[Federal Register Volume 81, Number 244 (Tuesday, December 20, 2016)]
[Notices]
[Pages 92953-92957]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-30614]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2017 Annual List of Certifications and
Assurances for Federal Transit Administration Grants and Cooperative
Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice of availability.
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SUMMARY: This notice announces the availability of the Federal
Transportation Administration's (FTA) Fiscal Year (FY) 2017 Annual List
of Certifications and Assurances for FTA Grants and Cooperative
Agreements, which can be found at FTA's Web site, www.transit.dot.gov/certs. This notice provides a condensed list of the pre-award
Certifications and Assurances that may apply to an Applicant to FTA for
federal assistance and the Award that may be made in FY 2017. This
notice also describes both the Applicant and FTA's responsibilities
with respect to the Certifications and Assurances and highlights the
differences between the FY 2017 Certifications and Assurances and those
published for FY 2016. Each Applicant to FTA for federal assistance
must submit the Certifications and Assurances that apply to it and any
Award for which it seeks federal assistance during FY 2017. An
Applicant to FTA typically acts through its authorized representative
(You). You, as the Applicant's Authorized Representative, must have the
authority to sign the Applicant's Certifications and Assurances and to
bind your Applicant's compliance with the Certifications and Assurances
you select on its behalf. Your Applicant's Certifications and
Assurances must be affirmed by your Applicant's attorney. This notice
provides instructions on how and when you should submit your
Applicant's Certifications and Assurances for FY 2017.
DATES: Effective Date: These FY 2017 Certifications and Assurances are
effective October 1, 2016, the first day of FY 2017.
FOR FURTHER INFORMATION CONTACT: The appropriate Regional or
Metropolitan Office listed in this notice. For copies of related
documents and information, see our Web site at www.transit.dot.gov/certs or contact our Office of Administration at 202-366-4007.
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 and New Jersey. Telephone # 212-668-2170.
Region 3: Philadelphia
States served: Delaware, Maryland, Pennsylvania, Virginia, West
Virginia, and the District of Columbia. Telephone # 215-656-7100.
Region 4: Atlanta
States served: Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, South Carolina, and Tennessee, Territories served:
Commonwealth of Puerto Rico and the U.S. Virgin Islands. Telephone #
404-865-5600.
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, New Mexico, Oklahoma, and Texas.
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 # 303 362-2400.
Region 9: San Francisco
States served: Arizona, California, Hawaii, and Nevada, Territories
served: Guam, American Samoa, and the Northern Mariana Islands.
Telephone # 415-734-9490.
Region 10: Seattle
States served: Alaska, Idaho, Oregon, and Washington. Telephone # 206-
220-7954.
Chicago Metropolitan Office
Area served: Chicago Metropolitan Area. Telephone # 312-353-2789.
Los Angeles Metropolitan Office
Area served: Los Angeles Metropolitan Area. Telephone # 213-202-3950.
Lower Manhattan Recovery Office
Area served: Lower Manhattan. Telephone # 212-668-2170 212-668-1770.
New York Metropolitan Office
Area served: New York Metropolitan Area.Telephone # 212-668-2170.
[[Page 92954]]
Philadelphia Metropolitan Office
Area served: Philadelphia Metropolitan Area. Telephone # 215-656-7100.
Washington DC Metropolitan Office
Area served: Washington DC Metropolitan Area.Telephone # 202-219-3562/
202-219-3565.
Puerto Rico Office
Area Served: Commonwealth of Puerto Rico. Telephone # 787-771-2537.
SUPPLEMENTARY INFORMATION:
1. What are FTA's responsibilities?
The second sentence of 49 U.S.C. 5323(n) states in pertinent part
that, ``[t]he Secretary [of Transportation] shall publish annually a
list of all certifications required under this chapter [49 U.S.C.
chapter 53]. . . .'' The first sentence of 49 U.S.C. 5323(n) states
that, ``[a] certification required under this chapter [53] and any
additional certification or assurance required by law or regulation to
be submitted to the Secretary [who delegated that authority to the
Federal Transit Administrator] may be consolidated into a single
document to be submitted annually as part of a grant application under
this chapter [53].'' Therefore, FTA has assembled those Certifications
and Assurances into the following twenty-three (23) categories:
Category 01. Required Certifications and Assurances for Each
Applicant,
Category 02. Lobbying,
Category 03. Procurement and Procurement Systems,
Category 04. Private Sector Protections,
Category 05. Rolling Stock Reviews and Bus Testing,
Category 06. Demand Responsive Service,
Category 07. Intelligent Transportation Systems,
Category 08. Interest and Financing Costs and Acquisition of
Capital Assets by Lease,
Category 09. Transit Asset Management Plan and Public
Transportation Agency Safety Plan,
Category 10. Alcohol and Controlled Substances Testing,
Category 11. Fixed Guideway Capital Investment Grants Program (New
Starts, Small Starts, and Core Capacity Improvement),
Category 12. State of Good Repair Program,
Category 13. Grants for Buses and Bus Facilities and Low or No
Emission Vehicle Deployment Grant Programs,
Category 14. Urbanized Area Formula Grants Programs and Passenger
Ferry Grant Program,
Category 15. Enhanced Mobility of Seniors and Individuals with
Disabilities Programs,
Category 16. Rural and Appalachian Development Programs,
Category 17. Tribal Transit Programs (Public Transportation on
Indian Reservations Programs),
Category 18. State Safety Oversight Grant Program,
Category 19. Public Transportation Emergency Relief Program,
Category 20. Expedited Project Delivery Pilot Program,
Category 21. Infrastructure Finance Programs,
Category 22. Paul S. Sarbanes Transit in Parks Program, and
Category 23. Construction Hiring Preferences.
Since 1995, FTA has consolidated the pre-award Certifications and
Assurances required by law or regulation into a single document for
publication in the Federal Register. To receive federal assistance
appropriated or made available for the Grant, Cooperative Agreement,
Loan, Loan Guarantee, Line of Credit, and Major Credit Instrument
programs FTA/DOT administers, your Applicant must submit the annual
Certifications and Assurances required for the type of federal
assistance it seeks.
These FY 2017 Certifications and Assurances supersede any
Certifications and Assurances published in an earlier fiscal year.
After publication in the Federal Register, each Applicant must submit
applicable FY 2017 Certifications and Assurances before FTA may award
federal assistance to support that Applicant's request.
2. What is the legal effect of these certifications and assurances?
a. Pre-Award Representations. These Certifications and Assurances
are pre-award representations typically required by federal law or
regulation that your Applicant must submit before FTA may provide
federal assistance for its Award. In general, these FY 2017
Certifications and Assurances are effective October 1, 2016, except as
FTA determines otherwise in writing.
Upon publication in the Federal Register, FTA may not provide
federal assistance until you submit your Applicant's FY 2017
Certifications and Assurances.
b. Binding Commitment. Your Applicant must comply with any
Certifications or Assurances you make on its behalf, irrespective of
whether you remain your Applicant's authorized representative. When you
submit its Certifications and Assurances to FTA, both you and your
Applicant are agreeing to comply with those terms.
c. Length of Commitment. Your Applicant's FY 2017 Certifications
and Assurances remain in effect until its Award is closed or the end of
the useful life of its federally assisted assets, whichever is later.
If your Applicant provides different Certifications and Assurances in a
later fiscal year, the later Certifications and Assurances will usually
apply, except as FTA determines otherwise in writing.
d. Duration. You and your Applicant may use the FY 2017
Certifications and Assurances at FTA's Web site, www.transit.dot.gov/certs to support applications for federal assistance until FTA issues
its FY 2018 Certifications and Assurances.
e. The FY 2017 Certifications and Assurances Are Not a Complete
List of Federal Requirements. FTA cautions that the FY 2017
Certifications and Assurances focus mainly on those representations
that your Applicant is required to submit to FTA before FTA may award
federal assistance. Consequently, these Certifications and Assurances
do not include many other federal requirements that will apply to your
Applicant and its Award. Your Applicant is responsible for compliance
with all applicable federal requirements.
f. Federal Requirements. In addition to the information in this
notice and FTA's FY 2017 Apportionments Notice, which will be published
separately from this notice, FTA also strongly encourages you and your
Applicant's staff and prospective and current Third Party Participants
to review all federal legislation, regulations, safety directives, and
guidance that apply to them and to your Applicant's proposed Award. The
FY 2017 Master Agreement identifies many of those requirements and
applicable guidance, and may be accessed at www.transit.dot.gov.
g. Penalties for False or Fraudulent Statements. If you provide any
false or fraudulent statement to the Federal Government on behalf of
your Applicant or yourself, you may incur both federal civil and
criminal penalties under the following statutes: (1) The Program Fraud
Civil Remedies Act of 1986, as amended, 31 U.S.C. 3801 et seq., (2)
U.S. Department of Transportation (U.S. DOT) regulations, ``Program
Fraud Civil Remedies,'' 49 CFR part 31, and (3) Section 5323(l)(1) of
title 49, United States Code, which authorizes federal criminal
penalties and termination of federal assistance if you provide, on
behalf of your Applicant or yourself, a false or fraudulent
certificate, submission, or statement in connection
[[Page 92955]]
with the Federal Transit Program authorized by 49 U.S.C. chapter 53.
3. What are your responsibilities?
a. Make sure that all involved with your Applicant's Award
understand the federal requirements that will apply to your Applicant
and its Award. FTA strongly advises you, as your Applicant's authorized
representative, to read this notice and the Certifications and
Assurances on the FTA Web site www.transit.dot.gov before selecting
Certifications and Assurances on behalf of your Applicant. FTA also
advises you to read the information accompanying the apportionment
tables when FTA publishes its FY 2017 Apportionment Notices.
Your Applicant is responsible for compliance with all federal
requirements that apply to itself and its Award. Other entities and
people, including Subrecipients, Third Party Contractors, and Third
Party Subcontractors (Third Party Participants) can adversely affect
your Applicant's ability to comply with those federal requirements.
Accordingly, all Third Party Participants involved in its Award need to
know and should agree to comply with the federal requirements that
affect your Applicant's Award and themselves, as Third Party
Participants.
b. Subrecipient and Other Third Party Participation. Except when
FTA has determined otherwise in writing, your Applicant is ultimately
responsible for compliance with all Certifications and Assurances that
you select on its behalf, even if the Award and some or all of the
activities therein will be carried out by Subrecipients or other Third
Party Participants. Therefore, FTA strongly recommends that you take
appropriate measures to ensure that Subrecipients and other Third Party
Participants involved in carrying out your Applicant's Award do not
take actions that will cause your Applicant to violate the
representations made in its Certifications and Assurances.
c. Submit Your Applicant's Certifications and Assurances. You must
submit all Categories of the FY 2017 Certifications and Assurances that
apply to your Applicant and the Award(s) it seek in FY 2017. For your
convenience, FTA recommends that you submit all twenty-three (23)
Categories of Certifications and Assurances. Those provisions of the
Certifications and Assurances that do not apply to your Applicant or
its Award will not be enforced.
d. Submit Your Applicant's Required Documentation. You must ensure
that your Applicant has submitted to FTA a correct, current version of
the following documents: (1) Authorizing Resolution; (2) Opinion of
Counsel; and (3) Designation of Signature Authority. A new Authorizing
Resolution may be needed if a previous Authorizing Resolution does not
cover the work in the new application. A new Opinion of Counsel may be
needed if your Applicant's legal status has changed. FTA requires that
the Designation of Signature Authority reflect the current status of
the appropriate officials with authority to bind your Applicant. Should
you already have documentation on file reflecting the correct status of
your Applicant's officials, further action to simply update the
Designation of Signature Authority is not required. Sample templates
for the above documents may be accessed at https://www.transit.dot.gov/trams. You must upload any updated documents concurrently with your
Certifications and Assurances.
e. Obtain the Affirmation of Your Applicant's Attorney. You must
obtain an affirmation of your Applicant's Attorney, signed in FY 2017,
stating that your Applicant has sufficient authority under its state
and local laws to certify its compliance with the FY 2017
Certifications and Assurances that you have selected on its behalf; the
Certifications and Assurances have been legally made and constitute
legal and binding obligations on your Applicant; and there is no
legislation or litigation pending or imminent that might adversely
affect the validity of these Certifications and Assurances, or of the
performance of your Applicant's FTA assisted Award. Your Applicant's
Attorney must sign this affirmation during FY 2017. An Affirmation of
your Applicant's Attorney dated in a previous fiscal year is
insufficient, unless FTA expressly determines otherwise in writing.
f. When to Submit.
(1) If your Applicant is applying for federal assistance under any
of FTA's competitive capital programs (e.g., New Starts, Small Starts,
or Core Capacity Improvement) or formula programs, FTA expects to
receive your Applicant's FY 2017 Certifications and Assurances within
ninety (90) days from the date FTA opens its new electronic award and
management system, Transit Award Management System (TrAMS) or soon
after the submittal of your Applicant's request for federal assistance
for FY 2017.
(2) If your Applicant seeks federal assistance from an FTA program
other than a formula program or a discretionary capital or operating
program, e.g., for a Public Transportation Innovation (formerly,
Research, Development, Demonstration, and Deployment) Award, FTA
expects to receive your Applicant's FY 2017 Certifications and
Assurances with the submission of its Application for federal
assistance or an amendment soon thereafter.
4. Where are FTA's FY 2017 certifications and assurances?
FTA's FY 2017 Certifications and Assurances are available at:
a. FTA's Web site, www.transit.dot.gov, and
b. TrAMS, including at https://www.transit.dot.gov/trams.
5. What changes have been made since the FY 2016 certifications and
assurances were published?
The most significant changes are:
a. In the Preface, we added master credit agreement and State
Infrastructure Bank (SIB) to the list of instruments to which the
Master Agreement applies.
b. In Category 1.E, ``Suspension and Debarment Certification,'' we
have added two new certifications: Category 1.E.2, ``Tax Liability,''
and Category 1.E.3, ``Felony Convictions.''
c. In Category 5.B, ``Bus Testing,'' we note that FTA regulations,
``Bus Testing,'' 49 CFR part 665 are now consistent with 49 U.S.C.
5318.
d. In Category 8.B, ``Acquisition of Capital Assets by Lease,'' we
have added an exception to our Capital Leases regulations to provide an
exception for rolling stock and related equipment subject to the
provisions of section 3019(c) of the FAST Act.
e. In Category 9.A, ``Transit Asset Management Plan,'' we have
added references to FTA regulations, ``Transit Asset Management,'' 49
CFR part 625.
f. In Category 9.B, ``Public Transportation Safety,'' FTA is
required to establish a comprehensive Public Transportation Safety
Program. Three provisions of this Program include the National Public
Transportation Safety Plan, the Public Transportation Safety
Certification Training Program, and the Public Transportation Agency
Safety Plan (See 49 U.S.C. 5329(b) through (d)). FTA believes
consolidating these provisions into one certification is appropriate
for the FY 2017 List of Certifications and Assurances.
g. We added a new Category 9.C, ``State Safety Oversight
Requirements,'' which references to 49 U.S.C. 5329(e) and FTA
regulations, ``State Safety Oversight,'' 49 CFR part 674.
h. In Category 11, ``Fixed Guideway Capital Investment Grants
Program (New Starts, Small Starts, and Core
[[Page 92956]]
Capacity Improvement),'' we have added a reference to:
(1) FTA Regulations, ``Transit Asset Management,'' 49 CFR part 625,
and
(2) The updated ``Final Interim Policy Guidance, Federal Transit
Administration Capital Investment Grant Program,'' June 2016.
i. In Category 12, ``State of Good Repair Program,'' we have added
a reference to FTA Regulations, ``Transit Asset Management,'' 49 CFR
part 625.
j. In Category 13.A, ``Grants for Buses and Bus Facilities
Program,'' we have:
(1) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives in effect or when issued, that implement the
Public Transportation Safety Programs authorized by 49 U.S.C. 5329, and
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
k. In Category 13.B, ``Low or No Emission Vehicle Deployment,'' we
have:
(1) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives, in effect or when issued, that implement
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329,
and
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
l. In Category 14.A, ``Urbanized Area Formula Grants Program,'' we
have:
(1) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives, in effect or when issued, that implement
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329,
and
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
m. In Category 14.B, ``Passenger Ferry Grant Program,'' we have:
(1) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives, in effect or when issued, that implement
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329,
and
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
n. In Category 15, ``Enhanced Mobility of Seniors and Individuals
with Disabilities Programs,'' we have:
(1) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives, in effect or when issued, that implement
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329,
and
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
o. In Category 16.A, ``Formula Grants for Rural Areas Programs,''
we have:
(1) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives, in effect or when issued, that implement
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329,
and
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
p. In Category 16.B, ``Appalachian Development Public
Transportation Program,'' we have:
(1) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives, in effect or when issued, that implement
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329,
and
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
q. In Category 17, ``Tribal Transit Programs (Public Transportation
on Indian Reservations Programs,'' we have added a reference to FTA
Regulations, ``Transit Asset Management,'' 49 CFR part 625.
r. In Category 18, ``State Safety Oversight Grant Program,'' we
have:
(1) Explained that, depending on how far the Recipient has
progressed in developing a State Safety Oversight program fully
compliant with 49 CFR part 674, the following FTA regulations will
apply:
(a) The Recipient agrees that FTA regulations, ``State Safety
Oversight,'' 49 CFR part 674, will apply when its State Safety
Oversight program is fully compliant with FTA's requirements, but
(b) The Recipient agrees that FTA regulations, ``Rail Fixed
Guideway Systems; State Safety Oversight,'' 49 CFR part 659, will
continue to apply to those states that have not yet implemented a fully
compliant Public Transportation Safety Program.
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
s. In Category 20, ``Expedited Project Delivery Pilot Program,'' we
have added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
t. In Category 21.A, ``Transportation Infrastructure Finance and
Innovation Act (TIFIA) Program,'' we have:
(1) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives, in effect or when issued, that implement
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329,
and
(2) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
u. In Category 21.B, ``State Infrastructure Banks (SIB) Program, we
have:
(1) Noted that the U.S. DOT Build America Bureau will enter into
SIB Cooperative Agreements with the state,
(2) Added references to 49 U.S.C. 5329(b) guidance and other final
regulations and directives, in effect or when issued, that implement
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329,
and
(3) Added a reference to FTA Regulations, ``Transit Asset
Management,'' 49 CFR part 625.
6. How do you submit the certifications and assurances?
a. Electronic Submission. Except in rare circumstances and if
permitted by FTA, you must submit your Applicant's FY 2017
Certifications and Assurances and your attorney's Affirmation in TrAMS.
To submit the Certifications and Assurances, you must be registered in
TrAMS. TrAMS contains fields for individually selecting among the
twenty-three (23) Categories of Certifications and Assurances that
apply to your Applicant and also a designated field for selecting all
twenty-three (23) Categories, of which only the requirements that apply
to you or your Applicant will be enforced.
As an authorized representative of the Applicant, you must enter
your personal identification number (PIN), which is your electronic
signature, in TrAMS. The Attorney must enter his or her PIN in TrAMS,
affirming your Applicant's legal authority to make and comply with the
Certifications and Assurances you have selected on its behalf. You may
enter your PIN in place of the Attorney's PIN, provided that your
Applicant has on file and uploads to TrAMS a similar affirmation that
has been written, dated, and signed by its Attorney in FY 2017.
b. Paper Submission. Only in very limited circumstances may your
Applicant submit its FY 2017 Certifications and Assurances solely on
paper. For example if the Applicant has demonstrated that it is unable
to submit its Certifications and Assurances electronically in TrAMS or
is a one-time recipient, and if FTA has agreed in writing to accept
your Applicant's Certifications and Assurances on paper, then your
Applicant may indicate the Categories of Certifications and Assurances
your Applicant is submitting in typewritten hard copy on the Signature
Pages.
To do so, you may place a single mark in the designated space to
signify your Applicant's agreement to comply with all Categories of
Certifications and Assurances to the extent that they apply
[[Page 92957]]
to it, or select the specific Categories of Certifications and
Assurances that apply to your Applicant and its Award. You must obtain
your Attorney's signature, whether on the Signature Page or on a
separate document that makes the same affirmation as on the Signature
Page. In such a case, the Regional Office or the Headquarters Program
Office must attach the paper submission to TrAMS.
For more information, you may contact the appropriate FTA Regional
or Metropolitan Office.
Authority. 49 U.S.C. chapter 53; the Fixing America's Surface
Transportation (FAST) Act, Pub. L. 114-94, December 4, 2015; and
other federal laws administered by FTA; U.S. DOT and FTA regulations
codified or to be codified in Title 49, Code of Federal Regulations;
and FTA Circulars.
Issued in Washington, DC.
Matthew Welbes,
Executive Director.
[FR Doc. 2016-30614 Filed 12-19-16; 8:45 am]
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