[Federal Register Volume 74, Number 42 (Thursday, March 5, 2009)]
[Notices]
[Pages 9656-9691]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-4745]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
American Recovery and Reinvestment Act of 2009 Public
Transportation Apportionments, Allocations and Grant Program
Information
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
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SUMMARY: The ``American Recovery and Reinvestment Act, 2009'' (Pub. L.
111-5; ``ARRA''), signed into law by President Barack Obama on February
17, 2009, includes $8.4 billion for transit capital improvements. This
notice implements the transit formula program related provisions of the
ARRA and provides program and grant application requirements for these
funds, to be made available through Federal Transit Administration
(FTA) assistance programs. Additional notices will be published in the
near future for the transit discretionary program provisions in the
ARRA.
DATES: Complete grant applications must be submitted in TEAM by July 1,
2009. FTA must reallocate certain unobligated funds by September 1,
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 or metropolitan office (Appendix C) for any specific requests
for information or technical assistance. An FTA headquarters contact
for each major program area also is included in the discussion of that
program in the text of the notice.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview of This Notice
II. The American Recovery and Reinvestment Act of 2009
A. Overview of the ARRA
B. Public Transportation and the American Recovery and
Reinvestment Act of 2009
III. FTA ARRA Programs and Funding
A. Transit Capital Assistance Program
B. Fixed Guideway Infrastructure Investment
C. Capital Investment Grants (New Starts and Small Starts)
IV. FTA Policy and Procedures for ARRA Grants Requirements
A. Civil Rights
B. Automatic Pre-Award Authority to Incur Project Costs
C. Grant Application Procedures
D. Reporting Requirements and Certifications Applicable to
Recipients of ARRA Funding
E. Oversight
F. Technical Assistance
Tables
1. Appropriations and Apportionments for Grant Programs
2. Transit Capital Assistance (Urbanized)
3. Transit Capital Assistance (Urbanized) FORMULA
4. Transit Capital Assistance (Urbanized) Formula Data Unit
Values
5. Transit Capital Assistance (Nonurbanized)
6. Fixed Guideway Infrastructure Investment Apportionments
7. Fixed Guideway Infrastructure Investment Formula
APPENDIX A: GRANT APPLICATION
[[Page 9657]]
INSTRUCTIONS
APPENDIX B: ARRA QUESTIONS AND ANSWERS
APPENDIX C: REGIONAL AND METROPOLITAN OFFICE CONTACT INFORMATION
I. Overview
The American Recovery and Reinvestment Act of 2009 (ARRA) provides
new funding for, among many other categories, public transportation
capital projects. This legislation includes three separate capital
investment programs for public transportation. Because of the purposes
of the legislation, it presents both opportunities and responsibilities
for those who provide public transportation throughout the United
States.
This Federal Register notice does several things. First, it
provides a summary of ARRA as it relates to public transportation
programs. Second, the notice discusses in detail the FTA programs
funded by the ARRA, including specific dollar amounts made available
under ARRA for each program and program requirements for eligible
projects. Third, the notice includes policies and requirements that
apply to the ARRA funds, including general reporting requirements and
specific application requirements for the different formula programs.
Fourth, the notice includes tables that apportion funds distributed by
formula. It does not allocate funds to New/Small Starts projects under
the Capital Investment Grants program or make discretionary allocations
for the transit energy program or the tribal transit program. FTA will
issue subsequent notices addressing these programs. Finally, we include
three appendices covering application instructions, Questions and
Answers, and contact information for our regional and metropolitan
offices.
II. The American Recovery and Reinvestment Act of 2009
A. Overview of the ARRA
The American Recovery and Reinvestment Act of 2009 (ARRA) was
signed into law by President Barack Obama on Tuesday, February 17,
2009. The ARRA includes appropriations and tax law changes totaling
approximately $787 billion to support multi-pronged efforts to
stimulate the economy. Goals of the statute include the preservation or
creation of jobs and promotion of an economic recovery, as well as the
investment in transportation, environmental protection and other
infrastructure providing long-term economic benefits.
Of the $787 billion of spending and tax law changes in ARRA, over
$48 billion will be invested in transportation infrastructure,
facilities, and equipment. The Secretary of Transportation has received
an appropriation of $1.5 billion for a competitive surface
transportation grant program, including public transportation projects.
The Federal Highway Administration (FHWA) has received $27.5 billion
for projects eligible under their Highways and Bridges program,
including public transportation. FHWA funds can be used to support
public transportation projects consistent with the Flexible Funding
procedures under the Safe, Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for Users (SAFETEA-LU). FRA has
received $8 billion for high speed and intercity rail grants. Finally,
FTA has received $8.4 billion for three categories of funding: Transit
Capital Assistance, Fixed Guideway Modernization grants, and Capital
Investment Grants (New Starts/Small Starts). More on the transit
programs follows.
B. Public Transportation Programs and the ARRA
1. Introduction
The ARRA includes a total of $8.4 billion in General Fund dollars
for public transportation, appropriated for three different programs:
1. Transit Capital Assistance, 2. Fixed Guideway Infrastructure
Investment, and 3. Capital Investment Grants (New/Small Starts). Tables
1 through 8 of this notice list the ARRA transit formula funds
apportioned in this Federal Register notice. Additionally, for each FTA
program included in this notice, we have provided relevant information
on the ARRA funding available, program requirements, period of
availability, and other related program information and highlights, as
appropriate.
The ARRA specifies that funds are to be used only for capital
expenditures. This means that only items defined as capital under FTA's
current law (Title 49, U.S.C. Chapter 53) are eligible activities under
this program. (The one exception to this is program administration
funds provided to States under the nonurbanized area program.)
Potential grantees are encouraged to identify projects or
expenditures that meet the broader goals of the statute, including
preserving or creating jobs, contributing to cleaning our environment
through green purchases, retrofitting existing facilities, making
additional public transportation opportunities available to more
people, and helping ease fiscal problems at the state and local level.
An important aspect of this legislative initiative is to get the
money working in the economy as quickly as possible. To foster this
imperative, ARRA contains limited time frames to obligate these funds.
As discussed in the detailed description of each program, the inability
to secure an approved and executed grant within the statutory time
limits will result in fund availability being withdrawn. FTA will
reapportion these funds to areas that have successfully executed grants
within the statutory time frames.
2. Capital Transit Assistance Program
The ARRA appropriates $6.9 billion for four separate grant programs
in this category of funding. This notice covers only the funds
apportioned by formula in two categories of funding: the urbanized area
formula program and the non-urban formula program. (The tribal transit
program and the energy savings program will be addressed in a separate
notice.)
Specifically, this document apportions funds made available to
potential program recipients based on the statutory formulas in 49
U.S.C. sections 5307, 5311 for the following formula programs: Transit
Capital Assistance (urbanized areas) and Transit Capital Assistance
(nonurbanized areas) allocated to States.
This Federal Register notice does not contain application
requirements for two discretionary programs authorized in this capital
transit program of the ARRA: a $17 million discretionary capital
program for Indian Tribes and a $100 million discretionary capital
program for energy saving measures by transit agencies. FTA anticipates
issuing notices of Funding Availability for these two programs within
the next two weeks.
3. Fixed Guideway Infrastructure Investment Program
The ARRA provides $750 million for FTA's Fixed Guideway
Infrastructure Investment program to modernize or improve existing
fixed guideway systems, which could include the purchase or
rehabilitation of rolling stock, track, equipment, or facilities.
Maintaining the nation's rail transit system is a core responsibility
of transit agencies across the country. The Department's biennial
Conditions and Performance Report gauges asset conditions and the level
of investment needed to eliminate the backlog of repairs or necessary
replacements. Current published reports indicate that existing pending
needs exceed $25 billion.
[[Page 9658]]
4. Capital Investment Grants
The ARRA makes $750 million available for FTA's New and Small
Starts programs. Additional financial support for these programs will
generate over 20,000 jobs, will increase public transportation
infrastructure, and will expedite the availability of additional
transportation options. In addition, investing in these major capital
investments offers communities significant opportunities to develop
sound approaches for achieving their transportation, environmental, and
community objectives. A separate Federal Register notice on the ARRA
Capital Investment Grants program allocations will be published
shortly.
5. Administration and Oversight of ARRA funds
ARRA authorizes FTA to use an amount from each of the program
funding categories for administration and oversight of these programs.
The ARRA provides oversight and administrative takedowns at the
following levels: 0.75 percent of Transit Capital Assistance funds for
Urbanized Area Formula funds and Growing States and High Density
Allocations, 0.5 percent of Transit Capital Assistance funds for
Nonurbanized Area Formula funds, one percent of Fixed-Guideway
Infrastructure Investment funds, and one percent of Capital Investment
Grants funds. These dollar amounts are identified in the funding tables
contained in the description for each program.
III. ARRA FTA PROGRAMS: Funding and Eligibility Information
A. Transit Capital Assistance Program in this Notice
The Transit Capital Assistance Program authorizes $6.9 billion in
funding for capital expenses as defined by 49 U.S.C. section
5302(a)(1). Transit Capital Assistance program funds are apportioned by
formula to Urbanized Areas (UZAs) with populations at least 200,000 and
to the State for Nonurbanized areas and UZAs with populations below
200,000. The Transit Capital Assistance Program funds are apportioned
based on the following percentages that have been established in the
ARRA: 80 percent of the funds are apportioned for grants under 49
U.S.C. section 5307 (Urbanized Area Formula program); 10 percent of the
funds are apportioned in accord with 49 U.S.C. section 5340 for areas
that are growing States or high density States (these funds are then
added to the amounts made available under the Urbanized Area and
Nonurbanized Area Formula Program); and the remaining 10 percent of the
funds are apportioned for grants under 49 U.S.C. section 5311
(Nonurbanized Area Formula Program). Of the 10 percent apportioned to
nonurbanized areas, 2.5 percent has been set-aside for discretionary
allocation through FTA's Tribal Transit Program. Additionally,
$100,000,000 of the Transit Capital Assistance program funds will be
dedicated for discretionary energy-related investments. Neither the
tribal transit nor energy savings discretionary programs are addressed
in this Federal Register notice. The ARRA excludes from the formula
apportionment the SAFETEA-LU computation for small transit intensive
cities.
For more information about the Transit Capital Assistance Program
(Urbanized Areas) contact Henrika Buchanan-Smith, Director, Office of
Transit Programs, at (202) 366-2053. For information about the Transit
Capital Assistance Program (Nonurbanized areas) contact Lorna Wilson,
at (202) 366-2053.
1. Funding Levels
The ARRA provides $5,440,000,000 to the Transit Capital Assistance
Program for UZAs. After the 0.75 percent deduction for administrative
expenses and program management oversight and the addition of the
urbanized area portion of the Section 5340 Growing States and High
Density States funds, a total amount of $5,967,852,039 is available to
be allocated to UZAs under the Transit Capital Assistance Program.
The ARRA provides $680,000,000 of the $6.9 billion available under
the Transit Capital Assistance Program, to nonurbanized areas based on
49 U.S.C. section 5311. After the 2.5 percent set-aside for tribal
transit, the 0.5 percent deduction for program management oversight and
administrative expenses, and the addition of the nonurbanized area
portion of Section 5340 Growing States and High Density States funds, a
total amount of $765,847,961 is available to be apportioned in this
notice to States to fund projects in nonurbanized areas under the
Transit Capital Assistance Program.
The remainder of the $6.9 billion appropriated to the Transit
Capital Assistance program will be allocated through competitive
discretionary processes which includes $17,000,000 through the Tribal
Transit program, and $100,000,000 allocated to energy-related
investments. A breakdown of formula funds appropriated under the
Transit Capital Assistance Program is shown in the table below.
Transit Capital Assistance
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Total Appropriation................................. $6,900,000,000
Energy Investment................................... -100,000,000
Total Appropriation Remaining....................... 6,800,000,000
Appropriation--urbanized Areas...................... 5,440,000,000
Admin/Oversight Deduction........................... -40,800,000
Section 5340 Funds Added............................ \1\586,652,039
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Total Apportioned--urbanized.................... 5,967,852,039
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Appropriation-nonurbanized...................... 680,000,000
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Oversight Deduction................................. -3,400,000
Tribal Program...................................... -17,000,000
Section 5340 Funds Added............................ \1\106,247,961
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Total Apportioned-nonurbanized.................. 765,847,961
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\1\ Note: This is the amount allocated to the program after the 0.75
percent deduction for oversight from section 5340 fund, which totaled
$5,100,000.
[[Page 9659]]
2. Basis for Formula Apportionment
Of the $6.9 billion available, $5.44 billion is apportioned to UZAs
based on 49 U.S.C. section 5336. 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 2 displays the amounts
apportioned under the Urbanized Area Formula Program, and detailed
information about the urbanized area formula can be found in Table 3
and Table 4.
The nonurbanized area funds are apportioned based upon the
nonurbanized population of each state relative to the national
urbanized area and land area in nonurbanized areas. Table 5 displays
the Transit Capital Assistance Program apportionments for nonurbanized
areas.
3. Eligible Applicants
Eligible applicants for funds apportioned to UZAs are limited to
designated recipients in accordance with 49 U.S.C. section 5307(a)(2)
and other direct FTA grant recipients with the consent of the
Designated Recipient. For nonurbanized area funds, the State is the
only eligible applicant with the exception of the nonurbanized area
funds that will be allocated to tribal recipients at a later date.
4. Program Requirements
Program guidance for the Urbanized Area Formula Program is found in
FTA Circular 9030.1C, Urbanized Area Formula Program: Grant Application
Instructions (October 1, 1998), supplemented by additional information
or changes provided in this document. Additionally, program guidance on
the Nonurbanized Area Formula program can be found in FTA Circular
9040.1F, Nonurbanized Area Formula Program Guidance and Application
Instructions (April 4, 2007). Several important program requirements
are highlighted below. Appendix B to this notice contains frequently
asked questions and answers about the ARRA program.
a. Eligibility
Transit Capital Assistance funds may be used to fund eligible
capital projects. In accordance with 49 U.S.C. section 5302(a)(1),
eligible capital projects include: preventive maintenance; acquiring,
constructing, supervising, or inspecting equipment or a facility for
use in public transportation (including engineering, designing,
location surveying, mapping, and acquiring right-of-way); transit-
related ITS; rehabilitating buses; remanufacturing a bus; overhauling
rail rolling stock; leasing a facility or equipment for use in public
transportation where more cost-effective than purchase or construction;
public transportation improvement that enhances economic development or
incorporates private investment, including commercial and residential
development, pedestrian and bicycle access to public transportation
facilities, construction or renovation of intercity rail stations and
terminals, renovation and improvements of historic transportation
facilities, where the improvement enhances the effectiveness of a
public transportation project and is physically or functionally related
to that public transportation project, or creates a new or enhanced
coordination between public transportation and other transportation and
provides a fair share of revenue to be used in public transportation;
ADA complementary paratransit in amounts not to exceed 10 percent of
the recipient's formula apportionment; specified crime prevention and
security expenses; establishing a debt service reserve; and mobility
management.
b. Local Match
Under the ARRA, the Federal share of a Transit Capital Assistance
grant is up to 100 percent of the net project cost of capital projects
and state administrative expenses of the Transit Capital Assistance
(nonurbanized) Formula program funds. Under the ARRA, operating funds
are not eligible.
5. Period of Availability
The Transit Capital Assistance Program funds apportioned in this
notice remain available to be obligated by FTA to recipients for a
limited period of time. At least 50 percent of Transit Capital
Assistance Formula funds apportioned in this notice must be obligated
in a grant no later than September 1, 2009. On this date, FTA will
withdraw any portion of the 50 percent that each State or urbanized
area has not obligated and will subsequently redistribute to other
States and UZAs that successfully obligated at least 50 percent of the
funds apportioned to them and did not have any funds withdrawn. All
remaining Transit Capital Assistance program funds must be obligated in
a grant no later than March 5, 2010. Transit Capital Assistance Funds
that remain unobligated at the close of business on March 5, 2010 will
revert to FTA for redistribution to areas that have not had any funds
withdrawn and that can promptly use the funding. Any Transit Capital
Assistance program funds that remain unobligated at the close of
business on September 30, 2010, will revert to the U.S. Treasury. A
complete list of dates and deadlines will be posted on FTA's Web site
following publication of this Federal Register notice.
B. Fixed Guideway Infrastructure Investment
The Fixed Guideway Infrastructure Investment program provides
capital assistance for the modernization of existing fixed guideway
systems as authorized under 49 U.S.C. section 5309(b)(2). 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 UZAs to
which the funds are allocated. For more information about Fixed
Guideway Infrastructure Investment contact Henrika Buchanan-Smith,
Director, Office of Transit Programs, at (202) 366-2053.
1. FY 2009 ARRA Funding
The ARRA provides $750,000,000 for the Fixed Guideway
Infrastructure Investment Program. The total amount apportioned for the
Fixed Guideway Infrastructure Investment Program is $742,500,000, after
the one percent deduction for program administration and oversight, as
shown in the table below.
Fixed Guideway Infrastructure Investment Program
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Total Appropriation.................................... $750,000,000
Admin/Oversight Deduction.............................. -7,500,000
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Total Apportioned.................................. 742,500,000
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The FY 2009 ARRA Fixed Guideway Infrastructure Investment Program
apportionments to eligible areas are
[[Page 9660]]
displayed in Table 6. Detailed information regarding the Fixed Guideway
formula is detailed in Table 7.
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 National Transit
Database (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. This notice allocates funds on a one time basis
consistent with the 49 U.S.C. section 5337 formula for the Fixed
Guideway Modernization program. For the ARRA funds, FTA was able to
meet the apportionment formulas for the first three tiers of funding.
Because there were not enough funds to fully fund the fourth tier of
the formula, the table reflects a pro rata amount to eligible
recipients within the Tier Four Category. Tiers Five through Seven were
not used for the ARRA apportionments, since the amount available did
not reach those tiers.
3. Program Requirements
Fixed Guideway Infrastructure Investment 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 Infrastructure Investment funds. A
threshold level of more than one mile of fixed guideway is required in
order to receive Fixed Guideway Infrastructure Investment 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 UZAs.
The program will be implemented under the Fixed Guideway Modernization
Program guidance. Program guidance for Fixed Guideway Modernization is
presently found in FTA Circular C9300.1B, Capital Program: Grant
Application Instructions (November 1, 2008).
4. Period of Availability
For the fixed Guideway Infrastructure Investment Program in ARRA,
at least 50 percent of funds must be obligated in a grant on or before
September 1, 2009. At that time, FTA will withdraw any portion of the
50 percent that has not been obligated in a grant agreement. These
funds will be redistributed to eligible UZAs that have not had any
Fixed Guideway Infrastructure funds withdrawn. Furthermore, on March 5,
2010 FTA will withdraw any remaining unobligated funds from each UZAs
and again redistribute such funds to UZAs that have not had any funds
withdrawn and can promptly spend the funds. Any Fixed Guideway
Infrastructure program funds that remain unobligated after September
30, 2010, will revert back to the U.S. Treasury.
C. Capital Investment Program--New Starts and Small Starts
The Capital Investment Grant program authorizes the Secretary of
Transportation to make discretionary grants as authorized under 49
U.S.C. section 5309(d)-(e). The program will be implemented consistent
with the requirements of the New Starts and Small Starts programs,
which provide funds for construction of major capital investments in
new fixed guideway systems, extensions to existing fixed guideway
systems, or, in the case of Small Starts, corridor-based bus projects.
This notice does not include an allocation of Capital Investment
Program resources. FTA will issue a subsequent notice that announces
project selections and additional guidance. For more information about
New Starts project development contact Elizabeth Day, Office of
Planning and Environment, at (202) 366-4033.
IV. FTA Policy Guidance and Procedures for ARRA Grants
A. Civil Rights
Existing regulations and guidance pertaining to the Americans With
Disabilities Act (ADA), Equal Employment Opportunity (EEO), Title VI,
and Disadvantaged Business Enterprise (DBE) programs apply to ARRA
funds apportioned in this Federal Register notice.
Concerning DBE in particular, FTA does not expect grantees will
need to amend FY 2009 overall goals. However, there are some key
situations to consider. First, it may be that receipt of ARRA funds
will bring a grantee above the $250,000 threshold amount, which
triggers the requirement to comply with the DBE program, including goal
setting. In this case the grantee will need to submit a DBE goal (in
such a case, it may submit a single goal for the remainder of FY 2009
and entirety of FY 2010). Second, a grantee's receipt of additional
ARRA funds could render the FY 2009 goal obsolete. This could occur if
the additional funds create vastly different contracting opportunities,
for example. In this case, the grantee may: (a) Submit a project goal
to be approved by FTA's Administrator (project goals are appropriate
only if there is a specific large, multi-year, and/or design-build
project. Additional funding alone would not trigger the need for a
project based goal); (b) amend the FY 2009 goal (with FTA approval per
normal procedures under the DBE regulations); (c) submit a new goal for
the remainder of FY 2009 and entirety of FY 2010 that accounts for
contracting opportunities derived from ARRA financed projects; or (d)
do not amend the 2009 goal, but include the ARRA project in your FY
2010 goal, if the ARRA-funded project will be primarily executed during
FY 2010. Further Departmental guidance on the Disadvantaged Business
Utilization program can be found at http://osdbu.dot.gov/DBEProgram/dbeqna.cfm#economic--recovery.
Grantees should consult closely with their Regional Civil Rights
Officer to determine which approach best applies to their specific
situations. In the interim, grantees must immediately begin considering
DBE and non-DBE availability and capacity as they relate to anticipated
or potential projects funded by the ARRA, and discuss strategies for
DBE utilization with the relevant contracting industries and DBE
communities.
B. Automatic Pre-Award Authority To Incur Project Costs
1. General Policy
FTA provides pre-award authority to incur expenses before grant
award for certain program areas. ARRA program funds will have pre-award
authority consistent with the FTA programs under which the ARRA funds
are allocated or apportioned. ARRA program funds that are distributed
by formula will have blanket pre-award authority beginning October 1,
2008; ARRA discretionary tribal transit and energy programs funds will
have pre-award authority once program funds are allocated to the
project in a Federal Register notice; Capital Investment Grants Program
allocations are subject to the New and Small Starts pre-award policy,
discussed in detail in section B5 below.
[[Page 9661]]
2. Caution to New Grantees
While FTA provides pre-award authority to incur expenses before
grant award for many projects, first-time grant recipients are
discouraged from using this automatic pre-award authority and
encouraged to 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.
3. Policy Details
Pre-award authority allows grantees to incur certain project costs
before 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. For the ARRA program, this pre-award spending
authority permits a grantee to incur costs on an eligible transit
capital project without prejudice to possible future Federal
participation in the cost of the project. All pre-award authority is
subject to conditions and triggers stated below:
a. Grantees may be reimbursed for expenses incurred before 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:
expenditure on State Administration expenses under State Administered
programs must be consistent with the State Management Plan.
b. Preaward authority (beginning October 1, 2008 for the ARRA
formula funds or allocation of discretionary funds in a Federal
Register notice) for capital project implementation activities
including property acquisition, demolition, construction, and
acquisition of vehicles, equipment, or construction materials is
triggered by completion of the environmental review process, signified
by FTA's finding that the project is a categorical exclusion (CE) or
FTA's signing of an environmental Record of Decision (ROD) or Finding
of No Significant Impact (FONSI). Before exercising pre-award
authority, grantees must comply with the conditions and Federal
requirements outlined in paragraph 4 below. Failure to do so will
render an otherwise eligible project ineligible for FTA financial
assistance.
c. Blanket pre-award authority applies to formula funds apportioned
under the Transit Capital Assistance Program and the Fixed Guideway
Infrastructure Investment Program from October 1, 2008, until September
30, 2010. Blanket pre-award does not apply to Section 5309 Capital
Investment Grant funds, Energy savings or Tribal Transit Program funds.
Specific instances of pre-award authority for ARRA Capital Investment
Grants--New and Small Starts projects are described in paragraph 5
below.
4. 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 after the date of the pre-
award authority will be eligible for credit toward local match (if
applicable for ARRA) or reimbursement if FTA later makes a grant or
grant amendment for the project. Local funds expended by the grantee
before 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 before 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 funds. Grantees should be
mindful that a portion of ARRA funds begin to lapse to the UZAs and
States on September 1, 2009. Please see the applicable program
information in Section III above for program specific lapse dates.
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. All Federal environmental, planning and other 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 grantees that are inexperienced in
compliance with Federal planning and environmental laws. 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 or maintenance
area for a national air quality standard, the transportation conformity
regulations under 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 issued a Categorical Exclusion, Finding of No Significant Impact,
or Record of Decision consistent with FTA/FHWA environmental
regulations at 23 CFR Part 771.
[[Page 9662]]
j. In addition, Federal procurement procedures, as well as the
whole range of applicable Federal requirements (e.g., Davis-Bacon Act,
Disadvantaged Business Enterprise, and Buy America) 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.
5. Special Requirements for Pre-Award Authority for ARRA Capital
Investment Grants (New and Small Starts)
a. Preliminary Engineering (PE) and Final Design (FD) and Small
Starts Project Development (PD). Projects proposed for Section 5309
Capital Investment funds are required to follow a federally defined New
Starts project development process. This process includes, among other
things, FTA approval of the entry of New Starts projects into PE and
into FD and approvals regarding Small Starts projects. In accordance
with Section 5309(d) and (e), 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 of a New Starts
project into PE or FD or a Small Starts project into PD. Upon FTA
approval of a New Starts project to enter PE, FTA extends pre-award
authority to incur costs for PE activities. Upon FTA approval of a New
Starts project to enter FD, FTA extends pre-award authority to incur
costs for FD activities. Upon FTA approval of a Small Starts project to
enter PD, FTA extends pre-award authority to incur costs for
preliminary engineering activities. Once FTA has completed its
environmental determination on the Small Starts project, FTA extends
pre-award authority to incur costs for final design activities, right-
of-way acquisition, and utility relocation. 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 FTA's
New Starts regulation at 49 CFR part 611 and further information on
these project development milestones is available at http://www.fta.dot.gov/index_5221.html.
b. Real Property Acquisition Activities. FTA extends automatic pre-
award authority for the acquisition of real property and real property
rights for a New or Small Starts project upon completion of the NEPA
process for that project. As noted above, the NEPA process is completed
when FTA issues a CE, FONSI, or ROD. With the limitations and caveats
described below, real estate acquisition for a New or Small 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. section 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 a New Starts
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 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.
Under FTA's environmental impact procedures at 23 CFR part 771, 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
[[Page 9663]]
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.
d. Other New or Small 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 or Small
Starts 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 C
below.
C. Grant Application Procedures
Grantees will be able to receive ARRA grant funds through the TEAM-
Web system beginning March 9, 2009. The following grant procedures
apply to ARRA program funds; however, more detailed grant application
instructions including standard grant language can be found in Appendix
A of this document.
1. Eligible recipients for project funds under the ARRA are direct
and designated recipients in UZAs, States, and Tribal Transit
providers.
2. An application for ARRA should be submitted electronically to
the appropriate FTA regional office through TEAM-Web.
3. Grantees may not commingle ARRA funds into a grant application
that contains FTA funding authorized under SAFETEA-LU or any prior
authorization. Furthermore, grantees cannot apply for funding allocated
under separate ARRA programs in a single grant. Example: If City ``A''
receives Transit Capital Assistance program funds under ARRA and
funding for Fixed Guideway Infrastructure Investment Funds under ARRA,
City ``A'' must apply to receive the Fixed Guideway Infrastructure
Investment funds in one grant and develop a separate grant containing
projects to be funded using the Transit Capital Assistance funds.
Moreover, neither type of ARRA grant may include any FTA funding under
49 U.S.C. Chapter 53.
4. FTA will process ARRA grants promptly upon receipt of a
completed application. Because ARRA grants must be processed in a
timely manner to assure that project funds begin to flow into the
economy as quickly as possible, FTA will consider an ARRA grant
application complete if: (a) The TEAM grant application template has
been completed; (b) the budget is firm; (c) the project details contain
adequate information for determining eligibility; and (d) projects
requiring a Finding of No Significant Impact (FONSI) or Record of
Decision (ROD) have submitted the environmental documentation for
review. After these prerequisites are met, FTA will assign a grant
number, enabling official submittal of the grant for further
processing. Once a grant number is assigned, FTA will immediately send
the grant for Department of Labor (DOL) certification.
FTA is modifying its established grant development procedures to
speed delivery of ARRA grants. Although FTA is allowing grants to be
submitted at an earlier stage in development, the following
requirements must still be met before grant award:
a. The project is listed in a currently FTA approved Metropolitan
Transportation Plan, Metropolitan Transportation Improvement Program
(TIP); and federally approved Statewide Transportation Improvement
Program (STIP).
b. The grantee's required Civil Rights submissions are current.
c. The FY 2009 certifications and assurances are properly
submitted.
d. The required environmental findings have been made.
e. The milestone information is complete. 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.
Note: It is critical that grantees receiving ARRA grant funds
update activity milestones and the financial status report on a
quarterly basis.
f. The grant has been certified by DOL.
g. Necessary certifications are complete.
5. As stated above, grants containing ARRA funds must be submitted
to DOL for certification of the labor protective arrangements before
FTA can award the grant. To streamline the process, DOL intends to
certify ARRA program grants in accordance with its procedures for
certifying the current FTA program whose requirements are applicable.
Accordingly, ARRA programs that follow the requirements of 49 U.S.C.
section 5307 or 49 U.S.C. section 5309 will be referred out to the
unions if the grant contains new project activities. Grants for like-
kind equipment or replacements will not be referred out to the unions
before certification. ARRA programs that follow the requirements of 49
U.S.C. section 5311 will be certified based on the special warranty
provision including grants to Indian tribes. Additional information
regarding grants that require referral can be found on DOL's Web site
https://www.dol.gov/esa/olms/regs/compliance/redesign_2006/redesign2006_transitemplprotect.htm.
Consistent with DOL's guidelines, grants subject to a referral may
require up to 60 days to complete. (29 CFR 215.3). Accordingly, the
obligation deadlines associated with most ARRA program funds make it
essential that grantees expecting to utilize the ARRA funding submit
grants that require union referral to FTA for processing in a timely
manner. FTA will consider a submittal timely if a complete ARRA formula
grant is received on or before July 1, 2009.
6. Before executing an ARRA grant, the executing official must
inform FTA via the TEAM system of the (1) purpose of the investment,
and (2) the rationale for the investment. Grantees must select one or
more of the following purposes in TEAM before the grant can be
executed:
a. To preserve and create jobs and promote economic recovery.
b. To assist those affected negatively by the recession.
c. To provide investments needed to increase economic efficiency by
spurring technological advances.
d. To invest in transportation infrastructure that will provide
long-term economic benefits.
e. To stabilize State and local government budgets, in order to
minimize reductions in essential services and counterproductive State
and local tax increases.
In addition, grantees must also select one or more of the following
rationales:
a. Project is ready to go (all applicable federal requirements are
complete).
b. Use of Recovery funds for this project frees up other FTA/State/
local resources for other purposes.
c. Project is high local/regional priority.
d. Project could not have been implemented without supplemental
funding.
e. Funding accelerates completion and decreases over-all project
costs.
f. Project provides equipment or facilities to increase transit
ridership.
g. Project is a needed investment to bring assets to a state of
good repair.
h. Project addresses immediate maintenance needs.
7. Other important issues that affect FTA grant processing
activities are discussed below.
a. DBE Goal--Existing DOT and FTA regulations and guidance
pertaining to the ADA, EEO, Title VI, and DBE
[[Page 9664]]
programs will apply to the ARRA funds. Concerning the DBE program (49
CFR part 26) the U.S. DOT has issued ARRA DBE Questions & Answers at
http://osdbu.dot.gov/DBEProgram/dbeqna.cfm#economic --recovery. This
Q&A should address some of the unique issues and opportunities raised
by the new spending, express DOT's expectations, and delineate
grantees' continued obligations and options as they prepare for and
execute their potential grants.
b. Special Conditions of Grant Award--In the interest of time, FTA
is not issuing a separate grant contract for ARRA funds. However,
because different requirements flow with the ARRA funds, these
additional requirements will be added by FTA regional staff as
conditions of grant approval in each TEAM application. Recipients
applying for grants that contain ARRA funds must agree to the following
grant conditions that will be included in the grant application.
1. Recipient of ARRA funds agrees to comply with reporting
requirements and deadlines set out in section 1201(c) of Public Law
111-5.
2. Recipient of ARRA funds agrees to comply with reporting
requirements and deadlines set out in section 1512 of Public Law 111-5.
3. Recipient of ARRA funds agrees that all data submitted to FTA in
compliance with the requirements of Public Law 111-5 is accurate,
objective, and of the highest integrity.
4. Recipient of ARRA funds acknowledges that receipt of ARRA funds
is a ``one-time'' disbursement that does not create any future
obligation by the FTA to advance similar funding amounts.
5. Recipient of ARRA funds agrees that it or its sub-recipients
will report any credible evidence that a principal, employee, agent,
contractor, sub-recipient, subcontractor, or other person has submitted
a false claim under the False Claims Act or has committed a criminal or
civil violation of law pertaining to fraud, conflict of interest,
bribery, gratuity, or similar misconduct involving ARRA funds.
c. Buy America--The Buy America requirements under 49 U.S.C.
section 5323(j) that typically apply to projects accepting Federal
assistance under the Federal Transit program authorized under Chapter
53 of title 49, United States Code, apply to all capital public
transportation projects funded with amounts appropriated in the ARRA.
Therefore, an applicant, in carrying out a procurement financed with
Federal assistance authorized under the ARRA must comply with
applicable Buy America requirements in 49 U.S.C. section 5323(j) and 49
CFR part 661.
D. Reporting Requirements and Certifications Applicable to Recipients
of ARRA Funds
As a condition of award, grantees receiving ARRA funds will be
required to report on grant activities on a routine basis. FTA grantees
will be responsible for reporting up-to-date and accurate information
in the milestone status report and financial status report on a
quarterly basis, as well as additional data elements that are required
to be reported in www.recovery.gov. Additionally, special
certifications and grant conditions also will be required of ARRA grant
recipients. FTA will issue additional specific guidance on reporting
requirements in the near future for your information. The ARRA
statutory reporting requirements and certifications are identified
below:
1. Section 1511: Certifications
For covered funds made available to State or local governments for
infrastructure investments, the Governor, mayor, or other chief
executive, as appropriate, is required to certify that the
infrastructure investment has received the full review and vetting
required by law and that the chief executive accepts responsibility
that the infrastructure investment is an appropriate use of taxpayer
dollars. Such certification must include a description of the
investment, the estimated total cost, and the amount of covered funds
to be used, and must be posted on a specified Web site. A State or
local agency may not receive infrastructure investment funding from
funds made available under ARRA unless this certification is made and
posted.
On February 27, 2009, USDOT Secretary LaHood sent a letter to the
Governors providing guidance and a template for this certification and
instructing them to send the Section 1511 certification and the other
two certifications by the Governor described below to the Department at
the following address: [email protected]. A single certification by the
Governor, based on the established planning process, and including a
link to a Web site posting of the Statewide Transportation Improvement
Program, which must contain the required section 1511 information for
each investment, will satisfy the requirement for certification by the
Governor for both FHWA and FTA projects. FTA will provide further
guidance in the near future about any additional certifications that
may be required by local officials to ensure that all ARRA projects
have been properly vetted.
2. Section 1512: Reports on Use of Funds
Recipient Reports.--Not later than 10 days after the end of each
calendar quarter, each recipient that received recovery funds from a
Federal agency shall submit a report to that agency that contains--
(i) The total amount of recovery funds received from that agency;
(ii) the amount of recovery funds received that were expended or
obligated to projects or activities; and
(iii) a detailed list of all projects or activities for which
recovery funds were expended or obligated, including--
(A) The name of the project or activity;
(B) a description of the project or activity;
(C) an evaluation of the completion status of the project or
activity;
(D) an estimate of the number of jobs created and the number of
jobs retained by the project or activity; and
(E) for infrastructure investments made by State and local
governments, the purpose, total cost, and rationale of the agency for
funding the infrastructure investment with funds made available under
ARRA, and name of the person to contact at the agency if there are
concerns with the infrastructure investment.
(iv) detailed information on any subcontracts or subgrants awarded
by the recipient to include the data elements required to comply with
the Federal Funding Accountability and Transparency Act of 2006 (Pub.
L. 109-282), allowing aggregate reporting on awards below $25,000 or to
individuals, as prescribed by the Director of the Office of Management
and Budget.
The data elements required to comply with Public Law 109-282 are:
name of entity receiving the award; the amount of the award;
information on the award including transaction type, funding agency,
the North American Industry Classification System Code or Catalog of
Federal Domestic Assistance number (where applicable); program source;
and an award title descriptive of the purpose of each funding action.
FTA will extract as much as possible of this information from grant
information and standard reports provided through the TEAM electronic
grants award and management system. Supplemental reporting may be
required, however, to provide the project and contract level
information. FTA will provide further reporting instructions at a later
date. FTA is working with other modal
[[Page 9665]]
administrations within the Department of Transportation (DOT) to
standardize the information required from all DOT recipients.
Additional frequency of reporting may be required to be responsive to
Congressional oversight requirements.
3. Section 1512(h) Registration
Recipients of ARRA funds that are required to report information
per subsection (c)(4) must register with Central Contractor
Registration database (CCR) or complete other registration requirements
as determined by the Director of the Office of Management and Budget
(OMB).
The reporting and registration requirements are effective 180 days
after enactment of ARRA. OMB has not yet determined whether to use the
CCR or some other registration database. However, OMB has issued
guidance requiring FTA and other Federal agencies to ensure that
grantees and first tier subawardees (subrecipients and contractors)
obtain a DUNS number, or update their DUNS record if necessary. OMB has
not yet issued a final determination on the extent to which subawardees
will be required to register in CCR.
4. Section 1201(a) Maintenance of Effort
Not later than March 19, 2009 for each amount that is distributed
to a State or its agency from an appropriation in ARRA for a covered
program, the Governor of that State is required to certify to the
Secretary of Transportation that the State will maintain its effort
with regard to State funding for the types of projects that are funded
by the appropriation. As part of this certification, the Governor is
required to submit to the Secretary of Transportation a statement
identifying the amount of funds the State planned to expend from State
sources as of February 17, 2009, during the period of February 17, 2009
through September 30, 2010, for the types of projects that are funded
by the appropriation.
This requirement applies only to State funding for transportation
projects eligible for ARRA funding. DOT will treat this maintenance of
effort requirement through one consolidated certification from the
Governor to the Secretary, which must include State funding for transit
projects, as well as highway and other transportation modal projects.
5. Section 1201(2)(c) Periodic Reports
For amounts received under each covered program by a grant
recipient under ARRA, the grant recipient shall include in the periodic
reports information tracking:
(A) The amount of Federal funds appropriated, allocated, obligated,
and outlayed under the appropriation;
(B) the number of projects that have been put out to bid under the
appropriation;
(C) the number of projects for which contracts have been awarded
under the appropriation and the amount of Federal funds associated with
such contracts;
(D) the number of projects for which work has begun under such
contracts and the amount of Federal funds associated with such
contracts;
(E) the number of projects for which work has been completed under
such contracts and the amount of Federal funds associated with such
contracts;
(F) the number of direct, on-project jobs created or sustained by
the Federal funds provided for projects under the appropriation and, to
the extent possible, the estimated indirect jobs created or sustained
in the associated supplying industries, including the number of job-
years created and the total increase in employment since February 17,
2009 and
(G) the actual aggregate expenditures by each grant recipient from
State sources for projects eligible for funding under the program
during the period of February 17, 2009 through September 30, 2010, as
compared to the level of such expenditures that were planned to occur
during such period as of the date of enactment of ARRA.
Each grant recipient is required to submit the first of the
periodic reports required alone not later than 90 days from February
17, 2009 and is required to submit updated reports not later than.
FTA will extract as much as possible of this information from grant
information and standard reports provided through the TEAM electronic
grants award and management system. Supplemental reporting may be
required, however, to provide the project and contract level
information. FTA will provide further reporting instructions at a later
date. FTA is working with other modal administrations within DOT to
standardize the information required from all DOT recipients, including
the possibility of generating the required jobs data through the use of
economic models and factors applied to the data provided in the grant
awards and other information reported by the grant.
6. Section 1607
Section 1607 requires that the Governor certify within 45 days of
enactment (April 3, 2009) that, for funds provided, the state will
request and use funds provided by this Act and the funds will be used
to create jobs and promote economic health. If the Governor does not
provide this certification, then the state legislature may act to
accept the funds.
7. Section 1609
Under section 1609(c), FTA is required to report to certain
congressional committees every 90 days following enactment on the
status and progress of projects funded or proposed for funding under
the Act with respect to compliance with NEPA and its implementing
regulations. FTA will necessarily ask recipients for assistance in
compiling this quarterly report.
8. Other Reporting
To satisfy the needs for transparency and accountability related to
funding appropriated under the ARRA, grantees may be required to
provide additional information not yet specified in response to
requests from the Office of Management and Budget (OMB), the
Congressional Budget Office (CBO), the Government Accountability Office
(GAO), or the DOT Inspector General (IG). FTA will inform grantees if
and when such additional reports are required.
E. Oversight
Two key principles in the ARRA are transparency and accountability.
Because the ARRA funds are being provided without a local share, (with
the exception of the Capital Investment Grant program), FTA's careful
stewardship of these funds is even more critical than under normal
program provisions. To ensure funds are deployed rapidly, competently,
and for the intended purposes, FTA is adapting some of its oversight
reviews to accommodate a specialized ARRA oversight program. FTA will
conduct periodic oversight reviews to assess grantee compliance with
Federal requirements for projects funded under the ARRA. ARRA grantees
already are monitored with FTA's comprehensive oversight program, which
includes Triennial Reviews, capital construction reviews, civil rights
reviews, drug and alcohol reviews, procurement system reviews,
financial system reviews, planning certification reviews, and other
more specialized reviews and these will continue under the rubric of
our ongoing grant program.
In addition to maintaining its existing oversight program
structure, FTA is developing new vehicles for ensuring that ARRA
funding is expended consistent with the purpose and
[[Page 9666]]
principles of the law. Additional training and technical assistance to
support its grantees' efforts to comply with ARRA requirements also is
being planned. FTA intends to work closely with its grantees to monitor
progress in the implementation of ARRA transit programs and to deploy
its oversight resources as necessary to assist in the achievement of
the legislation's goals and objectives. FTA will post more details
concerning its ARRA oversight program on its Web site as plans are
finalized.
F. Technical Assistance
FTA headquarters and regional staff are pleased to answer your
questions and provide any technical assistance you may need to apply
for FTA ARRA funds and to manage the grants you receive. In addition to
this notice, Questions and Answers regarding FTA's implementation of
the ARRA, and additional resources may be viewed via the FTA Web site
http://www.fta.dot.gov/economicrecovery. Further, all FTA circular are
posted on our Web site, including: C4220.1F, Third Party Contracting
Requirements, dated November 1, 2008; and C5010.1D, Grant Management
Guidelines (November 1, 2008). FTA is currently developing a toll-free
hotline for civil rights-related ARRA inquiries. The number will be
available at: http://www.fta.dot.gov/civil_rights.html. You may also
contact the regional civil rights officer at the Regional Office listed
in Appendix C.
Issued in Washington, DC, this 2nd day of March, 2009.
Matthew J. Welbes,
Acting Deputy Administrator.
APPENDIX A--INSTRUCTIONS FOR PREPARING A GRANT APPLICATION USING ARRA
FUNDS
1. Pre-Application Stage.
Note: To streamline the grant development process, ARRA grants
may receive official grant numbers and be submitted before all
traditional pre-application requirements are complete. However, ARRA
grants may not be awarded until all pre-application requirements
have been satisfied. In addition, FTA is minimizing the project
level detail required in grants for certain categories of funding,
such as vehicle purchases. Sample language is included in this
notice and sample grants may be accessed in the TEAM system for
information purposes.
a. Planning. Project activities to be funded must be included in
a Federally-approved Statewide Transportation Improvement Program
(STIP) for capital and/or operating projects. FTA will not require
that planning requirements be completed before the submission of
grant applications for ARRA funding. However, project planning
requirements must be complete and properly documented before grant
award.
b. Environmental Determination. The impact that a proposed FTA
assisted project will have on the environment shall be evaluated and
documented in accordance with the National Environmental Policy Act
of 1969 (42 U.S.C. section 4321 et seq.). Before assigning a grant
number, the regional staff should assess the feasibility that any
outstanding environmental reviews or actions will be completed in a
timely manner and must be completed before grant award.
c. Annual Submission of Certifications and Assurances. A grant
applicant applying for assistance under Federal Transit Programs
including ARRA programs must submit certifications and assurances
that are applicable to the grant applicant's active and new grants
during the fiscal year. A grantee that has already submitted a FY
2009 Certifications and Assurances does not need to resubmit these
assurances.
d. Civil Rights Submissions. Civil Rights submissions that may
be required include a Title VI Plan, Equal Employment Opportunity
(EEO) Program, Disadvantaged Business Enterprise (DBE) Program, and
ADA Paratransit Plan. Typically, FTA's Regional Civil Rights Officer
must verify that all required Civil Rights submissions are current
at the time that the grant application is entered into TEAM. For
ARRA funds, the grant number will be assigned before civil rights
reviews are complete, but the grant will not be awarded with pending
civil rights requirements. In addition, it may be necessary to
verify compliance with specific Title VI, EEO, DBE and ADA
requirements as part of the grant review and approval process.
Please work closely with your Regional Civil Rights officer to
ensure no delays in the award of a grant.
2. Application Stage (Team Information). Applications for ARRA
funds must be submitted electronically through the Transportation
Electronic Award Management (TEAM) System. Each ARRA program funding
request must be applied for in its own grant (i.e., ARRA Capital
Assistance Formula funds may not be applied for in the same grant as
ARRA Fixed Guideway Modernization funds). Further, ARRA funds can
not be commingled in a grant application with program funds
apportioned under SAFETEA-LU.
ARRA grants should be developed using newly created Section
codes in TEAM. These codes appear in the color red in the TEAM
dropdown menu. The red is only to distinguish the ARRA section codes
from other FTA program codes. ARRA grants should be developed using
one of the following section codes:
96--Urbanized Area Formula--Economic Recovery
66--STP Urbanized Area Formula--Economic Recovery (FHWA Flex)
86--Nonurbanized Area Formula--Economic Recovery
06--STP Nonurbanized Area Formula--Economic Recovery (FHWA Flex)
36--New Start--Economic Recovery
56--Fixed Guideway--Economic Recovery
Information that should be entered into TEAM when preparing an
application includes:
a. Recipient Information. Applicants should enter or update all
required information about the organization in the appropriate
fields in TEAM, including recipient address, contact information,
union information, urbanized area identification number (UZA),
Congressional district(s), DUNS number, etc. The information shall
be current and accurate for each grant and periodically updated as
changes occur.
b. Project Information. Applicants should identify the project
start/end date, program date, Executive Order 12372 review date,
metropolitan planning organization (MPO) concurrence date (if
applicable), and grant project costs. The ``brief project
description'' field should include information that can be used to
report the type of infrastructure investment such as: 25 Replacement
Buses, Intermodal Terminal Construction, etc.
(1) Project Description. This information must be in sufficient
detail for FTA to obtain a general understanding of the nature and
purpose of the planned activities. If applicable, the project
description should identify subrecipients funded through the grant
application and the projects being implemented by each subrecipient.
There is a project description field as well as a specific text
field for this information associated with each activity line item.
Project activities shall be sufficiently described to assist the
reviewer in determining eligibility under the program. State DOTs
applying for Transit Capital Assistance Grants for rural recipients
must include a program of projects (POP), which should be attached
using the paperclip feature or included in this section.
(2) Program Date and Page of STIP or Unified Planning Work
Program (UPWP). All projects for ARRA funds in the grant application
must be included in the current STIP. The STIP is jointly approved
by FTA and FHWA. FTA funds cannot be obligated unless the STIP is
approved by FTA. The application should note the page(s) in the most
recently approved STIP on which the project(s) contained in the
application are listed. The electronic system has a field designated
``program date'' where the date of the most recent FTA/FHWA STIP
approval should be entered.
In the case of ARRA grants, FTA regional offices will continue
to process grants while awaiting STIP amendment actions. Grant
numbers will be assigned before the inclusion of the STIP date in
the grant application if the grantee is awaiting formal STIP action
or approval.
c. Budget. The appropriate scopes and activity line items (ALI)
should be used when developing the project budget. All sources of
funds shall be identified and confirmed. All rolling stock
procurements shall include vehicle description and fuel type;
expansion activities shall include a brief discussion of the
expanded service. The project budget should reflect the precise
activities for which the grant funds will be used. As a streamlining
measure, FTA is not requiring that grantees include any non-add
scopes in the project budget when purchasing activities that are
categorized as ITS, ADA, or security.
d. Project Milestones. Estimated completion dates for all
milestones should be
[[Page 9667]]
provided and updated quarterly. If milestones are not pre-populated
by the TEAM system for a particular activity line item (ALI), use
the add function to add milestones for that ALI to the grant
application. At a minimum, activities that will require a contract
award should have milestones tracking (1) the date the RFP is
issued; (2) the anticipated date of contract award; and (3) the date
the contract will be completed. Activity line items that are not
contracted out should include (1) the date the activity is initiated
and (2) the anticipated completion date.
It is critical that milestones for ARRA grant activities are
updated and monitored quarterly from February 17, 2009, the date of
enactment of the legislation.
e. Environmental Findings. The application should include a
proposed classification of each ALI that is an independent project
with discrete transit utility, in accordance with the FTA/FHWA
environmental impact procedures. (See 23 CFR 771.115 and 771.117.)
Grant applicants should refer to 23 CFR 771.117(c) and (d) for
listings of projects that qualify as categorical exclusions (CEs).
Many projects (such as vehicle purchases that can be accommodated
within existing yards and shops, purchase of software and hardware,
security upgrades, mobility management, preventive maintenance,
preliminary engineering) meet the criteria for a and require no
further action.
f. Fleet Status. The fleet status report should be completed in
order to purchase vehicles under the Transit Capital Assistance
Program for UZAs; however, a completed fleet status report will not
be required for any other ARRA program funds. A grantee who wishes
to use ARRA funds to purchase vehicles that would cause the
grantee's fleet to exceed the applicable spare ratio requirements
should contact their FTA regional office. FTA will consider
approving exceptions to a spare ratio requirement if the request
meets certain criteria, such as: the excess spare ratio would be
temporary in nature, with it returning to within the 20 percent
level within 2-3 years of delivery of the new vehicles, or whether
the buses would ``green'' the fleet of the transit agency.
g. Application Submission. Once FTA deems (1) the TEAM
application template completed, (2) the activities eligible, (3) the
budget complete and firm, and (4) environmental documentation
submitted or near submittal for applications requiring a FONSI or
ROD, FTA will assign a grant number. At this point, the grant is
ready to be pinned and submitted in TEAM by the designated
recipient/grantee. As previously stated, ARRA grants may be
submitted prior to the completion of all pre-application
requirements such as: Civil Rights documentation, Planning, and NEPA
review. This concurrent review process is a departure from FTA's
standard operating procedures and only applies to grants for ARRA
program funds.
Note: Although ARRA program grants can be officially submitted
to FTA for review and approval, grant funds can not be awarded or
obligated until all applicable federal requirements have been met
and documented in the application.
h. Certification of Labor Protective Arrangements. With the
exception of Transit Capital Assistance Grants allocated to
nonurbanized areas which are covered by the special warranty
provision, ARRA Act grants will be sent to DOL, as soon as the
budget is confirmed, budget details are included in the grant, and
the application is officially submitted for processing. DOL
procedures have minimum wait times built in for replies or
objections by management and unions. Accordingly, a grantee's prompt
response to DOL communications regarding the grant before the
expiration of the minimum wait period could result in the grant
being certified before the end of the allowable processing period.
Transit Capital Assistance grants for nonurbanized areas tribes
are covered by the special warranty provision and will be sent to
DOL for information immediately prior to fund reservation and grant
award.
i. Grant Approval. Once FTA staff determines through a final
review of the application that FTA program requirements have been
met and that the ARRA section 1511 certification is made and posted
to a Web site, FTA will reserve the funds and obligate the grant.
j. Grant Execution. After FTA has awarded the grant, the
applicant must execute the award before funds can be drawn down from
the grant. Before executing ARRA grants, the grantee will be
prompted to select both the rationale for the investment and the
purpose of the investment from menus that have been established in
the reservation screen. ARRA grants that include activities funded
using pre-award authority will require the submission of a Financial
Status Report before grant execution.
Application Checklist
Part I--Recipient Information
1. Is the Grantee Contact & Other information Current and
Complete?
2. Are Annual Certifications & Assurances pinned?
3. Is UZA/Congressional District information entered and
accurate?
4. Is union contact information entered and accurate?
5. Has Civil Rights Program Documentation been approved by FTA?
6. Has the applicant's DUNS Number been entered in the
appropriate field?
Part II--Project Details
1. Does the Project Description (including the POP (Transit
Capital Assistance--Nonurbanized areas) and other attachments)
include adequate descriptive information of funded projects and
subrecipients?
2. Are the project activities included in the grant eligible to
be funded using ARRA program funds?
3. Has a split allocation letter been submitted for UZAs with
more than one direct grant recipient?
4. Is the program of projects attached for state administered
grant to nonurbanized grants?
Part III--Project Information
1. Has the grant been identified as a new application or
amendment?
2. Start/End date entered?
3. Has the Program Date (STIP or UPWP date) been entered?
4. Have Control Totals been entered?
5. Does the brief project description field adequately
articulate what is being funded (example: Bus replacements,
Intermodal Center Construction, etc.)?
6. If pre-award authority is applicable, has ``yes'' been
selected?
7. Has the EO 12372 Review field been completed, if applicable?
Part IV--Budget
1. Are ALI codes entered under the appropriate scope codes?
2. Is grant for up to 100% Federal funds?
3. Does the funding amount entered in the budget match financial
information entered in the control totals in the ``Project
Information'' field?
4. Has one percent been budgeted for capital transit
enhancements? (only applicable to Transit Capital Assistance Funds
allocated to UZAs over 200,000 in population.)
a. Federal Funds.
b. Local Funds.
4. Does the rolling stock (vehicle) line item contain accurate
information such as:
a. Description of vehicles purchased.
b. Fuel Type.
5. Have details been entered into the ``Extended Budget
Descriptions''?
a. Has descriptive information been added in the details section
of each ALI that identifies the items being funded using the line
item?
Part V--Project Milestones
1. Are milestones listed for each ALI? (If an ALI does not have
milestones, they should be added.)
2. Have estimated completion dates been entered?
Part VI--Environmental Findings (NEPA)
1. Has an environmental finding been entered for each ALI?
Standard Language for ARRA Grants
The following standard language has been approved for ARRA
grants. This language provides enough detail for FTA to determine
eligibility and assign a grant number.
Preventive Maintenance
This application is funded as follows:
2009 Transit Capital Assistance Grants--Urbanized Area Funding Formula
Funding Program
Our estimated operating budget, as defined by NTD Reporting
System (NTD), for --------(insert time-period) is $ (amount).
Estimated Preventive Maintenance (PM) costs in the operating budget
for equipment and facilities is $ (amount) less $ (amount) for
warranty recovery leaving $ (Balance) available for federal
participation at the 100/0 rate. This grant will apply federal funds
of $ (amount applied) to this allowable share. Additional PM for the
period of (insert applicable time-period) is in grant (Grant
Number).
These grant activities are a categorical exclusion under NEPA.
[[Page 9668]]
Rolling Stock
(Initial Grant) Start of TEAM input--insert this is an initial
grant This application is funded as follows:
2009 Transit Capital Assistance Grants--Urbanized Area Funding Program
This grant applies the 2009 ARRA Formula allocation of $(amount)
to bus replacement. We will purchase approximately (number, type and
length of buses, e.g. five low floor--40 foot buses) that have an
expected useful life of (insert applicable useful life for buses
being purchased) years. The vehicles being replaced have met their
useful life of (insert applicable useful life standard of replaced
vehicles). A Federal ratio of 100/0 will apply. These buses will
meet the Clean Air Act standards (CAA) and the Americans with
Disabilities Act (ADA) requirements. The fleet status section of
TEAM has been updated to reflect this fleet addition. We are able to
operate and maintain this vehicle expansion
These grant activities are a categorical exclusion under NEPA.
Facility
This application is funded as follows:
American Recovery and Reinvestment Act--Transit Capital
Assistance Program (Urbanized)
This project will use $(amount) of (Section -------- ) ARRA
funds for a ----(purpose and location i.e., transit center in
Edmonds, WA). This project includes--see sample descriptions:
This center will service the Washington State Ferries, AMTRAK,
Sound Transit Commuter rail, North End Taxi, and the bus services of
King County Metro and Community Transit (need information for all
operators to send to DOL). Additionally, bike racks and lockers will
be added for use by ferry, rail and bus passengers. This project
will also include a waiting room rest room. This project is also
funded under grant number ------------A Documented Categorical
Exclusion (DCE)/Finding of No Significant Impact (FONSI)/Record of
Decision (ROD) was issued on ------------. A copy of this approval
is attached to this grant and the environmental section of TEAM is
complete.
Appendix B--Allocation, Use and Eligibility of FTA ARRA Funds Questions
and Answers
Q. Can a local agency combine ARRA funds and other sources to
implement a project?
A. While each recipient must apply for a separate grant for each
economic recovery funding source, a single project may be funded
with multiple funding sources, including economic recovery and other
FTA formula and discretionary resources.
Q. Will the Financial Status Report and Milestone Progress
Report reporting requirements for ARRA grants be different than
current requirements?
A. Yes. Recipients of ARRA funds will be required to report not
later than 10 days after the end of each calendar quarter. FTA will
extract as much information as possible from grant information
standard reports provided through the TEAM system. Supplemental
reporting may be required to provide the contract and project level
information.
Q. Can grantees receive economic recovery grants if the agency's
ability to apply for FTA program funds is currently suspended?
A. Grantees that are currently in a fundable status to receive a
grant under FTA programs will be eligible to receive economic
recovery funds. Grantees concerned about their status should contact
their FTA regional office.
Q. What can ARRA funds be used for?
A. The law states that funds will be available for capital
expenditures authorized under 49 U.S.C. 5302(a)(1), which describes
eligible capital expenses. States may continue to use up to 15% of
funds apportioned at the State level to administer the non-urbanized
program on FTA's behalf.
Q. Are project administration costs eligible for funding?
A. Yes. ARRA funds can be used to fund the administrative costs
associated with administering capital projects, including costs
associated with reporting on project and grant status.
Q. Do ARRA program funds have pre-award authority?
A. Yes, FTA will extend pre-award authority to economic recovery
program funds consistent with the program requirements of the
applicable FTA program. Economic recovery funds administered under
the requirements of Section 5307, Section 5311, or Fixed Guideway
Modernization will have blanket pre-award authority from October 1,
2008, until September 30, 2010. There are two exceptions: the energy
savings and tribal transit projects will have pre-award authority
from the date that project selections are announced in the Federal
Register. Economic recovery funds administered in accordance with
the requirements of the Section 5309 Capital Investment Grant
program (New/Small Starts) will have pre-award authority only for
the stage approved up to that point. For example, upon approval to
enter preliminary engineering, the grantee has pre-award authority
to incur preliminary engineering costs. For more information, refer
to the FY 2009 Apportionments Notice published in the Federal
Register, December 18, 2008.
Q. Can a grantee use ARRA funds to purchase vehicles if the
agency's spare ratio will exceed the applicable standard?
A. A grantee wishing to use ARRA funds to purchase vehicles that
would cause the grantee's fleet to exceed the applicable spare ratio
requirements should contact their FTA regional office. FTA will
consider approving exceptions to a spare ratio requirement if the
request meets certain criteria, such as: the excess spare ratio
would be temporary in nature, with it returning to within the 20
percent level within 2-3 years of delivery of the new vehicles, or
whether the buses would ``green'' the fleet of the transit agency.
Q. Who will be eligible to receive ARRA funds?
A. ARRA funding will be made available to current recipients of:
FTA's Urbanized Area Formula Program (49 U.S.C. section 5307);
Formula Grants for Other Than Urbanized Areas Program (49 U.S.C.
section 5311); Fixed Guideway Modernization Formula Program (49
U.S.C. section 5309); federally recognized tribes (49 U.S.C. section
5311(c) (1)); and Capital Investment Grants (49 U.S.C. section 5309)
Q. When will FTA consider apportioned funds as ``obligated?''
A. For the purposes of the withdrawal provision, FTA will
consider funds obligated on the date of grant award.
Q. Is a local match required with use of ARRA funds?
A. No local match is required except for the Capital Investment
Grant Program.
Q. Can ARRA funds be used for operating expenses?
A. No. ARRA funds may be used only for capital expenses. The
funds differ from the normal eligibility of FTA's Urbanized Area
Formula program (Section 5307) for UZAs with less than 200,000 in
population and Non-Urbanized Area Formula program (Section 5311),
which can be used for operating expenses.
Q. Can ARRA funds be used for preventive maintenance activities?
A. Yes. Capital projects as defined by 49 U.S.C. 5302(a)(1) are
eligible under the law, and preventive maintenance is included in
the list of eligible capital expenditures.
Q. Can ARRA funds be used for preliminary engineering
activities?
A. Yes. Capital projects, as defined by 49 U.S.C. 5302(a)(1),
are eligible under the law. Specifically, 49 U.S.C. 5302(a)(1)(A)
includes engineering and design work, location surveying, mapping,
and right-of-way acquisition as eligible capital expenses.
Q. Can ARRA funds be used by State DOTs to administer the
program?
A. Yes. States may continue to use up to 15% of funds
apportioned at the State level to administer the program for non-
urbanized areas on FTA's behalf.
Q. Will the 50% of funds awarded during the 180-day period be
tracked by program or by grantee?
A. Neither. FTA will track the amount of funds obligated on the
urbanized area and State level. Therefore, designated recipients and
State DOTs should consider project readiness when making
allocations. Example: Brownstone is apportioned $100,000 and
obligates $30,000 before 180 days after apportionment. FTA will
withdraw $20,000 from Brownstone's apportionment which is $50,000
(50% of apportionment) less the $30,000 which was obligated.
Brownstone will still have $50,000 (remaining 50% of apportionment)
available to be obligated on or before one year of the
apportionment.
Q. If a contract has already been signed and/or a bid awarded,
can ARRA funds be used?
A. Yes, if local funds were used to advance a project under
FTA's pre-award authority provision or a Letter of No Prejudice.
Q. If an FTA grantee receives ARRA funds from FHWA, can the
funds be transferred to FTA?
A. Yes.
Q. Can FHWA funds transferred to FTA be used for operating?
A. No. FTA will follow current Surface Transportation Program
transfer rules.
Q. Will the states and UZAs be penalized if the vehicles are not
delivered in time?
A. No.
[[Page 9669]]
Q. Will all current recipients of SAFETEA-LU Fixed Guideway
Modernization funds receive ARRA Fixed Guideway Infrastructure
Investment funds?
A. No. Some areas do not meet the standard required to be
included in the apportionment calculations under the Fixed Guideway
Modernization (FGM) tiers for which ARRA funds are available. The
$750 million in FGM funds under AARA is not sufficient to fund all
tiers of the FGM formula. The allotment of the funds to the tiers,
in accordance with Section 5337, results in full funding of tiers 1,
2, and 3, and partial funding of tier 4, in the amount of
$169,100,000. FTA is not permitted to pro-rate the $750 million over
all of the FGM formula tiers. The first tier allocates specific
amounts to designated areas. Funds allotted to tiers 2, 3, and 4 are
apportioned using the 1997 standard.
If an area did not receive an FGM apportionment in 1997, it did
not meet the 1997 standard and, thus, it is not eligible to be
apportioned funds under tiers 2-4, unless that law specifies
otherwise.
Actions Required Before Receiving Funds
State DOT and MPO Actions
Q. What actions do State DOTs and MPOs need to take, in
coordination with transit agencies to ensure timely award and
expenditure of funds?
A. States and MPOs, in coordination with transit agencies,
should conduct the transportation planning activities necessary for
adding proposed ARRA program projects to plans, TIPs and STIPs.
Planning tasks such as conducting public involvement, demonstrating
fiscal constraint, and performing travel model runs and analyses
prerequisite to making transportation air quality conformity
determinations should take place now. This is necessary to ensure
timely amendment of the documents to include ARRA projects and to
award funds as soon as possible. This work should have already
begun. If it has not, it should be started immediately.
In identifying and proposing additional projects for amendment
into TIPs and STIPs, it is reasonable to assume ARRA program funds
equivalent to a doubling of the current full-year amount of
comparable FTA program funds--Sections 5307 Urbanized Area Formula
program, 5309 Fixed-Guideway Modernization program, and 5311 Non-
Urbanized Area Formula program. FTA has not determined how Capital
Investment Grant Funding (New/Small Starts program in 49 U.S.C.
5309) will be allocated at this time. Once the necessary planning
and air quality conformity work has been completed, MPOs and State
DOTs may amend their plans, TIPs and STIPs. FTA, in coordination
with FHWA, can make any necessary conformity findings on the amended
plans and TIPs, and approve the STIP amendment requests.
Attainment and Nonattainment Conditions. If the project is in an
area that is in attainment of air quality standards, the MPOs would
take action and then submit the amended TIP to the State for
incorporation into the STIP. The State would submit the amended STIP
to FHWA/FTA for review and approval. With advance coordination among
the parties, some of these items can be performed concurrently.
If the project is in an air quality nonattainment or maintenance
area, the addition of activities or projects that are exempt from
conformity could be accomplished as a simple amendment and would not
necessitate a conformity determination. See List of Projects that
are Exempt from Air Quality Conformity.
States and the MPOs should begin now to do the necessary
planning work, such as model runs for the various scenarios;
analysis work needed for conformity, if necessary; public
involvement; and any other planning support work to get prepared.
This preparatory technical work can be completed, and action taken
to approve the necessary amendments along with conformity
determination, if required.
Once the planning and any necessary conformity work has been
completed, the MPO policy boards and State DOTs may amend their
plans, TIPs and STIPs, and FTA, in coordination with FHWA, may make
any necessary conformity determinations.
Q. Can State DOTs and MPOs count the recovery funds to
demonstrate ``fiscal constraint'' in plans, TIPs, and STIPs?
A. Yes. Funds may be used to demonstrate fiscal constraint of
plans, TIPs, and STIPs in areas that are in attainment,
nonattainment, or maintenance of air quality standards. This special
determination is analogous to the assumption of a continuing flow of
Federal funds
Q. Can State DOTs and MPOs use ARRA funds to do transportation
planning activities necessary to amend TIPs and STIPs in preparation
for subsequent fund award?
A. Funding from the ARRA program is limited to capital program
assistance, and transportation planning is not an eligible activity
for the funds that will be made available to FTA. MPOs and States
should utilize the planning funds programmed in existing Unified
Planning Work Programs and State Planning and Research Programs to
support their planning efforts.
Q. Can substitution of ARRA funds for FTA funds on projects
programmed in the TIP and STIP be handled administratively?
A. Yes, provided that the action involves only a change in the
source of the funds. The adopted amendment procedures governing your
specific State or region should be consulted to determine what
actions are eligible as administrative amendments to the TIP or
STIP.
Q. Can ARRA funds be used to support non-federal projects not
currently listed in plans, TIPs or STIPs?
A. Yes, provided that the non-federal projects are eligible
activities for ARRA funding (i.e. capital assistance), that they can
be amended into plans, TIPs, and STIPs, and that compliance with
applicable federal requirements such as the environmental review
process required under NEPA, other environmental laws, and any
additional applicable federal requirements can be expeditiously
achieved.
Q. Can MPOs and States process TIP and STIP amendments to add
ARRA-funded projects as ``lump-sum'' amounts?
A. It depends. Yes, if the term ``lump-sum'' refers to a
``package'' of individually identified projects proposed for
amendment into TIPs and STIPs. In addition, in accordance with 23
CFR Part 450, Statewide and Metropolitan Transportation Planning,
projects that are not considered to be of appropriate scale for
individual identification in the TIP and STIP may be grouped by
function, work type, and/or geographic area using the applicable
classifications under 23 CFR 771.117(c) and (d) and/or 40 CFR part
93. The adopted amendment procedures governing your specific state
or region should be consulted for guidance as to ``lump sum''
amendments requirements. A ``lump-sum'' dollar figure without a list
of individual projects or indication of overall project ``group''
would not provide sufficient information for MPOs, States, and FTA/
FHWA to approve amendments of TIPs and STIPs or track the use of
ARRA funds.
Q. Can State DOTs and MPOs use ARRA funds to do transportation
planning activities necessary to amend TIPs and STIPs in preparation
for subsequent fund award?
A. Funding from the ARRA program is limited to capital program
assistance, and transportation planning is not an eligible activity
for the funds that will be made available to FTA. MPOs and States
should utilize the planning funds programmed in existing Unified
Planning Work Programs and State Planning and Research Programs to
support their planning efforts.
Q. Can FTA, jointly with FHWA, make conditional STIP approvals?
A. No. Conditional STIP approvals are not allowed under existing
regulations. The planning regulations (23 CFR 450.218(b)) do allow
FTA/FHWA to: approve the entire STIP; approve the STIP subject to
certain corrective actions being taken; or under special
circumstances, approve a partial STIP covering only a portion of the
State. However, if States and MPOs complete the steps detailed
above, FTA/FHWA can approve the STIP amendments immediately.
Q. What public review and comment activities do organizations
need to undertake prior to receiving funds?
A. The public involvement and consultation provisions adopted
and published by metropolitan and statewide transportation planning
processes apply to planning and programming of projects supported
with ARRA funds. The provisions outlined in MPO Participation Plans
and documented public participation processes of States describe the
locally agreed upon requirements for public review in the planning
process, including the schedule and period of time for public input
and comment that must be met. Additionally, public review and
comment required by the environmental process must be undertaken.
Transit Agency Actions
Q. What actions do transit agencies need to take before applying
for funds?
A. Planning Process. Projects must be included in the approved
Statewide Transportation Improvement Program (STIP) and, in UZAs,
the metropolitan transportation plan (Plan) and Transportation
Improvement Program (TIP). Transit agencies should be working within
their metropolitan
[[Page 9670]]
or statewide transportation planning processes to ensure that their
priority projects are included in those documents and made ready for
grant award. Therefore, FTA strongly encourages transit agencies to
reach out to Metropolitan Planning Organizations (MPO) or State
Departments of Transportation (State DOT) to begin work as soon as
possible to ensure that public transportation projects are included
in approved plans, TIPs and STIPs, so that the projects are ready
and available to advance to grant award, and to begin expending
funds, as soon as possible.
Environmental Review. Environmental requirements that apply to
projects--the National Environmental Policy Act (NEPA) and Section
4(f) of the Department of Transportation Act, among others--must be
met. Areas should consider prioritizing projects that qualify as
categorical exclusions or have completed or nearly completed NEPA in
order to meet the anticipated timeframes for obligation of funds in
the new legislation. To the extent that other environmental
requirements apply and have not been satisfied, grantees should
begin consulting with managers of affected resources at the earliest
opportunity.
Projects with Incomplete Environmental Processes. A project for
which a categorical exclusion or an environmental assessment is in
the process of being prepared, but nearing completion, likely will
qualify as a ``quick-start'' activity targeted for economic recovery
investment. A project for which an environmental impact statement is
nearing completion may qualify as a quick-start activity if a record
of decision is expected to be executed shortly. In accordance with
section 1609(b) of the Act, FTA staff will provide guidance on the
most efficient course of action for completing the environmental
process (including the National Environmental Policy Act (NEPA)
process and other environmental requirements, such as section 106 of
the National Historic Preservation Act and section 4(f) of the
Department of Transportation Act, for any project that may qualify
as a quick-start activity.
Q. Can ARRA funds be used to substitute for money in an existing
grant that has not been expended?
A. No. ARRA program funds cannot be used to replace funds
already obligated in an existing FTA grant even if those funds have
not been expended. ARRA funds can, however, be used to replace
program funds identified in STIP and TIP but not yet awarded in a
grant.
Also, because FTA needs to segregate the funds being made
available from ARRA legislation, agencies will need to apply for the
ARRA funds in a new grant application.
Q. Will FTA consider approving grants before completion of the
environmental process?
A. As a general rule, FTA does not award program funds in a
grant until the NEPA process and review have been completed.
Grantees with projects in the final stages of NEPA review should
contact the appropriate FTA regional office for direction.
Grant Application Information
Q. Can a transit agency combine all ARRA funds into a single
grant application?
A. No. Each grant recipient must apply for a separate grant for
each ARRA program under which they are allocated funds.
Q. Can a transit agency amend an existing FTA grant to add the
ARRA funds?
A. No. FTA program funds cannot be commingled with ARRA funds.
Each grant recipient must develop a separate grant for each ARRA
program it seeks funds from.
Procurement & Contracting
Q. Can FTA allow progress payments on procurements?
A. Progress payments are made to the contractor only for costs
incurred in the performance of the contract. The grantee must obtain
adequate security for progress payments, which may include taking
title, letter of credit or equivalent means to protect the grantee's
interest in the progress payment. More discussion on this subject
can be found in 4220.1F, Chapter III.
Q. Are there any changes to Federal procurement and contracting
rules for grantees anticipated with these new ARRA funds?
A. Presently, FTA anticipates that existing U.S. DOT procurement
and contracting regulations (found in 49 CFR part 18) and official
guidance (found in FTA's Third Party Procurement Circular),
including the Disadvantage Business Enterprise (DBE) program
requirements will apply in full force to ARRA funded projects. U.S.
DOT's Office of General Counsel has issued official guidance via an
ARRA-specific DBE Question & Answer site to address issues raised by
the ARRA legislation, express DOT's expectations, and delineate
grantees' continued obligations and options as they advance grants.
Q. Are there ways that I can expedite contract delivery of the
ARRA funds?
A. There are several opportunities that FTA grantees can take to
expedite contract delivery of the ARRA funds, as well as any other
FTA program funds. FTA's Best Practices Procurement Manual contains
information on how transit agencies and other FTA grantees can
partner with other grantees to do joint purchases of items such as
rolling stock. For any other information on how to issue contracts
using FTA funding, please go to FTA's Third Party Procurement web
site where you can find an array of procurement resources, including
a site-specific search engine and an extensive list of Frequently
Asked Questions.
Grantees should identify any capital projects (such as bus
garage repairs or renovations) for ARRA funds. Grantees can initiate
any contracting (statement of work, purchase requests and
independent cost estimates) actions, so that when the funding
becomes available, timely contract awards can be made.
Q. Is piggybacking onto existing contracts allowed?
A. Yes. Piggybacking is permissible when the solicitation
document and resultant contract contain an ``assignability clause''
that provides for the assignment of all or a portion of the
specified deliverables as originally advertised, competed, evaluated
and awarded. If the supplies were solicited, competed and awarded
through the use an indefinite-delivery-indefinite-quantity contract
(IDIQ), then both the solicitation and contract award must contain
both a minimum and maximum quantity that represent the reasonably
foreseeable needs of the party(s) to the solicitation and contract.
If two or more parties jointly solicit and award an IDIQ contract,
then there must be a total minimum and maximum. See Attachment 1 of
FTA's Best Practices Manual for the Piggybacking Worksheet.
Grantees are encouraged to pursue any joint or cooperative
procurements (including piggybacking) of vehicles across state
lines. Grantees may place orders against existing State or local
contracts. It is advantageous to use existing contract rights if
appropriate assignability clauses are in place so that supplies or
services can be quickly obtained.
Q. Can FTA permit ``change orders'' to existing Federal or non-
Federal contracts?
A. Modifications to contracts are allowed based on the terms and
conditions established at the time of award. As a general rule, the
owner agency of a contract is the only entity permitted to
``modify'' or ``change'' that contract's terms and conditions. If
the contract stipulates that a portion or portions may be modified,
then user agencies are restricted to those instructions. Roles and
responsibilities of recipients in modification and changes to
contracts are discussed in FTA Circular 4220.1F, chapter VI.
Q. Can ARRA funding be added to projects/procurements that don't
currently have Federal funding in them?
A. Not if construction has already commenced. The FTA planning,
environmental, and other requirements for such project will not have
been satisfied at the appropriate time. If construction has not been
initiated, the applicant should consult with FTA regional office
about possible ARRA funding. The planning and environmental
requirements would have to be met, and no construction or other
implementation activity could commence until these requirements have
been met. Also, when adding funding to project/procurements that
were awarded with other than Federal funds, it is imperative that
the contract modification issued to add those funds include all of
the federally required clauses (see FTA Circular 4220.1F, Appendix
D). Also, the modification must be bilateral.
Q. Is there any way that our contracting processing can be
accelerated?
A. Grantees can use design/build and the flexibility to shorten
bid times. In addition, you may want to look into setting up
contracts that provide the kind of management services essential to
moving a collection of projects, including financial management,
procurement following Federal procedures, scheduling, cost control,
design and construction management, and performance management
reporting. This would not relieve a State or transit agency of
responsibility for such activities.
In keeping with federal cost principles (2 CFR 225), such costs
determined to be ``indirect'' in nature must be charged to an
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approved indirect cost allocation plan for distribution to all
benefiting cost objectives or paid for with State funds. Such a task
order contract could (1) fill gaps in capacity to deliver a highly
peaked, high visibility and high political risk stimulus program, or
(2) provide ``insurance'' in the event they or other agencies in the
state need immediate access to such resources. Such a contract would
be a clear risk management/mitigation step and at no cost to the
client if tasks are not assigned.
Department of Labor Certification
Q. Is DOL certification required and can the process be
streamlined?
A. Yes. The U.S. Department of Labor (DOL) will need to certify
grants awarded using ARRA funds. In accordance with DOL's
guidelines, grants subject to a referral may require up to 60 days
to complete (29 CFR 215.3). To streamline the process, DOL intends
to certify ARRA program funds consistent with its procedures for
certifying the current comparable FTA program. Accordingly, ARRA
programs that follow the requirements of 49 U.S.C. section 5307 or
49 U.S.C. section 5309 will be referred out if the grant contains
new project activities. Grants for like-kind equipment or
replacements will no longer need to be referred out to the unions
before certification. Furthermore, ARRA programs that follow the
requirements of 49 U.S.C. section 5311 will be certified based on
the special warranty provision including grants to Indian tribes.
Additionally, grantees may reduce processing time by responding
immediately to DOL's requests related to your grants. FTA is working
closely with DOL to identify additional ways to streamline the
process and will post additional information as it becomes
available.
Q. When can ARRA grants be assigned official TEAM application
numbers and be submitted for DOL review?
A. ARRA grants should be assigned an official number as soon as
the budget is developed and project details are sufficient to make
an eligibility determination. Departing from FTA's standard grant
procedures, FTA will allow ARRA grants to be assigned a number and
submitted for DOL review before the completion of in-house FTA
reviews. Of course, all reviews must be satisfactorily completed
before FTA can obligate any funds in a grant.
Transit Capital Assistance--Urbanized Area Grantees
Q. In UZAs with multiple direct FTA grant recipients, should the
designated recipient notify FTA about the local allocation of funds?
A. Yes. Consistent with current practice under Section 5307,
designated recipients in UZAs with multiple direct recipients should
notify FTA, in writing, of the local allocation, or split, of
recovery funds.
Q. When will FTA require a supplemental agreement?
A. Consistent with current practice under Section 5307, a
supplemental agreement will be required when a grant is awarded to a
direct recipient in an urbanized area if that recipient is not the
designated recipient.
Q. Will the Governor need to allocate funds to small urbanized
areas under the Governor's apportionment (50,000-200,000 in
population)?
A. Yes, consistent with current Section 5307 requirements for
urbanized areas between 50,000 and 200,000. The Governor should
notify FTA of any changes to the published allocations before any
application of the small urbanized area is submitted for ARRA
formula funds.
Q. Can grantees in small urbanized areas (pop. 50,000-200,000)
apply for funding directly from FTA, or will States be required to
apply for funds in these areas in a single consolidated grant?
A. ARRA funds allocated to the Governor for small urbanized
areas (pop. 50,000-200,000) are subject to the requirements of
Section 5307 and will be administered consistent with current
practice. FTA will not require a consolidated grant for the
urbanized areas of a State with populations less than 200,000. Once
a Governor allocates recovery formula funds to each urbanized area
between 50,000 and 200,000 in population (in accordance with Section
5307), then FTA will make grants directly to recipients in those
areas.
Q. Will the section 5307 amounts include section 5340 funds?
A. Yes. The legislation identified 10% of the transit capital
assistance funds to be distributed according to the section 5340
Growing States and High Density States formulas. These amounts are
included in the amounts apportioned to the UZAs.
Q. Will the 1% for transit enhancements apply to ARRA funds
administered under sections 5307 for urbanized areas over 200,000 in
population?
A. Yes, UZAs over 200,000 must spend 1% of the area's Transit
Capital Assistance funds on transit enhancements; however, only
capital transit enhancement projects can be funded using ARRA
funding.
Q. Will we be required to check the security static button in
TEAM?
A. Yes. Consistent with the Section 5307 requirement, grantees
must check the security static button in TEAM to confirm that the
grantee will expend one percent or more of the Transit Capital
Assistance funds for security purposes or that spending the one
percent is not necessary at that time.
Q. Will Section 5307 transfer rules apply?
A. Yes, the transfer provisions of Section 5336(f) are
applicable. (1) Funds can be transferred from small urbanized areas
(under the Governor's apportionment) to nonurbanized areas after
consultation with local officials and public transportation
operators in each area that will lose the amount apportioned. (2)
Funds from large urbanized areas may be transferred by the
designated recipient to small urbanized areas. (3) The Governor may
also use funds apportioned to small urbanized areas throughout the
State at the beginning of the 90 day period before the funds lapse
(available 90 days after ARRA Transit Capital Assistance allocations
are published in the Federal Register).
Q. If Section 5307 funds can be transferred in accordance with
5336(f), what is the relationship with the reallocation process?
Will the new grantee receive additional time to contract or spend
resources?
A. No--funds must be obligated within the applicable timeframe.
Q. Will the section 5307 apportionment for a small urbanized
area that qualifies for Small Transit Intensive Cities (STIC)
formula funding, in FY 2009, include STIC funds?
A. No, the language in the ARRA directs that the formula not
include 49 U.S.C. Sec. 5307 (i)(1) and (j) that provide for a one
percent takedown for STICs and the STIC formula.
Q. Since ADA services are an eligible capital activity, will
this be limited to 10% of an urbanized area's ARRA funding?
A. Yes. The 10 percent limitation would apply. Section
5302(a)(1)(I) explicitly defines nonfixed route ADA paratransit as
an eligible capital expense but only to the extent that the amount
does not exceed 10% of the recipients annual formula apportionments
under Section 5307 and 5311.
Transit Capital Assistance Program--Nonurbanized Areas Grantees
Q. Are capital intercity bus purchases eligible?
A. Yes, all Chapter 53 requirements apply to ARRA funds.
Q. Are states required to use 15% of formula funds allocated to
non-urbanized areas for intercity bus?
A. States must use at least 15% of ARRA formula funds allocated
to non-urbanized areas for intercity bus services. However,
consistent with Section 5311 requirements, States can certify that
intercity bus needs have been met after consultation.
Q. Can States use up to 15% of funds for program administration?
A. Yes. States may use up to 15% of formula funds allocated
under the requirements of Section 5311 to cover State administrative
expenses, at 100% Federal share.
New Starts and Small Starts--Section 5309
Q. How will FTA distribute major capital investment funding
provided by the ARRA legislation?
A. ARRA states that funding priority shall be given to New
Starts and Small Starts projects currently in construction (which
FTA interprets as projects with a Full Funding Grant Agreement
(FFGA) or Project Construction Grant Agreement (PCGA)) or to
projects able to obligate funds within 150 days of enactment. FTA is
still determining how the ARRA funding will be distributed to New
and Small Starts projects. The Act specifies that applicable Chapter
53 requirements apply. This would include the federal/local share
provisions; it also means that only projects that have received
acceptable project ratings in the New or Small Starts process are
eligible for the funding.
Q. Will projects with existing FFGAs or PCGAs that receive ARRA
funds still receive their FY09 apportionments?
A. FTA will provide projects with their FY09 apportionments as
identified in the existing FFGAs or PCGAs, to the extent
appropriated by Congress.
APPENDIX C
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FTA Regional and Metropolitan Offices
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Richard H. Doyle, Regional Robert C. Patrick, Regional
Administrator, Region 1--Boston, Administrator, Region 6--Ft.
Kendall Square, 55 Broadway, Suite Worth, 819 Taylor Street, Room
920, Cambridge, MA 02142-1093, Tel. 8A36, Ft. Worth, TX 76102,
617 494-2055. Tel. 817 978-0550.
States served: Connecticut, Maine, States served: Arkansas,
Massachusetts, New Hampshire, Rhode Louisiana, Oklahoma, New
Island, and Vermont. Mexico and Texas.
Brigid Hynes-Cherin, Regional Mokhtee Ahmad, Regional
Administrator, Region 2--New York, One Administrator, Region 7--
Bowling Green, Room 429, New York, NY Kansas City, MO, 901 Locust
10004-1415, Tel. No. 212 668-2170. Street, Room 404, Kansas City,
MO 64106, Tel. 816 329-3920.
States served: New Jersey, New York States served: Iowa, Kansas,
Missouri, and Nebraska.
New York Metropolitan Office, Region 2--
New York, One Bowling Green, Room 428,
New York, NY 10004-1415, Tel. 212-668-
2202.
Letitia Thompson, Regional Terry Rosapep, Regional
Administrator, Region 3--Philadelphia, Administrator, Region 8--
1760 Market Street, Suite 500, Denver 12300 West Dakota Ave.,
Philadelphia, PA 19103-4124, Tel. 215 Suite 310, Lakewood, CO 80228-
656-7100. 2583, Tel. 720-963-3300.
States served: Delaware, Maryland, States served: Colorado,
Pennsylvania, Virginia, West Virginia, Montana, North Dakota, South
and District of Columbia. Dakota, Utah, and Wyoming.
Philadelphia Metropolitan Office,
Region 3--Philadelphia, 1760 Market
Street, Suite 500, Philadelphia, PA
19103-4124, Tel. 215-656-7070.
Washington, DC Office, 1990 K St. NW.,
Suite 510, Washington, DC 20006,
Phone: (202) 219-3562 or (202) 219-
3565, Fax: (202) 219-3545.
Yvette Taylor, Regional Administrator, Leslie T. Rogers, Regional
Region 4--Atlanta, 230 Peachtree Administrator, Region 9--San
Street, NW. Suite 800, Atlanta, GA Francisco, 201 Mission Street,
30303, Tel. 404 562-3500. Suite 1650, San Francisco, CA
94105-1926, Tel. 415 744-3133.
States served: Alabama, Florida, States served: American Samoa,
Georgia, Kentucky, Mississippi, North Arizona, California, Guam,
Carolina, Puerto Rico, South Carolina, Hawaii, Nevada, and the
Tennessee, and Virgin Islands. Northern Mariana Islands.
Los Angeles Metropolitan
Office, Region 9--Los Angeles,
888 S. Figueroa Street, Suite
1850, Los Angeles, CA 90017-
1850, Tel. 213-202-3952.
Marisol Simon, Regional Administrator, Rick Krochalis, Regional
Region 5--Chicago, 200 West Adams Administrator, Region 10--
Street, Suite 320, Chicago, IL 60606, Seattle, Jackson Federal
Tel. 312 353-2789. Building, 915 Second Avenue,
Suite 3142, Seattle, WA 98174-
1002, Tel. 206 220-7954,
States served: Illinois, Indiana, States served: Alaska, Idaho,
Michigan, Minnesota, Ohio, and Oregon, and Washington.
Wisconsin.
Chicago Metropolitan Office, Region 5--
Chicago, 200 West Adams Street, Suite
320,Chicago, IL 60606, Tel. 312-353-
2789.
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[FR Doc. E9-4745 Filed 3-4-09; 8:45 am]
BILLING CODE 4910-57-P