[Federal Register Volume 73, Number 244 (Thursday, December 18, 2008)]
[Notices]
[Pages 77344-77429]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-29645]
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Part IV
Department of Transportation
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Federal Transit Administration
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FTA Fiscal Year 2009 Apportionments, Allocations, and Program
Information; Notice
Federal Register / Vol. 73, No. 244 / Thursday, December 18, 2008 /
Notices
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2009 Apportionments, Allocations, and Program
Information
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
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SUMMARY: Division A of the Consolidated Security, Disaster Assistance,
and Continuing Appropriations Act, 2009, (Pub. L. 110-329) signed into
law by President Bush on September 30, 2008, continues to fund the
Federal transit programs of the Department of Transportation (DOT) at
the same levels that were available under Division K of the
``Consolidated Appropriations Act, 2008'' (Pub. L. 110-161) until a DOT
Appropriations Act for Fiscal Year (FY) 2009 is enacted or March 6,
2009, whichever occurs first. This notice provides information on
funding amounts that are currently available for the Federal Transit
Administration (FTA) assistance programs; provides program guidance and
requirements; and provides information on several program issues
important in the current year. The notice also includes tables that
show certain discretionary programs unobligated (carryover) funding
from previous years that will be available for obligation during FY
2009.
FOR FURTHER INFORMATION CONTACT: For general information about this
notice contact Henrika Buchanan-Smith, Director, Office of Transit
Programs, at (202) 366-2053. Please contact the appropriate FTA
regional office for any specific requests for information or technical
assistance. The Appendix at the end of this notice includes contact
information for FTA regional offices. An FTA headquarters contact for
each major program area is also included in the discussion of that
program in the text of the notice.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. FY 2009 Available Funding for FTA Programs
A. Available Funding Based on Division A of the Continuing
Appropriations Act, 2009, and Safe, Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for Users (SAFETEA-LU)
B. Program Funds Set-Aside for Oversight
III. FY 2009 FTA Key Program Initiatives and Changes
A. SAFETEA-LU Implementation
B. Planning Emphasis Areas
C. Earmarks and Competitive Grant Opportunities
D. Flexible Funding Procedures
E. Changes in Match for Biodiesel Vehicles and Hybrid Retrofits
F. National Transit Database (NTD) Disaster Adjustments Policy
IV. FTA PROGRAMS
A. Metropolitan Planning Program (49 U.S.C. 5305)
B. Statewide Planning and Research Program (49 U.S.C. 5305)
C. Urbanized Area Formula Program (49 U.S.C. 5307)
D. Clean Fuels Formula Program (49 U.S.C. 5308)
E. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway
Modernization
F. Capital Investment Program (49 U.S.C. 5309)--Bus and Bus-
Related Facilities
G. Capital Investment Program (49 U.S.C. 5309)--New Starts
H. Special Needs of Elderly Individuals and Individuals With
Disabilities Program (49 U.S.C. 5310)
I. Nonurbanized Area Formula Program (49 U.S.C. 5311)
J. Rural Transportation Assistance Program (49 U.S.C.
5311(b)(3))
K. Public Transportation on Indian Reservation Program (49
U.S.C. 5311(c))
L. National Research Program (49 U.S.C. 5314)
M. Job Access and Reverse Commute Program (49 U.S.C. 5316)
N. New Freedom Program (49 U.S.C. 5317)
O. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320)
P. Alternatives Analysis Program (49 U.S.C. 5339)
Q. Growing States and High Density States Formula (49 U.S.C.
5340)
R. Over-the-Road Bus Accessibility Program (49 U.S.C. 5310 note)
V. FTA Policy And Procedures for FY 2009 Grants Requirements
A. Automatic Pre-Award Authority To Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FTA FY 2009 Annual List of Certifications and Assurances
D. FHWA Funds Used for Transit Purposes
E. Grant Application Procedures
F. Payments
G. Oversight
H. Technical Assistance
TABLES
1. FTA FY 2009 APPROPRIATIONS AND APPORTIONMENTS FOR GRANT
PROGRAMS
2. FTA FY 2009 METROPOLITAN PLANNING PROGRAM AND STATEWIDE
PLANNING AND RESEARCH PROGRAM APPORTIONMENTS
3. FTA FY 2009 SECTION 5307 AND SECTION 5340 URBANIZED AREA
APPORTIONMENTS
4. FTA FY 2009 SECTION 5307 APPORTIONMENT FORMULA
5. FTA FY 2009 FORMULA PROGRAMS APPORTIONMENTS DATA UNIT VALUES
6. FTA FY 2009 SMALL TRANSIT INTENSIVE CITIES PERFORMANCE DATA
AND APPORTIONMENTS
7. FTA PRIOR YEAR UNOBLIGATED SECTION 5308 CLEAN FUELS
ALLOCATIONS
8. FTA FY 2009 SECTION 5309 FIXED GUIDEWAY MODERNIZATION
APPORTIONMENTS
9. FTA FY 2009 FIXED GUIDEWAY MODERNIZATION PROGRAM
APPORTIONMENT FORMULA
10. FTA PRIOR YEAR UNOBLIGATED SECTION 5309 BUS AND BUS-RELATED
FACILITIES ALLOCATIONS
11. FTA FY 2009 SECTION 5309 NEW STARTS ALLOCATIONS
12. FTA PRIOR YEAR UNOBLIGATED SECTION 5309 NEW STARTS
ALLOCATIONS
13. FTA FY 2009 SPECIAL NEEDS FOR ELDERLY INDIVIDUALS AND
INDIVIDUALS WITH DISABILITIES APPORTIONMENTS
14. FTA FY 2009 SECTION 5311 AND SECTION 5340 NONURBANIZED AREA
FORMULA APPORTIONMENTS, AND RURAL TRANSPORTATION ASSISTANCE PROGRAM
(RTAP) ALLOCATIONS
15. FTA PRIOR UNOBLIGATED TRIBAL TRANSIT DISCRETIONARY
ALLOCATIONS
16. FTA FY 2009 SECTION 5316 JOB ACCESS AND REVERSE COMMUTE
(JARC) APPORTIONMENTS
17. FTA PRIOR UNOBLIGATED DISCRETIONARY JARC ALLOCATIONS
18. FTA FY 2009 SECTION 5317 NEW FREEDOM APPORTIONMENTS
19. FTA PRIOR YEAR UNOBLIGATED SECTION 5339 ALTERNATIVE ANALYSIS
ALLOCATIONS
APPENDIX
I. Overview
This document apportions or allocates the FY 2009 funds that were
made available under Division A of the Consolidated Security, Disaster
Assistance, and Continuing Appropriations Act, 2009, (Pub. L. 110-329,
September 30, 2008), hereinafter, (``Continuing Appropriations Act,
2009'') among potential program recipients according to statutory
formulas in 49 U.S.C. Chapter 53 and existing Full Funding Grant
Agreements. The notice only includes the amount of FY 2009 funds that
is currently available, which is approximately \5/12\ or 43% of the
amounts that were available under the Consolidated Appropriations Act,
2008. The notice does not include any extension or reprogramming of any
discretionary funds that lapsed to the designated project as of
September 30, 2008. The notice also does not include partial amounts
made available to projects designated Bus and Bus-Related Facilities
Program funds or National Research Program funds under SAFETEA-LU. FTA
will issue a supplemental notice at a later date regarding these
projects and any additional increments of formula and discretionary
funds that become available.
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For each FTA program included in this notice, we have provided
relevant information on the FY 2009 funding currently available,
program requirements, period of availability, and other related program
information and highlights, as appropriate. A separate section of the
document provides information on program requirements and guidance that
are applicable to all FTA programs.
II. FY 2009 Funding for FTA Programs
A. Funding Based on the Continuing Appropriations Act, 2009 (Pub. L.
110-329, September 30, 2008) and SAFETEA-LU Authorization
The Continuing Appropriations Act, 2009, provides general funds and
obligation authority on trust funds from the MTA that total $4.1
billion for FTA programs, until a DOT Appropriations Act for FY 2009 is
enacted or a continued continuing Resolution after March 6, 2009,
whichever occurs first. Table 1 of this document shows the funding for
the FTA programs, as provided for in the Continuing Appropriations Act,
2009. All Formula Programs and the Section 5309 Bus and Bus-Related
Facilities Program are funded entirely from MTA of the Highway Trust
Fund in FY 2009. The Section 5309 New Starts Program, the Research
Program, and FTA administrative expenses are funded by appropriations
from the General Fund of the Treasury.
Congress has enacted a partial year Continuing Appropriations Act,
2009. This Federal Register notice includes tables of apportionments
and allocations for FTA formula programs based on that Act. Prorated
allocations based on FY 2008 funding levels are also included for
active Full Funding Grant Agreements (FFGAs) under the New Starts
discretionary program; however, FY 2009 discretionary allocations for
other discretionary programs will not be published until FTA issues a
subsequent notice as additional resources are made available.
B. Program Funds Set-Aside for Project Management Oversight
FTA uses a percentage of funds appropriated to certain FTA programs
for program oversight activities conducted by the agency. The funds are
used to provide necessary oversight activities, including oversight of
the construction of any major capital project under these statutory
programs; to conduct safety and security, civil rights, procurement
systems, management, planning certification and, financial reviews and
audits, as well as evaluations and analyses of grantee specific
problems and issues; and to provide technical assistance to correct
deficiencies identified in compliance reviews and audits.
Section 5327 of title 49 U.S.C., authorizes the takedown of funds
from FTA programs for project management oversight. Section 5327
provides oversight takedowns at the following levels: 0.5 percent of
Planning funds, 0.75 percent of Urbanized Area Formula funds, 1 percent
of Capital Investment funds, 0.5 percent of Special Needs of Elderly
Individuals and Individuals with Disabilities formula funds, 0.5
percent of Nonurbanized Area Formula funds, and 0.5 percent of the Paul
S. Sarbanes Transit in the Parks Program funds (formerly the
Alternative Transportation in the Parks and Public Lands Program).
III. FY 2009 FTA Program Initiatives and Changes
A. SAFETEA-LU Implementation
In FY 2009, FTA continues to focus on implementation of SAFETEA-LU
through issuance of new and revised program guidance and regulations.
Before any documents that place binding obligations on grantees are
finalized and issued, FTA makes them available for public comment. We
encourage grantees to regularly check the FTA Web site at http://www.fta.dot.gov and the U.S. Government docket management Website at
http://regulations.gov for new issuances and to comment to the docket
established for each document on relevant issues.
B. Planning Emphasis Areas
In recognition of the priority planning organizations and grantees
are giving to the implementation of the new and changed provisions of
SAFETEA-LU, FTA and the Federal Highway Administration (FHWA) are not
issuing new planning emphasis areas for FY 2009, and have rescinded
planning emphasis areas from prior years.
C. Earmarks and Competitive Grant Opportunities
SAFETEA-LU contained statutory earmarks under several programs.
Absent future legislation to the contrary, FTA will honor the statutory
earmarks; however, funds for the FY 2009 discretionary programs with
the exception of New Start Program funds for existing FFGAs will not be
made available in partial increments. FTA will publish the availability
of discretionary funds in a subsequent notice. This notice does include
tables of unobligated balances for earmarks from previous years under
the Bus and Bus-Related Facilities Program, the New Starts Program, the
Clean Fuels Program, and the Alternatives Analysis Program. FTA will
continue to honor those earmarks. FTA will supplement this notice, at a
later date, to provide any additional discretionary allocations of
funds made available in FY 2009 and any lapsed prior year earmarks that
the Secretary of Transportation determines to extend or reprogram, once
the Department has examined the requests.
D. Flexible Funding Procedures
Obligation authority for flexible funds, high priority projects and
other transit projects in title 23 U.S.C. is transferred to FTA when
States and local agencies determine that FTA will administer the
project. The liquidating cash, however, is transferred between Federal
accounts only as needed to ensure that adequate funds are available for
disbursement on a timely basis. In order to track the cash flow more
closely, FTA no longer combines funds transferred from FHWA into a
single grant with FTA funds in the program to which they are
transferred. FTA has established codes and procedures for grants
involving funds transferred from FHWA. Grantees can contact the
appropriate regional office for assistance.
E. Changes in Match for Biodiesel Vehicles and Hybrid Retrofits
Section 164 of the Consolidated Appropriations Act, 2008, allowed a
90 percent Federal share for biodiesel buses and for the net capital
cost of factory-installed or retrofitted hybrid electric propulsion
systems and any equipment related to such a system. This increased
federal share is a cross-cutting provision and is applicable across FTA
programs for any grants awarded during FY 2008 regardless of what
fiscal year funding is used. This provision remains in effect pursuant
to Division A of the Continuing Appropriations Act, 2009, which expires
on or before March 6, 2009. Grantees may apply for a 90 percent Federal
share for the entire cost of a biodiesel bus, but only for the cost of
the propulsion system and related equipment in the case of the hybrid
electric systems, not for 90 percent of the cost of the entire vehicle.
In lieu of calculating the costs of the equipment separately, grantees
may apply for 83 percent of the cost of the vehicle.
[[Page 77346]]
F. National Transit Database (NTD) Disaster Adjustments Policy
Previously, when a transit provider could not report to the NTD due
to an ``Act of God'', such as an earthquake, fire, or flood, FTA would
grant the affected transit provider a ``hold harmless adjustment,'' by
using the previous year's service data reported to the NTD for that
transit provider in the apportionment of formula grants for urbanized
areas. On August 14, 2008, FTA proposed to change this policy and
initiated notice and comment on the proposal. Effective November 13,
2008, (73 FR 67247), FTA established a new policy, retroactive to NTD
Report Year (RY) 2007 data, allowing transit providers that suffer a
marked decrease in service data due to a natural or man-made disaster
to receive a similar ``hold harmless adjustment'' in the apportionment
of formula grants for urbanized areas. This adjustment is not automatic
and must be requested in writing by either the affected transit
provider, or the affected designated recipient for the urbanized area.
FTA will approve or deny each request at its discretion based on the
following factors: (1) Whether a Federal disaster declaration was in
place for all or part of the current report year, for either all or
part of the transit provider's service area; (2) whether the request
demonstrates that the decrease in transit service from the report year
before the disaster is in large part due to the ongoing impact of the
disaster; and (3) whether the request demonstrates that the decrease in
transit service reasonably appears to be temporary, and does not
reflect the true transit needs of the urbanized area. FTA will not
grant adjustment requests that do not address all three factors.
Adjustment requests should include sufficient documentation to allow
FTA to evaluate the request based on these factors. FTA may request
additional information from an applicant for an adjustment to evaluate
the request based on these factors. A request for an adjustment may
only be made for one year at a time. Requests for an adjustment related
to the same disaster may be made in subsequent years, provided that the
applicant can continue to support its request based on the above
factors. If the adjustment request is granted, the NTD data in all
publicly-available data sets and data products would remain unadjusted,
and would reflect the actual NTD submission for the transit provider.
The only adjustment would be in using data from the previous full NTD
Report Year before the disaster occurred in the data sets used for the
apportionments of formula grants for urbanized areas.
Further instructions for requesting a ``hold harmless'' adjustment
will be found in future editions of the NTD Annual Reporting Manual,
available at http://www.ntdprogram.gov.
IV. FTA Programs
This section of the notice provides available FY 2009 funding and/
or other important program-related information for the three major FTA
funding accounts included in the notice (Formula and Bus Grants,
Capital Investment Grants, and Research Grants). Of the 17 separate FTA
programs contained in this notice that fall under the major program
area headings, funding for ten programs is apportioned by statutory or
administrative formula. Funding for the other seven is allocated on a
discretionary or competitive basis.
Funding and/or other important information for each of the 17
programs is presented immediately below. This includes program
apportionments or allocations, certain program requirements, length of
time FY 2009 funding is available for obligation and other significant
program information pertaining to FY 2009.
A. Metropolitan Planning Program (49 U.S.C. 5305(d))
Section 5305(d) authorizes federal funding to support a
cooperative, continuous, and comprehensive planning program for
transportation investment decision-making at the metropolitan area
level. The specific requirements of metropolitan transportation
planning are set forth in 49 U.S.C. 5303 and further explained in 23
CFR Part 450 as referenced in 49 CFR Part 613, Statewide Transportation
Planning; Metropolitan Transportation Planning; Final Rule. State
Departments of Transportation are direct recipients of funds allocated
by FTA, which are then suballocated to Metropolitan Planning
Organizations (MPOs) by formula, for planning activities that support
the economic vitality of the metropolitan area, especially by enabling
global competitiveness, productivity, and efficiency; increasing the
safety and security of the transportation system for motorized and non-
motorized users; increasing the accessibility and mobility options
available to people and for freight; protecting and enhancing the
environment, promoting energy conservation, and improving quality of
life; enhancing the integration and connectivity of the transportation
system, across and between modes, for people and freight; promoting
efficient system management and operation; and emphasizing the
preservation of the existing transportation system. This funding must
support work elements and activities resulting in balanced and
comprehensive intermodal transportation planning for the movement of
people and goods in the metropolitan area. Comprehensive transportation
planning is not limited to transit planning or surface transportation
planning, but also encompasses the relationships among land use and all
transportation modes, without regard to the programmatic source of
Federal assistance. Eligible work elements or activities include, but
are not limited to studies relating to management, planning,
operations, capital requirements, and economic feasibility; evaluation
of previously funded projects; peer reviews and exchanges of technical
data, information, assistance, and related activities in support of
planning and environmental analysis among MPOs and other transportation
planners; work elements and related activities preliminary to and in
preparation for constructing, acquiring, or improving the operation of
facilities and equipment. An exhaustive list of eligible work
activities is provided in FTA Circular 8100.1C, Program Guidance for
Metropolitan Planning and State Planning and Research Program Grants,
dated September 1, 2008. For more about the Metropolitan Planning
Program and the FTA Circular 8100.1C, contact Victor Austin Office of
Planning and Environment at (202) 366-2996.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $38,068,323 to
the Metropolitan Planning Program (49 U.S.C. 5305(d)) to support
metropolitan transportation planning activities set forth in 49 U.S.C.
5303. The total amount apportioned for the Metropolitan Planning
Program to States for MPOs' use in urbanized areas (UZAs) is
37,877,981, as shown in the table below, after the deduction for
oversight and the addition of prior year reapportioned funds.
Metropolitan Planning Program
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------------------------------------------------------------------------
Total Appropriation................................... $38,068,323
Oversight Deduction................................... -190,342
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Total Apportioned................................. 37,877,981
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States' apportionments for this program are displayed in Table 2.
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2. Basis for Formula Apportionments
As specified in law, 82.72 percent of the amounts authorized for
Section 5305 are allocated to the Metropolitan Planning program. FTA
allocates Metropolitan Planning funds to the States according to a
statutory formula. Eighty percent of the funds are distributed to the
States as a basic allocation based on each State's UZA population,
based on the most recent decennial Census. The remaining 20 percent is
provided to the States as a supplemental allocation based on an FTA
administrative formula to address planning needs in the larger, more
complex UZAs. The amount published for each State is a combined total
of both the basic and supplemental allocation.
3. Program Requirements
The State allocates Metropolitan Planning funds to MPOs in UZAs or
portions thereof to provide funds for projects included in an annual
work program (the Unified Planning Work Program, or UPWP) that includes
both highway and transit planning projects. Each State has either
reaffirmed or developed, in consultation with their MPOs, a new
allocation formula, as a result of the 2000 Census. The State
allocation formula may be changed annually, but any change requires
approval by the FTA regional office before grant approval. Program
guidance for the Metropolitan Planning Program is found in FTA Circular
8100.1C, Program Guidance for Metropolitan Planning and State Planning
and Research Program Grants, dated September 1, 2008. For more about
the Metropolitan Planning Program and the FTA Circular 8100.1C, contact
Victor Austin of the Office of Planning and Environment at (202) 366-
2996.
4. Period of Availability
The funds apportioned under the Metropolitan Planning program
remain available to be obligated by FTA to recipients for four fiscal
years--which includes the year of apportionment plus three additional
years. Any apportioned funds that remain unobligated at the close of
business on September 30, 2012, will revert to FTA for reapportionment
under the Metropolitan Planning Program.
5. Other Program or Apportionment Related Information and Highlights
a. Planning Emphasis Areas (PEAs). FTA and FHWA are not issuing new
PEAs this year, and are rescinding PEAs issued in prior years, in light
of the priority given to implementation of SAFETEA-LU planning and
program provisions.
b. Consolidated Planning Grants. FTA and FHWA planning funds under
both the Metropolitan Planning and State Planning and Research Programs
can be consolidated into a single consolidated planning grant (CPG),
awarded by either FTA or FHWA. The CPG eliminates the need to monitor
individual fund sources, if several have been used, and ensures that
the oldest funds will always be used first. Unlike ``flex funds'' for
capital programs, planning funds from FHWA may be combined with FTA
planning funds in a single grant. Alternatively, FTA planning funds may
be transferred to FHWA to be administered as combined grants.
Under the CPG, States can report metropolitan planning program
expenditures (to comply with the Single Audit Act) for both FTA and
FHWA under the Catalogue of Federal Domestic Assistance number for
FTA's Metropolitan Planning Program (20.505). Additionally, for States
with an FHWA Metropolitan Planning (PL) fund-matching ratio greater
than 80 percent, the State can waive the 20 percent local share
requirement, with FTA's concurrence, to allow FTA funds used for
metropolitan planning in a CPG to be granted at the higher FHWA rate.
For some States, this Federal match rate can exceed 90 percent.
States interested in transferring planning funds between FTA and
FHWA should contact the FTA Regional Office or FHWA Division Office for
more detailed procedures. Current guidelines are included in Federal
Highway Administration Memorandum dated July 12, 2007, ``Information:
Final Transfers to Other Agencies that Administer Title 23 Programs.''
For further information on CPGs, contact Kristen Clarke, Office of
Budget and Policy, FTA, at (202) 366-1686, Ken Johnson, Office of
Program Management, FTA, at (202) 366-1659, or Kenneth Petty, Office of
Planning and Environment, FHWA, at (202) 366-6654.
B. State Planning and Research Program (49 U.S.C. 5305(e))
This program provides financial assistance to States for Statewide
transportation planning and other technical assistance activities,
including supplementing the technical assistance program provided
through the Metropolitan Planning program. The specific requirements of
Statewide transportation planning are set forth in 49 U.S.C. 5304 and
further explained in 23 CFR Part 450 as referenced in 49 CFR Part 613,
Statewide Transportation Planning; Metropolitan Transportation
Planning; Final Rule. This funding must support work elements and
activities resulting in balanced and comprehensive intermodal
transportation planning for the movement of people and goods.
Comprehensive transportation planning is not limited to transit
planning or surface transportation planning, but also encompasses the
relationships among land use and all transportation modes, without
regard to the programmatic source of Federal assistance. For more
information, contact Victor Austin of the Office of Planning and
Environment at (202) 366-2996.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $7,952,377 to the
State Planning and Research Program (49 U.S.C. 5305). The total amount
apportioned for the State Planning and Research Program (SPRP) is
$7,912,615, as shown in the table below, after the deduction for
oversight (authorized by 49 U.S.C. 5327).
State Planning and Research Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation................................... $7,952,377
Oversight Deduction................................... -39,762
-----------------
Total Apportioned................................. 7,912,615
------------------------------------------------------------------------
State apportionments for this program are displayed in Table 2.
2. Basis for Apportionment Formula
As specified in law, 17.28 percent of the amounts authorized for
Section 5305 are allocated to the State Planning and Research program.
FTA apportions funds to States by a statutory formula that is based on
the most recent decennial Census, and the State's UZA population as
compared to the UZA population of all States.
3. Requirements
Funds are provided to States for Statewide transportation planning
programs. These funds may be used for a variety of purposes such as
planning, technical studies and assistance, demonstrations, and
management training. In addition, a State may authorize a portion of
these funds to be used to supplement Metropolitan Planning funds
allocated by the State to its UZAs, as the State deems appropriate.
Program guidance for the State Planning and Research program is found
in FTA Circular 8100.1C. This funding must support work elements and
activities resulting in balanced and comprehensive intermodal
[[Page 77348]]
transportation planning for the movement of people and goods.
Comprehensive transportation planning is not limited to transit
planning or surface transportation planning, but also encompasses the
relationships among land use and all transportation modes, without
regard to the programmatic source of Federal assistance. Eligible work
elements or activities include, but are not limited to studies relating
to management, planning, operations, capital requirements, and economic
feasibility; evaluation of previously funded projects; peer reviews and
exchanges of technical data, information, assistance, and related
activities in support of planning and environmental analysis; work
elements and related activities preliminary to and in preparation for
constructing, acquiring, or improving the operation of facilities and
equipment. An exhaustive list of eligible work activities is provided
in FTA Circular 8100.1C, Program Guidance for Metropolitan Planning and
State Planning and Research Program Grants, dated September 1, 2008.
For more information, contact Victor Austin, Office of Planning and
Environment at (202) 366-2996.
4. Period of Availability
The funds apportioned under the State Planning and Research program
remain available to be obligated by FTA to recipients for four fiscal
years--which include the year of apportionment plus three additional
fiscal years. Any apportioned funds that remain unobligated at the
close of business on September 30, 2012, will revert to FTA for
reapportionment under the State Planning and Research Program.
5. Other Program or Apportionment Related Information and Highlights
See Section A5 for information about Planning Emphasis Areas and
CPGs.
C. Urbanized Area Formula Program (49 U.S.C. 5307)
Section 5307 authorizes Federal capital and operating assistance,
in some cases, for transit in Urbanized Areas (UZAs). A UZA is an area
with a population of 50,000 or more that has been defined and
designated as such in the most recent decennial Census by the U.S.
Census Bureau. The Urbanized Area Formula Program funds may also be
used to support planning activities, and may supplement to planning
projects funded under the Metropolitan Planning program described
above. Urbanized Areas Formula Program funds used for planning must be
shown in the UPWP for MPO(s) with responsibility for that area. Funding
is apportioned directly to each UZA with a population of 200,000 or
more, and to the State Governors for UZAs with populations between
50,000 and 200,000. Eligible applicants are limited to entities
designated as recipients in accordance with 49 U.S.C. 5307(a)(2) and
other public entities with the consent of the Designated Recipient.
Generally, operating assistance is not an eligible expense for UZAs
with populations of 200,000 or more. However, there are several
exceptions to this restriction. The exceptions are described in section
3(d)(5) below.
For more information about the Urbanized Area Formula Program
contact Scott Faulk, Office of Transit Programs, at (202) 366-1660.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $1,682,053,574 to
the Urbanized Area Formula Program (49 U.S.C. 5307). The total amount
apportioned for the Urbanized Area Formula Program is $1,828,187,915 as
shown in the table below, after the 0.75 percent deduction for
oversight (authorized by 49 U.S.C. 5327) and including funds
apportioned to UZAs from the appropriation for Section 5340 for Growing
States and High Density States.
Urbanized Area Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................. $1,682,053,574
\a\
Oversight Deduction.................................. -12,615,402
Section 5340 Funds Added............................. 158,749,743
------------------
Total Apportioned................................ 1,828,187,915
------------------------------------------------------------------------
\a\ One percent set-aside for Small Transit Intensive Cities Formula.
Table 3 displays the amounts apportioned under the Urbanized Area
Formula Program.
2. Basis for Formula Apportionment
FTA apportions Urbanized Area Formula Program funds based on
legislative formulas. Different formulas apply to UZAs with populations
of 200,000 or more and to UZAs with populations less than 200,000. For
UZAs with 50,000 to 199,999 in population, the formula is based solely
on population and population density. For UZAs with populations of
200,000 and more, the formula is based on a combination of bus revenue
vehicle miles, bus passenger miles, fixed guideway revenue vehicle
miles, and fixed guideway route miles, as well as population and
population density. Table 4 includes detailed information about the
formulas.
To calculate a UZA's FY 2009 apportionment, FTA used population and
population density statistics from the 2000 Census and (when
applicable) validated mileage and transit service data from transit
providers' 2007 National Transit Database (NTD) Report Year. Pursuant
to 49 U.S.C. 5336(b), FTA used 60 percent of the directional route
miles attributable to the Alaska Railroad passenger operations system
to calculate the apportionment for the Anchorage, Alaska UZA.
We have calculated dollar unit values for the formula factors used
in the Urbanized Area Formula Program apportionment calculations. These
values represent the amount of money each unit of a factor is worth in
this year's apportionment. The unit values change each year, based on
all of the data used to calculate the apportionments. The dollar unit
values for FY 2009 are displayed in Table 5. To replicate the basic
formula component of a UZA's apportionment, multiply the dollar unit
value by the appropriate formula factor (i.e., the population,
population x population density), and when applicable, data from the
NTD (i.e., route miles, vehicle revenue miles, passenger miles, and
operating cost).
In FY 2009, one percent of funds appropriated for Section 5307, or
$16,820,536 based on the Continuing Appropriations Act, is set aside
for Small Transit Intensive Cities (STIC). FTA apportions these funds
to UZAs under 200,000 in population that operate at a level of service
equal to or above the industry average level of service for all UZAs
with a population of at least 200,000, but not more than 999,999, in
one or more of six performance categories: Passenger miles traveled per
vehicle revenue mile, passenger miles traveled per vehicle revenue
hour, vehicle revenue miles per capita, vehicle revenue hours per
capita, passenger miles traveled per capita, and passengers per capita.
The data for these categories for the purpose of FY 2009
apportionments comes from the NTD reports for the 2007 reporting year.
This data is used to determine a UZA's eligibility under the STIC
formula, and is also used in the STIC apportionment calculations.
Because these performance data change with each year's NTD reports, the
UZAs eligible for STIC funds and the amount each receives may vary each
year. In FY 2009, FTA apportioned $56,826 for each performance factor/
category for which the urbanized area exceeded the national average for
UZAs with a
[[Page 77349]]
population of at least 200,000 but not more than 999,999.
In addition to the funds apportioned to UZAs, according to the
Section 5307 formula factors contained in 49 U.S.C. 5336, FTA also
apportions funds to urbanized areas under Section 5340 Growing States
and High Density States formula factors. In FY 2009, FTA apportions
$64,557,843 to 453 UZA's in all 50 States and $94,191,900 to 46 UZAs in
seven High Density States. Half of the funds appropriated for Section
5340 are available to Growing States and half to High Density States.
FTA apportions Growing States funds by a formula based on State
population forecasts for 15 years beyond the most recent Census. FTA
distributes the amounts apportioned for each State between UZAs and
nonurbanized areas based on the ratio of urbanized/nonurbanized
population within each State in the 2000 census, and to UZAs
proportionately based on UZA population in the 2000 census because
population estimates are not available at the UZA level. FTA apportions
the High Density States funds to States with population densities in
excess of 370 persons per square mile. These funds are apportioned only
to UZAs within those States. FTA pro-rates each UZA's share of the High
Density funds based on the population of the UZAs in the State in the
2000 census.
FTA cannot provide unit values for the Growing States or High
Density formulas because the allocations to individual States and
urbanized areas are based on their relative population data, rather
than on a national per capita basis.
Based on language in the conference report accompanying SAFETEA-LU,
FTA is to show a single apportionment amount for Section 5307, STIC and
Section 5340. FTA shows a single Section 5307 apportionment amount for
each UZA in Table 3, the Urbanized Area Formula apportionments. The
amount includes funds apportioned based on the Section 5307 formula
factors, any STIC funds, and any Growing States and High Density States
funding allocated to the area. FTA uses separate formulas to calculate
and generate the respective apportionment amounts for the Section 5307,
STIC and Section 5340. For technical assistance purposes, the UZAs that
received STIC funds are listed in Table 6. FTA will make available
breakouts of the funding allocated to each UZA under these formulas,
upon request to the regional office.
3. Program Requirements
Program guidance for the Urbanized Area Formula Program is
presently found in FTA Circular C9030.1C, Urbanized Area Formula
Program: Grant Application Instructions, dated October 1, 1998, and
supplemented by additional information or changes provided in this
document. FTA is in the process of updating the circular. Several
important program requirements are highlighted below.
a. Urbanized Area Formula Apportionments to Governors
For small UZAs, those with a population of less than 200,000, FTA
apportions funds to the Governor of each State for distribution. A
single total Governor's apportionment amount for the Urbanized Area
Formula, STIC, and Growing States and High Density States is shown in
the Urbanized Area Formula Apportionment Table 3. The table also shows
the apportionment amount attributable to each small UZA within the
State. The Governor may determine the sub-allocation of funds among the
small UZAs except that funds attributed to a small UZA that is located
within the planning boundaries of a Transportation Management Area
(TMA) must be obligated to that small UZA, as discussed in subsection f
below.
b. Transit Enhancements
Section 5307(d)(1)(K) requires that one percent of Section 5307
funds apportioned to UZAs with populations of 200,000 or more be spent
on eligible transit enhancement activities or projects. This
requirement is now treated as a certification, rather than as a set-
aside as was the case under the Transportation Equity Act for the 21st
Century (TEA-21). Designated recipients in UZAs with populations of
200,000 or more certify they are spending not less than one percent of
Section 5307 funds for transit enhancements. In addition, Designated
Recipients must submit an annual report on how they spent the money
with the Federal fiscal year's final quarterly progress report in TEAM-
Web. The report should include the following elements: (a) Grantee
name; (b) UZA name and number; (c) FTA project number; (d) transit
enhancement category; (e) brief description of enhancement and progress
towards project implementation; (f) activity line item code from the
approved budget; and (g) amount awarded by FTA for the enhancement. The
list of transit enhancement categories and activity line item (ALI)
codes may be found in the table of Scope and ALI codes on TEAM-Web,
which can be accessed at http://FTATEAMWeb.fta.dot.gov.
The term ``transit enhancement'' includes projects or project
elements that are designed to enhance public transportation service or
use and are physically or functionally related to transit facilities.
Eligible enhancements include the following: (1) Historic preservation,
rehabilitation, and operation of historic mass transportation
buildings, structures, and facilities (including historic bus and
railroad facilities); (2) bus shelters; (3) landscaping and other
scenic beautification, including tables, benches, trash receptacles,
and street lights; (4) public art; (5) pedestrian access and walkways;
(6) bicycle access, including bicycle storage facilities and installing
equipment for transporting bicycles on mass transportation vehicles;
(7) transit connections to parks within the recipient's transit service
area; (8) signage; and (9) enhanced access for persons with
disabilities to mass transportation.
It is the responsibility of the MPO to determine how the one-
percent for transit enhancements will be allotted to transit projects.
The one percent minimum requirement does not preclude more than one
percent from being expended in a UZA for transit enhancements. However,
activities that are only eligible as enhancements--in particular,
operating costs for historic facilities--may be assisted only within
the one-percent funding level.
c. Transit Security Projects
Pursuant to section 5307(d)(1)(J), each recipient of Urbanized Area
Formula funds must certify that of the amount received each fiscal
year, it will expend at least one percent on ``public transportation
security projects'' or must certify that it has decided the expenditure
is not necessary. For applicants not eligible to receive Section 5307
funds for operating assistance, only capital security projects may be
funded with the one percent. SAFETEA-LU, however, expanded the
definition of eligible ``capital'' projects to include specific crime
prevention and security activities, including: (1) Projects to refine
and develop security and emergency response plans; (2) projects aimed
at detecting chemical and biological agents in public transportation;
(3) the conduct of emergency response drills with public transportation
agencies and local first response agencies; and (4) security training
for public transportation employees, but excluding all expenses related
to operations, other than such
[[Page 77350]]
expenses incurred in conducting emergency drills and training. ALI
codes have been established for these four new capital activities. The
one percent may also include security expenditures included within
other capital activities, and, where the recipient is eligible,
operating assistance. The relevant ALI codes would be used for those
activities.
FTA is often called upon to report to Congress and others on how
grantees are expending Federal funds for security enhancements. To
facilitate tracking of grantees' security expenditures, which are not
always evident when included within larger capital or operating
activity line items in the grant budget, we have established a non-
additive (``non-add'') scope code for security expenditures--Scope 991.
The non-add scope is to be used to aggregate activities included in
other scopes, and it does not increase the budget total. Section 5307
grantees should include this non-add scope in the project budget for
each new Section 5307 grant application or amendment. Under this non-
add scope, the applicant should repeat the full amount of any of the
line items in the budget that are exclusively for security and include
the portion of any other line item in the project budget that is
attributable to security, using under the non-add scope the same line
item used in the project budget. The grantee can modify the ALI
description or use the extended text feature, if necessary, to describe
the security expenditures.
The grantee must provide information regarding its use of the one
percent for security as part of each Section 5307 grant application,
using a special screen in TEAM-Web. If the grantee has certified that
it is not necessary to expend one percent for security, the Section
5307 grant application must include information to support that
certification. FTA will not process an application for a Section 5307
grant until the security information is complete.
d. FY 2009 Operating Assistance
UZAs under 200,000 in population may use Section 5307 funds for
operating assistance. In addition, Section 5307, as amended by,
SAFETEA-LU and TEA-21, allows some UZAs with a population of 200,000 or
more to use FY 2009 Urbanized Area Formula funds for operating
assistance under certain conditions. The specific provisions allowing
the limited use of operating assistance in large UZAs are as follows:
(1) Section 5307(b)(1)(E) provides for grants for the operating
costs of equipment and facilities for use in public transportation in
the Evansville, IN-KY urbanized area, for a portion or portions of the
UZA if the portion of the UZA includes only one State, the population
of the portion is less than 30,000, and the grants will be not used to
provide public transportation outside of the portion of the UZA.
(2) Section 5307(b)(1)(F) provides operating costs of equipment and
facilities for use in public transportation for local governmental
authorities in areas which adopted transit operating and financing
plans that became a part of the Houston, Texas, UZA as a result of the
2000 decennial census of population, but lie outside the service area
of the principal public transportation agency that serves the Houston
UZA.
(3) Section 5336(a)(2) prescribes the formula to be used to
apportion Section 5307 funds to UZAs with population of 200,000 or
more. SAFETEA-LU amended 5336(a)(2) to add language that stated, ``* *
* except that the amount apportioned to the Anchorage urbanized area
under subsection (b) shall be available to the Alaska Railroad for any
costs related to its passenger operations.'' This language has the
effect of directing that funds apportioned to the Anchorage urbanized
area, under the fixed guideway tiers of the Section 5307 apportionment
formula, be made available to the Alaska Railroad, and that these funds
may be used for any capital or operating costs related to its passenger
operations.
(4) Section 3027(c)(3) of TEA-21, as amended (49 U.S.C. 5307 note),
provides an exception to the restriction on the use of operating
assistance in a UZA with a population of 200,000 or more, by allowing
transit providers/grantees that provide service exclusively to elderly
persons and persons with disabilities and that operate 20 or fewer
vehicles to use Section 5307 funds apportioned to the UZA for operating
assistance. The total amount of funding made available for this purpose
under Section 3027(c)(3) is $1.4 million. Transit providers/grantees
eligible under this provision have already been identified and
notified.
(5) Pursuant to the SAFETEA-LU Technical Corrections Act, 2008, in
FY 2009, section 5307(b)(2) allows (1) UZAs that grew in population
from under 200,000 to over 200,000 or that were under 200,000 but
merged into another urbanized area and the population is over 200,000,
as a result of the 2000 Census to use Section 5307 funds for operating
assistance in an amount up to 50 percent of the grandfathered amount
for FY 2002 funds; (2) Areas that were nonurbanized under the 1990
Census and became urbanized, as a result of the 2000 Census, to use no
more than 50 percent of the amount apportioned to the area for FY 2003
for operating assistance; and (3) nonurbanized areas under the 1990
Census that merged into urbanized areas over 200,000, as a result of
the 2000 Census, to use 50 percent of the amount the area received in
FY 2002 Section 5311 funding for operating assistance.
e. Sources of Local Match
Pursuant to Section 5307(e), the Federal share of an urbanized area
formula grant is 80 percent of net project cost for a capital project
and 50 percent of net project cost for operating assistance unless the
recipients project a greater local share. The remainder of the net
project cost (i.e., 20 percent and 50 percent, respectively) shall be
provided from the following sources:
1. In cash from non-Government sources other than revenues from
providing public transportation services;
2. From revenues derived from the sale of advertising and
concessions;
3. From an undistributed cash surplus, a replacement or
depreciation cash fund or reserve, or new capital;
4. From amounts received under a service agreement with a State or
local social service agency or private social service organization; and
5. Proceeds from the issuance of revenue bonds.
In addition, funds from Section 403(a)(5)(C)(vii) of the Social
Security Act (42 U.S.C. 603(a)(5)(C)(vii)) can be used to match
Urbanized Area Formula funds.
f. Designated Transportation Management Areas (TMA)
Guidance for setting the boundaries of TMAs is in the joint
transportation planning regulations codified at 23 CFR Part 450 as
reference in 49 CFR Part 613. In some cases, the TMA planning
boundaries established by the MPO for the designated TMA includes one
or more small UZAs. In addition, one small UZA (Santa Barbara, CA) has
been designated as a TMA. In either of these situations, the Governor
cannot allocate ``Governor's Apportionment'' funds attributed to the
small UZAs to other areas; that is, the Governor only has discretion to
allocate Governor's Apportionment funds attributable to areas that are
outside of designated TMA planning boundaries.
The list of small UZAs included within the planning boundaries of
[[Page 77351]]
designated TMAs is provided in the table below.
------------------------------------------------------------------------
Small urbanized area included in TMA
Designated TMA planning boundary
------------------------------------------------------------------------
Albany, NY.................. Saratoga Springs, NY.
Houston, TX................. Galveston, TX; Lake Jackson-Angleton, TX;
Texas City, TX; The Woodlands, TX.
Jacksonville, FL............ St. Augustine, FL.
Orlando, FL................. Kissimmee, FL.
Palm Bay-Melbourne, FL...... Titusville, FL.
Philadelphia, PA-NJ-DE-MD... Pottstown, PA.
Pittsburg, PA............... Monessen, PA; Weirton, WV-Steubenville,
OH-PA (PA portion); Uniontown-
Connellsville, PA.
Seattle, WA................. Bremerton, WA.
Washington, DC-VA-MD........ Frederick, MD.
------------------------------------------------------------------------
The MPO must notify the Associate Administrator for Program
Management, Federal Transit Administration, 1200 New Jersey Avenue,
SE., Washington, DC 20590, in writing, no later than July 1 of each
year, to identify any small UZA within the planning boundaries of a
TMA.
g. Urbanized Area Formula Funds Used for Highway Purposes
Funds apportioned to a TMA are eligible for transfer to FHWA for
highway projects, if the Designated Recipient has allocated a portion
of the areas section 5307 funding for such use. However, before funds
can be transferred, the following conditions must be met: (1) Such use
must be approved by the MPO in writing, after appropriate notice and
opportunity for comment and appeal are provided to affected transit
providers; (2) in the determination of the Secretary, such funds are
not needed for investments required by the Americans with Disabilities
Act of 1990 (ADA); and (3) the MPO determines that local transit needs
are being addressed.
The MPO should notify the appropriate FTA Regional Administrator of
its intent to use FTA funds for highway purposes, as prescribed in
section V.D below. Urbanized Area Formula funds that are designated by
the MPO for highway projects will be transferred to and administered by
FHWA.
4. Period of Availability
The Urbanized Area Formula Program funds apportioned in this notice
remain available to be obligated during the year of appropriation plus
three additional years. Accordingly, these funds must be obligated by
FTA to recipients by September 30, 2012. Any of these apportioned funds
that remain unobligated at the close of business on September 30, 2012,
will revert to FTA for reapportionment under the Urbanized Area Formula
Program.
5. Other Program or Apportionment Related Information and Highlights
In each UZA with a population of 200,000 or more, the Governor in
consultation with responsible local officials, and publicly owned
operators of public transportation has designated one or more entities
to be the Designated Recipient for Section 5307 funds apportioned to
the UZA. The same entity(s) may or may not be the Designated Recipient
for the Job Access and Reverse Commute (JARC) and New Freedom program
funds apportioned to the UZA. In UZAs under 200,000 in population, the
State is the Designated Recipient for Section 5307 as well as JARC and
New Freedom programs. The Designated Recipient for Section 5307 may
authorize other entities to apply directly to FTA for Section 5307
grants pursuant to a supplemental agreement. While the requirement that
projects selected for funding be included in a locally developed
coordinated public transit/human service transportation plan is not
included in Section 5307 as it is in Sections 5310, 5316 (JARC) and
5317 (New Freedom), FTA expects that in their role as public transit
providers, recipients of Section 5307 funds will be participants in the
local planning process for these programs.
D. Clean Fuels Grant Program (49 U.S.C. 5308)
The Clean Fuels Grant Program supports the use of alternative fuels
in air quality maintenance or nonattainment areas for ozone or carbon
monoxide through capital grants to urbanized areas for clean fuel
vehicles and facilities. Previously an unfunded Formula Program under
TEA-21, the program is now a discretionary program. For more
information about this program, contact Kimberly Sledge, Office of
Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $21,074,900 to
the Clean Fuels Grant Program (49 U.S.C. 5308). FTA will publish
project allocations in a supplemental notice when all program funds
have been made available.
2. Requirements
Clean Fuels program funds may be made available to any grantee in a
UZA that is designated as maintenance or nonattainment area for ozone
or carbon monoxide as defined in the Clean Air Act. Eligible recipients
include Section 5307 Designated Recipients as well as recipients in
small UZAs. In the case of a small UZA, the State in which the area is
located will act as the recipient.
Eligible projects include the purchase or lease of clean fuel buses
(including buses that employ a lightweight composite primary
structure), the construction or lease of clean fuel buses or electrical
recharging facilities and related equipment for such buses, and
construction or improvement of public transportation facilities to
accommodate clean fuel buses.
Legislation will be necessary if a recipient wishes to use Clean
Fuels funds earmarked in SAFETEA-LU for eligible program activities
outside the scope of a project description.
Unless otherwise specified in law, grants made under the Clean
Fuels program must meet all other eligibility requirements as outlined
in Section 5308.
3. Period of Availability
Funds designated for specific Clean Fuels Program projects remain
available for obligation for three fiscal years, which includes the
year of appropriation plus two additional fiscal years. The FY 2009
funding for projects will remain available through September 30, 2011.
Clean Fuels funds not obligated in an FTA grant for eligible purposes
at the end of the period of availability will generally be made
available for other projects.
[[Page 77352]]
5. Other Program or Allocation Related Information and Highlights
Prior year unobligated balances for Clean Fuel allocations in the
amount of $46,862,483 remain available for obligation in FY 2009. This
includes $6,690,000 in FY 2007 and $40,172,483 in FY 2008 unobligated
allocations. The unobligated amounts available as of September 30,
2008, are displayed in Table 7.
E. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway
Modernization
This program provides capital assistance for the modernization of
existing fixed guideway systems. Funds are allocated by a statutory
formula to UZAs with fixed guideway systems that have been in operation
for at least seven years. A ``fixed guideway'' refers to any transit
service that uses exclusive or controlled rights-of-way or rails,
entirely or in part. The term includes heavy rail, commuter rail, light
rail, monorail, trolleybus, aerial tramway, inclined plane, cable car,
automated guideway transit, ferryboats, that portion of motor bus
service operated on exclusive or controlled rights-of-way, and high-
occupancy-vehicle (HOV) lanes. Eligible applicants are the public
transit authorities in those urbanized areas to which the funds are
allocated. For more information about Fixed Guideway Modernization
contact Scott Faulk, Office of Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $675,257,000 to
the Fixed Guideway Modernization Program. The total amount apportioned
for the Fixed Guideway Modernization Program is $668,504,430, after the
deduction for oversight, and addition of prior year reapportioned
funds, as shown in the table below.
Fixed Guideway Modernization Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation................................... $675,257,000
Oversight Deduction................................... -6,752,570
-----------------
Total Apportioned................................. 668,504,430
------------------------------------------------------------------------
The FY 2009 Fixed Guideway Modernization Program apportionments to
eligible areas are displayed in Table 8.
2. Basis for Formula Apportionment
The formula for allocating the Fixed Guideway Modernization funds
contains seven tiers. The apportionment of funding under the first four
tiers is based on amounts specified in law and NTD data used to
apportion funds in FY 1997. Funding under the last three tiers is
apportioned based on the latest available data on route miles and
revenue vehicle miles on segments at least seven years old, as reported
to the NTD. Section 5337(f) of title 49, U.S.C. provides for the
inclusion of Morgantown, West Virginia (population 55,997) as an
eligible UZA for purposes of apportioning fixed guideway modernization
funds. Also, pursuant to 49 U.S.C. 5336(b) FTA used 60 percent of the
directional route miles attributable to the Alaska Railroad passenger
operations system to calculate the apportionment for the Anchorage,
Alaska UZA under the Section 5309 Fixed Guideway Modernization formula.
FY 2009 Formula apportionments are based on data grantees provided
to the NTD for the 2007 reporting year. Table 9 provides additional
information and details on the formula. Dollar unit values for the
formula factors used in the Fixed Guideway Modernization Program are
displayed in Table 5. To replicate an area's apportionment, multiply
the dollar unit value by the appropriate formula factor, i.e., route
miles and revenue vehicle miles.
3. Program Requirements
Fixed Guideway Modernization funds must be used for capital
projects to maintain, modernize, or improve fixed guideway systems.
Eligible UZAs (those with a population of 200,000 or more) with fixed
guideway systems that are at least seven years old are entitled to
receive Fixed Guideway Modernization funds. A threshold level of more
than one mile of fixed guideway is required in order to receive Fixed
Guideway Modernization funds. Therefore, UZAs reporting one mile or
less of fixed guideway mileage under the NTD are not included. However,
funds apportioned to an urbanized area may be used on any fixed
guideway segment in the UZA. Program guidance for Fixed Guideway
Modernization is presently found in FTA Circular C9300.1B, Capital
Facilities and Formula Grant Programs, dated November 1, 2008.
4. Period of Availability
The funds apportioned in this notice under the Fixed Guideway
Modernization Program remain available to be obligated by FTA to
recipients during the year of appropriation plus three additional
years. FY 2009 Fixed Guideway Modernization funds that remain
unobligated at the close of business on September 30, 2012, will revert
to FTA for reapportionment under the Fixed Guideway Modernization
Program.
F. Capital Investment Program (49 U.S.C. 5309)--Bus and Bus-Related
Facilities
This program provides capital assistance for new and replacement
buses, and related equipment and facilities. Funds are allocated on a
discretionary basis. Eligible purposes are acquisition of buses for
fleet and service expansion, bus maintenance and administrative
facilities, transfer facilities, bus malls, transportation centers,
intermodal terminals, park-and-ride stations, acquisition of
replacement vehicles, bus rebuilds, bus preventive maintenance,
passenger amenities such as passenger shelters and bus stop signs,
accessory and miscellaneous equipment such as mobile radio units,
supervisory vehicles, fare boxes, computers, and shop and garage
equipment. Eligible applicants are State and local governmental
authorities. Eligible subrecipients include other public agencies,
private companies engaged in public transportation and private non-
profit organizations. For more information about Bus and Bus-Related
Facilities contact Kimberly Sledge, Office of Transit Programs, at
(202) 366-2053.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $350,455,128 for
the Bus and Bus-Related Facilities program. FTA will publish project
allocations in a supplemental notice when all program funds have been
made available.
The SAFETEA-LU Technical Corrections Act of 2008 extended funds
made available for FY 2006 SAFTETEA-LU projects number 176 and 652.
Funds for these projects remain available until September 30, 2009 and
are shown in Table 10.
2. Requirements
FTA honors Congressional earmarks for the purpose designated, for
purposes eligible under the program or under the expanded eligibility
of a ``notwithstanding'' provision. Projects designated for funding in
the report language accompanying the Consolidated Appropriations Act,
2008, were incorporated as earmarks into the Act by reference. FTA will
treat these projects as projects designated in law. To apply to use
funds designated in report language under the Bus Program in any year
for project activities outside the scope of the project designation
included in report language, the recipient must submit a request for
reprogramming to the House and Senate
[[Page 77353]]
Committees on Appropriations for resolution.
FTA will continue to honor projects earmarked to receive Section
5309 bus funds in SAFETEA-LU for fiscal years 2007 and 2008 as well as
projects earmarked by reference in the Consolidated Appropriations Act,
2008. Legislation will be necessary to amend the earmark if you wish to
use funds for project activities outside the scope of the project
description.
Grants made under the Bus and Bus-Related Facilities program must
meet all other eligibility requirements as outlined in Section 5309
unless otherwise specified in law.
Program guidance for Bus and Bus-Related Facilities is found in FTA
Circular C9300.1B, ``Capital Investment Program Guidance and
Application Instructions,'' (November 1, 2008).
3. Period of Availability
The FY 2007 and FY 2008 Bus and Bus-Related Facilities funds not
obligated in a grant for eligible purposes as of September 30, 2009 and
September 30, 2010, respectively, may be made available for other
projects under 49 U.S.C. 5309.
4. Other Program or Allocation Related Information and Highlights
Prior year unobligated balances for Bus and Bus-Related allocations
in the amount of $665,031,952 remain available for obligation in FY
2009. This includes $1,772,317 for FY 2006 earmarks extended in the
SAFETEA-LU Technical Corrections Act, 2008; $197,666,184 in FY 2007
unobligated allocations (earmarked and discretionary projects); and
$465,593,451in FY 2008 unobligated allocations. The unobligated amounts
available as of September 30, 2008, are displayed in Table 10. The FTA
will issue a supplemental notice at a later date that identifies
project funds that are redirected to other eligible activities or
extended to the original project by subsequent action. Project funding
that was extended or redirected under the SAFETEA-LU Technical
Corrections Act of 2008 are listed above in section 1 and also included
in Table 10.
G. Capital Investment Program (49 U.S.C. 5309)--New Starts
The New Starts program provides funds for construction of new fixed
guideway systems or extensions to existing fixed guideway systems.
Eligible purposes are light rail, rapid rail (heavy rail), commuter
rail, monorail, automated fixed guideway system (such as a ``people
mover''), or a busway/high occupancy vehicle (HOV) facility, Bus Rapid
Transit that is fixed guideway, or an extension of any of these.
Projects become candidates for funding under this program by
successfully completing the appropriate steps in the major capital
investment planning and project development process. Major new fixed
guideway projects, or extensions to existing systems, financed with New
Starts funds typically receive these funds through a full funding grant
agreement (FFGA) that defines the scope of the project and specifies
the total multi-year Federal commitment to the project. Beginning in FY
2007, up to $200,000,000 each year is designated for ``Small Starts''
(Section 5309(e)) projects with a New Starts share of less than
$75,000,000 and a net project cost of less than $250,000,000.
For more information about New Starts project development contact
Elizabeth Day, Office of Planning and Environment, at (202) 366-4033,
or for information about published allocations contact Kimberly Sledge,
Office of Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $668,117,803 to
New Starts. The total amount allocated for New Starts is $430,252,472,
as shown in the table below.
Capital Investment Program (New Starts)
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation................................... $674,866,468
Oversight (one percent)............................... -6,748,665
Undistributed Amount.................................. 237,865,331
-----------------
Total Allocated................................... 430,252,472
------------------------------------------------------------------------
2. Basis for Allocation
Congress included authorizations for specific New Starts projects
with Full Funding Grant Agreements (FFGA) in SAFETEA-LU. Under the
Continuing Appropriations Act, 2009, FFGAs have been allocated 5/12ths
and the one percent statutory project management oversight takedown has
been applied. Funds allocated to specific projects are shown in Table
11.
3. Requirements
Because New Starts projects are earmarked in law rather than report
language, reprogramming for a purpose other than that specified must
also occur in law. New Starts projects are subject to a complex set of
approvals related to planning and project development set forth in 49
CFR Part 611. FTA has published a number of rulemakings and interim
guidance documents related to the New Starts program since the passage
of SAFETEA-LU. Grantees should reference the FTA Web site at http://www.fta.dot.gov for the most current program guidance about project
developments and management. Grant related guidance for New Starts is
found in FTA Circular C9300.1B, Capital Investment Program Guidance and
Application Instructions dated November 1, 2008; and C5200.1A, Full
Funding Grant Agreement Guidance, dated December 5, 2002.
4. Period of Availability
New Starts funds remain available for three fiscal years (including
the fiscal year the funds are made available or appropriated plus two
additional years). FY 2009 funds remain available through September 30,
2011. Funds may be made available for other section 5309 projects after
the period of availability has expired.
5. Other Program or Apportionment Related Information and Highlights
Prior year unobligated allocations for New Starts in the amount of
$325,627,924 remain available for obligation in FY 2009. This amount
includes $62,712,383 in FY 2007 and $262,915,541 in FY 2008 unobligated
allocations. These unobligated amounts are displayed in Table 12.
H. Special Needs of Elderly Individuals and Individuals With
Disabilities Program (49 U.S.C. 5310)
This program provides formula funding to States for capital
projects to assist private nonprofit groups in meeting the
transportation needs of the elderly and individuals with disabilities
when the public transportation service provided in the area is
unavailable, insufficient, or inappropriate to meet these needs. A
State agency designated by the Governor administers the Section 5310
program. The State's responsibilities include: Notifying eligible local
entities of funding availability; developing project selection
criteria; determining applicant eligibility; selecting projects for
funding; and ensuring that all subrecipients comply with Federal
requirements. Eligible nonprofit organizations or public bodies must
apply directly to the designated State agency for assistance under this
program. For more information about the Elderly and Individuals with
Disabilities Program contact David Schneider, Office of Transit
Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $54,622,700 to
the Elderly and Individuals with Disabilities Program (49 U.S.C. 5310).
[[Page 77354]]
After deduction of 0.5 percent for oversight, and the addition of
reapportioned prior year funds, $54,349,586 remains available for
allocation to the States.
Elderly and Individuals With Disabilities Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation................................... $54,622,700
Oversight Deduction................................... -273,113
-----------------
Total Apportioned................................. 54,349,587
------------------------------------------------------------------------
The FY 2009 Elderly and Individuals with Disabilities Program
apportionments to the States are displayed in Table 13.
2. Basis for Apportionment
FTA allocates funds to the States by an administrative formula
consisting of a $125,000 floor for each State ($50,000 for smaller
territories) with the balance allocated based on 2000 Census population
data for persons aged 65 and over and for persons with disabilities.
3. Requirements
Funds are available to support the capital costs of transportation
services for older adults and people with disabilities. Uniquely under
this program, eligible capital costs include the acquisition of
service. Seven specified States (Alaska, Louisiana, Minnesota, North
Carolina, Oregon, South Carolina, and Wisconsin) may use up to 33
percent of their apportionment for operating assistance under the terms
of the SAFETEA-LU Section 3012(b) pilot program.
Capital assistance is provided on an 80 percent Federal, 20 percent
local matching basis except that Section 5310(c) allows States eligible
for a higher match under the sliding scale for FHWA programs to use
that match ratio for Section 5310 capital projects. Operating
assistance is 50 percent Federal, 50 percent local. Funds provided
under other Federal programs (other than those of the DOT, with the
exception of the Federal Lands Highway Program established by 23 U.S.C.
204) may be used as match. Revenue from service contracts may also be
used as local match.
While the assistance is intended primarily for private non-profit
organizations, public bodies approved by the State to coordinate
services for the elderly and individuals with disabilities, or any
public body that certifies to the State that there are no non-profit
organizations in the area that are readily available to carry out the
service, may receive these funds.
States may use up to ten percent of their annual apportionment to
administer, plan, and provide technical assistance for a funded
project. No local share is required for these program administrative
funds. Funds used under this program for planning must be shown in the
United Planning Work Program (UPWP) for MPO(s) with responsibility for
that area.
The State recipient must certify that: The projects selected were
derived from a locally developed, coordinated public transit-human
services transportation plan; and, the plan was developed through a
process that included representatives of public, private, and nonprofit
transportation and human services providers and participation by the
public. The locally developed, coordinated public transit-human
services transportation planning process must be coordinated and
consistent with the metropolitan and statewide planning processes and
funding for the program must included in the metropolitan and statewide
Transportation Improvement Program (TIP and STIP) at a level of
specificity or aggregation consistent with State and local policies and
procedures. Finally, the State must certify that allocations of the
grant to subrecipients are made on a fair and equitable basis.
The coordinated planning requirement is also a requirement in two
additional programs. Projects selected for funding under the Job Access
Reverse Commute program and the New Freedom program are also required
to be derived from a locally developed coordinated public transit/human
service transportation plan. FTA anticipates that most areas will
develop one consolidated plan for all the programs, which may include
separate elements and other human service transportation programs.
The Section 5310 program is subject to the requirements of Section
5307 to the extent the Secretary determines appropriate. Program
guidance is found in FTA C 9070.1F, dated May 1, 2007. The circular is
posted on the FTA Web site at http://www.fta.dot.gov.
4. Period of Availability
FTA has administratively established a three year period of
availability for Section 5310 funds. Funds allocated to States under
the Elderly and Individuals with Disabilities Program in this notice
must be obligated by September 30, 2011. Any funding that remains
unobligated as of that date will revert to FTA for reapportionment
among the States under the Elderly and Individuals with Disabilities
Program.
5. Other Program or Apportionment Related Information and Highlights
States may transfer Section 5310 funds to Section 5307 or Section
5311, but only for projects selected under the Section 5310 program,
not as a general supplement for those programs. FTA anticipates that
the States would use this flexibility primarily for projects to be
implemented by a Section 5307 recipient in a small urbanized area, or
for Federally recognized Indian Tribes that elect to receive funds as a
direct recipient from FTA under Section 5311. A State that transfers
Section 5310 funds to Section 5307 must certify that each project for
which the funds are transferred has been coordinated with private
nonprofit providers of services. FTA has established a scope code (641)
to track 5310 projects included within a Section 5307 or 5311 grant.
Transfer to Section 5307 or 5311 is permitted but not required. FTA
expects primarily to award stand-alone Section 5310 grants to the State
for any and all subrecipients.
I. Nonurbanized Area Formula Program (49 U.S.C. 5311)
This program provides formula funding to States and Indian Tribes
for the purpose of supporting public transportation in areas with a
population of less than 50,000. Funding may be used for capital,
operating, State administration, and project administration expenses.
Eligible subrecipients include State and local public agencies, Indian
Tribes, private non-profit organizations, and private operators of
public transportation services, including intercity bus companies.
Indian Tribes are also eligible direct recipients under Section 5311,
both for funds apportioned to the States and for projects selected to
be funded with funds set aside for a separate Tribal Transit Program.
For more information about the Nonurbanized Area Formula Program
contact Lorna Wilson, Office of Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $188,383,800 to
the Nonurbanized Area Formula Program (49 U.S.C. 5311). The total
amount apportioned for the Nonurbanized Area Formula Program is
$208,147,062, after take-downs of two percent for the Rural
Transportation Assistance Program (RTAP), 0.5 percent for oversight,
and $5,161,200 for the Tribal Transit Program, and the addition of
Section 5340 funds and prior year funds
[[Page 77355]]
reapportioned, as shown in the table below.
Nonurbanized Area Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $188,383,800
Oversight Deduction..................................... -941,919
RTAP Takedown........................................... -3,767,676
Tribal Transit Takedown................................. -5,161,200
Section 5340 Funds Added................................ 29,634,057
---------------
Total Apportioned..................................... 208,147,062
------------------------------------------------------------------------
The FY 2009 Nonurbanized Area Formula apportionments to the States
are displayed in Table 14.
2. Basis for Apportionments
FTA apportions the funds available for apportionment after take-
down for oversight, the Tribal Transit Program, and RTAP according to a
statutory formula. FTA apportions the first twenty percent to the
States based on land area in nonurbanized areas with no state receiving
more than 5 percent of the amount apportioned. FTA apportions the
remaining eighty percent based on nonurbanized population of each State
relative to the national nonurbanized population. FTA does not
apportion Section 5311 funds to the Virgin Islands, which by a
statutory exception are treated as an urbanized area for purposes of
the Section 5307 formula program.
FTA is allocating $29,634,057 to the 50 States for nonurbanized
areas from the Growing States portion of Section 5340. FTA apportions
Growing States funds by a formula based on State population forecasts
for 15 years beyond the most recent census. FTA distributes the amounts
apportioned for each State between UZAs and nonurbanized areas based on
the ratio of urbanized/nonurbanized population within each State in the
2000 census.
3. Program Requirements
The Nonurbanized Area Formula Program provides capital, operating
and administrative assistance for public transit service in
nonurbanized areas under 50,000 in population.
The Federal share for capital assistance is 80 percent and for
operating assistance is 50 percent, except that States eligible for the
sliding scale match under FHWA programs may use that match ratio for
Section 5311 capital projects and 62.5 percent of the sliding scale
capital match ratio for operating projects.
Each State must spend no less than 15 percent of its FY 2009
Nonurbanized Area Formula apportionment for the development and support
of intercity bus transportation, unless the State certifies, after
consultation with affected intercity bus service providers, that the
intercity bus service needs of the State are being adequately met. FTA
also encourages consultation with other stakeholders, such as
communities affected by loss of intercity service.
Each State prepares an annual program of projects, which must
provide for fair and equitable distribution of funds within the States,
including Indian reservations, and must provide for maximum feasible
coordination with transportation services assisted by other Federal
sources.
In order to retain eligibility for funding, recipients of Section
5311 funding must report data annually to the NTD.
Program guidance for the Nonurbanized Area Formula Program is found
in FTA C 9040.1F, Nonurbanized Area Formula Program Guidance and Grant
Application Instructions, dated April 1, 2007, which was revised and
reissued after notice and comment. The circular is posted at http://www.fta.dot.gov.
4. Period of Availability
Funds apportioned to nonurbanized areas under the Nonurbanized Area
Formula Program during FY 2009 will remain available for two additional
fiscal years after the year of apportionment. Any funds that remain
unobligated at the close of business on September 30, 2011, will revert
to FTA for allocation among the States under the Nonurbanized Area
Formula Program.
5. Other Program or Apportionment Related Information and Highlights
a. NTD Reporting. By law, FTA requires that each recipient under
the Section 5311 program submit an annual report to the NTD containing
information on capital investments, operations, and service provided
with funds received under the Section 5311 program. Section 5311(b)(4),
as amended by SAFETEA-LU, specifies that the report should include
information on total annual revenue, sources of revenue, total annual
operating costs, total annual capital costs, fleet size and type, and
related facilities, revenue vehicle miles, and ridership. State or
Territorial DOT 5311 grant recipients must complete a one-page form of
basic data for each 5311 subrecipient, unless the subrecipient is
already providing a full report to the NTD as a Tribal Transit direct
recipient or as an urbanized area reporter (without receiving a Nine or
Fewer Vehicles Waiver). For the 2008 Report Year State or Territorial
DOTs must report on behalf of any subrecipient receiving Section 5311
grants in 2008, or that continued to benefit in 2008 from capital
assets purchased using Section 5311 grants. Tribal Transit direct
recipients must report if they received an obligation or an outlay for
a Section 5311 grant in 2008, or if they continued to benefit in 2008
from capital assets using Section 5311 Grants, unless the Tribe is
already filing a full NTD Reports as an urbanized area reporter or
unless the Tribe only received $50,000 or less in planning grants. The
NTD Rural Reporting Manual contains detailed reporting instructions and
is posted on the NTD Web site, http://www.ntdprogram.gov.
b. Extension of Intercity Bus Pilot of In-Kind Match. Beginning in
FY 2007, FTA implemented a two year pilot program of in-kind match for
intercity bus service. The initial program was set to expire after FY
2008; however, FTA decided to extend the program through FY 2009. FTA
published guidance on the in-kind match pilot in the Federal Register
on February 28, 2007, as Appendix 1 of the Notice announcing the final
revised circular 9040.1F.
J. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))
This program provides funding to assist in the design and
implementation of training and technical assistance projects, research,
and other support services tailored to meet the needs of transit
operators in nonurbanized areas. For more information about Rural
Transportation Assistance Program (RTAP) contact Lorna Wilson, Office
of Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $3,767,676 to
RTAP (49 U.S.C. 5311(b)(2)), as a two percent takedown from the funds
appropriated for Section 5311. FTA has reserved 15 percent for the
National RTAP program. After adding prior year funds eligible for
reapportionment, $3,202,525 is available for allocations to the States,
as shown in the table below.
Rural Transit Assistance Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $3,767,676
National RTAP Takedown.................................. -565,151
---------------
Total Apportioned..................................... 3,202,525
------------------------------------------------------------------------
Table 14 shows the FY 2009 RTAP allocations to the States.
[[Page 77356]]
2. Basis for Allocation
FTA allocates funds to the States by an administrative formula.
First FTA allocates $65,000 to each State ($10,000 to territories), and
then allocates the balance based on nonurbanized population in the 2000
census.
3. Program Requirements
States may use the funds to undertake research, training, technical
assistance, and other support services to meet the needs of transit
operators in nonurbanized areas. These funds are to be used in
conjunction with a State's administration of the Nonurbanized Area
Formula Program, but may also support the rural components of the
Section 5310, JARC, and New Freedom programs.
4. Period of Availability
Funds apportioned to States under RTAP remain available for two
fiscal years following FY 2009. Any funds that remain unobligated at
the close of business on September 30, 2011, will revert to FTA for
allocation among the States under the RTAP.
5. Other Program or Apportionment Related Information and Highlights
The National RTAP project is administered by cooperative agreement
and re-competed at five-year intervals. In FY 2008, FTA awarded the
cooperative agreement to the Neponset Valley Transportation Management
Association (NVTMA) located in Waltham, Massachusetts through a
competitive process. The projects are guided by a project review board
that consists of managers of rural transit systems and State DOT RTAP
programs. National RTAP resources also support the biennial TRB
National Conference on Rural Public and Intercity Bus Transportation
and other research and technical assistance projects of a national
scope.
K. Public Transportation on Indian Reservations Program (49 U.S.C.
5311(c)(1))
FTA refers to this program as the Tribal Transit Program. It is
funded as a takedown from funds appropriated for the Section 5311
program. Federally recognized Indian Tribes are defined as eligible
direct recipients. The funds are to be apportioned for grants to Indian
Tribes for any purpose eligible under Section 5311, which includes
capital, operating, planning, and administrative assistance for rural
public transit services and rural intercity bus service. For more
information about the Tribal Transit Program contact Lorna Wilson,
Office of Transit Programs, at (202) 366-2053.
1. Funding Availability in FY 2009
Under the Continuing Appropriations Act, 2009, the amount allocated
to the program in FY 2009 is $5,161,200, as authorized in Section
5311(c)(1)(C).
2. Basis for Allocation
Based on procedures developed in consultation with the Tribes, FTA
will issue a Notice of Funding Availability (NOFA) soliciting
applications for FY 2009 funds.
3. Requirements
FTA developed streamlined program requirements based on statutory
authority allowing the Secretary to determine the terms and conditions
appropriate to the program. These conditions are contained in the
annual NOFA. Beginning with grants awarded in FY 2009, the grant
agreement will incorporate the statement of warranty for labor
protective arrangements, and tribal grants will be submitted to the
Department of Labor (DOL) upon FTA approval.
4. Period of Availability
Funds remain available for three fiscal years, which includes the
fiscal year the funds were apportioned or appropriated plus two
additional years. Funds appropriated in FY 2009 will remain available
for obligation to the tribes competitively selected to receive the
funds through September 30, 2011. Any funds that remain unobligated
after September 30, 2011, will revert to FTA for reallocation among the
Tribes.
5. Other Program or Apportionment Related Information and Highlights
Prior year unobligated allocations under the Tribal Transit Program
in the amount of $2,876,718 remain available for obligation in FY 2009.
These unobligated amounts are displayed in Table 15.
The funds set aside for the Tribal Transit Program are not meant to
replace or reduce funds that Indian Tribes receive from states through
the Section 5311 program but are to be used to enhance public
transportation on Indian reservations and transit serving tribal
communities. Funds allocated to Tribes by the States may be included in
the State's Section 5311 application or awarded by FTA in a grant
directly to the tribe. We encourage Tribes intending to apply to FTA as
direct recipients to contact the appropriate FTA regional office at the
earliest opportunity.
Technical assistance for Tribes may be available from the State DOT
using the State's allocation of RTAP or funds available for State
administration under Section 5311, from the Tribal Transportation
Assistance Program (TTAP) Centers supported by FHWA, and from the
Community Transportation Association of America under a program funded
by the United States Department of Agriculture (USDA). The National
RTAP will also be developing new resources for Tribal Transit.
L. National Research Programs (49 U.S.C. 5314)
FTA's National Research Programs (NRP) include the National
Research and Technology Program (NRTP), the Transit Cooperative
Research Program (TCRP), the National Transit Institute (NTI), and the
University Transportation Centers Program (UTC).
Through funding under these programs, FTA seeks to deliver
solutions that improve public transportation. FTA's Strategic Research
Goals are to provide transit research leadership, increase transit
ridership, improve capital and operating efficiencies, improve safety
and emergency preparedness, and to protect the environment and promote
energy independence. For more information contact Bruce Robinson,
Office of Research, Demonstration and Innovation, at (202) 366-4209.
1. Funding Availability in FY 2009
The Continuing Appropriations Act, 2009, provides $28,112,583 for
the Research and University Research Centers Programs. Of this amount
$3,999,930 is allocated for TCRP, $1,849,430 for NTI, $3,010,700 for
the UTC, and $19,252,523 for NRTP. Within the NRTP, $22,615,000 is
allocated for specific activities under 49 U.S.C. 5338(d) and in
Section 3046 of SAFETEA-LU, more than the amount currently available.
All research and research and development projects, as defined by the
Office of Management and Budget, are subject to a 2.6% reduction for
the Small Business Innovative Research Program (SBIR). A project
allocation table with the entire year's funding will be published in a
subsequent notice.
2. Program Requirements
Application Instructions and Program Management Guidelines are set
forth in FTA Circular 6100.1C. Research projects must support FTA's
Strategic Research Goals and meet the Office of Management and Budget's
Research and Development Investment Criteria. All
[[Page 77357]]
research recipients are required to work with FTA to develop approved
Statements of Work and plans to evaluate research results before award.
Eligible activities under the NRTP include research, development,
demonstration and deployment projects as defined by 49 U.S.C. 5312(a);
Joint Partnership projects for deployment of innovation as defined by
49 U.S.C. 5312(b); International Mass Transportation Projects as
defined by 49 U.S.C. 5312(c); and, human resource programs as defined
by 49 U.S.C. 5322. Unless otherwise specified in law, all projects must
meet one of these eligibility requirements.
Problem Statements for TCRP can be submitted on TCRP's website:
http://www.tcrponline.org. Information about NTI courses can be found
at http://www.ntionline.com. UTC funds are transferred to the Research
and Innovative Technology Administration to make awards.
3. Period of Availability
Funds are available until expended.
4. Other Program or Apportionment Related Information and Highlights
Funds not designated by Congress for specific projects and
activities will be programmed by FTA based on national priorities.
Opportunities are posted in http://www.grants.gov under Catalogue of
Federal Domestic Assistance Number 20.514.
M. Job Access and Reverse Commute Program (49 U.S.C. 5316)
The Job Access and Reverse Commute (JARC) program provides formula
funding to States and Designated Recipients to support the development
and maintenance of job access projects designed to transport welfare
recipients and low-income individuals to and from jobs and activities
related to their employment, and for reverse commute projects designed
to transport residents of UZAs and other than urbanized to suburban
employment opportunities. For more information about the JARC program
contact David Schneider, Office of Transit Programs, at (202) 366-2053.
1. Funding Availability in FY 2009
The Continuing Appropriations Act, 2009, provides $67,095,600 for
the JARC Program. The total amount apportioned by formula is shown in
the table below.
Job Access and Reverse Commute Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Apportioned....................................... $67,095,600
------------------------------------------------------------------------
Table 16 shows the FY 2009 JARC apportionments.
2. Basis for Formula Apportionment
By law, FTA allocates 60 percent of funds available to UZAs with
populations of 200,000 or more persons (large UZAs); 20 percent to the
States for urbanized areas with populations ranging from 50,000 to
200,000 persons (small UZAs), and 20 percent to the States for rural
and small urban areas with populations of less than 50,000 persons. FTA
apportions funds based upon the number of low income individuals
residing in a State or large urbanized area, using data from the 2000
Census for individuals below 150 percent of poverty. FTA publishes
apportionments to each State for small UZAs and for rural and small
urban areas and a single apportionment for each large UZA.
The Designated Recipient, either for the State or for a large UZA,
is responsible for further allocating the funds to specific projects
and subrecipients through a competitive selection process. If the
Governor has designated more than one recipient of JARC funds in a
large UZA, the Designated Recipients may agree to conduct a single
competitive selection process or sub-allocate funds to each Designated
Recipient, based upon a percentage split agreed upon locally, and
conduct separate competitions.
States may transfer funds between the small UZA and the
nonurbanized apportionments, if all of the objectives of JARC are met
in the size area the funds are taken from. States may also use funds in
the small UZA and nonurbanized area apportionments for projects
anywhere in the State (including large UZAs) if the State has
established a statewide program for meeting the objectives of JARC. A
State planning to transfer funds under either of these provisions
should submit a request to the FTA regional office. FTA will assign new
accounting codes to the funds before obligating them in a grant.
3. Requirements
States and Designated Recipients must solicit grant applications
and select projects competitively, based on application procedures and
requirements established by the Designated Recipient, consistent with
the Federal JARC program objectives. In the case of large UZAs, the
area-wide solicitation shall be conducted in cooperation with the
appropriate MPO(s).
Funds are available to support the planning, capital, and operating
costs of transportation services that are eligible for funding under
the program. Assistance may be provided for a variety of transportation
services and strategies directed at assisting welfare recipients and
eligible low-income individuals address unmet transportation needs, and
to provide reverse commute services. The transportation services may be
provided by public, non-profit, or private-for-profit operators. The
Federal share is 80 percent of capital and planning expenses and 50
percent of operating expenses. Funds provided under other Federal
programs (other than those of the DOT, with the exception of the
Federal Lands Highway Program established by 23 U.S.C. 204) may be used
for local/State match for funds provided under Section 5316, and
revenue from service contracts may be used as local match.
States and Designated Recipients may use up to ten percent of their
annual apportionment for administration, planning, and to provide
technical assistance. No local share is required for these program
administrative funds. Funds used under this program for planning in
urbanized areas must be shown in the UPWP for MPO(s) with
responsibility for that area.
The Designated Recipient must certify that: the projects selected
were derived from a locally developed, coordinated public transit-human
services transportation plan; and, the plan was developed through a
process that included representatives of public, private, and nonprofit
transportation and human services providers and participation by the
public, including those representing the needs of welfare recipients
and eligible low-income individuals. The locally developed, coordinated
public transit-human services transportation planning process must be
coordinated and consistent with the metropolitan and statewide planning
processes and funding for the program must be included in the
metropolitan and statewide Transportation Improvement Program (TIP and
STIP) at a level of specificity or aggregation consistent with State
and local policies and procedures. Finally, the State must certify that
allocations of the grant to subrecipients are made on a fair and
equitable basis.
The coordinated planning requirement is also a requirement in two
additional programs. Projects selected for funding under the Section
5310 program and the New Freedom program are also required to be
derived from a locally developed coordinated public transit-human
service transportation plan. FTA anticipates that most areas will
develop one consolidated plan for all the programs, which may include
[[Page 77358]]
separate elements and other human service transportation programs. The
goal of the coordinated planning process is not to be an exhaustive
document, but to serve as a tool for planning and implementing
beneficial projects. The level of effort required to develop the plan
will vary among communities based on factors such as the availability
of resources. FTA does not approve coordinated plans.
The JARC program is subject to the relevant requirements of Section
5307, including the requirement for certification of labor protections.
JARC program requirements are published in FTA circular 9050.1, dated
April 1, 2007. The circular and other guidance including frequently
asked questions are posted on the FTA Web site at http://www.fta.dot.gov.
4. Period of Availability
FTA has established a consistent three-year period of availability
for JARC, New Freedom, and the Section 5310 program, which includes the
year of apportionment plus two additional years. FY 2009 funding is
available through FY 2011. Any funding that remains unobligated on
September 30, 2011 will revert to FTA for reapportionment among the
States and large UZAs under the JARC program.
5. Other Program or Apportionment Related Information and Highlights
a. Carryover Earmarks. Table 17 lists prior year carryover of
$7,791,630 for JARC projects designated by Congress in FYs 2002-2005.
JARC earmarks carried over from TEA-21 are subject to the terms and
conditions under which they were originally appropriated, including the
requirement for a 50 percent local share for both capital and operating
assistance. All projects should be in a regional JARC Plan as required
under TEA-21 or in the new local coordinated plan required by the new
formula JARC program. FTA will award a grant for a designated project
upon receipt of a complete application, but can honor changes to the
original designation only if so directed by the Appropriations
Committee chairs. FTA intends to propose that any remaining JARC
Discretionary Program funds be reallocated in the agency's FY 2010
budget. Grantees intending to use their remaining discretionary JARC
funds should obligate funds prior to September 30, 2009.
b. Designated Recipient. FTA must have received formal notification
from the Governor or Governor's designee of the Designated Recipient
for JARC funds apportioned to a State or large UZA before awarding a
grant to that area for JARC projects.
c. Transfers to Section 5307 or 5311. States may transfer JARC
funds to Section 5307 or Section 5311, but only for projects
competitively selected under the JARC program, not as a general
supplement for those programs. FTA anticipates that the States would
use this flexibility primarily for projects to be implemented by a
Section 5307 recipient in a small urbanized area or for Federally
recognized Indian Tribes that elect to receive funds as a direct
recipient from FTA under Section 5311. FTA has established a scope code
(646) to track JARC projects included within a Section 5307 or 5311
grant. Transfer to Section 5307 or 5311 is permitted but not required.
FTA will also award stand-alone Section 5316 grants to the State for
any and all subrecipients. In order to track disbursements accurately
against the appropriate program, FTA will not combine JARC funds with
Section 5307 funds in a single Section 5307 grant, nor will FTA combine
JARC with New Freedom funds in a single Section 5307 grant.
d. Evaluation. Section 5316(i)(2), of SAFETEA-LU, requires FTA to
conduct a study to evaluate the effectiveness of the JARC program. To
support the evaluation, annual GAO reports on the program, and DOT
Performance Measures, while reducing the burden grantees previously
experienced from separate reporting required for the JARC program under
TEA-21. FTA has established a web-based system for designated
recipients to report their program measures on behalf of themselves and
their subrecipients.
N. New Freedom Program (49 U.S.C. 5317)
SAFETEA-LU established the New Freedom Program under 49 U.S.C.
5317. The program purpose is to provide new public transportation
services and public transportation alternatives beyond those currently
required by the Americans with Disabilities Act of 1990 (42 U.S.C.
12101 et seq.) that assist individuals with disabilities with
transportation, including transportation to and from jobs and
employment support services. For more information about the New Freedom
program contact David Schneider, Office of Transit Programs, at (202)
366-2053.
1. Funding Availability in FY 2009
The Continuing Appropriations Act, 2009, provides $37,633,750 for
the New Freedom Program. The entire amount is apportioned by formula,
as shown in the table below.
New Freedom Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Apportioned....................................... $37,633,750
------------------------------------------------------------------------
Table 18 shows the FY 2009 New Freedom apportionments.
2. Basis for Formula Apportionment
By law, FTA allocates 60 percent of funds available to UZAs with
populations of 200,000 or more persons (large UZAs); 20 percent to the
States for urbanized areas with populations ranging from 50,000 to
200,000 persons (small UZAs), and 20 percent to the States for rural
and small urban areas with populations of less than 50,000 persons. FTA
apportions funds based upon the number of persons with disabilities
over the age of five residing in a State or large urbanized area, using
data from the 2000 Census. FTA publishes apportionments to each State
for small UZAs and for rural and small urban areas and a single
apportionment for each large UZA.
The Designated Recipient, either for the State or for a large UZA,
is responsible for further allocating the funds to specific projects
and subrecipients through a competitive selection process. If the
Governor has designated more than one recipient of New Freedom funds in
a large UZA, the Designated Recipients may agree to conduct a single
competitive selection process or sub-allocate funds to each Designated
Recipient, based upon a percentage split agreed on locally and conduct
separate competitions.
3. Requirements
States and Designated Recipients must solicit grant applications
and select projects competitively, based on application procedures and
requirements established by the Designated Recipient, consistent with
the Federal New Freedom program objectives. In the case of large UZAs,
the area-wide solicitation shall be conducted in cooperation with the
appropriate MPO(s).
Funds are available to support the capital and operating costs of
new public transportation services and public transportation
alternatives that are beyond those required by the Americans with
Disabilities Act. Funds provided under other Federal programs (other
than those of the DOT, with the exception of the Federal Lands Highway
Program established by 23 U.S.C. 204) may be used as match for capital
funds provided under Section 5317, and revenue from contract services
may be used as local match.
Funding is available for transportation services provided by
public, non-profit,
[[Page 77359]]
or private-for-profit operators. Assistance may be provided for a
variety of transportation services and strategies directed at assisting
persons with disabilities to address unmet transportation needs.
Eligible public transportation services and public transportation
alternatives funded under the New Freedom program must be both new and
beyond the ADA. (In FY 2007, FTA published interim guidance holding
Designated Recipients harmless for project selections conducted in good
faith based on FTA's earlier preliminary determination that eligible
services could be either new or beyond the ADA. Grants awarded in FY
2009 are now subject to the requirements of the final guidance which
was published April 1, 2007).
The Federal share is 80 percent of capital expenses and 50 percent
of operating expenses. Funds provided under other Federal programs
(other than those of the DOT) may be used for local/state match for
funds provided under Section 5317, and revenue from service contracts
may be used as local match.
States and Designated Recipients may use up to ten percent of their
annual apportionment to administer, plan, and provide technical
assistance for a funded project. No local share is required for these
program administrative funds. Funds used under this program for
planning must be shown in the UPWP for MPO(s) with responsibility for
that area.
The Designated Recipient must certify that: the projects selected
were derived from a locally developed, coordinated public transit-human
services transportation plan; and, the plan was developed through a
process that included representatives of public, private, and nonprofit
transportation and human services providers and participation by the
public, including those representing the needs of welfare recipients
and eligible low-income individuals. The locally developed, coordinated
public transit-human services transportation planning process must be
coordinated and consistent with the metropolitan and statewide planning
processes and funding for the program must be included in the
metropolitan and statewide Transportation Improvement Program (TIP and
STIP) at a level of specificity or aggregation consistent with State
and local policies and procedures. Finally, the State must certify that
allocations of the grant to subrecipients are made on a fair and
equitable basis.
The coordinated planning requirement is also a requirement in two
additional programs. Projects selected for funding under the Section
5310 program and the JARC program are also required to be derived from
a locally developed coordinated public transit-human service
transportation plan. FTA anticipates that most areas will develop one
consolidated plan for all the programs, which may include separate
elements and other human service transportation programs.
The New Freedom program is subject to the relevant requirements of
Section 5307, but certification of labor protections is not required.
New Freedom Program requirements are published in FTA circular 9045.1,
which was effective May 1, 2007. The circular and other guidance
including frequently asked questions are posted on the FTA Web site at
http://www.fta.dot.gov.
4. Period of Availability
FTA has established a consistent three-year period of availability
for New Freedom, JARC, and the Section 5310 program, which includes the
year of apportionment plus two additional years. FY 2009 funding is
available through FY 2011. Any funding that remains unobligated on
September 30, 2011, will revert to FTA for reapportionment among the
States and large UZAs under the New Freedom program.
5. Other Program or Apportionment Related Information and Highlights
a. Designated Recipient. FTA must have received formal notification
from the Governor or Governor's designee of the Designated Recipient
for New Freedom funds apportioned to a State or large UZA before
awarding a grant to that area for New Freedom projects.
b. Transfers to Section 5307 or 5311. States may transfer New
Freedom funds to Section 5307 or Section 5311, but only for projects
competitively selected under the New Freedom program, not as a general
supplement for those programs. FTA anticipates that the States would
use this flexibility for projects to be implemented by a Section 5307
recipient in a small urbanized area or for Federally recognized Indian
Tribes that elect to receive funds as a direct recipient from FTA under
Section 5311. FTA has established a scope code (647) to track New
Freedom projects included within a Section 5307 or 5311 grant. Transfer
to Section 5307 or 5311 is permitted but not required. FTA will also
award stand-alone Section 5317 grants to the State for any and all
subrecipients. In order to track disbursements accurately against the
appropriate program, FTA will not combine New Freedom funds with
Section 5307 funds in a single Section 5307 grant, nor will FTA combine
New Freedom with JARC funds in a single Section 5307 grant.
c. Performance Measures. To support the evaluation of the program
and Departmental reporting under the Governmental Performance and
Results Act and the Office of Management and Budget's Performance
Assessment and Rating Tool, FTA has established a web-based system for
designated recipients to report their program measures on behalf of
themselves and their subrecipients.
O. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320)
The Paul S. Sarbanes Transit in Parks Program (Transit in Parks
Program), formally the Alternative Transportation in Parks and Public
Lands (ATPPL) program, is administered by FTA in partnership with the
Department of the Interior (DOI) and the U.S. Department of
Agriculture's Forest Service. The purpose of the program is to enhance
the protection of national parks and Federal lands, and increase the
enjoyment of those visiting them. The program funds capital and
planning expenses for alternative transportation systems such as buses
and trams in federally-managed parks and public lands. Federal land
management agencies and State, tribal and local governments acting with
the consent of a Federal land management agency are eligible to apply.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, makes $10,752,500
available for the program in FY 2009. Up to ten percent of the funds
may be reserved for planning, research, and technical assistance. FTA
will publish a Notice of Funding Availability (NOFA) in the Federal
Register inviting applications for projects to be funded in FY 2009.
2. Program Requirements
Projects are competitively selected based on criteria specified in
the Notice of Funding Availability. The terms and conditions applicable
to the program are also specified in the NOFA. Projects must conserve
natural, historical, and cultural resources, reduce congestion and
pollution, and improve visitor mobility and accessibility. No more than
25 percent may be allocated for any one project.
3. Period of Availability
The funds under the Transit in Parks Program remain available until
expended.
[[Page 77360]]
4. Other Program or Apportionment Related Information and Highlights
Project selections for the FY 2008 funding were published in the
Federal Register on October 10, 2008. Fifty-two projects totaling
$24,470,501 were awarded.
P. Alternatives Analysis Program (49 U.S.C. 5339)
The Alternatives Analysis Program provides grants to States,
authorities of the States, metropolitan planning organizations, and
local government authorities to develop studies as part of the
transportation planning process. These studies include an assessment of
a wide range of public transportation alternatives designed to address
a transportation problem in a corridor or subarea; sufficient
information to enable the Secretary to make the findings of project
justification and local financial commitment required; the selection of
a locally preferred alternative; and the adoption of the locally
preferred alternative as part of the state or regional long-range
transportation plan. For more information about this program contact
Ron Fisher, Office of Planning and Environment, at (202) 366-4033.
1. FY 2009 Funding Availability
The Continuing Appropriations Act, 2009, provides $10,619,642 to
the Alternatives Analysis Program (49 U.S.C. 5339). FTA will publish
project allocations in a supplemental notice when all program funds
have been made available.
2. Requirements
Alternatives Analysis program funds may be made available to
States, authorities of the States, metropolitan planning organizations,
and local governmental authorities. The Government's share of the cost
of an activity funded may not exceed 80 percent of the cost of the
activity. The funds will be awarded as separate Section 5339 grants.
The grant requirements will be comparable to those for Section 5309
grants. Eligible projects include planning and corridor studies and the
adoption of locally preferred alternatives within the fiscally
constrained Metropolitan Transportation Plan for that area. Funds
awarded under the Alternatives Analysis Program must be shown in the
UPWP for MPO(s) with responsibility for that area. Pre-award authority
applies to these funds after Congress appropriates funds for these
projects and the allocations are published in an FTA notice of
apportionments and allocations.
Legislation to amend a 2007 or 2008 earmark under section 3037(c)
of SAFETEA-LU is necessary should a recipient wish to use section 5339
funds for eligible project activities outside the scope of the project
description. Unless otherwise specified in law, grants made under the
Alternatives Analysis program must meet all other eligibility
requirements as outlined in Section 5309.
3. Period of Availability
Funds designated for specific Alternatives Analysis Program
projects remain available for obligation for three fiscal years, which
includes the year of availability plus two additional fiscal years.
Alternatives Analysis funds not obligated in an FTA grant for eligible
purposes at the end of the period of availability will generally be
made available for other projects.
4. Other Program or Apportionment Related Information and Highlights
Table 19 lists prior year carryover of $23,481,600 for Alternatives
Analysis projects allocated project funding in FY 2007 and FY 2008.
This amount includes $480,000 for FY 2006, which was competitively
awarded in FY 2007. The total carryover amount also includes $8,987,600
from FY 2007 and $14,014,000 from FY 2008.
The SAFETEA-LU Technical Corrections Act of 2008 rescinded FY 2006
and FY 2007 funding in the amount of $500,000 for the Middle Rio Grande
Coalition of Governments, Albuquerque to Santa Fe Corridor Study.
Funding for the Lane County, Oregon Bus Rapid Transit Phase II Corridor
Study is now available to all phases of the project.
Q. Growing States and High Density States Formula Factors
The Continuing Appropriations Act, 2009, makes $188,383,800
available for apportionment in accordance with the formula factors
prescribed for Growing States and High Density States in Section 5340
of SAFETEA-LU. Fifty percent of this amount (or $94,191,900) is
apportioned to eligible States and urbanized areas using the Growing
State formula factors. The other 50 percent is apportioned to eligible
States and urbanized areas using the High Density States formula
factors. Based on application of the formulas, $64,557,843 of the
Growing States funding was apportioned to urbanized areas and
$29,634,057 to nonurbanized areas. All of the $94,191,900 allotted to
High Density States was apportioned to urbanized areas.
The term `State' is defined only to mean the 50 States. For the
Growing State portion of Section 5340, funds are allocated based on the
population forecasts for fifteen years after the date of that census.
Forecasts are based on the trend between the most recent decennial
census and Census Bureau population estimates for the most current
year. Census population estimates as of December 27, 2007 were used in
the FY 2009 apportionments Funds allocated to the States are then sub-
allocated to urbanized and non-urbanized areas based on forecast
population, where available. If forecasted population data at the
urbanized level is not available, as is currently the case, funds are
allocated to current urbanized and non-urbanized areas on the basis of
current population in the 2000 Census. Funds allocated to urbanized
areas are included in their Section 5307 apportionment. Funds allocated
for non-urbanized areas are included in the states' Section 5311
apportionments.
R. Over-the-Road Bus Accessibility Program (49 U.S.C. 5310 note)
The Over-the-Road Bus Accessibility (OTRB) Program authorizes FTA
to make grants to operators of over-the-road buses to help finance the
incremental capital and training costs of complying with the DOT over-
the-road bus accessibility final rule, 49 CFR Part 37, published on
September 28, 1998 (63 FR 51670). FTA conducts a national solicitation
of applications, and grantees are selected on a competitive basis. For
more information about the OTRB program contact Blenda Younger, Office
of Transit Programs, at (202) 366-2053.
1. Funding Availability in FY 2009
The Continuing Appropriations Act, 2009, provides $3,569,830 for
the Over-the-Road Bus Accessibility (OTRB) Program, which is the total
amount allocable for OTRB, as shown in the table below.
Over-the-Road Bus Accessibility Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Apportioned....................................... $3,569,830
------------------------------------------------------------------------
Of this amount, $2,677,373 is allocable to providers of intercity
fixed-route service, and $892,457 to other providers of over-the-road
bus services, including local fixed-route service, commuter service,
and charter and tour service.
2. Program Requirements
Projects are competitively selected. The Federal share of the
project is 90
[[Page 77361]]
percent of net project cost. Program guidance is provided in the
Federal Register notice soliciting applications. Assistance under the
program is available to private operators of over-the-road buses that
are used substantially or exclusively in intercity, fixed route and
over-the-road bus service. Assistance is also available to private
operators of over-the-road buses in other services, such as charter,
tour, and commuter service. Capital projects eligible for funding
include projects to add lifts and other accessibility components to new
vehicle purchases and to purchase lifts to retrofit existing vehicles.
Eligible training costs include developing training materials or
providing training for local providers of over-the-road bus services. A
comprehensive listing of program requirements is published annually in
the OTRB Program Notice of Funding Availability (NOFA).
3. Period of Availability
FTA has observed that some private operators selected to receive
funding under this program have not acted promptly to obligate the
funds in a grant and request reimbursement for expenditures. While the
program does not have a statutory period of availability, in the FY
2008 Apportionment Notice, FTA published its intention to limit the
period of availability to a selected operator to three years, which
includes the year of allocation plus two additional years. Accordingly,
funds for projects selected in FY 2005 or prior years are no longer
available for obligation in a grant and will be reallocated in the FY
2009 competition. FY 2006 funds will be reallocated at the end of FY
2009 if not obligated in a grant by September 30, 2009. FY 2007 and FY
2008 funds were allocated on August 22, 2008 and will be reallocated if
not obligated in a grant by September 30, 2010. Funds for project
selections announced in FY 2009 will be reallocated if not obligated in
a grant by September 30, 2011.
4. Other Program or Apportionment Related Information and Highlights
FTA will publish a NOFA soliciting applications for FY 2009 in a
subsequent notice once the full funding level is made available to the
program. The notice will be available at http://www.fta.dot.gov/laws/leg_reg_federal_register.html.
V. FTA Policy and Procedures for FY 2009 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
1. Caution to New Grantees and Grantees Using Innovative Financing
While we provide pre-award authority to incur expenses prior to
grant award for many projects, we recommend that first-time grant
recipients not utilize this automatic pre-award authority and wait
until the grant is actually awarded by FTA before incurring costs. As a
new grantee, it is easy to misunderstand pre-award authority conditions
and not be aware of all of the applicable FTA requirements that must be
met in order to be reimbursed for project expenditures incurred in
advance of grant award. FTA programs have specific statutory
requirements that are often different from those for other Federal
grant programs with which new grantees may be familiar. If funds are
expended for an ineligible project or activity, FTA will be unable to
reimburse the project sponsor and, in certain cases, the entire project
may be rendered ineligible for FTA assistance.
Grantees proposing to use innovative financing techniques or
capital leasing are required to consult with the applicable FTA
Regional Office (see Appendix A) prior to entering into the financial
agreement--especially where the grantee expects to use Federal funds
for debt service or capital lease payments. Consulting with FTA prior
to entering into the agreement allows FTA to advise the grantee of any
applicable federal regulations, such as the Capital Leasing Regulation,
and will minimize the risk of the costs being ineligible for
reimbursement at a later date.
2. Policy
FTA provides pre-award authority to incur expenses prior to grant
award for certain program areas described below. This pre-award
authority allows grantees to incur certain project costs prior to grant
approval and retain the eligibility of those costs for subsequent
reimbursement after grant approval. The grantee assumes all risk and is
responsible for ensuring that all conditions are met to retain
eligibility. This pre-award spending authority permits a grantee to
incur costs on an eligible transit capital, operating, planning, or
administrative project without prejudice to possible future Federal
participation in the cost of the project. In the Federal Register
Notice of November 30, 2006, FTA extended pre-award authority for
capital assistance under all formula programs through FY 2009, the
duration of SAFETEA-LU. In this notice, FTA extends pre-award authority
through FY 2010 for capital assistance under all formula programs. FTA
provides pre-award authority for planning and operating assistance
under the formula programs without regard to the period of the
authorization. In addition, we extend pre-award authority for certain
discretionary programs based on the annual Appropriations Act each
year. All pre-award authority is subject to conditions and triggers
stated below:
a. FTA does not impose additional conditions on pre-award authority
for operating, planning, or administrative assistance under the formula
grant programs. Grantees may be reimbursed for expenses incurred prior
to grant award so long as funds have been expended in accordance with
all Federal requirements. In addition to cross-cutting Federal grant
requirements, program specific requirements must be met. For example, a
planning project must have been included in a Unified Planning Work
Program (UPWP); a New Freedom operating assistance project or a JARC
planning or operating project must have been derived from a coordinated
public transit-human services transportation plan (coordinated plan)
and competitively selected by the Designated Recipient prior to
incurring expenses; expenditure on State Administration expenses under
State Administered programs must be consistent with the State
Management Plan. Designated Recipients for JARC and New Freedom have
pre-award authority for the ten percent of the apportionment they may
use for program administration, if the use is consistent with their
Program Management Plan.
b. Pre-Award authority for Alternatives Analysis planning projects
under 49 U.S.C. 5339 is triggered by the publication of the allocation
in FTA's Federal Register Notice of Apportionments and Allocations
following the annual Appropriations Act, or announcement of additional
discretionary allocations. The projects must be included in the UPWP of
the MPO for that metropolitan area.
c. Pre-award authority for design and environmental work on a
capital project is triggered by the authorization of formula funds, or
the appropriation of funds for a discretionary project.
d. Following authorization of formula funds or appropriation and
publication of discretionary projects, pre-award authority for capital
project implementation activities including property acquisition,
demolition,
[[Page 77362]]
construction, and acquisition of vehicles, equipment, or construction
materials is triggered by completion of the environmental review
process with FTA's concurrence in the categorical exclusion (CE)
determination or signing of an environmental Record of Decision (ROD)
or Finding of No Significant Impact (FONSI). Prior to exercising pre-
award authority, grantees must comply with the conditions and Federal
requirements outlined in paragraph 3 below. Failure to do so will
render an otherwise eligible project ineligible for FTA financial
assistance. Capital projects under the Section 5310, JARC, and New
Freedom programs must comply with specific program requirements,
including coordinated planning and competitive selection. In addition,
prior to incurring costs, grantees are strongly encouraged to consult
with the appropriate FTA regional office regarding the eligibility of
the project for future FTA funds and the applicability of the
conditions and Federal requirements.
e. As a general rule, pre-award authority applies to the Section
5309 Capital Investment Bus and Bus-Related Facilities, the Clean Fuels
Bus program, high priority project designations, and any other transit
discretionary projects designated in SAFETEA-LU only AFTER funds have
been appropriated. Pre-award authority is currently extended for FY
2007 and FY 2008 discretionary project funding. As of the date of this
notice, FTA extends preaward authority to FY 2009 projects designated
discretionary funding in SAFETEA-LU and to discretionary allocations
extended or reprogrammed under the SAFETEA-LU Technical Corrections Act
of 2008, as of June 6, 2008. For Section 5309 Capital Investment Bus
and Bus-Related, Clean Fuels Program, or other transit capital
discretionary projects such as those designated in an annual
Appropriations Act, the date that costs may be incurred is: (1) For
design and environmental review, the appropriations bill which funds
the project was enacted; and (2) for property acquisition, demolition,
construction, and acquisition of vehicles, equipment, or construction
materials, the date that FTA approves the document (ROD, FONSI, or CE
determination) that completes the environmental review process required
by the National Environmental Policy Act (NEPA) and its implementing
regulations. FTA introduced this new trigger for pre-award authority in
FY 2006 in recognition of the growing prevalence of new grantees
unfamiliar with Federal and FTA requirements to ensure FTA's continued
ability to comply with NEPA and related environmental laws. Because FTA
does not sign a final NEPA document until MPO and statewide planning
requirements (including air quality conformity requirements, if
applicable) have been satisfied, this new trigger for pre-award will
ensure compliance with both planning and environmental requirements
prior to irreversible action by the grantee.
f. In previous notices, FTA extended pre-award authority to Section
330 projects referenced in the DOT Appropriation Act, 2002, and the
Consolidated Appropriations Resolution, 2003 and to those surface
transportation projects commonly referred to as Section 115 projects
administered by FTA, for which amounts were provided in the
Consolidated Appropriations Act, 2004, Section 117 projects in the 2005
Appropriations Act, and Section 112 of the 2006 Appropriations Act that
are to be administered by FTA. FTA, in the FY 2008 Apportionment
Notice, extended pre-award authority to high priority projects in
SAFETEA-LU, as of the date they were transferred or allotted to FTA for
administration. The same conditions described for bus projects apply to
these projects. We strongly encourage any prospective applicant that
does not have a previous relationship with FTA to review Federal grant
requirements with the FTA regional office before incurring costs.
g. Blanket pre-award authority does not apply to Section 5309
Capital Investment New Starts funds. Specific instances of pre-award
authority for Capital Investment New Starts projects are described in
paragraph 4 below. Pre-award authority does not apply to Capital
Investment Bus and Bus-Related Facilities or Clean Fuels projects
authorized for funding beyond this fiscal year. Before an applicant may
incur costs for Capital Investment New Starts projects, Bus and Bus-
Related Facilities projects, or any other projects not yet published in
a notice of apportionments and allocations, it must first obtain a
written Letter of No Prejudice (LONP) from FTA. To obtain an LONP, a
grantee must submit a written request accompanied by adequate
information and justification to the appropriate FTA regional office,
as described below.
h. Blanket pre-award authority does not apply to Section 5314
National Research Programs. Before an applicant may incur costs for
National Research Programs, it must first obtain a written Letter of No
Prejudice (LONP) from FTA. To obtain an LONP, a grantee must submit a
written request accompanied by adequate information and justification
to the appropriate FTA headquarters office. Information about LONP
procedures may be obtained from the appropriate headquarters office.
3. Conditions
The conditions under which pre-award authority may be utilized are
specified below:
a. Pre-award authority is not a legal or implied commitment that
the subject project will be approved for FTA assistance or that FTA
will obligate Federal funds. Furthermore, it is not a legal or implied
commitment that all items undertaken by the applicant will be eligible
for inclusion in the project.
b. All FTA statutory, procedural, and contractual requirements must
be met.
c. No action will be taken by the grantee that prejudices the legal
and administrative findings that the Federal Transit Administrator must
make in order to approve a project.
d. Local funds expended by the grantee pursuant to and after the
date of the pre-award authority will be eligible for credit toward
local match or reimbursement if FTA later makes a grant or grant
amendment for the project. Local funds expended by the grantee prior to
the date of the pre-award authority will not be eligible for credit
toward local match or reimbursement. Furthermore, the expenditure of
local funds on activities such as land acquisition, demolition, or
construction prior to the date of pre-award authority for those
activities (i.e., the completion of the NEPA process) would compromise
FTA's ability to comply with Federal environmental laws and may render
the project ineligible for FTA funding.
e. The Federal amount of any future FTA assistance awarded to the
grantee for the project will be determined on the basis of the overall
scope of activities and the prevailing statutory provisions with
respect to the Federal/local match ratio at the time the funds are
obligated.
f. For funds to which the pre-award authority applies, the
authority expires with the lapsing of the fiscal year funds.
g. When a grant for the project is subsequently awarded, the
Financial Status Report, in TEAM-Web, must indicate the use of pre-
award authority.
h. Environmental, Planning, and Other Federal Requirements.
All Federal grant requirements must be met at the appropriate time
for the project to remain eligible for Federal funding. The growth of
the Federal transit program has resulted in a growing number of
inexperienced grantees who make compliance with
[[Page 77363]]
Federal planning and environmental laws increasingly challenging. FTA
has therefore modified its approach to pre-award authority to use the
completion of the NEPA process, which has as a prerequisite the
completion of planning and air quality requirements, as the trigger for
pre-award authority for all activities except design and environmental
review.
i. The requirement that a project be included in a locally adopted
metropolitan transportation plan, the metropolitan transportation
improvement program and Federally-approved statewide transportation
improvement program (23 CFR Part 450) must be satisfied before the
grantee may advance the project beyond planning and preliminary design
with non-Federal funds under pre-award authority. If the project is
located within an EPA-designated non-attainment area for air quality,
the conformity requirements of the Clean Air Act, 40 CFR Part 93, must
also be met before the project may be advanced into implementation-
related activities under pre-award authority. Compliance with NEPA and
other environmental laws and executive orders (e.g., protection of
parklands, wetlands, and historic properties) must be completed before
State or local funds are spent on implementation activities, such as
site preparation, construction, and acquisition, for a project that is
expected to be subsequently funded with FTA funds. The grantee may not
advance the project beyond planning and preliminary design before FTA
has determined the project to be a categorical exclusion, or has issued
a Finding of No Significant Impact (FONSI) or an environmental Record
of Decision (ROD), in accordance with FTA environmental regulations, 23
CFR Part 771. For planning projects, the project must be included in a
locally-approved Unified Planning Work Program (UPWP) that has been
coordinated with the State.
j. In addition, Federal procurement procedures, as well as the
whole range of applicable Federal requirements (e.g., Buy America,
Davis-Bacon Act, Disadvantaged Business Enterprise) must be followed
for projects in which Federal funding will be sought in the future.
Failure to follow any such requirements could make the project
ineligible for Federal funding. In short, this increased administrative
flexibility requires a grantee to make certain that no Federal
requirements are circumvented through the use of pre-award authority.
If a grantee has questions or concerns regarding the environmental
requirements, or any other Federal requirements that must be met before
incurring costs, it should contact the appropriate regional office.
4. Pre-Award Authority for New Starts Projects
a. Preliminary Engineering (PE) and Final Design (FD). Projects
proposed for Section 5309 New Starts funds are required to follow a
Federally defined New Starts project development process. This New
Starts process includes, among other things, FTA approval of the entry
of the project into PE and into FD. In accordance with Section 5309(d),
FTA considers the merits of the project, the strength of its financial
plan, and its readiness to enter the next phase in deciding whether or
not to approve entry into PE or FD. Upon FTA approval to enter PE, FTA
extends pre-award authority to incur costs for PE activities. Upon FTA
approval to enter FD, FTA extends pre-award authority to incur costs
for FD activities. The pre-award authority for each phase is automatic
upon FTA's signing of a letter to the project sponsor approving entry
into that phase. PE and FD are defined in the New Starts regulation
entitled Major Capital Investment Projects, found at 49 CFR Part 611.
b. Real Property Acquisition Activities. FTA extends automatic pre-
award authority for the acquisition of real property and real property
rights for a New Starts project upon completion of the NEPA process for
that project. The NEPA process is completed when FTA signs an
environmental Record of Decision (ROD) or Finding of No Significant
Impact (FONSI), or makes a Categorical Exclusion (CE) determination.
With the limitations and caveats described below, real estate
acquisition for a New Starts project may commence, at the project
sponsor's risk, upon completion of the NEPA process.
For FTA-assisted projects, any acquisition of real property or real
property rights must be conducted in accordance with the requirements
of the Uniform Relocation Assistance and Real Property Acquisition
Policies Act (URA) and its implementing regulations, 49 CFR Part 24.
This pre-award authority is strictly limited to costs incurred: (i) To
acquire real property and real property rights in accordance with the
URA regulation, and (ii) to provide relocation assistance in accordance
with the URA regulation. This pre-award authority is limited to the
acquisition of real property and real property rights that are
explicitly identified in the final environmental impact statement
(FEIS), environmental assessment (EA), or CE document, as needed for
the selected alternative that is the subject of the FTA-signed ROD or
FONSI, or CE determination. This pre-award authority does not cover
site preparation, demolition, or any other activity that is not
strictly necessary to comply with the URA, with one exception. That
exception is when a building that has been acquired, has been emptied
of its occupants, and awaits demolition poses a potential fire-safety
hazard or other hazard to the community in which it is located, or is
susceptible to reoccupation by vagrants. Demolition of the building is
also covered by this pre-award authority upon FTA's written agreement
that the adverse condition exists.
Pre-award authority for property acquisition is also provided when
FTA makes a CE determination for a protective buy or hardship
acquisition in accordance with 23 CFR 771.117(d)(12), and when FTA
makes a CE determination for the acquisition of a pre-existing railroad
right-of-way in accordance with 49 U.S.C. 5324(c). When a tiered
environmental review in accordance with 23 CFR 771.111(g) is being
used, pre-award authority is not provided upon completion of the first-
tier environmental document except when the Tier-1 ROD or FONSI signed
by FTA explicitly provides such pre-award authority for a particular
identified acquisition.
Project sponsors should use pre-award authority for real property
acquisition and relocation assistance very carefully, with a clear
understanding that it does not constitute a funding commitment by FTA.
FTA provides pre-award authority upon completion of the NEPA process to
maximize the time available to project sponsors to move people out of
their homes and places of business, in accordance with the requirements
of the Uniform Relocation Act, but also with maximum sensitivity to the
plight of the people so affected. Although FTA provides pre-award
authority for property acquisition upon completion of the NEPA process,
FTA will not make a grant to reimburse the sponsor for real estate
activities conducted under pre-award authority until the project has
been approved into FD. Even if funds have been appropriated for the
project, the timing of an actual grant for property acquisition and
related activities must await FD approval to ensure that Federal funds
are not risked on a project whose advancement beyond PE is still not
yet assured.
c. National Environmental Policy Act (NEPA) Activities. NEPA
requires that major projects proposed for FTA funding assistance be
subjected to a
[[Page 77364]]
public and interagency review of the need for the project, its
environmental and community impacts, and alternatives to avoid and
reduce adverse impacts. Projects of more limited scope also need a
level of environmental review, either to support an FTA finding of no
significant impact (FONSI) or to demonstrate that the action is
categorically excluded from the more rigorous level of NEPA review.
FTA's regulation titled ``Environmental Impact and Related
Procedures,'' at 23 CFR Part 771 states that the costs incurred by a
grant applicant for the preparation of environmental documents
requested by FTA are eligible for FTA financial assistance (23 CFR
771.105(e)). Accordingly, FTA extends pre-award authority for costs
incurred to comply with NEPA regulations and to conduct NEPA-related
activities for a proposed New Starts or Small Starts project, effective
as of the date of the Federal approval of the relevant STIP or STIP
amendment that includes the project or any phase of the project. NEPA-
related activities include, but are not limited to, public involvement
activities, historic preservation reviews, section 4(f) evaluations,
wetlands evaluations, endangered species consultations, and biological
assessments. This pre-award authority is strictly limited to costs
incurred to conduct the NEPA process, and to prepare environmental,
historic preservation and related documents. It does not cover PE
activities beyond those necessary for NEPA compliance.
For many FTA programs, costs incurred by a grant applicant
exercising pre-award authority in the preparation of environmental
documents required by FTA are eligible for FTA reimbursement (See also
23 CFR 771.105(e)). FTA assistance for environmental documents for New
Starts and Small Starts projects, however, is subject to certain
restrictions. Under SAFETEA-LU, Section 5309 New Starts funds cannot be
used for any activity, including a NEPA-related activity that occurs
prior to the approval of a New Starts project into PE or a Small Starts
project into Project Development (PD). Section 5339 (Alternatives
analysis program), Section 5307 (Urbanized Area Formula Program) and
flexible highway funds are available for NEPA work conducted prior to
PE approval (for New Starts) or PD approval (for Small Starts). Section
5309 New Starts funds, however, as well as Section 5307 (Urban Formula
program) and flexible highway funds, can be used for NEPA work
conducted after PE approval (for New Starts) or PD approval (for Small
Starts). NEPA-related activities include, but are not limited to,
public involvement activities, historic preservation reviews, section
4(f) evaluations, wetlands evaluations, endangered species
consultations, and biological assessments. As with any pre-award
authority, FTA reimbursement for costs incurred is not guaranteed.
d. Other New Starts Activities Requiring Letter of No Prejudice
(LONP). Except as discussed in paragraphs a through c above, a grant
applicant must obtain a written LONP from FTA before incurring costs
for any activity expected to be funded by New Start funds not yet
awarded. To obtain an LONP, an applicant must submit a written request
accompanied by adequate information and justification to the
appropriate FTA regional office, as described in B below.
5. Pre-Award Authority for Small Starts
When FTA issues a Project Development approval letter for a Small
Starts project, FTA grants pre-award authority for the engineering and
design activities necessary to complete NEPA. Upon FTA's issuance of a
Record of Decision (ROD), a Finding of No Significant Impact (FONSI),
or a Categorical Exclusion (CE) determination, pre-award authority is
granted to incur costs for all other project engineering activities
including right-of-way acquisition and utility relocation. When FTA
issues a Project Construction Grant Agreement (PCGA), FTA grants pre-
award authority for the construction phase of the project. Pre-award
authority for NEPA-related work on a Small Starts project is described
in paragraph 4.c above. Pre-award authority for real property
acquisition activities for a Small Starts project is granted under the
same conditions and for the same reasons as for New Starts projects, as
described in paragraph 4.b above.
B. Letter of No Prejudice (LONP) Policy
1. Policy
LONP authority allows an applicant to incur costs on a project
utilizing non-Federal resources, with the understanding that the costs
incurred subsequent to the issuance of the LONP may be reimbursable as
eligible expenses or eligible for credit toward the local match should
FTA approve the project at a later date. LONPs are applicable to
projects and project activities not covered by automatic pre-award
authority. The majority of LONPs will be for Section 5309 New Starts or
Small Starts funds not covered under a full funding grant agreement
(FFGA) or PCGA, or for Section 5309 Bus and Bus-Related projects
authorized but not yet appropriated by Congress. LONPs may be issued
for formula and discretionary funds beyond the life of the current
authorization or FTA's extension of automatic pre-award authority;
however, the LONP is limited to a five-year period.
2. Conditions and Federal Requirements
The conditions for pre-award authority specified in section V.A.2
above apply to all LONPs. The Environmental, Planning and Other Federal
Requirements described in section V.A.3 also apply to all LONPs.
Because project implementation activities may not be initiated prior to
NEPA completion, FTA will not issue an LONP for such activities until
the NEPA process has been completed with a ROD, FONSI, or Categorical
Exclusion determination.
3. Request for LONP
Before incurring costs for a project not covered by automatic pre-
award authority, the project sponsor must first submit a written
request for an LONP, accompanied by adequate information and
justification, to the appropriate regional office and obtain written
approval from FTA. FTA approval of an LONP for a New Starts or Small
Starts project is determined on a case-by-case basis. As a prerequisite
to FTA approval of an LONP for a New Starts or Small Starts project,
FTA will require project sponsors to demonstrate project worthiness and
readiness that establish the project as a promising candidate for an
FFGA or PCGA. For New Starts projects, this usually cannot be
determined prior to the project's approval to enter final design.
However, there may be limited instances where LONP requests prior to
entry into final design are approved, if strongly justified. Projects
will be assessed based upon the criteria considered in the New Start
evaluation process. Specifically, when requesting an LONP, the
applicant shall provide sufficient information to allow FTA to consider
the following items:
a. Description of the activities to be covered by the LONP.
b. Justification for advancing the identified activities. The
justification should include an accurate assessment of the consequences
to the project scope, schedule, and budget should the LONP not be
approved.
c. Data that indicates that the project will maintain its ability
to receive a rating of ``medium'', or better and that its cost-
effectiveness rating will be ``medium'' or better, unless such project
[[Page 77365]]
has been specifically exempted from such a requirement.
d. Allocated level of risk and contingency for the activity
requested.
e. Status of procurement progress, including, if appropriate,
submittal of bids for the activities covered by the LONP.
f. Strength of the capital and operating financial plan for the New
Starts project and the future transit system.
g. Adequacy of the Project Management Plan.
h. Resolution of any readiness issues that would affect the
project, such as land acquisition and technical capacity to carry out
the project.
C. FTA FY 2009 Annual List of Certifications and Assurances
The full text of the FY 2009 Certifications and Assurances was
published in the Federal Register on October 31, 2008, and is available
on the FTA Website and in TEAM-Web. The FY 2009 Certifications and
Assurances must be used for all grants made in FY 2009, including
obligation of carryover. All grantees with active grants are required
to have signed the FY 2009 Certifications and Assurances within 90 days
after publication. Any questions regarding this document may be
addressed to the appropriate Regional Office or to Nydia Picayo, in the
FTA Office of Program Management, at (202) 366-1662.
D. FHWA Funds Used for Transit Purposes
SAFETEA-LU continues provisions in the Intermodal Surface
Transportation Efficiency Act of 1991 (ISTEA) and TEA-21 that expanded
modal choice in transportation funding by including substantial
flexibility to transfer funds between FTA and FHWA formula program
funding categories. The provisions also allow for transfer of certain
discretionary program funds for administration of highway projects by
FHWA and transit projects by FTA. FTA and FHWA execute Flex Funding
Transfers between the Formula and Bus Grants Transit programs and the
Federal Aid Highway programs. This also includes the transfer of
Metropolitan and Statewide planning set-aside funds from FHWA to FTA to
be combined with metropolitan and statewide planning resources as
Consolidated Planning Grants (CPG). These transfers are based on States
requests to transfer funding from the Highway and/or Transit programs
to fund States and local project priorities, and joint planning needs.
This practice can result in transfers to the Federal Transit Program
from the Federal Aid Highway Program or vice versa.
1. Transfer Process for Funds
SAFETEA-LU was enacted on August 10, 2005. With the enactment of
SAFETEA-LU, beginning in FY2006, Federal transit programs are funded
solely from general funds or trust funds. The transit formula and bus
grant programs are now funded from MTA of the Highway Trust Fund. The
Formula and Bus Grant Programs receives flex funding transfers from the
Federal Aid Highway Program.
As a result of the changes to program funding mechanisms, there is
no longer a requirement to transfer budget authority and liquidating
cash resources simultaneously upon the execution of a flex funding
transfer request by a State. Since the transfers are between trust fund
accounts, the only requirement is to transfer budget authority
(obligation limitation) between the Federal Aid Program trust fund
account and the Federal Transit Formula and Bus Grant Program account.
At the point in time that the obligation resulting from the transfer of
budgetary authority is expended, a transfer of liquidating cash will be
required.
Beginning in FY 2007, the accounting process was changed for
transfers of flex funds and other specific programs to allow budget
authority to be transferred and the cash to be transferred separately.
FTA requires that flexed fund transfers to FTA be in separate and
identifiable grants in order to ensure that the draw-down of flexed
funds can be tracked, thus securing the internal controls for
monitoring these resources from the Federal Highway Administration to
avoid deficiencies in FTA's Formula and Bus Grants account.
FTA monitors the expenditures of flexed funded grants and requests
the transfer of liquidating cash from FHWA to ensure sufficient funds
are available to meet expenditures. To facilitate tracking of grantees'
flex funding expenditures, FTA developed codes to provide distinct
identification of ``flex funds.''
The process for transferring flexible funds between FTA and FHWA
programs is described below. Note that the new transfer process for
``flex funds'' that began in FY 2007 does not apply to the transfer of
State planning set-aside funds from FHWA to FTA to be combined with
metropolitan and statewide planning resources as Consolidated Planning
Grants (CPG). These transfers are based on States requests to transfer
funding from the Highway and/or Transit programs to fund States and
local project priorities, and joint planning needs. Planning funds
transferred will be allowed to be merged in a single grant with FTA
planning resources using the same process implemented in FY 2006. For
information on the process for the transfer of funds between FTA and
FHWA planning programs refer to section IV.A and B. Note also that
certain prior year appropriations earmarks (Sections 330, 115, 117, and
112) are allotted annually for administration rather than being
transferred. For information regarding these procedures, please contact
Kristen D. Clarke, FTA Budget Office, at (202) 366-1686; or FHWA Budget
Division, at (202) 366-2845.
a. Transfer From FHWA to FTA
FHWA funds transferred to FTA are used primarily for transit
capital projects and eligible operating activities that have been
designated as part of the metropolitan and statewide planning and
programming process. The project must be included in an approved STIP
before the funds can be transferred. By letter, the State DOT requests
the FHWA Division Office to transfer highway funds for a transit
project. The letter should specify the project, amount to be
transferred, apportionment year, State, urbanized area, Federal aid
apportionment category (i.e., Surface Transportation Program (STP),
Congestion Mitigation and Air Quality (CMAQ) or identification of the
earmark and indication of the intended FTA formula program (i.e.,
Section 5307, 5311 or 5310) and should include a description of the
project as contained in the STIP. Note that FTA may also administer
certain transfers of statutory earmarks under the Section 5309 bus
program, for tracking purposes.
The FHWA Division Office confirms that the apportionment amount is
available for transfer and concurs in the transfer, by letter to the
State DOT and FTA. The FHWA Office of Budget and Finance then transfers
obligation authority. All FHWA, CMAQ, and STP funds transferred to FTA
will be transferred to one of the three FTA formula programs (i.e.
Urbanized Area Formula (Section 5307), Nonurbanized Area Formula
(Section 5311) or Elderly and Persons with Disabilities (Section 5310).
High Priority projects in Section 1702 of SAFETEA-LU or Transportation
Improvement projects in Section 1934 of SAFETEA-LU and other
Congressional earmarks that are transferred to FTA will be aligned with
and administered through FTA's discretionary Bus and Bus Related
Facilities Program (Section 5309). The most recent guidance on
transfers of FHWA funds as allowed
[[Page 77366]]
under SAFETEA-LU is FHWA Memorandum, dated July 19, 2007, ``Information
Fund Transfers to Other Agencies and Among Title 23 Programs.''
The FTA grantee's application for the project must specify which
program the funds will be used for, and the application must be
prepared in accordance with the requirements and procedures governing
that program. Upon review and approval of the grantee's application,
FTA obligates funds for the project.
Transferred funds are treated as FTA formula or discretionary
funds, but are assigned a distinct identifying code for tracking
purposes. The funds may be transferred for any capital purpose eligible
under the FTA formula program to which they are transferred and, in the
case of CMAQ, for certain operating costs. FHWA issued revised interim
guidance on project eligibility under the CMAQ program in a Notice at
71 FR 76038 et seq. (December 19, 2006) incorporating changes made by
SAFETEA-LU. In accordance with 23 U.S.C. 104(k), all FTA requirements
except local share are applicable to transferred funds except in
certain cases when CMAQ funds are authorized for operating expenses.
Earmarks that are transferred to the Section 5309 Bus Program for
administration, however, can be used for the Congressionally designated
transit purposes, and in some case where the law provides, are not
limited to eligibility under the Bus Program.
In the event that transferred formula funds are not obligated for
the intended purpose within the period of availability of the formula
program to which they were transferred, they become available to the
Governor for any eligible capital transit project. Earmarked funds,
however, can only be used for the Congressionally designated purposes.
b. Transfers From FTA to FHWA
The MPO submits a written request to the FTA regional office for a
transfer of FTA Section 5307 formula funds (apportioned to a UZA
200,000 and over in population) to FHWA based on approved use of the
funds for highway purposes, as determined by the designated recipient
under Section 5307 and contained in the Governor's approved State
Transportation Improvement Program. The MPO must certify that: (1)
Notice and opportunity for comment and appeal has been provided to
affected transit providers; (2) the funds are not needed for capital
investments required by the Americans with Disabilities Act, and (3)
local transit needs are being addressed. The FTA Regional Administrator
reviews and, if he or she concurs in the request, then forwards the
approval in written format to FTA Headquarters, where a reduction equal
to the dollar amount being transferred to FHWA is made to the grantee's
Urbanized Area Formula Program apportionment.
Transfers of discretionary earmarks for administration by FHWA are
handled on a case-by-case basis, by the FTA regional office, in
consultation with the FTA Office of Program Management, Office of Chief
Counsel, and Office of Budget and Policy.
c. Matching Share for FHWA Transfers
The provisions of Section 104(k) of title 23 U.S.C., regarding the
non-Federal share, apply to Title 23 funds used for transit projects.
Thus, FHWA funds transferred to FTA retain the same matching share that
the funds would have if used for highway purposes and administered by
FHWA.
There are four instances in which a Federal share higher than 80
percent would be permitted. First, in States with large areas of Indian
and certain public domain lands and national forests, parks and
monuments, the local share for highway projects is determined by a
sliding scale rate, calculated based on the percentage of public lands
within that State. This sliding scale, which permits a greater Federal
share, but not to exceed 95 percent, is applicable to transfers used to
fund transit projects in these public land States. FHWA develops the
sliding scale matching ratios for the increased Federal share.
Second, commuter carpooling and vanpooling projects and transit
safety projects using FHWA transfers administered by FTA may retain the
same 100 percent Federal share that would be allowed for ride-sharing
or safety projects administered by FHWA.
The third instance is the 100 percent Federally-funded safety
projects; however, these are subject to a nationwide 10 percent program
limitation.
The fourth instance occurs with CMAQ funds. H.R. 6, The Energy
Independence and Security Act, 2007, increased the federal share of
CMAQ projects to 100% at the State's discretion. FTA will honor this
increased match for CMAQ funds transferred to FTA for implementation if
the state chooses to fund the project at a higher federal share than 80
percent. The federal share for CMAQ projects cannot be lower than 80
percent.
D. Miscellaneous Transit Earmarks in FHWA Programs
The FY 2002 and FY 2003 Appropriations Acts and accompanying
reports included Section 330, which identified a number of transit
projects among projects designated to receive funding from certain FHWA
funding sources. The FY 2004 Appropriations Act similarly included
transit projects among projects designated to receive funding from
certain FHWA sources in Section 115, the FY 2005 Appropriations Act
included a set of designations under Section 117, and the FY 2006
Appropriations Act included designations under Section 112, which may
include some projects that FHWA will identify to be administered by
FTA. For those projects identified by FHWA as transit in nature, FHWA
allots the funds to FTA to administer. The funds are available for the
designated project until obligated and expended. Some of these FY 2002-
2006 designations for transit projects have not yet been obligated.
However, because these are FHWA funds, funds for projects unobligated
at the end of the FY are not automatically available as carry over made
available in the following FY. Instead FHWA re-allots obligation
authority to FTA annually, after reconciling account balances. Because
the requirements and procedures associated with these projects differ
in some cases from those for the FTA programs that FTA grantees are
familiar with, and the availability of funds for obligation by FTA
depends on allotments from FHWA, transit applicants seeking funding
under these miscellaneous FHWA designations must work closely with the
appropriate FTA regional office and FHWA Division Office when applying
for a grant under these designations.
E. Grant Application Procedures
1. Grantees must provide a Dun and Bradstreet (D&B) Data Universal
Numbering System (DUNS) number for inclusion in all applications for a
Federal grant or cooperative agreement. The DUNS number should be
entered into the grantee profile in TEAM-Web. Additional information
about this and other Federal grant streamlining initiatives mandated by
the Federal Financial Assistance Management Improvement Act of 1999
(Pub. L. 106-107) can be accessed on OMB's Web site at http://www.whitehouse.gov/omb/grants/reform.html.
2. All applications for FTA funds should be submitted
electronically to the appropriate FTA regional office through TEAM-Web,
an Internet-
[[Page 77367]]
accessible electronic grant application system. FTA has provided
limited exceptions to the requirement for electronic filing of
applications.
3. In FY 2009, FTA remains committed to processing applications
promptly upon receipt of a completed application by the appropriate
regional office. In order for an application to be considered complete
and for FTA to assign a grant number, enabling submission in TEAM-Web,
the following requirements must be met:
a. The project is listed in a currently approved Metropolitan
Transportation Plan, Metropolitan Transportation Improvement Program
(TIP); FTA approved Statewide Transportation Improvement Program
(STIP), or Unified Planning Work Program (UPWP).
b. All eligibility issues have been resolved.
c. Required environmental findings have been made.
d. The project budget's Activity Line Items (ALI), scope, and
project description meet FTA requirements.
e. Local share funding source(s) have been identified.
f. The grantee's required Civil Rights submissions are current.
g. Certifications and assurances are properly submitted.
h. Funding is available, including any flexible funds included in
the budget.
i. For projects involving new construction (using at least $100
million in New Starts or formula funds), FTA engineering staff has
reviewed the project management plan and given approval.
j. When required for grants related to New Starts projects, PE and/
or FD has been approved.
k. Milestone information is complete, or FTA determines that
milestone information can be finalized before the grant is ready for
award. The grant must include sufficient milestones appropriate to the
scale of the project to allow adequate oversight to monitor the
progress of projects from the start through completion and closeout.
4. Under most FTA programs, grants involving funding related to
transit operations must be submitted to the Department of Labor (DOL)
for certification of labor protective arrangements, prior to grant
award. Grants under the Nonurbanized Area Formula Program and Over-the-
Road Bus Program are covered under the special warranty provision and
do not require certification. Beginning with grants associated in FY
2009, Tribal Transit grants are also covered by the special warranty.
Although grants under these programs will not be certified, they must
be submitted to DOL upon approval by FTA. This change resulted from the
new DOL Regulations, 29 CFR Part 215, published on August 13, 2008. In
addition, before FTA can award grants for discretionary projects and
activities designated by Congress, notification must be given to
members of Congress, and in the case of awards greater than $500,000,
to the House and Senate authorizing and appropriations committees three
days prior to award. Discretionary grants allocated by FTA also go
through the Congressional notification process if they are greater than
$500,000. In previous years, the amount requiring notification was $1
million; however, the Continuing Appropriations Act, 2008, lowered the
threshold for notification to $500,000 dollars.
5. Other important issues that impact FTA grant processing
activities are discussed below.
a. Change in Budget Structure
Because SAFETEA-LU restructured FTA's accounts from split funded
accounts to one solely trust funded account and three general funded
accounts, FTA does not mix funds from years prior to FY 2006 in the
same grant with funds appropriated in FY 2006 and beyond (except for
New Starts and research grants). Prior to FY 2006, all programs were
funded approximately 80 percent from MTA of the Highway Trust Fund and
20 percent from the General Funds U.S. Treasury. The trust funds were
transferred into the general funded accounts at the beginning of the
year. Under SAFETEA-LU most programs are funded entirely from trust
funds derived from the MTA, while the New Starts and Research programs
are funded with general funds. For a New Starts or research project,
any prior year funds currently available for obligation and FY 2009
funds may be included in an amendment to an existing grant.
For formula programs funded solely from trust funds beginning in FY
2006, grantees may not combine funds appropriated since FY 2006 in the
same grant with FY 2005 and prior year funds. Grant amendments cannot
be made to add FY 2006 and later year funds to a grant that includes FY
2005 or prior funds. However, grantees are able to amend new grants
established with FY 2006 or later year funds to add funds made
available after FY 2006. We regret any inconvenience this accounting
change may cause as we implement new statutory requirements under
SAFETEA-LU. We encourage grantees to spend down and close out old
grants as quickly as possible to minimize the inconvenience.
b. Grant Budgets--SCOPE and Activity Line Item (ALI) Codes
FTA uses the SCOPE and Activity Line Item (ALI) Codes in the grant
budgets to track program trends, to report to Congress, and to respond
to requests from the Inspector General and the Government
Accountability Office (GAO), as well as to manage grants. The accuracy
of the data is dependent on the careful and correct use of codes. As
needed, we revise the SCOPE and ALI table to include new codes for
newly eligible capital items, to better track certain expenditures, and
to accommodate new or modified programs. We encourage grantees to
review the table before selecting codes from the drop-down menus in
TEAM-Web while creating a grant budget and to consult with the regional
office in the correct use of codes.
c. Earmark and Discretionary Program Tracking
FTA has implemented procedures in TEAM-Web for matching grants to
earmarks or projects selected by FTA under discretionary programs. Each
earmark or selected discretionary project published in the Federal
Register is associated with a unique identifier. Tables of earmarks and
selected discretionary projects have also been established in TEAM-Web.
When applying for a grant using funding designated by Congress or FTA
for a particular project, grantees are asked to identify the amount of
funding associated with each specific earmark or discretionary project
used in the grant. Further instructions are posted on the TEAM-Website
and regional staff can provide additional assistance.
F. Payments
Once a grant has been awarded and executed, requests for payment
can be processed. To process payments FTA uses ECHO-Web, an Internet
accessible system that provides grantees the capability to submit
payment requests on-line, as well as receive user-IDs and passwords via
e-mail. New applicants should contact the appropriate FTA regional
office to obtain and submit the registration package necessary for set-
up under ECHO-Web.
G. Oversight
FTA conducts periodic oversight reviews to assess grantee
compliance with Federal requirements. Each urbanized area grantee is
reviewed every three years (a Triennial Review). Triennial reviews have
been modified to look at the grantee's involvement in the coordinated
planning for transportation for the populations targeted by the JARC
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and New Freedom programs and participation in delivery of specialized
services under those programs in the urbanized area. States are
reviewed periodically for their management of the Section 5310, 5311,
JARC, and New Freedom programs. Other more detailed reviews are
scheduled based on an annual grantee risk assessment, for example,
reviews in the areas of Procurement, Financial Management, Safety and
Civil Rights.
H. Technical Assistance
FTA headquarters and regional staff will be pleased to answer your
questions and provide any technical assistance you may need to apply
for FTA program funds and manage the grants you receive. This notice
and the program guidance circulars previously identified in this
document may be accessed via the FTA Web site at http://www.fta.dot.gov.
In addition, copies of the following circulars and other useful
information are available on the FTA Web site and may be obtained from
FTA regional offices; Circular 4220.1F, Third Party Contracting
Requirements; and Circular 5010.1D, Grant Management Guidelines. Both
circulars were recently revised and can be found at http://www.fta.dot.gov/laws/leg_reg_circulars_guidance.html. The FY 2009
Annual List of Certifications and Assurances and Master Agreement are
also posted on the FTA Web site. The DOT final rule on ``Participation
by Disadvantaged Business Enterprises in Department of Transportation
Financial Assistance Programs,'' which was effective July 16, 2003, can
be found at http://www.access.gpo.gov/nara/cfr/waisidx_04/49cfr26_04.html/
Issued in Washington, DC, this 8th day of December 2008.
Sherry Little,
Acting Administrator.
Appendix A
FTA Regional Offices
Richard H. Doyle, Regional Administrator, Region 1--Boston, Kendall
Square, 55 Broadway, Suite 920, Cambridge, MA 02142-1093, Tel. 617 494-
2055.
States served: Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, and Vermont
Brigid Hynes-Cherin, Regional Administrator, Region 2--New York, One
Bowling Green, Room 429, New York, NY 10004-1415, Tel. No. 212 668-
2170.
States served: New Jersey, New York
Letitia Thompson, Regional Administrator, Region 3--Philadelphia, 1760
Market Street, Suite 500, Philadelphia, PA 19103-4124, Tel. 215 656-
7100.
States served: Delaware, Maryland, Pennsylvania, Virginia, West
Virginia, and District of Columbia
Yvette Taylor, Regional Administrator, Region 4--Atlanta, Atlanta
Federal Center, Suite 17T50, 61 Forsyth Street, SW., Atlanta, GA 30303,
Tel. 404 562-3500.
States served: Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, Puerto Rico, South Carolina, Tennessee, and Virgin Islands
Marisol Simon, Regional Administrator, Region 5--Chicago, 200 West
Adams Street, Suite 320, Chicago, IL 60606, Tel. 312 353-2789.
States served: Illinois, Indiana, Michigan, Minnesota, Ohio, and
Wisconsin
Robert C. Patrick, Regional Administrator, Region 6--Ft. Worth, 819
Taylor Street, Room 8A36, Ft. Worth, TX 76102, Tel. 817 978-0550.
States served: Arkansas, Louisiana, Oklahoma, New Mexico and Texas
Mokhtee Ahmad, Regional Administrator, Region 7--Kansas City, MO, 901
Locust Street, Room 404, Kansas City, MO 64106, Tel. 816 329-3920.
States served: Iowa, Kansas, Missouri, and Nebraska
Terry Rosapep, Regional Administrator, Region 8--Denver, 12300 West
Dakota Ave., Suite 310, Lakewood, CO 80228-2583, Tel. 720-963-3300.
States served: Colorado, Montana, North Dakota, South Dakota, Utah, and
Wyoming
Leslie T. Rogers, Regional Administrator, Region 9--San Francisco, 201
Mission Street, Room 2210, San Francisco, CA 94105-1926, Tel. 415 744-
3133.
States served: American Samoa, Arizona, California, Guam, Hawaii,
Nevada, and the Northern Mariana Islands
Rick Krochalis, Regional Administrator, Region 10--Seattle, Jackson
Federal Building, 915 Second Avenue, Suite 3142, Seattle, WA 98174-
1002, Tel. 206 220-7954.
States served: Alaska, Idaho, Oregon, and Washington
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[FR Doc. E8-29645 Filed 12-17-08; 8:45 am]
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