[Federal Register Volume 75, Number 189 (Thursday, September 30, 2010)]
[Notices]
[Pages 60494-60495]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-24567]



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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

[Docket No. FTA-2010-0034]


Notice of Proposed Guidance and Request for Comment on the 
Federal Transit Administration's Research, Technical Assistance, and 
Training Programs: Application Instructions and Program Management 
Guidelines (FTA Circular 6100.1D)

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice of availability of proposed guidance and request for 
comment.

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SUMMARY: This notice proposes guidance in the form of a revised 
circular on the Federal Transit Administration's research, technical 
assistance, and training programs and seeks comment thereon. Proposed 
FTA Circular 6100.1D, ``Research, Technical Assistance, and Training 
Programs: Application Instructions and Program Management Guidelines,'' 
modifies FTA's existing FTA Circular 6100.1C, ``Transit Research and 
Technology Programs: Application Instructions and Program Management 
Guidelines'' to reflect current policy and new FTA programs, 
restructures the circular, and clarifies FTA's requirements and 
processes.

DATES: Comments must be received by November 29, 2010. Late-filed 
comments will be considered to the extent practicable.

ADDRESSES: You must include the agency name (Federal Transit 
Administration) and the docket number (FTA-2010-0034) with your 
comments. To ensure your comments are not entered into the docket more 
than once, please submit comments, identified by the docket number 
(FTA-2010-0034) by only one of the following methods:
    1. Web site: The U.S. Government electronic docket site is http://www.regulations.gov. Go to this Web site and follow the instructions 
for submitting comments into docket number FTA-2010-0034;
    2. Fax: Telefax comments to 202-493-2251;
    3. Mail: Mail your comments to U.S. Department of Transportation, 
1200 New Jersey Avenue, SE., Docket Operations, M-30, Room W12-140, 
Washington, DC 20590; or
    4. Hand Delivery: Bring your comments to the U.S. Department of 
Transportation, 1200 New Jersey Avenue, SE., Docket Operations, M-30, 
West Building Ground Floor, Room W12-140, Washington, DC 20590, between 
9 a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    Instructions for submitting comments: You must include the agency 
name (Federal Transit Administration) and Docket number (FTA-2010-0034) 
for this notice at the beginning of your comments. You should submit 
two copies of your comments if you submit them by mail or courier. For 
confirmation that FTA has received your comments, you must include a 
self-addressed stamped postcard. Note that all comments received will 
be posted without change to http://www.regulations.gov, including any 
personal information provided, and will be available to Internet users. 
You may review DOT's complete Privacy Act Statement in the Federal 
Register published April 11, 2000, (65 FR 19477), or you may visit 
http://www.regulations.gov.
    Docket: For Internet access to the docket to read background 
documents and comments received, go to http://www.regulations.gov. 
Background documents and comments received may also be viewed at the 
U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Docket 
Operations, M-30, West Building, Ground Floor, Room W12-140, 
Washington, DC 20590 between 9 a.m. and 5 p.m., Monday through Friday, 
except Federal holidays.

FOR FURTHER INFORMATION CONTACT: For program questions, please contact 
MaryAnne Polkiewicz at (202) 366-0203 or maryanne.polkiewicz@dot.gov. 
For legal questions, please contact Linda Sorkin at 202-366-0959 or 
linda.sorkin@dot.gov.

SUPPLEMENTARY INFORMATION: 

Table of Contents

     I. Overview
     II. Chapter-by-Chapter Analysis
    A. Chapter I--Introduction and Background
    B. Chapter II--Program Overview
    C. Chapter II--Application Instructions
    D. Chapter IV--Project Administration
    E. Chapter V--FTA Oversight
    F. Chapter VI--Financial Management
    G. Appendices

I. Overview

    The bulk of this proposed circular consists of restructuring of the 
2003 edition of FTA Circular 6100.1C coupled with updates of Federal 
statutory and regulatory citations, to reflect current policy and new 
FTA programs; and clarify FTA's requirements and processes.
    FTA seeks comments on the proposed circular, in particular those 
portions of the circular reflecting new guidance, policies, or 
interpretations. Comments received will be considered by FTA when it 
develops its final FTA Circular 6100.1D. FTA will reply to comments 
received in response to this notice in a second Federal Register notice 
to be published after the close of the comment period. The second 
notice will announce the availability of and the effective date of the 
final FTA Circular 6100.1D, which final circular will reflect the 
changes FTA implemented as a result of the comments received in 
response to this Federal Register notice.

II. Chapter-by-Chapter Analysis

A. Chapter I--Introduction and Background

    The first four sections of this chapter are a general introduction 
to FTA that is proposed to be included in all new and revised program 
circulars for the orientation of readers new to FTA programs. Section 5 
of this chapter sets forth definitions of terms appearing in the 
proposed circular to ensure a common understanding of terms.

B. Chapter II--Program Overview

    Sections 1 and 2 describe the statutory authority and nature of the 
national research programs and activities for which this circular 
applies. Section 3 clarifies the project management roles and 
responsibilities of the recipient and FTA. Section 4 describes civil 
rights requirements, and Section 5 notes that Federal cross-cutting 
requirements will apply to these projects.

C. Chapter III--Application Instructions

    Chapter III describes application instructions including the use of 
the Web-based Transportation Electronic Award and Management (TEAM 
system), the development of pre-applications or white papers, the 
development of formal applications including project budgets and 
statements of work, and other application requirements. Section 6 
describes how FTA may request recipients to participate in Peer Review 
of applications.

D. Chapter IV--Project Administration

    Chapter IV describes project administration requirements. Section 3 
describes project identification requirements on all equipment, 
hardware, construction, reports, data or any similar items produced in 
the course of the project. Section 4 describes reporting requirements, 
clarifying that all recipients must submit quarterly Federal Financial 
Reports (FFR) and Milestone Progress Reports (MPR) in TEAM and 
clarifies

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the development of Quarterly Narrative Reports. Section 4 also updates 
guidelines on the Final Report and other major technical report 
development and clarifies the requirements for electronic copies. 
Section 4 also clarifies that all FTA-sponsored reports, not just the 
Final Report, must contain an identification notice acknowledging FTA 
sponsorship. Section 5 clarifies prior approval requirements and 
procedures for obtaining prior approval. It clarifies prior approval 
requirements for transfers of financial assistance between cost 
categories and permits prior approvals to be requested and granted 
electronically by authorized officials. Section 6 describes project 
modifications including budget revisions and amendments. Sections 7, 8, 
and 9 describe recipient responsibilities for equipment, intangible 
property, and supplies. Section 10 clarifies the recipient's third 
party procurement responsibilities. Section 11 describes project close-
out procedures. Sections 12 and 13 describe suspension and termination 
procedures. Section 14 describes responsibilities for record retention.

E. Chapter V--FTA Oversight

    Section 1 is a general description of FTA's oversight program. 
Section 2 describes FTA's Oversight Programs that FTA may undertake. 
Section 3 describes the types of reviews that may apply to the FTA 
recipient or its projects. Section 3 describes the peer review process 
FTA may request recipients to participate in.

F. Chapter VI--Financial Management

    Sections 2-6 describe the proper use and management of Federal 
assistance including internal controls, non-Federal matching share, the 
applicable Federal cost principles, indirect costs, and program income. 
Section 7 describes the single annual audit requirements and describes 
when these may be extended to for-profit organizations. Section 8 
clarifies payment procedures requiring all recipients to make requests 
using the Request of Advance or Reimbursement Standard Form 270 (SF-
270), as is current practice.

G. Appendices

Appendix A lists all FTA circulars.
Appendix B provides an example of a Progress Report.
Appendix C describes requirements for developing a Cost Allocation 
Plan.
Appendix D provides instructions for submitting the Request of Advance 
or Reimbursement (SF-270).
Appendix E provides FTA regional and metropolitan contact information.
Appendix F is the Subject and Location index.

    Issued this 24th day of September 2010.
Peter Rogoff,
Administrator.
[FR Doc. 2010-24567 Filed 9-29-10; 8:45 am]
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