[Federal Register Volume 71, Number 215 (Tuesday, November 7, 2006)]
[Notices]
[Pages 65328-65360]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-9103]
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Part V
Department of Transportation
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Federal Transit Administration
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Fiscal Year 2007 Annual List of Certifications and Assurances for
Federal Transit Administration Grants and Cooperative Agreements;
Notice
Federal Register / Vol. 71, No. 215 / Tuesday, November 7, 2006 /
Notices
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Fiscal Year 2007 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 2007 to be used in connection
with all Federal assistance programs that FTA administers during
Federal fiscal year 2007. 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. 5536(d)(2). FTA's annual certifications
and assurances have been revised to accommodate statutory, regulatory,
and programmatic changes not in effect.
DATES: Effective Date: These certifications and assurances were
effective on October 1, 2006, the first day of Federal fiscal year
2007.
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 certification and assurances for Federal
fiscal year 2007 cover all projects for which the Applicant seeks
funding during Federal fiscal year 2007 through the next fiscal year
until FTA issues its annual certifications and assurances for Federal
fiscal year 2008. 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.
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 Application 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 2007 Changes: Apart from minor editorial
revisions, significant changes to FTA's certifications and assurances
for Federal fiscal year 2007 are set forth below:
(1) In the Introductory paragraphs preceding the text of the
certifications and assurances, the FTA Web Site for the FTA Master
Agreement for Federal fiscal year 2007 is http://www.fta.dot.gov/documents/13-Master.doc.
(2) Subcategories 01.F(5)(e), (f), and (g) have been amended to
substitute updated citations for the Drug Abuse Office and Treatment
Act of 1972, as amended, 21 U.S.C. 1101 et seq., the Comprehensive
Alcohol Abuse and Alcoholism Prevention Act of 1970, as amended, 42
U.S.C. 4541 et seq., and the Public Health Service Act of 1912, as
amended, 42 U.S.C. 201 et seq.
(3) In Category 06, a provision is added to alert the Applicant of
changes to the Pre-Award and Post-Delivery requirements for rolling
stock set forth in section 3023(k) of SAFETEA-LU that have not as of
October 1, 2006 been incorporated in FTA's implementing regulations at
49 U.S.C. part 663.
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(4) In category 15, the following changes have been made:
(a) A Statement has been added reminding each Applicant for
Urbanized Area Formula Assistance that in addition to making its
certification required by 49 U.S.C. 5307(d)(1)(J) that it will expend
at least one (1) percent of its Urbanized Area Formula Program
assistance for public transportation security projects unless it has
certified to FTA that such expenditures are not necessary, the
Applicant also will need to disclose its decision in the ``Security''
tab page of the TEAM-Web ``Project Information'' window.
(b) Subcategory K has been amended to permit a single Designated
Recipient of Urbanized Area Formula assistance to indicate that an
agreement has been reached among some or all of the Designated
Recipients in a single urbanized area of more than 200,000 population
to certify that no less than 1 percent of section 5307 funds
apportioned by FTA to that urbanized area among those Designated
Recipients will be used for transit enhancements as provided by 49
U.S.C. 5307(d)(1)(K)(i) and to submit the report with the list of
transit enhancement projects implemented by those Designated Recipients
as required by 49 U.S.C. 5307(d)(1)(K)(ii). Should it wish to do so, a
single Designated Recipient, however, may expend one (1) per cent of
its section 5307 funds for transit enhancements and submit its own
report listing the transit enhancement projects it has implemented in
the last fiscal year as required by 49 U.S.C. 5307(d)(1)(K)(ii). The
Designated Recipient generally sets forth this information in its
quarterly report for the fourth quarter of the preceding Federal fiscal
year; thus that quarterly report will be incorporated by reference and
made part of the Designated Recipient's certifications and assurances.
A Designated Recipient that prepares a report on behalf of some or all
other Designated Recipients in its urbanized area will need to provide
a copy of its report to the other Designated Recipients on whose behalf
the report is prepared.
(5) Category 16 has been amended to add a certification at
Subcategory J that vehicles financed under the Clean Fuels Grants
Program will be operated using only clean fuels, and ``clean diesel''
buses financed under that program will be operated using only ultra-low
sulfur diesel fuel.
(6) In Category 17, the following changes have been made:
(a) In Subcategory A, the United States Code note reference for the
Elderly Individuals and Individuals with Disabilities Pilot Program has
been added.
(b) In Subcategory F, the subject selection and planning
certification requirements that were effective for the Elderly
Individuals and Individuals with Disabilities Pilot Program required by
section 3012(b)(2) of SAFETEA-LU beginning in Federal fiscal year 2006
are not applicable to the Elderly Individuals and Individuals with
Disabilities Program, as required by 49 U.S.C. 5310(d)(2)(B).
(7) Category 18 has been amended to clarify that certifications and
assurances for the Nonurbanized Area Formula Program do not apply to an
Indian tribe that is an Applicant for Tribal Transit Program assistance
under 49 U.S.C. 5311(c)(1), and that FTA has prepared separate
certifications and assurances for that program.
(8) Category 19 has been amended to add a new certification
requiring the chief executive officer of the state, or his or her
designee to certify to the Federal Transit Administrator, apart from
these annual certifications, that all of the objectives of 49 U.S.C.
5316 are being met in the area from which such funding would be derived
before using JARC funds to support projects in areas other than those
designated in 49 U.S.C. 5316.
(9) In Subcategory 20.E, the project selection and planning
certification requirements of 49 U.S.C. 5317(f)(3) have been added.
Text of Federal Fiscal Year 2007 Certifications and Assurances: The
text of the certifications and assurances in Appendix A of this Notice
appears at http://www.fta.dot.gov/documents/2007-Certs-Appendix A.doc.
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 2007; do not rely on the provisions of certifications and
assurances appearing in FTA circulars.
Significance of Certification 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
Register fiscal year 2007. 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
2007) 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 2007 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 2007, whichever is earlier. In addition, FTA encourages
Applications 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 certification and assurances in TEAM-
Web should the Applicant use the Signature Page(s) in Appendix A of
this Notice. While not mandatory, FTA encourages an Applicant that does
not submit its certifications and assurances
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electronically to scan a copy of its certifications and assurances
document and attach it in TEAM-Web. Likewise, if the Applicant's
attorney has not submitted its affirmation in TEAM, FTA encourages the
Application to scan that affirmation and attach it in TEAM-Web.
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 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 2007, 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);
Title 23, United States Code (Highways); other Federal laws
administered by FTA; U.S. DOT and FTA regulations at Title 49, Code of
Federal Regulations; and FTA Circulars.
Dated: November 2, 2006.
James S. Simpson,
Administrator.
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[FR Doc. 06-9103 Filed 11-6-06; 8:45 am]
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