Federal Fiscal Year 2013 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements, 10253-10260 [2013-03335]
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Federal Register / Vol. 78, No. 30 / Wednesday, February 13, 2013 / Notices
examination in 2012, his optometrist
noted, ‘‘In my opinion, Mr. Normington
has sufficient vision to perform the
driving tasks required to safely operate
a commercial vehicle.’’ Mr. Normington
reported that he has driven straight
trucks for 14 years, accumulating
280,000 miles, and tractor-trailer
combinations for 14 years, accumulating
140,000 miles. He holds a Class A CDL
from Wyoming. His driving record for
the last 3 years shows no crashes and no
convictions for moving violations in a
CMV.
Thomas L. Terrell
Mr. Terrell, 57, has had a chronic
retinal detachment in his left eye due to
a traumatic incident in 1984. The best
corrected visual acuity in his right eye
is 20/20, and in his left eye, no light
perception. Following an examination
in 2012, his ophthalmologist noted, ‘‘He
has sufficient vision in his right eye and
unless he has some future problem in
the right eye, he should have no
problems performing his duties of
operating a commercial vehicle.’’ Mr.
Terrell reported that he has driven
straight trucks for 39 years,
accumulating 78,000 miles, and tractortrailer combinations for 39 years,
accumulating 273,000 miles. He holds a
Class A CDL from Iowa. His driving
record for the last 3 years shows no
crashes and no convictions for moving
violations in a CMV.
mstockstill on DSK4VPTVN1PROD with NOTICES
Request for Comments
In accordance with 49 U.S.C. 31136(e)
and 31315, FMCSA requests public
comment from all interested persons on
the exemption petitions described in
this notice. The Agency will consider all
comments received before the close of
business March 15, 2013. Comments
will be available for examination in the
docket at the location listed under the
ADDRESSES section of this notice. The
Agency will file comments received
after the comment closing date in the
public docket, and will consider them to
the extent practicable.
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.
Issued on: February 4, 2013.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2013–03337 Filed 2–12–13; 8:45 am]
BILLING CODE 4910–EX–P
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2013 Annual List of
Certifications and Assurances for
Federal Transit Administration Grants
and Cooperative Agreements
AGENCY:
Federal Transit Administration,
DOT.
ACTION:
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
Notice of availability.
The Federal Transit
Administration (FTA) is directed to
publish annually a list of all
certifications required under 49 U.S.C.
Chapter 53. For Federal Fiscal Year
2013 (FY 2013), FTA consolidated and
updated the various pre-award
Certifications and Assurances required
to be submitted by an Applicant seeking
an award of Federal public
transportation assistance (funding)
during FY 2013. This notice announces
the availability of the FY 2013 Annual
List of Certifications and Assurances for
Federal Transit Administration Grants
and Cooperative Agreements and the
FTA Master Agreement, both of which
are available at the FTA Web site, https://
www.fta.dot.gov. This notice also
highlights the changes made to FTA’s
Certifications and Assurances for FY
2013 that differ from previous
provisions and also provides
instructions on how and when to submit
Certifications and Assurances for FY
2013.
DATES: Effective Date: These FY 2013
Certifications and Assurances are
effective October 1, 2012, the first day
of Federal Fiscal Year (FY) 2013.
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 https://
www.fta.dot.gov or contact our Office of
Administration at 202–366–4007.
SUMMARY:
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;
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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
‘‘The Secretary [of Transportation] shall
publish annually a list of all
certifications required under this
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chapter [49 U.S.C. chapter 53] * * *.’’
Below is our list of certifications
required for our programs:
01. Required Certifications and
Assurances for Each Applicant.
02. Lobbying.
03. Private Sector Protections.
04. Procurement and Procurement
System.
05. Rolling Stock Reviews and Bus
Testing.
06. Demand Responsive Service.
07. Intelligent Transportation
Systems.
08. Interest and Finance Costs and
Leasing Costs.
09. Transit Asset Management and
Agency Safety Plans.
10. Alcohol and Controlled
Substances Testing.
11. Fixed Guideway Capital
Investment Program (New Starts, Small
Starts, and Core Capacity) and Capital
Investment Program in Effect before
MAP–21.
12. State of Good Repair Program.
13. Fixed Guideway Modernization
Grant Program.
14. Bus/Bus Facilities Programs.
15. Urbanized Area Formula Programs
and Job Access and Reverse Commute
(JARC) Program.
16. Seniors/Elderly/Individuals with
Disabilities Programs and New Freedom
Program.
17. Rural/Other Than Urbanized
Areas/Appalachian Development/Overthe-Road Bus Accessibility Programs.
18. Public Transportation on Indian
Reservations and ‘‘Tribal Transit
Programs’’.
19. Low or No Emission/Clean Fuels
Grant Programs.
20. Paul S Sarbanes Transit in Parks
Program.
21. State Safety Oversight Program.
22. Public Transportation Relief
Program.
23. Expedited Project Delivery Pilot
Program.
24. Infrastructure Finance Programs.
Since 1995, we have consolidated
Certifications and Assurances into a
single document for publication in the
Federal Register. To receive Federal
funding made available or appropriated
for the grant and cooperative agreement
programs we administer, your Applicant
must submit the annual Certifications
and Assurances required for the type of
funding your Applicant is seeking. We
are now publishing our FY 2013
Certifications and Assurances, after our
Federal Register publication of our
‘‘Notice of FTA Transit Program
Changes, Authorized Funding Levels
and Implementation of the Moving
Ahead for Progress in the 21st Century
Act (MAP–21) and FTA Fiscal Year
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2013 Apportionments, Allocations,
Program Information and Interim
Guidance,’’ 77 FR 63670, October 16,
2012 (FTA FY 2013 Apportionments
Notice).
In addition to reading the information
in this Notice and its Appendix A
(located at our Web site, https://
www.fta.dot.gov) we strongly advise
your Applicant’s certified or authorized
representative (you) to read the
information accompanying the
apportionment tables in the FTA FY
2013 Apportionments Notice,
particularly in light of the following
legislation signed into law during FY
2012:
a. The Moving Ahead for Progress in
the 21st Century Act (MAP–21) Pub. L.
112–141, July 6, 2012, which is FTA’s
most recent authorizing legislation, and
b. The Continuing Appropriations
Resolution, 2013 (CR), Pub. L. 112–175,
September 28, 2012, which provides
appropriations to FTA for October 1,
2012 through March 27, 2013.
2. What is Their Legal Effect?
a. With Certain Exceptions, the Latest
FTA Certifications and Assurances
Control. 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 a
Project. Typically, FTA’s FY 2013
Certifications and Assurances have
superseded any FTA Certifications and
Assurances published in an earlier fiscal
year, except as FTA determines
otherwise in writing. Our annual
Certifications and Assurances also
supersede other Certifications and
Assurances that may have appeared as
illustrations in a discontinued FTA
circular. For this year, however, certain
Certifications and Assurances in effect
before MAP–21 became effective will
continue to apply to certain Projects and
Project activities. For this reason, our
Certifications and Assurances have
increased to accommodate requirements
for Programs funded by MAP–21 and
Programs funded in 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 Project was
appropriated.
After publication in the Federal
Register, your Applicant must submit
sufficient FY 2013 Certifications and
Assurances required by Federal law or
regulations before FTA may award
Federal funds to support your
Applicant’s Project.
b. Binding Commitment. An
Applicant typically acts through its
certified or authorized representative. In
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that case, your Applicant will be
required to comply with any
Certifications or Assurances you make
on its behalf irrespective of how long
you remain your Applicant’s authorized
representative. When you provide your
Applicant’s Certifications and
Assurances to FTA, both you and your
Applicant are agreeing to comply with
their terms. As a result, when
Certifications and Assurances that
would apply under MAP–21 differ from
Certifications and Assurances that
would apply in FY 2012 or a previous
fiscal year, we have included both types
in the single Group used to support the
funding your Applicant’s requests.
c. Length of Commitment. Your
Applicant’s FY 2013 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 generally
will apply to its Project, except as we
determine otherwise in writing.
d. Duration. You and your Applicant
may use the FY 2013 Certifications and
Assurances in Appendix A to support
applications for FTA funding until we
issue our FY 2014 Certifications and
Assurances.
e. Our FY 2013 Certifications and
Assurances are an Incomplete List of
Federal Requirements. We caution that
our FY 2013 Certifications and
Assurances focus mainly on those
representations your Applicant is
required to present to FTA before FTA
may award Federal funds for your
Applicant’s Project. Consequently, our
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 our
FTA FY 2013 Apportionments Notice,
we also strongly encourage you and
your Applicant’s staff and Third Party
Participants to review all Federal
legislation, regulations, and guidance
that apply to your Applicant and its
proposed Project. Our FY 2013 Master
Agreement identifies many of those
requirements and can be accessed at
https://www.fta.dot.gov.
g. Penalties for False or Fraudulent
Statements. If you or your Applicant
provides any false or fraudulent
statement to the Federal government,
you or your Applicant 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.,
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(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,
U.S.C., which provides for Federal
criminal penalties and termination of
Federal funding should you or your
Applicant provide 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 Understands the
Federal Requirements That Will Apply
to Your Applicant and Its Project.
Your Applicant will be responsible
for compliance with all Federal
requirements that apply to itself and its
Project. Nevertheless, people and
organizations participating in your
Applicant’s Project (Third Party
Participants) can seriously affect your
Applicant’s ability to comply with those
Federal requirements. Therefore, all
Third Party Participants involved in
your Applicant’s Project need to know
and agree to comply with the Federal
requirements that affect their Project
related activities.
b. Subrecipient and Other Third Party
Participation. Except in limited
circumstances when we have
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, we strongly
recommend that you take appropriate
measures to ensure that the
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 2013
Certifications and Assurances that apply
to your Applicant and the Projects for
which it seeks FTA funding in FY 2013.
For your convenience, we recommend
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 2013, stating that
your Applicant has sufficient authority
under its State and local law to certify
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its compliance with the FY 2013
Certifications and Assurances that you
have selected on its behalf. Your
Applicant’s Attorney must sign this
affirmation during FY 2013. An
Affirmation of your Applicant’s
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 (New Starts, Small
Starts, or Core Capacity Improvement),
we expect to receive your FY 2013
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 2013
funding. Likewise, if your Applicant is
a current FTA grantee with an active
project funded with FTA capital or
formula funds, we expect to receive
your FY 2013 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 2013 funding.
(2) If your Applicant seeks funding
from an FTA program other than a
formula program or a discretionary
capital program, we expect to receive
your Applicant’s FY 2013 Certifications
and Assurances as soon as possible.
4. Where are FTA’s FY 2013
certifications and assurances?
a. Appendix A of this Notice, which
is available at our Web site, https://
www.fta.dot.gov, and
b. TEAM-Web, our electronic award
and management system, https://
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 2012?
a. Recent Federal Statutes. MAP–21
and the CR have required many changes
to FTA’s annual Certifications and
Assurances and the Projects to which
they apply. FTA’s FY2013 Certifications
and Assurances encompass those
necessary changes:
b. Application of Statutes. When FTA
issued its FY 2013 Certifications and
Assurances, the CR provided for
continuing projects or activities for
which funding was available in FY
2012, except as provided in section 154
of the CR. In section 154 of the CR,
Congress updated the appropriations
language for FTA’s formula programs
providing an obligation limitation and
liquidating authority to reflect changes
to FTA’s formula programs authorized
in MAP–21. Section 154 of the CR
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allows FTA to administer FY 2013
funds for formula grant programs
according to the terms and conditions
established under MAP–21. Funding
under the CR is not available for
programs that were repealed by MAP–
21. Except for the ‘‘MAP–21 crosscutting’’ requirements listed in
subsection 5.c below, the program and
eligibility requirements in effect in FY
2012 or a previous fiscal year apply to
the following Projects as of October 16,
2012, the date the FTA FY 2013
Apportionments Notice was published:
(1) Projects financed with funding
made available or appropriated in FY
2012 or a previous fiscal year, which
funding FTA has awarded before
October 1, 2012, when MAP–21 became
effective,
(2) Projects financed with funding
made available or appropriated for FY
2012 or a previous fiscal year, which
funding FTA awards or will award after
October 1, 2012, when MAP–21 became
effective.1
c. Notwithstanding the applicability
of program and eligibility requirements
in effect in FY 2012 or a previous fiscal
year for those Projects listed in the
preceding subsection 5.b above, FTA
has determined that the following
MAP–21 requirements apply to Projects
funded with appropriations for FY 2012
or a previous fiscal year. (FTA refers to
these requirements as ‘‘MAP–21 crosscutting’’ requirements.) As listed in the
FTA FY 2013 Apportionments Notice,
FTA has determined MAP–21 crosscutting requirements include, but are
not limited to:
(1) Metropolitan and Statewide
Planning,
(2) Environmental Review Process,
(3) Agency Safety Plans,
(4) Transit Asset Management
Provisions (and Asset Inventory and
Condition Reporting),
(5) Costs Incurred by Providers of
Public Transportation by Vanpool,
(6) Revenue Bonds as Local Match,
(7) Debt Service Reserve,
(8) Government’s Share of Cost of
Vehicles, Vehicle-Equipment, and
Facilities for ADA and Clean Air Act
Compliance,
(9) Private Sector Participation,
(10) Bus Testing,
(11) Buy America,
(12) Corridor Preservation,
(13) Rail Car Procurements,
(14) Veterans Preference/
Employment, and
(15) Alcohol and Controlled
Substance Testing.
1 FTA may provide unobligated funds made
available or appropriated for FY 2012 or a previous
fiscal year for new projects authorized under
provisions of law that MAP–21 has repealed.
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d. Preface. We amended the Preface to
identify the Web site for our FY 2013
Master Agreement, https://
www.fta.dot.gov.
e. Compliance with All Applicable
Requirements.
(1) In the past, we have cautioned
Applicants that their Subrecipients may
also be responsible for compliance with
certain Federal requirements that are
not identified in our annual
Certifications and Assurances. Now,
throughout this Notice and the FY 2013
Certifications and Assurances, we are
cautioning your Applicant that its other
Third Party Participants may also need
to comply with certain Federal
requirements, regardless of whether
those requirements are identified in our
annual Certifications and Assurances,
and
(2) Because TEAM-Web has the
capacity for only twenty-four (24)
Groups of Certifications and
Assurances, we have consolidated
related Certifications and Assurances,
both old and new, into a single group,
so that the total number of groups does
not exceed twenty-four (24). Should one
or more certifications or assurances
within a group not apply to your
Applicant or its Project, selecting the
entire group will not make those
inapplicable certifications or assurances
then applicable to your Applicant and
its Project. Provisions of any
Certification or Assurance that do not
apply to your Applicant or its Project
will not be enforced.
f. Group 01, Certification D,
‘‘Nondiscrimination,’’ and former
Certification E, ‘‘Assurance of
Nondiscrimination on the Basis of
Disability.’’
(1) For consistency with the MAP–21
amendment to 49 U.S.C. 5332 that
added disability to the list of prohibited
reasons for discrimination, we made the
following changes:
(a) We consolidated the former Group
01, Certification E, prohibiting
discrimination against individuals with
disabilities with the former Group 01,
Certification D, the
‘‘Nondiscrimination’’ certifications that
apply to various other prohibitions
against discrimination,
(b) We added ‘‘disability’’ as a
prohibited reason for discrimination in
Sections 1 and 1.a, and
(c) We substituted ‘‘religion for
‘‘creed,’’ in Sections 1 and 1.a,
(2) We added a reference to U.S. DOT
regulations, 49 CFR part 39, in Sections
1.f, and
(3) We added a new Section 2 to
obtain your Applicant’s agreement to
follow Federal guidance issued to
implement Federal nondiscrimination
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requirements, except as FTA determines
otherwise in writing.
g. Re-numbering. We re-numbered:
(1) Former Group 01, Certification F
as Group 01, Certification E, and
(2) Former Group 01, Assurance G, as
Group 01, Assurance F.
h. Re-numbered Group 01,
Certification F, ‘‘U.S. OMB Assurances
in SF–424B and SF–424D’’ [former
Group 01, Certification G]. We added a
reference to the new MAP–21
amendment to 49 U.S.C. 5323(b), which
expressly requires compliance with the
Uniform Relocation Assistance and Real
Property Acquisition Policies Act of
1970, 42 U.S.C. 4601 et seq. among the
requirements that apply to FTA’s
Capital Projects funded by 49 U.S.C.
chapter 53.
i. New Group 03, ‘‘Private Sector
Protections,’’ [consolidating former
Group 04 ‘‘Protections for Private
Providers of Public Transportation,’’
former Group 09 ‘‘Charter Service
Agreement,’’ and former Group 10
‘‘School Transportation Agreement’’].
We established a new Group 03 focusing
on protections for private providers of
public transportation:
(1) The ‘‘Private Sector Property
Protections’’ of Group 03 include the
following:
(a) Private Sector Property
Protections, with no substantive
changes made,
(b) Charter Service Agreement, with
the following substantive changes:
(1) Consistent with the exception for
JARC activities authorized in FTA’s
Charter Service Regulations, 49 CFR
604.2, for repealed 49 U.S.C. 5316 in
effect in FY 2012 or a previous fiscal
year, the Federal Transit Administrator
has determined that FTA’s Charter
Service requirements are not
appropriate for the JARC activities that
will be funded under 49 U.S.C. 5307, as
amended by MAP–21,
(2) Consistent with the exception for
New Freedom activities authorized in
FTA’s Charter Service Regulations, 49
CFR 604.2, for repealed 49 U.S.C. 5317,
the Federal Transit Administrator has
determined that FTA’s Charter Service
requirements are not appropriate for the
New Freedom activities that will be
funded under 49 U.S.C. 5310, as
amended by MAP–21, and
(3) Use by intercity and charter
operators of FTA funded facilities as
specified in 49 U.S.C. 5323(r), as
amended by MAP–21, will not result in
a violation of FTA’s Charter Service
Regulations, and
(c) School Bus Agreement, with no
substantive changes made.
j. Re-numbered Group 04,
‘‘Procurement and Procurement
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System’’ [former Group 03,
‘‘Procurement Certification’’]. We
transferred former Group 03 to Group 04
without making any substantive
changes.
k. New Group 05 ‘‘Rolling Stock
Reviews and Bus Testing’’
[consolidating former Group 06,
‘‘Acquisition of Rolling Stock for Use in
Revenue Service,’’ and Group 08, ‘‘Bus
Testing’’]. We established a new Group
05 focusing certifications that certain
reviews and testing required for certain
rolling stock have or will be completed:
(1) The following Certifications are
included in the new Group 05:
(a) ‘‘Rolling Stock Reviews,’’ required
by 49 U.S.C. 5323(m), and
(b) ‘‘Bus Testing,’’ required by 49
U.S.C. 5318, as amended by MAP–21,
and
(2) MAP–21 Changes:
(a) MAP–21 did not make any
substantive changes to the ‘‘Rolling
Stock Reviews’’ certification, but
(b) MAP–21 did change the bus
testing requirements, which
requirements are now reflected in the
FY 2013 ‘‘Bus Testing’’ certification.
l. Former Group 05 ‘‘Public Hearing.’’
We deleted the former ‘‘Public Hearing’’
certification because MAP–21 amended
49 U.S.C. 5323(b) to repeal FTA’s
special statutory public hearing
requirements.
m. Re-numbered Group 06, ‘‘Demand
Responsive Service,’’ [former Group 11].
We transferred the ‘‘Demand Responsive
Service’’ certification from former
Group 11 to Group 06 without making
any substantive changes.
n. Re-numbered Group 07, ‘‘Intelligent
Transportation Systems,’’ [former Group
14]:
(1) We transferred the ‘‘Intelligent
Transportation Systems’’ assurance from
former Group 14 to Group 7, and
(2) We changed the assurance to add
the new citation to the Intelligent
Transportation System statutory
provisions now codified at 23 U.S.C.
517.
o. New Group 08, ‘‘Interest and
Financing Costs and Leasing Costs,’’
[consolidating former Group 13,
‘‘Interest and Other Financing Costs,’’
and former Group 07, ‘‘Acquisition of
Capital Assets by Lease’’].
(1) We established a new Group 08
focused on certifications involving
finance that includes the following
certifications:
(a) ‘‘Interest and Financing Costs,’’
and
(b) ‘‘Acquisition of Capital Assets by
Lease,’’
(2) In addition to transferring the
certifications identified above,
(a) Rather than include in the
‘‘Financing and Leasing Costs
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certification the several citations to
those requirements in 49 U.S.C. chapter
53 (both before and after MAP–21 was
signed into law), we have listed the
types of projects to which the ‘‘Interest
and Financing Costs’’ certifications
would apply, and
(b) We made no substantive changes
to the ‘‘Acquisition of Capital Assets
through a Lease’’ certification.
p. New Group 09, ‘‘Transit Asset
Management and Safety Plans.’’ We
established a new Group 09 focused on
plans MAP–21 requires:
(1) The ‘‘Transit Asset Management
Plan’’ certification of compliance with
the rule issued under 49 U.S.C. 5326(d),
as amended by MAP–21, are required by
49 U.S.C. 5337(a)(4), as amended by
MAP–21, and
(2) The ‘‘Public Transportation
Agency Safety Plan’’ certifications
required by 49 U.S.C. 5329(d), as
amended by MAP–21.
q. Re-numbered Group 10, ‘‘Alcohol
and Controlled Substances Testing,’’
[former Group 12, ‘‘Alcohol Misuse and
Prohibited Drug Use’’]. We transferred
former Group 12 to re-numbered Group
10 and revised its provisions to conform
to 49 U.S.C. 5331, as amended by MAP–
21. We added a provision that should
your Applicant reside in a State that
permits marijuana use for medical or
recreational purposes, your Applicant
must comply with Federal (not State)
controlled substance testing
requirements of 49 CFR part 655.
r. New Group 11, ‘‘Fixed Guideway
Capital Investment Program (New
Starts, Small Starts, and Core Capacity)
and Capital Investment Program in
Effect Before MAP–21.’’
(1) We established a new Group 11
focused on certifications for FTA’s new
Fixed Guideway Capital Investment
Program, consisting of only the New
Starts Program, the Small Starts
Program, and the Core Capacity
Program.
(a) Before MAP–21 became effective,
the Capital Investment Program under
former 49 U.S.C. 5309 consisted of the:
(i) New Fixed Capital Program,
(ii) Fixed Guideway Modernization
Grant Program, and
(iii) Buses and Bus Related Equipment
and Facilities Program,
(b) MAP–21:
(i) Repealed the former Fixed
Guideway Modernization Grant
Program, and
(ii) Established the new Bus and Bus
Facilities Formula Program in 49 U.S.C.
5339, as amended by MAP–21.
(c) Therefore, we have established
separate certifications for Fixed
Guideway Capital Investment Program,
encompassing the New Starts Program,
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the Small Starts Program, and the Core
Capacity Program) that remain in 49
U.S.C. 5309, as amended by MAP–21,
irrespective of whether those programs
are:
(i) Financed with funding that was
made available or appropriated for 49
U.S.C. 5309, as amended by MAP–21, or
(ii) Financed with funding that was
made available or appropriated for
former 49 U.S.C. 5309 in effect in FY
2012 or a previous fiscal year, and
(2) Your Applicant should provide the
certifications in Group 11 if it seeks
funding made available or appropriated
for:
(a) 49 U.S.C. 5309, as amended by
MAP–21, or
(b) Former 49 U.S.C. 5309 in effect in
FY2012 or a previous fiscal year.
s. New Group 12, ‘‘State of Good
Repair Program.’’ MAP–21 created a
new State of Good Repair Program. We
request each Applicant for State of Good
Repair funding to provide the ‘‘State of
Good Repair Program’’ certification in
new Group 12.
t. New Group 13, ‘‘Fixed Guideway
Modernization Grant Program.’’ MAP–
21 amended 49 U.S.C. 5309 without reauthorizing the Fixed Guideway Grant
Modernization Program. Because
unobligated funds remain for that
Program, we have included a ‘‘Fixed
Guideway Modernization Grant
Program’’ certification for Applicants
seeking those funds.
u. New Group 14, ‘‘Bus and Bus
Facilities Programs.’’
(1) MAP–21 amended former 49
U.S.C. 5309 by:
(a) Changing the Bus and Bus Related
Equipment and Facilities Program from
a discretionary program to a new
formula Bus and Bus Facilities Formula
program,
(b) Establishing the new program
under 49 U.S.C. 5339, and
(c) Repealing the Alternatives
Analysis Program under former 49
U.S.C. 5339 in effect in FY 2012 or a
previous fiscal year,
(2) Accordingly, we established a new
Group 14 with certifications for Bus and
Bus Facilities Projects depending on
whether the funding source for those
Projects is:
(a) The Bus and Bus Facilities
Formula Program under MAP–21, or
(b) The Bus and Bus Related
Equipment and Facilities Grant Program
(Discretionary),
(3) The ‘‘Bus and Bus Facilities
Formula Program’’ certification reflects
the provisions of MAP–21, while the
‘‘Bus and Bus Related Equipment and
Facilities Grant Program
(Discretionary)’’ certification, reflects
the provisions of FTA enabling
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legislation in effect in FY 2012 or a
previous fiscal year,
(4) Notwithstanding 49 U.S.C.
5339(b), as amended by MAP–21, which
makes 49 U.S.C. 5307 requirements
applicable to the new Bus and Bus
Facilities Formula Program, the Federal
Transit Administrator has determined
that:
(a) The certification required by 49
U.S.C. 5307(c)(1)(J), as amended by
MAP–21, to spend one (1) percent of the
funds made available for security
projects does not apply to the Bus and
Bus Facilities Formula Program because
the requirement applies only to the 49
U.S.C. 5307 urbanized area formula
apportionments, and
(b) The certification required by 49
U.S.C. 5307(c)(1)(K), as amended by
MAP–21, to spend one (1) percent of the
funds made available for associated
transit improvement projects does not
apply to the Bus and Bus Facilities
Formula Program because the
requirement applies only to the 49
U.S.C. 5307 urbanized area formula
apportionments, and
(5) Therefore, to assure that FTA can
award the type of funding most suitable
for your Applicant’s Project, your
Applicant should provide the
certifications in Group 14 if it seeks
funding made available or appropriated
for:
(a) 49 U.S.C. 5339, as amended by
MAP–21, or
(b) Former 49 U.S.C. 5309 in effect in
FY2012 or a previous fiscal year.
v. New Group 15, ‘‘Urbanized Area
Formula Grant Programs and Job Access
and Reverse Commute (JARC) Formula
Grant Program,’’ [consolidating former
Group 15, ‘‘Urbanized Area Formula
Program,’’ and Group 19, ‘‘Job Access
and Reverse Commute Program,’’ with
the new ‘‘Urbanized Area Formula
Program’’ authorized by MAP–21]:
(1) We established a new Group 15
focused on our public transportation
programs in urbanized areas, including
separate certifications for each of the
following three programs:
(a) The Urbanized Area Formula
Grant Program under MAP–21,
(b) The Urbanized Area Formula
Program in effect in FY 2012 or a
previous fiscal year, and
(c) The Job Access and Reverse
Commute (JARC) Program, which
authorized the separate JARC program,2
even though MAP–21 repealed former
2 JARC activities are now eligible for funding
made available or appropriated for the Urbanized
Area Formula Program authorized by 49 U.S.C.
5307, as amended by MAP–21.
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49 U.S.C. 5316 in effect in FY 2012 or
a previous fiscal year, and
(2) Therefore, to assure that FTA can
award the type of funding most suitable
for your Applicant’s Project, your
Applicant should provide the
certifications in Group 15 if it seeks
funding made available or appropriated
for:
(a) 49 U.S.C. 5307, as amended by
MAP–21,
(b) Former 49 U.S.C. 5307 in effect in
FY2012 or a previous fiscal year, or
(c) Former 49 U.S.C. 5316 in effect in
FY 2012 or a previous fiscal year.
w. New Group 16, ‘‘Seniors/Elderly/
Individuals with Disabilities and New
Freedom Programs,’’ [consolidating
former Group 18, ‘‘Elderly and
Individuals with Disabilities Formula
Program and Pilot Program,’’ and Group
20, ‘‘New Freedom’’ Program,’’ with the
new certification for the ‘‘Formula
Grants for the Enhanced Mobility of
Seniors and Individuals with
Disabilities Program’’].
(1) We established a new Group 16
focused on our programs that provide
specialized public transportation for
seniors and individuals with
disabilities, including separate
certifications for each of the following
three programs:
(a) The Formula Grants for the
Enhanced Mobility of Seniors and
Individuals with Disabilities Program,
(b) The Formula Grants for the Special
Needs of Elderly Individuals and
Individuals with Disabilities Program in
effect in FY 2012 or a previous fiscal
year, and
(c) The New Freedom Program, even
though MAP–21 repealed former 49
U.S.C. 5317 in effect in FY 2012 or a
previous fiscal year, which authorized
the separate New Freedom program,3
(2) Consistent with the legislation
under former 49 U.S.C. 5310 in effect in
FY 2012 and previous fiscal years, the
new Formula Grants for the Enhanced
Mobility of Seniors and Individuals
with Disabilities Program authorized by
49 U.S.C. 5310, as amended by MAP–
21, must comply with the requirements
of 49 U.S.C. 5307, as amended by MAP–
21, but does permit exceptions.
Therefore, as authorized by 49 U.S.C.
5310(c)(1), as amended by MAP–21, and
consistent with similar determinations
made for the Formula Grants for the
Special Needs of Elderly Individuals
and Individuals with Disabilities
Program authorized by former 49 U.S.C.
3 New Freedom activities are now an eligible for
funding made available or appropriated for the
Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program
authorized by 49 U.S.C. 5310, as amended by MAP–
21.
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5310 in effect in FY 2012 or a previous
fiscal year, the Federal Transit
Administrator has determined that the
following Certifications required by 49
U.S.C. 5307(c)(1), as amended by MAP–
21, are not appropriate for the Formula
Grants for the Enhanced Mobility of
Seniors and Individuals with
Disabilities Program:
(a) The half fare requirements of
U.S.C. 5307(c)(1)(D), as amended by
MAP–21, are not appropriate for the
Formula Grants for the Enhanced
Mobility of Seniors and Individuals
with Disabilities Program because:
(i) The services financed under this
Program are designed specifically for
and available primarily to seniors and
individual who, because of illness,
injury, age, congenital malfunction, or
other incapacity or temporary or
permanent disability (including an
individual who is a wheelchair user or
has semi-ambulatory capability), cannot
use a public transportation service or a
public transportation facility effectively
without special facilities, planning, or
design, and
(ii) The half fare provisions that
benefit those individuals are focused on
peak periods, and peak demand that has
not been relevant to the provision of 49
U.S.C. 5310 specialized services,
(b) The public participation, planning,
and coordination provisions of 49
U.S.C. 5307(c)(1)(F), as amended by
MAP–21, are not appropriate for the
Formula Grants for the Enhanced
Mobility of Seniors and Individuals
with Disabilities Program because 49
U.S.C. 5310, as amended by MAP–21,
prescribes specific public participation,
planning, and coordination provisions
for this Program,
(c) The requirements of 49 U.S.C.
5307(c)(1)(I), as amended by MAP–21,
for a ‘‘locally developed process to
solicit and consider public comment
before raising a fare or carrying out a
major reduction of transportation’’ are
not appropriate for the Formula Grants
for the Enhanced Mobility of Seniors
and Individuals with Disabilities
Program because 49 U.S.C.
5310(c)(2)(B), as amended by MAP–21,
expressly requires a locally coordinated
transportation plan from which projects
to support public transportation for
seniors and individuals with disabilities
are to be selected,
(d) The requirement of 49 U.S.C.
5307(c)(1)(J), as amended by MAP–21,
to spend one (1) percent of funds made
available for 49 U.S.C. 5310, as
amended by MAP–21, for security
projects is not appropriate for the
Formula Grants for the Enhanced
Mobility of Seniors and Individuals
with Disabilities because the
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requirement applies only to the 49
U.S.C. 5307 urbanized area formula
apportionments, and
(e) The requirement of 49 U.S.C.
5307(c)(1)(K), as amended by MAP–21,
to spend one (1) percent of funds
authorized for 49 U.S.C. 5310, as
amended by MAP–21, for associated
transit improvements is not appropriate
for the Formula Grants for the Enhanced
Mobility of Seniors and Individuals
with Disabilities Program because the
requirement applies only to the 49
U.S.C. 5307 urbanized area formula
apportionments, and
(4) To assure that FTA will be able to
award the type of funding most suitable
for your Applicant’s Project, your
Applicant should provide the
certifications in Group 16 if it seeks
funding made available or appropriated
for:
(a) 49 U.S.C. 5310, as amended by
MAP–21,
(b) Former 49 U.S.C. 5310 in effect in
FY 2012 or a previous fiscal year, or
(c) Former 49 U.S.C. 5317 in effect in
FY 2012 or a previous fiscal year.
x. New Group 17, ‘‘Rural/Other Than
Urbanized Areas/Appalachian
Development/Over-the-Road Bus
Accessibility Programs,’’ [former Group
18, ‘‘Nonurbanized Area Formula
Program for States’’].
(1) We established a new Group 17
focused on our public transportation
programs in rural areas, including
separate certifications for the following
four programs:
(a) The Formula Grants for Rural
Areas Program,
(b) The Formula Grants for Other than
Urbanized Areas Program,
(c) The Appalachian Development
Public Transportation Assistance
Program, and
(d) The Over-the-Road Bus
Accessibility Program, and
(2) Therefore, to assure that FTA will
be able to award the type of funding
most suitable for your Applicant’s
Project, your Applicant should provide
the certifications in Group 17 if it seeks
funding made available or appropriated
for:
(a) 49 U.S.C. 5311(b), as amended by
MAP–21,
(b) Former 49 U.S.C. 5311(b) in effect
in FY2012 or a previous fiscal year,
(c) 49 U.S.C. 5311(c)(2), as amended
by MAP–21, or
(d) Former section 3038 of the
Transportation Equity Act for the 21st
Century, as amended by section 3039 of
the Safe, Accountable, Flexible,
Efficient Transportation Equity Act: A
Legacy for Users.
y. New Group 18, ‘‘Public
Transportation on Indian Reservations’’
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and ‘Tribal Transit’ Programs’’ [former
Group 22, ‘‘Tribal Transit Program’’].
(1) We established a new Group 18
focused on our public transportation
programs in Indian tribal areas,
including separate certifications for the
following two programs:
(a) The Public Transportation on
Indian Reservations Program, and
(b) The ‘‘Tribal Transit Program,’’ and
(2) Therefore, to assure that FTA can
award the type of funding most suitable
for your Applicant’s Project, your
Applicant should provide the
certifications in Group 18 if it seeks
funding made available or appropriated
for:
(a) 49 U.S.C. 5311(c)(1), as amended
by MAP–21, or
(b) Former 49 U.S.C. 5311(c)(1) in
effect in FY2012 or a previous fiscal
year.
z. New Group 19, ‘‘Low or No
Emission/Clean Fuels Grant Programs’’
[former Group 16, ‘‘Clean Fuels Grant
Program’’].
(1) We established a new Group 19
focused on our programs to reduce
emissions, including separate
certifications for the following two
programs:
(a) The Low or No Emission Vehicle
Deployment Program, authorized by 49
U.S.C. 5312(d)(5), as amended by MAP–
21, and
(b) The Clean Fuels Grant Program,
authorized by former 49 U.S.C. 5308 in
effect in FY 2012 or a previous fiscal
year,
(2) Consistent with the determinations
made for the Clean Fuels Program
authorized by former 49 U.S.C. 5308 in
effect in FY 2012 or a previous fiscal
year, the new Low or No Emission
Vehicle Deployment Program must
comply with the requirements of 49
U.S.C. 5307, as amended by MAP–21.
The Federal Transit Administrator has
determined, however, that the following
Certifications required by 49 U.S.C.
5307(c)(1), as amended by MAP–21, are
not appropriate for the Low or No
Emission Vehicle Deployment Program:
(a) The certification required by 49
U.S.C. 5307(c)(1)(J), as amended by
MAP–21, to spend one (1) percent of
funds made available for the Low or No
Emission Vehicle Deployment Program,
49 U.S.C. 5312(d)(5), as amended by
MAP–21, for security projects:
(i) Does not apply to the Low or No
Emission Vehicle Deployment Program
because the requirement applies only to
the 49 U.S.C. 5307 urbanized area
formula apportionments, but
(ii) Does apply to the Low or No
Emission Vehicle Deployment Program
if funds made available or appropriated
for 49 U.S.C. 5307 will be used for
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projects within the Low or No Emission
Vehicle Deployment Program, and
(b) The certification required by 49
U.S.C. 5307(c)(1)(K), as amended by
MAP–21, to spend one (1) percent of
funds made available for 49 U.S.C.
5312(d)(5), as amended by MAP–21, for
associated transit improvement projects:
(i) Does not apply to the Low or No
Emission Vehicle Deployment Program
because the requirement applies only to
the 49 U.S.C. 5307 urbanized area
formula apportionments, but
(ii) Does apply to the extent that funds
made available or appropriated for 49
U.S.C. 5307 will be used for a project
within the Low or No Emission Vehicle
Deployment Program, and
(3) To assure that FTA can award the
type of funding most suitable for your
Applicant’s Project, your Applicant
should provide the certifications in
Group 19 if it seeks funding made
available or appropriated for:
(a) 49 U.S.C. 5312(d)(5), as amended
by MAP–21, or
(b) Former 49 U.S.C. 5308 in effect in
FY2012 or a previous fiscal year.
aa. Re-Numbered Group 20, ‘‘Paul S.
Sarbanes Transit in Parks Program,’’
[former Group 21]. MAP–21 repealed
the Paul S. Sarbanes Transit in Parks
Program, authorized by former 49 U.S.C.
5320 in effect in FY 2012 or a previous
fiscal year. Because unobligated funds
remain under that Program, we have
included certifications required for
Applicants seeking those funds.
bb. New Group 21, ‘‘State Safety
Oversight Grant Program.’’ MAP–21
created a new State Safety Oversight
Grant Program. We request that each
Applicant for State Safety Oversight
Program funding to provide the
Assurances in new Group 21.
cc. New Group 22, ‘‘Public
Transportation Emergency Relief
Program.’’ MAP–21 created a new
Public Transportation Emergency Relief
Program. We request each Applicant for
Public Transportation Emergency Relief
Program funding to provide the
Assurances in new Group 22.
dd. New Group 23, ‘‘Expedited Project
Delivery Pilot Program.’’ MAP–21
established a new Pilot Program
requiring a certification that an
Applicant’s public transportation
system is in a state of good repair. We
request each Applicant for that Pilot
Program funding to provide the
Assurances in new Group 23.
ee. New Group 24, ‘‘Infrastructure
Finance Programs,’’ [consolidating
former Group 23, ‘‘TIFIA Projects’’ and
former Group 24, ‘‘Deposits of Federal
Financial Funding to State
Infrastructure Banks’’].
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(1) We established a new Group 24
focused on infrastructure finance
programs, including:
(a) The Transportation Infrastructure
Finance and Innovation Act (TIFIA)
Program under 23 U.S.C. 601–609, and
(b) The State Infrastructure Banks
(SIB) Program under 23 U.S.C. 610,
(2) For the TIFIA Program, we added
references to MAP–21, TIFIA financing,
and the 49 U.S.C. 5337 requirements
added for Projects funded with TIFIA
financing pursuant to 49 U.S.C. 5323(o),
as amended by MAP–21,4 and
(3) For the SIB Program, we added
references to MAP–21, SIB financing,
and the 49 U.S.C. 5337 requirements
added for Projects funded with SIB
financing pursuant to 49 U.S.C. 5323(o),
as amended by MAP–21.5
(4) To clarify, the Federal Transit
Administrator has determined that the
following Certifications required by 49
U.S.C. 5307(c)(1), as amended by MAP–
21, are not appropriate for the TIFIA or
SIB Programs:
(a) The certification required by 49
U.S.C. 5307(c)(1)(J), as amended by
MAP–21, to spend one (1) percent of
funds made available for the TIFIA and
for the SIB Programs, as amended by
MAP–21, for security projects:
(i) Does not apply to the TIFIA or SIB
Programs because the requirement
applies only to the 49 U.S.C. 5307
urbanized area formula apportionments,
but
(ii) Does apply to any TIFIA or SIB
Program to the extent that funds made
available or appropriated for 49 U.S.C.
5307 will be used for a project within
a TIFIA or SIB Program, and
(b) The certification required by 49
U.S.C. 5307(c)(1)(K), as amended by
MAP–21, to spend one (1) percent of
funds made available for 49 U.S.C.
5312(d)(5), as amended by MAP–21, for
associated transit improvement projects,
which:
(i) Does not apply to the Low or No
Emission Vehicle Deployment Program
because the requirement applies only to
the 49 U.S.C. 5307 urbanized area
formula apportionments, but
(ii) Does apply if funds made
available or appropriated for 49 U.S.C.
4 Although Section 2002 of MAP–21 made several
changes to 23 U.S.C. 601–609, which authorize the
TIFIA program, we only added references to MAP–
21, TIFIA financing, and 49 U.S.C. 5337
requirements for transit asset management plans,
which MAP–21 added for TIFIA Projects. Apart
from having a transit asset management plan, the
provisions of 49 U.S.C. 5337, as amended by MAP–
21, however, do not add new Certification
requirements to those of 49 U.S.C. 5307 or 5309.
5 Apart from having a transit asset management
plan, the provisions of 49 U.S.C. 5337, as amended
by MAP–21, however, do not add new Certification
requirements to those of 49 U.S.C. 5307 or 5309.
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5307 will be used for projects within the
Low or No Emission Vehicle
Deployment Program, and
6. How do I submit them?
a. Electronic Submission. Except in
unusual circumstances as determined
by FTA, you must submit your
Applicant’s FY 2013 Certifications and
Assurances in TEAM-Web. To submit
the Certifications and Assurances on
behalf of your Applicant, 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 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 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 your
Applicant’s 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 2013.
b. Paper Submission. You may submit
your Applicant’s FY 2013 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 this Notice 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 your Applicant, or select the specific
Groups of Certifications and Assurances
that apply to your Applicant 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 2013 Certifications and
Assurances you have selected on your
Applicant’s 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
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Applicant has on file a similar
affirmation, written, dated, and signed
by its Attorney in FY 2013.
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.
Issued in Washington, DC, this 7th day of
February, 2013.
Peter M. Rogoff,
Administrator.
[FR Doc. 2013–03335 Filed 2–12–13; 8:45 am]
BILLING CODE P
DEPARTMENT OF TRANSPORTATION
Maritime Administration
Agency Information Collection Activity
Under OMB Review; Reports, Forms
and Recordkeeping Requirements
Maritime Administration, DOT.
Notice and request for
comments.
AGENCY:
ACTION:
In compliance with the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.), this notice
announces that the Information
Collection abstracted below has been
forwarded to the Office of Management
and Budget (OMB) for review and
approval. The nature of the information
collection is described as well as its
expected burden. The Federal Register
Notice with a 60-day comment period
soliciting comments on the following
collection of information was published
on October 22, 2012, and comments
were due on December 21, 2012. No
comments were received.
DATES: Comments must be submitted on
or before March 15, 2013.
ADDRESSES: Send comments regarding
this collection to the Office of
Information and Regulatory Affairs,
Office of Management and Budget, 725
17th Street NW., Washington, DC 20503,
Attention: MARAD Desk Officer.
Alternatively comments may be sent via
email to the Office of Information and
Regulatory Affairs, Office of
Management and Budget, at the
following address:
oira.submissions@omb.eop.gov.
FOR FURTHER INFORMATION CONTACT: Lisa
Simmons, Maritime Administration,
1200 New Jersey Avenue SE.,
Washington, DC 20590. Telephone:
202–366–2321; FAX: 202–366–7901 or
email: lisa.simmons@dot.gov. Copies of
SUMMARY:
PO 00000
Frm 00134
Fmt 4703
Sfmt 9990
this collection also can be obtained from
that office.
Maritime
Administration (MARAD).
Title of Collection: Application for
Capital Construction Fund and Exhibits.
OMB Control Number: 2133–0027.
Type of Request: Extension of
currently approved collection.
Affected Public: U.S. citizens who
own or lease one or more eligible
vessels and who have a program to
provide for the acquisition, construction
or reconstruction of a qualified vessel.
Form Number: None.
Abstract: This information collection
consists of an application for a Capital
Construction Fund (CCF) agreement
under 46 U.S.C. Chapter 535 and annual
submissions of appropriate schedules
and exhibits. The Capital Construction
Fund is a tax-deferred ship construction
fund that was created to assist owners
and operators of U.S.-flag vessels in
accumulating the large amount of
capital necessary for the modernization
and expansion of the U.S. merchant
marine. The program encourages
construction, reconstruction, or
acquisition of vessels through the
deferment of Federal income taxes on
certain deposits of money or other
property placed into a CCF.
Annual Estimated Burden Hours:
1790 hours.
Comments Are Invited on: Whether
the proposed collection of information
is necessary for the proper performance
of the functions of the agency, including
whether the information will have
practical utility; the accuracy of the
agency’s estimate of the burden of the
proposed information collection; ways
to enhance the quality, utility and
clarity of the information to be
collected; and ways to minimize the
burden of the collection of information
on respondents, including the use of
automated collection techniques or
other forms of information technology.
A comment to OMB is best assured of
having its full effect if OMB receives it
within 30 days of publication.
SUPPLEMENTARY INFORMATION:
Authority: 49 CFR 1.93.
Julie P. Agarwal,
Secretary, Maritime Administration.
[FR Doc. 2013–03297 Filed 2–12–13; 8:45 am]
BILLING CODE 4910–81–P
E:\FR\FM\13FEN1.SGM
13FEN1
]]>Agencies
[Federal Register Volume 78, Number 30 (Wednesday, February 13, 2013)]
[Notices]
[Pages 10253-10260]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-03335]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Federal Fiscal Year 2013 Annual List of Certifications and
Assurances for Federal Transit Administration Grants and Cooperative
Agreements
AGENCY: Federal Transit Administration, DOT.
ACTION: Notice of availability.
-----------------------------------------------------------------------
SUMMARY: The Federal Transit Administration (FTA) is directed to
publish annually a list of all certifications required under 49 U.S.C.
Chapter 53. For Federal Fiscal Year 2013 (FY 2013), FTA consolidated
and updated the various pre-award Certifications and Assurances
required to be submitted by an Applicant seeking an award of Federal
public transportation assistance (funding) during FY 2013. This notice
announces the availability of the FY 2013 Annual List of Certifications
and Assurances for Federal Transit Administration Grants and
Cooperative Agreements and the FTA Master Agreement, both of which are
available at the FTA Web site, https://www.fta.dot.gov. This notice also
highlights the changes made to FTA's Certifications and Assurances for
FY 2013 that differ from previous provisions and also provides
instructions on how and when to submit Certifications and Assurances
for FY 2013.
DATES: Effective Date: These FY 2013 Certifications and Assurances are
effective October 1, 2012, the first day of Federal Fiscal Year (FY)
2013.
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 https://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 ``The Secretary [of Transportation] shall publish annually a list
of all certifications required under this
[[Page 10254]]
chapter [49 U.S.C. chapter 53] * * *.'' Below is our list of
certifications required for our programs:
01. Required Certifications and Assurances for Each Applicant.
02. Lobbying.
03. Private Sector Protections.
04. Procurement and Procurement System.
05. Rolling Stock Reviews and Bus Testing.
06. Demand Responsive Service.
07. Intelligent Transportation Systems.
08. Interest and Finance Costs and Leasing Costs.
09. Transit Asset Management and Agency Safety Plans.
10. Alcohol and Controlled Substances Testing.
11. Fixed Guideway Capital Investment Program (New Starts, Small
Starts, and Core Capacity) and Capital Investment Program in Effect
before MAP-21.
12. State of Good Repair Program.
13. Fixed Guideway Modernization Grant Program.
14. Bus/Bus Facilities Programs.
15. Urbanized Area Formula Programs and Job Access and Reverse
Commute (JARC) Program.
16. Seniors/Elderly/Individuals with Disabilities Programs and New
Freedom Program.
17. Rural/Other Than Urbanized Areas/Appalachian Development/Over-
the-Road Bus Accessibility Programs.
18. Public Transportation on Indian Reservations and ``Tribal
Transit Programs''.
19. Low or No Emission/Clean Fuels Grant Programs.
20. Paul S Sarbanes Transit in Parks Program.
21. State Safety Oversight Program.
22. Public Transportation Relief Program.
23. Expedited Project Delivery Pilot Program.
24. Infrastructure Finance Programs.
Since 1995, we have consolidated Certifications and Assurances into
a single document for publication in the Federal Register. To receive
Federal funding made available or appropriated for the grant and
cooperative agreement programs we administer, your Applicant must
submit the annual Certifications and Assurances required for the type
of funding your Applicant is seeking. We are now publishing our FY 2013
Certifications and Assurances, after our Federal Register publication
of our ``Notice of FTA Transit Program Changes, Authorized Funding
Levels and Implementation of the Moving Ahead for Progress in the 21st
Century Act (MAP-21) and FTA Fiscal Year 2013 Apportionments,
Allocations, Program Information and Interim Guidance,'' 77 FR 63670,
October 16, 2012 (FTA FY 2013 Apportionments Notice).
In addition to reading the information in this Notice and its
Appendix A (located at our Web site, https://www.fta.dot.gov) we
strongly advise your Applicant's certified or authorized representative
(you) to read the information accompanying the apportionment tables in
the FTA FY 2013 Apportionments Notice, particularly in light of the
following legislation signed into law during FY 2012:
a. The Moving Ahead for Progress in the 21st Century Act (MAP-21)
Pub. L. 112-141, July 6, 2012, which is FTA's most recent authorizing
legislation, and
b. The Continuing Appropriations Resolution, 2013 (CR), Pub. L.
112-175, September 28, 2012, which provides appropriations to FTA for
October 1, 2012 through March 27, 2013.
2. What is Their Legal Effect?
a. With Certain Exceptions, the Latest FTA Certifications and
Assurances Control. 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 a
Project. Typically, FTA's FY 2013 Certifications and Assurances have
superseded any FTA Certifications and Assurances published in an
earlier fiscal year, except as FTA determines otherwise in writing. Our
annual Certifications and Assurances also supersede other
Certifications and Assurances that may have appeared as illustrations
in a discontinued FTA circular. For this year, however, certain
Certifications and Assurances in effect before MAP-21 became effective
will continue to apply to certain Projects and Project activities. For
this reason, our Certifications and Assurances have increased to
accommodate requirements for Programs funded by MAP-21 and Programs
funded in 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 Project was appropriated.
After publication in the Federal Register, your Applicant must
submit sufficient FY 2013 Certifications and Assurances required by
Federal law or regulations before FTA may award Federal funds to
support your Applicant's Project.
b. Binding Commitment. An Applicant typically acts through its
certified or authorized representative. In that case, your Applicant
will be required to comply with any Certifications or Assurances you
make on its behalf irrespective of how long you remain your Applicant's
authorized representative. When you provide your Applicant's
Certifications and Assurances to FTA, both you and your Applicant are
agreeing to comply with their terms. As a result, when Certifications
and Assurances that would apply under MAP-21 differ from Certifications
and Assurances that would apply in FY 2012 or a previous fiscal year,
we have included both types in the single Group used to support the
funding your Applicant's requests.
c. Length of Commitment. Your Applicant's FY 2013 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 generally
will apply to its Project, except as we determine otherwise in writing.
d. Duration. You and your Applicant may use the FY 2013
Certifications and Assurances in Appendix A to support applications for
FTA funding until we issue our FY 2014 Certifications and Assurances.
e. Our FY 2013 Certifications and Assurances are an Incomplete List
of Federal Requirements. We caution that our FY 2013 Certifications and
Assurances focus mainly on those representations your Applicant is
required to present to FTA before FTA may award Federal funds for your
Applicant's Project. Consequently, our 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 our FTA FY 2013 Apportionments Notice, we also strongly
encourage you and your Applicant's staff and Third Party Participants
to review all Federal legislation, regulations, and guidance that apply
to your Applicant and its proposed Project. Our FY 2013 Master
Agreement identifies many of those requirements and can be accessed at
https://www.fta.dot.gov.
g. Penalties for False or Fraudulent Statements. If you or your
Applicant provides any false or fraudulent statement to the Federal
government, you or your Applicant 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.,
[[Page 10255]]
(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, U.S.C., which provides for
Federal criminal penalties and termination of Federal funding should
you or your Applicant provide 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 Understands
the Federal Requirements That Will Apply to Your Applicant and Its
Project.
Your Applicant will be responsible for compliance with all Federal
requirements that apply to itself and its Project. Nevertheless, people
and organizations participating in your Applicant's Project (Third
Party Participants) can seriously affect your Applicant's ability to
comply with those Federal requirements. Therefore, all Third Party
Participants involved in your Applicant's Project need to know and
agree to comply with the Federal requirements that affect their Project
related activities.
b. Subrecipient and Other Third Party Participation. Except in
limited circumstances when we have 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, we strongly recommend that you take
appropriate measures to ensure that the 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 2013 Certifications and Assurances that
apply to your Applicant and the Projects for which it seeks FTA funding
in FY 2013. For your convenience, we recommend 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 2013,
stating that your Applicant has sufficient authority under its State
and local law to certify its compliance with the FY 2013 Certifications
and Assurances that you have selected on its behalf. Your Applicant's
Attorney must sign this affirmation during FY 2013. An Affirmation of
your Applicant's 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 (New Starts, Small Starts, or Core
Capacity Improvement), we expect to receive your FY 2013 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 2013 funding. Likewise, if your Applicant is a current FTA grantee
with an active project funded with FTA capital or formula funds, we
expect to receive your FY 2013 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 2013 funding.
(2) If your Applicant seeks funding from an FTA program other than
a formula program or a discretionary capital program, we expect to
receive your Applicant's FY 2013 Certifications and Assurances as soon
as possible.
4. Where are FTA's FY 2013 certifications and assurances?
a. Appendix A of this Notice, which is available at our Web site,
https://www.fta.dot.gov, and
b. TEAM-Web, our electronic award and management system, https://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 2012?
a. Recent Federal Statutes. MAP-21 and the CR have required many
changes to FTA's annual Certifications and Assurances and the Projects
to which they apply. FTA's FY2013 Certifications and Assurances
encompass those necessary changes:
b. Application of Statutes. When FTA issued its FY 2013
Certifications and Assurances, the CR provided for continuing projects
or activities for which funding was available in FY 2012, except as
provided in section 154 of the CR. In section 154 of the CR, Congress
updated the appropriations language for FTA's formula programs
providing an obligation limitation and liquidating authority to reflect
changes to FTA's formula programs authorized in MAP-21. Section 154 of
the CR allows FTA to administer FY 2013 funds for formula grant
programs according to the terms and conditions established under MAP-
21. Funding under the CR is not available for programs that were
repealed by MAP-21. Except for the ``MAP-21 cross-cutting''
requirements listed in subsection 5.c below, the program and
eligibility requirements in effect in FY 2012 or a previous fiscal year
apply to the following Projects as of October 16, 2012, the date the
FTA FY 2013 Apportionments Notice was published:
(1) Projects financed with funding made available or appropriated
in FY 2012 or a previous fiscal year, which funding FTA has awarded
before October 1, 2012, when MAP-21 became effective,
(2) Projects financed with funding made available or appropriated
for FY 2012 or a previous fiscal year, which funding FTA awards or will
award after October 1, 2012, when MAP-21 became effective.\1\
---------------------------------------------------------------------------
\1\ FTA may provide unobligated funds made available or
appropriated for FY 2012 or a previous fiscal year for new projects
authorized under provisions of law that MAP-21 has repealed.
---------------------------------------------------------------------------
c. Notwithstanding the applicability of program and eligibility
requirements in effect in FY 2012 or a previous fiscal year for those
Projects listed in the preceding subsection 5.b above, FTA has
determined that the following MAP-21 requirements apply to Projects
funded with appropriations for FY 2012 or a previous fiscal year. (FTA
refers to these requirements as ``MAP-21 cross-cutting'' requirements.)
As listed in the FTA FY 2013 Apportionments Notice, FTA has determined
MAP-21 cross-cutting requirements include, but are not limited to:
(1) Metropolitan and Statewide Planning,
(2) Environmental Review Process,
(3) Agency Safety Plans,
(4) Transit Asset Management Provisions (and Asset Inventory and
Condition Reporting),
(5) Costs Incurred by Providers of Public Transportation by
Vanpool,
(6) Revenue Bonds as Local Match,
(7) Debt Service Reserve,
(8) Government's Share of Cost of Vehicles, Vehicle-Equipment, and
Facilities for ADA and Clean Air Act Compliance,
(9) Private Sector Participation,
(10) Bus Testing,
(11) Buy America,
(12) Corridor Preservation,
(13) Rail Car Procurements,
(14) Veterans Preference/Employment, and
(15) Alcohol and Controlled Substance Testing.
[[Page 10256]]
d. Preface. We amended the Preface to identify the Web site for our
FY 2013 Master Agreement, https://www.fta.dot.gov.
e. Compliance with All Applicable Requirements.
(1) In the past, we have cautioned Applicants that their
Subrecipients may also be responsible for compliance with certain
Federal requirements that are not identified in our annual
Certifications and Assurances. Now, throughout this Notice and the FY
2013 Certifications and Assurances, we are cautioning your Applicant
that its other Third Party Participants may also need to comply with
certain Federal requirements, regardless of whether those requirements
are identified in our annual Certifications and Assurances, and
(2) Because TEAM-Web has the capacity for only twenty-four (24)
Groups of Certifications and Assurances, we have consolidated related
Certifications and Assurances, both old and new, into a single group,
so that the total number of groups does not exceed twenty-four (24).
Should one or more certifications or assurances within a group not
apply to your Applicant or its Project, selecting the entire group will
not make those inapplicable certifications or assurances then
applicable to your Applicant and its Project. Provisions of any
Certification or Assurance that do not apply to your Applicant or its
Project will not be enforced.
f. Group 01, Certification D, ``Nondiscrimination,'' and former
Certification E, ``Assurance of Nondiscrimination on the Basis of
Disability.''
(1) For consistency with the MAP-21 amendment to 49 U.S.C. 5332
that added disability to the list of prohibited reasons for
discrimination, we made the following changes:
(a) We consolidated the former Group 01, Certification E,
prohibiting discrimination against individuals with disabilities with
the former Group 01, Certification D, the ``Nondiscrimination''
certifications that apply to various other prohibitions against
discrimination,
(b) We added ``disability'' as a prohibited reason for
discrimination in Sections 1 and 1.a, and
(c) We substituted ``religion for ``creed,'' in Sections 1 and 1.a,
(2) We added a reference to U.S. DOT regulations, 49 CFR part 39,
in Sections 1.f, and
(3) We added a new Section 2 to obtain your Applicant's agreement
to follow Federal guidance issued to implement Federal
nondiscrimination requirements, except as FTA determines otherwise in
writing.
g. Re-numbering. We re-numbered:
(1) Former Group 01, Certification F as Group 01, Certification E,
and
(2) Former Group 01, Assurance G, as Group 01, Assurance F.
h. Re-numbered Group 01, Certification F, ``U.S. OMB Assurances in
SF-424B and SF-424D'' [former Group 01, Certification G]. We added a
reference to the new MAP-21 amendment to 49 U.S.C. 5323(b), which
expressly requires compliance with the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et
seq. among the requirements that apply to FTA's Capital Projects funded
by 49 U.S.C. chapter 53.
i. New Group 03, ``Private Sector Protections,'' [consolidating
former Group 04 ``Protections for Private Providers of Public
Transportation,'' former Group 09 ``Charter Service Agreement,'' and
former Group 10 ``School Transportation Agreement'']. We established a
new Group 03 focusing on protections for private providers of public
transportation:
(1) The ``Private Sector Property Protections'' of Group 03 include
the following:
(a) Private Sector Property Protections, with no substantive
changes made,
(b) Charter Service Agreement, with the following substantive
changes:
(1) Consistent with the exception for JARC activities authorized in
FTA's Charter Service Regulations, 49 CFR 604.2, for repealed 49 U.S.C.
5316 in effect in FY 2012 or a previous fiscal year, the Federal
Transit Administrator has determined that FTA's Charter Service
requirements are not appropriate for the JARC activities that will be
funded under 49 U.S.C. 5307, as amended by MAP-21,
(2) Consistent with the exception for New Freedom activities
authorized in FTA's Charter Service Regulations, 49 CFR 604.2, for
repealed 49 U.S.C. 5317, the Federal Transit Administrator has
determined that FTA's Charter Service requirements are not appropriate
for the New Freedom activities that will be funded under 49 U.S.C.
5310, as amended by MAP-21, and
(3) Use by intercity and charter operators of FTA funded facilities
as specified in 49 U.S.C. 5323(r), as amended by MAP-21, will not
result in a violation of FTA's Charter Service Regulations, and
(c) School Bus Agreement, with no substantive changes made.
j. Re-numbered Group 04, ``Procurement and Procurement System''
[former Group 03, ``Procurement Certification'']. We transferred former
Group 03 to Group 04 without making any substantive changes.
k. New Group 05 ``Rolling Stock Reviews and Bus Testing''
[consolidating former Group 06, ``Acquisition of Rolling Stock for Use
in Revenue Service,'' and Group 08, ``Bus Testing'']. We established a
new Group 05 focusing certifications that certain reviews and testing
required for certain rolling stock have or will be completed:
(1) The following Certifications are included in the new Group 05:
(a) ``Rolling Stock Reviews,'' required by 49 U.S.C. 5323(m), and
(b) ``Bus Testing,'' required by 49 U.S.C. 5318, as amended by MAP-
21, and
(2) MAP-21 Changes:
(a) MAP-21 did not make any substantive changes to the ``Rolling
Stock Reviews'' certification, but
(b) MAP-21 did change the bus testing requirements, which
requirements are now reflected in the FY 2013 ``Bus Testing''
certification.
l. Former Group 05 ``Public Hearing.'' We deleted the former
``Public Hearing'' certification because MAP-21 amended 49 U.S.C.
5323(b) to repeal FTA's special statutory public hearing requirements.
m. Re-numbered Group 06, ``Demand Responsive Service,'' [former
Group 11]. We transferred the ``Demand Responsive Service''
certification from former Group 11 to Group 06 without making any
substantive changes.
n. Re-numbered Group 07, ``Intelligent Transportation Systems,''
[former Group 14]:
(1) We transferred the ``Intelligent Transportation Systems''
assurance from former Group 14 to Group 7, and
(2) We changed the assurance to add the new citation to the
Intelligent Transportation System statutory provisions now codified at
23 U.S.C. 517.
o. New Group 08, ``Interest and Financing Costs and Leasing
Costs,'' [consolidating former Group 13, ``Interest and Other Financing
Costs,'' and former Group 07, ``Acquisition of Capital Assets by
Lease''].
(1) We established a new Group 08 focused on certifications
involving finance that includes the following certifications:
(a) ``Interest and Financing Costs,'' and
(b) ``Acquisition of Capital Assets by Lease,''
(2) In addition to transferring the certifications identified
above,
(a) Rather than include in the ``Financing and Leasing Costs
[[Page 10257]]
certification the several citations to those requirements in 49 U.S.C.
chapter 53 (both before and after MAP-21 was signed into law), we have
listed the types of projects to which the ``Interest and Financing
Costs'' certifications would apply, and
(b) We made no substantive changes to the ``Acquisition of Capital
Assets through a Lease'' certification.
p. New Group 09, ``Transit Asset Management and Safety Plans.'' We
established a new Group 09 focused on plans MAP-21 requires:
(1) The ``Transit Asset Management Plan'' certification of
compliance with the rule issued under 49 U.S.C. 5326(d), as amended by
MAP-21, are required by 49 U.S.C. 5337(a)(4), as amended by MAP-21, and
(2) The ``Public Transportation Agency Safety Plan'' certifications
required by 49 U.S.C. 5329(d), as amended by MAP-21.
q. Re-numbered Group 10, ``Alcohol and Controlled Substances
Testing,'' [former Group 12, ``Alcohol Misuse and Prohibited Drug
Use'']. We transferred former Group 12 to re-numbered Group 10 and
revised its provisions to conform to 49 U.S.C. 5331, as amended by MAP-
21. We added a provision that should your Applicant reside in a State
that permits marijuana use for medical or recreational purposes, your
Applicant must comply with Federal (not State) controlled substance
testing requirements of 49 CFR part 655.
r. New Group 11, ``Fixed Guideway Capital Investment Program (New
Starts, Small Starts, and Core Capacity) and Capital Investment Program
in Effect Before MAP-21.''
(1) We established a new Group 11 focused on certifications for
FTA's new Fixed Guideway Capital Investment Program, consisting of only
the New Starts Program, the Small Starts Program, and the Core Capacity
Program.
(a) Before MAP-21 became effective, the Capital Investment Program
under former 49 U.S.C. 5309 consisted of the:
(i) New Fixed Capital Program,
(ii) Fixed Guideway Modernization Grant Program, and
(iii) Buses and Bus Related Equipment and Facilities Program,
(b) MAP-21:
(i) Repealed the former Fixed Guideway Modernization Grant Program,
and
(ii) Established the new Bus and Bus Facilities Formula Program in
49 U.S.C. 5339, as amended by MAP-21.
(c) Therefore, we have established separate certifications for
Fixed Guideway Capital Investment Program, encompassing the New Starts
Program, the Small Starts Program, and the Core Capacity Program) that
remain in 49 U.S.C. 5309, as amended by MAP-21, irrespective of whether
those programs are:
(i) Financed with funding that was made available or appropriated
for 49 U.S.C. 5309, as amended by MAP-21, or
(ii) Financed with funding that was made available or appropriated
for former 49 U.S.C. 5309 in effect in FY 2012 or a previous fiscal
year, and
(2) Your Applicant should provide the certifications in Group 11 if
it seeks funding made available or appropriated for:
(a) 49 U.S.C. 5309, as amended by MAP-21, or
(b) Former 49 U.S.C. 5309 in effect in FY2012 or a previous fiscal
year.
s. New Group 12, ``State of Good Repair Program.'' MAP-21 created a
new State of Good Repair Program. We request each Applicant for State
of Good Repair funding to provide the ``State of Good Repair Program''
certification in new Group 12.
t. New Group 13, ``Fixed Guideway Modernization Grant Program.''
MAP-21 amended 49 U.S.C. 5309 without re-authorizing the Fixed Guideway
Grant Modernization Program. Because unobligated funds remain for that
Program, we have included a ``Fixed Guideway Modernization Grant
Program'' certification for Applicants seeking those funds.
u. New Group 14, ``Bus and Bus Facilities Programs.''
(1) MAP-21 amended former 49 U.S.C. 5309 by:
(a) Changing the Bus and Bus Related Equipment and Facilities
Program from a discretionary program to a new formula Bus and Bus
Facilities Formula program,
(b) Establishing the new program under 49 U.S.C. 5339, and
(c) Repealing the Alternatives Analysis Program under former 49
U.S.C. 5339 in effect in FY 2012 or a previous fiscal year,
(2) Accordingly, we established a new Group 14 with certifications
for Bus and Bus Facilities Projects depending on whether the funding
source for those Projects is:
(a) The Bus and Bus Facilities Formula Program under MAP-21, or
(b) The Bus and Bus Related Equipment and Facilities Grant Program
(Discretionary),
(3) The ``Bus and Bus Facilities Formula Program'' certification
reflects the provisions of MAP-21, while the ``Bus and Bus Related
Equipment and Facilities Grant Program (Discretionary)'' certification,
reflects the provisions of FTA enabling legislation in effect in FY
2012 or a previous fiscal year,
(4) Notwithstanding 49 U.S.C. 5339(b), as amended by MAP-21, which
makes 49 U.S.C. 5307 requirements applicable to the new Bus and Bus
Facilities Formula Program, the Federal Transit Administrator has
determined that:
(a) The certification required by 49 U.S.C. 5307(c)(1)(J), as
amended by MAP-21, to spend one (1) percent of the funds made available
for security projects does not apply to the Bus and Bus Facilities
Formula Program because the requirement applies only to the 49 U.S.C.
5307 urbanized area formula apportionments, and
(b) The certification required by 49 U.S.C. 5307(c)(1)(K), as
amended by MAP-21, to spend one (1) percent of the funds made available
for associated transit improvement projects does not apply to the Bus
and Bus Facilities Formula Program because the requirement applies only
to the 49 U.S.C. 5307 urbanized area formula apportionments, and
(5) Therefore, to assure that FTA can award the type of funding
most suitable for your Applicant's Project, your Applicant should
provide the certifications in Group 14 if it seeks funding made
available or appropriated for:
(a) 49 U.S.C. 5339, as amended by MAP-21, or
(b) Former 49 U.S.C. 5309 in effect in FY2012 or a previous fiscal
year.
v. New Group 15, ``Urbanized Area Formula Grant Programs and Job
Access and Reverse Commute (JARC) Formula Grant Program,''
[consolidating former Group 15, ``Urbanized Area Formula Program,'' and
Group 19, ``Job Access and Reverse Commute Program,'' with the new
``Urbanized Area Formula Program'' authorized by MAP-21]:
(1) We established a new Group 15 focused on our public
transportation programs in urbanized areas, including separate
certifications for each of the following three programs:
(a) The Urbanized Area Formula Grant Program under MAP-21,
(b) The Urbanized Area Formula Program in effect in FY 2012 or a
previous fiscal year, and
(c) The Job Access and Reverse Commute (JARC) Program, which
authorized the separate JARC program,\2\ even though MAP-21 repealed
former
[[Page 10258]]
49 U.S.C. 5316 in effect in FY 2012 or a previous fiscal year, and
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\2\ JARC activities are now eligible for funding made available
or appropriated for the Urbanized Area Formula Program authorized by
49 U.S.C. 5307, as amended by MAP-21.
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(2) Therefore, to assure that FTA can award the type of funding
most suitable for your Applicant's Project, your Applicant should
provide the certifications in Group 15 if it seeks funding made
available or appropriated for:
(a) 49 U.S.C. 5307, as amended by MAP-21,
(b) Former 49 U.S.C. 5307 in effect in FY2012 or a previous fiscal
year, or
(c) Former 49 U.S.C. 5316 in effect in FY 2012 or a previous fiscal
year.
w. New Group 16, ``Seniors/Elderly/Individuals with Disabilities
and New Freedom Programs,'' [consolidating former Group 18, ``Elderly
and Individuals with Disabilities Formula Program and Pilot Program,''
and Group 20, ``New Freedom'' Program,'' with the new certification for
the ``Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities Program''].
(1) We established a new Group 16 focused on our programs that
provide specialized public transportation for seniors and individuals
with disabilities, including separate certifications for each of the
following three programs:
(a) The Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities Program,
(b) The Formula Grants for the Special Needs of Elderly Individuals
and Individuals with Disabilities Program in effect in FY 2012 or a
previous fiscal year, and
(c) The New Freedom Program, even though MAP-21 repealed former 49
U.S.C. 5317 in effect in FY 2012 or a previous fiscal year, which
authorized the separate New Freedom program,\3\
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\3\ New Freedom activities are now an eligible for funding made
available or appropriated for the Formula Grants for the Enhanced
Mobility of Seniors and Individuals with Disabilities Program
authorized by 49 U.S.C. 5310, as amended by MAP-21.
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(2) Consistent with the legislation under former 49 U.S.C. 5310 in
effect in FY 2012 and previous fiscal years, the new Formula Grants for
the Enhanced Mobility of Seniors and Individuals with Disabilities
Program authorized by 49 U.S.C. 5310, as amended by MAP-21, must comply
with the requirements of 49 U.S.C. 5307, as amended by MAP-21, but does
permit exceptions. Therefore, as authorized by 49 U.S.C. 5310(c)(1), as
amended by MAP-21, and consistent with similar determinations made for
the Formula Grants for the Special Needs of Elderly Individuals and
Individuals with Disabilities Program authorized by former 49 U.S.C.
5310 in effect in FY 2012 or a previous fiscal year, the Federal
Transit Administrator has determined that the following Certifications
required by 49 U.S.C. 5307(c)(1), as amended by MAP-21, are not
appropriate for the Formula Grants for the Enhanced Mobility of Seniors
and Individuals with Disabilities Program:
(a) The half fare requirements of U.S.C. 5307(c)(1)(D), as amended
by MAP-21, are not appropriate for the Formula Grants for the Enhanced
Mobility of Seniors and Individuals with Disabilities Program because:
(i) The services financed under this Program are designed
specifically for and available primarily to seniors and individual who,
because of illness, injury, age, congenital malfunction, or other
incapacity or temporary or permanent disability (including an
individual who is a wheelchair user or has semi-ambulatory capability),
cannot use a public transportation service or a public transportation
facility effectively without special facilities, planning, or design,
and
(ii) The half fare provisions that benefit those individuals are
focused on peak periods, and peak demand that has not been relevant to
the provision of 49 U.S.C. 5310 specialized services,
(b) The public participation, planning, and coordination provisions
of 49 U.S.C. 5307(c)(1)(F), as amended by MAP-21, are not appropriate
for the Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities Program because 49 U.S.C. 5310, as
amended by MAP-21, prescribes specific public participation, planning,
and coordination provisions for this Program,
(c) The requirements of 49 U.S.C. 5307(c)(1)(I), as amended by MAP-
21, for a ``locally developed process to solicit and consider public
comment before raising a fare or carrying out a major reduction of
transportation'' are not appropriate for the Formula Grants for the
Enhanced Mobility of Seniors and Individuals with Disabilities Program
because 49 U.S.C. 5310(c)(2)(B), as amended by MAP-21, expressly
requires a locally coordinated transportation plan from which projects
to support public transportation for seniors and individuals with
disabilities are to be selected,
(d) The requirement of 49 U.S.C. 5307(c)(1)(J), as amended by MAP-
21, to spend one (1) percent of funds made available for 49 U.S.C.
5310, as amended by MAP-21, for security projects is not appropriate
for the Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities because the requirement applies only to
the 49 U.S.C. 5307 urbanized area formula apportionments, and
(e) The requirement of 49 U.S.C. 5307(c)(1)(K), as amended by MAP-
21, to spend one (1) percent of funds authorized for 49 U.S.C. 5310, as
amended by MAP-21, for associated transit improvements is not
appropriate for the Formula Grants for the Enhanced Mobility of Seniors
and Individuals with Disabilities Program because the requirement
applies only to the 49 U.S.C. 5307 urbanized area formula
apportionments, and
(4) To assure that FTA will be able to award the type of funding
most suitable for your Applicant's Project, your Applicant should
provide the certifications in Group 16 if it seeks funding made
available or appropriated for:
(a) 49 U.S.C. 5310, as amended by MAP-21,
(b) Former 49 U.S.C. 5310 in effect in FY 2012 or a previous fiscal
year, or
(c) Former 49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal
year.
x. New Group 17, ``Rural/Other Than Urbanized Areas/Appalachian
Development/Over-the-Road Bus Accessibility Programs,'' [former Group
18, ``Nonurbanized Area Formula Program for States''].
(1) We established a new Group 17 focused on our public
transportation programs in rural areas, including separate
certifications for the following four programs:
(a) The Formula Grants for Rural Areas Program,
(b) The Formula Grants for Other than Urbanized Areas Program,
(c) The Appalachian Development Public Transportation Assistance
Program, and
(d) The Over-the-Road Bus Accessibility Program, and
(2) Therefore, to assure that FTA will be able to award the type of
funding most suitable for your Applicant's Project, your Applicant
should provide the certifications in Group 17 if it seeks funding made
available or appropriated for:
(a) 49 U.S.C. 5311(b), as amended by MAP-21,
(b) Former 49 U.S.C. 5311(b) in effect in FY2012 or a previous
fiscal year,
(c) 49 U.S.C. 5311(c)(2), as amended by MAP-21, or
(d) Former section 3038 of the Transportation Equity Act for the
21st Century, as amended by section 3039 of the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users.
y. New Group 18, ``Public Transportation on Indian Reservations''
[[Page 10259]]
and `Tribal Transit' Programs'' [former Group 22, ``Tribal Transit
Program''].
(1) We established a new Group 18 focused on our public
transportation programs in Indian tribal areas, including separate
certifications for the following two programs:
(a) The Public Transportation on Indian Reservations Program, and
(b) The ``Tribal Transit Program,'' and
(2) Therefore, to assure that FTA can award the type of funding
most suitable for your Applicant's Project, your Applicant should
provide the certifications in Group 18 if it seeks funding made
available or appropriated for:
(a) 49 U.S.C. 5311(c)(1), as amended by MAP-21, or
(b) Former 49 U.S.C. 5311(c)(1) in effect in FY2012 or a previous
fiscal year.
z. New Group 19, ``Low or No Emission/Clean Fuels Grant Programs''
[former Group 16, ``Clean Fuels Grant Program''].
(1) We established a new Group 19 focused on our programs to reduce
emissions, including separate certifications for the following two
programs:
(a) The Low or No Emission Vehicle Deployment Program, authorized
by 49 U.S.C. 5312(d)(5), as amended by MAP-21, and
(b) The Clean Fuels Grant Program, authorized by former 49 U.S.C.
5308 in effect in FY 2012 or a previous fiscal year,
(2) Consistent with the determinations made for the Clean Fuels
Program authorized by former 49 U.S.C. 5308 in effect in FY 2012 or a
previous fiscal year, the new Low or No Emission Vehicle Deployment
Program must comply with the requirements of 49 U.S.C. 5307, as amended
by MAP-21. The Federal Transit Administrator has determined, however,
that the following Certifications required by 49 U.S.C. 5307(c)(1), as
amended by MAP-21, are not appropriate for the Low or No Emission
Vehicle Deployment Program:
(a) The certification required by 49 U.S.C. 5307(c)(1)(J), as
amended by MAP-21, to spend one (1) percent of funds made available for
the Low or No Emission Vehicle Deployment Program, 49 U.S.C.
5312(d)(5), as amended by MAP-21, for security projects:
(i) Does not apply to the Low or No Emission Vehicle Deployment
Program because the requirement applies only to the 49 U.S.C. 5307
urbanized area formula apportionments, but
(ii) Does apply to the Low or No Emission Vehicle Deployment
Program if funds made available or appropriated for 49 U.S.C. 5307 will
be used for projects within the Low or No Emission Vehicle Deployment
Program, and
(b) The certification required by 49 U.S.C. 5307(c)(1)(K), as
amended by MAP-21, to spend one (1) percent of funds made available for
49 U.S.C. 5312(d)(5), as amended by MAP-21, for associated transit
improvement projects:
(i) Does not apply to the Low or No Emission Vehicle Deployment
Program because the requirement applies only to the 49 U.S.C. 5307
urbanized area formula apportionments, but
(ii) Does apply to the extent that funds made available or
appropriated for 49 U.S.C. 5307 will be used for a project within the
Low or No Emission Vehicle Deployment Program, and
(3) To assure that FTA can award the type of funding most suitable
for your Applicant's Project, your Applicant should provide the
certifications in Group 19 if it seeks funding made available or
appropriated for:
(a) 49 U.S.C. 5312(d)(5), as amended by MAP-21, or
(b) Former 49 U.S.C. 5308 in effect in FY2012 or a previous fiscal
year.
aa. Re-Numbered Group 20, ``Paul S. Sarbanes Transit in Parks
Program,'' [former Group 21]. MAP-21 repealed the Paul S. Sarbanes
Transit in Parks Program, authorized by former 49 U.S.C. 5320 in effect
in FY 2012 or a previous fiscal year. Because unobligated funds remain
under that Program, we have included certifications required for
Applicants seeking those funds.
bb. New Group 21, ``State Safety Oversight Grant Program.'' MAP-21
created a new State Safety Oversight Grant Program. We request that
each Applicant for State Safety Oversight Program funding to provide
the Assurances in new Group 21.
cc. New Group 22, ``Public Transportation Emergency Relief
Program.'' MAP-21 created a new Public Transportation Emergency Relief
Program. We request each Applicant for Public Transportation Emergency
Relief Program funding to provide the Assurances in new Group 22.
dd. New Group 23, ``Expedited Project Delivery Pilot Program.''
MAP-21 established a new Pilot Program requiring a certification that
an Applicant's public transportation system is in a state of good
repair. We request each Applicant for that Pilot Program funding to
provide the Assurances in new Group 23.
ee. New Group 24, ``Infrastructure Finance Programs,''
[consolidating former Group 23, ``TIFIA Projects'' and former Group 24,
``Deposits of Federal Financial Funding to State Infrastructure
Banks''].
(1) We established a new Group 24 focused on infrastructure finance
programs, including:
(a) The Transportation Infrastructure Finance and Innovation Act
(TIFIA) Program under 23 U.S.C. 601-609, and
(b) The State Infrastructure Banks (SIB) Program under 23 U.S.C.
610,
(2) For the TIFIA Program, we added references to MAP-21, TIFIA
financing, and the 49 U.S.C. 5337 requirements added for Projects
funded with TIFIA financing pursuant to 49 U.S.C. 5323(o), as amended
by MAP-21,\4\ and
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\4\ Although Section 2002 of MAP-21 made several changes to 23
U.S.C. 601-609, which authorize the TIFIA program, we only added
references to MAP-21, TIFIA financing, and 49 U.S.C. 5337
requirements for transit asset management plans, which MAP-21 added
for TIFIA Projects. Apart from having a transit asset management
plan, the provisions of 49 U.S.C. 5337, as amended by MAP-21,
however, do not add new Certification requirements to those of 49
U.S.C. 5307 or 5309.
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(3) For the SIB Program, we added references to MAP-21, SIB
financing, and the 49 U.S.C. 5337 requirements added for Projects
funded with SIB financing pursuant to 49 U.S.C. 5323(o), as amended by
MAP-21.\5\
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\5\ Apart from having a transit asset management plan, the
provisions of 49 U.S.C. 5337, as amended by MAP-21, however, do not
add new Certification requirements to those of 49 U.S.C. 5307 or
5309.
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(4) To clarify, the Federal Transit Administrator has determined
that the following Certifications required by 49 U.S.C. 5307(c)(1), as
amended by MAP-21, are not appropriate for the TIFIA or SIB Programs:
(a) The certification required by 49 U.S.C. 5307(c)(1)(J), as
amended by MAP-21, to spend one (1) percent of funds made available for
the TIFIA and for the SIB Programs, as amended by MAP-21, for security
projects:
(i) Does not apply to the TIFIA or SIB Programs because the
requirement applies only to the 49 U.S.C. 5307 urbanized area formula
apportionments, but
(ii) Does apply to any TIFIA or SIB Program to the extent that
funds made available or appropriated for 49 U.S.C. 5307 will be used
for a project within a TIFIA or SIB Program, and
(b) The certification required by 49 U.S.C. 5307(c)(1)(K), as
amended by MAP-21, to spend one (1) percent of funds made available for
49 U.S.C. 5312(d)(5), as amended by MAP-21, for associated transit
improvement projects, which:
(i) Does not apply to the Low or No Emission Vehicle Deployment
Program because the requirement applies only to the 49 U.S.C. 5307
urbanized area formula apportionments, but
(ii) Does apply if funds made available or appropriated for 49
U.S.C.
[[Page 10260]]
5307 will be used for projects within the Low or No Emission Vehicle
Deployment Program, and
6. How do I submit them?
a. Electronic Submission. Except in unusual circumstances as
determined by FTA, you must submit your Applicant's FY 2013
Certifications and Assurances in TEAM-Web. To submit the Certifications
and Assurances on behalf of your Applicant, 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
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 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 your Applicant's 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 2013.
b. Paper Submission. You may submit your Applicant's FY 2013
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 this Notice 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 your
Applicant, or select the specific Groups of Certifications and
Assurances that apply to your Applicant 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 2013 Certifications and
Assurances you have selected on your Applicant's 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 2013.
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.
Issued in Washington, DC, this 7th day of February, 2013.
Peter M. Rogoff,
Administrator.
[FR Doc. 2013-03335 Filed 2-12-13; 8:45 am]
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