Federal Fiscal Year 2010 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements, 53544-53578 [E9-24922]

Download as PDF sroberts on DSKD5P82C1PROD with NOTICES 53544 Federal Register / Vol. 74, No. 200 / Monday, October 19, 2009 / Notices 49 CFR 387.9; and motor carrier of passengers—49 CFR 387.33). FMCSA and the public can verify that a motor carrier of property or passengers has obtained, and has in effect, the required minimum levels of financial responsibility, by use of the information enclosed within these documents. Title: Financial Responsibility for Motor Carrier of Passengers and Motor Carriers of Property. OMB Control Number: 2126–0008. Type of Request: Revision of a currently-approved information collection. Respondents: Insurance and surety companies of motor carriers of property (Forms MCS–90 and MCS–82) and motor carriers of passengers (Forms MCS–90B and MCS–82B). Estimated Number of Respondents: 175,338. Estimated Time per Response: The FMCSA estimates it takes two minutes to complete the Endorsement for Motor Carrier Policies of Insurances for Public Liability or three minutes for the Motor Carrier Public Liability Surety Bond; and one minute to place either document on board the vehicle (foreigndomiciled motor carriers only) [49 CFR 387(f)]. These endorsements are maintained at the motor carrier’s principal place of business [49 CFR 387.7(iii)(d)]. Expiration Date: March 31, 2010. Frequency of Response: Upon creation, change or replacement of an insurance policy or surety bond. Estimated Total Annual Burden: 4, 056 burden hours [182 hours for Passenger Carriers + 3,401 hours for Property Carriers + 33 hours for Property Carrier Surety Bonds) + 440 hours for placing financial responsibility documents in Canadadomiciled and Mexico- and Non-North America (NNA)-domiciled carriers]. Public Comments Invited: You are asked to comment on any aspect of this information collection, including: (1) Whether the proposed collection is necessary for the performance of FMCSA’s functions; (2) the accuracy of the estimated burden; (3) ways for the FMCSA to enhance the quality, usefulness, and clarity of the collected information; and (4) ways that the burden could be minimized without reducing the quality of the collected information. The agency will summarize or include your comments in the request for OMB’s clearance of this information collection. VerDate Nov<24>2008 16:51 Oct 16, 2009 Jkt 220001 Issued on: October 9, 2009. David Anewalt, Acting Associate Administrator, for Research and Information Technology. [FR Doc. E9–25071 Filed 10–16–09; 8:45 am] BILLING CODE 4910–EX–P DEPARTMENT OF TRANSPORTATION Federal Transit Administration Federal Fiscal Year 2010 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) 2010 applicable to the various Federal assistance programs that FTA will administer during that Federal FY. FTA’s Certifications and Assurances for Federal FY 2010 reflect Federal statutory, regulatory, and programmatic changes that have now become effective. DATES: Effective Date: These FTA Certifications and Assurances are effective on October 1, 2009, the first day of Federal FY 2010. 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 202–366– 4022. Region 1: Boston States served: Connecticut (bus only), Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont. Telephone # 617–494–2055. Region 2: New York States served: Connecticut (rail only), 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. PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 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– 219–3562/219–3565. SUPPLEMENTARY INFORMATION: 1. Purposes The purposes of this Notice are to: E:\FR\FM\19OCN1.SGM 19OCN1 Federal Register / Vol. 74, No. 200 / Monday, October 19, 2009 / Notices sroberts on DSKD5P82C1PROD with NOTICES • Publish FTA’s Federal FY 2010 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 FTA Certifications and Assurances now in effect. • Identify locations where these FTA Certifications and Assurances may be viewed, and • Provide directions for submitting these FTA 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 full-year appropriations for Federal FY 2010 were not signed into law on October 1, 2010 (the first day of Federal FY 2010), and have not yet been signed into law, FTA is proceeding with publication of its Certifications and Assurances for FY 2010. 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 2010 Certifications and Assurances to FTA applicable to all projects for which the Applicant seeks funding during Federal FY 2010. FTA requests that an Applicant 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 2010. Selecting and submitting these Certifications and Assurances to FTA signifies the Applicant’s intent and ability to comply with all applicable provisions thereof. In order 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 2010) affirmation signed by the Applicant’s attorney affirming the Applicant’s legal authority to certify its compliance with the FTA Certifications VerDate Nov<24>2008 16:51 Oct 16, 2009 Jkt 220001 and Assurances that the Applicant has selected. The Applicant’s attorney must sign this affirmation during Federal FY 2010. 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 Federal FY is not acceptable, unless FTA expressly determines otherwise in writing. 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 of itself and of each of its subrecipients, with the provisions of the FTA Certifications and Assurances it has selected. Therefore, 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 participating in the project, 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 2010 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 Certifications and Assurances for Federal FY 2010. 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/ 2010-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 PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 53545 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 2010. 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 Applicant 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 Applicant 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 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 award Federal financial assistance to an Applicant. (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 E:\FR\FM\19OCN1.SGM 19OCN1 sroberts on DSKD5P82C1PROD with NOTICES 53546 Federal Register / Vol. 74, No. 200 / Monday, October 19, 2009 / Notices 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 2010 at http:// www.fta.dot.gov/documents/16Master.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 2010. 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 2010 pertaining to itself and its project as required by Federal laws and regulations. The Applicant’s Certifications and Assurances for Federal FY 2010 will be applicable to all projects for which it seeks Federal assistance during Federal FY 2010 and through the next Federal FY until FTA issues its annual Certifications and Assurances for Federal FY 2011. c. Federal FY 2010 Changes. Apart from minor editorial revisions, significant matters concerning FTA’s Certifications and Assurances include the following: (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 2010 is identified as http://www.fta.dot.gov/documents/16Master.pdf. (2) Certification (01)F.5(g) has been revised to substitute a more specific citation to the confidentiality provisions of the Public Health Service Act of 1912, as amended, in lieu of the general citation to the Public Health Service Act of 1912. (3) The text of Certification (02), ‘‘Lobbying Certification,’’ has been revised for consistency with terms used in the Transportation Infrastructure Finance and Innovation Act, 23 U.S.C. chapter 6, and to add a reference to OMB’s Standard Form-LLL, ‘‘Disclosure of Lobbying Activities,’’ Rev. 7–97, currently in use. (4) The heading of Certification (23) has been changed from ‘‘Infrastructure Finance Projects’’ to ‘‘TIFIA Projects’’ for clarity. The acronym ‘‘TIFIA’’ has thus been substituted for the term ‘‘Infrastructure Finance’’ where used previously. (5) Although the American Recovery and Reinvestment Act of 2009, Public Law 111–5, February 17, 2009 (‘‘Recovery Act’’) requires the VerDate Nov<24>2008 16:51 Oct 16, 2009 Jkt 220001 submission of certain certifications, as a condition of Recovery Act funding, Recovery Act certifications are submitted individually and separately as required by that Act, rather than as a part of FTA’s Annual Certifications and Assurances. For that reason, we have not added a new category for annual Recovery Act certifications and assurances. 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 2010 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 for Federal FY 2010, whichever is earlier. In addition, FTA encourages Applicants seeking Federal assistance for other projects to submit their FTA Certifications and Assurances to FTA as soon as possible to expedite awards of FTA assistance. 4. Ways To Submit FTA 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 containing 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 TeamWeb. An Applicant registered in TEAM– Web must submit its FTA 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 selected. In addition, there is a field for the Applicant’s attorney to enter his or her PIN, affirming the Applicant’s legal PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 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 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 2010. 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 2010. 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), as amended by the SAFETEA–LU Technical Corrections Act, 2008, Public Law 110–244, June 6, 2008; 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. Issued in Washington, DC, this 8th day of October 2009. Peter M. Rogoff, Administrator. 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Notices [FR Doc. E9–24922 Filed 10–16–09; 8:45 am] BILLING CODE 4910–57–C DEPARTMENT OF TRANSPORTATION Federal Motor Carrier Safety Administration [Docket No. FMCSA–2009–0271] Identification of Interstate Motor Vehicles: New York City, Cook County and New Jersey Tax Identification Requirements; Petition for Determination AGENCY: Federal Motor Carrier Safety Administration (FMCSA), Department of Transportation (DOT). ACTION: Notice of Petition for Determination; request for comments. sroberts on DSKD5P82C1PROD with NOTICES SUMMARY: FMCSA is inviting all interested persons to comment on three petitions submitted by the American Trucking Associations (ATA) requesting determinations that the Commercial Motor Vehicle (CMV) identification requirements imposed by the State of New Jersey, New York City, and Cook County, Illinois are preempted by Federal law. The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA–LU) prohibits States and their political subdivisions from requiring motor carriers to display in or on CMVs any form of identification other than forms required by the Secretary of Transportation, with certain exceptions. FMCSA seeks comment on whether the credential display requirements described below are preempted or whether they qualify for the relevant exception codified at 49 U.S.C. 14506(b)(3). DATES: Comments are due on or before November 18, 2009. ADDRESSES: You may submit comments identified by the Federal Docket Management System Number in the heading of this document by any of the following methods. Do not submit the same comments by more than one method. However, to allow effective public participation before the comment period deadline, the Agency encourages use of the Web site that is listed first. It will provide the most efficient and timely method of receiving and processing your comments. • Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting comments. • Fax: 1–202–493–2251. • Mail: Docket Management Facility; U.S. Department of Transportation, VerDate Nov<24>2008 16:51 Oct 16, 2009 Jkt 220001 Room W12–140, 1200 New Jersey Avenue, SE., Washington, DC 20590– 0001. • Hand Delivery: Ground floor, Room W12–140, 1200 New Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., e.t., Monday through Friday, except Federal holidays. Instructions: All submissions must include the Agency name and docket number for this action. Note that all comments received will be posted without change to http:// www.regulations.gov, including any personal information provided. Refer to the Privacy Act heading on http:// www.regulations.gov for further information. Public Participation: The regulations.gov system is generally available 24 hours each day, 365 days each year. You can find electronic submission and retrieval help and guidelines under the ‘‘Help’’ section of the Web site. For notification that FMCSA received the comments, please include a self-addressed, stamped envelope or postcard, or print the acknowledgement page that appears after submitting comments on line. Copies or abstracts of all documents referenced in this notice are in the docket: FMCSA–2009–0271. For access to the docket to read background documents or comments received, go to http://www.regulations.gov at any time or to Room W12–140, 1200 New Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., e.t., Monday through Friday, except Federal holidays. All comments received before the close of business on the comment closing date indicated above will be considered and will be available for examination in the docket at the above address. Comments received after the closing date will be considered to the extent practicable. FMCSA may, however, issue a final determination at any time after the close of the comment period. In addition to late comments, FMCSA will also continue to file in the public docket relevant information that becomes available after the comment closing date. Interested persons should monitor the public docket for new material. FOR FURTHER INFORMATION CONTACT: Genevieve D. Sapir, Office of the Chief Counsel, Federal Motor Carrier Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590, (202) 366–7056; e-mail Genevieve.Sapir@dot.gov. SUPPLEMENTARY INFORMATION: Background New Jersey’s Tax Code requires all motor carriers hauling, transporting, or PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 delivering fuel to display a Motor Fuel Transport License Plate and annual Transport License Certificate. This requirement applies to all motor carriers hauling, transporting, or delivering fuel in New Jersey regardless of their State of domicile or registration. New Jersey Statutes Annotated § 54:39–41 and § 54:39–53. New York City’s Administrative Code requires CMVs used principally in the city or used principally in connection with a business carried on within the city to pay a tax and display a stamp. The requirement appears to apply whether or not the CMV is registered to an address in New York City.1 Cook County’s Code of Ordinances requires motor vehicle owners residing within the unincorporated area of Cook County to: (a) Display a window sticker showing payment of fees; and (b) paint business vehicle identification information on their vehicles. Article XIV of chapter 74 of the Cook County Code of Ordinances is referred to as the ‘‘Cook County Wheel Tax on Motor Vehicles Ordinance,’’ and was amended most recently on March 4, 2009. Section 4306 of SAFETEA–LU, codified at 49 U.S.C. 14506(a), prohibits States from requiring motor carriers to display in or on CMVs any form of identification other than forms required by the Secretary of Transportation. However, § 14506(b)(3) provides, in part, that ‘‘a State may continue to require display of credentials that are required * * * under a State law regarding motor vehicle license plates or other displays that the Secretary determines are appropriate.’’ This authority has been delegated to FMCSA by 49 CFR 1.73 (a)(7). FMCSA believes that Congress intended to limit the exception at § 14506(b)(3) to two categories of requirements. The first includes identification requirements related to motor vehicle license plates. The second includes any other identification displays that the Secretary of Transportation approves. FMCSA seeks comment on whether the referenced identification display requirements are preempted by Federal law. Specifically, the Agency seeks comment on: (1) Whether New Jersey’s, New York City’s, and/or Cook County’s credential display requirements qualify as identification requirements related to motor vehicle license plates; and/or (2) whether there is any other reason FMCSA should consider approving these requirements under 49 U.S.C. 1 Chapter 8 of Title 11 of the New York City Administrative Code Tax on Commercial Motor Vehicles and Motor Vehicles for Transportation of Passengers. E:\FR\FM\19OCN1.SGM 19OCN1

Agencies

[Federal Register Volume 74, Number 200 (Monday, October 19, 2009)]
[Notices]
[Pages 53544-53578]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-24922]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Federal Fiscal Year 2010 Annual List of Certifications and 
Assurances for Federal Transit Administration Grants and Cooperative 
Agreements

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice.

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SUMMARY: 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) 2010 applicable to the various Federal assistance programs that FTA 
will administer during that Federal FY. FTA's Certifications and 
Assurances for Federal FY 2010 reflect Federal statutory, regulatory, 
and programmatic changes that have now become effective.

DATES: Effective Date: These FTA Certifications and Assurances are 
effective on October 1, 2009, the first day of Federal FY 2010.

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 202-366-4022.

Region 1: Boston

    States served: Connecticut (bus only), Maine, Massachusetts, New 
Hampshire, Rhode Island, and Vermont. Telephone  617-494-2055.

Region 2: New York

    States served: Connecticut (rail only), 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  
202-219-3562/219-3565.

SUPPLEMENTARY INFORMATION:

1. Purposes

    The purposes of this Notice are to:

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     Publish FTA's Federal FY 2010 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 FTA Certifications and 
Assurances now in effect.
     Identify locations where these FTA Certifications and 
Assurances may be viewed, and
     Provide directions for submitting these FTA 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 full-year appropriations for Federal FY 2010 were 
not signed into law on October 1, 2010 (the first day of Federal FY 
2010), and have not yet been signed into law, FTA is proceeding with 
publication of its Certifications and Assurances for FY 2010.
    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 2010 Certifications and Assurances to FTA applicable 
to all projects for which the Applicant seeks funding during Federal FY 
2010.
    FTA requests that an Applicant 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 2010. Selecting and submitting these 
Certifications and Assurances to FTA signifies the Applicant's intent 
and ability to comply with all applicable provisions thereof.
    In order 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 2010) affirmation signed by the Applicant's 
attorney affirming the Applicant's legal authority to certify its 
compliance with the FTA Certifications and Assurances that the 
Applicant has selected. The Applicant's attorney must sign this 
affirmation during Federal FY 2010. 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 Federal FY is not acceptable, 
unless FTA expressly determines otherwise in writing.
    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 of itself 
and of each of its subrecipients, with the provisions of the FTA 
Certifications and Assurances it has selected. Therefore, 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 participating 
in the project, 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 2010

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 Certifications and Assurances for Federal FY 2010. 
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/2010-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 2010.
    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 Applicant 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 Applicant 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 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 award 
Federal financial assistance to an Applicant.
    (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

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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 2010 at 
http://www.fta.dot.gov/documents/16-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 
2010. 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 2010 pertaining to itself 
and its project as required by Federal laws and regulations. The 
Applicant's Certifications and Assurances for Federal FY 2010 will be 
applicable to all projects for which it seeks Federal assistance during 
Federal FY 2010 and through the next Federal FY until FTA issues its 
annual Certifications and Assurances for Federal FY 2011.
    c. Federal FY 2010 Changes. Apart from minor editorial revisions, 
significant matters concerning FTA's Certifications and Assurances 
include the following:
    (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 2010 is identified as http://www.fta.dot.gov/documents/16-Master.pdf.
    (2) Certification (01)F.5(g) has been revised to substitute a more 
specific citation to the confidentiality provisions of the Public 
Health Service Act of 1912, as amended, in lieu of the general citation 
to the Public Health Service Act of 1912.
    (3) The text of Certification (02), ``Lobbying Certification,'' has 
been revised for consistency with terms used in the Transportation 
Infrastructure Finance and Innovation Act, 23 U.S.C. chapter 6, and to 
add a reference to OMB's Standard Form-LLL, ``Disclosure of Lobbying 
Activities,'' Rev. 7-97, currently in use.
    (4) The heading of Certification (23) has been changed from 
``Infrastructure Finance Projects'' to ``TIFIA Projects'' for clarity. 
The acronym ``TIFIA'' has thus been substituted for the term 
``Infrastructure Finance'' where used previously.
    (5) Although the American Recovery and Reinvestment Act of 2009, 
Public Law 111-5, February 17, 2009 (``Recovery Act'') requires the 
submission of certain certifications, as a condition of Recovery Act 
funding, Recovery Act certifications are submitted individually and 
separately as required by that Act, rather than as a part of FTA's 
Annual Certifications and Assurances. For that reason, we have not 
added a new category for annual Recovery Act certifications and 
assurances.
    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 2010 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 for Federal FY 2010, 
whichever is earlier. In addition, FTA encourages Applicants seeking 
Federal assistance for other projects to submit their FTA 
Certifications and Assurances to FTA as soon as possible to expedite 
awards of FTA assistance.

4. Ways To Submit FTA 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 containing 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 FTA 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 
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 
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 
2010.
    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 2010.
    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), as amended by the SAFETEA-LU Technical Corrections 
Act, 2008, Public Law 110-244, June 6, 2008; 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.

    Issued in Washington, DC, this 8th day of October 2009.
Peter M. Rogoff,
Administrator.
BILLING CODE 4910-57-P

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[FR Doc. E9-24922 Filed 10-16-09; 8:45 am]
BILLING CODE 4910-57-C