65328 Federal Register / Vol. 71, No. 215 / Tuesday, November 7, 2006 / Notices 

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. 

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 twentythree (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 twentythree (23) categories or selects 

individual options from the twentythree (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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