[Federal Register Volume 71, Number 215 (Tuesday, November 7, 2006)]
[Notices]
[Pages 65328-65360]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-9103]



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Part V





Department of Transportation





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Federal Transit Administration



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Fiscal Year 2007 Annual List of Certifications and Assurances for 
Federal Transit Administration Grants and Cooperative Agreements; 
Notice

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

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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.

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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 <greek-i> 617-494-2055.

Region 2: New York

    States served: New York, New Jersey, and the Virgin Islands, 
Telephone <greek-i> 212-668-2170.

Region 3: Philadelphia

    States served: Delaware, District of Columbia, Maryland, 
Pennsylvania, Virginia, and West Virginia, Telephone <greek-i> 215-656-
7100.

Region 4: Atlanta

    States served: Alabama, Florida, Georgia, Kentucky, Mississippi, 
North Carolina, Puerto Rico, South Carolina, and Tennessee, Telephone 
<greek-i> 404-562-3500.

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, Oklahoma, Texas, and New 
Mexico, 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, 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.

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 twenty-three (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 
twenty-three (23) categories or selects individual options from the 
twenty-three (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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