant 

agreement, or cooperative agreement except, 

in accordance with 49 U.S.C. 5307(k)(2) and 

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

apply to a nonsupervisory employee of a 

public transportation system (or of any other 

agency or entity performing related 

functions) receiving FTA assistance to whom 

that Act does not otherwise apply; 

(16) To the extent applicable, will comply 

with the National Research Act, Pub. L. 93– 

348, July 12, 1974, as amended, 42 U.S.C. 289 

et seq., and U.S. DOT regulations, ‘‘Protection 

of Human Subjects,’’ 49 CFR part 11, 

regarding the protection of human subjects 

involved in research, development, and 

related activities supported by Federal 

assistance; 

(17) To the extent applicable, will comply 

with the Animal Welfare Act, as amended, 7 

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

Agriculture regulations, ‘‘Animal Welfare,’’ 9 

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

regarding the care, handling, and treatment of 

warm blooded animals held or used for 

research, teaching, or other activities 

supported by Federal assistance; 

(18) Will have performed the financial and 

compliance audits as required by the Single 

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

7501 et seq., U.S. OMB Circular A–133, 

‘‘Audits of States, Local Governments, and 

Non-Profit Organizations,’’ Revised, and the 

most recent applicable U.S. OMB A–133 

Compliance Supplement provisions for the 

U.S. DOT; and 

(19) To the extent applicable, will comply 

with all applicable provisions of all other 

Federal laws or regulations, and follow 

Federal directives governing the project, 

except to the extent that FTA has expressly 

approved otherwise in writing. 

02. LOBBYING CERTIFICATION 

An Applicant that submits or intends to 

submit an application to FTA for any Federal 

grant, loan (including a line of credit), 

cooperative agreement, loan guarantee, or 

loan insurance exceeding $100,000 is 

required to provide the following 

certification. FTA may not award Federal 

grant, loan (including a line of credit), 

cooperative agreement, loan guarantee, or 

loan insurance exceeding $100,000 until the 

Applicant provides this certification by 

selecting Category ‘‘02.’’ 


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A. As required by 31 U.S.C. 1352 and U.S. 

DOT regulations, ‘‘New Restrictions on 

Lobbying,’’ at 49 CFR 20.110, the Applicant’s 

authorized representative certifies to the best 

of his or her knowledge and belief that for 

each application to U.S. DOT or FTA for a 

Federal grant, loan (including a line of 

credit), cooperative agreement, or a 

commitment that the Federal Government to 

guarantee or insure a loan exceeding 

$100,000: 

(1) No Federal appropriated funds have 

been or will be paid by or on behalf of the 

Applicant to any person to influence or 

attempt to influence an officer or employee 

of any Federal agency, a Member of Congress, 

an officer or employee of Congress, or an 

employee of a Member of Congress regarding 

the award of a Federal grant, loan (including 

a line of credit), cooperative agreement, loan 

guarantee, or loan insurance, or the 

extension, continuation, renewal, 

amendment, or modification of any Federal 

grant, loan (including a line of credit), 

cooperative agreement, loan guarantee, or 

loan insurance; 

(2) If any funds other than Federal 

appropriated funds have been or will be paid 

to any person to influence or attempt to 

influence an officer or employee of any 

Federal agency, a Member of Congress, an 

officer or employee of Congress, or an 

employee of a Member of Congress in 

connection with any application for a Federal 

grant, loan (including a line of credit), 

cooperative agreement, loan guarantee, or 

loan insurance, the Applicant assures that it 

will complete and submit Standard FormLLL, ‘‘Disclosure Form to Report Lobbying,’’ 

in accordance with its instructions; and 

(3) The language of this certification shall 

be included in the award documents for all 

subawards at all tiers (including 

subcontracts, subgrants, subagreements, and 

contracts under grants, loans (including a 

line of credit), cooperative agreements, loan 

guarantees, and loan insurance). 

B. The Applicant understands that this 

certification is a material representation of 

fact upon which reliance is placed by the 

Federal government and that submission of 

this certification is a prerequisite for 

providing a Federal grant, loan (including a 

line of credit), cooperative agreement, loan 

guarantee, or loan insurance for a transaction 

covered by 31 U.S.C. 1352. The Applicant 

also understands that any person who fails to 

file a required certification shall be subject to 

a civil penalty of not less than $10,000 and 

not more than $100,000 for each such failure. 

03. PROCUREMENT COMPLIANCE 

In accordance with 49 CFR 18.36(g)(3)(ii), 

each Applicant that is a State, local, or 

Indian Tribal government that is seeking 

Federal assistance to acquire property or 

services in support of its project is requested 

to provide the following certification by 

selecting Category ‘‘03.’’ FTA also requests 

other Applicants to provide the following 

certification. An Applicant for FTA 

assistance to acquire property or services in 

support of its project that fails to provide this 

certification may be determined ineligible for 

award of Federal assistance for the project, 

if FTA determines that its procurement 

practices and procurement system fail to 

comply with Federal laws or regulations in 

accordance with applicable Federal 

directives. 

The Applicant certifies that its 

procurements and procurement system will 

comply with all applicable Federal laws and 

regulations in accordance with applicable 

Federal directives, except to the extent FTA 

has expressly approved otherwise in writing. 

04. PROTECTIONS FOR PRIVATE 

TRANSPORTATION PROVIDERS 

Each Applicant that is a State, local, or 

Indian Tribal government that is seeking 

Federal assistance authorized under 49 

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

an interest in the property of a private 

provider of public transportation or to 

operate public transportation equipment or 

facilities in competition with, or operate 

public transportation equipment or facilities 

in addition to, transportation service 

provided by an existing private provider of 

public transportation is required to provide 

the following certification. FTA may not 

award Federal assistance for such a project 

until the Applicant provides this certification 

by selecting Category ‘‘04.’’ 

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

Applicant certifies that before it acquires the 

property or an interest in the property of a 

private provider of public transportation or 

operates public transportation equipment or 

facilities in competition with, or in addition 

to, transportation service provided by an 

existing public transportation company, it 

has or will have: 

A. Determined that the assistance is 

essential to carrying out a program of projects 

as required by 49 U.S.C. 5303, 5304, and 

5306; 

B. Provided for the participation of private 

companies engaged in public transportation 

to the maximum extent feasible; and 

C. Paid just compensation under State or 

local law to the company for any franchise 

or property acquired. 

05. PUBLIC HEARING 

An Applicant seeking Federal assistance 

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

capital project that will substantially affect a 

community or a community’s public 

transportation service is required to provide 

the following certification. FTA may not 

award Federal assistance for a capital project 

of that type until the Applicant provides this 

certification by selecting Category ‘‘05.’’ 

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

proposed capital project that will 

substantially affect a community, or the 

public transportation service of a community, 

the Applicant certifies that it has, or before 

submitting its application, it will have: 

A. Provided an adequate opportunity for 

public review and comment on the proposed 

project; 

B. After providing notice, including a 

concise description of the proposed project, 

published in a newspaper of general 

circulation in the geographic area to be 

served, held a public hearing on the project 

if the project affects significant economic, 

social, or environmental interests; 

C. Considered the economic, social, and 

environmental effects of the proposed 

project; and 

D. Determined that the proposed project is 

consistent with official plans for developing 

the community. 

06. ACQUISITION OF ROLLING STOCK 

FOR USE IN REVENUE SERVICE 

An Applicant seeking Federal assistance 

authorized under 49 U.S.C. chapter 53 to 

acquire any rolling stock for use in revenue 

service is required to provide the following 

certification. FTA may not award any Federal 

assistance to acquire such rolling stock until 

the Applicant provides this certification by 

selecting Category ‘‘06.’’ 

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

implementing FTA regulations, ‘‘Pre-Award 

and Post-Delivery Audits of Rolling Stock 

Purchases,’’ 49 CFR part 663, at 49 CFR 663.7, 

the Applicant certifies that it will comply 

with the requirements of 49 CFR part 663 as 

modified by amendments authorized by 

section 3023(k) of SAFETEA–LU when 

procuring revenue service rolling stock. 

Among other things, the Applicant agrees to 

conduct or cause to be conducted the 

requisite pre-award and post delivery 

reviews, and maintain on file the 

certifications required by 49 CFR part 663, 

subparts B, C, and D. 

07. ACQUISITION OF CAPITAL ASSETS BY 

LEASE 

An Applicant that intends to request the 

use of Federal assistance authorized under 

49 U.S.C. chapter 53 to acquire capital assets 

by lease is required to provide the following 

certifications. FTA may not provide Federal 

assistance to support those costs until the 

Applicant provides this certification by 

selecting Category ‘‘07.’’ 

As required by FTA regulations, ‘‘Capital 

Leases,’’ 49 CFR part 639, at 49 CFR 

639.15(b)(1) and 49 CFR 639.21, if the 

Applicant acquires any capital asset by lease 

financed with Federal assistance authorized 

under 49 U.S.C. chapter 53, the Applicant 

certifies as follows: 

(1) It will not use Federal assistance 

authorized under 49 U.S.C. chapter 53 to 

finance the cost of leasing any capital asset 

until it performs calculations demonstrating 

that leasing the capital asset would be more 

cost-effective than purchasing or constructing 

a similar asset; and it will complete these 

calculations before entering into the lease or 

before receiving a capital grant for the asset, 

whichever is later; and 

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

which FTA can provide only incremental 

Federal assistance unless it has adequate 

financial resources to meet its future 

obligations under the lease if Federal 

assistance is not available for capital projects 

in the subsequent years. 

08. BUS TESTING 

An Applicant for Federal assistance 

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

chapter 53 to acquire any new bus model or 

any bus model with a new major change in 

configuration or components is required to 

provide the following certification. FTA may 

not provide Federal assistance for the 

acquisition of any new bus model or bus 


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model with a major change until the 

Applicant provides this certification by 

selecting Category ‘‘08.’’ 

As required by 49 U.S.C. 5318 and FTA 

regulations, ‘‘Bus Testing,’’ at 49 CFR 665.7, 

the Applicant certifies that, before expending 

any Federal assistance to acquire the first bus 

of any new bus model or any bus model with 

a new major change in configuration or 

components, or before authorizing final 

acceptance of that bus (as described in 49 

CFR part 665): 

A. The bus model will have been tested at 

FTA’s bus testing facility; and 

B. The Applicant will have received a copy 

of the test report prepared on the bus model. 

09. CHARTER SERVICE AGREEMENT 

An Applicant seeking Federal assistance 

authorized under 49 U.S.C. chapter 53 

(except as permitted by 49 CFR 604.2), or 

under 23 U.S.C. 133 or 142, to acquire or 

operate any public transportation equipment 

or facilities is required to enter into the 

following Charter Service Agreement. FTA 

may not provide Federal assistance 

authorized under 49 U.S.C. chapter 53 

(except as permitted by 49 CFR 604.2), or 

under 23 U.S.C. 133 or 142, for such projects 

until the Applicant enters into this Charter 

Service Agreement by selecting Category 

‘‘09.’’ 

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

and FTA regulations at 49 CFR 604.4, the 

Applicant understands and agrees that it and 

each subrecipient, lessee, third party 

contractor, or other participant in the project 

at any tier may provide charter service for 

transportation projects that uses equipment 

or facilities acquired with Federal assistance 

authorized under the Federal transit laws 

(except as permitted by 49 CFR 604.2), or 

under 23 U.S.C. 133 or 142, only in 

compliance with those laws and FTA 

regulations, ‘‘Charter Service,’’ 49 CFR part 

604, the terms and conditions of which are 

incorporated herein by reference. 

B. The Applicant understands and agrees 

that: 

(1) The requirements of FTA regulations, 

‘‘Charter Service,’’ 49 CFR part 604, will 

apply to any charter service it or its 

subrecipients, lessees, third party 

contractors, or other participants in the 

project provide; 

(2) The definitions of FTA regulations, 

‘‘Charter Service,’’ 49 CFR part 604, will 

apply to this Charter Service Agreement; and 

(3) A pattern of violations of this Charter 

Service Agreement may require corrective 

measures and imposition of remedies, 

including barring the Applicant, 

subrecipient, lessee, third party contractor, or 

other participant in the project that has 

engaged in that pattern of violations from 

receiving FTA financial assistance, or 

withholding an amount of Federal assistance 

as set forth in FTA regulations, ‘‘Charter 

Service,’’ 49 CFR part 604, Appendix D. 

10. SCHOOL TRANSPORTATION 

AGREEMENT 

An Applicant that is seeking Federal 

assistance authorized under 49 U.S.C. 

chapter 53 or under 23 U.S.C. 133 or 142 to 

acquire or operate public transportation 

facilities and equipment is required to enter 

into the following School Transportation 

Agreement. FTA may not provide Federal 

assistance authorized under 49 U.S.C. 

chapter 53 or under 23 U.S.C. 133 or 142 for 

such projects until the Applicant enters into 

this School Transportation Agreement by 

selecting Category ‘‘10.’’ 

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

and FTA regulations at 49 CFR 605.14, the 

Applicant understands and agrees that it and 

each subrecipient, lessee, third party 

contractor, or other participant in the project 

at any tier may engage in school 

transportation operations in competition 

with private school transportation operators 

that uses equipment or facilities acquired 

with Federal assistance authorized under the 

Federal transit laws or under 23 U.S.C. 133 

or 142, only in compliance with those laws 

and FTA regulations, ‘‘School Bus 

Operations,’’ 49 CFR part 605, to the extent 

consistent with 49 U.S.C. 5323(f) or (g), the 

terms and conditions of which are 

incorporated herein by reference. 

B. The Applicant understands and agrees 

that: 

(1) The requirements of FTA regulations, 

‘‘School Bus Operations,’’ 49 CFR part 605, to 

the extent consistent with 49 U.S.C. 5323(f) 

or (g), will apply to any school transportation 

service it or its subrecipients, lessees, third 

party contractors, or other participants in the 

project provide; 

(2) The definitions of FTA regulations, 

‘‘School Bus Operations,’’ 49 CFR part 605 

will apply to this School Transportation 

Agreement; and 

(3) If there is a violation of this School 

Transportation Agreement, FTA will bar the 

Applicant, subrecipient, lessee, third party 

contractor, or other participant in the project 

that has violated this School Transportation 

Agreement from receiving Federal transit 

assistance in an amount FTA considers 

appropriate. 

11. DEMAND RESPONSIVE SERVICE 

An Applicant that operates demand 

responsive service and applies for direct 

Federal assistance authorized under 49 

U.S.C. chapter 53 to acquire non-rail public 

transportation vehicles is required to provide 

the following certification. FTA may not 

award direct Federal assistance authorized 

under 49 U.S.C. chapter 53 to an Applicant 

that operates demand responsive service to 

acquire non-rail public transportation 

vehicles until the Applicant provides this 

certification by selecting Category ‘‘11.’’ 

As required by U.S. DOT regulations, 

‘‘Transportation Services for Individuals with 

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

Applicant certifies that its demand 

responsive service offered to individuals 

with disabilities, including individuals who 

use wheelchairs, is equivalent to the level 

and quality of service offered to individuals 

without disabilities. Viewed in its entirety, 

the Applicant’s service for individuals with 

disabilities is provided in the most integrated 

setting feasible and is equivalent with respect 

to: (1) response time, (2) fares, (3) geographic 

service area, (4) hours and days of service, (5) 

restrictions on trip purpose, (6) availability of 

information and reservation capability, and 

(7) constraints on capacity or service 

availability. 

12. ALCOHOL MISUSE AND PROHIBITED 

DRUG USE 

If the Applicant is required by FTA 

regulations, ‘‘Prevention of Alcohol Misuse 

and Prohibited Drug Use in Transit 

Operations,’’ at 49 CFR part 655, to provide 

the following certification concerning its 

activities to prevent alcohol misuse and 

prohibited drug use in its public 

transportation operations, FTA may not 

provide Federal assistance to that Applicant 

until it provides this certification by selecting 

Category ‘‘12.’’ 

As required by FTA regulations, 

‘‘Prevention of Alcohol Misuse and 

Prohibited Drug Use in Transit Operations,’’ 

at 49 CFR part 655, subpart I, the Applicant 

certifies that it has established and 

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

comply with all applicable requirements of 

FTA regulations, ‘‘Prevention of Alcohol 

Misuse and Prohibited Drug Use in Transit 

Operations,’’ 49 CFR part 655. 

13. INTEREST AND OTHER FINANCING 

COSTS 

An Applicant that intends to request the 

use of Federal assistance for reimbursement 

of interest or other financing costs incurred 

for its capital projects financed with Federal 

assistance under the Urbanized Area 

Formula Program, the Capital Investment 

Program, or the Paul S. Sarbanes Transit in 

Parks Program is required to provide the 

following certification. FTA may not provide 

Federal assistance to support interest or 

other financing costs until the Applicant 

provides this certification by selecting 

Category ‘‘13.’’ 

As required by 49 U.S.C. 5307(g)(3), 

5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), 

5309(i)(2)(C), and 5320(h)(2)(C), the 

Applicant certifies that it will not seek 

reimbursement for interest or other financing 

costs unless it is eligible to receive Federal 

assistance for those costs and its records 

demonstrate that it has used reasonable 

diligence in seeking the most favorable 

financing terms underlying those costs, to the 

extent FTA may require. 

14. INTELLIGENT TRANSPORTATION 

SYSTEMS 

An Applicant for FTA assistance for an 

Intelligent Transportation Systems (ITS) 

project, defined as any project that in whole 

or in part finances the acquisition of 

technologies or systems of technologies that 

provide or significantly contribute to the 

provision of one or more ITS user services as 

defined in the ‘‘National ITS Architecture,’’ is 

requested to provide the following assurance. 

FTA strongly encourages any Applicant for 

FTA financial assistance to support an ITS 

project to provide this assurance by selecting 

Category ‘‘14.’’ An Applicant for FTA 

assistance for an ITS project that fails to 

provide this assurance, without providing 

other documentation assuring its 

commitment to comply with applicable 

Federal ITS standards and protocols, may be 

determined ineligible for award of Federal 

assistance for the ITS project. 


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As used in this assurance, the term 

Intelligent Transportation Systems (ITS) 

project is defined to include any project that 

in whole or in part finances the acquisition 

of technologies or systems of technologies 

that provide or significantly contribute to the 

provision of one or more ITS user services as 

defined in the ‘‘National ITS Architecture.’’ 

A. As provided in subsection 5307(c) of 

SAFETEA–LU, 23 U.S.C. 512 note, apart from 

certain exceptions, ‘‘intelligent transportation 

system projects carried out using funds made 

available from the Highway Trust Fund, 

including funds made available under this 

subtitle to deploy intelligent transportation 

system technologies, [shall] conform to the 

national architecture, applicable standards or 

provisional standards, and protocols 

developed under subsection (a) [of section 

5307 of SAFETEA–LU].’’ To facilitate 

compliance with subsection 5307(c) of 

SAFETEA–LU, 23 U.S.C. 512 note, the 

Applicant assures it will comply with all 

applicable provisions of Section V (Regional 

ITS Architecture) and Section VI (Project 

Implementation) of FTA Notice, ‘‘FTA 

National ITS Architecture Policy on Transit 

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

2001, and other FTA policies that may be 

issued in connection with any ITS project it 

undertakes financed with funds authorized 

under Title 49 or Title 23, United States 

Code, except to the extent that FTA expressly 

determines otherwise in writing; and 

B. With respect to any ITS project financed 

with Federal assistance derived from a source 

other than Title 49 or Title 23, United States 

Code, the Applicant assures that it will use 

its best efforts to assure that any ITS project 

it undertakes will not preclude interface with 

other intelligent transportation systems in the 

Region. 

15. URBANIZED AREA FORMULA 

PROGRAM 

Each Applicant for Urbanized Area 

Formula Program assistance authorized 

under 49 U.S.C. 5307 is required to provide 

the following certifications on behalf of itself 

and any subrecipients participating in its 

projects. Unless FTA determines otherwise in 

writing, the Applicant is ultimately 

responsible for compliance with its 

certifications and assurances even though a 

subrecipient, lessee, third party contractor, or 

other participant may participate in that 

project. Consequently, in providing 

certifications and assurances that involve the 

compliance of its prospective subrecipients, 

the Applicant is strongly encouraged to take 

appropriate measures, including but not 

limited to obtaining sufficient documentation 

from each subrecipient, to assure the validity 

of all certifications and assurances the 

Applicant has made to FTA. If, however a 

‘‘Designated Recipient’’ as defined at 49 

U.S.C. 5307(a)(2)(A) enters into a 

Supplemental Agreement with FTA and a 

Prospective Grantee, that Grantee is 

recognized as the Applicant for Urbanized 

Area Formula Program assistance and must 

provide the following certifications and 

assurances. 

Each Applicant is required by 49 U.S.C. 

5307(d)(1)(J) to expend at least one (1) 

percent of its Urbanized Area Formula 

Program assistance for public transportation 

security projects, unless the Applicant has 

certified that such expenditures are not 

necessary. Information about the Applicant’s 

intentions will be recorded in the ‘‘Security’’ 

tab page of the TEAM-Web ‘‘Project 

Information’’ window when the Applicant 

enters its Urbanized Area Formula Program 

application in TEAM-Web. 

FTA may not award Urbanized Area 

Formula Program assistance to any 

Applicant that is required by 49 U.S.C. 

5307(d)(1)(K) to expend one (1) percent of its 

Urbanized Area Formula Program assistance 

for eligible transit enhancements unless that 

Applicant’s quarterly report for the fourth 

quarter of the preceding Federal fiscal year 

has been submitted to FTA and includes the 

requisite list or the Applicant attaches in 

TEAM-Web or includes in its quarterly report 

information sufficient to demonstrate that 

the Designated Recipients in its area together 

have expended one (1) percent of the amount 

of Urbanized Area Program assistance made 

available to them for transit enhancement 

projects. 

FTA may not award Federal assistance for 

the Urbanized Area Formula Program to the 

Applicant until the Applicant provides these 

certifications and assurances by selecting 

Category ‘‘15.’’ 

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

Applicant certifies as follows: 

A. In compliance with 49 U.S.C. 

5307(d)(1)(A), the Applicant has or will have 

the legal, financial, and technical capacity to 

carry out its proposed program of projects, 

including the safety and security aspects of 

that program; 

B. In compliance with 49 U.S.C. 

5307(d)(1)(B), the Applicant has or will have 

satisfactory continuing control over the use 

of Project equipment and facilities; 

C. In compliance with 49 U.S.C. 

5307(d)(1)(C), the Applicant will adequately 

maintain the Project equipment and facilities; 

D. In compliance with 49 U.S.C. 

5307(d)(1)(D), the Applicant will assure that 

any elderly individual, any individual with 

disabilities, or any person presenting a 

Medicare card issued to himself or herself 

pursuant to title II or title XVIII of the Social 

Security Act (42 U.S.C. 401 et seq. or 42 

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

transportation during non-peak hours using 

or involving a facility or equipment of a 

project financed with Federal assistance 

authorized for 49 U.S.C. 5307, not more than 

fifty (50) percent of the peak hour fare; 

E. In compliance with 49 U.S.C. 

5307(d)(1)(E), the Applicant, in carrying out 

a procurement financed with Federal 

assistance authorized under 49 U.S.C. 5307: 

(1) will use competitive procurement (as 

defined or approved by FTA), (2) will not use 

exclusionary or discriminatory specifications 

in its procurements, (3) will comply with 

applicable Buy America laws, and (4) will 

comply with the general provisions for FTA 

assistance of 49 U.S.C. 5323 and the third 

party procurement requirements of 49 U.S.C. 

5325; 

F. In compliance with 49 U.S.C. 

5307(d)(1)(F), the Applicant has complied 

with or will comply with the requirements of 

49 U.S.C. 5307(c). Specifically, the 

Applicant: (1) has made available, or will 

make available, to the public information on 

the amounts available for the Urbanized Area 

Formula Program, 49 U.S.C. 5307, and the 

program of projects it proposes to undertake; 

(2) has developed or will develop, in 

consultation with interested parties 

including private transportation providers, a 

proposed program of projects for activities to 

be financed; (3) has published or will publish 

a proposed program of projects in a way that 

affected citizens, private transportation 

providers, and local elected officials have the 

opportunity to examine the proposed 

program and submit comments on the 

proposed program and the performance of 

the Applicant; (4) has provided or will 

provide an opportunity for a public hearing 

to obtain the views of citizens on the 

proposed program of projects; (5) has assured 

or will assure that the proposed program of 

projects provides for the coordination of 

transportation services assisted under 49 

U.S.C. 5336 with transportation services 

assisted by another Federal government 

source; (6) has considered or will consider 

the comments and views received, especially 

those of private transportation providers, in 

preparing its final program of projects; and 

(7) has made or will make the final program 

of projects available to the public; 

G. In compliance with 49 U.S.C. 

5307(d)(1)(G), the Applicant has or will have 

available and will provide the amount of 

funds required by 49 U.S.C. 5307(e) for the 

local share, and that those funds will be 

provided from approved non-Federal sources 

except as permitted by Federal law; 

H. In compliance with 49 U.S.C. 

5307(d)(1)(H), the Applicant will comply 

with: (1) 49 U.S.C. 5301(a) (requirements for 

public transportation systems that maximize 

the safe, secure, and efficient mobility of 

individuals, minimize environmental 

impacts, and minimize transportation-related 

fuel consumption and reliance on foreign 

oil); (2) 49 U.S.C. 5301(d) (special efforts to 

design and provide public transportation for 

elderly individuals and individuals with 

disabilities); and (3) 49 U.S.C. 5303 through 

5306 (planning and private enterprise 

requirements); 

I. In compliance with 49 U.S.C. 

5307(d)(1)(I), the Applicant has a locally 

developed process to solicit and consider 

public comment before raising a fare or 

implementing a major reduction of public 

transportation; 

J. In compliance with 49 U.S.C. 

5307(d)(1)(J), each Federal fiscal year, the 

Applicant will spend at least one (1) percent 

of its funds authorized by 49 U.S.C. 5307 for 

public transportation security projects, 

unless the Applicant has certified to FTA 

that such expenditures are not necessary. 

Public transportation security projects 

include increased lighting in or adjacent to 

a public transportation system (including bus 

stops, subway stations, parking lots, and 

garages), increased camera surveillance of an 

area in or adjacent to that system, emergency 

telephone line or lines to contact law 

enforcement or security personnel in an area 

in or adjacent to that system, and any other 

project intended to increase the security and 

safety of existing or planned public 

transportation; and 


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K. In compliance with 49 U.S.C. 

5307(d)(1)(K), if the Applicant is a 

Designated Recipient serving an urbanized 

area with a population of at least 200,000, (1) 

the Applicant certifies either that it has 

expended or will expend for transit 

enhancements as defined at 49 U.S.C. 

5302(a)(15) not less than one (1) percent of 

the amount of the Urbanized Area Formula 

Assistance it receives this Federal fiscal year, 

or that at least one Designated Recipient in 

its urbanized area has certified or will certify 

that the Designated Recipients within that 

urbanized area together have expended or 

will expend for transit enhancements as 

defined at 49 U.S.C. 5302(a)(15) not less than 

one (1) percent of the total amounts the 

Designated Recipients receive each Federal 

fiscal year under 49 U.S.C. 5307, and (2) 

either the Applicant has listed or will list the 

transit enhancement projects it has carried 

out with those funds, or at least one 

Designated Recipient in the Applicant’s 

urbanized area has listed or will list the 

transit enhancement projects carried out with 

funds authorized under 49 U.S.C. 5307. If the 

Designated Recipient’s quarterly report for 

the fourth quarter of the preceding Federal 

fiscal year includes a list of transit 

enhancement projects the Designated 

Recipients in its urbanized area have 

implemented during that preceding Federal 

fiscal year using those funds, the information 

in that quarterly report will fulfill the 

requirements of 49 U.S.C. 5307(d)(1)(K)(ii), 

and thus that quarterly report will be 

incorporated by reference and made part of 

the Designated Recipient’s and Applicant’s 

certifications and assurances. 

16. CLEAN FUELS GRANT PROGRAM 

Each Applicant for Clean Fuels Grant 

Program assistance authorized under 49 

U.S.C. 5308 is required to provide the 

following certifications on behalf of itself and 

its subrecipients. Unless FTA determines 

otherwise in writing, the Applicant is 

ultimately responsible for compliance with 

its certifications and assurances even though 

a subrecipient, lessee, third party contractor, 

or other participant may participate in that 

project. Consequently, in providing 

certifications and assurances that involve the 

compliance of its prospective subrecipients, 

the Applicant is strongly encouraged to take 

the appropriate measures, including but not 

limited to obtaining sufficient documentation 

from each subrecipient, to assure the validity 

of all certifications and assurances the 

Applicant has made to FTA. FTA may not 

award Federal assistance for the Clean Fuels 

Grant Program until the Applicant provides 

these certifications by selecting Category 

‘‘16.’’ 

As required by 49 U.S.C. 5308(d)(1), which 

makes the requirements of 49 U.S.C. 5307 

applicable to Clean Fuels Grant Program 

assistance, and 49 U.S.C. 5307(d)(1), the 

designated recipient or the recipient serving 

as the Applicant on behalf of the designated 

recipient, or the State or State organization 

serving as the Applicant on behalf of the 

State, certifies as follows: 

A. In compliance with 49 U.S.C. 

5307(d)(1)(A), the Applicant has or will have 

the legal, financial, and technical capacity to 

carry out its proposed program of projects, 

including the safety and security aspects of 

that program; 

B. In compliance with 49 U.S.C. 

5307(d)(1)(B), the Applicant has or will have 

satisfactory continuing control over the use 

of project equipment and facilities; 

C. In compliance with 49 U.S.C. 

5307(d)(1)(C), the Applicant will adequately 

maintain the project equipment and facilities; 

D. In compliance with 49 U.S.C. 

5307(d)(1)(D), the Applicant will assure that 

any elderly individual, any individual with 

disabilities, or any person presenting a 

Medicare card issued to himself or herself 

pursuant to title II or title XVIII of the Social 

Security Act (42 U.S.C. 401 et seq. or 42 

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

transportation during non-peak hours using 

or involving a facility or equipment of a 

project financed with Federal assistance 

authorized under 49 U.S.C. 5308, not more 

than fifty (50) percent of the peak hour fare; 

E. In compliance with 49 U.S.C. 

5307(d)(1)(E), the Applicant, in carrying out 

a procurement financed with Federal 

assistance authorized under 49 U.S.C. 5308: 

(1) will use competitive procurement (as 

defined or approved by FTA), (2) will not use 

exclusionary or discriminatory specifications 

in its procurements, (3) will comply with 

applicable Buy America laws, and (4) will 

comply with the general provisions for FTA 

assistance of 49 U.S.C. 5323 and the third 

party procurement requirements of 49 U.S.C. 

5325; 

F. In compliance with 49 U.S.C. 

5307(d)(1)(F), the Applicant has complied 

with or will comply with the requirements of 

49 U.S.C. 5307(c). Specifically, the 

Applicant: (1) has made available, or will 

make available, to the public information on 

the amounts available for the Clean Fuels 

Grant Program, 49 U.S.C. 5308, and the 

projects it proposes to undertake; (2) has 

developed or will develop, in consultation 

with interested parties including private 

transportation providers, the proposed 

projects to be financed; (3) has published or 

will publish a list of the proposed projects in 

a way that affected citizens, private 

transportation providers, and local elected 

officials have the opportunity to examine the 

proposed projects and submit comments on 

the proposed projects and the performance of 

the Applicant; (4) has provided or will 

provide an opportunity for a public hearing 

to obtain the views of citizens on the 

proposed projects; (5) has assured or will 

assure that the proposed projects provide for 

the coordination of transportation services 

assisted under 49 U.S.C. 5336 with 

transportation services assisted by another 

Federal government source; (6) has 

considered or will consider the comments 

and views received, especially those of 

private transportation providers, in preparing 

its final list of projects; and (7) has made or 

will make the final list of projects available 

to the public; 

G. In compliance with 49 U.S.C. 

5307(d)(1)(G), the Applicant has or will have 

available and will provide the amount of 

funds required by 49 U.S.C. 5308(d)(2) for the 

local share, and that those funds will be 

provided from approved non-Federal sources 

except as permitted by Federal law; 

H. In compliance with 49 U.S.C. 

5307(d)(1)(H), the Applicant will comply 

with: (1) 49 U.S.C. 5301(a) (requirements for 

public transportation systems that maximize 

the safe, secure, and efficient mobility of 

individuals, minimize environmental 

impacts, and minimize transportation-related 

fuel consumption and reliance on foreign 

oil); (2) 49 U.S.C. 5301(d) (special efforts to 

design and provide public transportation for 

elderly individuals and individuals with 

disabilities); and (3) 49 U.S.C. 5303 through 

5306 (planning and private enterprise 

requirements); 

I. In compliance with 49 U.S.C. 

5307(d)(1)(I), the Applicant has a locally 

developed process to solicit and consider 

public comment before raising a fare or 

implementing a major reduction of public 

transportation; and 

J. The Applicant certifies it will operate 

vehicles purchased with Federal assistance 

provided under the Clean Fuels Grant 

Program, 49 U.S.C. 5308 only with clean 

fuels. 

17. ELDERLY INDIVIDUALS AND 

INDIVIDUALS WITH DISABILITIES 

FORMULA GRANT PROGRAM AND PILOT 

PROGRAM 

Before FTA may award Elderly Individuals 

and Individuals with Disabilities Formula 

Grant Program assistance and, if applicable, 

Elderly Individuals and Individuals with 

Disabilities Pilot Program assistance to a 

State, the U.S. Secretary of Transportation or 

his or her designee is required to make the 

pre-award determinations required by 49 

U.S.C. 5310. Because certain information is 

needed before FTA can make those 

determinations, each State is requested to 

provide the following certifications 

assurances on behalf of itself and its 

subrecipients. Unless FTA determines 

otherwise in writing, the State itself is 

ultimately responsible for compliance with 

its certifications and assurances even though 

a subrecipient, lessee, third party contractor, 

or other participant may participate in that 

project. Consequently, in providing 

certifications and assurances that involve the 

compliance of its prospective subrecipients, 

the State is strongly encouraged to take the 

appropriate measures, including but not 

limited to obtaining sufficient documentation 

from each subrecipient, to assure the validity 

of all certifications and assurances the State 

has made to FTA. A State that fails to 

provide these certifications and assurances 

on behalf of itself and its subrecipients may 

be determined ineligible for a grant of 

Federal assistance under 49 U.S.C. 5310 if 

FTA lacks sufficient information from which 

to make those determinations required by 

Federal laws and regulations governing the 

Elderly Individuals and Individuals with 

Disabilities Formula Grant Program and, if 

applicable, the Elderly Individuals and 

Individuals with Disabilities Pilot Program 

authorized by 49 U.S.C. 5310 and section 

3012 of SAFETEA–LU, respectively. The 

State is thus requested to select Category 

‘‘17.’’ 

A. As required by 49 U.S.C. 5310(d), which 

makes the requirements of 49 U.S.C. 5307 

applicable to the Elderly Individuals and 


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Individuals with Disabilities Formula Grant 

Program to the extent that the Federal Transit 

Administrator or his or her designee 

determines appropriate, and 49 U.S.C. 

5307(d)(1), the State or State organization 

serving as the Applicant (State) and that 

administers, on behalf of the State, the 

Elderly Individuals and Individuals with 

Disabilities Program authorized by 49 U.S.C. 

5310, and, if applicable, the Elderly 

Individuals and Individuals with Disabilities 

Pilot Program authorized by subsection 

3012(b) of SAFETEA–LU, 49 U.S.C. 5310 

note, certifies and assures on behalf of itself 

and its subrecipients as follows: 

(1) In compliance with 49 U.S.C. 

5307(d)(1)(A), the Applicant has or will have 

the legal, financial, and technical capacity to 

carry out its proposed program of projects, 

including the safety and security aspects of 

that program; 

(2) In compliance with 49 U.S.C. 

5307(d)(1)(B), the Applicant has or will have 

satisfactory continuing control over the use 

of project equipment and facilities; 

(3) In compliance with 49 U.S.C. 

5307(d)(1)(C), the Applicant will adequately 

maintain the project equipment and facilities; 

(4) In compliance with 49 U.S.C. 

5307(d)(1)(E), the Applicant, in carrying out 

a procurement financed with Federal 

assistance authorized under 49 U.S.C. 5310 

or subsection 3012(b) of SAFETEA–LU: (1) 

will use competitive procurement (as defined 

or approved by FTA), (2) will not use 

exclusionary or discriminatory specifications 

in its procurements, (3) will comply with 

applicable Buy America laws, and (4) will 

comply with the general provisions for FTA 

assistance of 49 U.S.C. 5323 and the third 

party procurement requirements of 49 U.S.C. 

5325; 

(5) The State has or will have available and 

will provide the amount of funds required by 

49 U.S.C. 5310(c), and if applicable by 

subsections 3012(b)(3) and (4) of SAFETEA– 

LU, for the local share, and that those funds 

will be provided from approved non-Federal 

sources except as permitted by Federal law; 

and 

(6) In compliance with 49 U.S.C. 

5307(d)(1)(H), the Applicant will comply 

with: (1) 49 U.S.C. 5301(a) (requirements for 

public transportation systems that maximize 

the safe, secure, and efficient mobility of 

individuals, minimize environmental 

impacts, and minimize transportation-related 

fuel consumption and reliance on foreign 

oil); (2) 49 U.S.C. 5301(d) (special efforts to 

design and provide public transportation for 

elderly individuals and individuals with 

disabilities); and (3) 49 U.S.C. 5303 through 

5306 (planning and private enterprise 

requirements); 

B. The State assures that each subrecipient 

either is recognized under State law as a 

private nonprofit organization with the legal 

capability to contract with the State to carry 

out the proposed project, or is a public body 

that has met the statutory requirements to 

receive Federal assistance authorized for 49 

U.S.C. 5310; 

C. The private nonprofit subrecipient’s 

application for 49 U.S.C. 5310 assistance 

contains information from which the State 

concludes that the transit service provided or 

offered to be provided by existing public or 

private transit operators is unavailable, 

insufficient, or inappropriate to meet the 

special needs of the elderly and persons with 

disabilities; 

D. In compliance with 49 U.S.C. 

5310(d)(2)(A) and subsection 3012(b)(2) of 

SAFETEA–LU, the State certifies that, before 

it transfers funds to a project funded under 

49 U.S.C. 5336, that project has been or will 

have been coordinated with private nonprofit 

providers of services under 49 U.S.C. 5310; 

E. In compliance with 49 U.S.C. 

5310(d)(2)(C), the State certifies that 

allocations to subrecipients of financial 

assistance authorized under 49 U.S.C. 5310 

or subsection 3012(b) of SAFETEA–LU will 

be distributed on a fair and equitable basis; 

and 

F. In compliance with 49 U.S.C. 

5310(d)(2)(B) and subsection 3012(b)(2) of 

SAFETEA–LU, the State certifies that: (1) 

projects it has selected or will select for 

assistance under that program were derived 

from a locally developed, coordinated public 

transit-human services transportation plan; 

and (2) the plan was developed through a 

process that included representatives of 

public, private, and nonprofit transportation 

and human services providers and 

participation by the public. 

18. NONURBANIZED AREA FORMULA 

PROGRAM FOR STATES 

The provisions of 49 U.S.C. 5311 

establishing the Nonurbanized Area Formula 

Program for States do not impose, as a precondition of award, any explicit certification 

or assurance requirements established 

specifically for that program. Only a State or 

a State organization acting as the Recipient 

on behalf of a State (State) may be a direct 

recipient of this Nonurbanized Area Formula 

Program assistance. Separate certifications 

and assurances have been established in 

Category 22 for an Indian Tribe that is an 

Applicant for Tribal Transit Program 

assistance authorized by 49 U.S.C. 

5311(c)(1). 

Before FTA may award Nonurbanized Area 

Formula Program assistance to a State, the 

U.S. Secretary of Transportation or his or her 

designee is required to make the pre-award 

determinations required by 49 U.S.C. 5311. 

Because certain information is needed before 

FTA can make those determinations, each 

State is requested to provide the following 

certifications and assurances on behalf of 

itself and its subrecipients. Unless FTA 

determines otherwise in writing, the State 

itself is ultimately responsible for compliance 

with its certifications and assurances even 

though a subrecipient, lessee, third party 

contractor, or other participant may 

participate in that project. Consequently, in 

providing certifications and assurances that 

involve the compliance of its prospective 

subrecipients, the State is strongly 

encouraged to take the appropriate 

measures, including but not limited to 

obtaining sufficient documentation from 

each subrecipient, to assure the validity of all 

certifications and assurances the State has 

made to FTA. A State that fails to provide 

these certifications and assurances on behalf 

of itself and its subrecipients may be 

determined ineligible for a grant of Federal 

assistance under 49 U.S.C. 5311 if FTA lacks 

sufficient information from which to make 

those determinations required by Federal 

laws and regulations governing the 

Nonurbanized Area Formula Program 

authorized by 49 U.S.C. 5311. The State is 

thus requested to select Category ‘‘18.’’ 

The State or State organization serving as 

the Applicant and that administers, on behalf 

of the State (State) the Nonurbanized Area 

Formula Program for States authorized by 49 

U.S.C. 5311, assures on behalf of itself and 

its subrecipients as follows: 

A. The State has or will have the necessary 

legal, financial, and managerial capability to 

apply for, receive, and disburse Federal 

assistance authorized for 49 U.S.C. 5311; and 

to carry out each project, including the safety 

and security aspects of that project; 

B. The State has or will have satisfactory 

continuing control over the use of project 

equipment and facilities; 

C. The State assures that the project 

equipment and facilities will be adequately 

maintained; 

D. In compliance with 49 U.S.C. 

5311(b)(2)(C)(i), the State’s program has 

provided for a fair distribution of Federal 

assistance authorized for 49 U.S.C. 5311 

within the State, including Indian 

reservations within the State; 

E. In compliance with 49 U.S.C. 

5311(b)(2)(C)(ii), the State’s program provides 

or will provide the maximum feasible 

coordination of public transportation service 

to receive assistance under 49 U.S.C. 5311 

with transportation service assisted by other 

Federal sources; 

F. The projects in the State’s Nonurbanized 

Area Formula Program are included in the 

Statewide Transportation Improvement 

Program and, to the extent applicable, the 

projects are included in a metropolitan 

Transportation Improvement Program; 

G. The State has or will have available and 

will provide the amount of funds required by 

49 U.S.C. 5311(g) for the local share, and that 

those funds will be provided from approved 

non-Federal sources except as permitted by 

Federal law; and 

H. In compliance with 49 U.S.C. 5311(f), 

the State will expend not less than fifteen 

(15) percent of its Federal assistance 

authorized under 49 U.S.C. 5311 to develop 

and support intercity bus transportation 

within the State, unless the chief executive 

officer of the State, or his or her designee, 

after consultation with affected intercity bus 

service providers, certifies to the Federal 

Transit Administrator, apart from these 

certifications and assurances herein, that the 

intercity bus service needs of the State are 

being adequately met. 

19. JOB ACCESS AND REVERSE COMMUTE 

FORMULA GRANT PROGRAM 

Each Applicant for Job Access and Reverse 

Commute (JARC) Formula Grant Program 

assistance authorized under 49 U.S.C. 5316 

is required to provide the following 

certifications on behalf of itself and any 

subrecipient that may be implementing its 

project. Unless FTA determines otherwise in 

writing, the Applicant itself is ultimately 

responsible for compliance with its 


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certifications and assurances even though a 

subrecipient, lessee, third party contractor, or 

other participant may participate in that 

project. Consequently, in providing 

certifications and assurances that involve the 

compliance of its prospective subrecipients, 

the Applicant is strongly encouraged to take 

the appropriate measures, including but not 

limited to obtaining sufficient documentation 

from each subrecipient, to assure the validity 

of all certifications and assurances the 

Applicant has made to FTA. FTA may not 

award Federal assistance for the JARC 

Formula Grant Program until the Applicant 

provides these certifications by selecting 

Category ‘‘19.’’ 

A. As required by 49 U.S.C. 5316(f)(1), 

which makes the requirements of 49 U.S.C. 

5307 applicable to Job Access and Reverse 

Commute (JARC) formula grants, and 49 

U.S.C. 5307(d)(1), the Applicant for JARC 

Formula Program assistance authorized 

under 49 U.S.C. 5316, certifies on behalf of 

itself and its subrecipients, if any, as follows: 

(1) In compliance with 49 U.S.C. 

5307(d)(1)(A), the Applicant has or will have 

the legal, financial, and technical capacity to 

carry out its proposed program of projects, 

including the safety and security aspects of 

that program; 

(2) In compliance with 49 U.S.C. 

5307(d)(1)(B), the Applicant has or will have 

satisfactory continuing control over the use 

of project equipment and facilities; 

(3) In compliance with 49 U.S.C. 

5307(d)(1)(C), the Applicant will adequately 

maintain the project equipment and facilities; 

(4) In compliance with 49 U.S.C. 

5307(d)(1)(D), the Applicant will assure that 

any elderly individual, any individual with 

disabilities, or any person presenting a 

Medicare card issued to himself or herself 

pursuant to title II or title XVIII of the Social 

Security Act (42 U.S.C. 401 et seq. or 42 

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

transportation during non-peak hours using 

or involving a facility or equipment of a 

project financed with Federal assistance 

authorized under 49 U.S.C. 5316 not more 

than fifty (50) percent of the peak hour fare; 

(5) In compliance with 49 U.S.C. 

5307(d)(1)(E), the Applicant, in carrying out 

a procurement financed with Federal 

assistance authorized under 49 U.S.C. 5316: 

(1) will use competitive procurement (as 

defined or approved by FTA), (2) will not use 

exclusionary or discriminatory specifications 

in its procurements, (3) will comply with 

applicable Buy America laws, and (4) will 

comply with the general provisions for FTA 

assistance of 49 U.S.C. 5323 and the third 

party procurement requirements of 49 U.S.C. 

5325; 

(6) In compliance with 49 U.S.C. 5316(f)(1) 

and 49 U.S.C. 5307(d)(1)(F), the Applicant 

certifies that (1) with respect to financial 

assistance authorized under 49 U.S.C. 5316, 

it will conduct in cooperation with the 

appropriate MPO an areawide solicitation for 

applications, and make awards on a 

competitive basis and (2) with respect to 

financial assistance authorized under 49 

U.S.C. 5316, it will conduct a statewide 

solicitation for applications, and make 

awards on a competitive basis; and that these 

activities will be carried out in a manner that 

complies with or will comply with 49 U.S.C. 

5307(c); 

(7) The Applicant has or will have 

available and will provide the amount of 

funds required by 49 U.S.C. 5316(h) for the 

local share, and that those funds will be 

provided from approved non-Federal sources 

except as permitted by Federal law; and 

(8) In compliance with 49 U.S.C. 

5307(d)(1)(H), the Applicant will comply 

with: (1) 49 U.S.C. 5301(a) (requirements for 

public transportation systems that maximize 

the safe, secure, and efficient mobility of 

individuals, minimize environmental 

impacts, and minimize transportation-related 

fuel consumption and reliance on foreign 

oil); and (2) 49 U.S.C. 5301(d) (special efforts 

to design and provide public transportation 

for elderly individuals and individuals with 

disabilities); and (3) 49 U.S.C. 5303 through 

5306 (planning and private enterprise 

requirements); 

B. In compliance with 49 U.S.C. 5316(d), 

the Applicant certifies that (1) with respect 

to financial assistance authorized under 49 

U.S.C. 5316(c)(1)(A), it will conduct in 

cooperation with the appropriate MPO an 

areawide solicitation for applications, and 

make awards on a competitive basis and (2) 

with respect to financial assistance 

authorized under 49 U.S.C. 5316(c)(1)(B) or 

49 U.S.C. 5316(c)(1)(C), it will conduct a 

statewide solicitation for applications, and 

make awards on a competitive basis; 

C. In compliance with 49 U.S.C. 5316(f)(2), 

the Applicant certifies that any allocations to 

subrecipients of financial assistance 

authorized under 49 U.S.C. 5316 will be 

distributed on a fair and equitable basis; 

D. In compliance with 49 U.S.C. 5316(g)(2), 

the Applicant certifies that, before it transfers 

funds to a project funded under 49 U.S.C. 

5336, that project has been or will have been 

coordinated with private nonprofit providers 

of services; 

E. In compliance with 49 U.S.C. 5316(g)(3), 

the Applicant certifies that: (1) the projects 

it has selected or will select for assistance 

under that program were derived from a 

locally developed, coordinated public transithuman services transportation plan; and (2) 

the plan was developed through a process 

that included representatives of public, 

private, and nonprofit transportation and 

human services providers and participation 

by the public; and 

F. In compliance with 49 U.S.C. 5316(c)(3), 

before the Applicant uses funding 

apportioned under 49 U.S.C. 5316(c)(1)(B) or 

(C) for projects serving an area other than that 

specified in 49 U.S.C. 5316(2)(B) or (C), the 

Applicant certifies that the chief executive 

officer of the State, or his or her designee will 

have certified to the Federal Transit 

Administrator, apart from these certifications 

herein, that all of the objectives of 49 U.S.C. 

5316 are being met in the area from which 

such funding would be derived. 

20. NEW FREEDOM PROGRAM 

Each Applicant for New Freedom Program 

assistance authorized under 49 U.S.C. 5317 

must provide the following certifications on 

behalf of itself and any subrecipient that may 

be implementing its project. Unless FTA 

determines otherwise in writing, the 

Applicant itself is ultimately responsible for 

compliance with its certifications and 

assurances even though a subrecipient, 

lessee, third party contractor, or other 

participant may participate in that project. 

Consequently, in providing certifications and 

assurances that involve the compliance of its 

prospective subrecipients, the Applicant is 

strongly encouraged to take the appropriate 

measures, including but not limited to 

obtaining sufficient documentation from 

each subrecipient, to assure the validity of all 

certifications and assurances the Applicant 

has made to FTA. FTA may not award 

Federal assistance for the New Freedom 

Program until the Applicant provides these 

certifications by selecting Category ‘‘20.’’ 

A. As required by 49 U.S.C. 5317(e)(1), 

which makes the requirements of 49 U.S.C. 

5310 applicable to New Freedom grants to 

the extent the Federal Transit Administrator 

or his or her designee determines 

appropriate, by 49 U.S.C. 5310(d)(1), which 

makes the requirements of 49 U.S.C. 5307 

applicable to Elderly Individuals and 

Individuals with Disabilities Formula grants 

to the extent the Federal Transit 

Administrator or his or her designee 

determines appropriate, and by 49 U.S.C. 

5307(d)(1), the Applicant for New Freedom 

Program assistance authorized under 49 

U.S.C. 5317 certifies and assures on behalf of 

itself and its subrecipients, if any, as follows: 

(1) In compliance with 49 U.S.C. 

5307(d)(1)(A), the Applicant has or will have 

the legal, financial, and technical capacity to 

carry out its proposed program of projects, 

including the safety and security aspects of 

that program; 

(2) In compliance with 49 U.S.C. 

5307(d)(1)(B), the Applicant has or will have 

satisfactory continuing control over the use 

of project equipment and facilities; 

(3) In compliance with 49 U.S.C. 

5307(d)(1)(C), the Applicant will adequately 

maintain the project equipment and facilities; 

(4) In compliance with 49 U.S.C. 

5307(d)(1)(E), the Applicant, in carrying out 

a procurement financed with Federal 

assistance authorized under 49 U.S.C. 5317: 

(1) will use competitive procurement (as 

defined or approved by FTA), (2) will not use 

exclusionary or discriminatory specifications 

in its procurements, (3) will comply with 

applicable Buy America laws, and (4) will 

comply with the general provisions for FTA 

assistance of 49 U.S.C. 5323 and the third 

party procurement requirements of 49 U.S.C. 

5325; 

(5) The Applicant has or will have 

available and will provide the amount of 

funds required by 49 U.S.C. 5317(g) for the 

local share, and that those funds will be 

provided from approved non-Federal sources 

except as permitted by Federal law; and 

(6) In compliance with 49 U.S.C. 

5307(d)(1)(H), the Applicant will comply 

with: (1) 49 U.S.C. 5301(a) (requirements for 

public transportation systems that maximize 

the safe, secure, and efficient mobility of 

individuals, minimize environmental 

impacts, and minimize transportation-related 

fuel consumption and reliance on foreign 

oil); (2) 49 U.S.C. 5301(d) (special efforts to 

design and provide public transportation for 

elderly individuals and individuals with 


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disabilities); and (3) 49 U.S.C. 5303 through 

5306 (planning and private enterprise 

requirements); 

B. In compliance with 49 U.S.C. 5317(d), 

the Applicant certifies that (1) with respect 

to financial assistance authorized under 49 

U.S.C. 5317(c)(1)(A), it will conduct in 

cooperation with the appropriate MPO an 

areawide solicitation for applications, and 

make awards on a competitive basis and (2) 

with respect to financial assistance 

authorized under 49 U.S.C. 5317(c)(1)(B) or 

financial assistance authorized under 49 

U.S.C. 5317(c)(1)(C), it will conduct a 

statewide solicitation for applications, and 

make awards on a competitive basis; 

C. In compliance with 49 U.S.C. 5317(f)(2), 

the Applicant certifies that, before it transfers 

funds to a project funded under 49 U.S.C. 

5336, that project has been or will have been 

coordinated with private nonprofit providers 

of services; 

D. In compliance with 49 U.S.C. 5317(e)(2), 

the Applicant certifies that any allocations to 

subrecipients of financial assistance 

authorized under 49 U.S.C. 5317 will be 

distributed on a fair and equitable basis; and 

E. In compliance with 49 U.S.C. 5317(f)(3), 

the Applicant certifies that: (1) the projects 

it has selected or will select for assistance 

under that program were derived from a 

locally developed, coordinated public transithuman services transportation plan; and (2) 

the plan was developed through a process 

that included representatives of public, 

private, and nonprofit transportation and 

human services providers and through 

participation by the public. 

21. PAUL S. SARBANES TRANSIT IN 

PARKS PROGRAM 

Each State, Tribal area, or local 

government authority that is an Applicant for 

Paul S. Sarbanes Transit in Parks Program 

assistance (Applicant) authorized by 49 

U.S.C. 5320, is required to provide the 

following certifications. FTA may not award 

assistance for the Paul S. Sarbanes Transit in 

Parks Program to the Applicant until the 

Applicant provides these certifications by 

selecting Category ‘‘21.’’ 

A. As required by 49 U.S.C. 5320(i), which 

makes the requirements of 49 U.S.C. 5307 

applicable to the Paul S. Sarbanes Transit in 

Parks Program to the extent the Federal 

Transit Administrator or his or her designee 

determines appropriate, and 49 U.S.C. 

5307(d)(1), the Applicant certifies as follows: 

(1) In compliance with 49 U.S.C. 

5307(d)(1)(A), the Applicant has or will have 

the legal, financial, and technical capacity to 

carry out its proposed project, including the 

safety and security aspects of that project; 

(2) In compliance with 49 U.S.C. 

5307(d)(1)(B), the Applicant has or will have 

satisfactory continuing control over the use 

of project equipment and facilities; 

(3) In compliance with 49 U.S.C. 

5307(d)(1)(C), the Applicant will adequately 

maintain the project equipment and facilities; 

(4) In compliance with 49 U.S.C. 

5307(d)(1)(E), in carrying out a procurement 

financed with Federal assistance authorized 

under 49 U.S.C. 5320, the Applicant: (1) will 

use competitive procurement (as defined or 

approved by FTA), (2) will not use 

exclusionary or discriminatory specifications 

in its procurements, (3) will comply with 

applicable Buy America laws, and (4) will 

comply with the general provisions for FTA 

assistance of 49 U.S.C. 5323 and the third 

party procurement requirements of 49 U.S.C. 

5325; 

(5) In compliance with 49 U.S.C. 

5307(d)(1)(F) and with 49 U.S.C. 

5320(e)(2)(C), the Applicant has complied 

with or will comply with the requirements of 

49 U.S.C. 5307(c). Specifically, it: (1) has 

made available, or will make available, to the 

public information on the amounts available 

for the Paul S. Sarbanes Transit in Parks 

Program, 49 U.S.C. 5320, and the projects it 

proposes to undertake; (2) has developed or 

will develop, in consultation with interested 

parties including private transportation 

providers, projects to be financed; (3) has 

published or will publish a list of proposed 

projects in a way that affected citizens, 

private transportation providers, and local 

elected officials have the opportunity to 

examine the proposed projects and submit 

comments on the proposed projects and the 

performance of the Applicant; (4) has 

provided or will provide an opportunity for 

a public hearing to obtain the views of 

citizens on the proposed projects; (5) has 

assured or will assure that the proposed 

projects provide for the coordination of 

transportation services assisted under 49 

U.S.C. 5336 with transportation services 

assisted by another Federal government 

source; (6) has considered or will consider 

the comments and views received, especially 

those of private transportation providers, in 

preparing its final list of projects; and (7) has 

made or will make the final list of projects 

available to the public; 

(6) In compliance with 49 U.S.C. 

5307(d)(1)(H), the Applicant will comply 

with: (1) 49 U.S.C. 5301(a) (requirements for 

public transportation systems that maximize 

the safe, secure, and efficient mobility of 

individuals, minimize environmental 

impacts, and minimize transportation-related 

fuel consumption and reliance on foreign 

oil); (2) 49 U.S.C. 5301(d) (special efforts to 

design and provide public transportation for 

elderly individuals and individuals with 

disabilities); and (3) 49 U.S.C. 5303 through 

5306 (planning and private enterprise 

requirements); and 

(7) In compliance with 49 U.S.C. 

5307(d)(1)(I), the Applicant has a locally 

developed process to solicit and consider 

public comment before raising a fare or 

implementing a major reduction of public 

transportation; and 

B. In compliance with 49 U.S.C. 

5320(e)(2)(A), (B), and (D), the Applicant 

assures that it will: 

(1) Comply with the metropolitan planning 

provisions of 49 U.S.C. 5303; 

(2) Comply with the statewide planning 

provisions of 49 U.S.C. 5304; and 

(3) Consult with the appropriate Federal 

land management agency during the 

planning process. 

22. TRIBAL TRANSIT PROGRAM 

Each Applicant for Tribal Transit Program 

assistance must provide all certifications and 

assurances set forth below. Except to the 

extent that FTA determines otherwise in 

writing, FTA may not award any Federal 

assistance under the Tribal Transit Program 

until the Applicant provides these 

certifications and assurances by selecting 

Category ‘‘22.’’ 

In accordance with 49 U.S.C. 5311(c)(1) 

that authorizes the Secretary of 

Transportation to establish terms and 

conditions for direct grants to Indian Tribal 

governments, the Applicant certifies and 

assures as follows: 

A. The Applicant assures that: 

(1) It has or will have the necessary legal, 

financial, and managerial capability to apply 

for, receive, and disburse Federal assistance 

authorized for 49 U.S.C. 5311; and to carry 

out each project, including the safety and 

security aspects of that project; 

(2) It has or will have satisfactory 

continuing control over the use of project 

equipment and facilities; 

(3) The project equipment and facilities 

will be adequately maintained; and 

(4) Its project will achieve maximum 

feasible coordination with transportation 

service assisted by other Federal sources; 

B. In accordance with 49 CFR 

18.36(g)(3)(ii), the Applicant certifies that its 

procurement system will comply with the 

requirements of 49 CFR 18.36, or will inform 

FTA promptly that its procurement system 

does not comply with 49 CFR 18.36; 

C. To the extent applicable to the 

Applicant or its Project, the Applicant 

certifies that it will comply with the 

certifications, assurances, and agreements in 

Category 08 (Bus Testing), Category 09 

(Charter Bus Agreement), Category 10 

(School Transportation Agreement), Category 

11 (Demand Responsive Service), Category 12 

(Alcohol Misuse and Prohibited Drug Use), 

and Category 14 (National Intelligent 

Transportation Systems Architecture and 

Standards) of this document; and 

D. If its application exceeds $100,000, the 

Applicant agrees to comply with the 

certification in Category 02 (Lobbying) of this 

document. 

23. TIFIA PROJECTS 

Each Applicant for Transportation 

Infrastructure Finance and Innovation Act 

(TIFIA) credit assistance authorized under 23 

U.S.C. chapter 6, is required to provide the 

following certifications. FTA may not award 

TIFIA credit assistance to the Applicant until 

the Applicant provides these certifications by 

selecting Category ‘‘23.’’ 

A. As required by 49 U.S.C. 5323(o), which 

makes the requirements of 49 U.S.C. 5307 

applicable to Applicants seeking TIFIA credit 

assistance authorized under 23 U.S.C. 

chapter 6, and by 49 U.S.C. 5307(d)(1), the 

Applicant certifies as follows: 

(1) In compliance with 49 U.S.C. 

5307(d)(1)(A), the Applicant has or will have 

the legal, financial, and technical capacity to 

carry out its proposed program of projects, 

including the safety and security aspects of 

that program; 

(2) In compliance with 49 U.S.C. 

5307(d)(1)(B), the Applicant has or will have 

satisfactory continuing control over the use 

of project equipment and facilities; 


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(3) In compliance with 49 U.S.C. 

5307(d)(1)(C), the Applicant will adequately 

maintain the project equipment and facilities; 

(4) In compliance with 49 U.S.C. 

5307(d)(1)(D), the Applicant will assure that 

any elderly individual, any individual with 

disabilities, or any person presenting a 

Medicare card issued to himself or herself 

pursuant to title II or title XVIII of the Social 

Security Act (42 U.S.C. 401 et seq. or 42 

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

transportation during non-peak hours using 

or involving a facility or equipment of a 

project financed with Federal assistance 

authorized under 23 U.S.C. chapter 6, not 

more than fifty (50) percent of the peak hour 

fare; 

(5) In compliance with 49 U.S.C. 

5307(d)(1)(E), the Applicant, in carrying out 

a procurement financed with Federal 

assistance authorized under 23 U.S.C. 

chapter 6: (1) will use competitive 

procurement (as defined or approved by 

FTA), (2) will not use exclusionary or 

discriminatory specifications in its 

procurements, (3) will comply with 

applicable Buy America laws, and (4) will 

comply with the general provisions for FTA 

assistance of 49 U.S.C. 5323 and the third 

party procurement requirements of 49 U.S.C. 

5325; 

(6) In compliance with 49 U.S.C. 

5307(d)(1)(F), the Applicant has complied 

with or will comply with the requirements of 

49 U.S.C. 5307(c). Specifically, it: (a) Has 

made available, or will make available, to the 

public information on the amounts available 

for TIFIA credit assistance, 23 U.S.C. chapter 

6, and the projects it proposes to undertake; 

(b) has developed or will develop, in 

consultation with interested parties 

including private transportation providers, 

the proposed projects to be financed; (c) has 

published or will publish a list of projects in 

a way that affected citizens, private 

transportation providers, and local elected 

officials have the opportunity to examine the 

proposed projects and submit comments on 

the proposed projects and the performance of 

the Applicant; (d) has provided or will 

provide an opportunity for a public hearing 

to obtain the views of citizens on the 

proposed projects; (e) has assured or will 

assure that the proposed projects provide for 

the coordination of transportation services 

assisted under 49 U.S.C. 5336 with 

transportation services assisted by another 

Federal government source; (f) has 

considered or will consider the comments 

and views received, especially those of 

private transportation providers, in preparing 

its final list of projects; and (g) has made or 

will make the final list of projects available 

to the public; 

(7) In compliance with 49 U.S.C. 

5307(d)(1)(G), the Applicant has or will have 

available and will provide the amount of 

funds required for the local share, and that 

those funds will be provided from approved 

non-Federal sources except as permitted by 

Federal law; 

(8) In compliance with 49 U.S.C. 

5307(d)(1)(H), (1) the Applicant will comply 

with: 49 U.S.C. 5301(a) (requirements for 

public transportation systems that maximize 

the safe, secure, and efficient mobility of 

individuals, minimize environmental 

impacts, and minimize transportation-related 

fuel consumption and reliance on foreign 

oil); (2) 49 U.S.C. 5301(d) (special efforts to 

design and provide public transportation for 

elderly individuals and individuals with 

disabilities); and (3) 49 U.S.C. 5303 through 

5306 (planning and private enterprise 

requirements); 

(9) In compliance with 49 U.S.C. 

5307(d)(1)(I), the Applicant has a locally 

developed process to solicit and consider 

public comment before raising a fare or 

implementing a major reduction of public 

transportation; 

(10) To the extent that the Applicant will 

be using funds authorized under 49 U.S.C. 

5307 for the project, in compliance with 49 

U.S.C. 5307(d)(1)(J), each Federal fiscal year, 

the Applicant will spend at least one (1) 

percent of those funds authorized under 49 

U.S.C. 5307 for public transportation security 

projects (this includes only capital projects in 

the case of an Applicant serving an urbanized 

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

unless the Applicant has certified to FTA 

that such expenditures are not necessary. 

Public transportation security projects 

include increased lighting in or adjacent to 

a public transportation system (including bus 

stops, subway stations, parking lots, and 

garages), increased camera surveillance of an 

area in or adjacent to that system, emergency 

telephone line or lines to contact law 

enforcement or security personnel in an area 

in or adjacent to that system, and any other 

project intended to increase the security and 

safety of an existing or planned public 

transportation; and 

(11) To the extent that the Applicant will 

be using funds authorized under 49 U.S.C. 

5307 for the project, in compliance with 49 

U.S.C. 5309(d)(1)(K): (1) An Applicant that 

serves an urbanized area with a population 

of at least 200,000 will expend not less than 

one (1) percent of the amount it receives each 

Federal fiscal year under 49 U.S.C. 5307 for 

transit enhancements, as defined at 49 U.S.C. 

5302(a), and (2) if it has received transit 

enhancement funds authorized by 49 U.S.C. 

5307(k)(1), its quarterly report for the fourth 

quarter of the preceding Federal fiscal year 

includes a list of the projects it has 

implemented during that Federal fiscal year 

using those funds, and that report is 

incorporated by reference and made part of 

its certifications and assurances; and 

B. As required by 49 U.S.C. 5323(o), which 

makes the requirements of 49 U.S.C. 5309 

applicable to Applicants seeking TIFIA credit 

assistance authorized under 23 U.S.C. 

chapter 6, and by 49 U.S.C. 5309(g)(2)(B)(iii), 

5309(g)(3)(B)(iii), and 5309(i)(2)(C), the 

Applicant certifies that it will not seek 

reimbursement for interest and other 

financing costs incurred in connection with 

the Project unless the Applicant is eligible to 

receive Federal assistance for those expenses 

and the Applicant’s records demonstrate that 

it has used reasonable diligence in seeking 

the most favorable financing terms 

underlying those costs, to the extent FTA 

may require. 

24. DEPOSITS OF FEDERAL FINANCIAL 

ASSISTANCE TO STATE 

INFRASTRUCTURE BANKS 

The State organization that administers the 

State Infrastructure Bank (SIB) Program on 

behalf of a State (State) and that is also an 

Applicant for Federal assistance authorized 

under 49 U.S.C. chapter 53 that it intends to 

deposit in its SIB is requested to provide the 

following assurances on behalf of itself, its 

SIB, and each subrecipient. Unless FTA 

determines otherwise in writing, the State 

itself is ultimately responsible for compliance 

with its certifications and assurances even 

though the SIB and a subrecipient may 

participate in that project. Consequently, in 

providing certifications and assurances that 

involve the compliance of its SIB and 

prospective subrecipients, the State is 

strongly encouraged to take the appropriate 

measures, including but not limited to 

obtaining sufficient documentation from the 

SIB and each subrecipient, to assure the 

validity of all certifications and assurances 

the State has made to FTA. FTA may not 

award Federal assistance for the SIB Program 

to the State until the State provides these 

assurances by selecting Category ‘‘24.’’ 

The State organization, serving as the 

Applicant (State) for Federal assistance for its 

State Infrastructure Bank (SIB) Program 

authorized by section 1602 of SAFETEA–LU, 

now codified at 23 U.S.C. 610, or by section 

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

section 350 of the National Highway System 

Designation Act of 1995, as amended, 23 

U.S.C. 181 note, agrees and assures the 

agreement of its SIB and the agreement of 

each recipient of Federal assistance derived 

from the SIB within the State (subrecipient) 

that each public transportation project 

financed with Federal assistance derived 

from SIB will be administered in accordance 

with: 

A. Applicable provisions of section 1602 of 

SAFETEA–LU, now codified at 23 U.S.C. 

610, or by section 1511 of TEA–21, 23 U.S.C. 

181 note, or by section 350 of the National 

Highway System Designation Act of 1995, as 

amended, 23 U.S.C. 181; 

B. The provisions of the FHWA, FRA, and 

FTA or the FHWA and FTA cooperative 

agreement with the State to establish the 

State’s SIB Program; 

C. The provisions of the FTA grant 

agreement with the State that provides 

Federal assistance for the SIB, except that 

any provision of the Federal Transit 

Administration Master Agreement 

incorporated by reference into that grant 

agreement will not apply if it conflicts with 

any provision of section 1602 of SAFETEA– 

LU, now codified at 23 U.S.C. 610, or section 

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

section 350 of the National Highway System 

Designation Act of 1995, as amended, 23 

U.S.C. 181 note, or Federal guidance 

pertaining to the SIB Program, the provisions 

of the cooperative agreement establishing the 

SIB Program within the State, or the 

provisions of the FTA grant agreement; 

D. The requirements applicable to projects 

of 49 U.S.C. 5307 and 5309, as required by 

49 U.S.C. 5323(o); and 

E. The provisions of applicable Federal 

guidance that may be issued and 


hsrobinson on DSK69SOYB1PROD with NOTICES
Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices 67447 

amendments thereto, unless FTA has 

provided written approval of an alternative 

procedure or course of action. 

## 

Selection and Signature Page(s) follow. 

BILLING CODE P 


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67448 Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices 


hsrobinson on DSK69SOYB1PROD with NOTICESEN02NO10.012</GPH>
Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices 67449 

APPENDIX A 


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67450 Federal Register / Vol. 75, No. 211 / Tuesday, November 2, 2010 / Notices 

[FR Doc. 2010–27563 Filed 11–1–10; 8:45 am] 

BILLING CODE C 

DEPARTMENT OF TRANSPORTATION 

Pipeline and Hazardous Materials 

Safety Administration 

[Docket ID PHMSA–2010–0294] 

Pipeline Safety: Control Room 

Management Implementation 

Workshop 

AGENCY: Pipeline and Hazardous 

Materials Safety Administration 

(PHMSA), DOT. 

ACTION: Notice of workshop. 

SUMMARY: PHMSA is conducting a 

workshop in conjunction with the 

National Association of Pipeline Safety 

Representatives (NAPSR) on the 

implementation of pipeline control 

room management. The workshop is 

intended to foster an understanding of 

the Control Room Management Rule 

issued by PHMSA on December 3, 2009, 

and is open to the public. Panel 

discussions will provide insight on 

topics associated with fatigue 

management and maximum hours of 

service, alarm management, and 

adequate information. Those attending 

the workshop will have the opportunity 

to ask questions about the rule while 

engaging in open discussions with 

various stakeholders including 

representatives from the public, 

regulatory, and industry. This workshop 

will also provide PHMSA input to 

further refine guidance material 

currently in development. 

DATES: The workshop will be held on 

November 17, 2010. Name badge pick 

up and on-site registration will be 

available starting at 7:30 a.m., with the 

workshop taking place from 8 a.m. until 

approximately 5:15 p.m. Refer to the 

meeting website for updated agenda and 

times at https://primis.phmsa.dot.gov/ 

meetings/Mtg67.mtg. The workshop will 

not be a live webcast, however, all 

workshop presentations and an audio 

recording will be available on the 

PHMSA meeting website. Workshop 

presentations will also be available on 

the meeting docket. 

ADDRESSES: The workshop will be held 

at the Intercontinental Hotel, 2222 West 

Loop South, Houston, TX 77027. Hotel 

reservations under the ‘‘USDOT CRM 

Meeting’’ room block for the nights of 

November 16 and 17, 2010, can be made 

at 1–800–316–8645. A daily base rate of 

$109.00 is available. The meeting room 

will be posted at the hotel on the day 

of the workshop. 

FOR FURTHER INFORMATION CONTACT: 

Karen Butler at 816–329–3835, or by email at karen.butler@dot.gov. 

ADDRESSES: Registration: Anyone may 

attend this free workshop. To help 

ensure that adequate space is provided, 

all attendees are encouraged to register 

for the workshop at https:// 

primis.phmsa.dot.gov/meetings/ 

Mtg67.mtg. Hotel reservations must be 

made by contacting the hotel directly. 

Comments: Anyone may submit 

written comments, either before or after 

the workshop. Comments should 

reference Docket ID PHMSA–2010– 

0294. Comments may be submitted in 

the following ways: 

• E-Gov Web Site: http:// 

www.regulations.gov. This site allows 

the public to enter comments on any 

Federal Register notice issued by any 

agency. Follow the instructions for 

submitting comments. 

• Fax: 1–202–493–2251. 

• Mail: Docket Management System, 

U.S. Department of Transportation, 1200 

New Jersey Avenue, SE., Room W12– 

140, Washington, DC 20590. 

Hand Delivery: DOT Docket 

Management System, Room W12–140, 

on the ground floor of the West 

Building, 1200 New Jersey Avenue, SE., 

Washington, DC between 9 a.m. and 5 

p.m., Monday through Friday, except 

Federal holidays. 

Instructions: Identify the Docket ID at 

the beginning of your comments. If you 

submit your comments by mail, submit 

two copies. If you wish to receive 

confirmation that PHMSA has received 

your comments, include a selfaddressed stamped postcard. Internet 

users may submit comments at http:// 

www.regulations.gov. Note: Comments 

will be posted without changes or edits 

to http://www.regulations.gov including 

any personal information provided. 

Privacy Act Statement: Anyone may 

search the electronic form of all 

comments received for any of our 

dockets. You may review DOT’s 

complete Privacy Act Statement in the 

Federal Register published April 11, 

2000, (65 FR 19477). 

Information on Services for 

Individuals with Disabilities: For 

information on facilities or services for 

individuals with disabilities, or to 

request special assistance at the 

meeting, please contact Karen Butler at 

816–329–3835, or by e-mail at 

karen.butler@dot.gov by November 5, 

2010. 

SUPPLEMENTARY INFORMATION: On 

December 3, 2009, (74 FR 63310) 

PHMSA issued a final rule ‘‘Control 

Room Management/Human Factors’’ 

which became effective on February 1, 

2010. The final rule amended the 

Federal pipeline safety regulations to 

address human factors and other aspects 

of control room management for certain 

pipelines where controllers use 

supervisory control and data acquisition 

(SCADA) systems. Under the final rule, 

pipeline operators must implement 

methods to reduce the risk associated 

with controller fatigue. In addition, 

certain operators must define the roles 

and responsibilities of controllers and 

provide controllers with the necessary 

information, training, and processes to 

fulfill these responsibilities. Affected 

operators must also manage alarms, 

ensure control room considerations are 

taken into account when changing 

pipeline equipment or configurations, 

and review reportable incidents for 

accidents to determine whether control 

room actions contributed to the event. 

The workshop will include 

presentations highlighting several 

topical areas and the sharing of specific 

solutions based on initial feedback 

received from stakeholders. The panel 

format will offer the opportunity for 

dialogue and sharing of ideas to help 

PHMSA generate guidance material. 

Preliminary Workshop Agenda 

The preliminary agenda for the 

workshop includes: 

(1) Introduction and Overview. 

(2) Definitions and Control Room 

Specifics. 

(3) Fatigue and Maximum Hours of 

Service (panel). 

(4) Alarm Management (panel). 

(5) Roles and Responsibilities. 

(6) Adequate Information (panel). 

(7) Remaining Code Sections. 

(8) Open Question and Answer. 

(9) Wrap Up and Path Forward. 

Refer to the meeting Web site for a 

more detailed agenda: https:// 

primis.phmsa.dot.gov/meetings/ 

Mtg67.mtg. 

Issued in Washington, DC on October 22, 

2010. 

Jeffrey D. Wiese, 

Associate Administrator for Pipeline Safety. 

[FR Doc. 2010–27564 Filed 11–1–10; 8:45 am] 

BILLING CODE 4910–60–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

Eighth Meeting: RTCA Special 

Committee 221: Aircraft Secondary 

Barriers and Alternative Flight Deck 

Security Procedures 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Notice of RTCA Special 

Committee 221 meeting: Aircraft 


hsrobinson on DSK69SOYB1PROD with NOTICES