69380 Federal Register / Vol. 70, No. 219 / Tuesday, November 15, 2005 / Notices 

DEPARTMENT OF TRANSPORTATION 

Federal Transit Administration 

Fiscal Year 2006 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 2006 

to be used in connection with all 

Federal assistance programs that FTA 

administers during Federal fiscal year 

2006. 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. 

5336(d)(2). Due to enactment of FTA’s 

new authorizing legislation, the Safe, 

Accountable, Flexible, Efficient 

Transportation Equity Act: A Legacy for 

Users (SAFETEA–LU), Pub. L. 109–59, 

Aug. 10, 2005, FTA’s annual 

certifications and assurances have been 

revised to accommodate these 

legislative changes, as well as changes 

resulting from enactment of other recent 

Federal legislation. 

DATES: These certifications and 

assurances were effective on October 1, 

2005, the first day of Federal fiscal year 

2006. 

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 certifications 

and assurances for Federal fiscal year 

2006 cover all projects for which the 

Applicant seeks funding during Federal 

fiscal year 2006 through the next fiscal 

year until FTA issues its annual 

certifications and assurances for Federal 

fiscal year 2007. 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. 

Nevertheless, pursuant to 49 U.S.C. 

3041(c)(3) of SAFETEA–LU, funds 

authorized or made available for Federal 

fiscal year 2005 shall be administered 

consistent with the applicable formula 

requirements of Transportation Equity 

Act for the 21st Century, TEA–21 (TEA– 

21), Pub. L. 105–178, June 9, 1998, as 

amended. As a result, to the extent that 

any one of the new Federal fiscal year 

2006 certifications or assurances set 

forth in this document conflicts with the 

provisions of TEA–21, that new 

certification or assurance will not apply 

to Grants or Cooperative Agreements 

financed with funds obligated in 

Federal fiscal year 2006 that had been 

authorized or made available for Federal 

fiscal year 2005. 

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 Applicant 

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 2006 Changes: 

Apart from minor editorial revisions, set 

forth below are significant changes to 

Federal Register / Vol. 70, No. 219 / Tuesday, November 15, 2005 / Notices 69381 

FTA’s certifications and assurances for 

Federal fiscal year 2006: 

(1) The Categories of certifications 

and assurances have been expanded 

from sixteen (16) to twenty-three (23) to 

accommodate the different statutory 

provisions applicable to the new 

programs authorized under SAFETEA–

LU and other adjustments FTA has 

made. 

(2) Throughout the text of these 

Federal fiscal year 2006 certifications 

and assurances, the term ‘‘public 

transportation’’ has been substituted for 

‘‘mass transportation’’ for consistency 

with the text of SAFETEA–LU. 

(3) In the Introductory paragraph 

preceding the text of the certifications 

and assurances, the URL for the FTA 

Master Agreement for Federal fiscal year 

2006 is identified at http:// 

www.fta.dot.gov/ 

16874_16882_ENG_HTML.htm. 

(4) Category 01. The certifications and 

assurances for all Applicants have been 

revised as follows: 

(a) The ‘‘Procurement Compliance’’

certification at subcategory 1.F has been 

transferred to a separate category. 

(b) Former subcategory 1.G containing 

assurances, as set forth in OMB’s SF–

242B and SF–242F has been redesignated as subcategory 1.F. 

(c) In re-designated subcategory 1.F, a 

reference to 49 U.S.C. 5307(k)(2), which 

exempts nonsupervisory employees of a 

public transportation system from Hatch 

Act restrictions, has been added to 

section (15). SAFETEA–LU amended 49 

U.S.C. 5307 to specify this Hatch Act 

exemption. 

(5) Category (02). No changes were 

made to Category 02, ‘‘Lobbying 

Certification.’’

(6) New Category (03). The 

‘‘Procurement Certification’’ has been 

revised as follows: 

(a) The ‘‘Procurement Compliance’’

certification is now located in a separate 

new Category (03) to accommodate an 

Applicant that has not yet self-certified 

its procurement system to FTA. 

(b) Former Categories 03 through 05 

have been re-designated as Categories 04 

through 06. 

(7) Re-designated Category 04. The 

‘‘Private Providers of Public 

Transportation’’ certification has been 

revised as follows: 

(a) New citations to FTA’s planning 

requirements within SAFETEA–LU 

have been substituted for the former 

citations that have been repealed. 

(b) Because the SAFETEA–LU 

amendment to 49 U.S.C. 5323(a)(1) 

deleted a reference to the Secretary of 

Labor’s Certification of Public 

Transportation Employee Protective 

Arrangements, that reference has been 

deleted from the ‘‘Protections for Private 

Providers’’ certification. 

(8) Re-designated Category 05. The 

‘‘Public Hearing’’ certification has been 

revised to conform with the SAFETEA–

LU amendment to 49 U.S.C. 5323(b), 

which requires a public hearing to be 

held for a capital project if that project 

affects significant economic, social, or 

environmental interests. Thus if the 

interests affected are not significant, the 

Applicant need not publish a notice 

asking whether a public hearing is 

needed. 

(9) Re-designated Category 06. No 

changes were made to the ‘‘Acquisition 

of Rolling Stock’’ certification requiring 

pre-award and post-delivery reviews. 

(10) New Category 07. The 

‘‘Acquisition of Capital Assets by Lease’’

certification has been revised as follows: 

(a) This certification formerly set forth 

in subcategory 13.B and has been 

transferred to a separate category to 

emphasize that the certification applies 

to any Applicants that seek to acquire 

capital assets by lease. 

(b) Former Categories 06 through 12 

have been re-designated as Categories 08 

through 14. 

(11) Re-designated Category 08. The 

‘‘Bus Testing’’ certification has been 

revised to clarify that FTA is 

maintaining one bus testing facility, 

currently, the Bus Testing Center at 

Altoona, Pennsylvania. 

(12) Re-designated Category 09. The 

‘‘Charter Service Agreement’’

certification has been revised as follows: 

(a) The ‘‘Charter Service Agreement’’

has been revised to indicate that FTA’s 

charter provisions apply to public 

transportation projects financed with 

Federal assistance provided for 23 

U.S.C. 133, or 23 U.S.C. 142, as set forth 

in section 3023(g) of SAFETEA–LU. 

(b) As authorized by 49 U.S.C. 

5317(e)(1), which makes the 

requirements of 49 U.S.C. 5310 

applicable to the New Freedom Program 

to the extent the Federal Transit 

Administrator, as the designee of the 

U.S. Secretary of Transportation, 

determines appropriate, the Federal 

Transit Administrator has determined 

that the Charter Service restrictions of 

49 U.S.C. 5323(d) are not appropriate for 

the New Freedom Program to provide 

consistency with the Charter Service 

exemption provided for the Elderly 

Individuals and Individuals with 

Disabilities Formula Program and Pilot 

Program. 

(13) Re-designated Category 10. The 

‘‘School Transportation Agreement’’ has 

been revised to indicate that FTA’s 

school transportation provisions apply 

to public transportation projects 

financed with Federal assistance 

provided for 23 U.S.C. 133, or 23 U.S.C. 

142, as set forth in section 3023(g) of 

SAFETEA–LU. 

(14) Re-designated Category 11. No 

change has been made to the ‘‘Demand 

Responsive Service’’ certification. 

(15) Re-designated Category 12. No 

change has been made to the ‘‘Alcohol 

Misuse and Prohibited Drug Use’’

certification. 

(16) Re-designated Category 13. Due 

to amendments to 49 U.S.C. 5307, 5309, 

and new 5320, the ‘‘Interest and 

Financing Costs’’ certification has been 

revised to substitute updated citations. 

(17) Former Category 13. The various 

certifications within former Category 13 

‘‘Urbanized Area Formula Program’’

have been treated as follows: 

(a) The Urbanized Area Formula 

Program certifications in former 

subcategory 13.A have been transferred 

to a new Category 15 herein. 

(b) The Job Access and Reverse 

Commute Program certifications in 

former subcategory 13.A have been 

transferred to a new Category 19 herein. 

(c) The Clean Fuels Formula Grant 

Program certifications in Former 

subcategories 13.A and D have been 

deleted because that program has been 

repealed and replaced by the Clean 

Fuels Grant Program. 

(d) The Acquisition by Lease 

certifications in Former subcategory 

13.B have been transferred to new 

Category 07. 

(e) Subcategory 13.C has been deleted 

because the special certification 

requirements for sole source 

procurement of associated capital 

maintenance items were rescinded as a 

result of SAFETEA–LU amendments to 

49 U.S.C. 5325. 

(18) Re-designated Category 14. The 

‘‘Intelligent Transportation Systems’’

certification has been revised to add a 

reference to the new citation to 

Intelligent Transportation System 

architecture provisions established in 

the SAFETEA–LU amendments to the 

ITS program. 

(19) Re-designated Category 15. The 

‘‘Urbanized Area Formula Program’’

certifications previously set forth in 

former subcategory 13.A, have been 

transferred to re-designated Category 15. 

The following changes have been made 

to the previous certifications: 

(a) A separate category limited to 

certifications for the Urbanized Area 

Formula Program has been established, 

and 

(b) The SAFETEA–LU amendments to 

the certification requirements of 49 

U.S.C. 5307(d)(1) have been 

implemented in the text of the 

‘‘Urbanized Area Formula Program’’

certifications as follows: 

69382 Federal Register / Vol. 70, No. 219 / Tuesday, November 15, 2005 / Notices 

1. Pursuant to amended 49 U.S.C. 

5307(d)(1)(A), the Applicant’s 

requirement to certify its legal, 

financial, and technical capacity to 

carry out its proposed program of 

projects now requires the Applicant to 

certify its capacity to carry out the safety 

and security aspects of that program. 

2. Pursuant to amended 49 U.S.C. 

5307(d)(1)(E), the Applicant is now 

required to certify that it will comply 

with 49 U.S.C. 5323 and 5325. 

3. Pursuant to the new 49 U.S.C. 

5307(d)(1)(K), an Applicant serving an 

urbanized area with a population 

exceeding 200,000 is now required to 

certify annually that it will spend at 

least one (1) percent of its Urbanized 

Area Formula Program funds for transit 

enhancements and report its transit 

enhancement expenditures for the 

preceding year to FTA. 

(20) Re-designated Category 16. The 

new ‘‘Clean Fuels Grant Program’’

certifications include the following: 

(a) In the introductory text 

immediately preceding the 

certifications, Applicants are notified 

that they will be ultimately responsible 

for their own compliance with Federal 

laws, regulations, and directives, and for 

compliance by any subrecipients 

participating in their projects. 

(b) Because the Clean Fuels Grant 

Program is subject to the requirements 

of 49 U.S.C. 5307, certifications at 49 

U.S.C. 5307(d)(1) have been adapted for 

that Program, except for the following 

certifications which are determined 

inapplicable. 

1. Because 49 U.S.C. 5307(d)(1)(J) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for security projects, and 49 

U.S.C. 5308 does not contain a similar 

provision with respect to funds 

authorized under 49 U.S.C. 5308, the 

Federal Transit Administrator has 

determined that the certification at 49 

U.S.C. 5307(d)(1)(J) is inapplicable to 

the Clean Fuels Grant Program. If, 

however, 49 U.S.C. 5307 funding will be 

provided for projects within the Clean 

Fuels Grant Program, the Applicant will 

be required to comply with the security 

and transit enhancement expenditure 

provisions of 49 U.S.C. 5307(d)(1)(J). 

2. Because 49 U.S.C. 5307(d)(1)(K) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for transit enhancements, 

and 49 U.S.C. 5308 does not contain a 

similar provision with respect to funds 

authorized under 49 U.S.C. 5308, the 

Federal Transit Administrator has 

determined that the certification at 49 

U.S.C. 5307(d)(1)(K) is inapplicable to 

the Clean Fuels Grant Program. If, 

however, 49 U.S.C. 5307 funding will be 

provided for projects within the Clean 

Fuels Grant Program, the Applicant will 

be required to comply with the security 

and transit enhancement expenditure 

provisions of 49 U.S.C. 5307(d)(1)(K). 

(c) The former special certification 

that vehicles financed under the Clean 

Fuels Formula Grant Program must be 

operated only with clean fuels, has not 

been included, because that 

requirement, formerly at 49 U.S.C. 

5308(c)(2) was repealed when 

SAFETEA–LU amended former 49 

U.S.C. 5308. 

(21) Former Categories 14, 15, and 16 

have been re-designated as Categories 

17, 18, and 23, respectively. 

(22) New Category 17. The ‘‘Elderly 

Individuals and Individuals with 

Disabilities Formula Program’’ (Formula 

Program) and the Elderly Individuals 

and Individuals with Disabilities Pilot 

Program’’ (Pilot Program) certifications 

include the following: 

(a) In the introductory text 

immediately preceding the 

certifications, Applicants are notified 

that they will be ultimately responsible 

for their own compliance with Federal 

laws, regulations, and directives, and for 

compliance by any subrecipients 

participating in their projects. 

(b) The former certifications for the 

Formula Program, authorized under 49 

U.S.C. 5310 have been revised as 

necessary to comply with SAFETEA–LU 

amendments and combined with 

certifications for the Pilot Program, 

authorized under subsection 3012(b) of 

SAFETEA–LU. Except to the extent that 

provisions for the Pilot Program 

expressly differ from the provisions for 

the Formula Program, Formula Program 

provisions will apply to projects within 

the Pilot Program. 

(c) Because the Formula Program and 

Pilot Program are subject to the 

requirements of 49 U.S.C. 5307, 

certifications at 49 U.S.C. 5307(d)(1) are 

adapted for those programs. As 

authorized by 49 U.S.C. 5310(d)(1), 

however, the Federal Transit 

Administrator has determined that the 

following certifications required by 49 

U.S.C. 5307(d)(1) are not appropriate for 

the Formula Program and Pilot Program: 

1. Because the services financed 

under this program are designed 

specifically for and available primarily 

to the elderly and handicapped 

individuals, and because the half-fare 

provisions benefiting elderly 

individuals and handicapped 

individuals of 49 U.S.C. 5307(d)(1)(D) 

are focused on peak periods, and peak 

demand has not been relevant to the 

provision of these specialized services, 

the Federal Transit Administrator has 

determined that the half-fare 

requirements of 49 U.S.C. 5307(d)(1)(D) 

are not appropriate for the Formula 

Program or the Pilot Program. 

2. Because 49 U.S.C. 5310 and section 

3012b of SAFETEA–LU prescribe 

specific public participation, planning, 

and coordination provisions for the 

Formula Program and Pilot Program, 

Federal Transit Administrator has 

determined that the public 

participation, planning, and 

coordination provisions as specified in 

49 U.S.C. 5307(d)(1)(F) are not 

appropriate for the Formula Program or 

Pilot Program. 

3. The Federal Transit Administrator 

has determined that the requirements of 

49 U.S.C. 5307(d)(1)(I) for a ‘‘locally 

developed process to solicit and 

consider public comment before raising 

a fare or carrying out a major reduction 

of transportation’’ are not appropriate 

for the Formula Program because by 

next fiscal year, 49 U.S.C. 5310(d)(2)(B) 

will expressly require a locally 

coordinated transportation plan from 

which projects are to be selected, while 

section 3012(b)(2) now requires a locally 

coordinated transportation plan from 

which projects within the Pilot Program 

are to be selected during this fiscal year. 

4. Because 49 U.S.C. 5307(d)(1)(J) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for security projects, and 

neither 49 U.S.C. 5310 nor section 

3012b of SAFETEA–LU contain a 

similar provision with respect to funds 

authorized under 49 U.S.C. 5310 or 

section 3012b of SAFETEA–LU, the 

Federal Transit Administrator has 

determined that the certification at 49 

U.S.C. 5307(d)(1)(J) is inapplicable to 

the Elderly Individuals and Individuals 

with Disabilities Formula Program and 

Pilot Program, and thus is not 

appropriate. 

5. Because 49 U.S.C. 5307(d)(1)(K) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for transit enhancements, 

and neither 49 U.S.C. 5310 nor section 

3012b of SAFETEA–LU contain a 

similar provision with respect to funds 

authorized under 49 U.S.C. 5310 or 

section 3012b of SAFETEA–LU, the 

Federal Transit Administrator has 

determined that the certification at 49 

U.S.C. 5307(d)(1)(K) is inapplicable to 

the Elderly Individuals and Individuals 

with Disabilities Formula Program and 

Pilot Program, and thus is not 

appropriate. 

(d) The requirements of 49 U.S.C. 

5310(d)(2)(A) for coordination with 

private nonprofit providers before 

transferring funds authorized for 49 

U.S.C. 5310 have been added. 

Federal Register / Vol. 70, No. 219 / Tuesday, November 15, 2005 / Notices 69383 

(e) The planning certification 

requirements for the Elderly Individuals 

and Individuals with Disabilities Pilot 

Program required by section 3012(b)(2) 

of SAFETEA–LU have been added. 

(23) New Category 18. Except for 

streamlining, the Nonurbanized Area 

Formula Program certifications have not 

changed substantially. 

(24) New Category 19. The ‘‘Job 

Access and Reverse Commute (JARC) 

Formula Grant Program’’ certifications 

include the following: 

(a) In the introductory text 

immediately preceding the 

certifications, Applicants are notified 

that they will be ultimately responsible 

for their own compliance with Federal 

laws, regulations, and directives, and for 

compliance by any subrecipients 

participating in their projects. 

(b) The certifications and assurances 

for the Job Access and Reverse 

Commute (JARC) Program, previously 

set forth in former subcategory 13.A, 

have been transferred to new separate 

Category 19. 

(c) The former certifications for the 

‘‘Job Access and Reverse Commute 

(JARC) Program’’ that is now codified at 

49 U.S.C. 5316 have been revised as 

necessary to comply with the 

SAFETEA–LU amendments to former 

section 3037 of the Transportation 

Equity Act for the 21st Century. 

(d) The new codified citation to the 

JARC Formula Grant Program, 49 U.S.C. 

5316, has been substituted for the 

previous uncodified citation to TEA–21. 

(e) Because the JARC Formula Grant 

Program is subject to the requirements 

of 49 U.S.C. 5307, certifications at the 

amended 49 U.S.C. 5307(d)(1) have been 

adapted for that Program, except for the 

following certifications which the 

Federal Transit Administrator has 

determined are inapplicable: 

1. Because 49 U.S.C. 5307(d)(1)(J) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for security projects, and 49 

U.S.C. 5316 does not contain a similar 

provision with respect to funds 

authorized under 49 U.S.C. 5316, FTA 

has determined that the certification at 

49 U.S.C. 5307(d)(1)(J) is inapplicable to 

the JARC Formula Grant Program. 

2. Because 49 U.S.C. 5307(d)(1)(K) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for transit enhancements, 

and 49 U.S.C. 5316 does not contain a 

similar provision with respect to funds 

authorized under 49 U.S.C. 5316, FTA 

has determined that the certification at 

49 U.S.C. 5307(d)(1)(K) is inapplicable 

to the JARC Formula Grant Program. 

(25) New Category 20. The ‘‘New 

Freedom Program’’ certifications 

include the following: 

(a) In the introductory text 

immediately preceding the 

certifications, Applicants are notified 

that they will be ultimately responsible 

for their own compliance with Federal 

laws, regulations, and directives, and for 

compliance by any subrecipients 

participating in their projects. 

(b) Because the New Freedom 

Program is subject to the requirements 

of 49 U.S.C. 5307, certifications at 49 

U.S.C. 5307(d)(1) have been adapted by 

that Program. As authorized by 49 

U.S.C. 5317(e)(1), which makes the 

requirements of 49 U.S.C. 5310 

applicable to the New Freedom 

Program, the Federal Transit 

Administrator has determined that the 

following certifications required by 49 

U.S.C. 5307(d)(1) and determined 

inappropriate for the Elderly 

Individuals and Individuals with 

Disabilities Formula Program, 49 U.S.C. 

5310, are inappropriate for the New 

Freedom Program: 

1. Because the services financed 

under this program are designed 

specifically for and will be available 

primarily to the elderly and 

handicapped individuals, and because 

the half-fare provisions benefiting 

elderly individuals and handicapped 

individuals of 49 U.S.C. 5307(d)(1)(D) 

are focused on peak periods, and peak 

demand is not expected to be relevant 

to the provision of these specialized 

services, the Federal Transit 

Administrator has determined that the 

half-fare requirements of 49 U.S.C. 

5307(d)(1)(D) are not appropriate for the 

New Freedom Program. If, however, a 

New Freedom project will also be 

supported by Federal financial 

assistance derived from 49 U.S.C. 5307, 

the Applicant will be required to 

comply with the half-fare requirements 

of 49 U.S.C. 5307(d)(1)(K). 

2. Because 49 U.S.C. 5317 prescribes 

specific public participation, planning, 

and coordination provisions for the New 

Freedom Program, Federal Transit 

Administrator has determined that the 

public participation, planning, and 

coordination provisions as specified in 

49 U.S.C. 5307(d)(1)(F) are not 

appropriate for the New Freedom 

Program. 

3. The Federal Transit Administrator 

has determined that the requirements of 

49 U.S.C. 5307(d)(1)(I) for a ‘‘locally 

developed process to solicit and 

consider public comment before raising 

a fare or carrying out a major reduction 

of transportation’’ are not appropriate 

for the New Freedom Program because 

by next fiscal year, 49 U.S.C. 5317(f)(3) 

expressly requires a locally coordinated 

transportation plan from which projects 

are to be selected. 

4. Because 49 U.S.C. 5307(d)(1)(J) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for security projects, and 49 

U.S.C. 5317 does not contain a similar 

provision with respect to funds 

authorized under 49 U.S.C. 5317, the 

Federal Transit Administrator has 

determined that the certification at 49 

U.S.C. 5307(d)(1)(J) is inapplicable to 

the New Freedom Program, and thus is 

not appropriate. 

5. Because 49 U.S.C. 5307(d)(1)(K) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for transit enhancements, 

and 49 U.S.C. 5317 does not contain a 

similar provision with respect to funds 

authorized under 49 U.S.C. 5317, the 

Federal Transit Administrator has 

determined that the certification at 49 

U.S.C. 5307(d)(1)(K) is inapplicable to 

the New Freedom Program, and thus is 

not appropriate. 

(c) The requirements of 49 U.S.C. 

5310(d)(2)(A) for coordination with 

private nonprofit providers before 

transferring funds authorized for 49 

U.S.C. 5317 is included. 

(26) New Category 21. Certifications 

for the new ‘‘Alternative Transportation 

in Parks and Public Lands Program’’

include the following: 

(a) In the introductory text 

immediately preceding the 

certifications, Applicants are notified 

that they will be ultimately responsible 

for their own compliance with Federal 

requirements and for compliance by any 

subrecipients participating in their 

projects. 

(b) Because the Alternative 

Transportation in Parks and Public 

Lands Program is subject to the 

requirements of 49 U.S.C. 5307, 

certifications at 49 U.S.C. 5307(d)(1) 

have been adapted for that Program. As 

authorized by 49 U.S.C. 5320(i), which 

makes the requirements of 49 U.S.C. 

5307 applicable to the Alternative 

Transportation in Parks and Public 

Lands Program, the Federal Transit 

Administrator has determined that the 

following certifications required by 49 

U.S.C. 5307(d)(1) are not appropriate for 

the Alternative Transportation in Parks 

and Public Lands Program: 

1. The Federal Transit Administrator 

has determined that the requirements of 

49 U.S.C. 5307(d)(1)(I) for a ‘‘locally 

developed process to solicit and 

consider public comment before raising 

a fare or carrying out a major reduction 

of transportation’’ are not appropriate 

for the Alternative Transportation in 

Parks and Public Lands Program 

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because the clear majority of 

prospective passengers and constituents 

that would benefit from the Alternative 

Transportation in Parks and Public 

Lands Program would not be local 

residents, but would encompass visitors 

from throughout the United States, and 

even the world. 

2. Because 49 U.S.C. 5307(d)(1)(J) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for security projects, and 49 

U.S.C. 5320 does not contain a similar 

provision with respect to funds 

authorized under 49 U.S.C. 5320, the 

Federal Transit Administrator has 

determined that the certification at 49 

U.S.C. 5307(d)(1)(J) is inapplicable to 

the Alternative Transportation in Parks 

and Public Lands Program, and thus is 

not appropriate. 

3. Because 49 U.S.C. 5307(d)(1)(K) 

requires the expenditure of one (1) 

percent of funds authorized under 49 

U.S.C. 5307 for transit enhancements, 

and 49 U.S.C. 5320 does not contain a 

similar provision with respect to funds 

authorized under 49 U.S.C. 5320, the 

Federal Transit Administrator has 

determined that the certification at 49 

U.S.C. 5307(d)(1)(K) is inapplicable to 

the Alternative Transportation in Parks 

and Public Lands Program, and thus is 

not appropriate. 

(27) New Category 22. A new category 

of certifications has been established for 

‘‘Infrastructure Finance Projects’’

because 49 U.S.C. 5323(o) makes the 

requirements of 49 U.S.C. 5307 and 

5309 applicable to projects receiving 

Infrastructure Finance assistance 

authorized under 23 U.S.C. chapter 6. 

Thus, the certification requirements of 

49 U.S.C. 5307(d)(1), imposing 

administrative and project 

requirements, and 5309(g)(2)(B)(iii), 

imposing restrictions on Federal 

participation in interest costs, have been 

adapted for projects assisted through the 

Infrastructure Finance provisions of 23 

U.S.C. chapter 6. 

(28) New Category 23. The 

certifications and assurances for the SIB 

Program have been amended to enter 

the new citation to that Program 

resulting from enactment of Sections 

1601 and 1602 of SAFETEA-LU. The 

SIB Program is now permanent law, 

codified at 23 U.S.C. 610, and that 

citation has been added to the 

certifications and assurances, as well as 

acknowledgment of revised planning 

requirements. 

Text of Federal Fiscal Year 2006 

Certifications and Assurances: The text 

of the certifications and assurances in 

Appendix A of this Notice appears at 

http://www.fta.dot.gov/ 

6092_16884_ENG_HTML.htm. 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 2006; do not 

rely on the provisions of certifications 

and assurances appearing in FTA 

circulars. 

Significance of Certifications 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 fiscal year 2006. 

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 2006) 

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 2006 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 2006, 

whichever is earlier. In addition, FTA 

encourages Applicants 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 certifications and assurances in 

TEAM-Web should the Applicant use 

the Signature Page(s) in Appendix A of 

this Notice. 

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 

Federal Register / Vol. 70, No. 219 / Tuesday, November 15, 2005 / Notices 69385 

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 2006, 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), Pub. L. 109–59, 

Aug. 10, 2005; the Transportation 

Equity Act for the 21st Century, Pub. L. 

105–178, June 9, 1998, as amended by 

the TEA–21 Restoration Act, Pub. L. 

105–206, July 22, 1998; Title 23, United 

States Code, other Federal laws 

administered by FTA, U.S. DOT and 

FTA regulations at Title 49, Code of 

Federal Regulations; and FTA Circulars. 

Dated: November 4, 2005. 

Jennifer L. Dorn, 

Administrator. 

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