[Federal Register Volume 79, Number 21 (Friday, January 31, 2014)]
[Notices]
[Pages 5515-5518]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-01888]


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DEPARTMENT OF TRANSPORTATION[REMOVED PRIVATE FIELD]

Federal Transit Administration


Federal Fiscal Year 2014 Annual List of Certifications and 
Assurances for Federal Transit Administration Grants and Cooperative 
Agreements

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice of availability.

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SUMMARY: This notice announces the availability of the Federal 
Transportation Administration's (FTA) Fiscal Year (FY) 2014 Annual List 
of Certifications and Assurances for FTA Grants and Cooperative 
Agreements. See FTA Web site, http://www.fta.dot.gov. In this notice, 
FTA provides a consolidated list of the various pre-award 
Certifications and Assurances that may apply to an Applicant for FTA 
funding and its Project. Each Applicant for FTA funding must submit the 
Certifications and Assurances that apply to itself and the Project(s) 
for which it seeks funding during the fiscal year in which it requests 
that funding. An Applicant typically acts through its certified or 
authorized representative (You). You, as the Authorized Representative, 
must have the authority to, among other things, sign the Applicant's 
Certifications and Assurances and bind the Applicant's compliance. 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 2014 Certifications and Assurances and those 
published for FY 2013. In addition, this Notice also provides 
instructions on how and when to submit Certifications and Assurances 
for FY 2014.

DATES: Effective Date: These FY 2014 Certifications and Assurances are 
effective October 1, 2013, the first day of FY 2014.

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,

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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.
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 
GrantsProgram, and Job Access and Reverse Commute (JARC) Program.
Group 16. Seniors/Elderly/Individuals with Disabilities Programs and 
New Freedom Program.
Group 17. Rural/Other Than Urbanized Areas/Appalachian Development/
Over-the-Road Bus Accessibility Programs.
Group 18. Public Transportation on Indian Reservations Programs (also 
known as the Tribal Transit 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 Program.
Group 22. Public Transportation Emergency Relief Program.
Group 23. Expedited Project Delivery Pilot Program.
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 and cooperative agreement 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 FY 2014 have been included in 
the Consolidated Appropriations Act, 2014.\1\ As such, FTA is 
publishing its FY 2014 Certifications and Assurances now. These FY 2014 
Certifications and Assurances supersede any Certifications and 
Assurances published in an earlier fiscal year or that may have 
appeared as illustrations in any discontinued FTA circular. After 
publication in the Federal Register, each Applicant must submit 
adequate FY 2014 Certifications and Assurances before FTA may award 
funding to support that Applicant's request for funding for its 
Project.
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    \1\ A Public Law Number has not been assigned to the 
Consolidated Appropriations Act, 2014, as of the date of this 
notice's issuance.
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2. What Is the Legal Effect of the Certifications and Assurances?

    a. Pre-Award Representations. Certifications and Assurances are 
pre-award 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 2014 
Certifications and Assurances are effective October 1, 2013, except as 
FTA determines otherwise in writing. For FY 2014, 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 2014 
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 2014 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.

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    d. Duration. You and your Applicant may use the FY 2014 
Certifications and Assurances in Appendix A to support applications for 
FTA funding until FTA issues its FY 2015 Certifications and Assurances.
    e. The FY 2014 Certifications and Assurances are Not a Complete 
List of Federal Requirements. FTA cautions that the FY 2014 
Certifications and Assurances focus mainly on those representations 
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 2014 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 2014 Master Agreement identifies many of 
those requirements and applicable guidance, which can 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

    As your Applicant's authorized representative, FTA strongly advises 
you to read this Notice and the Certifications and Assurances in its 
Appendix A before selecting Certifications and Assurances on behalf of 
your Applicant. In addition to reading the information in this Notice 
and its Appendix A (located at our Web site, http://www.fta.dot.gov), 
FTA also advises you to read the information accompanying the 
apportionment tables when FTA publishes its FY 2014 Apportionments 
Notice.
    Your Applicant is responsible for compliance with all Federal 
requirements that apply to itself and its Project. Nevertheless, people 
and organizations participating in its 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. Therefore, all Third Party 
Participants involved in its Project need to know and agree to comply 
with the Federal requirements that affect the Applicant's Project 
related 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 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 2014 Certifications and 
Assurances that apply to your Applicant and the Projects for which it 
seeks FTA funding in FY 2014. For your convenience, FTA recommends that 
you submit all 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 2014, stating that your Applicant has sufficient authority under 
its State and local law to certify its compliance with the FY 2014 
Certifications and Assurances that you have selected on its behalf. 
Your Applicant's Attorney must sign this affirmation during FY 2014. 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 2014 
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 2014 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 2014 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 2014 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 2014 Certifications and 
Assurances with the submission of its Application for FTA funding or 
soon thereafter.

4. Where are FTA's FY 2014 certifications and assurances?

    a. Appendix A of this Notice, which is 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 2013?

FTA has made the following changes:

    a. Transferred Group 03, ``Procurement and Procurement Systems,'' 
and Transferred Group 04, Private Sector Protections,'' FTA reversed 
the positions of these two groups, consistent with the customary 
placement in effect before FY 2013,
    b. Transferred Group 04, ``Private Sector Protections,'' Subgroup 
04.C, ``School Bus Agreement.'' FTA amended subgroup 04.C to add that, 
as a remedy, FTA may require an Applicant or Third Party Participant 
that violates FTA's School Bus regulations to take such remedial 
measures as FTA considers appropriate,
    c. Group 10, ``Alcohol and Controlled Substance Testing.'' To 
comply with 49 U.S.C. 5331, as amended by MAP-21, FTA amended its 
``Prevention of

[[Page 5518]]

Alcohol Misuse and Prohibited Drug Use in Transit Operations'' 
regulations, 49 CFR part 655, subpart I, specifically 49 CFR 655.83, to 
require your Applicant to certify that its Subrecipients and Third 
Party Contractors will comply with the regulation,
    d. Group 15, ``Urbanized Area Formula Programs, Passenger Ferry 
Grants Program, and Job Access and Reverse Commute (JARC) Program.'' 
FTA added a new subgroup 15.C to provide Certifications and Assurances 
for the Passenger Ferry Grants Program, 49 U.S.C. 5307(h), as amended 
by MAP-21,
    e. Group 18, ``Public Transportation on Indian Reservations 
Programs (also known as the Tribal Transit Programs.).'' FTA added the 
requirements to both the Program as amended by MAP-21, and the former 
Program in effect in FY 2012 or a previous fiscal year, that FTA's Buy 
America requirements under 49 U.S.C. 5323(j), as amended by MAP-21, 
would apply to Tribal Transit Projects; consequently, FTA consolidated 
both sets of Certifications and Assurances into a single program, and
    f. Group 21, ``State Safety Oversight Grant Program.'' FTA adopted 
appropriate certifications for this program.

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 2014 
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 2014.
    b. Paper Submission. You may submit your Applicant's FY 2014 
Certifications and Assurances on paper only if you cannot submit them 
electronically in TEAM-Web and FTA agrees to accept hard copy 
submissions. In that case, you must submit the Signature Page(s) in 
Appendix A of the Certifications and Assurances indicating the Groups 
of Certifications and Assurances your Applicant is providing if you 
cannot submit them electronically. 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 Signature Page(s) and provide 
an Affirmation by your Applicant's Attorney concerning your Applicant's 
legal capacity to make and comply with the FY 2014 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 2014.
    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,
Deputy Administrator.
[FR Doc. 2014-01888 Filed 1-30-14; 8:45 am]
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