60720 Federal Register / Vol. 72, No. 206 / Thursday, October 25, 2007 / Notices 

DEPARTMENT OF TRANSPORTATION 

Federal Transit Administration 

Federal Fiscal Year 2008 Annual List of 

Certifications and Assurances for 

Federal Transit Administration Grants 

and Cooperative Agreements 

AGENCY: Federal Transit Administration, 

DOT. 

ACTION: Notice. 

SUMMARY: Pursuant to 49 U.S.C. 5323(n), 

FTA is authorized to consolidate the 

certifications and assurances required 

by Federal law or regulations for its 

programs into a single document. FTA 

is also required by 49 U.S.C. 5323(n) to 

publish a list of those certifications and 

assurances annually. 

Appendix A of this Notice contains 

the comprehensive compilation of 

FTA’s Certifications and Assurances for 

Federal Fiscal Year (Federal FY) 2008 

applicable to the various Federal 

assistance programs that FTA will 

administer during that fiscal year. FTA’s 

Certifications and Assurances for 

Federal FY 2008 reflect Federal 

statutory, regulatory, and programmatic 

changes that have now become effective. 

EFFECTIVE DATE: These FTA 

Certifications and Assurances are 

effective on October 1, 2007, the first 

day of Federal FY 2008. 

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 telephone 

# 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, and New 

Jersey, 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, 

Tennessee, and the Virgin Islands, 

Telephone # 404–865–5605. 

Region 5: Chicago 

States served: Illinois, Indiana, 

Michigan, Minnesota, Ohio, and 

Wisconsin, Telephone # 312–353–2789. 

Region 6: Dallas/Ft. Worth 

States served: Arkansas, Louisiana, 

New Mexico, Oklahoma, and Texas, 

Telephone # 817–978–0550. 

Region 7: Kansas City 

States served: Iowa, Kansas, Missouri, 

and Nebraska, Telephone # 816–329– 

3920. 

Region 8: Denver 

States served: Colorado, Montana, 

North Dakota, South Dakota, Utah, and 

Wyoming, Telephone # 720–963–3300. 

Region 9: San Francisco 

States served: Arizona, California, 

Hawaii, Nevada, 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. 

New York Metropolitan Office 

Area served: New York Metropolitan 

Area, Telephone # 212–668–2201. 

Philadelphia Metropolitan Office 

Area served: Philadelphia 

Metropolitan Area, Telephone # 215– 

656–7070. 

Washington DC Metropolitan Office 

Area served: Washington DC 

Metropolitan Area, Telephone # 202– 

219–3562/219–3565. 

Chicago Metropolitan Office 

Area served: Chicago Metropolitan 

Area, Telephone # 312–886–1616. 

Los Angeles Metropolitan Office 

Area served: Los Angeles 

Metropolitan Area, Telephone # 213– 

202–3950. 

SUPPLEMENTARY INFORMATION: 

1. Purposes 

The purposes of this Notice are to: 

• Publish FTA’s Federal FY 2008 

Certifications and Assurances for 

Applicants for Federal assistance 

administered by FTA and the Projects 

for which they seek Federal assistance. 

• Highlight new changes to the 

Certifications and Assurances now in 

effect. 

• Identify locations where these 

Certifications and Assurances may be 

viewed, and 

• Provide directions for submitting 

these 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 

appropriations for Federal FY 2008 were 

not signed into law on October 1, 2007 

(the first day of Federal FY 2008), and 

have not yet been signed into law, FTA 

is proceeding with publication of its 

Certifications and Assurances for FY 

2008. 

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 

2008 Certifications and Assurances to 

FTA applicable to all projects for which 

the Applicant seeks funding during 

Federal FY 2008. 

FTA requests the Applicant to 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 

2008. Selecting and submitting these 

Certifications and Assurances to FTA 

signifies the Applicant’s intent and 

ability to comply with all applicable 

provisions thereof. 

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 2008) 

affirmation signed by the Applicant’s 

attorney affirming the Applicant’s legal 

authority to certify its compliance with 

the FTA Certifications and Assurances 

the Applicant has selected. The 

Applicant’s attorney must sign this 

affirmation during Federal fiscal year 

2008. 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 fiscal year is not 

acceptable, unless FTA expressly 

determines otherwise in writing. 


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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 by itself and by each 

of its subrecipients with the provisions 

of the FTA Certifications and 

Assurances it has selected. Thus, 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, 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 2008 

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’s Certifications and 

Assurances for Federal FY 2008. 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/ 

2008–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 2008. 

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 Recipient 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 Recipient 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 fraud 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 make 

an award of Federal financial assistance. 

(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 

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 2008 at http:// 

www.fta.dot.gov/documents/14–

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 2008. 

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 2008 

pertaining to itself and its project as 

required by Federal laws and 

regulations. The Applicant’s 

Certifications and Assurances Federal 

Fiscal Year 2008 will be applicable to 

all projects for which it seeks Federal 

assistance during Federal FY 2008 and 

through the next fiscal year until FTA 

issues its annual Certifications and 

Assurances for Federal FY 2009. 

c. Federal FY 2008 Changes. Apart 

from minor editorial revisions, FTA’s 

Certifications and Assurances for 

Federal FY 2008 have been modified to 

permit use in nearly all FTA assisted 

programs. Significant changes are set 

forth below: 

(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 2008 is identified as 

http://www.fta.dot.gov/documents/14- 

Master.pdf. 

(2) Subcategory 01.C, the 

Intergovernmental Review Assurance 

has been modified to exempt an Indian 

tribe applying for Tribal Transit 

Program assistance authorized by 49 

U.S.C. 5311(c)(1) from 

intergovernmental reviews by States. 

(3) Category 08 setting forth the 

Charter Service Agreement has been 

amended to exempt the Job Access and 

Reverse Commute Program authorized 

by 49 U.S.C. 5316 from FTA’s charter 

service restrictions. 

(4) The title of Category 18 has been 

modified to emphasize that the 

Nonurbanized Area Formula Program 

certifications and assurances therein 

apply to FTA’s State Program, and not 

FTA’s Tribal Transit Program. 

(5) A new Category 22 has been added 

for special certifications and assurances 

required of applicants for the Tribal 

Transit Assistance Program authorized 

by 49 U.S.C. 5311(c)(1). Former 

Categories 22 and 23 of FTA 

Certifications and Assurances have been 

re-numbered Categories 23 and 24, 

respectively. 

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 2008 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 during 


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Federal FY 2008, whichever is earlier. 

In addition, FTA encourages Applicants 

seeking Federal financial assistance for 

other projects to submit their 

Certifications and Assurances to FTA as 

soon as possible to expedite awards of 

FTA assistance. 

4. Ways To Submit FTA’s 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 that contains 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 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 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 

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 on file 

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 2008. 

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 2008. 

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); 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: October 22, 2007. 

James S. Simpson, 

Administrator. 

BILLING CODE 4910–57–P 


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[FR Doc. 07–5294 Filed 10–24–07; 8:45 am] 

BILLING CODE 4910–57–C 


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