[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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