[Federal Register Volume 74, Number 200 (Monday, October 19, 2009)]
[Notices]
[Pages 53544-53578]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-24922]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2010 Annual List of Certifications and
Assurances for Federal Transit Administration Grants and Cooperative
Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice.
-----------------------------------------------------------------------
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) 2010 applicable to the various Federal assistance programs that FTA
will administer during that Federal FY. FTA's Certifications and
Assurances for Federal FY 2010 reflect Federal statutory, regulatory,
and programmatic changes that have now become effective.
DATES: Effective Date: These FTA Certifications and Assurances are
effective on October 1, 2009, the first day of Federal FY 2010.
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 202-366-4022.
Region 1: Boston
States served: Connecticut (bus only), Maine, Massachusetts, New
Hampshire, Rhode Island, and Vermont. Telephone 617-494-2055.
Region 2: New York
States served: Connecticut (rail only), New York, and New Jersey.
Telephone 212-668-2170.
Region 3: Philadelphia
States served: Delaware, Maryland, Pennsylvania, Virginia, and West
Virginia. Telephone 215-656-7100.
Region 4: Atlanta
States served: Alabama, Florida, Georgia, Kentucky, Mississippi,
North Carolina, South Carolina, Tennessee, Territories served: 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 720-963-3300.
Region 9: San Francisco
States served: Arizona, California, Hawaii, Nevada, Territories
served: 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.
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.
Lower Manhattan Recovery Office
Area served: Lower Manhattan. Telephone 212-668-1770.
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.
SUPPLEMENTARY INFORMATION:
1. Purposes
The purposes of this Notice are to:
[[Page 53545]]
Publish FTA's Federal FY 2010 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 FTA Certifications and
Assurances now in effect.
Identify locations where these FTA Certifications and
Assurances may be viewed, and
Provide directions for submitting these FTA 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 full-year appropriations for Federal FY 2010 were
not signed into law on October 1, 2010 (the first day of Federal FY
2010), and have not yet been signed into law, FTA is proceeding with
publication of its Certifications and Assurances for FY 2010.
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 2010 Certifications and Assurances to FTA applicable
to all projects for which the Applicant seeks funding during Federal FY
2010.
FTA requests that an Applicant 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 2010. Selecting and submitting these
Certifications and Assurances to FTA signifies the Applicant's intent
and ability to comply with all applicable provisions thereof.
In order 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 2010) affirmation signed by the Applicant's
attorney affirming the Applicant's legal authority to certify its
compliance with the FTA Certifications and Assurances that the
Applicant has selected. The Applicant's attorney must sign this
affirmation during Federal FY 2010. 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 Federal FY is not acceptable,
unless FTA expressly determines otherwise in writing.
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 of itself
and of each of its subrecipients, with the provisions of the FTA
Certifications and Assurances it has selected. Therefore, 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 participating
in the project, 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 2010
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 Certifications and Assurances for Federal FY 2010.
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/2010-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 2010.
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 Applicant 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 Applicant 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 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 award
Federal financial assistance to an Applicant.
(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
[[Page 53546]]
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 2010 at
http://www.fta.dot.gov/documents/16-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
2010. 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 2010 pertaining to itself
and its project as required by Federal laws and regulations. The
Applicant's Certifications and Assurances for Federal FY 2010 will be
applicable to all projects for which it seeks Federal assistance during
Federal FY 2010 and through the next Federal FY until FTA issues its
annual Certifications and Assurances for Federal FY 2011.
c. Federal FY 2010 Changes. Apart from minor editorial revisions,
significant matters concerning FTA's Certifications and Assurances
include the following:
(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 2010 is identified as http://www.fta.dot.gov/documents/16-Master.pdf.
(2) Certification (01)F.5(g) has been revised to substitute a more
specific citation to the confidentiality provisions of the Public
Health Service Act of 1912, as amended, in lieu of the general citation
to the Public Health Service Act of 1912.
(3) The text of Certification (02), ``Lobbying Certification,'' has
been revised for consistency with terms used in the Transportation
Infrastructure Finance and Innovation Act, 23 U.S.C. chapter 6, and to
add a reference to OMB's Standard Form-LLL, ``Disclosure of Lobbying
Activities,'' Rev. 7-97, currently in use.
(4) The heading of Certification (23) has been changed from
``Infrastructure Finance Projects'' to ``TIFIA Projects'' for clarity.
The acronym ``TIFIA'' has thus been substituted for the term
``Infrastructure Finance'' where used previously.
(5) Although the American Recovery and Reinvestment Act of 2009,
Public Law 111-5, February 17, 2009 (``Recovery Act'') requires the
submission of certain certifications, as a condition of Recovery Act
funding, Recovery Act certifications are submitted individually and
separately as required by that Act, rather than as a part of FTA's
Annual Certifications and Assurances. For that reason, we have not
added a new category for annual Recovery Act certifications and
assurances.
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 2010 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 for Federal FY 2010,
whichever is earlier. In addition, FTA encourages Applicants seeking
Federal assistance for other projects to submit their FTA
Certifications and Assurances to FTA as soon as possible to expedite
awards of FTA assistance.
4. Ways To Submit FTA 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 containing 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 FTA 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
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
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
2010.
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 2010.
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), as amended by the SAFETEA-LU Technical Corrections
Act, 2008, Public Law 110-244, June 6, 2008; 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.
Issued in Washington, DC, this 8th day of October 2009.
Peter M. Rogoff,
Administrator.
BILLING CODE 4910-57-P
[[Page 53547]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.000
[[Page 53548]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.001
[[Page 53549]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.002
[[Page 53550]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.003
[[Page 53551]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.004
[[Page 53552]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.005
[[Page 53553]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.006
[[Page 53554]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.007
[[Page 53555]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.008
[[Page 53556]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.009
[[Page 53557]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.010
[[Page 53558]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.011
[[Page 53559]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.012
[[Page 53560]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.013
[[Page 53561]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.014
[[Page 53562]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.015
[[Page 53563]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.016
[[Page 53564]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.017
[[Page 53565]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.018
[[Page 53566]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.019
[[Page 53567]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.020
[[Page 53568]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.021
[[Page 53569]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.022
[[Page 53570]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.023
[[Page 53571]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.024
[[Page 53572]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.025
[[Page 53573]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.026
[[Page 53574]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.027
[[Page 53575]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.028
[[Page 53576]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.029
[[Page 53577]]
[GRAPHIC] [TIFF OMITTED] TN19OC09.030
[[Page 53578]]
[FR Doc. E9-24922 Filed 10-16-09; 8:45 am]
BILLING CODE 4910-57-C