[Federal Register Volume 61, Number 195 (Monday, October 7, 1996)]
[Notices]
[Pages 52540-52562]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-25249]



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Part III





Department of Transportation





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Federal Transit Administration



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Fiscal Year 1997 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements; 
Notice

  Federal Register / Vol. 61, No. 195 / Monday, October 7, 1996 / 
Notices  

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Fiscal Year 1997 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 
Federal Fiscal Year 1997 certifications and assurances to be used in 
connection with all Federal assistance programs administered by FTA 
during Federal Fiscal Year 1997. (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: October 7, 1996.

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 # 
404-562-3500.

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\
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    \1\ Transportation projects for these states are administered by 
Region 8 but are geographically in Region 9) Telephone # 304-844-
3242.
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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 1997.
    This Notice 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 1997. (See Appendix B.)
    FTA is expanding the use of the two electronic programs for 
applicants introduced in 1995. 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 also 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 1997 Annual Certifications and Assurances document contains 
changes to the previous year's Federal Register publication. One change 
is the addition of Category III, Effects On Private Mass Transportation 
Companies. Please read this category in Appendix A before certifying. 
Another change occurs at Category XV, Certifications and Assurances for 
the State Infrastructure Bank Program. This new category concerns grant 
applicants requesting Federal assistance for deposit in the Transit 
Account of the State Infrastructure Bank (SIB). Additional changes have 
been made to the Annual Certifications and Assurances, which may 
include clarification and reference sources.
    In Category I-G, Assurance of Nondiscrimination on the Basis of 
Disability, a revision occurred in the regulation for compliance, CFR 
49 Part 27. (see Federal Register of May 21, 1996, p 25416.) This 1997 
certification therefore either assures FTA of the applicant's full 
implementation of ADA paratransit service requirements by January 26, 
1997 with no further need to submit annual plan update; or, if not in 
compliance, of the applicant's intent to submit a 1997 plan update with 
a valid request for a time extension, in order to remain eligible for 
Federal funding. Each applicant is advised to read the entire 1997 
Certifications and Assurances to be confident of their responsibilities 
and committments. The applicant may 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. However, the 
applicant's Attorney Affirmation continues to be required as indicated 
on the Signature Page at the end of Appendix B, regardless of the 
applicant's selection of a single selection for all fifteen Categories 
or options selection from the fifteen Categories.
    FTA directs your attention to FTA Circular 9300.1, ``Capital 
Program Grant Application Instructions,'' which was

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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 Signature Pages shown in this Federal Fiscal Year 
1997 Federal Register document or provided concurrently through the 
EGMM initiative discussed above.

Background

    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.
    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 1997 apportionment announcement; or (2) 
with the applicant's first Federal assistance application in Federal 
Fiscal Year 1997.
    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 On: September 30, 1996.
Gordon J. Linton,
Administrator.

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[FR Doc. 96-25249 Filed 10-04-96; 8:45 am]
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