[Federal Register Volume 60, Number 226 (Friday, November 24, 1995)]
[Notices]
[Pages 58176-58194]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-28804]




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Part IV





Department of Transportation





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Federal Transit Administration



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Grants and Cooperative Agreements; Fiscal Year 1996 Annual List of 
Certifications and Assurances; Notice

  Federal Register / Vol. 60, No. 226 / Friday, November 24, 1995 / 
Notices   

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Fiscal Year 1996 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: This Notice contains FTA's comprehensive compilation of the 
fiscal year 1996 certifications and assurances to be used in connection 
with all Federal assistance programs administered by FTA during fiscal 
year 1996. (See Appendix A.) These certifications and assurances 
include all annual certifications required by 49 U.S.C. 5307(d)(1) for 
FTA's Urbanized Area Formula Program as well as other certifications 
and assurances needed for compliance with various other Federal 
statutes and regulations affecting FTA's assistance programs.

EFFECTIVE DATE: November 24, 1995.

FOR FURTHER INFORMATION CONTACT: Linda Watkins Sorkin, Office of the 
Chief Counsel, Federal Transit Administration, (202) 366-1936; or 
contact FTA staff in the appropriate Regional Office listed below.

Region 1: Boston

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

Region 2: New York

States served: New York, New Jersey, and Virgin Islands. Telephone # 
212-264-8162

Region 3: Philadelphia

States served: Pennsylvania, Delaware, Maryland, Virginia, West 
Virginia, and District of Columbia. Telephone # 215-656-6900

Region 4: Atlanta

States served: Kentucky, North Carolina, South Carolina, Georgia, 
Florida, Alabama, Mississippi, Tennessee, and Puerto Rico. Telephone # 
404-347-3948

Region 5: Chicago

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

Region 6: Dallas/Ft.Worth

States served: Arkansas, Louisiana, Oklahoma, Texas, and New Mexico. 
Telephone # 817-860-9663

Region 7: Kansas City

States served: Missouri, Iowa, Kansas, and Nebraska. Telephone # 816-
523-0204

Region 8: Denver

States served: Colorado, Utah, Wyoming, Montana, North Dakota, South 
Dakota, Arizona \1\, and Nevada \1\. Telephone # 303-844-3242

    \1\ Transportation projects for these states are administered by 
Region 8 but are geographically in Region 9.
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Region 9: San Francisco

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

Region 10: Seattle

 States served: Idaho, Oregon, Washington, and Alaska. Telephone # 206-
220-7954
SUPPLEMENTARY INFORMATION: Before FTA may award a Federal grant or 
cooperative agreement, the applicant must provide to FTA all 
certifications and assurances required by Federal laws and regulations 
for the applicant or its project.
    This Notice provides the text of certifications and assurances that 
may be required by law for the various Federal assistance programs 
administered by FTA including the Capital Program, the Urbanized Area 
Formula Program; the Nonurbanized Area Formula Program, the 
Metropolitan Planning Program, the Rural Transit Assistance Program, 
the Elderly and Persons With Disabilities Program, the Human Resource 
Program, the National Training Institute Program, the State Planning 
and Research Program, and the National Planning and Research Program, 
all codified at 49 U.S.C. chapter 53. When administering Federal 
assistance programs authorized by other Federal statutes, such as Title 
23, United States Code, FTA uses these same certifications and 
assurances during Federal fiscal year 1996.
    This Notice also provides the applicant with a single Signature 
Page on which the applicant and its attorney certifies compliance with 
all certifications and assurances applicable to each grant or 
cooperative agreement for which the applicant wishes to apply in 
Federal Fiscal Year 1996. (See Appendix B.)
    FTA is expanding the use of the two electronic programs for 
applicants introduced last year. The On-Line Program is offered to 
applicants through the Grant Management Information System (GMIS). This 
is a computerized system designed to assist the FTA grantee or 
recipient of a cooperative agreement in managing its FTA assisted 
projects and their budgets. All applicants are encouraged to 
participate in the On-Line Program, which includes the opportunity to 
certify compliance electronically for all certifications and assurances 
selected among those in Appendix A. The Electronic Grant Making and 
Management initiative (EGMM) pilot program initiated in Federal Fiscal 
Year - 1995 has proved so successful in reducing time and paper that 
EGMM will continue to be offered to more applicants. Applicants may 
contact their Regional Office shown above for more information.
    This 1996 Annual Certifications and Assurances document contains 
changes to the previous year's Federal Register publication. 
Specifically, the separate Category selection for Procurement has been 
eliminated. In its place, paragraph ``H'' has been added to Category I. 
This affects each applicant which is now required by FTA Circular 
4220.1C, ``Third Party Contracting Requirements'' dated October 1, 
1995, to self-certify its procurement system's compliance. Three 
additional changes have been made to the Annual Certifications and 
Assurances. One is the Urbanized Area Formula Program certification 
requirement for sole source purchases of associated capital maintenance 
items, which has been added as paragraph C. in Category XI. FTA has 
also redrafted the previous transit security and intercity bus 
expenditure requirements to remove the need for the Applicant to 
indicate whether or not it will expend the percentage of funds at 
issue, with the result that the applicant is no longer required to 
indicate which option it has selected. This decision can be made at a 
later date and documentation may then be made available to FTA when 
requested. See paragraph A(10) of Category XI and paragraph P of 
Category XIII. These changes eliminate previous options under 
Categories XI and XIII, now permitting the applicant to signify 
compliance with all Categories by placing a single ``X'' in the 
appropriate space at the top of the Signature Selection Page in 
Appendix A.
    FTA directs your attention to FTA Circular 9300.1, ``Capital 
Program Grant Application Instructions,'' which was published on 
September 29, 1995. That circular contains a previous draft version of 
the Annual Certifications and Assurances which includes some but not 
all of the most current and valid changes. Therefore the provisions of 
this Notice supersede conflicting statements in that circular. Note 
especially that the Applicant must use the most current 

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Signature Pages shown in this Federal Register document or provided 
concurrently through the EGMM initiative discussed above.

Background

    Last year, with the publication of the Federal fiscal year 1995 
counterpart of this Notice, certifications and assurances for Federal 
assistance programs administered by FTA were for the first time 
consolidated into one document. This marked the beginning of an effort 
to assist applicants in reducing time and paper work in certifying 
compliance with various Federal laws and regulations. It coincided with 
the On-Line Program and the EGMM initiative described above, which also 
reduced the time and paper required to process an application.
    This publication of certifications and assurances therefore 
continues to supersede the requirements of FTA Circular 9100.1B, dated 
July 1, 1988, ``Standard Assurances for Urban Mass Transportation 
Administration Applications,'' which was rescinded. Other FTA circulars 
affected by this Notice will be revised accordingly. These annual 
certifications and assurances with the Signature Page also continue to 
supersede a Statement of Continued Validity now no longer required. 
However, the applicant's Attorney Affirmation continues to be required 
as indicated on the Signature Page at the end of Appendix B.
    FTA intends to continue publishing this document annually with any 
changes or additions specifically highlighted, in conjunction with its 
publication of the FTA annual apportionment Notice, which allocates 
funds in accordance with the latest U.S. Department of Transportation 
(U.S. DOT) annual appropriations act.

Procedures

    Following is a detailed compilation of Certifications and 
Assurances (Appendix A), followed by a Signature Page (Appendix B). The 
Signature Page is to be signed by the applicant's authorized 
representative and its attorney (the attorney's current affirmation may 
be on file in some instances), and sent to the appropriate FTA Regional 
office by: (1) the first-quarter application submission date published 
in FTA's Federal fiscal year 1996 apportionment announcement; or (2) 
with the applicant's first Federal assistance application in Federal 
fiscal year 1996.
    The Signature Page, when properly signed and submitted to FTA, 
assures FTA that the applicant intends to comply with the requirements 
for the specific program involved. Both sides of the Signature Page 
must be completed, first by marking where appropriate with an ``X'' on 
the category selection side, and then signifying compliance by signing 
the signature side. (See Appendix B.)
    An applicant participating in the On-Line Program or the EGMM 
Program described above, may submit its Signature Page (both the 
selection side and the signature side) electronically. The applicant 
should not hesitate to consult with the appropriate Regional Office or 
Headquarters Office before submitting its certifications and 
assurances.

References

    49 U.S.C. chapter 53, Title 23 U.S.C., 42 U.S.C. 4151, Title VI 
and Title VII of the Civil Rights Act, FTA regulations under 49 CFR, 
and FTA Circulars.

    Issued: November 17, 1995.
Gordon J. Linton,
Administrator.

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[FR Doc. 95-28804 Filed 11-21-95; 11:07 am]
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