The grantee must be eligible and authorized under state and local law to
request, receive, and dispense FTA funds and to execute and administer FTA
funded projects. The authority to take all necessary action and responsibility
on behalf of the grantee must be properly delegated and executed.
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Is the grantee a Designated Recipient? If not, is there a
signed supplemental agreement?
Explanation
The grantee must be a Designated Recipient or have a supplemental agreement with
a Designated Recipient. If the grantee is a statewide or regional agency
responsible for providing transit, it must be a Designated Recipient. This type
of grantee would not need a supplemental agreement in order to receive funds
directly.
Reason for the Question
49
USC 5307 (a)(2)(A)
FTA
C 9030.1C Ch. II
Sources of Information
The document confirming the selection of the Designated Recipient should be in
the regional office, usually in a one-time submissions file. A supplemental
agreement should be part of each grant to an agency other than a Designated
Recipient.
Documents designating recipients that are dated after September 19, 1987, must
include:
-
For areas with 200,000 or more population - The designation must include
concurrence by the Governor or agent with authority delegated by the Governor;
concurrence of publicly owned operators of mass transportation in the area;
certified resolution of the officials authorized to establish policy for the
MPO concurring in the designation; and an Opinion of Counsel.
-
For areas with less than 200,000 population - The Governor may delegate
"Designated Recipient" status to either a state agency or directly to local
recipients. A letter from the Governor to FTA must document selections of
Designated Recipients. An Opinion of Counsel also is required.
Determination
In most cases, the examination in this area is to determine if the proper
documentation exists. If it does, the grantee is not deficient. If
documentation does not exist in the regional office, it should be obtained from
the grantee.
A rare problem in this area has been when a regional entity in an area with a
population of 200,000 or more exists, but is not a designated recipient and the
designated recipient has not entered into a supplemental agreement with the
grantee and FTA. Unless the designated recipient for that area is an entity
other than the grantee, and the designated recipient continues to be
responsible under the laws of that state for a capital project and for
financing and directly providing mass transportation services, there must be a
finding of deficient.
Suggested Corrective Action
The appropriate parties should select a designated recipient, which ideally
would be the grantee.
Back to Questions
-
What is the definition and source of the authority of
officials acting on behalf of the grantee (e.g., authorizing resolution or
by-laws)? Is the authority properly delegated and executed?
Explanation
Officials acting on behalf of the grantee must have appropriate authority as
required by state or local law or by the governing body of the grantee. The
authority must be delegated properly to other individuals in the agency, if
necessary.
Reason for the Question
49
USC 5307(a)(2)(A)
FTA
C 9030.1C, Ch. II; Appendix F
Sources of Information
During the desk review, a list of individuals who signed FTA documents on behalf
of the grantee, in hard copy form and/or electronically, should be assembled.
Documents to review include, at a minimum, grant applications, grant
agreements, and the Annual List of Certifications and Assurances for the past
three years. The grantee should be asked to identify the individuals authorized
to act on its behalf. The person signing or using an electronic PIN on behalf
of the grantee must be authorized properly to do so.
Determination
If the person(s) who signed the documents is the authorized individual, the
grantee is not deficient. If the grantee cannot demonstrate that this person
has the authority to act on behalf of the grantee, the grantee is deficient. If
someone other than the authorized individual(s) has signed on behalf of the
grantee, the grantee is deficient.
Suggested Corrective Action
The grantee must provide sufficient authority for the appropriate individual(s)
to take official actions on its behalf. If necessary, the authority must be
delegated properly.
Back to Questions
-
Has the grantee submitted a properly completed Annual List of
Certifications and Assurances? Was it submitted on time? Was it signed (or
PINned) by an authorized official and attorney with the proper authority?
Explanation
The grantee is required to make the requisite certifications and assurances by:
1) selecting from a list provided those certifications and assurances that will
apply to all grants for the fiscal year; 2) submitting appropriate electronic
signatures in TEAM or the signature page signed by the authorized
representative and by the legal counsel; and 3) submitting properly signed
certifications and assurances on time. Certifications and assurances are due
with the first grant application in the fiscal year or within 90 days from the
date of the publication of the notice in the Federal Register, whichever comes
first.
Although grantees are encouraged to submit the certifications and assurances in
90 days, they are not required to do so. Grantees that do not anticipate
submitting a grant application during the fiscal year are also encouraged to
submit the certifications and assurances in 90 days to facilitate project
approval in case they later decide to apply for a grant, but are not required
to do so.
The certifications and assurances change from year to year. Review the
certifications and assurances in the TEAM system. These certifications show
“Yes” for selected and “N/A” for not applicable..
The certifications and assurances require two signatures or electronic PINs: one
from an authorized official and another from an attorney. Make sure the
certifications have been PINned. As discussed in the previous question, make
sure the individuals signing or PINning the certifications and assurances have
the authority to do so.
An Affirmation of Applicant’s Attorney affirming the legal authority of
the grantee and indicating whether any pending legislation or litigation may
affect the legal status of the grantee is part of the signature page for the
certifications and assurances. Requirements for this affirmation also have
varied since the inception of the annual certification process. Check the
fiscal year requirements as applicable.
Reason for the Question
49
USC 5307(d)(1)
FTA
C 9030.1C, Ch. V, Appendix G
Sources of Information
The Annual List of Certifications and Assurances should be entered in the TEAM
system so they are easily accessible for all grants to be made in the fiscal
year. The TEAM system will only accept certifications and assurances that have
been PINned by the grantee’s authorized official and attorney. If, for
some reason, the grantee is unable to use the TEAM system, the certifications
and assurances signature page is filed separately in the regional office, and
not with the grant files, since it is applicable for all grants and cooperative
agreements for that fiscal year.
Determination
The grantee is not deficient if it has properly selected all the certifications
and assurances that will apply to all grants and cooperative agreements;
properly entered its selections in the TEAM system, or completed the signature
page; and submitted it with the fiscal year’s first grant application. If
any of these conditions do not apply, the grantee is deficient.
If a grantee will not be submitting a grant application in the fiscal year of
the review, the grantee should be encouraged to submit the certifications and
assurances in TEAM. However, no finding should be made if the grantee has not
done so because the original or most recently updated certifications and
assurances remain valid to the extent applicable to the project.
Suggested Corrective Action
The grantee should submit a corrected Annual List of Certifications and
Assurances.
-
Has the grantee notified FTA of any change in local or state
laws and/or litigation that has impact on the grantees' FTA program?
Explanation
The grantee needs to notify the Regional Counsel of any change in local or state
law and/or pending litigation that may significantly affect the grantee's
ability to perform the projects in accordance with the terms of the Master
Agreement.
Reason for the Question
FTA Master
Agreement 2.g. and 49.a.
Sources of Information
The grantee must notify the Regional Counsel of any changes in local or state
laws and/or litigation in a timely manner. This type of notification may be in
the form of a letter or an e-mail correspondence. If no information is
available during the site visit regarding these items, ask the grantee to if
there were any changes in local or state laws and pending litigation since the
last triennial review.
Determination
The grantee is not deficient if it has notified the Legal Counsel in the FTA
Regional Office of any changes in local or state laws and litigation in a
timely manner. The grantee is deficient if it has not notified FTA of changes
in local or state laws.
Suggested Corrective Action
The grantee should submit the applicable information in writing to the Regional
Counsel.
