Federal Fiscal Year 2014 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements, 5515-5518 [2014-01888]

Download as PDF tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 79, No. 21 / Friday, January 31, 2014 / Notices subgrantee’s ability to respond to an emergency or disaster; and (d) Specify if the petition for relief is one-time or ongoing, and if ongoing identify the time period for which the relief is requested. The time period may not exceed three months; however, additional time may be requested through a second petition for relief. A petition for relief from administrative requirements will be conditionally granted for a period of three (3) business days from the date it is submitted to the Emergency Relief Docket. FTA will review the petition after the expiration of the three business days and review any comments submitted thereto. FTA may contact the grantee or subgrantee that submitted the request for relief, or any party that submits comments to the docket, to obtain more information prior to making a decision. FTA shall then post a decision to the Emergency Relief Docket. FTA’s decision will be based on whether the petition meets the criteria for use of these emergency procedures, the substance of the request, and the comments submitted regarding the petition. If FTA does not respond to the request for relief to the docket within three business days, the grantee or subgrantee may assume its petition is granted for a period not to exceed three months until and unless FTA states otherwise. A petition for relief from statutory requirements will not be conditionally granted and requires a written decision from the FTA Administrator. Pursuant to section 604.2(f) of FTA’s charter rule (73 FR 2325, Jan. 14, 2008), grantees and subgrantees may assist with evacuations or other movement of people that might otherwise be considered charter transportation when that transportation is in response to an emergency declared by the President, governor, or mayor, or in an emergency requiring immediate action prior to a formal declaration, even if a formal declaration of an emergency is not eventually made by the President, governor or mayor. Therefore, a request for relief is not necessary in order to provide this service. However, if the emergency lasts more than 45 calendar days, the grantee or subgrantee shall follow the procedures set out in this notice. FTA reserves the right to reopen any docket and reconsider any decision made pursuant to these emergency procedures based upon its own initiative, based upon information or comments received subsequent to the three business day comment period, or at the request of a grantee or subgrantee upon denial of a request for relief. FTA VerDate Mar<15>2010 17:23 Jan 30, 2014 Jkt 232001 5515 shall notify the grantee or subgrantee if it plans to reconsider a decision. FTA decision letters, either granting or denying a petition, shall be posted in the Emergency Relief Docket and shall reference the document number of the petition to which it relates. FOR FURTHER INFORMATION CONTACT: Issued in Washington, DC, this 23 day of January 2014. Therese W. McMillan, Deputy Administrator. Region 1: Boston [FR Doc. 2014–02002 Filed 1–30–14; 8:45 am] BILLING CODE 4910–57–P 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. States served: Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont Telephone # 617–494–2055 Region 2: New York DEPARTMENT OF TRANSPORTATION[REMOVED PRIVATE FIELD] States served: New York, and New Jersey Telephone # 212–668–2170 Federal Transit Administration Region 3: Philadelphia Federal Fiscal Year 2014 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements AGENCY: Federal Transit Administration, DOT. ACTION: Notice of availability. This notice announces the availability of the Federal Transportation Administration’s (FTA) Fiscal Year (FY) 2014 Annual List of Certifications and Assurances for FTA Grants and Cooperative Agreements. See FTA Web site, https://www.fta.dot.gov. In this notice, FTA provides a consolidated list of the various pre-award Certifications and Assurances that may apply to an Applicant for FTA funding and its Project. Each Applicant for FTA funding must submit the Certifications and Assurances that apply to itself and the Project(s) for which it seeks funding during the fiscal year in which it requests that funding. An Applicant typically acts through its certified or authorized representative (You). You, as the Authorized Representative, must have the authority to, among other things, sign the Applicant’s Certifications and Assurances and bind the Applicant’s compliance. This Notice also describes both FTA’s and the Applicant’s responsibilities with respect to the Certifications and Assurances and highlights the differences between the FY 2014 Certifications and Assurances and those published for FY 2013. In addition, this Notice also provides instructions on how and when to submit Certifications and Assurances for FY 2014. SUMMARY: Effective Date: These FY 2014 Certifications and Assurances are effective October 1, 2013, the first day of FY 2014. DATES: PO 00000 Frm 00148 Fmt 4703 Sfmt 4703 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, E:\FR\FM\31JAN1.SGM 31JAN1 5516 Federal Register / Vol. 79, No. 21 / Friday, January 31, 2014 / Notices 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: tkelley on DSK3SPTVN1PROD with NOTICES 1. What Are FTA’s Responsibilities? The second sentence of 49 U.S.C. 5323(n) states in pertinent part that, ‘‘[t]he Secretary [of Transportation] shall publish annually a list of all certifications required under this chapter [49 U.S.C. chapter 53] . . . .’’ The first sentence of 49 U.S.C. 5323(n) states that, ‘‘[a] certification required under this chapter [53] and any additional certification or assurance required by law or regulation to be submitted to the Secretary [who delegated that authority to the Federal Transit Administrator] may be consolidated into a single document to be submitted annually as part of a grant application under this chapter [53].’’ Therefore, FTA has grouped those certifications and assurances into the following twenty-four (24) groups: Group 01. Required Certifications and Assurances for Each Applicant. Group 02. Lobbying. Group 03. Procurement and Procurement Systems. Group 04. Private Sector Protections. Group 05. Rolling Stock Reviews and Bus Testing. Group 06. Demand Responsive Service. Group 07. Intelligent Transportation Systems. Group 08. Interest and Financing Costs and Acquisition of Capital Assets by Lease. VerDate Mar<15>2010 17:23 Jan 30, 2014 Jkt 232001 Group 09. Transit Asset Management Plan and Public Transportation Agency Safety Plan. Group 10. Alcohol and Controlled Substances Testing. Group 11. Fixed Guideway Capital Investment Grants Program (New Starts, Small Starts, and Core Capacity) and Capital Investment Program in Effect before MAP–21. Group 12. State of Good Repair Program. Group 13. Fixed Guideway Modernization Grant Program. Group 14. Bus and Bus Facilities Formula Grants Program and Bus and Bus Related Equipment and Facilities Grant Program (Discretionary). Group 15. Urbanized Area Formula Grants Programs, Passenger Ferry GrantsProgram, and Job Access and Reverse Commute (JARC) Program. Group 16. Seniors/Elderly/Individuals with Disabilities Programs and New Freedom Program. Group 17. Rural/Other Than Urbanized Areas/Appalachian Development/ Over-the-Road Bus Accessibility Programs. Group 18. Public Transportation on Indian Reservations Programs (also known as the Tribal Transit Programs). Group 19. Low or No Emission/Clean Fuels Grant Programs. Group 20. Paul S. Sarbanes Transit in Parks Program. Group 21. State Safety Oversight Program. Group 22. Public Transportation Emergency Relief Program. Group 23. Expedited Project Delivery Pilot Program. Group 24. Infrastructure Finance Programs. Since 1995, FTA has consolidated the Certifications and Assurances required by law or regulation into a single document for publication in the Federal Register. To receive Federal funding appropriated or made available for the grant and cooperative agreement programs FTA administers, your Applicant must submit the annual Certifications and Assurances required for the type of funding it seeks. U.S. DOT’s annual appropriations for FY 2014 have been included in the Consolidated Appropriations Act, 2014.1 As such, FTA is publishing its FY 2014 Certifications and Assurances now. These FY 2014 Certifications and Assurances supersede any Certifications and Assurances published in an earlier fiscal year or that may have appeared as illustrations in any discontinued FTA 1 A Public Law Number has not been assigned to the Consolidated Appropriations Act, 2014, as of the date of this notice’s issuance. PO 00000 Frm 00149 Fmt 4703 Sfmt 4703 circular. After publication in the Federal Register, each Applicant must submit adequate FY 2014 Certifications and Assurances before FTA may award funding to support that Applicant’s request for funding for its Project. 2. What Is the Legal Effect of the Certifications and Assurances? a. Pre-Award Representations. Certifications and Assurances are preaward representations typically required by Federal law or regulation that your Applicant must submit before FTA may provide Federal funding for its Project. In general, these FY 2014 Certifications and Assurances are effective October 1, 2013, except as FTA determines otherwise in writing. For FY 2014, however, certain Certifications and Assurances in effect prior to MAP–21 continue to apply to certain Projects and Project activities that are financed with funds appropriated or made available for FY 2012 or a previous fiscal year. Conversely, some Certifications and Assurances apply to both Programs funded by MAP–21 and Programs financed with funds appropriated or made available for FY 2012 or a previous fiscal year. Therefore, it is critically important that you know the fiscal year in which the funding awarded for your Applicant’s Project was appropriated. Upon publication in the Federal Register, FTA may not award funding for your Applicant’s Project until it submits sufficient FY 2014 Certifications and Assurances. b. Binding Commitment. Your Applicant must comply with any Certifications or Assurances you make on its behalf, irrespective of whether you remain your Applicant’s authorized representative. When you submit its Certifications and Assurances to FTA, both you and your Applicant are agreeing to comply with those terms. For programs that require specific certifications, when the Certifications and Assurances that would apply under MAP–21 differ from the Certifications and Assurances that would apply in FY 2012 or a previous fiscal year, FTA continues to include both types in the single Group used to facilitate funding your Applicant’s request(s). c. Length of Commitment. Your Applicant’s FY 2014 Certifications and Assurances remain in effect until its Project is closed or the useful life of its Project property has expired, whichever is later. If your Applicant provides different Certifications and Assurances in a later fiscal year, the later Certifications and Assurances will usually apply to its Project, except as FTA determines otherwise in writing. E:\FR\FM\31JAN1.SGM 31JAN1 Federal Register / Vol. 79, No. 21 / Friday, January 31, 2014 / Notices d. Duration. You and your Applicant may use the FY 2014 Certifications and Assurances in Appendix A to support applications for FTA funding until FTA issues its FY 2015 Certifications and Assurances. e. The FY 2014 Certifications and Assurances are Not a Complete List of Federal Requirements. FTA cautions that the FY 2014 Certifications and Assurances focus mainly on those representations your Applicant is required to submit to FTA before FTA may award Federal funds for its Project. Consequently, these Certifications and Assurances do not include many other Federal requirements that will apply to your Applicant and its Project. f. Federal Requirements. In addition to the information in this Notice and FTA’s FY 2014 Apportionments Notice, FTA also strongly encourages you and your Applicant’s staff and prospective and current Third Party Participants to review all Federal legislation, regulations, and guidance that apply to your Applicant’s proposed Project and to them. The FY 2014 Master Agreement identifies many of those requirements and applicable guidance, which can be accessed at https://www.fta.dot.gov. g. Penalties for False or Fraudulent Statements. If you provide any false or fraudulent statement to the Federal Government on behalf of your Applicant or yourself, you may incur both Federal civil and criminal penalties. See: (1) The Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. 3801 et seq., (2) U.S. Department of Transportation (U.S. DOT) regulations, ‘‘Program Fraud Civil Remedies,’’ 49 CFR part 31, and (3) Section 5323(l)(1) of title 49, United States Code, which provides for Federal criminal penalties and termination of Federal funding should you provide, on behalf of your Applicant or yourself, a false or fraudulent certificate, submission, or statement in connection with the Federal transit program authorized by 49 U.S.C. chapter 53. 3. What are Your Responsibilities? tkelley on DSK3SPTVN1PROD with NOTICES a. Make Sure All Involved With Your Applicant’s Project Understand the Federal Requirements That Will Apply to Your Applicant and Its Project As your Applicant’s authorized representative, FTA strongly advises you to read this Notice and the Certifications and Assurances in its Appendix A before selecting Certifications and Assurances on behalf of your Applicant. In addition to reading the information in this Notice and its Appendix A (located at our Web VerDate Mar<15>2010 17:23 Jan 30, 2014 Jkt 232001 site, https://www.fta.dot.gov), FTA also advises you to read the information accompanying the apportionment tables when FTA publishes its FY 2014 Apportionments Notice. Your Applicant is responsible for compliance with all Federal requirements that apply to itself and its Project. Nevertheless, people and organizations participating in its Project, including Subrecipients, Third Party Contractors, and Third Party Subcontractors (Third Party Participants) can seriously affect its ability to comply with those Federal requirements. Therefore, all Third Party Participants involved in its Project need to know and agree to comply with the Federal requirements that affect the Applicant’s Project related activities and themselves. b. Subrecipient and Other Third Party Participation Except in limited circumstances when FTA has determined otherwise, your Applicant is ultimately responsible for compliance with all Certifications and Assurances that you select on its behalf, even though much of its Project will be carried out by Subrecipients or other Third Party Participants. Therefore, FTA strongly recommends that you take appropriate measures to ensure that Subrecipients and other Third Party Participants in your Applicant’s Project do not take actions that will cause your Applicant to violate the representations made in its Certifications and Assurances. c. Submit Your Applicant’s Certifications and Assurances You must submit all Groups of the FY 2014 Certifications and Assurances that apply to your Applicant and the Projects for which it seeks FTA funding in FY 2014. For your convenience, FTA recommends that you submit all 24 Groups of Certifications and Assurances. Those provisions of the various Certifications and Assurances that do not apply to your Applicant or its Project will not be enforced. d. Obtain the Affirmation of Your Applicant’s Attorney You must obtain an affirmation of your Applicant’s Attorney, signed in FY 2014, stating that your Applicant has sufficient authority under its State and local law to certify its compliance with the FY 2014 Certifications and Assurances that you have selected on its behalf. Your Applicant’s Attorney must sign this affirmation during FY 2014. An Affirmation of its Attorney dated in a previous fiscal year is insufficient, PO 00000 Frm 00150 Fmt 4703 Sfmt 4703 5517 unless FTA expressly determines otherwise in writing. e. When To Submit (1) If your Applicant is applying for funding under any of the discretionary capital programs (e.g., New Starts, Small Starts, or Core Capacity Improvement), FTA expects to receive your Applicant’s FY 2014 Certifications and Assurances within ninety (90) days from the date of this publication or soon after the submittal of your Applicant’s request for FY 2014 funding. Likewise, if your Applicant is a current FTA recipient with an active Project funded with FTA capital or formula funds, FTA expects to receive your Applicant’s FY 2014 Certifications and Assurances within ninety (90) days from the date of this publication or soon after the submittal of your Applicant’s request for FY 2014 funding. (2) If your Applicant seeks funding from an FTA program other than a formula program or a discretionary capital program, e.g., for a Research, Development, Demonstration, and Deployment Project, FTA expects to receive your Applicant’s FY 2014 Certifications and Assurances with the submission of its Application for FTA funding or soon thereafter. 4. Where are FTA’s FY 2014 certifications and assurances? a. Appendix A of this Notice, which is available at FTA’s Web site, https:// www.fta.dot.gov, and b. TEAM-Web, FTA’s 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 2013? FTA has made the following changes: a. Transferred Group 03, ‘‘Procurement and Procurement Systems,’’ and Transferred Group 04, Private Sector Protections,’’ FTA reversed the positions of these two groups, consistent with the customary placement in effect before FY 2013, b. Transferred Group 04, ‘‘Private Sector Protections,’’ Subgroup 04.C, ‘‘School Bus Agreement.’’ FTA amended subgroup 04.C to add that, as a remedy, FTA may require an Applicant or Third Party Participant that violates FTA’s School Bus regulations to take such remedial measures as FTA considers appropriate, c. Group 10, ‘‘Alcohol and Controlled Substance Testing.’’ To comply with 49 U.S.C. 5331, as amended by MAP–21, FTA amended its ‘‘Prevention of E:\FR\FM\31JAN1.SGM 31JAN1 5518 Federal Register / Vol. 79, No. 21 / Friday, January 31, 2014 / Notices Alcohol Misuse and Prohibited Drug Use in Transit Operations’’ regulations, 49 CFR part 655, subpart I, specifically 49 CFR 655.83, to require your Applicant to certify that its Subrecipients and Third Party Contractors will comply with the regulation, d. Group 15, ‘‘Urbanized Area Formula Programs, Passenger Ferry Grants Program, and Job Access and Reverse Commute (JARC) Program.’’ FTA added a new subgroup 15.C to provide Certifications and Assurances for the Passenger Ferry Grants Program, 49 U.S.C. 5307(h), as amended by MAP– 21, e. Group 18, ‘‘Public Transportation on Indian Reservations Programs (also known as the Tribal Transit Programs.).’’ FTA added the requirements to both the Program as amended by MAP–21, and the former Program in effect in FY 2012 or a previous fiscal year, that FTA’s Buy America requirements under 49 U.S.C. 5323(j), as amended by MAP–21, would apply to Tribal Transit Projects; consequently, FTA consolidated both sets of Certifications and Assurances into a single program, and f. Group 21, ‘‘State Safety Oversight Grant Program.’’ FTA adopted appropriate certifications for this program. tkelley on DSK3SPTVN1PROD with NOTICES 6. How do you submit the certifications and assurances? a. Electronic Submission. Except in rare circumstances and if permitted by FTA, you must submit your Applicant’s FY 2014 Certifications and Assurances in TEAM-Web. To submit the Certifications and Assurances, you must be registered in TEAM-Web. The TEAM-Web ‘‘Recipients’’ option at the ‘‘Cert’s & Assurances’’ tab of the ‘‘View/Modify Recipients’’ page contains fields for individually selecting among the 24 Groups of Certifications and Assurances that apply to your Applicant and also a designated field for selecting all 24 Groups, of which only the requirements that apply to you or your Applicant will be enforced. The ‘‘Cert’s & Assurances’’ tab has a field for you to enter your personal identification number (PIN), which is your electronic signature. There is also a field for the Attorney’s PIN, affirming your Applicant’s legal authority to make and comply with the Certifications and Assurances you have selected on its behalf. You may enter your PIN in place of the Attorney’s PIN, provided that your Applicant has on file a similar affirmation that has been written, dated, and signed by its Attorney in FY 2014. VerDate Mar<15>2010 17:23 Jan 30, 2014 Jkt 232001 b. Paper Submission. You may submit your Applicant’s FY 2014 Certifications and Assurances on paper only if you cannot submit them electronically in TEAM-Web and FTA agrees to accept hard copy submissions. In that case, you must submit the Signature Page(s) in Appendix A of the Certifications and Assurances indicating the Groups of Certifications and Assurances your Applicant is providing if you cannot submit them electronically. You may place a single mark in the designated space to signify your Applicant’s agreement to comply with all Groups of Certifications and Assurances to the extent that they apply to it, or select the specific Groups of Certifications and Assurances that apply to it and its Projects. You must enter your signature on the Signature Page(s) and provide an Affirmation by your Applicant’s Attorney concerning your Applicant’s legal capacity to make and comply with the FY 2014 Certifications and Assurances selected on its behalf. You may enter your signature in place of the Attorney’s signature in the Affirmation by Applicant’s Attorney part of the Signature Page, provided that your Applicant has on file a similar affirmation, written, dated, and signed by its Attorney in FY 2014. For more information, you may contact the appropriate FTA Regional or Metropolitan Office. Authority: 49 U.S.C. chapter 53; the Moving Ahead for Progress in the 21st Century Act (MAP–21) Pub. L. 112–141, June 6, 2012; other Federal laws administered by FTA; U.S. DOT and FTA regulations codified or to be codified in Title 49, Code of Federal Regulations; and FTA Circulars. funding mechanism for port infrastructure development, methods to mitigate the impact of cargo diverted as a result of natural disasters, and surface transportation reauthorization issues. A public comment period will commence at 1:15 p.m. on February 13, 2014. To provide time for as many people to speak as possible, speaking time for each individual will be limited to three minutes. Members of the public who would like to speak are asked to contact Richard J. Lolich by February 7, 2014. Commenters will be placed on the agenda in the order in which notifications are received. If time allows, additional comments will be permitted. Copies of oral comments must be submitted in writing at the meeting. Additional written comments are welcome and must be filed by February 17, 2014. DATES: The meeting will be held on Thursday, February 13, 2014, from 8:30 a.m. to 5:00 p.m. ADDRESSES: The meeting will be held in the Media Center at the U.S. Department of Transportation Headquarters, 1200 New Jersey Ave. SE., Washington, DC 20590. To participate via teleconference, please contact Richard Lolich at the Maritime Administration as indicated below. FOR FURTHER INFORMATION CONTACT: Richard Lolich, (202) 366–0704; Maritime Administration, MAR–540, Room W21–310, 1200 New Jersey Ave. SE., Washington, DC 20590–0001; richard.lolich@dot.gov. (Authority: 5 U.S.C. App 2, Sec. 9(a)(2); 41 CFR 101–6. 1005; DOT Order 1120.3B) Therese W. McMillan, Deputy Administrator. Dated: January 28, 2014. Christine Gurland, Acting Secretary, Maritime Administration. [FR Doc. 2014–01888 Filed 1–30–14; 8:45 am] [FR Doc. 2014–02036 Filed 1–30–14; 8:45 am] BILLING CODE P BILLING CODE 4910–81–P DEPARTMENT OF TRANSPORTATION DEPARTMENT OF TRANSPORTATION Maritime Administration Maritime Administration Marine Transportation System National Advisory Council National Advisory Council Public Meeting. ACTION: The Maritime Administration announces that the Marine Transportation System National Advisory Council (MTSNAC) will hold a meeting to discuss potential recommendations to the Secretary on the integration of marine highways into the national transportation system, options to provide a steady and reliable SUMMARY: PO 00000 Frm 00151 Fmt 4703 Sfmt 4703 [Docket No. MARAD–2014 0005] Requested Administrative Waiver of the Coastwise Trade Laws: Vessel SUNBABY; Invitation for Public Comments Maritime Administration, Department of Transportation. ACTION: Notice. AGENCY: As authorized by 46 U.S.C. 12121, the Secretary of Transportation, as represented by the Maritime Administration (MARAD), is authorized to grant waivers of the U.S.-build SUMMARY: E:\FR\FM\31JAN1.SGM 31JAN1

Agencies

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


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION[REMOVED PRIVATE FIELD]

Federal Transit Administration


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

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice of availability.

-----------------------------------------------------------------------

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

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

FOR FURTHER INFORMATION CONTACT: The appropriate Regional or 
Metropolitan Office listed in this Notice. For copies of related 
documents and information, see our Web site at 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,

[[Page 5516]]

Oregon, and Washington
Telephone  206-220-7954

Chicago Metropolitan Office

Area served: Chicago Metropolitan Area
Telephone  312-886-1616

Los Angeles Metropolitan Office

Area served: Los Angeles Metropolitan Area
Telephone  213-202-3950

Lower Manhattan Recovery Office

Area served: Lower Manhattan
Telephone  212-668-1770

New York Metropolitan Office

Area served: New York Metropolitan Area
Telephone  212-668-2201

Philadelphia Metropolitan Office

Area served: Philadelphia Metropolitan Area
Telephone  215-656-7070

Washington DC Metropolitan Office

Area served: Washington DC Metropolitan Area
Telephone  202-219-3562/202-219-3565

SUPPLEMENTARY INFORMATION:

1. What Are FTA's Responsibilities?

    The second sentence of 49 U.S.C. 5323(n) states in pertinent part 
that, ``[t]he Secretary [of Transportation] shall publish annually a 
list of all certifications required under this chapter [49 U.S.C. 
chapter 53] . . . .'' The first sentence of 49 U.S.C. 5323(n) states 
that, ``[a] certification required under this chapter [53] and any 
additional certification or assurance required by law or regulation to 
be submitted to the Secretary [who delegated that authority to the 
Federal Transit Administrator] may be consolidated into a single 
document to be submitted annually as part of a grant application under 
this chapter [53].'' Therefore, FTA has grouped those certifications 
and assurances into the following twenty-four (24) groups:

Group 01. Required Certifications and Assurances for Each Applicant.
Group 02. Lobbying.
Group 03. Procurement and Procurement Systems.
Group 04. Private Sector Protections.
Group 05. Rolling Stock Reviews and Bus Testing.
Group 06. Demand Responsive Service.
Group 07. Intelligent Transportation Systems.
Group 08. Interest and Financing Costs and Acquisition of Capital 
Assets by Lease.
Group 09. Transit Asset Management Plan and Public Transportation 
Agency Safety Plan.
Group 10. Alcohol and Controlled Substances Testing.
Group 11. Fixed Guideway Capital Investment Grants Program (New Starts, 
Small Starts, and Core Capacity) and Capital Investment Program in 
Effect before MAP-21.
Group 12. State of Good Repair Program.
Group 13. Fixed Guideway Modernization Grant Program.
Group 14. Bus and Bus Facilities Formula Grants Program and Bus and Bus 
Related Equipment and Facilities Grant Program (Discretionary).
Group 15. Urbanized Area Formula Grants Programs, Passenger Ferry 
GrantsProgram, and Job Access and Reverse Commute (JARC) Program.
Group 16. Seniors/Elderly/Individuals with Disabilities Programs and 
New Freedom Program.
Group 17. Rural/Other Than Urbanized Areas/Appalachian Development/
Over-the-Road Bus Accessibility Programs.
Group 18. Public Transportation on Indian Reservations Programs (also 
known as the Tribal Transit Programs).
Group 19. Low or No Emission/Clean Fuels Grant Programs.
Group 20. Paul S. Sarbanes Transit in Parks Program.
Group 21. State Safety Oversight Program.
Group 22. Public Transportation Emergency Relief Program.
Group 23. Expedited Project Delivery Pilot Program.
Group 24. Infrastructure Finance Programs.

    Since 1995, FTA has consolidated the Certifications and Assurances 
required by law or regulation into a single document for publication in 
the Federal Register. To receive Federal funding appropriated or made 
available for the grant and cooperative agreement programs FTA 
administers, your Applicant must submit the annual Certifications and 
Assurances required for the type of funding it seeks.
    U.S. DOT's annual appropriations for FY 2014 have been included in 
the Consolidated Appropriations Act, 2014.\1\ As such, FTA is 
publishing its FY 2014 Certifications and Assurances now. These FY 2014 
Certifications and Assurances supersede any Certifications and 
Assurances published in an earlier fiscal year or that may have 
appeared as illustrations in any discontinued FTA circular. After 
publication in the Federal Register, each Applicant must submit 
adequate FY 2014 Certifications and Assurances before FTA may award 
funding to support that Applicant's request for funding for its 
Project.
---------------------------------------------------------------------------

    \1\ A Public Law Number has not been assigned to the 
Consolidated Appropriations Act, 2014, as of the date of this 
notice's issuance.
---------------------------------------------------------------------------

2. What Is the Legal Effect of the Certifications and Assurances?

    a. Pre-Award Representations. Certifications and Assurances are 
pre-award representations typically required by Federal law or 
regulation that your Applicant must submit before FTA may provide 
Federal funding for its Project. In general, these FY 2014 
Certifications and Assurances are effective October 1, 2013, except as 
FTA determines otherwise in writing. For FY 2014, however, certain 
Certifications and Assurances in effect prior to MAP-21 continue to 
apply to certain Projects and Project activities that are financed with 
funds appropriated or made available for FY 2012 or a previous fiscal 
year. Conversely, some Certifications and Assurances apply to both 
Programs funded by MAP-21 and Programs financed with funds appropriated 
or made available for FY 2012 or a previous fiscal year. Therefore, it 
is critically important that you know the fiscal year in which the 
funding awarded for your Applicant's Project was appropriated.
    Upon publication in the Federal Register, FTA may not award funding 
for your Applicant's Project until it submits sufficient FY 2014 
Certifications and Assurances.
    b. Binding Commitment. Your Applicant must comply with any 
Certifications or Assurances you make on its behalf, irrespective of 
whether you remain your Applicant's authorized representative. When you 
submit its Certifications and Assurances to FTA, both you and your 
Applicant are agreeing to comply with those terms. For programs that 
require specific certifications, when the Certifications and Assurances 
that would apply under MAP-21 differ from the Certifications and 
Assurances that would apply in FY 2012 or a previous fiscal year, FTA 
continues to include both types in the single Group used to facilitate 
funding your Applicant's request(s).
    c. Length of Commitment. Your Applicant's FY 2014 Certifications 
and Assurances remain in effect until its Project is closed or the 
useful life of its Project property has expired, whichever is later. If 
your Applicant provides different Certifications and Assurances in a 
later fiscal year, the later Certifications and Assurances will usually 
apply to its Project, except as FTA determines otherwise in writing.

[[Page 5517]]

    d. Duration. You and your Applicant may use the FY 2014 
Certifications and Assurances in Appendix A to support applications for 
FTA funding until FTA issues its FY 2015 Certifications and Assurances.
    e. The FY 2014 Certifications and Assurances are Not a Complete 
List of Federal Requirements. FTA cautions that the FY 2014 
Certifications and Assurances focus mainly on those representations 
your Applicant is required to submit to FTA before FTA may award 
Federal funds for its Project. Consequently, these Certifications and 
Assurances do not include many other Federal requirements that will 
apply to your Applicant and its Project.
    f. Federal Requirements. In addition to the information in this 
Notice and FTA's FY 2014 Apportionments Notice, FTA also strongly 
encourages you and your Applicant's staff and prospective and current 
Third Party Participants to review all Federal legislation, 
regulations, and guidance that apply to your Applicant's proposed 
Project and to them. The FY 2014 Master Agreement identifies many of 
those requirements and applicable guidance, which can be accessed at 
https://www.fta.dot.gov.
    g. Penalties for False or Fraudulent Statements. If you provide any 
false or fraudulent statement to the Federal Government on behalf of 
your Applicant or yourself, you may incur both Federal civil and 
criminal penalties. See:
    (1) The Program Fraud Civil Remedies Act of 1986, as amended, 31 
U.S.C. 3801 et seq.,
    (2) U.S. Department of Transportation (U.S. DOT) regulations, 
``Program Fraud Civil Remedies,'' 49 CFR part 31, and
    (3) Section 5323(l)(1) of title 49, United States Code, which 
provides for Federal criminal penalties and termination of Federal 
funding should you provide, on behalf of your Applicant or yourself, a 
false or fraudulent certificate, submission, or statement in connection 
with the Federal transit program authorized by 49 U.S.C. chapter 53.

3. What are Your Responsibilities?

a. Make Sure All Involved With Your Applicant's Project Understand the 
Federal Requirements That Will Apply to Your Applicant and Its Project

    As your Applicant's authorized representative, FTA strongly advises 
you to read this Notice and the Certifications and Assurances in its 
Appendix A before selecting Certifications and Assurances on behalf of 
your Applicant. In addition to reading the information in this Notice 
and its Appendix A (located at our Web site, https://www.fta.dot.gov), 
FTA also advises you to read the information accompanying the 
apportionment tables when FTA publishes its FY 2014 Apportionments 
Notice.
    Your Applicant is responsible for compliance with all Federal 
requirements that apply to itself and its Project. Nevertheless, people 
and organizations participating in its Project, including 
Subrecipients, Third Party Contractors, and Third Party Sub-contractors 
(Third Party Participants) can seriously affect its ability to comply 
with those Federal requirements. Therefore, all Third Party 
Participants involved in its Project need to know and agree to comply 
with the Federal requirements that affect the Applicant's Project 
related activities and themselves.

b. Subrecipient and Other Third Party Participation

    Except in limited circumstances when FTA has determined otherwise, 
your Applicant is ultimately responsible for compliance with all 
Certifications and Assurances that you select on its behalf, even 
though much of its Project will be carried out by Subrecipients or 
other Third Party Participants. Therefore, FTA strongly recommends that 
you take appropriate measures to ensure that Subrecipients and other 
Third Party Participants in your Applicant's Project do not take 
actions that will cause your Applicant to violate the representations 
made in its Certifications and Assurances.

c. Submit Your Applicant's Certifications and Assurances

    You must submit all Groups of the FY 2014 Certifications and 
Assurances that apply to your Applicant and the Projects for which it 
seeks FTA funding in FY 2014. For your convenience, FTA recommends that 
you submit all 24 Groups of Certifications and Assurances. Those 
provisions of the various Certifications and Assurances that do not 
apply to your Applicant or its Project will not be enforced.

d. Obtain the Affirmation of Your Applicant's Attorney

    You must obtain an affirmation of your Applicant's Attorney, signed 
in FY 2014, stating that your Applicant has sufficient authority under 
its State and local law to certify its compliance with the FY 2014 
Certifications and Assurances that you have selected on its behalf. 
Your Applicant's Attorney must sign this affirmation during FY 2014. An 
Affirmation of its Attorney dated in a previous fiscal year is 
insufficient, unless FTA expressly determines otherwise in writing.

e. When To Submit

    (1) If your Applicant is applying for funding under any of the 
discretionary capital programs (e.g., New Starts, Small Starts, or Core 
Capacity Improvement), FTA expects to receive your Applicant's FY 2014 
Certifications and Assurances within ninety (90) days from the date of 
this publication or soon after the submittal of your Applicant's 
request for FY 2014 funding. Likewise, if your Applicant is a current 
FTA recipient with an active Project funded with FTA capital or formula 
funds, FTA expects to receive your Applicant's FY 2014 Certifications 
and Assurances within ninety (90) days from the date of this 
publication or soon after the submittal of your Applicant's request for 
FY 2014 funding.
    (2) If your Applicant seeks funding from an FTA program other than 
a formula program or a discretionary capital program, e.g., for a 
Research, Development, Demonstration, and Deployment Project, FTA 
expects to receive your Applicant's FY 2014 Certifications and 
Assurances with the submission of its Application for FTA funding or 
soon thereafter.

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

    a. Appendix A of this Notice, which is available at FTA's Web site, 
https://www.fta.dot.gov, and
    b. TEAM-Web, FTA's 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 2013?

FTA has made the following changes:

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

[[Page 5518]]

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

6. How do you submit the certifications and assurances?

    a. Electronic Submission. Except in rare circumstances and if 
permitted by FTA, you must submit your Applicant's FY 2014 
Certifications and Assurances in TEAM-Web. To submit the Certifications 
and Assurances, you must be registered in TEAM-Web.
    The TEAM-Web ``Recipients'' option at the ``Cert's & Assurances'' 
tab of the ``View/Modify Recipients'' page contains fields for 
individually selecting among the 24 Groups of Certifications and 
Assurances that apply to your Applicant and also a designated field for 
selecting all 24 Groups, of which only the requirements that apply to 
you or your Applicant will be enforced.
    The ``Cert's & Assurances'' tab has a field for you to enter your 
personal identification number (PIN), which is your electronic 
signature. There is also a field for the Attorney's PIN, affirming your 
Applicant's legal authority to make and comply with the Certifications 
and Assurances you have selected on its behalf. You may enter your PIN 
in place of the Attorney's PIN, provided that your Applicant has on 
file a similar affirmation that has been written, dated, and signed by 
its Attorney in FY 2014.
    b. Paper Submission. You may submit your Applicant's FY 2014 
Certifications and Assurances on paper only if you cannot submit them 
electronically in TEAM-Web and FTA agrees to accept hard copy 
submissions. In that case, you must submit the Signature Page(s) in 
Appendix A of the Certifications and Assurances indicating the Groups 
of Certifications and Assurances your Applicant is providing if you 
cannot submit them electronically. You may place a single mark in the 
designated space to signify your Applicant's agreement to comply with 
all Groups of Certifications and Assurances to the extent that they 
apply to it, or select the specific Groups of Certifications and 
Assurances that apply to it and its Projects.
    You must enter your signature on the Signature Page(s) and provide 
an Affirmation by your Applicant's Attorney concerning your Applicant's 
legal capacity to make and comply with the FY 2014 Certifications and 
Assurances selected on its behalf. You may enter your signature in 
place of the Attorney's signature in the Affirmation by Applicant's 
Attorney part of the Signature Page, provided that your Applicant has 
on file a similar affirmation, written, dated, and signed by its 
Attorney in FY 2014.
    For more information, you may contact the appropriate FTA Regional 
or Metropolitan Office.

    Authority: 49 U.S.C. chapter 53; the Moving Ahead for Progress 
in the 21st Century Act (MAP-21) Pub. L. 112-141, June 6, 2012; 
other Federal laws administered by FTA; U.S. DOT and FTA regulations 
codified or to be codified in Title 49, Code of Federal Regulations; 
and FTA Circulars.

Therese W. McMillan,
Deputy Administrator.
[FR Doc. 2014-01888 Filed 1-30-14; 8:45 am]
BILLING CODE P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.