Federal Register / Vol. 79, No. 211 / Friday, October 31, 2014 / Notices 64875 

Issued in Burlington, Massachusetts, 

October 23, 2014. 

Mary T. Walsh, 

Manager, New England Airports Division. 

[FR Doc. 2014–25885 Filed 10–30–14; 8:45 am] 

BILLING CODE 4910–13–P 

DEPARTMENT OF TRANSPORTATION 

Federal Transit Administration 

Federal Fiscal Year 2015 Annual List of 

Certifications and Assurances for 

Federal Transit Administration Grants 

and Cooperative Agreements 

AGENCY: Federal Transit Administration, 

DOT. 

ACTION: Notice of availability. 

SUMMARY: This notice announces the 

availability of the Federal 

Transportation Administration’s (FTA) 

Fiscal Year (FY) 2015 Annual List of 

Certifications and Assurances for FTA 

Grants and Cooperative Agreements, 

which can be found at FTA’s Web site, 

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

provides a condensed list of the various 

pre-award Certifications and Assurances 

that may apply to an Applicant for FTA 

funding and its Project. This notice also 

describes both FTA’s and the 

Applicant’s responsibilities with respect 

to the Certifications and Assurances and 

highlights the differences between the 

FY 2015 Certifications and Assurances 

and those published for FY 2014. In 

addition, this notice also provides 

instructions on how and when to submit 

Certifications and Assurances for FY 

2015. Each Applicant for FTA funding 

must submit the Certifications and 

Assurances that apply to it and the 

Project or Projects for which it seeks 

funding during FY 2015. An Applicant 

typically acts through its certified or 

authorized representative (You). You, as 

the Applicant’s Certified or Authorized 

Representative, must have the authority 

to sign the Applicant’s Certifications 

and Assurances and to bind the 

Applicant’s compliance with the 

Certifications and Assurances you select 

on its behalf. 

DATES: Effective Date: These FY 2015 

Certifications and Assurances are 

effective October 1, 2014, the first day 

of FY 2015. 

FOR FURTHER INFORMATION CONTACT: The 

appropriate Regional or Metropolitan 

Office listed in this notice. For copies of 

related documents and information, see 

our Web site at http://www.fta.dot.gov 

or contact our Office of Administration 

at 202–366–4007. 

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, Maryland, 

Pennsylvania, Virginia, and West 

Virginia, Telephone # 215–656–7100 

Region 4: Atlanta 

States served: Alabama, Florida, 

Georgia, Kentucky, Mississippi, North 

Carolina, South Carolina, Tennessee, 

Territories served: Puerto Rico and 

the U.S. Virgin Islands, Telephone # 

404–865–5600 

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, Territories served: 

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 

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 

Lower Manhattan Recovery Office 

Area served: Lower Manhattan; 

Telephone # 212–668–1770 

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– 

219–3562/202–219–3565 

SUPPLEMENTARY INFORMATION: 

1. What are FTA’s responsibilities? 

The second sentence of 49 U.S.C. 

5323(n) states in pertinent part that, 

‘‘[t]he Secretary [of Transportation] shall 

publish annually a list of all 

certifications required under this 

chapter [49 U.S.C. chapter 53]. . . .’’ 

The first sentence of 49 U.S.C. 5323(n) 

states that, ‘‘[a] certification required 

under this chapter [53] and any 

additional certification or assurance 

required by law or regulation to be 

submitted to the Secretary [who 

delegated that authority to the Federal 

Transit Administrator] may be 

consolidated into a single document to 

be submitted annually as part of a grant 

application under this chapter [53].’’ 

Therefore, FTA has grouped those 

certifications and assurances into the 

following twenty-four (24) groups: 

Group 01. Required Certifications and 

Assurances for Each Applicant, 

Group 02. Lobbying, 

Group 03. Procurement and Procurement 

Systems, 

Group 04. Private Sector Protections, 

Group 05. Rolling Stock Reviews and Bus 

Testing, 

Group 06. Demand Responsive Service, 

Group 07. Intelligent Transportation Systems, 

Group 08. Interest and Financing Costs and 

Acquisition of Capital Assets by Lease, 

Group 09. Transit Asset Management Plan 

and Public Transportation Agency Safety 

Plan, 

Group 10. Alcohol and Controlled 

Substances Testing, 

Group 11. Fixed Guideway Capital 

Investment Grants Program (New Starts, 

Small Starts, and Core Capacity) and 

Capital Investment Program in Effect before 

MAP–21 Became Effective, 

Group 12. State of Good Repair Program, 

Group 13. Fixed Guideway Modernization 

Grant Program, 

Group 14. Bus and Bus Facilities Formula 

Grants Program and Bus and Bus-Related 

Equipment and Facilities Grant Program 

(Discretionary), 

Group 15. Urbanized Area Formula Grants 

Programs/Passenger Ferry Grants Program/ 

Job Access and Reverse Commute (JARC) 

Formula Grant Program, 

Group 16. Seniors/Elderly/Individuals With 

Disabilities Programs/New Freedom 

Program, 


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64876 Federal Register / Vol. 79, No. 211 / Friday, October 31, 2014 / Notices 

Group 17. Rural/Other Than Urbanized 

Areas/Appalachian Development/Over-theRoad Bus Accessibility Programs, 

Group 18. Tribal Transit Programs (Public 

Transportation on Indian Reservations 

Programs), 

Group 19. Low or No Emission/Clean Fuels 

Grant Programs, 

Group 20. Paul S. Sarbanes Transit in Parks 

Program, 

Group 21. State Safety Oversight Grant 

Program, 

Group 22. Public Transportation Emergency 

Relief Program, 

Group 23. Expedited Project Delivery Pilot 

Program, and 

Group 24. Infrastructure Finance Programs. 

Since 1995, FTA has consolidated the 

Certifications and Assurances required 

by law or regulation into a single 

document for publication in the Federal 

Register. To receive Federal funding 

appropriated or made available for the 

Grant, Cooperative Agreement, Loan, 

Loan Guarantee, and Line of Credit 

programs FTA administers, your 

Applicant must submit the annual 

Certifications and Assurances required 

for the type of funding it seeks. 

U.S. DOT’s annual appropriations for 

part of FY 2015 have been included in 

the Continuing Appropriations 

Resolution, 2015, Public Law 113–164, 

September 19, 2014. As such, FTA is 

publishing its FY 2015 Certifications 

and Assurances now. 

These FY 2015 Certifications and 

Assurances supersede any Certifications 

and Assurances published in an earlier 

fiscal year or that may have appeared as 

illustrations in an FTA circular. After 

publication in the Federal Register, 

each Applicant must submit adequate 

FY 2015 Certifications and Assurances 

before FTA may award funding to 

support that Applicant’s request for 

funding for its Project. 

2. What is the legal effect of the 

Certifications and Assurances? 

a. Pre-Award Representations. 

Certifications and Assurances are preaward representations typically required 

by Federal law or regulation that your 

Applicant must submit before FTA may 

provide Federal funding for its Project. 

In general, these FY 2015 Certifications 

and Assurances are effective October 1, 

2014, except as FTA determines 

otherwise in writing. For FY 2015, 

however, certain Certifications and 

Assurances in effect prior to MAP–21 

continue to apply to certain Projects and 

Project activities that are financed with 

funds appropriated or made available 

for FY 2012 or a previous fiscal year. 

Conversely, some Certifications and 

Assurances apply to both Programs 

funded by MAP–21 and Programs 

financed with funds appropriated or 

made available for FY 2012 or a 

previous fiscal year. Therefore, it is 

critically important that you know the 

fiscal year in which the funding 

awarded for your Applicant’s Project 

was appropriated. 

Upon publication in the Federal 

Register, FTA may not award funding 

for your Applicant’s Project until it 

submits sufficient FY 2015 

Certifications and Assurances. 

b. Binding Commitment. Your 

Applicant must comply with any 

Certifications or Assurances you make 

on its behalf, irrespective of whether 

you remain your Applicant’s authorized 

representative. When you submit its 

Certifications and Assurances to FTA, 

both you and your Applicant are 

agreeing to comply with those terms. 

For programs that require specific 

certifications, when the Certifications 

and Assurances that would apply under 

MAP–21 differ from the Certifications 

and Assurances that would apply in FY 

2012 or a previous fiscal year, FTA 

continues to include both types in the 

single Group used to facilitate funding 

your Applicant’s request(s). 

c. Length of Commitment. Your 

Applicant’s FY 2015 Certifications and 

Assurances remain in effect until its 

Project is closed or the useful life of its 

Project property has expired, whichever 

is later. If your Applicant provides 

different Certifications and Assurances 

in a later fiscal year, the later 

Certifications and Assurances will 

usually apply to its Project, except as 

FTA determines otherwise in writing. 

d. Duration. You and your Applicant 

may use the FY 2015 Certifications and 

Assurances in Appendix A to support 

applications for FTA funding until FTA 

issues its FY 2016 Certifications and 

Assurances. 

e. The FY 2015 Certifications and 

Assurances Are Not a Complete List of 

Federal Requirements. FTA cautions 

that the FY 2015 Certifications and 

Assurances focus mainly on those 

representations that your Applicant is 

required to submit to FTA before FTA 

may award Federal funds for its Project. 

Consequently, these Certifications and 

Assurances do not include many other 

Federal requirements that will apply to 

your Applicant and its Project. 

f. Federal Requirements. In addition 

to the information in this notice and 

FTA’s FY 2015 Apportionments Notice, 

FTA also strongly encourages you and 

your Applicant’s staff and prospective 

and current Third Party Participants to 

review all Federal legislation, 

regulations, and guidance that apply to 

your Applicant’s proposed Project and 

to them. The FY 2015 Master Agreement 

identifies many of those requirements 

and applicable guidance, and may be 

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

g. Penalties for False or Fraudulent 

Statements. If you provide any false or 

fraudulent statement to the Federal 

Government on behalf of your Applicant 

or yourself, you may incur both Federal 

civil and criminal penalties. See: 

(1) The Program Fraud Civil Remedies 

Act of 1986, as amended, 31 U.S.C. 3801 

et seq., 

(2) U.S. Department of Transportation 

(U.S. DOT) regulations, ‘‘Program Fraud 

Civil Remedies,’’ 49 CFR part 31, and 

(3) Section 5323(l)(1) of title 49, 

United States Code, which provides for 

Federal criminal penalties and 

termination of Federal funding should 

you provide, on behalf of your 

Applicant or yourself, a false or 

fraudulent certificate, submission, or 

statement in connection with the 

Federal transit program authorized by 

49 U.S.C. chapter 53. 

3. What are your responsibilities? 

a. Make Sure All Involved With Your 

Applicant’s Project Understand the 

Federal Requirements That Will Apply 

to Your Applicant and its Project. FTA 

strongly advises you, as your 

Applicant’s authorized representative, 

to read this notice and the Certifications 

and Assurances on the FTA Web site 

before selecting Certifications and 

Assurances on behalf of your Applicant. 

In addition to reading the information in 

this notice and on the FTA Web site, 

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

FTA also advises you to read the 

information accompanying the 

apportionment tables when FTA 

publishes its FY 2015 Apportionment 

Notices. 

Your Applicant is responsible for 

compliance with all Federal 

requirements that apply to itself and its 

Project. Nevertheless, people and 

entities participating in your 

Applicant’s Project, including 

Subrecipients, Third Party Contractors, 

and Third Party Sub-contractors (Third 

Party Participants) can seriously affect 

its ability to comply with those Federal 

requirements. Accordingly, all Third 

Party Participants involved in its Project 

need to know and should agree to 

comply with the Federal requirements 

that affect the Applicant’s Projectrelated activities and themselves. 

b. Subrecipient and Other Third Party 

Participation. Except in limited 

circumstances when FTA has 

determined otherwise, your Applicant is 

ultimately responsible for compliance 

with all Certifications and Assurances 

that you select on its behalf, even 

though much of its Project will be 

carried out by Subrecipients or other 


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Federal Register / Vol. 79, No. 211 / Friday, October 31, 2014 / Notices 64877 

Third Party Participants. Therefore, FTA 

strongly recommends that you take 

appropriate measures to ensure that 

Subrecipients and other Third Party 

Participants in your Applicant’s Project 

do not take actions that will cause your 

Applicant to violate the representations 

made in its Certifications and 

Assurances. 

c. Submit Your Applicant’s 

Certifications and Assurances. You must 

submit all Groups of the FY 2015 

Certifications and Assurances that apply 

to your Applicant and the Projects for 

which it seeks FTA funding in FY 2015. 

For your convenience, FTA 

recommends that you submit all twentyfour (24) Groups of Certifications and 

Assurances. Those provisions of the 

various Certifications and Assurances 

that do not apply to your Applicant or 

its Project will not be enforced. 

d. Obtain the Affirmation of Your 

Applicant’s Attorney. You must obtain 

an affirmation of your Applicant’s 

Attorney, signed in FY 2015, stating that 

your Applicant has sufficient authority 

under its State and local law to certify 

its compliance with the FY 2015 

Certifications and Assurances that you 

have selected on its behalf. Your 

Applicant’s Attorney must sign this 

affirmation during FY 2015. An 

Affirmation of its Attorney dated in a 

previous fiscal year is insufficient, 

unless FTA expressly determines 

otherwise in writing. 

e. When To Submit. 

(1) If your Applicant is applying for 

funding under any of the discretionary 

capital programs (e.g., New Starts, Small 

Starts, or Core Capacity Improvement), 

FTA expects to receive your Applicant’s 

FY 2015 Certifications and Assurances 

within ninety (90) days from the date of 

this publication or soon after the 

submittal of your Applicant’s request for 

FY 2015 funding. Likewise, if your 

Applicant is a current FTA recipient 

with an active Project funded with FTA 

capital or formula funds, FTA expects to 

receive your Applicant’s FY 2015 

Certifications and Assurances within 

ninety (90) days from the date of this 

publication or soon after the submittal 

of your Applicant’s request for FY 2015 

funding. 

(2) If your Applicant seeks funding 

from an FTA program other than a 

formula program or a discretionary 

capital program, e.g., for a Research, 

Development, Demonstration, and 

Deployment Project, FTA expects to 

receive your Applicant’s FY 2015 

Certifications and Assurances with the 

submission of its Application for FTA 

funding or soon thereafter. 

4. Where are FTA’s FY 2015 

Certifications and Assurances? 

a. FTA’s FY 2015 Certifications and 

Assurances are available at FTA’s Web 

site, http://www.fta.dot.gov, and 

b. TEAM-Web, FTA’s electronic 

award and management system, http:// 

ftateamweb.fta.dot.gov, at the ‘‘Cert’s & 

Assurances’’ tab of the ‘‘View/Modify 

Recipients’’ page in the ‘‘Recipients’’ 

option. 

5. What changes have been made since 

FY 2014? 

a. In the Preface, FTA is clarifying 

that these Certifications and Assurances 

apply to an Applicant for a Loan, Loan 

Guarantee, and Line of Credit as well as 

to an Applicant for a Grant or 

Cooperative Agreement, 

b. In the Preface, FTA is asking that 

each member of a team, consortium, 

joint venture, or partnership to identify 

itself and its role in the Project as a 

Recipient, Subrecipient, or Third Party 

Contractor, 

c. In the Preface, we have added a 

reference to the Highway and 

Transportation Funding Act of 2014, 

Public Law 113–159, August 8, 2014, 

the Continuing Appropriations 

Resolution, 2015, Public Law 113–164, 

September 19, 2014, and other 

Appropriations Acts or Continuing 

Resolutions funding the Department of 

Transportation during Fiscal Year 2015, 

d. In Group 01.A, Section 2, FTA has 

clarified that ‘‘Agreements’’ means 

Charter Service Agreement and School 

Bus Agreement, and 

e. In Group 01A, Section 3, FTA is 

clarifying that these Certifications and 

Assurances apply to an Applicant for a 

Loan, Loan Guarantee, and Line of 

Credit as well as to an Applicant for a 

Grant or Cooperative Agreement. 

6. How do you submit the Certifications 

and Assurances? 

a. Electronic Submission. Except in 

rare circumstances and if permitted by 

FTA, you must submit your Applicant’s 

FY 2015 Certifications and Assurances 

in TEAM-Web. To submit the 

Certifications and Assurances, you must 

be registered in TEAM-Web. 

The TEAM-Web ‘‘Recipients’’ option 

at the ‘‘Cert’s & Assurances’’ tab of the 

‘‘View/Modify Recipients’’ page 

contains fields for individually selecting 

among the 24 Groups of Certifications 

and Assurances that apply to your 

Applicant and also a designated field for 

selecting all 24 Groups, of which only 

the requirements that apply to you or 

your Applicant will be enforced. 

The ‘‘Cert’s & Assurances’’ tab has a 

field for you to enter your personal 

identification number (PIN), which is 

your electronic signature. There is also 

a field for the Attorney’s PIN, affirming 

your Applicant’s legal authority to make 

and comply with the Certifications and 

Assurances you have selected on its 

behalf. You may enter your PIN in place 

of the Attorney’s PIN, provided that 

your Applicant has on file a similar 

affirmation that has been written, dated, 

and signed by its Attorney in FY 2015. 

b. Paper Submission. You may submit 

your Applicant’s FY 2015 Certifications 

and Assurances on paper only if you 

cannot submit them electronically in 

TEAM-Web and FTA agrees to accept 

your Applicant’s Signature Pages in a 

typewritten hard copy. If you cannot 

submit your Applicant’s Certifications 

and Assurances electronically and if 

FTA so permits, you must submit the 

Signature Pages at the end of the 

Certifications and Assurances indicating 

the Groups of Certifications and 

Assurances your Applicant is providing. 

You may place a single mark in the 

designated space to signify your 

Applicant’s agreement to comply with 

all Groups of Certifications and 

Assurances to the extent that they apply 

to it, or select the specific Groups of 

Certifications and Assurances that apply 

to it and its Projects. 

You must enter your signature on the 

last Signature Page and provide an 

Affirmation by your Applicant’s 

Attorney concerning your Applicant’s 

legal capacity to make and comply with 

the FY 2015 Certifications and 

Assurances selected on its behalf. You 

may enter your signature in place of the 

Attorney’s signature in the Affirmation 

by Applicant’s Attorney part of the 

Signature Page, provided that your 

Applicant has on file a similar 

affirmation, written, dated, and signed 

by its Attorney in FY 2015. 

For more information, you may 

contact the appropriate FTA Regional or 

Metropolitan Office. 

Authority. 49 U.S.C. chapter 53; the 

Moving Ahead for Progress in the 21st 

Century Act (MAP–21) Pub. L. 112–141, June 

6, 2012; other Federal laws administered by 

FTA; U.S. DOT and FTA regulations codified 

or to be codified in Title 49, Code of Federal 

Regulations; and FTA Circulars. 

Therese W. McMillan, 

Acting Administrator. 

[FR Doc. 2014–25942 Filed 10–30–14; 8:45 am] 

BILLING CODE P 


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