[Federal Register: October 25, 2007 (Volume 72, Number 206)]
[Notices]
[Page 60719-60754]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
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Part II
Department of Transportation
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Federal Transit Administration
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Federal Fiscal Year 2008 Annual List of Certifications and Assurances
for Federal Transit Administration Grants and Cooperative Agreements;
Notice
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2008 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: Pursuant to 49 U.S.C. 5323(n), FTA is authorized to
consolidate the certifications and assurances required by Federal law
or regulations for its programs into a single document. FTA is also
required by 49 U.S.C. 5323(n) to publish a list of those certifications
and assurances annually.
Appendix A of this Notice contains the comprehensive compilation of
FTA's Certifications and Assurances for Federal Fiscal Year (Federal
FY) 2008 applicable to the various Federal assistance programs that FTA
will administer during that fiscal year. FTA's Certifications and
Assurances for Federal FY 2008 reflect Federal statutory, regulatory,
and programmatic changes that have now become effective.
EFFECTIVE DATE: These FTA Certifications and Assurances are effective
on October 1, 2007, the first day of Federal FY 2008.
FOR FURTHER INFORMATION CONTACT: FTA staff in the appropriate FTA
Regional Office or FTA Metropolitan 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 telephone 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, and New Jersey, 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, Tennessee, and the Virgin
Islands, Telephone 404-865-5605.
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 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.
New York Metropolitan Office
Area served: New York Metropolitan Area, Telephone 212-
668-2201.
Philadelphia Metropolitan Office
Area served: Philadelphia Metropolitan Area, Telephone
215-656-7070.
Washington DC Metropolitan Office
Area served: Washington DC Metropolitan Area, Telephone
202-219-3562/219-3565.
Chicago Metropolitan Office
Area served: Chicago Metropolitan Area, Telephone 312-
886-1616.
Los Angeles Metropolitan Office
Area served: Los Angeles Metropolitan Area, Telephone
213-202-3950.
SUPPLEMENTARY INFORMATION:
1. Purposes
The purposes of this Notice are to:
Publish FTA's Federal FY 2008 Certifications and
Assurances for Applicants for Federal assistance administered by FTA
and the Projects for which they seek Federal assistance.
Highlight new changes to the Certifications and Assurances
now in effect.
Identify locations where these Certifications and
Assurances may be viewed, and
Provide directions for submitting these Certifications and
Assurances.
2. Background
a. FTA's Responsibilities. Since Federal FY 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, when feasible 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.
Because U.S. DOT's appropriations for Federal FY 2008 were not signed
into law on October 1, 2007 (the first day of Federal FY 2008), and
have not yet been signed into law, FTA is proceeding with publication
of its Certifications and Assurances for FY 2008.
b. Applicant's Responsibilities. Irrespective of whether a project
will be financed under the authority of 49 U.S.C. chapter 53, Title 23,
United States Code, or another Federal statute, the Applicant must
submit Federal FY 2008 Certifications and Assurances to FTA applicable
to all projects for which the Applicant seeks funding during Federal FY
2008.
FTA requests the Applicant to submit all of the twenty-four (24)
categories of the Certifications and Assurances that may be needed for
all projects for which the Applicant intends to or might seek Federal
assistance in the Federal FY 2008. Selecting and submitting these
Certifications and Assurances to FTA signifies the Applicant's intent
and ability to comply with all applicable provisions thereof.
To assure FTA that the Applicant is authorized under State and
local law to certify compliance with the FTA Certifications and
Assurances it has selected, FTA requires the Applicant to obtain a
current (Federal FY 2008) affirmation signed by the Applicant's
attorney affirming the Applicant's legal authority to certify its
compliance with the FTA Certifications and Assurances the Applicant has
selected. The Applicant's attorney must sign this affirmation during
Federal fiscal year 2008. Irrespective of whether the Applicant makes a
single selection of all twenty-four (24) categories of FTA
Certifications and Assurances or selects individual categories from the
FTA Certifications and Assurances, the Affirmation of Applicant's
Attorney from a previous fiscal year is not acceptable, unless FTA
expressly determines otherwise in writing.
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c. Effect of Subrecipient Participation. Absent a written
determination by FTA to the contrary, the Applicant itself is
ultimately responsible for compliance with the FTA Certifications and
Assurances it has selected even though the Project may be carried out
in whole or in part by one or more subrecipients. Thus, if
subrecipients will be participating in the Project, when the Applicant
submits its FTA Certifications and Assurances, the Applicant is also
signifying that it will be responsible for compliance both by itself
and by each of its subrecipients with the provisions of the FTA
Certifications and Assurances it has selected. Thus, in providing
Certifications and Assurances that necessarily involve the compliance
of any prospective subrecipient, FTA strongly recommends that the
Applicant take the appropriate measures, including but not limited to
obtaining sufficient documentation from each subrecipient, to assure
the validity of the Applicant's Certifications and Assurances to FTA.
3. Significant Information About FTA's Certifications and Assurances
for Federal FY 2008
a. Legal Implications.
(1) Binding Commitments. Because the Applicant is required by
Federal law and regulations to comply with the applicable provisions of
all FTA Certifications and Assurances it submits, it is important that
the Applicant be familiar with the provisions of all twenty-four (24)
categories of FTA's Certifications and Assurances for Federal FY 2008.
The text of those Certifications and Assurances is contained in
Appendix A of this Notice, and also appears at http://www.fta.dot.gov/documents/2008-Certs-Appendix.A.pdf
, and in FTA's electronic award and
management system, TEAM-Web, http://ftateamweb.fta.dot.gov, at the
``Cert's & Assurances'' tab of the ``View/Modify Recipients'' page in
the ``Recipients'' option. 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 FY 2008.
An Applicant's annual Certifications and Assurances to FTA
generally remain in effect for either the duration of the Grant or
Cooperative Agreement supporting the Project until the Project is
closed out or for the duration of the Project or Project property when
a useful life or industry standard is in effect, whichever occurs
later. If, however, the Applicant provides Certifications and
Assurances to FTA in a later year that differ from the Certifications
and Assurances previously provided, the later Certifications and
Assurances will apply to the Grant, Cooperative Agreement, Project, or
Project property, except to the extent FTA permits otherwise in
writing.
(2) Penalties for Noncompliance. If the Recipient makes a false,
fictitious, or fraudulent claim, statement, submission, certification,
assurance, or representation to the Federal Government or includes a
false, fictitious, or fraudulent statement or representation in any
agreement with the Federal Government in connection with a Project
authorized under 49 U.S.C. chapter 53 or any other Federal law, the
Federal Government reserves the right to impose on the Recipient the
penalties of the Program Fraud Civil Remedies Act of 1986, as amended,
31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations,
``Program Fraud Civil Remedies,'' 49 CFR Part 31, or the penalties of
49 U.S.C. 5323(l) invoking the criminal fraud provisions of 18 U.S.C.
1001, or other applicable Federal law to the extent the Federal
Government deems appropriate.
(3) FTA's Certifications and Assurances Constitute Only a Partial
List of Federal Requirements. FTA cautions that the FTA Certifications
and Assurances required by Federal law and regulations do not address
all the Federal requirements that will apply to the Applicant and its
Project. FTA's Certifications and Assurances are generally pre-award
requirements, i.e., those requirements of Federal law and regulations
the Applicant must fulfill before FTA is legally authorized to make an
award of Federal financial assistance.
(4) Other Federal Requirements. Because FTA's Certifications and
Assurances do not encompass all Federal requirements that will apply to
the Applicant and its Project, FTA strongly encourages the Applicant to
review the Federal authorizing legislation, regulations, and directives
pertaining to the program or programs for which the Applicant seeks
Federal assistance. The FTA Master Agreement for Federal FY 2008 at
http://www.fta.dot.gov/documents/14-Master.pdf identifies a substantial
number of those Federal laws, regulations, and directives that apply to
Applicants and their various projects.
b. Importance of FTA's Certifications and Assurances for Federal FY
2008. Following publication of these Certifications and Assurances, FTA
may not award Federal financial assistance through a Federal Grant or
Cooperative Agreement until the Applicant submits all of the FTA
Certifications and Assurances for Federal FY 2008 pertaining to itself
and its project as required by Federal laws and regulations. The
Applicant's Certifications and Assurances Federal Fiscal Year 2008 will
be applicable to all projects for which it seeks Federal assistance
during Federal FY 2008 and through the next fiscal year until FTA
issues its annual Certifications and Assurances for Federal FY 2009.
c. Federal FY 2008 Changes. Apart from minor editorial revisions,
FTA's Certifications and Assurances for Federal FY 2008 have been
modified to permit use in nearly all FTA assisted programs. Significant
changes are set forth below:
(1) In the Introductory paragraphs preceding the text of FTA's
Certifications and Assurances, the FTA Web site for the FTA Master
Agreement for Federal FY 2008 is identified as http://www.fta.dot.gov/documents/14-Master.pdf
.
(2) Subcategory 01.C, the Intergovernmental Review Assurance has
been modified to exempt an Indian tribe applying for Tribal Transit
Program assistance authorized by 49 U.S.C. 5311(c)(1) from
intergovernmental reviews by States.
(3) Category 08 setting forth the Charter Service Agreement has
been amended to exempt the Job Access and Reverse Commute Program
authorized by 49 U.S.C. 5316 from FTA's charter service restrictions.
(4) The title of Category 18 has been modified to emphasize that
the Nonurbanized Area Formula Program certifications and assurances
therein apply to FTA's State Program, and not FTA's Tribal Transit
Program.
(5) A new Category 22 has been added for special certifications and
assurances required of applicants for the Tribal Transit Assistance
Program authorized by 49 U.S.C. 5311(c)(1). Former Categories 22 and 23
of FTA Certifications and Assurances have been re-numbered Categories
23 and 24, respectively.
d. When to Submit. All Applicants for FTA formula program or
capital program assistance, and current FTA Grantees with an active
project financed with FTA formula program or capital program
assistance, are expected to provide their FTA Certifications and
Assurances for Federal FY 2008 within 90 days from the date of this
publication or as soon as feasible after their first application for
Federal assistance authorized or made available during
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Federal FY 2008, whichever is earlier. In addition, FTA encourages
Applicants seeking Federal financial assistance for other projects to
submit their Certifications and Assurances to FTA as soon as possible
to expedite awards of FTA assistance.
4. Ways To Submit FTA's Certifications and Assurances
As further explained, FTA will accept an Applicant's Certifications
and Assurances submitted either in TEAM-Web at http://ftateamweb.fta.dot.gov
, or on paper that contains the text set forth on
the Signature Page(s) of Appendix A of this Notice. In order of
preference, FTA permits:
a. Electronic Submission in Team-Web. An Applicant registered in
TEAM-Web must submit its Certifications and Assurances, as well as its
applications for Federal assistance in TEAM-Web. FTA prefers that other
Applicants for Federal assistance submit their FTA Certifications and
Assurances through TEAM-Web.
The TEAM-Web ``Recipients'' option at the ``Cert's & Assurances''
tab of the ``View/Modify Recipients'' page contains fields for
selecting among the twenty-four (24) categories of FTA Certifications
and Assurances to be submitted. There is also a field for entering a
single selection covering all twenty-four (24) categories of FTA
Certifications and Assurances.
Within the ``Cert's & Assurances'' tab is a field for the
Applicant's authorized representative to enter his or her personal
identification number (PIN), which constitutes the Applicant's
electronic signature for the FTA 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 FTA Certifications and Assurances the Applicant has
selected. The Applicant's authorized representative may enter his or
her PIN in lieu of the Attorney's PIN, provided that the Applicant has
on file a current Affirmation of Applicant's Attorney as set forth in
Appendix A of this Notice, written and signed by the attorney in
Federal FY 2008.
For more information, the Applicant may contact the appropriate FTA
Regional Office or Metropolitan Office listed in this Notice or the
TEAM-Web Helpdesk.
b. Paper Submission. Only if the Applicant is unable to submit its
FTA Certifications and Assurances in TEAM-Web may the Applicant submit
its FTA Certifications and Assurances on paper.
If an Applicant is unable to submit its FTA Certifications and
Assurances electronically, it must mark the categories of FTA
Certifications and Assurances it is making on the Signature Page(s) in
Appendix A of this Notice and submit them 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.
The Applicant must enter its signature on the Signature Page(s) and
must provide an Affirmation of Applicant's Attorney pertaining to the
Applicant's legal capacity to make and comply with the Certifications
and Assurances the Applicant has selected. 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 as
set forth in Appendix A of this Notice, written and signed by the
attorney and dated in Federal FY 2008.
For more information, the Applicant may contact the appropriate FTA
Regional Office or Metropolitan Office listed in this Notice.
Authority: 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: October 22, 2007.
James S. Simpson,
Administrator.
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[FR Doc. 07-5294 Filed 10-24-07; 8:45 am]
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