[Federal Register Volume 70, Number 219 (Tuesday, November 15, 2005)]
[Notices]
[Pages 69380-69416]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-22525]



[[Page 69379]]

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Part II





Department of Transportation





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Federal Transit Administration



Fiscal Year 2006 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements; 
Notice

  Federal Register / Vol. 70, No. 219 / Tuesday, November 15, 2005 / 
Notices  

[[Page 69380]]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Fiscal Year 2006 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: Appendix A of this Notice contains the Federal Transit 
Administration's (FTA) comprehensive compilation of the certifications 
and assurances for Federal fiscal year 2006 to be used in connection 
with all Federal assistance programs that FTA administers during 
Federal fiscal year 2006. FTA is required by 49 U.S.C. 5323(n) to 
compile an annual list of certifications and assurances and publish 
them as required by 49 U.S.C. 5336(d)(2). Due to enactment of FTA's new 
authorizing legislation, the Safe, Accountable, Flexible, Efficient 
Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. 
109-59, Aug. 10, 2005, FTA's annual certifications and assurances have 
been revised to accommodate these legislative changes, as well as 
changes resulting from enactment of other recent Federal legislation.

DATES: These certifications and assurances were effective on October 1, 
2005, the first day of Federal fiscal year 2006.

FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate Regional 
Office listed below. For copies of other related documents, see the FTA 
Web site at http://www.fta.dot.gov or contact FTA's 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, New Jersey, and the Virgin Islands
Telephone  212-668-2170

Region 3: Philadelphia

States served: Delaware, District of Columbia, Maryland, Pennsylvania, 
Virginia, and West Virginia
Telephone  215-656-7100

Region 4: Atlanta

States served: Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, Puerto Rico, South Carolina, and Tennessee
Telephone  404-562-3500

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, Oklahoma, Texas, and New Mexico
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, 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

SUPPLEMENTARY INFORMATION: Before FTA may award Federal financial 
assistance through a Federal grant or cooperative agreement, the 
Applicant must submit all certifications and assurances pertaining to 
itself and its project as required by Federal laws and regulations. 
These certifications and assurances must be submitted to FTA 
irrespective of whether the project is financed under the authority of 
49 U.S.C. chapter 53, or Title 23, United States Code, or another 
Federal statute.
    The Applicant's annual certifications and assurances for Federal 
fiscal year 2006 cover all projects for which the Applicant seeks 
funding during Federal fiscal year 2006 through the next fiscal year 
until FTA issues its annual certifications and assurances for Federal 
fiscal year 2007. An Applicant's annual certifications and assurances 
applicable to a specific grant or cooperative agreement generally 
remain in effect for either the duration of the grant or cooperative 
agreement to project closeout or the duration of the project or project 
property when a useful life or industry standard is in effect, 
whichever occurs later; EXCEPT, if the Applicant provides 
certifications and assurances in a later year that differ from 
certifications and assurances previously provided, the later 
certifications and assurances will apply to the grant, cooperative 
agreement, project, or project property, unless FTA permits otherwise.
    Nevertheless, pursuant to 49 U.S.C. 3041(c)(3) of SAFETEA-LU, funds 
authorized or made available for Federal fiscal year 2005 shall be 
administered consistent with the applicable formula requirements of 
Transportation Equity Act for the 21st Century, TEA-21 (TEA-21), Pub. 
L. 105-178, June 9, 1998, as amended. As a result, to the extent that 
any one of the new Federal fiscal year 2006 certifications or 
assurances set forth in this document conflicts with the provisions of 
TEA-21, that new certification or assurance will not apply to Grants or 
Cooperative Agreements financed with funds obligated in Federal fiscal 
year 2006 that had been authorized or made available for Federal fiscal 
year 2005.
    Background: Since Federal fiscal year 1995, FTA has been 
consolidating the various certifications and assurances that may be 
required of its Applicants and their projects into a single document 
for publication in the Federal Register. FTA intends to continue 
publishing this document annually, often in conjunction with its 
publication of the FTA annual apportionment Notice, which sets forth 
the allocations of funds made available by the latest U.S. Department 
of Transportation (U.S. DOT) annual appropriations act.
    Effect of the Certifications and Assurances. In view of the many 
projects that will be implemented substantially by a subrecipient of 
the Applicant, FTA cautions the Applicant that, absent a written 
determination by FTA to the contrary, the Applicant will be responsible 
for compliance both by itself and by each of its subrecipients with all 
certifications and assurances the Applicant has selected that would 
involve the subrecipient or the subrecipient's activities with respect 
to the project. Thus, the Applicant itself is ultimately responsible 
for compliance with its certifications even though a project may be 
carried out in whole or in part by one or more subrecipients. 
Consequently, in providing certifications and assurances that involve 
the compliance of any prospective subrecipient, the Applicant is 
strongly encouraged to take the appropriate measures, including but not 
limited to obtaining sufficient documentation from each subrecipient, 
to assure the validity of the certifications and assurances the 
Applicant has made.
    Federal Fiscal Year 2006 Changes: Apart from minor editorial 
revisions, set forth below are significant changes to

[[Page 69381]]

FTA's certifications and assurances for Federal fiscal year 2006:
    (1) The Categories of certifications and assurances have been 
expanded from sixteen (16) to twenty-three (23) to accommodate the 
different statutory provisions applicable to the new programs 
authorized under SAFETEA-LU and other adjustments FTA has made.
    (2) Throughout the text of these Federal fiscal year 2006 
certifications and assurances, the term ``public transportation'' has 
been substituted for ``mass transportation'' for consistency with the 
text of SAFETEA-LU.
    (3) In the Introductory paragraph preceding the text of the 
certifications and assurances, the URL for the FTA Master Agreement for 
Federal fiscal year 2006 is identified at http://www.fta.dot.gov/16874_16882_ENG_HTML.htm.
    (4) Category 01. The certifications and assurances for all 
Applicants have been revised as follows:
    (a) The ``Procurement Compliance'' certification at subcategory 1.F 
has been transferred to a separate category.
    (b) Former subcategory 1.G containing assurances, as set forth in 
OMB's SF-242B and SF-242F has been re-designated as subcategory 1.F.
    (c) In re-designated subcategory 1.F, a reference to 49 U.S.C. 
5307(k)(2), which exempts nonsupervisory employees of a public 
transportation system from Hatch Act restrictions, has been added to 
section (15). SAFETEA-LU amended 49 U.S.C. 5307 to specify this Hatch 
Act exemption.
    (5) Category (02). No changes were made to Category 02, ``Lobbying 
Certification.''
    (6) New Category (03). The ``Procurement Certification'' has been 
revised as follows:
    (a) The ``Procurement Compliance'' certification is now located in 
a separate new Category (03) to accommodate an Applicant that has not 
yet self-certified its procurement system to FTA.
    (b) Former Categories 03 through 05 have been re-designated as 
Categories 04 through 06.
    (7) Re-designated Category 04. The ``Private Providers of Public 
Transportation'' certification has been revised as follows:
    (a) New citations to FTA's planning requirements within SAFETEA-LU 
have been substituted for the former citations that have been repealed.
    (b) Because the SAFETEA-LU amendment to 49 U.S.C. 5323(a)(1) 
deleted a reference to the Secretary of Labor's Certification of Public 
Transportation Employee Protective Arrangements, that reference has 
been deleted from the ``Protections for Private Providers'' 
certification.
    (8) Re-designated Category 05. The ``Public Hearing'' certification 
has been revised to conform with the SAFETEA-LU amendment to 49 U.S.C. 
5323(b), which requires a public hearing to be held for a capital 
project if that project affects significant economic, social, or 
environmental interests. Thus if the interests affected are not 
significant, the Applicant need not publish a notice asking whether a 
public hearing is needed.
    (9) Re-designated Category 06. No changes were made to the 
``Acquisition of Rolling Stock'' certification requiring pre-award and 
post-delivery reviews.
    (10) New Category 07. The ``Acquisition of Capital Assets by 
Lease'' certification has been revised as follows:
    (a) This certification formerly set forth in subcategory 13.B and 
has been transferred to a separate category to emphasize that the 
certification applies to any Applicants that seek to acquire capital 
assets by lease.
    (b) Former Categories 06 through 12 have been re-designated as 
Categories 08 through 14.
    (11) Re-designated Category 08. The ``Bus Testing'' certification 
has been revised to clarify that FTA is maintaining one bus testing 
facility, currently, the Bus Testing Center at Altoona, Pennsylvania.
    (12) Re-designated Category 09. The ``Charter Service Agreement'' 
certification has been revised as follows:
    (a) The ``Charter Service Agreement'' has been revised to indicate 
that FTA's charter provisions apply to public transportation projects 
financed with Federal assistance provided for 23 U.S.C. 133, or 23 
U.S.C. 142, as set forth in section 3023(g) of SAFETEA-LU.
    (b) As authorized by 49 U.S.C. 5317(e)(1), which makes the 
requirements of 49 U.S.C. 5310 applicable to the New Freedom Program to 
the extent the Federal Transit Administrator, as the designee of the 
U.S. Secretary of Transportation, determines appropriate, the Federal 
Transit Administrator has determined that the Charter Service 
restrictions of 49 U.S.C. 5323(d) are not appropriate for the New 
Freedom Program to provide consistency with the Charter Service 
exemption provided for the Elderly Individuals and Individuals with 
Disabilities Formula Program and Pilot Program.
    (13) Re-designated Category 10. The ``School Transportation 
Agreement'' has been revised to indicate that FTA's school 
transportation provisions apply to public transportation projects 
financed with Federal assistance provided for 23 U.S.C. 133, or 23 
U.S.C. 142, as set forth in section 3023(g) of SAFETEA-LU.
    (14) Re-designated Category 11. No change has been made to the 
``Demand Responsive Service'' certification.
    (15) Re-designated Category 12. No change has been made to the 
``Alcohol Misuse and Prohibited Drug Use'' certification.
    (16) Re-designated Category 13. Due to amendments to 49 U.S.C. 
5307, 5309, and new 5320, the ``Interest and Financing Costs'' 
certification has been revised to substitute updated citations.
    (17) Former Category 13. The various certifications within former 
Category 13 ``Urbanized Area Formula Program'' have been treated as 
follows:
    (a) The Urbanized Area Formula Program certifications in former 
subcategory 13.A have been transferred to a new Category 15 herein.
    (b) The Job Access and Reverse Commute Program certifications in 
former subcategory 13.A have been transferred to a new Category 19 
herein.
    (c) The Clean Fuels Formula Grant Program certifications in Former 
subcategories 13.A and D have been deleted because that program has 
been repealed and replaced by the Clean Fuels Grant Program.
    (d) The Acquisition by Lease certifications in Former subcategory 
13.B have been transferred to new Category 07.
    (e) Subcategory 13.C has been deleted because the special 
certification requirements for sole source procurement of associated 
capital maintenance items were rescinded as a result of SAFETEA-LU 
amendments to 49 U.S.C. 5325.
    (18) Re-designated Category 14. The ``Intelligent Transportation 
Systems'' certification has been revised to add a reference to the new 
citation to Intelligent Transportation System architecture provisions 
established in the SAFETEA-LU amendments to the ITS program.
    (19) Re-designated Category 15. The ``Urbanized Area Formula 
Program'' certifications previously set forth in former subcategory 
13.A, have been transferred to re-designated Category 15. The following 
changes have been made to the previous certifications:
    (a) A separate category limited to certifications for the Urbanized 
Area Formula Program has been established, and
    (b) The SAFETEA-LU amendments to the certification requirements of 
49 U.S.C. 5307(d)(1) have been implemented in the text of the 
``Urbanized Area Formula Program'' certifications as follows:

[[Page 69382]]

    1. Pursuant to amended 49 U.S.C. 5307(d)(1)(A), the Applicant's 
requirement to certify its legal, financial, and technical capacity to 
carry out its proposed program of projects now requires the Applicant 
to certify its capacity to carry out the safety and security aspects of 
that program.
    2. Pursuant to amended 49 U.S.C. 5307(d)(1)(E), the Applicant is 
now required to certify that it will comply with 49 U.S.C. 5323 and 
5325.
    3. Pursuant to the new 49 U.S.C. 5307(d)(1)(K), an Applicant 
serving an urbanized area with a population exceeding 200,000 is now 
required to certify annually that it will spend at least one (1) 
percent of its Urbanized Area Formula Program funds for transit 
enhancements and report its transit enhancement expenditures for the 
preceding year to FTA.
    (20) Re-designated Category 16. The new ``Clean Fuels Grant 
Program'' certifications include the following:
    (a) In the introductory text immediately preceding the 
certifications, Applicants are notified that they will be ultimately 
responsible for their own compliance with Federal laws, regulations, 
and directives, and for compliance by any subrecipients participating 
in their projects.
    (b) Because the Clean Fuels Grant Program is subject to the 
requirements of 49 U.S.C. 5307, certifications at 49 U.S.C. 5307(d)(1) 
have been adapted for that Program, except for the following 
certifications which are determined inapplicable.
    1. Because 49 U.S.C. 5307(d)(1)(J) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for security 
projects, and 49 U.S.C. 5308 does not contain a similar provision with 
respect to funds authorized under 49 U.S.C. 5308, the Federal Transit 
Administrator has determined that the certification at 49 U.S.C. 
5307(d)(1)(J) is inapplicable to the Clean Fuels Grant Program. If, 
however, 49 U.S.C. 5307 funding will be provided for projects within 
the Clean Fuels Grant Program, the Applicant will be required to comply 
with the security and transit enhancement expenditure provisions of 49 
U.S.C. 5307(d)(1)(J).
    2. Because 49 U.S.C. 5307(d)(1)(K) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for transit 
enhancements, and 49 U.S.C. 5308 does not contain a similar provision 
with respect to funds authorized under 49 U.S.C. 5308, the Federal 
Transit Administrator has determined that the certification at 49 
U.S.C. 5307(d)(1)(K) is inapplicable to the Clean Fuels Grant Program. 
If, however, 49 U.S.C. 5307 funding will be provided for projects 
within the Clean Fuels Grant Program, the Applicant will be required to 
comply with the security and transit enhancement expenditure provisions 
of 49 U.S.C. 5307(d)(1)(K).
    (c) The former special certification that vehicles financed under 
the Clean Fuels Formula Grant Program must be operated only with clean 
fuels, has not been included, because that requirement, formerly at 49 
U.S.C. 5308(c)(2) was repealed when SAFETEA-LU amended former 49 U.S.C. 
5308.
    (21) Former Categories 14, 15, and 16 have been re-designated as 
Categories 17, 18, and 23, respectively.
    (22) New Category 17. The ``Elderly Individuals and Individuals 
with Disabilities Formula Program'' (Formula Program) and the Elderly 
Individuals and Individuals with Disabilities Pilot Program'' (Pilot 
Program) certifications include the following:
    (a) In the introductory text immediately preceding the 
certifications, Applicants are notified that they will be ultimately 
responsible for their own compliance with Federal laws, regulations, 
and directives, and for compliance by any subrecipients participating 
in their projects.
    (b) The former certifications for the Formula Program, authorized 
under 49 U.S.C. 5310 have been revised as necessary to comply with 
SAFETEA-LU amendments and combined with certifications for the Pilot 
Program, authorized under subsection 3012(b) of SAFETEA-LU. Except to 
the extent that provisions for the Pilot Program expressly differ from 
the provisions for the Formula Program, Formula Program provisions will 
apply to projects within the Pilot Program.
    (c) Because the Formula Program and Pilot Program are subject to 
the requirements of 49 U.S.C. 5307, certifications at 49 U.S.C. 
5307(d)(1) are adapted for those programs. As authorized by 49 U.S.C. 
5310(d)(1), however, the Federal Transit Administrator has determined 
that the following certifications required by 49 U.S.C. 5307(d)(1) are 
not appropriate for the Formula Program and Pilot Program:
    1. Because the services financed under this program are designed 
specifically for and available primarily to the elderly and handicapped 
individuals, and because the half-fare provisions benefiting elderly 
individuals and handicapped individuals of 49 U.S.C. 5307(d)(1)(D) are 
focused on peak periods, and peak demand has not been relevant to the 
provision of these specialized services, the Federal Transit 
Administrator has determined that the half-fare requirements of 49 
U.S.C. 5307(d)(1)(D) are not appropriate for the Formula Program or the 
Pilot Program.
    2. Because 49 U.S.C. 5310 and section 3012b of SAFETEA-LU prescribe 
specific public participation, planning, and coordination provisions 
for the Formula Program and Pilot Program, Federal Transit 
Administrator has determined that the public participation, planning, 
and coordination provisions as specified in 49 U.S.C. 5307(d)(1)(F) are 
not appropriate for the Formula Program or Pilot Program.
    3. The Federal Transit Administrator has determined that the 
requirements of 49 U.S.C. 5307(d)(1)(I) for a ``locally developed 
process to solicit and consider public comment before raising a fare or 
carrying out a major reduction of transportation'' are not appropriate 
for the Formula Program because by next fiscal year, 49 U.S.C. 
5310(d)(2)(B) will expressly require a locally coordinated 
transportation plan from which projects are to be selected, while 
section 3012(b)(2) now requires a locally coordinated transportation 
plan from which projects within the Pilot Program are to be selected 
during this fiscal year.
    4. Because 49 U.S.C. 5307(d)(1)(J) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for security 
projects, and neither 49 U.S.C. 5310 nor section 3012b of SAFETEA-LU 
contain a similar provision with respect to funds authorized under 49 
U.S.C. 5310 or section 3012b of SAFETEA-LU, the Federal Transit 
Administrator has determined that the certification at 49 U.S.C. 
5307(d)(1)(J) is inapplicable to the Elderly Individuals and 
Individuals with Disabilities Formula Program and Pilot Program, and 
thus is not appropriate.
    5. Because 49 U.S.C. 5307(d)(1)(K) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for transit 
enhancements, and neither 49 U.S.C. 5310 nor section 3012b of SAFETEA-
LU contain a similar provision with respect to funds authorized under 
49 U.S.C. 5310 or section 3012b of SAFETEA-LU, the Federal Transit 
Administrator has determined that the certification at 49 U.S.C. 
5307(d)(1)(K) is inapplicable to the Elderly Individuals and 
Individuals with Disabilities Formula Program and Pilot Program, and 
thus is not appropriate.
    (d) The requirements of 49 U.S.C. 5310(d)(2)(A) for coordination 
with private nonprofit providers before transferring funds authorized 
for 49 U.S.C. 5310 have been added.

[[Page 69383]]

    (e) The planning certification requirements for the Elderly 
Individuals and Individuals with Disabilities Pilot Program required by 
section 3012(b)(2) of SAFETEA-LU have been added.
    (23) New Category 18. Except for streamlining, the Nonurbanized 
Area Formula Program certifications have not changed substantially.
    (24) New Category 19. The ``Job Access and Reverse Commute (JARC) 
Formula Grant Program'' certifications include the following:
    (a) In the introductory text immediately preceding the 
certifications, Applicants are notified that they will be ultimately 
responsible for their own compliance with Federal laws, regulations, 
and directives, and for compliance by any subrecipients participating 
in their projects.
    (b) The certifications and assurances for the Job Access and 
Reverse Commute (JARC) Program, previously set forth in former 
subcategory 13.A, have been transferred to new separate Category 19.
    (c) The former certifications for the ``Job Access and Reverse 
Commute (JARC) Program'' that is now codified at 49 U.S.C. 5316 have 
been revised as necessary to comply with the SAFETEA-LU amendments to 
former section 3037 of the Transportation Equity Act for the 21st 
Century.
    (d) The new codified citation to the JARC Formula Grant Program, 49 
U.S.C. 5316, has been substituted for the previous uncodified citation 
to TEA-21.
    (e) Because the JARC Formula Grant Program is subject to the 
requirements of 49 U.S.C. 5307, certifications at the amended 49 U.S.C. 
5307(d)(1) have been adapted for that Program, except for the following 
certifications which the Federal Transit Administrator has determined 
are inapplicable:
    1. Because 49 U.S.C. 5307(d)(1)(J) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for security 
projects, and 49 U.S.C. 5316 does not contain a similar provision with 
respect to funds authorized under 49 U.S.C. 5316, FTA has determined 
that the certification at 49 U.S.C. 5307(d)(1)(J) is inapplicable to 
the JARC Formula Grant Program.
    2. Because 49 U.S.C. 5307(d)(1)(K) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for transit 
enhancements, and 49 U.S.C. 5316 does not contain a similar provision 
with respect to funds authorized under 49 U.S.C. 5316, FTA has 
determined that the certification at 49 U.S.C. 5307(d)(1)(K) is 
inapplicable to the JARC Formula Grant Program.
    (25) New Category 20. The ``New Freedom Program'' certifications 
include the following:
    (a) In the introductory text immediately preceding the 
certifications, Applicants are notified that they will be ultimately 
responsible for their own compliance with Federal laws, regulations, 
and directives, and for compliance by any subrecipients participating 
in their projects.
    (b) Because the New Freedom Program is subject to the requirements 
of 49 U.S.C. 5307, certifications at 49 U.S.C. 5307(d)(1) have been 
adapted by that Program. As authorized by 49 U.S.C. 5317(e)(1), which 
makes the requirements of 49 U.S.C. 5310 applicable to the New Freedom 
Program, the Federal Transit Administrator has determined that the 
following certifications required by 49 U.S.C. 5307(d)(1) and 
determined inappropriate for the Elderly Individuals and Individuals 
with Disabilities Formula Program, 49 U.S.C. 5310, are inappropriate 
for the New Freedom Program:
    1. Because the services financed under this program are designed 
specifically for and will be available primarily to the elderly and 
handicapped individuals, and because the half-fare provisions 
benefiting elderly individuals and handicapped individuals of 49 U.S.C. 
5307(d)(1)(D) are focused on peak periods, and peak demand is not 
expected to be relevant to the provision of these specialized services, 
the Federal Transit Administrator has determined that the half-fare 
requirements of 49 U.S.C. 5307(d)(1)(D) are not appropriate for the New 
Freedom Program. If, however, a New Freedom project will also be 
supported by Federal financial assistance derived from 49 U.S.C. 5307, 
the Applicant will be required to comply with the half-fare 
requirements of 49 U.S.C. 5307(d)(1)(K).
    2. Because 49 U.S.C. 5317 prescribes specific public participation, 
planning, and coordination provisions for the New Freedom Program, 
Federal Transit Administrator has determined that the public 
participation, planning, and coordination provisions as specified in 49 
U.S.C. 5307(d)(1)(F) are not appropriate for the New Freedom Program.
    3. The Federal Transit Administrator has determined that the 
requirements of 49 U.S.C. 5307(d)(1)(I) for a ``locally developed 
process to solicit and consider public comment before raising a fare or 
carrying out a major reduction of transportation'' are not appropriate 
for the New Freedom Program because by next fiscal year, 49 U.S.C. 
5317(f)(3) expressly requires a locally coordinated transportation plan 
from which projects are to be selected.
    4. Because 49 U.S.C. 5307(d)(1)(J) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for security 
projects, and 49 U.S.C. 5317 does not contain a similar provision with 
respect to funds authorized under 49 U.S.C. 5317, the Federal Transit 
Administrator has determined that the certification at 49 U.S.C. 
5307(d)(1)(J) is inapplicable to the New Freedom Program, and thus is 
not appropriate.
    5. Because 49 U.S.C. 5307(d)(1)(K) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for transit 
enhancements, and 49 U.S.C. 5317 does not contain a similar provision 
with respect to funds authorized under 49 U.S.C. 5317, the Federal 
Transit Administrator has determined that the certification at 49 
U.S.C. 5307(d)(1)(K) is inapplicable to the New Freedom Program, and 
thus is not appropriate.
    (c) The requirements of 49 U.S.C. 5310(d)(2)(A) for coordination 
with private nonprofit providers before transferring funds authorized 
for 49 U.S.C. 5317 is included.
    (26) New Category 21. Certifications for the new ``Alternative 
Transportation in Parks and Public Lands Program'' include the 
following:
    (a) In the introductory text immediately preceding the 
certifications, Applicants are notified that they will be ultimately 
responsible for their own compliance with Federal requirements and for 
compliance by any subrecipients participating in their projects.
    (b) Because the Alternative Transportation in Parks and Public 
Lands Program is subject to the requirements of 49 U.S.C. 5307, 
certifications at 49 U.S.C. 5307(d)(1) have been adapted for that 
Program. As authorized by 49 U.S.C. 5320(i), which makes the 
requirements of 49 U.S.C. 5307 applicable to the Alternative 
Transportation in Parks and Public Lands Program, the Federal Transit 
Administrator has determined that the following certifications required 
by 49 U.S.C. 5307(d)(1) are not appropriate for the Alternative 
Transportation in Parks and Public Lands Program:
    1. The Federal Transit Administrator has determined that the 
requirements of 49 U.S.C. 5307(d)(1)(I) for a ``locally developed 
process to solicit and consider public comment before raising a fare or 
carrying out a major reduction of transportation'' are not appropriate 
for the Alternative Transportation in Parks and Public Lands Program

[[Page 69384]]

because the clear majority of prospective passengers and constituents 
that would benefit from the Alternative Transportation in Parks and 
Public Lands Program would not be local residents, but would encompass 
visitors from throughout the United States, and even the world.
    2. Because 49 U.S.C. 5307(d)(1)(J) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for security 
projects, and 49 U.S.C. 5320 does not contain a similar provision with 
respect to funds authorized under 49 U.S.C. 5320, the Federal Transit 
Administrator has determined that the certification at 49 U.S.C. 
5307(d)(1)(J) is inapplicable to the Alternative Transportation in 
Parks and Public Lands Program, and thus is not appropriate.
    3. Because 49 U.S.C. 5307(d)(1)(K) requires the expenditure of one 
(1) percent of funds authorized under 49 U.S.C. 5307 for transit 
enhancements, and 49 U.S.C. 5320 does not contain a similar provision 
with respect to funds authorized under 49 U.S.C. 5320, the Federal 
Transit Administrator has determined that the certification at 49 
U.S.C. 5307(d)(1)(K) is inapplicable to the Alternative Transportation 
in Parks and Public Lands Program, and thus is not appropriate.
    (27) New Category 22. A new category of certifications has been 
established for ``Infrastructure Finance Projects'' because 49 U.S.C. 
5323(o) makes the requirements of 49 U.S.C. 5307 and 5309 applicable to 
projects receiving Infrastructure Finance assistance authorized under 
23 U.S.C. chapter 6. Thus, the certification requirements of 49 U.S.C. 
5307(d)(1), imposing administrative and project requirements, and 
5309(g)(2)(B)(iii), imposing restrictions on Federal participation in 
interest costs, have been adapted for projects assisted through the 
Infrastructure Finance provisions of 23 U.S.C. chapter 6.
    (28) New Category 23. The certifications and assurances for the SIB 
Program have been amended to enter the new citation to that Program 
resulting from enactment of Sections 1601 and 1602 of SAFETEA-LU. The 
SIB Program is now permanent law, codified at 23 U.S.C. 610, and that 
citation has been added to the certifications and assurances, as well 
as acknowledgment of revised planning requirements.
    Text of Federal Fiscal Year 2006 Certifications and Assurances: The 
text of the certifications and assurances in Appendix A of this Notice 
appears at http://www.fta.dot.gov/6092_16884_ENG_HTML.htm. It also 
appears in TEAM-Web in the ``Recipients'' option of the Cert's & 
Assurances tab of ``View/Modify Recipients.'' It is important that each 
Applicant be familiar with all twenty-three (23) certification and 
assurance categories and their provisions, as they may be a 
prerequisite for receiving FTA financial assistance. Provisions of this 
Notice supersede conflicting statements in any FTA circular containing 
a previous version of FTA's annual certifications and assurances. The 
certifications and assurances contained in those FTA circulars are 
merely examples, and are not acceptable or valid for Federal fiscal 
year 2006; do not rely on the provisions of certifications and 
assurances appearing in FTA circulars.
    Significance of Certifications and Assurances: Selecting and 
submitting certifications and assurances to FTA, either through TEAM-
Web or submission of the Signature Page(s) of Appendix A, signifies the 
Applicant's intent to comply with and secure compliance by its 
subrecipients, if any, with the provisions of the certifications and 
assurances it has selected to the extent they apply to a project for 
which the Applicant submits an application for assistance in Federal 
fiscal year 2006. FTA cautions, however, that certifications and 
assurances required by law and regulation do not address all Federal 
laws, regulations, or directives with which an Applicant must comply 
before FTA may award Federal financial assistance. We therefore 
strongly encourage the Applicant to review the Federal authorizing 
legislation, regulations, and directives pertaining to the program or 
programs for which the Applicant seeks Federal assistance to determine 
the extent of all pre-award laws, regulations, or directives applicable 
to those programs.
    Attorney's Affirmation: FTA requires a current (Federal fiscal year 
2006) affirmation, signed by the Applicant's attorney, of the 
Applicant's legal authority to certify compliance with the provisions 
of the certifications and assurances the Applicant has selected. 
Irrespective of whether the Applicant makes a single selection for all 
twenty-three (23) categories or selects individual options from the 
twenty-three (23) categories, the Affirmation of Applicant's Attorney 
from a previous year is not acceptable, unless FTA expressly determines 
otherwise in writing.
    Deadline for Submission: All Applicants for FTA formula program or 
capital investment program assistance, and current FTA grantees with an 
active project financed with FTA formula program or capital investment 
program assistance, are expected to provide certifications and 
assurances for Federal fiscal year 2006 within 90 days from the date of 
this publication or as soon as feasible after their first grant 
application for funds authorized or made available during Federal 
fiscal year 2006, whichever is earlier. In addition, FTA encourages 
Applicants seeking Federal financial assistance for other projects to 
submit their certifications and assurances as soon as possible.
    Preference for Electronic Submission: Applicants registered in 
TEAM-Web must submit their certifications and assurances, as well as 
their applications for Federal assistance in TEAM-Web. Only if an 
Applicant is unable to submit its certifications and assurances in 
TEAM-Web should the Applicant use the Signature Page(s) in Appendix A 
of this Notice.
    Procedures for Electronic Submission: The TEAM-Web ``Recipients'' 
option at the ``Cert's & Assurances'' tab of ``View/Modify Recipients'' 
contains fields for selecting among the twenty-three (23) Categories of 
certifications and assurances to be submitted. Within that tab is a 
field for the Applicant's authorized representative to enter its 
personal identification number (PIN), which constitutes the Applicant's 
electronic signature for the certifications and assurances it has 
selected. In addition, there is a field for the Applicant's attorney to 
enter his or her PIN, affirming the Applicant's legal authority to make 
and comply with the certifications and assurances the Applicant has 
selected. In certain circumstances, the Applicant may enter its PIN in 
lieu of its Attorney's PIN, provided that the Applicant has on file the 
Affirmation of Applicant's Attorney in Appendix A of this Notice, 
written and signed by the attorney and dated this Federal fiscal year. 
For more information, Applicants may contact the appropriate Regional 
Office listed in this Notice or the TEAM-Web Helpdesk.
    Procedures for Paper Submission: If an Applicant is unable to 
submit its certifications and assurances electronically, it must mark 
the certifications and assurances it is making on the Signature Page(s) 
in Appendix A of this Notice and submit it to FTA. The Applicant may 
signify compliance with all Categories by placing a single mark in the 
appropriate space or select the Categories applicable to itself and its 
projects. In certain circumstances, the Applicant may enter its 
signature in lieu of its Attorney's signature in the Affirmation of 
Applicant's Attorney section of the Signature Page(s), provided that 
the

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Applicant has on file the Affirmation of Applicant's Attorney in 
Appendix A of this Notice, written and signed by the attorney and dated 
in this Federal fiscal year 2006, and has submitted a copy of this 
affirmation to FTA. For more information, Applicants may contact the 
appropriate Regional Office listed in this Notice.
    References. 49 U.S.C. chapter 53; the Safe, Accountable, Flexible, 
Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), 
Pub. L. 109-59, Aug. 10, 2005; the Transportation Equity Act for the 
21st Century, Pub. L. 105-178, June 9, 1998, as amended by the TEA-21 
Restoration Act, Pub. L. 105-206, July 22, 1998; Title 23, United 
States Code, other Federal laws administered by FTA, U.S. DOT and FTA 
regulations at Title 49, Code of Federal Regulations; and FTA 
Circulars.

    Dated: November 4, 2005.
Jennifer L. Dorn,
Administrator.
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  Federal Register / Vol. 70, No. 219 / Tuesday, November 15, 2005 / 
Notices  

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[FR Doc. 05-22525 Filed 11-14-05; 8:45 am]
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