Federal Fiscal Year 2012 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements, 67534-67555 [2011-28293]

Agencies

• Federal Transit Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 76, Number 211 (Tuesday, November 1, 2011)]
[Notices]
[Pages 67534-67555]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-28293]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Federal Fiscal Year 2012 Annual List of Certifications and 
Assurances for Federal Transit Administration Grants and Cooperative 
Agreements

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice.

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SUMMARY: The Federal Transit Administration (FTA) has consolidated and 
updated the various pre-award Certifications and Assurances required 
for its Federal transit assistance (funding) programs in Federal fiscal 
year (FY) 2012. We (FTA) are now publishing them at Appendix A of this 
Notice.

DATES: Effective Date: These FY 2012 Certifications and Assurances are 
effective October 1, 2011, the first day of FY 2012.

FOR FURTHER INFORMATION CONTACT: The appropriate Regional or 
Metropolitan Office listed in this Notice. For copies of related 
documents and information, see our Web site at https://www.fta.dot.gov 
or contact our 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/(202) 219-3565.

SUPPLEMENTARY INFORMATION: This notice includes instructions on how to 
submit the Certifications and Assurances and highlights the changes for 
FY 2012.

1. What are our responsibilities?

    Several programs we administer require new certifications and 
assurances each fiscal year an Applicant seeks funding. We have been 
consolidating our list of Certifications and Assurances into a single 
document for annual publication in the Federal Register since 1995, as 
required by 49 U.S.C. 5323(n). Ideally this list would be published 
with our apportionment notice showing our latest allocations of our 
annual Department of Transportation (U.S. DOT) appropriations, FTA, 
however, is publishing its FY 2012 Certifications and Assurances now, 
although U.S. DOT's full-year appropriations for our FY 2012 have not 
been signed into law. These FY 2012 Certifications and Assurances 
supersede any Certifications and Assurances published in an earlier 
fiscal year or any that may have appeared as illustrations in any 
discontinued FTA circular. After publication in the Federal Register, 
we must be sure that each Applicant has submitted adequate FY 2012 
Certifications and Assurances before we may award funding to support 
that request.

2. What is their legal effect?

    a. Binding Commitment. An Applicant typically acts through its 
certified or authorized representative (You). Nevertheless, your 
Applicant will be required to comply with any certifications or 
assurances you make on its behalf whether or not you remain the 
Applicant's authorized representative. Certifications and Assurances 
are pre-award representations required by Federal law or regulation 
before we can provide funding for your Applicant's project. By 
providing Certifications and Assurances to FTA, you and your Applicant 
are agreeing to comply with their terms.
    b. Length of Commitment. Your Applicant's FY 2012 Certifications 
and Assurances remain in effect until its project is closed or the 
project property's useful life has expired, whichever is later. If your 
Applicant provides different Certifications and Assurances in a later 
fiscal year, the later Certifications and Assurances will apply to its 
project, except as we permit otherwise in writing.
    c. Duration. Your Applicant may use its FY 2012 Certifications and 
Assurances for its funding applications to us from the time of 
publication in the Federal Register until we issue our FY 2013 
Certifications and Assurances.
    d. Our FY 2012 Certifications and Assurances are an Incomplete List 
of Federal Requirements. We caution that our FY 2012 Certifications and 
Assurances focus only on those Federal requirements the Applicant must 
fulfill before we may fund its project. Consequently, they omit many 
other Federal requirements that will apply to your Applicant and its 
project.

[[Page 67535]]

    e. Other Federal Requirements. We strongly encourage you to review 
all Federal legislation, regulations, and directives that apply to your 
Applicant and its proposed project. Our FY 2012 Master Agreement, 
https://www.fta.dot.gov/documents/18-Master.pdf, identifies many of 
those requirements.
    f. Penalties for False or Fraudulent Statements. If you or your 
Applicant provide any false or fraudulent statement to the Federal 
government, you or your Applicant may be subject to both Federal civil 
and criminal penalties. See:
    (1) Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. 
3801 et seq.,
    (2) U.S. DOT regulations, ``Program Fraud Civil Remedies,'' 49 CFR 
part 31, and
    (3) 49 U.S.C. 5323(l), which makes Federal criminal penalties 
available for violations of our requirements.

3. What are your responsibilities?

    a. Make Sure Everyone Involved with Your Applicant's Project 
Understands the Federal Requirements that Will Apply to Your Applicant 
and its Project. Your Applicant will be responsible for compliance with 
all Federal requirements that apply to itself and its project. 
Nevertheless, people and organizations participating in its project can 
seriously affect your Applicant's ability to comply with those Federal 
requirements. All involved need to know those Federal requirements that 
affect their project related activities.
    b. Subrecipient Participation. The Applicant is ultimately 
responsible for compliance with all Certifications and Assurances that 
you select on its behalf even though its project may mainly be carried 
out by subrecipients, except in limited circumstances when we have 
determined otherwise. Therefore, we strongly recommend that you take 
appropriate measures to assure the validity of your Applicant's 
certifications and assurances.
    c. Submit Your Applicant's Certifications and Assurances. You must 
submit all groups of the FY 2012 Certifications and Assurances that 
apply to your Applicant and its projects for which it seeks funding in 
FY 2012, irrespective of the statutory source of the funding. For your 
convenience, we recommend that you submit all 24 groups. Those that do 
not apply to your Applicant or its project will not be enforced.
    d. Obtain the Affirmation of Your Applicant's Attorney. You must 
obtain a current (FY 2012) affirmation from your Applicant's Attorney 
that your Applicant has sufficient authority under its State and local 
law to certify its compliance with the FY 2012 Certifications and 
Assurances you have selected on its behalf. Your Applicant's Attorney 
must sign this affirmation during FY 2012. An Affirmation of your 
Applicant's Attorney from a previous fiscal year is unacceptable, 
unless we expressly determine otherwise in writing.
    e. When to Submit. We expect to receive your Applicant's FY 2012 
Certifications and Assurances within 90 days from the date of this 
publication or shortly after you submit your Applicant's request for FY 
2012 funding (whichever is earlier) if your Applicant is applying for 
formula or capital program funding, or is a current FTA grantee with an 
active formula or capital project. If your Applicant also seeks funding 
for other projects, we should receive its FY 2012 Certifications and 
Assurances as soon as possible.

4. Where are your applicant's FY 2012 certifications and assurances?

    a. Appendix A of this Notice;
    b. Our Web site https://www.fta.dot.gov/documents/2012-Certs-Appendix.A.pdf; and
    c. TEAM-Web, our electronic award and management system, https://ftateamweb.fta.dot.gov, at the ``Cert's & Assurances'' tab of the 
``View/Modify Recipients'' page in the ``Recipients'' option.

5. What changes have been made since FY 2011?

    a. Preface. We have amended the third paragraph of the Preface to 
identify the Web site for our FY 2012 Master Agreement https://www.fta.dot.gov/documents/18-Master.pdf.
    b. Certification (02). We have amended the applicability of 
Certification (02) to clarify that the lobbying certification does not 
apply to an Indian tribe, tribal organization, or other Indian 
organization for consistency with the applicability provision of the 
``Byrd'' lobbying amendment at 31 U.S.C. 1352(g)(1)(B).
    c. Authority Section of this Preamble. We have added references to 
the Hiring Incentives to Restore Employment Act, Public Law 111-147, 
March 18, 2010, the Surface Transportation Extension Act of 2011, 
Public Law 112-5, March 4, 2011, and the Surface and Air Transportation 
Programs Extension Act of 2011, Public Law 112-30, September 16, 2011. 
Together, these Acts extended the effective date of FTA's authorizing 
legislation through March 31, 2012.

6. How do I submit them?

a. Electronic Submission

    We expect you to submit your Applicant's FY 2012 Certifications and 
Assurances in TEAM-Web. If you are registered in TEAM-Web to act on 
your Applicant's behalf, you must submit its Certifications and 
Assurances, as well as its applications in 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 24 groups of certifications and assurances and a 
designated field for selecting all 24 groups.
    In the ``Cert's & Assurances'' tab is a field for you to enter your 
personal identification number (PIN), which is your electronic 
signature. There is also a field for the Attorney's PIN, affirming your 
Applicant's legal authority to make and comply with the Certifications 
and Assurances you have selected on your Applicant's behalf. You may 
enter your PIN in place of the Attorney's PIN, provided that your 
Applicant has on file a similar affirmation written, dated, and signed 
by its Attorney in FY 2012.

b. Paper Submission

    You may only submit your Applicant's FY 2012 Certifications and 
Assurances on paper if you cannot submit them electronically in TEAM-
Web. You must submit the Signature Page(s) in Appendix A of this Notice 
indicating the groups of Certifications and Assurances your Applicant 
is providing if you cannot submit them electronically. You may place a 
single mark in the designated space to signify your Applicant's 
agreement to comply with all groups of certifications and assurances or 
select the groups of certifications and assurances that apply to the 
Applicant and its projects.
    You must enter your signature on the Signature Page(s) and provide 
an Affirmation of your Applicant's Attorney concerning your Applicant's 
legal capacity to make and comply with the FY 2012 Certifications and 
Assurances selected. You may enter your signature in place of the 
Attorney's signature in the Affirmation of Applicant's Attorney 
section, provided that your Applicant has on file a similar 
affirmation, written, dated, and signed by its Attorney in FY 2012.
    For more information, you may contact the appropriate FTA Regional 
or Metropolitan Office.

    Authority.  49 U.S.C. chapter 53; the Safe, Accountable, 
Flexible, Efficient Transportation Equity Act: A Legacy for Users 
(SAFETEA-LU), Public Law 109-59, August 10, 2005, as amended by the

[[Page 67536]]

SAFETEA-LU Technical Corrections Act, 2008, Public Law 110-244, June 
6, 2008; the Hiring Incentives to Restore Employment Act. Public Law 
111-147, March 18, 2010; the Surface Transportation Extension Act of 
2011, Public Law 112-5, March 4, 2011; the Surface and Air 
Transportation Programs Extension Act of 2011, Public Law 112-30, 
September 16, 2011; 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, 2011.
Peter M. Rogoff,
Administrator.

FEDERAL FISCAL YEAR 2012 CERTIFICATIONS AND ASSURANCES FOR FEDERAL 
TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS

PREFACE

    Before the Federal Transit Administration (FTA or We) may award 
Federal transit assistance (funding or funds) to support a project, an 
authorized representative (you) of the project sponsor (Applicant) must 
provide certain certifications and assurances required by Federal law 
or regulation. You must provide all certifications and assurances 
required of your Applicant to support its applications for FTA funding 
during Federal fiscal year (FY) 2012.
    We request that you read each certification and assurance carefully 
and select all certifications and assurances that might apply to all 
projects for which your Applicant might seek FTA funding. We can award 
FTA funding for your Applicant's project only if your Applicant 
provides adequate certifications and assurances on your Applicant's 
behalf as required by Federal law or regulation.
    We have consolidated our certifications and assurances into 24 
groups. At a minimum, you must provide the assurances in Group 01. If 
your Applicant requests more than $100,000, you must also provide the 
Lobbying certification in Group 02, unless your Applicant is an Indian 
tribe or organization or a tribal organization. Depending on the nature 
of your Applicant and its project, your Applicant may need to provide 
some of the certifications and assurances in Groups 03 through 24. 
However, instead of selecting individual groups of certifications and 
assurances, you may make a single selection that will encompass all 
groups of certifications and assurances applicable to all our programs. 
FTA and your Applicant understand and agree that not every provision of 
these certifications and assurances will apply to every Applicant or 
every project we fund. The type of project and Applicant will determine 
which certifications and assurances apply.
    Your Applicant also understands and agrees that these 
certifications and assurances are special pre-award requirements and do 
not include all Federal requirements that may apply to your Applicant 
or its project. Our Master Agreement MA(18) for Federal Fiscal Year 
2012, https://www.fta.dot.gov/documents/18-Master.pdf, contains a list 
of most of those requirements.
    Except in limited circumstances, your Applicant is ultimately 
responsible for compliance with the certifications and assurances that 
apply to itself or its project irrespective of subrecipient 
participation in the project. Because many FY 2012 certifications and 
assurances will require subrecipient compliance, we strongly recommend 
that you take appropriate measures to assure the validity of your 
Applicant's certifications and assurances. Your Applicant understands 
and agrees that when you apply for funding 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 you select on your Applicant's 
behalf.
    We expect you to submit your Applicant's FY 2012 certifications and 
assurances in TEAM-Web, and its applications for funding as well. Thus 
you will need to be registered in TEAM-Web to act on your Applicant's 
behalf. The TEAM-Web ``Recipients'' option at the ``Cert's & 
Assurances'' tab of the ``View/Modify Recipients'' page contains fields 
for selecting among the 24 groups of certifications and assurances and 
a designated field for selecting all 24 groups. If you cannot submit 
your Applicant's FY 2012 certifications and assurances electronically, 
you must submit the Signature Page(s) in Appendix A of this Notice 
marked to show the groups of certifications and assurances your 
Applicant is providing.

GROUP 01. ASSURANCES REQUIRED FOR EACH APPLICANT

    You must select the following assurances in Group 01 on behalf of 
your Applicant unless we expressly determine otherwise in writing.
    A. Assurance of Authority of the Applicant and Its Representative.
    Both you and the Applicant's attorney who sign these 
certifications, assurances, and agreements, affirm that both the 
Applicant and you as its authorized representative may, under their 
State, local, or Indian tribal law and regulations, and the Applicant's 
by-laws or internal rules, undertake the following activities on behalf 
of the Applicant:
    1. Execute and file its application for Federal funds,
    2. Execute and file its certifications, assurances, and agreements 
binding its compliance, and
    3. Execute Grant Agreements or Cooperative Agreements, or both, 
with FTA.
    B. Standard Assurances.
    The Applicant assures that:
    1. It has sufficient authority under its State, local, or Indian 
tribal law, regulations by-laws and internal rules to carry out each 
FTA funded project as required by Federal laws and regulations,
    2. It will comply with all applicable Federal statutes and 
regulations to carry out any FTA funded project,
    3. It is under a continuing obligation to comply with the terms and 
conditions of the FTA Grant Agreement or Cooperative Agreement for the 
project, including the FTA Master Agreement incorporated by reference 
and made part of the latest amendment to Grant Agreement or Cooperative 
Agreement,
    4. It recognizes that Federal laws and regulations may be modified 
from time to time and those modifications may affect project 
implementation,
    5. It 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, and
    6. It agrees that the most recent Federal laws, regulations, and 
directives will apply to the project, unless FTA determines otherwise 
in writing.
    C. Intergovernmental Review Assurance.
    This assurance does not apply to Indian tribe or organization or a 
tribal organization that applies for funding under FTA's Tribal Transit 
Program, 49 U.S.C. 5311(c)(1).
    The Applicant assures that it has or will submit each Federal 
funding application to the appropriate State and local agencies for 
intergovernmental review to facilitate compliance with U.S. Department 
of Transportation (U.S. DOT) regulations, ``Intergovernmental Review of 
Department of Transportation Programs and Activities,'' 49 CFR part 17.
    D. Nondiscrimination Assurance.
    1. The Applicant assures that it will comply with the following 
laws and

[[Page 67537]]

regulations so that no person in the United States will be denied the 
benefits of, or otherwise be subjected to discrimination in any U.S. 
DOT or FTA funded program or activity (particularly in the level and 
quality of transportation services and transportation-related benefits 
on the basis of race, color, national origin, creed, sex, or age:
    a. Federal transit law, specifically 49 U.S.C. 5332 (prohibiting 
discrimination on the basis of race, color, creed, national origin, 
sex, or age, and in employment or business opportunity),
    b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 
2000d, and
    c. 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.
    2. As required by 49 CFR 21.7, the Applicant assures that:
    a. It will comply with 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR 
part 21 in the manner:
    (1) It conducts each project,
    (2) It undertakes property acquisitions, and
    (3) It operates the project facilities, including:
    (a) Its entire facilities, and
    (b) Its facilities operated in connection with its project,
    b. This assurance applies to its entire project and entire 
facilities, including facilities operated in connection with its 
project,
    c. It will promptly take the necessary actions to carry out this 
assurance, including:
    (1) Notifying the public that discrimination complaints about 
transportation-related services or benefits may be filed with U.S. DOT 
or FTA, and
    (2) Submitting information about its compliance with these 
provisions to U.S. DOT or FTA upon their request,
    d. If it transfers FTA funded real property, structures, or 
improvements to another party, any deeds and instruments recording that 
transfer will contain a covenant running with the land assuring 
nondiscrimination:
    (1) While the property is used for the purpose that the Federal 
funding is extended,
    (2) While the property is used for another purpose involving the 
provision of similar services or benefits,
    e. The United States has a right to seek judicial enforcement of 
any matter arising under:
    (1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
    (2) U.S. DOT regulations, 49 CFR part 21, and
    (3) This assurance,
    f. It will make any changes in its Title VI implementing procedures 
as U.S. DOT or FTA may request to comply with:
    (1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
    (2) U.S. DOT regulations, 49 CFR part 21, and
    (3) Federal transit law, 49 U.S.C. 5332,
    g. It will extend the requirements of 49 U.S.C. 5332, 42 U.S.C. 
2000d, and 49 CFR part 21 to each third party participant, including:
    (1) Any subrecipient,
    (2) Any transferee,
    (3) Any third party contractor or subcontractor at any tier,
    (4) Any successor in interest,
    (5) Any lessee, or
    (6) Any other participant in the project,
    h. It will include adequate provisions to extend the requirements 
of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 to each third 
party agreement, including:
    (1) Each subagreement,
    (2) Each property transfer agreement,
    (3) Each third party contract or subcontract at any tier,
    (4) Each lease, or
    (5) Each participation agreement,
    i. The assurances it has made will remain in effect for the longest 
of the following:
    (1) As long as Federal funding is extended to the project,
    (2) As long as the Project property is used for a purpose for which 
the Federal funding is extended,
    (3) As long as the Project property is used for a purpose involving 
the provision of similar services or benefits, or
    (4) As long as the Applicant retains ownership or possession of the 
project property.
    E. Assurance of Nondiscrimination on the Basis of Disability.
    1. The Applicant assures that it and its project implementation and 
operations will comply with all applicable requirements of:
    a. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et 
seq.,
    b. The Americans with Disabilities Act of 1990, as amended, 42 
U.S.C. 12101 et seq.,
    c. U.S. DOT regulations, specifically 49 CFR parts 27, 37, and 38, 
and
    d. Any other applicable Federal laws that may be enacted or Federal 
regulations that may be promulgated,
    2. As required by U.S. DOT regulations, ``Nondiscrimination on the 
Basis of Handicap in Programs and Activities Receiving or Benefiting 
from Federal Financial Assistance,'' 49 CFR part 27, specifically 49 
CFR 27.9, the Applicant assures that:
    a. The following prohibition against discrimination on the basis of 
disability is a condition to the approval or extension of any FTA 
funding awarded to:
    (1) Construct any facility,
    (2) Obtain any rolling stock or other equipment,
    (3) Undertake studies,
    (4) Conduct research, or
    (5) Participate in or obtain any benefit from any FTA administered 
program,
    b. In any program or activity receiving or benefiting from Federal 
funding FTA or any entity within U.S. DOT administers, no otherwise 
qualified people with a disability will, because of their disability, 
be:
    (1) Excluded from participation,
    (2) Denied benefits, or
    (3) Otherwise subjected to discrimination.
    F. Suspension and Debarment.
    1. 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, permit certifications to assure the 
Applicant acknowledges that:
    2. The Applicant certifies to the best of its knowledge and belief 
that, it, its principals, and first tier subrecipients:
    a. Are eligible to participate in covered transactions of any 
Federal department or agency and are not presently:
    (1) Debarred,
    (2) Suspended,
    (3) Proposed for debarment,
    (4) Declared ineligible, or
    (5) Voluntarily excluded, or
    (6) Disqualified,
    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:
    (1) Commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State, or local) transaction, or contract under a public transaction,
    (2) Violation of any Federal or State antitrust statute, or
    (3) Commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making any false statement, or 
receiving stolen property,
    c. Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State,

[[Page 67538]]

or local) with commission of any of the offenses listed in the 
preceding Section 2.b of this certification,
    d. Have not had one or more public transactions (Federal, State, or 
local) terminated for cause or default within a three-year period 
preceding this certification,
    e. Will promptly provide any information to the FTA if at a later 
time any information contradicts the statements of subparagraphs (1) 
through (4) above, and
    f. Will treat each lower tier contract or lower tier subcontract 
under the Project as a covered lower tier contract for purposes of 2 
CFR part 1200 and 2 CFR part 180 if it:
    (1) Equals or exceeds $25,000,
    (2) Is for audit services, or
    (3) Requires the consent of a Federal official,
    g. Will require that each covered lower tier contractor and 
subcontractor:
    (1) Comply with the Federal requirements of 2 CFR part 1200 and 2 
CFR part 180, and
    (2) Assure that each lower tier participant in the Project is not 
presently declared by any Federal department or agency to be:
    (a) Debarred from participation in the federally funded project,
    (b) Suspended from participation in the federally funded project,
    (c) Proposed for debarment from participation in the federally 
funded project,
    (d) Declared ineligible to participate in the federally funded 
project,
    (e) Voluntarily excluded from participation in the federally funded 
project, or
    (f) Disqualified from participation in the federally funded 
Project.
    3. The Applicant will provide a written explanation indicated on 
its Signature Page or a page attached in FTA's TEAM if it or any of its 
principals, including any of its first tier subrecipients or lower tier 
participants, is unable to certify to the preceding statements in this 
certification.
    G. U.S. OMB Assurances in SF-424B and SF-424D.
    (These assurances are consistent with U.S. OMB assurances required 
in SF-424B and SF-424D.)
    1. Administrative Activities. The Applicant assures that:
    a. For every project described in any application it submits, it 
has adequate resources to properly plan, manage, and complete the 
project, including:
    (1) The legal authority to apply for Federal funding, and
    (2) The institutional capability,
    (3) The managerial capability, and
    (4) The financial capability (including funds sufficient to pay the 
non-Federal share of project cost).
    b. It will give access and the right to examine project-related 
materials, including but not limited to:
    (1) FTA,
    (2) The Comptroller General of the United States, and,
    (3) If appropriate, the State, through any authorized 
representative,
    c. It will establish a proper accounting system in accordance with 
generally accepted accounting standards or agency directives.
    d. It will establish safeguards to prohibit employees from using 
their positions for a purpose that:
    (1) Results in a personal or organizational conflict of interest, 
or personal gain, or
    (2) Presents the appearance of a personal or organizational 
conflict of interest or personal gain.
    2. Project Specifics. The Applicant assures that:
    a. Following receipt of FTA award, it will begin and complete 
Project work within the applicable time periods,
    b. For FTA funded construction projects:
    (1) It will comply with FTA provisions concerning the drafting, 
review, and approval of construction plans and specifications
    (2) It will to the extent practicable provide and maintain 
competent and adequate engineering supervision at the construction site 
to assure that the completed work conforms with the approved plans and 
specifications,
    (3) It will include a covenant in the title of federally funded 
real property acquired to assure nondiscrimination during the useful 
life of the project,
    (4) To the extent FTA requires, it will record the Federal interest 
in the title to FTA assisted real property or interests in real 
property, and
    (5) To the extent practicable, without permission and instructions 
from FTA, it will not alter the site of the FTA funded construction 
project or facilities by:
    (a) Disposing of the underlying real property or other interest in 
the site and facilities,
    (b) Modifying the use of the underlying real property or other 
interest in the site and facilities, or
    (c) Changing the terms of the underlying real property title or 
other interest in the site and facilities.
    c. It will furnish progress reports and other information as FTA or 
the State may require.
    3. Statutory and Regulatory requirements. The Applicant assures 
that:
    a. It will comply with all applicable Federal statutes relating to 
nondiscrimination including, but not limited to the:
    (1) Prohibitions against discrimination on the basis of race, 
color, or national origin of Title VI of the Civil Rights Act, 42 
U.S.C. 2000d,
    (2) Prohibitions against discrimination on the basis of sex of:
    (a) Title IX of the Education Amendments of 1972, as amended, 20 
U.S.C. 1681-1683, and 1685-1687, and
    (b) U.S. DOT regulations, ``Nondiscrimination on the Basis of Sex 
in Education Programs or Activities Receiving Federal Financial 
Assistance,'' 49 CFR part 25,
    (3) Prohibitions against discrimination on the basis of age in 
federally assisted programs of the Age Discrimination Act of 1975, as 
amended, 42 U.S.C. 6101-6107,
    (4) Section 504 of the Rehabilitation Act of 1973, as amended, 29 
U.S.C. 794, which prohibits discrimination on the basis of disability,
    (5) Prohibitions against discrimination on the basis of disability 
of Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 
794,
    (6) Nondiscrimination requirements relating to the sale, rental, or 
financing of housing of Title VIII of the Civil Rights Act, 42 U.S.C. 
3601 et seq.,
    (7) Prohibitions against discrimination on the basis of drug abuse 
of the Drug Abuse Office and Treatment Act of 1972, as amended, 21 
U.S.C. 1101 et seq.,
    (8) Prohibitions against discrimination on the basis of alcohol 
abuse of the Comprehensive Alcohol Abuse and Alcoholism Prevention Act 
of 1970, as amended, 42 U.S.C. 4541 et seq.,
    (9) Confidentiality requirements for the records of alcohol and 
drug abuse patients of the Public Health Service Act, as amended, 42 
U.S.C. 290dd-290dd-2, and
    (10) Nondiscrimination provisions of any other statute(s) that may 
apply to the project,
    b. Regardless of whether Federal funding has been provided for any 
of the real property acquired for Project purposes, it will provide for 
fair and equitable treatment of displaced persons or persons whose 
property is acquired as a result of federally assisted programs, and:
    (1) It has the necessary legal authority under State and local law 
to comply with:
    (a) The Uniform Relocation Assistance and Real Property Acquisition 
Policies Act of 1970, as amended, (Uniform Relocation Act) 42

[[Page 67539]]

U.S.C. 4601 et seq., as specified by sections 210 and 305 of that Act, 
42 U.S.C. 4630 and 4655, respectively, and
    (b) U.S. DOT regulations, ``Uniform Relocation Assistance and Real 
Property Acquisition for Federal and Federally Assisted Programs,'' 49 
CFR part 24, specifically 49 CFR 24.4.
    (2) It has complied with or will comply with the Uniform Relocation 
Act and implementing U.S. DOT regulations including but not limited to 
doing the following:
    (a) It will adequately inform each affected person of the benefits, 
policies, and procedures provided for in 49 CFR part 24,
    (b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part 
24, it will provide fair and reasonable relocation payments and 
assistance for displacement, resulting from any FTA funded project, of:
    1 Families and individuals,
    2 Partnerships, corporations, or associations,
    (c) As provided by 42 U.S.C. 4625 and 49 CFR part 24, it will 
provide relocation assistance programs offering the services described 
in to the U.S. DOT regulations to such displaced:
    1 Families and individuals,
    2 Partnerships, corporations, or associations,
    (d) As required by 42 U.S.C. 4625(c)(3), within a reasonable time 
before displacement it will make available comparable replacement 
dwellings to families and individuals,
    (e) It will:
    1 Carry out the relocation process to provide displaced persons 
with uniform and consistent services, and
    2 Make available replacement housing in the same range of choices 
with respect to such housing to all displaced persons regardless of 
race, color, religion, or national origin,
    (f) It will be guided to the greatest extent practicable under 
State law, by the real property acquisition policies of 42 U.S.C. 4651 
and 4652,
    (g) It will pay or reimburse property owners for their necessary 
expenses as specified in 42 U.S.C. 4653 and 4654, understanding that 
FTA will provide Federal funding for its eligible costs of providing 
payments for those expenses, as required by 42 U.S.C. 4631,
    (h) It will execute the necessary implementing amendments to third 
party contracts and subagreements financed with FTA funding, and
    (i) It will execute, furnish, and be bound by such additional 
documents as FTA may determine necessary to effectuate or implement 
these assurances, and
    (j) It will incorporate these assurances by reference into and make 
them a part of any third party contract or subagreement, or any 
amendments thereto, relating to any FTA funded project involving 
relocation or land acquisition, and
    (k) It will provide in any affected document that these relocation 
and land acquisition provisions must supersede any conflicting 
provisions,
    c. To the extent practicable, it 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,
    d. It will, to the extent practicable, comply with the protections 
for human subjects involved in research, development, and related 
activities supported by Federal funding of:
    (1) The National Research Act, Pub. L. 93-348, July 12, 1974, as 
amended, 42 U.S.C. 289 et seq., and
    (2) U.S. DOT regulations, ``Protection of Human Subjects,'' 49 CFR 
part 11,
    e. It will, to the extent practicable, comply with the labor 
standards and protections for federally funded projects of:
    (1) The Davis-Bacon Act, as amended, 40 U.S.C. 3141 et seq.,
    (2) Sections 1 and 2 of the Copeland ``Anti-Kickback'' Act, as 
amended, 18 U.S.C. 874, and 40 U.S.C. 3145, respectively,
    (3) The Contract Work Hours and Safety Standards Act, as amended, 
40 U.S.C. 3701 et seq.,
    f. It will, to the extent practicable, comply with any applicable 
environmental standards that may be prescribed to implement the 
following Federal laws and executive orders, including but not limited 
to the following:
    (l) It will comply with the institution of environmental quality 
control measures under the National Environmental Policy Act of 1969, 
as amended, 42 U.S.C. 4321-4335 and Executive Order No. 11514, as 
amended, 42 U.S.C. 4321 note,
    (2) It will comply with notification of violating facilities 
pursuant to Executive Order No. 11738, 42 U.S.C. 7606 note,
    (3) It will comply with protection of wetlands pursuant to 
Executive Order No. 11990, 42 U.S.C. 4321 note,
    (4) It will comply with evaluation of flood hazards in floodplains 
in accordance with Executive Order No. 11988, 42 U.S.C. 4321 note,
    (5) It will comply with an assurance of project consistency with 
the approved State management program developed pursuant to the 
requirements of the Coastal Zone Management Act of 1972, as amended, 16 
U.S.C. 1451-1465,
    (6) It will comply with Conformity of Federal actions to State 
(Clean Air) Implementation Plans under section 176(c) of the Clean Air 
Act of 1955, as amended, 42 U.S.C. 7401-7671q,
    (7) It will comply with protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as amended, 
42 U.S.C. 300f-300j-6,
    (8) It will comply with protection of endangered species under the 
Endangered Species Act of 1973, as amended, 16 U.S.C. 1531-1544, and
    (9) It will comply with 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),
    (10) It will comply with protection of the components of the 
national wild and scenic rivers systems, as required under the Wild and 
Scenic Rivers Act of 1968, as amended, 16 U.S.C. 1271-1287, and
    (11) It will comply with and facilitate compliance with
    (a) Section 106 of the National Historic Preservation Act of 1966, 
as amended, 16 U.S.C. 470f,
    (b) The Archaeological and Historic Preservation Act of 1974, as 
amended, 16 U.S.C. 469-469c, and
    (c) Executive Order No. 11593 (identification and protection of 
historic properties), 16 U.S.C. 470 note,
    g. To the extent practicable, it will comply with Federal 
requirements for the care, handling, and treatment of warm blooded 
animals held or used for research, teaching, or other activities 
supported by Federal funding of:
    (1) The Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and
    (2) U.S. Department of Agriculture regulations, ``Animal Welfare,'' 
9 CFR subchapter A, parts 1, 2, 3, and 4,
    h. To the extent practicable, before accepting delivery of any FTA 
funded building it will obtain a certificate of compliance with the 
seismic design and construction requirements of U.S. DOT regulations, 
``Seismic Safety,'' 49 CFR part 41, specifically 49 CFR 41.117(d),
    i. To the extent practicable, it and its subrecipients located in 
special flood hazard areas will comply with section 102(a) of the Flood 
Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), by:
    (1) Participating in the Federal flood insurance program,
    (2) Purchasing flood insurance if the total cost of insurable 
construction and acquisition is $10,000 or more,
    j. To the extent practicable, it will comply with:

[[Page 67540]]

    (1) The Hatch Act, 5 U.S.C. 1501-1508, 7324-7326, which limits the 
political activities of State and local agencies and their officers and 
employees whose primary employment activities are financed in whole or 
part with Federal funds including a Federal loan, grant agreement, or 
cooperative agreement, and
    (2) 49 U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), which provide an 
exception from Hatch Act restrictions for a nonsupervisory employee of 
a public transportation system (or of any other agency or entity 
performing related functions) receiving FTA funding to whom the Hatch 
Act does not otherwise apply,
    k. It will have performed the financial and compliance audits as 
required by:
    (1) The Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et 
seq.,
    (2) U.S. OMB Circular A-133, ``Audits of States, Local Governments, 
and Non-Profit Organizations,'' Revised, and
    (3) The most recent applicable U.S. OMB A-133 Compliance Supplement 
provisions for the U.S. DOT, and
    l. It will, to the extent practicable, 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.

GROUP 02. LOBBYING CERTIFICATION

    You must select the following certifications in Group 02 if you 
apply on behalf of your Applicant for a Federal grant or cooperative 
agreement exceeding $100,000, or a loan (including a line of credit), 
loan guarantee, or loan insurance exceeding $150,000, except if you are 
applying on behalf of an Indian tribe, tribal organization, or other 
Indian organization or if we determine otherwise in writing.
    As required by 31 U.S.C. 1352 and U.S. DOT regulations, ``New 
Restrictions on Lobbying,'' specifically 49 CFR 20.110, you and your 
Applicant understand that:
    a. The lobbying restrictions of your certification apply to your 
Applicant's requests for:
    (1) $100,000 or more in Federal funding for a grant or cooperative 
agreement, and
    (2) $150,000 or more in Federal funding for a loan, line of credit, 
or loan guarantee,
    b. Its certification covers the lobbying activities of:
    (1) It,
    (2) Its principals, and
    (3) Its first tier subrecipients:
    Therefore, on behalf of your Applicant, you certify to the best of 
your knowledge and belief, that:
    1. No Federal appropriated funds have been or will be paid by or on 
its behalf to any person:
    a. To influence or attempt to influence:
    (1) An officer or employee of any Federal agency,
    (2) A Member of Congress, an employee of a member of Congress, or 
an officer or employee of Congress,
    b. Regarding the award of a:
    (1) Federal grant or cooperative agreement, or
    (2) Federal loan, line of credit, loan guarantee, or loan insurance
    2. It will submit a complete OMB Standard Form-LLL, ``Disclosure of 
Lobbying Activities (Rev. 7-97),'' in accordance with its instructions, 
if any funds other than Federal appropriated funds have been or will be 
paid to any person:
    a. To influence or attempt to influence:
    (1) An officer or employee of any Federal agency,
    (2) A Member of Congress, an employee of a Member of Congress, or 
an officer or employee of Congress, or
    b. Regarding any application for a:
    (1) Federal grant or cooperative agreement,
    (2) Federal loan, line of credit, loan guarantee, or loan 
insurance, and
    3. It will include the language of this certification in the award 
documents for all subawards at all tiers including, but not limited to:
    a. Subcontracts,
    b. Subgrants,
    c. Subagreements, and
    d. Third party contracts under a:
    (1) Federal grant or cooperative agreement, or
    (2) Federal loan, line of credit, loan guarantee, or loan 
insurance, and
    4. It understands that:
    a. This certification is a material representation of fact that the 
Federal Government relies on, and
    b. It must submit this certification before the Federal Government 
may award funding for a transaction covered by 31 U.S.C. 1352, 
including a:
    (1) Federal grant or cooperative agreement, or
    (2) Federal loan, line of credit, loan guarantee, or loan 
insurance, and
    5. It also understands that any person who does not file a required 
certification will be subject to a civil penalty of not less than 
$10,000 and not more than $100,000 for each such failure.

GROUP 03. PROCUREMENT COMPLIANCE

    We request that you provide the following procurement 
certification, on behalf of your Applicant by selecting Group 03, 
especially if your Applicant is a State, local, or Indian tribal 
government with a certified procurement system, as provided in 49 CFR 
18.36(g)(3)(ii).
    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 approved otherwise in writing.

GROUP 04. PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS

    You must select the following certifications in Group 04 on behalf 
of your Applicant if it is a State, local, or Indian tribal government 
and you are applying for or will apply for 49 U.S.C. chapter 53 funding 
to:
     Acquire property of a private transit operator, or
     Operate public transit in competition with or in addition 
to a private transit provider.
    As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that:
    1. Before it:
    a. Acquires the property or an interest in the property of a 
private provider of public transportation, or
    b. Operates public transportation equipment or facilities:
    (1) In competition with transportation service provided by an 
existing public transportation company, or
    (2) In addition to transportation service provided by an existing 
public transportation company,
    2. It has or will have:
    a. Determined that the funding is essential to carrying out a 
program of projects as required by 49 U.S.C. 5303, 5304, and 5306,
    b. Provided for the participation of private companies engaged in 
public transportation to the maximum extent feasible, and
    c. Paid just compensation under State or local law to the company 
for any franchise or property acquired.

GROUP 05. PUBLIC HEARING

    You must select the following certifications in Group 05 on behalf 
of your Applicant if you apply for 49 U.S.C. chapter 53 funding for a 
capital project that will substantially affect a community or its 
transit service.
    As required by 49 U.S.C. 5323(b), the Applicant certifies that:

[[Page 67541]]

    1. Before submitting an application for a capital project that:
    a. Will substantially affect:
    (1) A community, or
    (2) The public transportation service of a community, and
    b. Also will affect:
    (1) Significant economic interests,
    (2) Significant social interests, or
    (3) Significant environmental interests,
    It will:
    (1) Provide an adequate opportunity for public review and comment 
on the project, after giving notice that:
    (a) Includes a concise description of the proposed project; and
    (b) Has been published in a newspaper of general circulation in the 
geographic area the project.
    (2) Hold a public hearing on the project if the project affects:
    (a) Significant economic interests,
    (b) Significant social interests, or
    (c) Significant environmental interests,
    2. It will have considered the economic, social, and environmental 
effects of the project, and
    3. It will have determined that the project is consistent with 
official plans for developing the community.

GROUP 06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE

    You must select the following certification on behalf of your 
Applicant in Group 06 if you apply for 49 U.S.C. chapter 53 funding to 
acquire any rolling stock for use in revenue service.
    The Applicant certifies that in procuring revenue service rolling 
stock, it will comply with:
    1. Federal transit law, specifically 49 U.S.C. 5323(m),
    2. FTA regulations, ``Pre-Award and Post-Delivery Audits of Rolling 
Stock Purchases,'' 49 CFR part 663, specifically 49 CFR 663.7, as 
modified by amendments authorized by section 3023(k) of SAFETEA-LU, 
including the requirements to:
    a. Conduct or cause to be conducted the required preaward and post 
delivery reviews, and
    b. Maintain on file the certifications required by 49 CFR part 663, 
subparts B, C, and D.

GROUP 07. ACQUISITION OF CAPITAL ASSETS BY LEASE

    You must select the following certifications in Group 07 if you 
apply on behalf of your Applicant for 49 U.S.C. chapter 53 funding to 
acquire capital assets by lease.
    As required by FTA regulations, ``Capital Leases,'' 49 CFR part 
639, specifically 639.15(b)(1) and 639.21, if the Applicant acquires 
any capital asset by lease financed with Federal funding authorized 
under 49 U.S.C. chapter 53, the Applicant certifies as follows:
    1. It will not use Federal funding authorized under 49 U.S.C. 
chapter 53 to finance the cost of leasing any capital asset until:
    a. It performs calculations demonstrating that leasing the capital 
asset would be more cost-effective than purchasing or constructing a 
similar asset, and
    b. It completes these calculations before the later of:
    (1) Entering into the lease, or
    (2) Receiving a capital grant for the asset, and
    2. It will not enter into a capital lease for which FTA can provide 
only incremental Federal funding unless it has adequate financial 
resources to meet its future lease obligations if Federal funding is 
not available.

GROUP 08. BUS TESTING

    You must select the following certification in Group 08 if you 
apply on behalf of your Applicant for 49 U.S.C. chapter 53 funding to 
acquire any new or newly configured bus or a bus with new major 
components.
    The Applicant certifies that:
    1. It will comply with Federal transit law, specifically 49 U.S.C. 
5318,
    2. FTA regulations, ``Bus Testing,'' 49 CFR part 665, specifically 
49 CFR 665.7, requires that
    a. Before:
    (1) Spending any Federal funds to acquire:
    (a) The first bus of any new bus model,
    (b) The first bus with a new major change in configuration or 
components, or
    (2) Authorizing final acceptance of a new bus model or a bus model 
with a major change in components or configuration:
    b. It will:
    (1) Ensure that the bus model has been tested at FTA's bus testing 
facility, and
    (2) Have received a copy of the test report prepared on the bus 
model.

GROUP 09. CHARTER SERVICE AGREEMENT

    You must enter in the Charter Service Agreement in Group 09 on 
behalf of your Applicant if you apply for funding to acquire or operate 
transit facilities and equipment, unless your Applicant qualifies for 
an exception under Federal law and regulations.
    As required by 49 U.S.C. 5323(d) and (g) and FTA regulations, 
``Charter Service,'' 49 CFR part 604, specifically 49 CFR 604.4, the 
Applicant understands and agrees that:
    1. Except in certain circumstances described in its regulations, 
FTA's ``Charter Service'' regulations restrict transportation by 
charter service using facilities and equipment acquired by FTA for 
transportation projects with Federal funding derived from:
    (1) Federal transit laws, 49 U.S.C. chapter 53, or
    (2) 23 U.S.C. Sec. Sec.  133 or 142,
    2. FTA's charter service restrictions extend to:
    a. The Applicant when it becomes a recipient of Federal funding 
under:
    (1) Federal transit laws, 49 U.S.C. chapter 53, or
    (2) 23 U.S.C. Sec. Sec.  133 or 142,
    b. Any third party participant that receives Federal funding 
derived from:
    (1) Federal transit laws, 49 U.S.C. chapter 53, or
    (2) 23 U.S.C. Sec. Sec.  133 or 142,
    c. A third party participant includes a:
    (1) Subrecipient at any tier,
    (2) Lessee,
    (3) Third party contractor or subcontractor at any tier, and
    (4) Other participant in the project,
    3. Neither the Applicant nor any third party participant involved 
in its Project will engage in charter service operations, except as 
permitted under:
    a. Federal transit laws, specifically 49 U.S.C. 5323(d) and (g),
    b. FTA regulations, ``Charter Service,'' 49 C.F.R. Part 604,
    c. Any other Federal Charter Service regulations, or
    d. Federal directives, except as FTA determines otherwise in 
writing.
    4. The Applicant agrees that the latest Charter Service Agreement 
it has selected in its latest annual Certifications and Assurances is 
incorporated by reference in and made part of the underlying Agreement 
accompanying an award of FTA funding.
    5. The Applicant agrees that:
    a. FTA may require corrective measures or impose remedies on it or 
any subrecipient that has engaged in a pattern of violations of FTA's 
Charter Service regulations by:
    (1) Conducting charter operations prohibited by Federal transit 
laws and FTA's Charter Service regulations, or
    (2) Otherwise violating the Applicant's Charter Service Agreement 
it has elected in its latest annual Certifications and Assurances.
    b. These corrective measures and remedies may include:
    (1) Barring it or any third party participant operating public

[[Page 67542]]

transportation under the Project that has provided prohibited charter 
service from receiving FTA funds, or
    (2) Withholding an amount of Federal funds as provided by Appendix 
D to FTA's Charter Service regulations.

GROUP 10. SCHOOL TRANSPORTATION AGREEMENT

    You must enter in the School Transportation Agreement in Group 10 
on behalf of your Applicant if you apply for funding to acquire or 
operate transit facilities and equipment, unless your Applicant 
qualifies for an exception under Federal law and regulations.
    As required by 49 U.S.C. 5323(f) and (g) and FTA regulations, 
``School Bus Operations,'' 49 CFR part 605, to the extent consistent 
with 49 U.S.C. 5323(f) and (g), the Applicant understands and agrees 
that:
    1. FTA's ``School Bus Operations'' regulations restrict school bus 
service as defined in the FTA regulations using facilities and 
equipment acquired with Federal funding derived from:
    (1) Federal transit laws, 49 U.S.C. chapter 53, or
    (2) 23 U.S.C. Sec. Sec.  133 or 142,
    2. FTA's school bus operations restrictions extend to:
    a. The Applicant when it becomes a recipient of Federal funding 
under:
    (1) Federal transit laws, 49 U.S.C. chapter 53, or
    (2) 23 U.S.C. Sec. Sec.  133 or 142,
    b. Any third party participant that receives Federal funding 
derived from:
    (1) Federal transit laws, 49 U.S.C. chapter 53, or
    (2) 23 U.S.C. Sec. Sec.  133 or 142,
    c. A third party participant includes a:
    (1) Subrecipient at any tier,
    (2) Lessee,
    (3) Third party contractor or subcontractor at any tier, and
    (4) Other participant in the project,
    3. Neither the Applicant nor any third party participant involved 
in its Project will engage in school transportation operations in 
competition with private operators of school transportation, except as 
permitted under:
    a. Federal transit laws, specifically 49 U.S.C. Sec.  5323(f) and 
(g),
    b. FTA regulations, ``School Bus Operations,'' 49 C.F.R. Part 605, 
to the extent consistent with 49 U.S.C. Sec.  5323(f) and (g),
    c. Any other Federal School Transportation regulations, or
    d. Federal directives, except as FTA determines otherwise in 
writing.
    4. The Applicant agrees that the latest School Transportation 
Agreement it has selected in its latest annual Certifications and 
Assurances is incorporated by reference in and made part of the 
underlying Agreement accompanying an award of FTA funding.
    5. The Applicant agrees that FTA will bar the Applicant or any 
third party participant that has violated this School Transportation 
Agreement from receiving Federal transit funding in an amount FTA 
considers appropriate.

GROUP 11. DEMAND RESPONSIVE SERVICE

    You must select the following certification in Group 11 on behalf 
of your Applicant if your Applicant operates demand responsive service 
and you apply for 49 U.S.C. chapter 53 funding to acquire non rail 
transit vehicles.
    As required by U.S. DOT regulations, ``Transportation Services for 
Individuals with Disabilities (ADA),'' 49 CFR part 37, specifically 49 
CFR 37.77(d), the Applicant certifies that:
    1. The following public transportation services it offers are 
equivalent in level and quality of service:
    a. Its demand responsive service offered to individuals with 
disabilities, including individuals who use wheelchairs,
    b. Its service offered to individuals without disabilities,
    2. Viewed in its entirety, the Applicant's service for individuals 
with disabilities is:
    a. Provided in the most integrated setting feasible, and
    b. Equivalent to the service it offers individuals without 
disabilities with respect to:
    (1) Response time,
    (2) Fares,
    (3) Geographic service area,
    (4) Hours and days of service,
    (5) Restrictions on trip purpose,
    (6) Availability of information and reservation capability, and
    (7) Constraints on capacity or service availability.

GROUP 12. ALCOHOL MISUSE AND PROHIBITED DRUG USE

    You must select the following certification in Group 12 on behalf 
of your Applicant if FTA regulations, ``Prevention of Alcohol Misuse 
and Prohibited Drug Use in Transit Operations,'' 49 CFR part 655, 
require your Applicant to provide a certification concerning its 
activities to prevent alcohol misuse and prohibited drug use in its 
public transportation operations.
    As required by FTA regulations, ``Prevention of Alcohol Misuse and 
Prohibited Drug Use in Transit Operations,'' specifically 49 CFR part 
655, subpart I, the Applicant certifies that it:
    1. Has established and implemented:
    a. An alcohol misuse program and
    b. An anti-drug program, and
    2. Has complied with or will comply with all applicable 
requirements of this part.

GROUP 13. INTEREST AND OTHER FINANCING COSTS

    You must select the following certification in Group 13 if the your 
Applicant intends to reimburse interest or other financing costs with 
Urbanized Area Formula Program, Capital Investment Program, or Paul S. 
Sarbanes Transit in Parks Program funding.
    The Applicant certifies that:
    1. It will not seek reimbursement for interest or other financing 
costs:
    a. Unless it is eligible to receive Federal funding for those 
costs,
    b. Its records demonstrate that it has used reasonable diligence in 
seeking the most favorable financing terms underlying those costs, to 
the extent FTA may require, and
    2. It will comply with:
    a. Urbanized Area Formula Program interest provisions of 49 U.S.C. 
5307(g)(3),
    b. Capital Investment Program provisions of 49 U.S.C. 
5309(g)(2)(B)(iii),
    c. Capital Investment Program provisions of 49 U.S.C. 
5309(g)(3)(B)(iii),
    d. Capital Investment Program provisions of 49 U.S.C. 
5309(i)(2)(C), and
    e. Paul S. Sarbanes Transit in Parks Program provisions of 49 
U.S.C. 5320(h)(2)(C).

GROUP 14. INTELLIGENT TRANSPORTATION SYSTEMS

    Select the following assurance in Group 14 if you apply on behalf 
of your Applicant for an Intelligent Transportation Systems (ITS) 
project or a project in support of an ITS project. An Applicant for ITS 
project funding that fails to provide this assurance, without providing 
other documentation assuring its commitment to comply with applicable 
Federal ITS standards and protocols, may be ineligible for award of 
Federal funding for that ITS project.
    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.'' The Applicant assures that:

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    1. As provided in subsection 5307(c) of SAFETEA-LU, 23 U.S.C. 512 
note:
    a. ``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, [will] conform to the national architecture, 
applicable standards or provisional standards, and protocols developed 
under subsection (a) [of section 5307 of SAFETEA-LU].''
    b. ITS standards will not apply if it obtains an exception to 
subsection 5307(c) of SAFETEA-LU, 23 U.S.C. 512 note.
    2. 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, if supported with Federal funding 
not derived from:
    a. Title 49, United States Code, or
    b. Title 23, United States Code.
    3. To facilitate compliance with subsection 5307(c) of 23 U.S.C. 
512 note, except as the Federal Government determines otherwise in 
writing, the Applicant assures that it will comply with:
    a. FTA Notice, ``FTA National ITS Architecture Policy on Transit 
Projects,'' 66 FR 1455, January 8, 2001, specifically:
    (1) Applicable provisions of Section V (Regional ITS Architecture, 
and
    (2) Section VI (Project Implementation), and
    b. 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,

GROUP 15. URBANIZED AREA FORMULA PROGRAM

    You must select the following certifications and assurances in 
Group 15 if you apply on behalf of your Applicant for Urbanized Area 
Formula Program funding, 49 U.S.C. 5307. Your 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, unless FTA determines 
otherwise in writing. Consequently, we strongly encourage your 
Applicant 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 it has made.
    Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to spend at 
least one (1) percent of its Urbanized Area Formula Program funding for 
public transportation security projects, unless it has certified that 
such expenses are not necessary. Information about its intentions must 
be recorded in the ``Security'' tab page of the TEAM-Web ``Project 
Information'' window when it submits its Urbanized Area Formula Program 
application in TEAM-Web.
    We may not award Urbanized Area Formula P