[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]


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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.

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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) 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 <greek-i> 617-494-2055.

Region 2: New York

    States served: Connecticut (rail only), New York, and New Jersey. 
Telephone <greek-i> 212-668-2170.

Region 3: Philadelphia

    States served: Delaware, Maryland, Pennsylvania, Virginia, and West 
Virginia. Telephone <greek-i> 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 <greek-i> 404-865-5600.

Region 5: Chicago

    States served: Illinois, Indiana, Michigan, Minnesota, Ohio, and 
Wisconsin. Telephone <greek-i> 312-353-2789.

Region 6: Dallas/Ft. Worth

    States served: Arkansas, Louisiana, New Mexico, Oklahoma, and 
Texas. Telephone <greek-i> 817-978-0550.

Region 7: Kansas City

    States served: Iowa, Kansas, Missouri, and Nebraska. Telephone 
<greek-i> 816-329-3920.

Region 8: Denver

    States served: Colorado, Montana, North Dakota, South Dakota, Utah, 
and Wyoming. Telephone <greek-i> 720-963-3300.

Region 9: San Francisco

    States served: Arizona, California, Hawaii, Nevada, Territories 
served: Guam, American Samoa, and the Northern Mariana Islands. 
Telephone <greek-i> 415-744-3133.

Region 10: Seattle

    States served: Alaska, Idaho, Oregon, and Washington. Telephone 
<greek-i> 206-220-7954.

Chicago Metropolitan Office

    Area served: Chicago Metropolitan Area. Telephone <greek-i> 312-
886-1616.

Los Angeles Metropolitan Office

    Area served: Los Angeles Metropolitan Area. Telephone <greek-i> 
213-202-3950.

Lower Manhattan Recovery Office

    Area served: Lower Manhattan. Telephone <greek-i> 212-668-1770.

New York Metropolitan Office

    Area served: New York Metropolitan Area. Telephone <greek-i> 212-
668-2201.

Philadelphia Metropolitan Office

    Area served: Philadelphia Metropolitan Area. Telephone <greek-i> 
215-656-7070.

Washington DC Metropolitan Office

    Area served: Washington DC Metropolitan Area. Telephone <greek-i> 
202-219-3562/219-3565.

SUPPLEMENTARY INFORMATION:

1. Purposes

    The purposes of this Notice are to:

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    <bullet> 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.
    <bullet> Highlight new changes to the FTA Certifications and 
Assurances now in effect.
    <bullet> Identify locations where these FTA Certifications and 
Assurances may be viewed, and
    <bullet> 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

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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.
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[FR Doc. E9-24922 Filed 10-16-09; 8:45 am]
BILLING CODE 4910-57-C