[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] [[Page 52539]] _______________________________________________________________________ Part III Department of Transportation _______________________________________________________________________ Federal Transit Administration _______________________________________________________________________ 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 [[Page 52540]] 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. ----------------------------------------------------------------------- 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\ --------------------------------------------------------------------------- \1\ Transportation projects for these states are administered by Region 8 but are geographically in Region 9) Telephone # 304-844- 3242. --------------------------------------------------------------------------- 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 [[Page 52541]] 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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