[Federal Register Volume 76, Number 26 (Tuesday, February 8, 2011)]
[Notices]
[Pages 6958-7079]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-2592]
[[Page 6957]]
Vol. 76
Tuesday,
No. 26
February 8, 2011
Part IV
Department of Transportation
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Federal Transit Administration
FTA Fiscal Year 2011 Apportionments, Allocations, and Program
Information; Notice
Federal Register / Vol. 76 , No. 26 / Tuesday, February 8, 2011 /
Notices
[[Page 6958]]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2011 Apportionments, Allocations, and Program
Information
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
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SUMMARY: The Federal Transit Administration (FTA) annually publishes
one or more notices apportioning funds appropriated by law. In some
cases, if less than a full year of funding is available, FTA publishes
multiple partial apportionment notices. This notice is the first notice
announcing partial apportionment of Fiscal Year (FY) 2011 formula
funds. It also provides program guidance and requirements; and provides
information on several program issues important in the current fiscal
year. The notice also includes tables that show certain unobligated
(carryover) funding discretionary programs from previous years that
will be available for obligation during FY 2011.
FOR FURTHER INFORMATION CONTACT: For general information about this
notice contact Kimberly Sledge, Team Leader, Transit Program Management
Team, at (202) 366-2053. Please contact the appropriate FTA regional
office for any specific requests for information or technical
assistance. The Appendix at the end of this notice includes contact
information for FTA regional offices. An FTA headquarters contact for
each major program area is included in the discussion of that program
in the text of the notice.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. FY 2011 Available Funding for FTA Programs
A. Available Funding Based on Continuing Appropriations and
Surface Transportation Extension Act, 2011, and Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA-LU).
B. Program Funds Set-aside for Oversight
III. 2011 FTA Programs
A. Metropolitan Planning Program (49 U.S.C. 5305)
B. Statewide Planning and Research Program (49 U.S.C. 5305)
C. Urbanized Area Formula Program (49 U.S.C. 5307)
D. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway
Modernization
E. Special Needs of Elderly Individuals and Individuals With
Disabilities Program (49 U.S.C. 5310)
F. Nonurbanized Area Formula Program (49 U.S.C. 5311)
G. Rural Transportation Assistance Program (49 U.S.C.
5311(b)(3))
H. Job Access and Reverse Commute Program (49 U.S.C. 5316)
I. New Freedom Program (49 U.S.C. 5317)
J. Growing States and High Density States Formula (49 U.S.C.
5340)
IV. FTA Policy and Procedures for FY 2011 Grants Requirements
A. Automatic Pre-Award Authority to Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FTA FY 2011 Annual List of Certifications and Assurances
D. FHWA Funds Used for Transit Purposes
E. Technical Assistance
Tables
1. FTA FY 2011 Appropriations and Apportionments for Grant
Programs
2. FTA FY 2011 Metropolitan Planning Program and Statewide
Planning and Research Program Apportionments
3. FTA FY 2011 Section 5307 and Section 5340 Urbanized Area
Apportionments
3-A. 2000 Census Urbanized Areas 200,000 or More in Population
Eligible to Use Section 5307 Funds for Operating Assistance
4. FTA FY 2011 Section 5307 Apportionment Formula
5. FTA FY 2011 Formula Programs Apportionments Data Unit Values
6. FTA FY 2011 Small Transit Intensive Cities Performance Data
and Apportionments
7. FTA Prior Year Unobligated Section 5308 Clean Fuels
Allocations
8. FTA FY 2011 Section 5309 Fixed Guideway Modernization
Apportionments
9. FTA FY 2011 Fixed Guideway Modernization Program
Apportionment Formula
10. FTA Prior Year Unobligated Section 5309 Buses and Bus
Related Equipment and Facilities Allocations
11. FTA Prior Year Unobligated Section 5309 New Starts
Allocations
12. FTA FY 2011 Special Needs for Elderly Individuals and
Individuals with Disabilities Apportionments
13. FTA FY 2011 Section 5311 and Section 5340 Nonurbanized Area
Formula Apportionments, and Rural Transportation Assistance Program
(RTAP) Allocations
14. FTA Prior Unobligated Tribal Transit Discretionary
Allocations
15. FTA FY 2011 Section 5316 Job Access and Reverse Commute
(JARC) Apportionments
16. FTA FY 2011 Section 5317 New Freedom Apportionments
17. 2011 FTA Prior Year Unobligated Section 5339 Alternatives
Analysis Allocations
Appendix
I. Overview
FTA's current authorization, the Safe, Accountable, Flexible,
Efficient, Transportation Equity Act: A Legacy for Users (SAFETEA-LU),
expired September 30, 2009. Since that time, Congress has enacted
short-term extensions allowing FTA to continue its current programs.
Most recently, the Continuing Appropriations and Surface Transportation
Extensions Act, 2011, as amended, (Pub. L. 111-322, Div. C), continues
the authorization of the Federal transit programs of the U.S.
Department of Transportation (DOT) through March 4, 2011. It extends
contract authority for programs in the Formula and Bus Grants account
provided in the previous authorization extension Hiring Incentives to
Restore Employment Act (Pub. L. 111-147) until March 4, 2011, i.e.,
approximately 5/12th of the contract authority available in FY 2010.
This document apportions approximately $3 billion in FY 2011 funds
made available under the Continuing Appropriations and Surface
Transportation Extensions of Act 2011, as amended, hereinafter, (``CR,
2011'') among potential program recipients according to statutory
formulas in 49 U.S.C. Chapter 53. This is in addition to over $4.2
billion existing in unobligated formula funds available from prior
years. The notice includes FY 2011 formula funds that are currently
available, which is approximately 5/12 or 42.47% of the amounts that
were available under the Consolidated Appropriations Act, 2010 (Pub. L.
111-117). The notice does not include any extension or reprogramming of
any discretionary funds that lapsed to the designated project as of
September 30, 2010. FTA will issue a supplemental notice at a later
date for any additional increments of formula and discretionary funds
that become available.
For each FTA program included in this notice, we have provided
relevant information on the FY 2011 funding currently available,
program requirements, period of availability, and other related program
information and highlights, as appropriate. A separate section of the
document provides information on program requirements and guidance that
are applicable to all FTA programs.
II. FY 2011 Available Funding for FTA Programs
A. Funding Based on the Continuing Appropriations and Surface
Transportation Extensions Act, 2011 (Pub. L. 111-322)
The CR 2011 makes available approximately 5/12ths of the contract
authority levels authorized in FY 2010 for the Formula programs. Table
1 of this document shows the funding that is currently available for
the FTA programs. This Federal Register notice includes tables of
apportionments and
[[Page 6959]]
allocations for FTA formula programs based on CR, 2011 and carryover
discretionary funds.
B. Program Funds Set-aside for Project Management Oversight
As background, Section 5327 of title 49 U.S.C. authorizes the
takedown of funds from FTA programs for project management oversight.
Section 5327 provides oversight takedowns at the following levels: 0.5
percent of Planning funds, 0.75 percent of Urbanized Area Formula
funds, 1 percent of Capital Investment funds, 0.5 percent of Special
Needs of Elderly Individuals and Individuals with Disabilities formula
funds, 0.5 percent of Non-urbanized Area Formula funds, and 0.5 percent
of the Paul S. Sarbanes Transit in the Parks Program funds (formerly
the Alternative Transportation in the Parks and Public Lands Program).
The funds are used to provide necessary oversight activities,
including oversight of the construction of any major capital project
under these statutory programs; to conduct State Safety Oversight, drug
and alcohol, civil rights, procurement systems, management, planning
certification and, financial reviews and audits, as well as evaluations
and analyses of grantee specific problems and issues; and to provide
technical assistance to correct deficiencies identified in compliance
reviews and audits.
III. 2011 FTA Programs
This section of the notice provides the available FY 2011 funding
through March 4, 2011, and/or other important program-related
information for eleven FTA formula programs that are contained in this
notice. Funding and/or other important information for each of the
formula programs is presented immediately below. This includes program
apportionments, certain program requirements, length of time FY 2011
funding is available for obligation and other significant program
information pertaining to FY 2011.
A. Metropolitan Planning Program (49 U.S.C. 5305(d))
Section 5305(d) authorizes Federal funding to support a
cooperative, continuous, and comprehensive planning program for
transportation investment decision-making at the metropolitan area
level. The specific requirements of metropolitan transportation
planning are set forth in 49 U.S.C. 5303 and further explained in 23
CFR Part 450, as incorporated by reference in 49 CFR Part 613,
Statewide Transportation Planning; Metropolitan Transportation
Planning; Final Rule. State Departments of Transportation are direct
recipients of funds allocated by FTA, which are then suballocated to
Metropolitan Planning Organizations (MPOs) by formula, for planning
activities that support the economic vitality of the metropolitan area,
especially by enabling global competitiveness, productivity, and
efficiency; increasing the safety and security of the transportation
system for motorized and non-motorized users; increasing the
accessibility and mobility options available to people and for freight;
protecting and enhancing the environment, promoting energy
conservation, and improving quality of life; enhancing the integration
and connectivity of the transportation system, across and between
modes, for people and freight; promoting efficient transportation
system management and operation; and emphasizing the preservation of
the existing transportation system. This funding must support work
elements and activities resulting in balanced and comprehensive
intermodal transportation planning for the movement of people and goods
in the metropolitan area. Comprehensive transportation planning is not
limited to transit planning or surface transportation planning, but
also encompasses the relationships among land use and all
transportation modes, without regard to the programmatic source of
Federal assistance. Eligible work elements or activities include, but
are not limited to studies relating to management, mobility management,
planning, operations, capital requirements, and economic feasibility;
evaluation of previously funded projects; peer reviews and exchanges of
technical data, information, assistance, and related activities in
support of planning and environmental analysis among MPOs and other
transportation planners; work elements and related activities
preliminary to and in preparation for constructing, acquiring, or
improving the operation of facilities and equipment; development of
coordinated public transit human services transportation plans. An
exhaustive list of eligible work activities is provided in FTA Circular
8100.1C, Program Guidance for Metropolitan Planning and State Planning
and Research Program Grants, dated September 1, 2008. For more about
the Metropolitan Planning Program and the FTA Circular 8100.1C, contact
Victor Austin, Office of Planning and Environment at (202) 366-2996.
1. FY 2011 Funding Availability
CR 2011 provides $39,790,936 to the Metropolitan Planning Program
(49 U.S.C. 5305(d) to support metropolitan transportation planning
activities set forth in 49 U.S.C. 5303. The total amount apportioned
for the Metropolitan Planning Program to States for MPOs' use in
urbanized areas (UZAs) is $39,591,981, as shown in the table below,
after the deduction for oversight.
Metropolitan Planning Program
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Total Appropriation................................... $39,790,936
Oversight Deduction................................... -198,955
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Total Apportioned................................. 39,591,981
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States' apportionments for this program are displayed in Table 2.
2. Basis for Formula Apportionments
As specified in law, 82.72 percent of the amounts authorized for
Section 5305 are allocated to the Metropolitan Planning program. FTA
allocates Metropolitan Planning funds to the States according to a
statutory formula. Eighty percent of the funds are distributed to the
States as a basic allocation based on each State's UZA population,
based on the most recent decennial Census. The remaining 20 percent is
provided to the States as a supplemental allocation based on an FTA
administrative formula to address planning needs in the larger, more
complex UZAs. The amount published for each State is a combined total
of both the basic and supplemental allocation.
3. Program Requirements
The State allocates Metropolitan Planning funds to MPOs in UZAs or
portions thereof to provide funds for projects included in an annual
work program (the Unified Planning Work Program, or UPWP) that includes
both highway and transit planning projects. Each State has either
reaffirmed or developed, in consultation with their MPOs, an allocation
formula, based on the 2000 Census. The State allocation formula may be
changed annually, but any change requires approval by the FTA regional
office before grant approval. Program guidance for the Metropolitan
Planning Program is found in FTA Circular 8100.1C, Program Guidance for
Metropolitan Planning and State Planning and Research Program Grants,
dated September 1, 2008. For more about the Metropolitan Planning
Program and the FTA Circular 8100.1C, contact Victor Austin, Office of
[[Page 6960]]
Planning and Environment at (202) 366-2996.
4. Period of Availability
The funds apportioned under the Metropolitan Planning program to
each State remain available for obligation by FTA to recipients for
four fiscal years--which includes the year of apportionment plus three
additional years. Any apportioned funds that remain unobligated at the
close of business on September 30, 2014, will revert to FTA for
reapportionment under the Metropolitan Planning Program.
5. Consolidated Planning Grants
FTA and FHWA planning funds under both the Metropolitan Planning
and State Planning and Research Programs can be consolidated into a
single consolidated planning grant (CPG), awarded by either FTA or
FHWA. The CPG eliminates the need to monitor individual fund sources,
if several have been used, and ensures that the oldest funds will
always be used first. Unlike ``flex funds'' for capital programs,
planning funds from FHWA may be combined with FTA planning funds in a
single grant. Alternatively, FTA planning funds may be transferred to
FHWA to be administered as combined grants.
Under the CPG, States can report metropolitan planning program
expenditures (to comply with the Single Audit Act) for both FTA and
FHWA under the Catalogue of Federal Domestic Assistance number for
FTA's Metropolitan Planning Program (20.505). Additionally, for States
with an FHWA Metropolitan Planning (PL) fund-matching ratio greater
than 80 percent, the State can waive the 20 percent local share
requirement, with FTA's concurrence, to allow FTA funds used for
metropolitan planning in a CPG to be granted at the higher FHWA rate.
For some States, this Federal match rate can exceed 90 percent.
States interested in transferring planning funds between FTA and
FHWA should contact the FTA Regional Office or FHWA Division Office for
more detailed procedures. Current guidelines are included in Federal
Highway Administration Memorandum dated July 12, 2007, ``Information:
Final Transfers to Other Agencies that Administer Title 23 Programs.''
For further information on CPGs, contact Nancy Grubb, Office of
Budget and Policy, FTA, at (202)366-1635.
B. Statewide Planning and Research Program (49 U.S.C. 5305(e))
This program provides financial assistance to States for Statewide
transportation planning and other technical assistance activities,
including supplementing the technical assistance program provided
through the Metropolitan Planning program. The specific requirements of
Statewide transportation planning are set forth in 49 U.S.C. 5304 and
further explained in 23 CFR Part 450 as referenced in 49 CFR Part 613,
Statewide Transportation Planning; Metropolitan Transportation
Planning; Final Rule. This funding must support work elements and
activities resulting in balanced and comprehensive intermodal
transportation planning for the movement of people and goods.
Comprehensive transportation planning is not limited to transit
planning or surface transportation planning, but also encompasses the
relationships among land use and all transportation modes, without
regard to the programmatic source of Federal assistance. For more
information, contact Victor Austin, Office of Planning and Environment
at (202) 366-2996.
1. FY 2011 Funding Availability
CR 2011 provides $8,312,227 to the State Planning and Research
Program (49 U.S.C. 5305). The total amount apportioned for the State
Planning and Research Program (SPRP) is $8,270,666 as shown in the
table below, after the deduction for oversight (authorized by 49 U.S.C.
5327).
State Planning and Research Program
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Total Appropriation................................... $8,312,227
Oversight Deduction................................... -41,561
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Total Apportioned................................. 8,270,666
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State apportionments for this program are displayed in Table 2.
2. Basis for Apportionment Formula
As specified in law, 17.28 percent of the amounts authorized for
Section 5305 are allocated to the State Planning and Research program.
FTA apportions funds to States by a statutory formula that is based on
the most recent decennial Census, and the State's UZA population as
compared to the UZA population of all States.
3. Requirements
Funds are provided to States for Statewide transportation planning
programs. These funds may be used for a variety of purposes such as
planning, technical studies and assistance, demonstrations, and
management training. In addition, a State may authorize a portion of
these funds to be used to supplement Metropolitan Planning funds
allocated by the State to its UZAs, as the State deems appropriate.
Program guidance for the State Planning and Research program is found
in FTA Circular 8100.1C. This funding must support work elements and
activities resulting in balanced and comprehensive intermodal
transportation planning for the movement of people and goods.
Comprehensive transportation planning is not limited to transit
planning or surface transportation planning, but also encompasses the
relationships among land use and all transportation modes, without
regard to the programmatic source of Federal assistance. Eligible work
elements or activities include, but are not limited to studies relating
to management, planning, operations, capital requirements, and economic
feasibility; evaluation of previously funded projects; peer reviews and
exchanges of technical data, information, assistance, and related
activities in support of planning and environmental analysis; work
elements and related activities preliminary to and in preparation for
constructing, acquiring, or improving the operation of facilities and
equipment. An exhaustive list of eligible work activities is provided
in FTA Circular 8100.1C, Program Guidance for Metropolitan Planning and
State Planning and Research Program Grants, dated September 1, 2008.
For more information, contact Victor Austin, Office of Planning and
Environment at (202) 366-2996.
4. Period of Availability
The funds apportioned under the State Planning and Research program
to each State remain available for obligation for four fiscal years,
which include the year of apportionment plus three additional fiscal
years. Any apportioned funds that remain unobligated at the close of
business on September 30, 2014, will revert to FTA for reapportionment
under the State Planning and Research Program.
C. Urbanized Area Formula Program (49 U.S.C. 5307)
Section 5307 authorizes Federal capital assistance, and in some
cases, operating assistance for public transportation in UZAs. A UZA is
an area with a population of 50,000 or more that has been defined and
designated as such in the 2000 Census by the U.S. Census Bureau. The
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Urbanized Area Formula Program funds may also be used to support
planning activities, and may supplement planning projects funded under
the Metropolitan Planning program. Urbanized Areas Formula Program
funds used for planning must be shown in the Unified Planning Work
Program (UPWP) for MPO(s) with responsibility for that area. Funding is
apportioned directly to each UZA with a population of 200,000 or more,
and to the State Governors for UZAs with populations between 50,000 and
200,000. Eligible applicants are limited to entities designated as
recipients in accordance with 49 U.S.C. 5307(a)(2) and other public
entities with the consent of the Designated Recipient. Generally,
operating assistance is not an eligible expense for UZAs with
populations of 200,000 or more. However, there are several exceptions
to this restriction. The exceptions are described in section 3(d)(5)
below.
For more information about the Urbanized Area Formula Program
contact Kimberly Sledge, Office of Transit Programs, at (202) 366-2053.
1. FY 2011 Funding Availability
CR 2011 provides $1,763,230,999 to the Urbanized Area Formula
Program (49 U.S.C. 5307). The total amount apportioned for the
Urbanized Area Formula Program is $1,916,008,252 as shown in the table
below, after the 0.75 percent deduction for oversight (authorized by 49
U.S.C. 5327) and including funds apportioned to UZAs from the
appropriation for Section 5340 for Growing States and High Density
States.
Urbanized Area Formula Program
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Total Appropriation.................................. \a\
$1,763,230,999
Oversight Deduction.................................. -13,224,232
Section 5340 Funds Added............................. 166,001,486
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Total Apportioned................................ 1,916,008,252
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\a\ One percent set-aside for Small Transit Intensive Cities Formula.
Table 3 displays the amounts apportioned under the Urbanized Area
Formula Program.
2. Basis for Formula Apportionment
FTA apportions Urbanized Area Formula Program funds based on
legislative formulas. Different formulas apply to UZAs with populations
of 200,000 or more and to UZAs with populations less than 200,000. For
UZAs with 50,000 to 199,999 in population, the formula is based solely
on population and population density. For UZAs with populations of
200,000 and more, the formula is based on a combination of bus revenue
vehicle miles, bus passenger miles, fixed guideway revenue vehicle
miles, and fixed guideway route miles, as well as population and
population density. Table 4 includes detailed information about the
formulas.
To calculate a UZA's FY 2011 apportionment, FTA used population and
population density statistics from the 2000 Census and (when
applicable) validated mileage and transit service data from transit
providers' 2009 National Transit Database (NTD) Report Year. Consistent
with 49 U.S.C. 5336(b), FTA used 60 percent of the directional route
miles attributable to the Alaska Railroad passenger operations system
to calculate the apportionment for the Anchorage, Alaska UZA.
FTA has calculated dollar unit values for the formula factors used
in the Urbanized Area Formula Program apportionment calculations. These
values represent the amount of money each unit of a factor is worth in
this year's apportionment. The unit values change each year, based on
all of the data used to calculate the apportionments. The dollar unit
values for FY 2011 are displayed in Table 5. To replicate the basic
formula component of a UZA's apportionment, multiply the dollar unit
value by the appropriate formula factor (i.e., the population,
population x population density), and when applicable, data from the
NTD (i.e., route miles, vehicle revenue miles, passenger miles, and
operating cost).
In FY 2011, one percent of funds appropriated for Section 5307, or
$17,632,310 based on CR 2011 is set aside for Small Transit Intensive
Cities (STIC). FTA apportions these funds to UZAs under 200,000 in
population that operate at a level of service equal to or above the
industry average level of service for all UZAs with a population of at
least 200,000, but not more than 999,999, in one or more of six
performance categories: passenger miles traveled per vehicle revenue
mile, passenger miles traveled per vehicle revenue hour, vehicle
revenue miles per capita, vehicle revenue hours per capita, passenger
miles traveled per capita, and passengers per capita.
The data for these categories for the purpose of FY 2011
apportionments comes from the NTD reports for the 2009 reporting year.
This data is used to determine a UZA's eligibility under the STIC
formula, and is also used in the STIC apportionment calculations.
Because these performance data change with each year's NTD reports, the
UZAs eligible for STIC funds and the amount each receives may vary each
year. In FY 2011, FTA apportioned $55,976 for each performance factor/
category for which the urbanized area exceeded the national average for
UZAs with a population of at least 200,000 but not more than 999,999.
In addition to the funds apportioned to UZAs, according to the
Section 5307 formula factors contained in 49 U.S.C. 5336, FTA also
apportions funds to urbanized areas under Section 5340 Growing States
and High Density States formula factors. In FY 2011, FTA apportions
$67,464,168 to UZAs in growing States and $98,537,318 to UZAs in High
Density States. Half of the funds appropriated for Section 5340 are
available to Growing States and half to High Density States. FTA
apportions Growing States funds by a formula based on State population
forecasts for 15 years beyond the most recent Census. FTA distributes
the amounts apportioned for each State between UZAs and nonurbanized
areas based on the ratio of urbanized/nonurbanized population within
each State in the 2000 census, and to UZAs proportionately based on UZA
population in the 2000 census (because population estimates are not
available at the UZA level). FTA apportions the High Density States
funds to States with population densities in excess of 370 persons per
square mile. These funds are apportioned only to UZAs within those
States. FTA pro-rates each UZA's share of the High Density funds based
on the population of the UZAs in the State in the 2000 census.
FTA cannot provide unit values for the Growing States or High
Density formulas because the allocations to individual States and
urbanized areas are based on their relative population data, rather
than on a national per capita basis.
Based on language in the conference report accompanying SAFETEA-LU,
FTA is to show a single apportionment amount for Section 5307, STIC and
Section 5340. FTA shows a single Section 5307 apportionment amount for
each UZA in Table 3, the Urbanized Area Formula apportionments. The
amount includes funds apportioned based on the Section 5307 formula
factors, any STIC funds, and any Growing States and High Density States
funding allocated to the area. FTA uses separate formulas to calculate
and generate the respective apportionment amounts for the Section 5307,
STIC and Section 5340. For technical assistance purposes, the UZAs that
received STIC funds are listed in Table 6. FTA will make available
breakouts of the funding allocated to each UZA under these
[[Page 6962]]
formulas, upon request to the regional office.
3. Program Requirements
Program guidance for the Urbanized Area Formula Program is
currently found in FTA Circular 9030.1D, Urbanized Area Formula
Program: Grant Application Instructions, dated May 1, 2010, and
supplemented by additional information or changes provided in this
document.
a. Urbanized Area Formula Apportionments to Governors
For small UZAs, those with a population of less than 200,000, FTA
apportions funds to the Governor of each State for distribution. A
single total Governor's apportionment amount for the Urbanized Area
Formula, STIC, and Growing States and High Density States is shown in
the Urbanized Area Formula Apportionment Table 3. The table also shows
the apportionment amount attributable by formula to each small UZA
within the State for information purposes only unless the small UZA is
located within the planning boundaries of a Transportation Management
Area (TMA). The Governor is not bound by the small UZA amounts
published in this notice and shall determine the sub-allocation of
funds among the small UZAs. The Governor's sub-allocation should be
sent to the appropriate FTA Regional Office before grants are awarded.
In the case of a small UZA that is located within the planning
boundaries of TMA, the Governor must allocate to that small UZA, as
discussed in subsection f below.
b. Transit Enhancements
Section 5307(d)(1)(K) requires that one percent of Section 5307
funds apportioned to UZAs with populations of 200,000 or more be spent
on eligible transit enhancement activities or projects. This
requirement is now treated as a certification, rather than as a set-
aside as was the case under the Transportation Equity Act for the 21st
Century (TEA-21). Designated recipients in UZAs with populations of
200,000 or more certify they are spending no less than one percent of
Section 5307 funds for transit enhancements. In addition, Designated
Recipients must submit an annual report on how they spent the money
with the Federal fiscal year's final quarterly progress report in TEAM-
Web. The report should include the following elements: (1) Grantee
name; (2) UZA name and number; (3) FTA project number; (4) transit
enhancement category; (5) brief description of enhancement and progress
towards project implementation; (6) activity line item code from the
approved budget; and (7) amount awarded by FTA for the enhancement. The
list of transit enhancement categories and Activity Line Item (ALI)
codes may be found in the table of Scope and ALI codes on TEAM-Web,
which can be accessed at http://FTATEAMWeb.fta.dot.gov.
The term ``transit enhancement'' includes projects or project
elements that are designed to enhance public transportation service or
use and are physically or functionally related to transit facilities.
Eligible enhancements include the following: (1) Historic preservation,
rehabilitation, and operation of historic mass transportation
buildings, structures, and facilities (including historic bus and
railroad facilities); (2) bus shelters; (3) landscaping and other
scenic beautification, including tables, benches, trash receptacles,
and street lights; (4) public art; (5) pedestrian access and walkways;
(6) bicycle access, including bicycle storage facilities and installing
equipment for transporting bicycles on mass transportation vehicles;
(7) transit connections to parks within the recipient's transit service
area; (8) signage; and (9) enhanced access for persons with
disabilities to mass transportation.
It is the responsibility of the MPO to determine how the one-
percent for transit enhancements will be allotted to transit projects.
The one percent minimum requirement does not preclude more than one
percent from being expended in a UZA for transit enhancements. However,
activities that are only eligible as enhancements--in particular,
operating costs for historic facilities--may be assisted only within
the one-percent funding level.
c. Transit Security Projects
Consistent with section 5307(d)(1)(J), each recipient of Urbanized
Area Formula funds must certify that of the amount received each fiscal
year, it will expend at least one percent on ``public transportation
security projects'' or must certify that it has decided the expenditure
is not necessary. For applicants not eligible to receive Section 5307
funds for operating assistance, only capital security projects may be
funded with the one percent. SAFETEA-LU, however, expanded the
definition of eligible ``capital'' projects to include specific crime
prevention and security activities, including: (1) Projects to refine
and develop security and emergency response plans; (2) projects aimed
at detecting chemical and biological agents in public transportation;
(3) the conduct of emergency response drills with public transportation
agencies and local first response agencies; and (4) security training
for public transportation employees, but excluding all expenses related
to operations, other than such expenses incurred in conducting
emergency drills and training. Activity Line Item (ALI) codes have been
established for these four new capital activities and will be used to
track the use of this provision. The one percent may also include
security expenditures included within other capital activities, and,
where the recipient is eligible, operating assistance.
FTA is often called upon to report to Congress and others on how
grantees are expending Federal funds for security enhancements. To
facilitate tracking of grantees' security expenditures, which are not
always evident when included within larger capital or operating ALI
items in the grant budget, we have established a non-additive (``non-
add'') scope code for security expenditures--Scope 991. The non-add
scope is to be used to aggregate activities included in other scopes,
and it does not increase the budget total. Section 5307 grantees should
include this non-add scope in the project budget for each new Section
5307 grant application or amendment. Under this non-add scope, the
applicant should repeat the full amount of any of the line items in the
budget that are exclusively for security and include the portion of any
other line item in the project budget that is attributable to security,
using under the non-add scope the same line item used in the project
budget. The grantee can modify the ALI description or use the extended
text feature, if necessary, to describe the security expenditures.
The grantee must provide information regarding its use of the one
percent for security as part of each Section 5307 grant application,
using a special screen in TEAM-Web. If the grantee has certified that
it is not necessary to expend one percent for security, the Section
5307 grant application must include information to support that
certification. FTA will not process an application for a Section 5307
grant until the security information is complete.
d. FY 2011 Operating Assistance
UZAs under 200,000 in population may use Section 5307 funds for
operating assistance. In addition, Section 5307, as amended, allows
some UZAs with a population of 200,000 or more to use Urbanized Area
Formula funds for operating assistance under certain conditions. CR,
2011 extends
[[Page 6963]]
that eligibility until March 4, 2011. The specific provisions allowing
the limited use of operating assistance in large UZAs follow:
(1) Section 5307(b)(1)(E) provides for grants for the operating
costs of equipment and facilities for use in public transportation in
the Evansville, IN-KY urbanized area, for a portion or portions of the
UZA if ``the portion'' of the UZA includes only one State, the
population of ``the portion'' is less than 30,000, and the grants will
not be used to provide public transportation outside of ``the portion''
of the UZA.
(2) Section 5307(b)(1)(F) provides operating costs of equipment and
facilities for use in public transportation for local governmental
authorities in areas which adopted transit operating and financing
plans that became a part of the Houston, Texas, UZA as a result of the
2000 decennial census of population, but lie outside the service area
of the principal public transportation agency that serves the Houston
UZA.
(3) Section 5336(a)(2) prescribes the formula to be used to
apportion Section 5307 funds to UZAs with population of 200,000 or
more. SAFETEA-LU amended 5336(a)(2) to add language that stated, `` * *
* except that the amount apportioned to the Anchorage urbanized area
under subsection (b) shall be available to the Alaska Railroad for any
costs related to its passenger operations.'' This language has the
effect of directing that funds apportioned to the Anchorage urbanized
area, under the fixed guideway tiers of the Section 5307 apportionment
formula, be made available to the Alaska Railroad, and that these funds
may be used for any capital or operating costs related to its passenger
operations.
(4) Section 3027(c)(3) of TEA-21, as amended (49 U.S.C. 5307 note),
provides an exception to the restriction on the use of operating
assistance in a UZA with a population of 200,000 or more, by allowing
transit providers/grantees that provide service exclusively to elderly
persons and persons with disabilities and that operate 20 or fewer
vehicles to use Section 5307 funds apportioned to the UZA for operating
assistance. The total amount of funding made available for this purpose
under Section 3027(c)(3) is $1.4 million. Transit providers/grantees
eligible under this provision have already been identified and
notified.
(5) Consistent with the SAFETEA-LU Technical Corrections Act, 2008,
in FY 2009, section 5307(b)(2) allowed: (1) UZAs that grew in
population from under 200,000 to over 200,000 or that were under
200,000 but merged into another urbanized area and the population is
over 200,000, as a result of the 2000 Census to use Section 5307 funds
for operating assistance in an amount up to 50 percent of the
grandfathered amount for FY 2002 funds; (2) Areas that were
nonurbanized under the 1990 Census and became urbanized, as a result of
the 2000 Census, to use no more than 50 percent of the amount
apportioned to the area for FY 2003 for operating assistance; and (3)
nonurbanized areas under the 1990 Census that merged into urbanized
areas over 200,000, as a result of the 2000 Census, to use 50 percent
of the amount the area received in FY 2002 Section 5311 funding for
operating assistance. CR 2011 continued these special rules for the
period October 1, 2009 through March 4, 2011.
e. Sources of Local Match
Consistent with Section 5307(e), the Federal share of an urbanized
area formula grant is 80 percent of net project cost for a capital
project and 50 percent of net project cost for operating assistance
unless the recipient indicates a greater local share. The remainder of
the net project cost (i.e., 20 percent and 50 percent, respectively)
shall be provided from the following sources:
(1) From non-Government sources other than revenues from providing
public transportation services;
(2) From revenues derived from the sale of advertising and
concessions;
(3) From an undistributed cash surplus, a replacement or
depreciation cash fund or reserve, or new capital;
(4) From amounts received under a service agreement with a State or
local social service agency or private social service organization; and
(5) Proceeds from the issuance of revenue bonds.
(6) Funds from Section 403(a)(5)(C)(vii) of the Social Security Act
(42 U.S.C. 603(a)(5)(C)(vii)) can be used to match Urbanized Area
Formula funds.
f. Designated Transportation Management Areas (TMA)
Guidance for setting the boundaries of TMAs is in the joint
transportation planning regulations codified at 23 CFR Part 450 as
referenced in 49 CFR Part 613. In some cases, the TMA planning
boundaries established by the MPO for the designated TMA includes one
or more small UZAs. In addition, one small UZA (Santa Barbara, CA) has
been designated as a TMA. In either of these situations, the Governor
cannot allocate ``Governor's Apportionment'' funds attributed to the
small UZAs to other areas; that is, the Governor only has discretion to
allocate Governor's Apportionment funds attributable to areas that are
outside of designated TMA planning boundaries.
The list of small UZAs included within the planning boundaries of
designated TMAs is provided in the table below:
------------------------------------------------------------------------
Small urbanized area included in TMA
Designated TMA planning boundary
------------------------------------------------------------------------
Albany, NY........................ Saratoga Springs, NY.
Houston, TX....................... Galveston, TX; Lake Jackson-
Angleton, TX; Texas City, TX; The
Woodlands, TX.
Jacksonville, FL.................. St. Augustine, FL.
Orlando, FL....................... Kissimmee, FL.
Palm Bay-Melbourne, FL............ Titusville, FL.
Philadelphia, PA-NJ-DE-MD......... Pottstown, PA.
Pittsburg, PA..................... Monessen, PA; Weirton, WV-
Steubenville, OH-PA (PA portion);
Uniontown-Connellsville, PA.
Seattle, WA....................... Bremerton, WA.
Washington, DC-VA-MD.............. Frederick, MD.
------------------------------------------------------------------------
The MPO must notify the Associate Administrator for Program
Management, Federal Transit Administration, 1200 New Jersey Avenue,
SE., Washington, DC 20590, in writing, no later than July 1 of each
year of the identity of any small UZA within the planning boundaries of
a TMA.
g. Urbanized Area Formula Funds Used for Highway Purposes
Funds apportioned to a TMA are eligible for transfer to FHWA for
highway projects, if the Designated Recipient has allocated a portion
of the
[[Page 6964]]
area's Section 5307 funding for such use. However, before funds can be
transferred, the following conditions must be met: (1) Approval by the
MPO in writing, after appropriate notice and opportunity for comment
and appeal are provided to affected transit providers; (2) a
determination of the Secretary that funds are not needed for
investments required by the Americans with Disabilities Act of 1990
(ADA); and (3) the MPO determines that local transit needs are being
addressed.
The MPO should notify the appropriate FTA Regional Administrator of
its intent to use FTA funds for highway purposes. Urbanized Area
Formula funds that are designated by the MPO for highway projects and
meet the conditions cited in the previous paragraph will be transferred
to and administered by FHWA.
4. Period of Availability
The Urbanized Area Formula Program funds apportioned in this notice
are available for obligation during the year of appropriation plus
three additional years. Accordingly, these funds must be obligated in
grants by September 30, 2014. Any apportioned funds that remain
unobligated at the close of business on September 30, 2014, will revert
to FTA for reapportionment under the Urbanized Area Formula Program.
5. Other Program or Apportionment Related Information and Highlights
In each UZA with a population of 200,000 or more, the Governor, in
consultation with responsible local officials and publicly owned
operators of public transportation, has designated one or more entities
to be the Designated Recipient for Section 5307 funds apportioned to
the UZA. The same entity(s) may or may not be the Designated Recipient
for the Job Access and Reverse Commute (JARC) and New Freedom program
funds apportioned to the UZA. In UZAs under 200,000 in population, the
State is the Designated Recipient for Section 5307 as well as JARC and
New Freedom programs. The Designated Recipient for Section 5307 may
authorize other entities to apply directly to FTA for Section 5307
grants pursuant to a supplemental agreement. While the requirement that
projects selected for funding be included in a locally developed
coordinated public transit/human service transportation plan is not
included in Section 5307 as it is in Sections 5310, 5316 (JARC) and
5317 (New Freedom), FTA expects that in their role as public transit
providers, recipients of Section 5307 funds will be participants in the
local planning process for these programs.
D. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway
Modernization
This program provides capital assistance for the maintenance,
recapitalization, and modernization of existing fixed guideway systems.
Funds are apportioned by a statutory formula to UZAs with fixed
guideway systems that have been in operation for at least seven years.
A ``fixed guideway'' refers to any transit service that uses exclusive
or controlled rights-of-way or rails, entirely or in part. The term
includes heavy rail, commuter rail, light rail, monorail, trolleybus,
aerial tramway, inclined plane, cable car, automated guideway transit,
ferryboats, that portion of motor bus service operated on exclusive or
controlled rights-of-way, and high-occupancy-vehicle (HOV) lanes.
Eligible applicants are the public transit authorities in those
urbanized areas to which the funds are apportioned. For more
information about Fixed Guideway Modernization contact Kimberly Sledge,
Office of Transit Programs, at (202) 366-2053.
1. FY 2011 Funding Availability
CR 2011 provides $706,290,063 to the Fixed Guideway Modernization
Program. The total amount apportioned for the Fixed Guideway
Modernization Program is $699,227,162, after the deduction for
oversight, as shown in the table below.
Fixed Guideway Modernization Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $706,290,063
Oversight Deduction..................................... -7,062,901
---------------
Total Apportioned................................... 699,227,162
------------------------------------------------------------------------
The FY 2011 Fixed Guideway Modernization Program apportionments to
eligible areas are displayed in Table 8.
2. Basis for Formula Apportionment
The formula for allocating the Fixed Guideway Modernization funds
includes seven tiers. The apportionment of funding under the first four
tiers is based on amounts specified in law and NTD data used to
apportion funds in FY 1997. Funding under the last three tiers is
apportioned based on the latest available data on route miles and
revenue vehicle miles on segments at least seven years old, as reported
to the NTD. Section 5337(f) of title 49, U.S.C. provides for the
inclusion of Morgantown, West Virginia (population 55,997) as an
eligible UZA for purposes of apportioning Fixed Guideway Modernization
funds. Also, consistent to 49 U.S.C. 5336(b), FTA uses 60 percent of
the directional route miles attributable to the Alaska Railroad
passenger operations system to calculate the apportionment for the
Anchorage, Alaska UZA under the Section 5309 Fixed Guideway
Modernization formula.
FY 2011 Formula apportionments are based on data grantees provided
to the NTD for the 2009 report year. Table 9 provides additional
information and details on the formula. Dollar unit values for the
formula factors used in the Fixed Guideway Modernization Program are
displayed in Table 5. To replicate an area's apportionment, multiply
the dollar unit value by the appropriate formula factor, i.e., route
miles and revenue vehicle miles.
3. Program Requirements
Fixed Guideway Modernization funds must be used for capital
projects to maintain, modernize, or improve fixed guideway systems.
Eligible UZAs (those with a population of 200,000 or more) with fixed
guideway systems that are at least seven years old are entitled to
receive Fixed Guideway Modernization funds. A threshold level of more
than one mile of fixed guideway is required in order to receive Fixed
Guideway Modernization funds. Therefore, UZAs reporting one mile or
less of fixed guideway mileage to the NTD are not included. However,
funds apportioned to an urbanized area may be used on any fixed
guideway segment in the UZA. Program guidance for Fixed Guideway
Modernization is presently found in FTA Circular C9300.1B, Capital
Facilities and Formula Grant Programs, dated November 1, 2008.
4. Period of Availability
The funds apportioned in this notice under the Fixed Guideway
Modernization Program remain available to recipients to be obligated in
a grant during the year of appropriation plus three additional years.
FY 2011 Fixed Guideway Modernization funds that remain unobligated at
the close of business on September 30, 2014, will revert to FTA for
reapportionment under the Fixed Guideway Modernization Program.
E. Special Needs of Elderly Individuals and Individuals With
Disabilities Program (49 U.S.C. 5310)
This program provides formula funding to States for capital
projects to assist private nonprofit groups in meeting the
transportation needs of the
[[Page 6965]]
elderly and individuals with disabilities when the public
transportation service provided in the area is unavailable,
insufficient, or inappropriate to meet these needs. A State agency
designated by the Governor administers the Section 5310 program. The
State's responsibilities include: notifying eligible local entities of
funding availability; developing project selection criteria;
determining applicant eligibility; selecting projects for funding; and
ensuring that all subrecipients comply with Federal requirements.
Eligible nonprofit organizations or public bodies must apply directly
to the designated State agency for assistance under this program. For
more information about the Elderly and Individuals with Disabilities
Program contact Gil Williams, Office of Transit Programs, at (202) 366-
2053.
1. FY 2011 Funding Availability
CR 2011 provides $56,579,492 to the Elderly and Individuals with
Disabilities Program (49 U.S.C. 5310). After deduction of 0.5 percent
for oversight, and the addition of reapportioned prior year funds,
$56,296,595 remains available for allocation to the States.
Elderly and Individuals With Disabilities Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation................................... $56,579,492
Oversight Deduction................................... -282,897
-----------------
Total Apportioned................................. 56,296,595
------------------------------------------------------------------------
The FY 2011 Elderly and Individuals with Disabilities Program
apportionments to the States are displayed in Table 12.
2. Basis for Apportionment
FTA allocates funds to States by an administrative formula
consisting of a $125,000 floor for each State ($50,000 for smaller
territories) with the balance allocated based on 2000 Census population
data for persons aged 65 and over and for persons with disabilities.
3. Requirements
Funds are available to support the capital costs of transportation
services for older adults and people with disabilities. Uniquely under
this program, eligible capital costs include the acquisition of
service. Seven specified States (Alaska, Louisiana, Minnesota, North
Carolina, Oregon, South Carolina, and Wisconsin) may use up to 33
percent of their apportionment for operating assistance under the terms
of the SAFETEA-LU Section 3012(b) pilot program.
Capital assistance is provided on an 80 percent Federal, 20 percent
local matching basis except that Section 5310(c) allows States eligible
for a higher match under the sliding scale for FHWA programs to use
that match ratio for Section 5310 capital projects. Operating
assistance is 50 percent Federal, 50 percent local. Funds provided
under other Federal programs (other than those of the U.S. DOT, with
the exception of the Federal Lands Highway Program established by 23
U.S.C. 204) may be used as match. Revenue from service contracts may
also be used as local match.
While the assistance is intended primarily for private non-profit
organizations, public bodies approved by the State to coordinate
services for the elderly and individuals with disabilities, or any
public body that certifies to the State that there are no non-profit
organizations in the area that are readily available to carry out the
service, may receive these funds.
States may use up to ten percent of their annual apportionment to
administer, plan, and provide technical assistance for a funded
project. No local share is required for these program administrative
funds. Funds used under this program for planning must be shown in the
United Planning Work Program (UPWP) for MPO(s) with responsibility for
that area.
The State recipient must certify that: the projects selected were
derived from a locally developed, coordinated public transit-human
services transportation plan; and, the plan was developed through a
process that included representatives of public, private, and nonprofit
transportation and human services providers and participation by the
public. The locally developed, coordinated public transit-human
services transportation planning process must be coordinated and
consistent with the metropolitan and statewide planning processes and
funding for the program must be included in the metropolitan and
statewide Transportation Improvement Program (TIP and STIP) at a level
of specificity or aggregation consistent with State and local policies
and procedures. Finally, the State must certify that allocations to
subrecipients are made on a fair and equitable basis.
The coordinated planning requirement is a requirement in two
additional programs. Projects selected for funding under the Job Access
Reverse Commute program and the New Freedom program also are required
to be derived from a locally developed coordinated public transit/human
service transportation plan. FTA anticipates that most areas will
develop one consolidated plan for all the programs, which may include
separate elements and other human service transportation programs.
The Section 5310 program is subject to the requirements of Section
5307 formula program to the extent the Secretary determines
appropriate. Program guidance is found in FTA Circular 9070.1F, dated
May 1, 2007. The circular is posted on the FTA Web site at http://www.fta.dot.gov.
4. Period of Availability
FTA has administratively established a three-year period of
availability for Section 5310 funds. Funds allocated to States under
the Elderly and Individuals with Disabilities Program in this notice
must be obligated by September 30, 2013. Any funding that remains
unobligated as of that date will revert to FTA for reapportionment
among the States under the Elderly and Individuals with Disabilities
Program.
5. Other Program or Apportionment Related Information and Highlights
States may transfer Section 5310 funds to Section 5307 or Section
5311, but only for projects selected under the Section 5310 program,
not as a general supplement for those programs. FTA anticipates that
the States would use this flexibility primarily for projects to be
implemented by a Section 5307 recipient in a small urbanized area, or
for Federally recognized Indian Tribes that elect to receive funds as a
direct recipient from FTA under Section 5311. A State that transfers
Section 5310 funds to Section 5307 must certify that each project for
which the funds are transferred has been coordinated with private
nonprofit providers of services. FTA has established a scope code (641)
in the TEAM grant system to track Section 5310 projects included within
a Section 5307 or 5311 grant. Transfer to Section 5307 or 5311 is
permitted, but not required. FTA expects primarily to award stand-alone
Section 5310 grants to the State for any and all subrecipients.
6. Performance Measure
To support the evaluation of the program, FTA has established
performance measures for the Section 5310 program, which should be
submitted with the State's annual program of projects status report on
October 31, 2011. States should submit performance measures on behalf
of their subrecipients. Information on the Section 5310 performance
measures can be found at http://www.fta.dot.gov/laws/circulars/leg_reg_6622.html.
[[Page 6966]]
F. Nonurbanized Area Formula Program (49 U.S.C. 5311)
This program provides formula funding to States and Indian Tribes
for the purpose of supporting public transportation in areas with a
population of less than 50,000. Funding may be used for capital,
operating, State administration, and project administration expenses.
Eligible subrecipients include State and local governmental authority,
Indian Tribes, private non-profit organizations, and private operators
of public transportation services, including intercity bus companies.
Indian Tribes are also eligible direct recipients under Section 5311,
both for funds apportioned to the States and for projects selected to
be funded with funds set aside for a separate Tribal Transit Program.
For more information about the Nonurbanized Area Formula Program
contact Lorna Wilson, Office of Transit Programs, at (202) 366-2053.
1. FY 2011 Funding Availability
CR 2011 provides $197,074,635 to the Nonurbanized Area Formula
Program (49 U.S.C. 5311). The total amount apportioned for the
Nonurbanized Area Formula Program is $216,863,673 after take-downs of
two percent for the Rural Transportation Assistance Program (RTAP), 0.5
percent for oversight, and $6,357,246 for the Tribal Transit Program,
and the addition of Section 5340 funding for Growing States, as shown
in the table below:
Nonurbanized Area Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total appropriation..................................... $197,074,635
------------------------------------------------------------------------
Oversight deduction..................................... -985,373
Tribal takedown......................................... -6,357,246
RTAP takedown........................................... -3,941,493
Section 5340 funds added................................ 31,073,150
---------------
Total apportioned................................... 216,863,673
------------------------------------------------------------------------
The FY 2011 Nonurbanized Area Formula apportionments to the States
are displayed in Table 13.
2. Basis for Apportionments
FTA apportions the funds after take-down for oversight, the Tribal
Transit Program, and RTAP according to a statutory formula. FTA
apportions the first twenty percent to the States based on land area in
nonurbanized areas with no state receiving more than 5 percent of the
amount apportioned. FTA apportions the remaining eighty percent based
on nonurbanized population of each State relative to the national
nonurbanized population. FTA does not apportion Section 5311 funds to
the Virgin Islands, which by a statutory exception are treated as an
urbanized area for purposes of the Section 5307 formula program.
FTA is allocating $31,073,150 to the States and territories for
nonurbanized areas from the Growing States portion of Section 5340. FTA
apportions Growing States funds by a formula based on State population
forecasts for 15 years beyond the most recent census. FTA distributes
the amounts apportioned for each State between UZAs and nonurbanized
areas based on the ratio of urbanized/nonurbanized population within
each State in the 2000 census.
3. Program Requirements
The Nonurbanized Area Formula Program provides capital, operating
and administrative assistance for public transit service in
nonurbanized areas under 50,000 in population.
The Federal share for capital assistance is 80 percent and for
operating assistance is 50 percent, except that States eligible for the
sliding scale match under FHWA programs may use that match ratio for
Section 5311 capital projects and 62.5 percent of the sliding scale
capital match ratio for operating projects.
Each State must spend no less than 15 percent of its FY 2011
Nonurbanized Area Formula apportionment for the development and support
of intercity bus transportation, unless the State certifies, after
consultation with affected intercity bus service providers, that the
intercity bus service needs of the State are being adequately met. FTA
also encourages consultation with other stakeholders, such as
communities affected by loss of intercity service.
Each State prepares an annual program of projects, which must
provide for fair and equitable distribution of funds within the States,
including Indian reservations, and must provide for maximum feasible
coordination with transportation services assisted by other Federal
sources.
To retain eligibility for funding, recipients of Section 5311
funding must report data annually to the NTD. Additional information on
NTD reporting is contained in paragraph 5 of this section, below.
Program guidance for the Nonurbanized Area Formula Program is found
in FTA Circular 9040.1F, ``Nonurbanized Area Formula Program Guidance
and Grant Application Instructions,'' dated April 1, 2007. The circular
is posted at http://www.fta.dot.gov.
4. Period of Availability
It was administratively determined that funds apportioned to
nonurbanized areas under the Nonurbanized Area Formula Program during
FY 2011 will remain available for obligation for two additional fiscal
years after the year of apportionment. Any funds that remain
unobligated at the close of business on September 30, 2013, will revert
to FTA for reapportionment among the States under the Nonurbanized Area
Formula Program.
5. Other Program or Apportionment Related Information and Highlights
a. NTD Reporting. By law, FTA requires that each recipient under
the Section 5311 program submit an annual report to the NTD containing
information on capital investments, operations, and service provided
with funds received under the Section 5311 program. Section 5311(b)(4),
as amended by SAFETEA-LU, specifies that the report shall include
information on total annual revenue, sources of revenue, total annual
operating costs, total annual capital costs, fleet size and type, and
related facilities, revenue vehicle miles, and ridership. State or
Territorial DOT 5311 grant recipients must complete a one-page form of
basic data for each 5311 subrecipient, unless the subrecipient is
already providing a full report to the NTD as a Tribal Transit direct
recipient or as an urbanized area reporter (without receiving a Nine or
Fewer Vehicles Waiver). For the 2010 Report Year, State or Territorial
DOTs must report on behalf of any subrecipient receiving Section 5311
grants in 2010, or that continued to benefit in 2010 from capital
assets purchased using Section 5311 grants. Tribal Transit direct
recipients must report if they received an obligation or an outlay for
a Section 5311 grant in 2010, or if they continued to benefit in 2010
from capital assets using Section 5311 Grants, unless the Tribe is
already filing a full NTD Report as an urbanized area reporter or
unless the Tribe only received $50,000 or less in planning grants. The
NTD Rural Reporting Manual contains detailed reporting instructions and
is posted on the NTD Web site, http://www.ntdprogram.gov.
b. Extension of Intercity Bus Pilot of In-Kind Match. Beginning in
FY 2007, FTA implemented a two year pilot program of in-kind match for
intercity bus service. The initial program was set to expire after FY
2008; however, FTA decided to extend the program through FY 2010.
Through this notice FTA extends the In-Kind Match program through FY
2011. FTA published
[[Page 6967]]
guidance on the in-kind match pilot in the Federal Register on February
28, 2007, as Appendix 1 of the Notice announcing the final revised
circular 9040.1F, which is available at http://www.fta.dot.gov.
G. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))
This program provides funding to assist in the design and
implementation of training and technical assistance projects, research,
and other support services tailored to meet the needs of transit
operators in nonurbanized areas. For more information about Rural
Transportation Assistance Program (RTAP) contact Lorna Wilson, Office
of Transit Programs, at (202) 366-2053.
1. FY 2011 Funding Availability
CR 2011 provides $3,941,493 to RTAP (49 U.S.C. 5311(b)(2)), as a
two percent takedown from the funds appropriated for Section 5311. FTA
has reserved 15 percent for the National RTAP program. A total of
$3,350,269 is available for allocation to the States, as shown in the
table below.
Rural Transit Assistance Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $3,941,493
National RTAP Takedown.................................. -591,224
---------------
Total Apportioned................................... 3,350,269
------------------------------------------------------------------------
Table 13 shows the FY 2011 RTAP allocations to the States.
2. Basis for Allocation
FTA allocates funds to the States by an administrative formula.
First FTA allocates $65,000 to each State ($10,000 to territories), and
then allocates the balance based on nonurbanized population in the 2000
census.
3. Program Requirements
States may use the funds to undertake research, training, technical
assistance, and other support services to meet the needs of transit
operators in nonurbanized areas. These funds are to be used in
conjunction with a State's administration of the Nonurbanized Area
Formula Program, but also may support the rural components of the
Section 5310, JARC, and New Freedom programs.
4. Period of Availability
FTA administratively established that funds apportioned to States
under RTAP remain available for obligation two fiscal years following
FY 2011. Any funds that remain unobligated at the close of business on
September 30, 2013, will revert to FTA for allocation among the States
under the RTAP.
5. Other Program or Apportionment Related Information and Highlights
The National RTAP project is administered by cooperative agreement
and re-competed at five-year intervals. In FY 2008, FTA awarded the
cooperative agreement to the Neponset Valley Transportation Management
Association (NVTMA) located in Waltham, Massachusetts through a
competitive process. The National RTAP projects are guided by a project
review board that consists of managers of rural transit systems and
State DOT RTAP programs. National RTAP resources also support the
biennial TRB National Conference on Rural Public and Intercity Bus
Transportation and other research and technical assistance projects of
a national scope.
H. Job Access and Reverse Commute Program (49 U.S.C. 5316)
The Job Access and Reverse Commute (JARC) program provides formula
funding to States and Designated Recipients to support the development
and maintenance of job access projects designed to transport welfare
recipients and low-income individuals to and from jobs and activities
related to their employment, and for reverse commute projects designed
to transport residents of UZAs and other than urbanized areas to
suburban employment opportunities. For more information about the JARC
program contact Gil Williams, Office of Transit Programs, at (202) 366-
2053.
1. Funding Availability in FY 2011
CR 2011 provides $69,717,801 for the JARC Program. The total amount
apportioned by formula is shown in the table below.
Job Access and Reverse Commute Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total apportioned....................................... $69,717,801
------------------------------------------------------------------------
Table 15 shows the FY 2011 JARC apportionments.
2. Basis for Formula Apportionment
By law, FTA allocates 60 percent of funds available to UZAs with
populations of 200,000 or more persons (large UZAs); 20 percent to the
States for urbanized areas with populations ranging from 50,000 to
199,999 persons (small UZAs), and 20 percent to the States for rural
and small urban areas with populations of less than 50,000 persons. FTA
apportions funds based upon the number of low income individuals
residing in a State or large urbanized area, using data from the 2000
Census for individuals with incomes below 150 percent of the poverty
level. FTA publishes apportionments to each State for small UZAs and
for rural and small urban areas and a single apportionment for each
large UZA.
The Designated Recipient, either for the State or for a large UZA,
is responsible for further allocating the funds to specific projects
and subrecipients through a competitive selection process. If the
Governor has designated more than one recipient of JARC funds in a
large UZA, the Designated Recipients may agree to conduct a single
competitive selection process or sub-allocate funds to each Designated
Recipient, based upon a percentage split agreed upon locally, and
conduct separate competitions.
States may transfer funds between the small UZA and the
nonurbanized apportionments, if all of the objectives of JARC are met
in the size area the funds are taken from. States may also use funds
apportioned to the small UZA and nonurbanized area apportionments for
projects anywhere in the State (including large UZAs) if the State has
established a statewide program for meeting the objectives of JARC. A
State that is planning to transfer funds under either of these
provisions should submit a request to the FTA regional office. FTA will
assign new accounting codes to the funds before obligating them in a
grant.
3. Requirements
States and Designated Recipients must solicit grant applications
and select projects competitively, based on application procedures and
requirements established by the Designated Recipient, consistent with
the Federal JARC program objectives. In the case of large UZAs, the
area-wide solicitation shall be conducted in cooperation with the
appropriate MPO(s).
Funds are available to support the planning, capital, and operating
costs of transportation services that are eligible for funding under
the program. Assistance may be provided for a variety of transportation
services and strategies directed at assisting welfare recipients and
eligible low-income individuals to address unmet transportation needs,
and to provide reverse commute services. The transportation services
may be provided by public, non-profit, or private-for-profit operators.
The Federal share is 80 percent of capital and planning expenses and 50
percent of operating expenses. Funds provided under other Federal
programs (other
[[Page 6968]]
than those of the DOT, with the exception of the Federal Lands Highway
Program established by 23 U.S.C. 204) may be used for local/State match
for funds provided under Section 5316, and revenue from service
contracts may be used as local match.
States and Designated Recipients may use up to ten percent of their
annual apportionment for administration, planning, and to provide
technical assistance. No local share is required for these program
administrative funds. Funds used under this program for planning in
urbanized areas must be shown in the UPWP for MPO(s) with
responsibility for that area.
The Designated Recipient must certify that: the projects selected
were derived from a locally developed, coordinated public transit-human
services transportation plan; and, the plan was developed through a
process that included representatives of public, private, and nonprofit
transportation and human services providers and participation by the
public, including those representing the needs of welfare recipients
and eligible low-income individuals. The locally developed, coordinated
public transit-human services transportation planning process must be
coordinated and consistent with the metropolitan and statewide planning
processes and funding for the program must be included in the
metropolitan and statewide Transportation Improvement Program (TIP and
STIP) at a level of specificity or aggregation consistent with State
and local policies and procedures. Finally, the State must certify that
allocations of the grant to subrecipients are made on a fair and
equitable basis.
The coordinated planning requirement is also a requirement in two
additional programs. Projects selected for funding under the Elderly
and Individuals with Disabilities Program (Section 5310) and the New
Freedom program (Section 5317) also are required to be derived from a
locally developed coordinated public transit-human service
transportation plan. FTA anticipates that most areas will develop one
consolidated plan for all the programs, which may include separate
elements and other human service transportation programs. The goal of
the coordinated planning process is not to be an exhaustive document,
but to serve as a tool for planning and implementing beneficial
projects. The level of effort required to develop the plan will vary
among communities based on factors such as the availability of
resources. FTA does not approve coordinated plans.
The JARC program is subject to the relevant requirements of Section
5307, including the requirement for certification of labor protections.
JARC program requirements are published in FTA Circular 9050.1, dated
April 1, 2007. The circular and other guidance including frequently
asked questions are posted on the FTA Web site at http://www.fta.dot.gov.
4. Period of Availability
FTA has established a consistent three-year period of availability
for JARC, New Freedom, and the Section 5310 program, which includes the
year of apportionment plus two additional years. FY 2011 funding is
available for obligation through FY 2013. Any funding that remains
unobligated on September 30, 2013 will revert to FTA for
reapportionment among the States and large UZAs under the JARC program.
5. Other Program or Apportionment Related Information and Highlights
a. Carryover Earmarks. In the FTA 2010 Apportionments, Allocations
and Program Information notice, which was published on February 16,
2010, FTA notified recipients of 2002-2005 earmarks that any remaining
JARC discretionary funds should be obligated in a grant before
September 30, 2010. At this time, JARC discretionary funds are no
longer available for obligation.
b. Designated Recipient. FTA must have received formal notification
from the Governor or Governor's designee of the Designated Recipient
for JARC funds apportioned to a State or large UZA before awarding a
grant to that area for JARC projects.
c. Transfers to Section 5307 or Section 5311. States may transfer
JARC funds to Section 5307 or Section 5311, but only for projects
competitively selected under the JARC program, not as a general
supplement for those programs. FTA anticipates that the States would
use this flexibility primarily for projects to be implemented by a
Section 5307 recipient in a small urbanized area or for Federally
recognized Indian Tribes that elect to receive funds as a direct
recipient from FTA under Section 5311. FTA has established a scope code
(646) to track JARC projects included within a Section 5307 or 5311
grant. All activities within a Section 5307 or Section 5311 grant
application that are funded with JARC resources should be listed under
the 646-00 scope code. Transfer to Section 5307 or 5311 is permitted
but not required. FTA also will award stand-alone JARC grants to the
State for any and all subrecipients. To track disbursements accurately
against the appropriate program, FTA will not combine JARC funds with
Section 5307 funds in a single Section 5307 grant, nor will FTA combine
JARC with New Freedom funds in a single Section 5307 grant.
I. New Freedom Program (49 U.S.C. 5317)
SAFETEA-LU established the New Freedom Program under 49 U.S.C.
5317. The program purpose is to provide new public transportation
services and public transportation alternatives beyond those currently
required by the Americans with Disabilities Act of 1990 (42 U.S.C.
12101 et seq.) that assist individuals with disabilities with
transportation, including transportation to and from jobs and
employment support services. For more information about the New Freedom
program contact Gil Williams, Office of Transit Programs, at (202) 366-
2053.
1. Funding Availability in FY 2011
CR 2011 provides $39,203,019 for the New Freedom Program. The
entire amount is apportioned by formula, as shown in the table below:
New Freedom Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Apportioned....................................... $39,203,019
------------------------------------------------------------------------
Table 16 shows the FY 2011 New Freedom apportionments.
2. Basis for Formula Apportionment
By law, FTA allocates 60 percent of funds available to UZAs with
populations of 200,000 or more persons (large UZAs); 20 percent to the
States for urbanized areas with populations ranging from 50,000 to
199,999 persons (small UZAs), and 20 percent to the States for rural
and small urban areas with populations of less than 50,000 persons. FTA
apportions funds based upon the number of persons with disabilities
over the age of five residing in a State or large urbanized area, using
data from the 2000 Census. FTA publishes apportionments to each State
for small UZAs and for rural and small urban areas and a single
apportionment for each large UZA.
The Designated Recipient, either for the State or for a large UZA,
is responsible for further allocating the funds to specific projects
and subrecipients through a competitive selection process. If the
Governor has designated more than one recipient of New Freedom funds in
a large UZA, the Designated Recipients may agree to conduct a single
competitive selection process or sub-allocate funds to each Designated
Recipient, based upon a
[[Page 6969]]
percentage split agreed on locally and conduct separate competitions.
3. Requirements
States and Designated Recipients must solicit grant applications
and select projects competitively, based on application procedures and
requirements established by the Designated Recipient, consistent with
the Federal New Freedom program objectives. In the case of large UZAs,
the area-wide solicitation shall be conducted in cooperation with the
appropriate MPO(s).
Funds are available to support the capital and operating costs of
new public transportation services and public transportation
alternatives that are beyond those required by the Americans with
Disabilities Act (ADA). Funds provided under other Federal programs
(other than those of the DOT, with the exception of the Federal Lands
Highway Program established by 23 U.S.C. 204) may be used as match for
capital funds provided under Section 5317, and revenue from contract
services may be used as local match.
Funding is available for transportation services provided by
public, non-profit, or private-for-profit operators. Assistance may be
provided for a variety of transportation services and strategies
directed at assisting persons with disabilities to address unmet
transportation needs. Eligible public transportation services and
public transportation alternatives funded under the New Freedom program
must be both new and beyond the ADA. In a notice of policy change
published on April 29, 2009, (Federal Register Volume 74 Number 81,
April 29, 2009) FTA expanded the type of projects it considers to be
``beyond the ADA'' and thus increase the types of projects eligible for
funding under the New Freedom program. Under interpretation published
in the Federal Register, new and expanded fixed route and demand
responsive transit service planned for and designed to meet the needs
of individuals with disabilities are eligible projects.
The Federal share is 80 percent of capital expenses and 50 percent
of operating expenses. Funds provided under other Federal programs
(other than those of the DOT) may be used for local/state match for
funds provided under Section 5317, and revenue from service contracts
may be used as local match.
States and Designated Recipients may use up to ten percent of their
annual apportionment to administer, plan, and provide technical
assistance for a funded project. No local share is required for these
program administrative funds. Funds used under this program for
planning must be shown in the UPWP for MPO(s) with responsibility for
that area.
The Designated Recipient must certify that: the projects selected
were derived from a locally developed, coordinated public transit-human
services transportation plan; and, the plan was developed through a
process that included representatives of public, private, and nonprofit
transportation and human services providers and participation by the
public, including those representing the needs of welfare recipients
and eligible low-income individuals. The locally developed, coordinated
public transit-human services transportation planning process must be
coordinated and consistent with the metropolitan and statewide planning
processes and funding for the program must included in the metropolitan
and statewide Transportation Improvement Program (TIP and STIP) at a
level of specificity or aggregation consistent with State and local
policies and procedures. Finally, the State must certify that
allocations of the grant to subrecipients are made on a fair and
equitable basis.
The coordinated planning requirement is also a requirement in two
additional programs. Projects selected for funding under the Section
5310 program and the JARC program are also required to be derived from
a locally developed coordinated public transit-human service
transportation plan. FTA anticipates that most areas will develop one
consolidated plan for all the programs, which may include separate
elements and other human service transportation programs.
The New Freedom program is subject to the relevant requirements of
Section 5307, but certification of labor protections is not required.
New Freedom Program requirements are published in FTA Circular 9045.1,
which was effective May 1, 2007. The circular and other guidance
including frequently asked questions are posted on the FTA Web site at
http://www.fta.dot.gov.
4. Period of Availability
FTA has established a consistent three-year period of availability
for New Freedom, JARC, and the Section 5310 program funds, which
includes the year of apportionment plus two additional years. FY 2011
funding is available for obligation through FY 2013. Any funding that
remains unobligated on September 30, 2013 will revert to FTA for
reapportionment among the States and large UZAs to be used for New
Freedom program purposes.
5. Other Program or Apportionment Related Information and Highlights
a. Designated Recipient. FTA must have received formal notification
from the Governor or Governor's designee of the Designated Recipient
for New Freedom funds apportioned to a State or large UZA before
awarding a grant to that area for New Freedom projects.
b. Transfers to Section 5307 or 5311. States may transfer New
Freedom funds to Section 5307 or Section 5311, but only for projects
competitively selected under the New Freedom program, not as a general
supplement for those programs. FTA anticipates that the States would
use this flexibility for projects to be implemented by a Section 5307
recipient in a small urbanized area or for Federally recognized Indian
Tribes that elect to receive funds as a direct recipient from FTA under
Section 5311. FTA has established a scope code (647) to track New
Freedom projects included within a Section 5307 or 5311 grant. All
activities within a Section 5307 or Section 5311 grant application that
are funded with New Freedom resources should be listed under the 647-00
scope code. Transfer to Section 5307 or 5311 is permitted but not
required. FTA also will award stand-alone New Freedom Program grants to
the State for any and all subrecipients. In order to track
disbursements accurately against the appropriate program, FTA will not
combine New Freedom funds with Section 5307 funds in a single Section
5307 grant, nor will FTA combine New Freedom with JARC funds in a
single Section 5307 grant.
J. Growing States and High Density States Formula Factors (49 U.S.C.
5340)
CR 2011 makes $197,074,635 available for apportionment in
accordance with the formula factors prescribed for Growing States and
High Density States set forth in 49 U.S.C. 5340. Fifty percent of this
amount is apportioned to eligible States and urbanized areas using the
Growing State formula factors. The other 50 percent is apportioned to
eligible States and urbanized areas using the High Density States
formula factors.
The term ``State'' is defined only to mean the 50 States. For the
Growing State portion of the program, funds are allocated based on the
population forecasts for fifteen years after the date of that census.
Forecasts are based on the trend between the most recent decennial
census and Census Bureau population estimates for the most current
year. Census population
[[Page 6970]]
estimates as of July 1, 2009 were used in the FY 2011 apportionments.
Funds allocated to the States are then sub-allocated to urbanized and
non-urbanized areas based on forecast population, where available. If
forecasted population data at the urbanized level is not available, as
is currently the case, funds are allocated to current urbanized and
non-urbanized areas on the basis of current population in the 2000
Census. Funds allocated to urbanized areas are included in their
Section 5307 apportionment. Funds allocated for non-urbanized areas are
included in the states' Section 5311 apportionments.
IV. FTA Policy and Procedures for FY 2011 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
1. Caution to New Grantees and Grantees Using Innovative Financing
While we provide pre-award authority to incur expenses before grant
award for many projects, we recommend that first-time grant recipients
NOT utilize this automatic pre-award authority and wait until the grant
is actually awarded by FTA before incurring costs. As a new grantee, it
is easy to misunderstand pre-award authority conditions and be unaware
of all of the applicable FTA requirements that must be met in order to
be reimbursed for project expenditures incurred in advance of grant
award. FTA programs have specific statutory requirements that are often
different from those for other Federal grant programs with which new
grantees may be familiar. If funds are expended for an ineligible
project or activity, FTA will be unable to reimburse the project
sponsor and, in certain cases, the entire project may be rendered
ineligible for FTA assistance.
Grantees proposing to use innovative financing techniques or
capital leasing are required to consult with the applicable FTA
Regional Office (see Appendix A) before entering into the financial
agreement--especially where the grantee expects to use Federal funds
for debt service or capital lease payments. Consulting with FTA before
entering into the agreement allows FTA to advise the project sponsor of
any applicable Federal regulations, such as the Capital Leasing
Regulation, and will minimize the risk of the costs being ineligible
for reimbursement at a later date.
2. Policy
FTA provides pre-award authority to incur expenses before grant
award for certain program areas described below. This 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. This pre-award spending authority permits a grantee to
incur costs on an eligible transit capital, operating, planning, or
administrative project without prejudice to possible future Federal
participation in the cost of the project. In the Federal Register
Notice of November 30, 2006, FTA extended pre-award authority for
capital assistance under all formula programs through FY 2009, the
duration of SAFETEA-LU. In this notice, FTA extends pre-award authority
through FY 2012 for capital assistance under all formula programs. FTA
provides pre-award authority for planning and operating assistance
under the formula programs without regard to the period of the
authorization. In addition, we extend pre-award authority for certain
discretionary programs based on the annual Appropriations Act each
year. All pre-award authority is subject to conditions and triggers
stated below:
a. FTA does not impose additional conditions on pre-award authority
for operating, planning, or administrative assistance under the formula
grant programs. Grantees may be reimbursed for expenses incurred 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, a
planning project must have been included in a Unified Planning Work
Program (UPWP); a New Freedom operating assistance project or a JARC
planning or operating project must have been derived from a coordinated
public transit-human services transportation plan (coordinated plan)
and competitively selected by the Designated Recipient before incurring
expenses; expenditure on State Administration expenses under State
Administered programs must be consistent with the State Management
Plan. Designated Recipients for JARC and New Freedom have pre-award
authority for the ten percent of the apportionment they may use for
program administration, if the use is consistent with their Program
Management Plan.
b. Pre-Award authority for Alternatives Analysis planning projects
under 49 U.S.C. 5339 is triggered by the publication of the allocation
in FTA's Federal Register Notice of Apportionments and Allocations
following the annual Appropriations Act, or announcement of additional
discretionary allocations. The projects must be included in the UPWP of
the MPO for that metropolitan area.
c. Pre-award authority for design and environmental work on a
capital project is triggered by the authorization of formula funds, or
the appropriation or allocation of funds for a discretionary project.
d. Following authorization of formula funds or appropriation and
publication of discretionary projects, pre-award authority for capital
project implementation activities, such as property acquisition,
demolition, construction, and acquisition of vehicles, equipment, or
construction materials, may be exercised only after FTA concurs that
all applicable environmental requirements have been satisfied,
including those for actions classified as normally requiring
preparation of environmental impact statements, environmental
assessments, and categorical exclusions found in 23 CFR 771.117(d).
Other conditions and requirements set forth in paragraph 3, below, must
also be satisfied. Before exercising pre-award authority, grantees must
comply with the conditions and Federal requirements outlined in
paragraph 3 below. Failure to do so will render an otherwise eligible
project ineligible for FTA financial assistance. Capital projects under
the Section 5310, JARC, and New Freedom programs must comply with
specific program requirements, including coordinated planning and
competitive selection. In addition, before incurring costs, grantees
are strongly encouraged to consult with the appropriate FTA regional
office regarding the eligibility of the project for future FTA funds
and the applicability of the conditions and Federal requirements.
e. As a general rule, pre-award authority applies to the Section
5309 Capital Investment Bus and Bus-Related Facilities, the Clean Fuels
Bus program, high priority project designations, and any other transit
discretionary projects only AFTER funds have been appropriated or
allocated to the project. For Section 5309 Capital Investment Bus and
Bus-Related Facilities, Clean Fuels Program, or other transit capital
discretionary projects such as those designated in an annual
Appropriations Act, the date that costs may be incurred is: (1) For
design and environmental review, the appropriations bill which funds
the project was enacted or the announcement of the discretionary
allocation of funds for the project; and (2) for property acquisition,
demolition,
[[Page 6971]]
construction, and acquisition of vehicles, equipment, or construction
materials, the date that FTA approves the document (ROD, FONSI, or CE
determination) that completes the environmental review process required
by the National Environmental Policy Act (NEPA) and its implementing
regulations. FTA introduced this new trigger for pre-award authority in
FY 2006 in recognition of the growing prevalence of new grantees
unfamiliar with Federal and FTA requirements to ensure FTA's continued
ability to comply with NEPA and related environmental laws. Because FTA
does not sign a final NEPA document until MPO and statewide planning
requirements (including air quality conformity requirements, if
applicable) have been satisfied, this new trigger for pre-award will
ensure compliance with both planning and environmental requirements
before irreversible action by the grantee.
f. In previous notices, FTA extended pre-award authority to Section
330 projects referenced in the DOT Appropriation Act, 2002, and the
Consolidated Appropriations Resolution, 2003 and to those surface
transportation projects commonly referred to as Section 115 projects
administered by FTA, for which amounts were provided in the
Consolidated Appropriations Act, 2004, Section 117 projects in the 2005
Appropriations Act, and Section 112 of the 2006 Appropriations Act that
are to be administered by FTA. FTA, in the FY 2008 Apportionment
Notice, extended pre-award authority to high priority projects in
SAFETEA-LU, as of the date they were transferred or allotted to FTA for
administration. The same conditions described for bus projects apply to
these projects. We strongly encourage any prospective applicant that
does not have a previous relationship with FTA to review Federal grant
requirements with the FTA regional office before incurring costs.
g. Blanket pre-award authority does not apply to Section 5309
Capital Investment New and Small Starts funds. Specific instances of
pre-award authority for Capital Investment New and Small Starts
projects are described in paragraph 4 below. Pre-award authority does
not apply to Capital Investment Bus and Bus-Related Facilities or Clean
Fuels projects authorized for funding beyond this fiscal year. Before
an applicant may incur costs for Capital Investment New and Small
Starts projects, Bus and Bus-Related Facilities projects, or any other
projects not yet published in a notice of apportionments and
allocations, it must first obtain a written Letter of No Prejudice
(LONP) from FTA. To obtain an LONP, a grantee must submit a written
request accompanied by adequate information and justification to the
appropriate FTA regional office, as described below.
h. Blanket pre-award authority does not apply to Section 5314
National Research Programs. Before an applicant may incur costs for
National Research Programs, it must first obtain a written Letter of No
Prejudice (LONP) from FTA. To obtain an LONP, a grantee must submit a
written request accompanied by adequate information and justification
to the appropriate FTA headquarters office. Information about LONP
procedures may be obtained from the appropriate headquarters office.
3. Conditions
The conditions under which pre-award authority may be utilized are
specified below:
a. Pre-award authority is not a legal or implied commitment that
the subject project will be approved for FTA assistance or that FTA
will obligate Federal funds to support the project. Furthermore, it is
not a legal or implied commitment that all items undertaken by the
applicant will be eligible for inclusion in the project.
b. All FTA statutory, procedural, and contractual requirements must
be met.
c. No action will be taken by the grantee that prejudices the legal
and administrative findings that the Federal Transit Administrator must
make in order to approve a project.
d. Local funds expended by the grantee pursuant to and after the
date of the pre-award authority will be eligible for credit toward
local match or reimbursement if FTA later makes a grant or grant
amendment for the project. Local funds expended by the grantee 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 or undertaking of project implementation 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 fiscal year funds.
g. When a grant for the project is subsequently awarded, the
Financial Status Report, in TEAM-Web, must indicate the use of pre-
award authority.
h. Environmental, Planning, and Other Federal Requirements. All
Federal grant requirements must be met at the appropriate time for the
project to remain eligible for Federal funding. The growth of the
Federal transit program has resulted in a growing number of
inexperienced grantees who make compliance with Federal planning and
environmental laws increasingly challenging. FTA has therefore modified
its approach to pre-award authority to use the completion of the NEPA
process, which has as a prerequisite the completion of planning and air
quality requirements, as the trigger for pre-award authority for all
activities except design and environmental review.
i. The requirement that a project be included in a locally adopted
metropolitan transportation plan, the metropolitan transportation
improvement program and Federally-approved statewide transportation
improvement program (23 CFR Part 450) must be satisfied before the
grantee may advance the project beyond planning and preliminary design
with non-Federal funds under pre-award authority. If the project is
located within an EPA-designated non-attainment area for air quality,
the conformity requirements of the Clean Air Act, 40 CFR Part 93, must
also be met before the project may be advanced into implementation-
related activities under pre-award authority. Compliance with NEPA and
other environmental laws and executive orders (e.g., protection of
parklands, wetlands, historic properties, and assurance of tribal
consultation) 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/engineering before FTA has determined
the project to be a categorical exclusion, or has issued a Finding of
No Significant Impact (FONSI) or an environmental Record of Decision
(ROD), in accordance with FTA environmental regulations, 23 CFR Part
771. For planning projects, the project must be included in a locally-
approved Unified Planning Work Program (UPWP) that has been coordinated
with the State.
[[Page 6972]]
j. In addition, Federal procurement procedures, as well as the
whole range of applicable Federal requirements (e.g., Buy America,
Davis-Bacon Act, Disadvantaged Business Enterprise) must be followed
for projects in which Federal funding will be sought in the future.
Failure to follow any such requirements could make the project
ineligible for Federal funding. In short, this increased administrative
flexibility requires a grantee to make certain that no Federal
requirements are circumvented through the use of pre-award authority.
If a grantee has questions or concerns regarding the environmental
requirements, or any other Federal requirements that must be met before
incurring costs, it should contact the appropriate regional office.
4. Pre-Award Authority for New and Small Starts Projects
a. Preliminary Engineering (PE), Final Design (FD), and Project
Development (PD). Projects proposed for Section 5309 capital investment
funds (New and Small Starts) are required to follow a federally defined
project development process. For New Starts projects, this process
includes, among other things, FTA approval of the entry of the project
into PE and FD. For Small Starts projects, this process includes, among
other things, approval of the entry of the project into PD. In
accordance with Sections 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 into
PE, FD, or PD. For New Starts projects, upon FTA approval to enter PE,
FTA extends pre-award authority to incur costs for PE activities. Upon
completion of NEPA, FTA extends pre-award authority to incur costs for
utility relocation, as well as real property acquisition and vehicle
purchases, which are further addressed below. Upon FTA approval to
enter FD, FTA extends pre-award authority to incur costs for FD
activities, demolition, and non-construction activities such as
procurement of long-lead time items or items for which market
conditions play a significant role in the acquisition price. This
includes, but is not limited to procurement of rails, ties, and other
specialized equipment, and commodities. Please contact the FTA Regional
Office for a determination of activities not listed here, but which
meet the intent described above. For Small Starts projects, upon FTA
approval to enter PD, FTA extends pre-award authority to incur costs
for the design and engineering activities necessary to complete the
NEPA process. Upon completion of NEPA, FTA extends pre-award authority
to incur costs for utility relocation, as well as real property
acquisition and vehicle purchases, which are further addressed below.
Because Small Starts projects are not subject to approval into FD, they
are not granted pre-award authority for procurement of rails, ties, and
other specialized equipment; the procurement of commodities; and
demolition. 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.
b. Real Property Acquisition Activities and Vehicle Purchases. FTA
extends automatic pre-award authority for the acquisition of real
property, real property rights and acquisition of vehicles for a New or
Small Starts project upon completion of the NEPA process for that
project. The NEPA process is completed when FTA signs an environmental
Record of Decision (ROD) or Finding of No Significant Impact (FONSI),
or makes a Categorical Exclusion (CE) determination. With the
limitations and caveats described below, real estate acquisition and
vehicle purchases 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 regarding property
acquisition that is granted at the completion of NEPA does not cover
site preparation, demolition, or any other activity that is not
strictly necessary to comply with the URA, with one exception. That
exception is when a building that has been acquired, has been emptied
of its occupants, and awaits demolition poses a potential fire-safety
hazard or other hazard to the community in which it is located, or is
susceptible to reoccupation by vagrants. Demolition of the building is
also covered by this pre-award authority upon FTA's written agreement
that the adverse condition exists.
Pre-award authority for property acquisition is also provided when
FTA makes a CE determination for a protective buy or hardship
acquisition in accordance with 23 CFR 771.117(d)(12), and when FTA
makes a CE determination for the acquisition of a pre-existing railroad
right-of-way in accordance with 49 U.S.C. 5324(c). When a tiered
environmental review in accordance with 23 CFR 771.111(g) is being
used, pre-award authority is NOT provided upon completion of the first-
tier environmental document except when the Tier-1 ROD or FONSI signed
by FTA explicitly provides such pre-award authority for a particular
identified acquisition.
Project sponsors should use pre-award authority for real property
acquisition relocation assistance, and vehicle purchases 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 for real property acquisition and
relocation assistance 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.
FTA provides pre-award authority upon the completion of the NEPA
process for vehicles purchases in recognition of the long-lead time and
complexity of this activity as well as its relationship to the
``critical path'' project schedule. FTA cautions grantees that do not
currently operate the type of vehicle proposed in the New or Small
Starts project about exercising this pre-award authority and encourages
these sponsors to wait until later in the project development process
when project plans are more fully developed and Federal support for the
project is more certain. FTA reminds project sponsors that the
procurement of vehicles must comply with all Federal requirements
including, but not limited to, competitive procurement practices, the
Americans with Disabilities Act, and Buy America. FTA encourages
project sponsors to discuss the procurement of vehicles with FTA in
regards to Federal requirements before exercising pre-award authority.
Although FTA provides pre-award authority for property acquisition
and vehicle purchases upon completion of the NEPA process, FTA will not
make a grant to reimburse the sponsor for real estate activities
conducted under pre-
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award authority until the New Starts project has been approved into FD
or the Small Starts project has received its construction grant. FTA
will only reimburse the sponsor for vehicle purchases through an
executed Full Funding Grant Agreement (New Starts) or a Project
Construction Grant Agreement or single year capital grant (Small
Starts). This is to ensure that Federal funds are not risked on a
project whose advancement into construction 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.
FTA's regulation titled ``Environmental Impact and Related
Procedures,'' at 23 CFR Part 771 states that the costs incurred by a
grant applicant for the preparation of environmental documents
requested by FTA are eligible for FTA financial assistance (23 CFR
771.105(e)). Accordingly, FTA extends pre-award authority for costs
incurred to comply with NEPA regulations and to conduct NEPA-related
activities for a proposed New Starts or Small Starts project, effective
as of the date of the Federal approval of the relevant STIP or STIP
amendment that includes the project or any phase of the project. NEPA-
related activities include, but are not limited to, public involvement
activities, historic preservation reviews, section 4(f) evaluations,
wetlands evaluations, endangered species consultations, and biological
assessments. This pre-award authority is strictly limited to costs
incurred to conduct the NEPA process, and to prepare environmental,
historic preservation and related documents. It does not cover PE
activities beyond those necessary for NEPA compliance.
For many FTA programs, costs incurred by a grant applicant
exercising pre-award authority in the preparation of environmental
documents required by FTA are eligible for FTA reimbursement (See also
23 CFR 771.105(e)). When any transit project (including New Starts and
Small Starts) is adopted into the STIP or STIP amendment and pre-award
authority is granted, reimbursement for NEPA activities may be sought
at any time through Section 5339 (Alternatives Analysis program),
Section 5307 (Urbanized Area Formula Program), and some flexible
highway funds. FTA assistance for environmental documents for New
Starts and Small Starts projects is subject to certain restrictions.
Under SAFETEA-LU, Section 5309 capital investment funds (New and Small
Starts) funds cannot be used to reimburse any activity, including a
NEPA-related activity that occurs before the approval of a New Starts
project into PE or a Small Starts project into PD. Only when a project
has PE approval (for New Starts) or PD approval (for Small Starts) may
it seek reimbursement for NEPA work conducted after the approval
through Section 5309 New Starts funds. Prior to PE approval, any NEPA
related work for New Starts or Small Starts can only be reimbursed
through the use of Section 5339 (Alternatives Analysis Program),
Section 5307 (Urbanized Area Formula Program) and some flexible highway
funds. NEPA-related activities include, but are not limited to, public
involvement activities, historic preservation reviews, section 4(f)
evaluations, wetlands evaluations, endangered species consultations,
tribal consultation, and biological assessments. As with any pre-award
authority, FTA reimbursement for costs incurred is not guaranteed.
d. Other New and 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 B below.
B. Letter of No Prejudice (LONP) Policy
1. Policy
LONP authority allows an applicant to incur costs on a project
utilizing non-Federal resources, with the understanding that the costs
incurred subsequent to the issuance of the LONP may be reimbursable as
eligible expenses or eligible for credit toward the local match should
FTA approve the project at a later date. LONPs are applicable to
projects and project activities not covered by automatic pre-award
authority. The majority of LONPs will be for Section 5309 New Starts or
Small Starts projects undertaking activities not covered under
automatic pre-award authority, an FFGA or a PCGA, or for Section 5309
Bus and Bus-Related projects authorized but not yet appropriated by
Congress. LONPs may be issued for formula and discretionary funds
beyond the life of the current authorization or FTA's extension of
automatic pre-award authority; however, the LONP is limited to a five-
year period, unless otherwise authorized.
2. Conditions and Federal Requirements
The conditions for pre-award authority specified in section IV.A.2
above apply to all LONPs. The Environmental, Planning and Other Federal
Requirements described in section IV.A.3 also apply to all LONPs.
Because project implementation activities may not be initiated before
NEPA completion, FTA will not issue an LONP for such activities until
the NEPA process has been completed with a ROD, FONSI, or CE.
3. Request for LONP
Before incurring costs for a project not covered by automatic pre-
award authority, the project sponsor must first submit a written
request for an LONP, accompanied by adequate information and
justification, to the appropriate regional office and obtain written
approval from FTA. FTA approval of an LONP for a New Starts or Small
Starts project is determined on a case-by-case basis. Federal funding
for a New or Small Starts project is not implied or guaranteed by an
LONP. Specifically, when requesting an LONP, the applicant shall
provide sufficient information to allow FTA to consider the following
items:
a. Description of the activities to be covered by the LONP.
b. Justification for advancing the identified activities. The
justification should include an accurate assessment of the consequences
to the project scope, schedule, and budget should the LONP not be
approved.
c. Allocated level of risk and contingency for the activity
requested.
d. Status of procurement progress, including, if appropriate,
submittal of bids for the activities covered by the LONP.
e. Strength of the capital and operating financial plan for the New
or Small Starts project and the future transit system.
f. Adequacy of the Project Management Plan.
g. Resolution of any readiness issues that would affect the
project, such as land acquisition and technical capacity to carry out
the project.
FTA will, following the completion of the requirements under NEPA,
expedite the issuance of LONPs for New and
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Small Starts projects, when appropriate, by no longer performing a
detailed review of the cost and scope of the request in every instance.
Rather, a limited review will be performed in those cases that are of a
more routine nature, especially those involving an experienced sponsor.
C. FTA FY 2011 Annual List of Certifications and Assurances
The full text of the FY 2011 Certifications and Assurances was
published in the Federal Register on November 2, 2010, and is available
on the FTA Web site and in TEAM-Web. The FY 2011 Certifications and
Assurances must be used for all grants made in FY 2011, including
obligation of carryover funds. All grantees with active grants are
required to have signed the FY 2011 Certifications and Assurances
within 90 days after publication. Any questions regarding this document
may be addressed to the appropriate Regional Office or to Nydia Picayo,
in the FTA Office of Program Management, at (202) 366-1662.
D. FHWA Funds Used for Transit Purposes
SAFETEA-LU continues provisions in the Intermodal Surface
Transportation Efficiency Act of 1991 (ISTEA) and TEA-21 that expanded
modal choice in transportation funding by including substantial
flexibility to transfer funds between FTA and FHWA formula program
funding categories. The provisions also allow for transfer of certain
discretionary program funds for administration of highway projects by
FHWA and transit projects by FTA. FTA and FHWA execute Flex Funding
Transfers between the Formula and Bus Grants programs and the Federal
Aid Highway programs. This also includes the transfer of Metropolitan
and Statewide planning set-aside funds between FHWA and FTA to be
combined with metropolitan and statewide planning resources as
Consolidated Planning Grants (CPG). These transfers are based on a
State's requests to transfer funding from the Highway and/or Transit
programs to fund States and local project priorities, and joint
planning needs. This practice can result in transfers to the Federal
Transit Program from the Federal Aid Highway Program or vice versa.
SAFETEA-LU was signed into law on August 10, 2005. With the
enactment of SAFETEA-LU, beginning in FY 2006, with few exceptions,
Federal transit programs were funded solely from general funds or trust
funds. The transit Formula and Bus Grant programs are now funded
entirely from Mass Transit Account of the Highway Trust Fund. The
Formula and Bus Grant Programs can also receive flex funding transfers
from the Federal Aid Highway Program.
As a result of the changes to program funding mechanisms, there is
no longer a requirement to transfer budget authority and liquidating
cash resources simultaneously upon the execution of a flex funding
transfer request by a State. Since the transfers are between trust fund
accounts, the only requirement is to transfer contract authority
(obligation limitation) between the Federal Aid Program trust fund
account and the Formula and Bus Grant Program account. At the point
that the obligation resulting from the transfer of budgetary authority
is expended, a transfer of liquidating cash will be required.
Beginning in FY 2007, the accounting process was changed for
transfers of flex funds and other specific programs to allow contract
authority to be transferred and the liquidating cash to be transferred
separately. FTA requires that flexed fund transfers to FTA be in
separate and identifiable grants in order to ensure that the draw-down
of flexed funds liquidating cash can be tracked, thus securing the
internal controls for monitoring these resources from the Federal
Highway Administration to avoid deficiencies in FTA's Formula and Bus
Grants account.
FTA monitors the expenditures of flexed funded grants and requests
the transfer of liquidating cash from FHWA to ensure sufficient funds
are available to meet expenditures. To facilitate tracking of grantees'
flex funding expenditures, FTA developed codes to provide distinct
identification of ``flex funds.''
The process for transferring flexible funds between FTA and FHWA
programs is described below. Note that the new transfer process for
``flex funds'' that began in FY 2007 does not apply to the transfer of
State planning set-aside funds from FHWA to FTA to be combined with
metropolitan and statewide planning resources as Consolidated Planning
Grants (CPG). These transfers are based on States requests to transfer
funding from the Highway and/or Transit programs to fund States and
local project priorities, and joint planning needs. Planning funds
transferred will be allowed to be merged in a single grant with FTA
planning resources using the same process implemented in FY 2006. For
information on the process for the transfer of funds between FTA and
FHWA planning programs refer to section III.A and B. Note also that
certain prior year appropriations earmarks (Sections 330, 115, 117, and
112) are allotted annually for administration rather than being
transferred. For information regarding these procedures, please contact
Erin McCartney, FTA Budget Office, at (202) 366-5189 or Nancy Grubb,
FTA Budget Office, at (202) 366-1635; or FHWA Budget Division, at (202)
366-2845.
1. Transfer From FHWA to FTA
FHWA funds transferred to FTA are used primarily for transit
capital projects and eligible operating activities that have been
designated as part of the metropolitan and statewide planning and
programming process. The project must be included in an approved STIP
before the funds can be transferred. By letter, the State DOT requests
the FHWA Division Office to transfer highway funds for a transit
project. The letter should specify the project, amount to be
transferred, apportionment year, State, urbanized area, Federal aid
apportionment category (i.e., Surface Transportation Program (STP),
Congestion Mitigation and Air Quality (CMAQ) or identification of the
earmark and indication of the intended FTA formula program (i.e.,
Section 5307, 5311 or 5310) and should include a description of the
project as contained in the STIP. Note that FTA may also administer
certain transfers of statutory earmarks under the Section 5309 bus
program, for tracking purposes.
The FHWA Division Office confirms that the apportionment amount is
available for transfer and concurs in the transfer, by letter to the
State DOT and FTA. The FHWA Office of Budget and Finance then transfers
obligation authority. All FHWA CMAQ and STP funds transferred to FTA
will be transferred to one of the three FTA formula programs (i.e.
Urbanized Area Formula (Section 5307), Nonurbanized Area Formula
(Section 5311) or Elderly and Persons with Disabilities (Section 5310).
High Priority projects in Section 1702 of SAFETEA-LU or Transportation
Improvement projects in Section 1934 of SAFETEA-LU and other
Congressional earmarks that are transferred to FTA will be aligned with
and administered through FTA's discretionary Bus and Bus Related
Facilities Program (Section 5309). The most recent guidance on
transfers of FHWA funds as allowed under SAFETEA-LU is FHWA Memorandum,
dated July 19, 2007, ``Information Fund Transfers to Other Agencies and
Among Title 23 Programs.''
The FTA grantee's application for the project must specify which
program the funds will be used for, and the application must be
prepared in accordance with the requirements and
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procedures governing that program. Upon review and approval of the
grantee's application, FTA obligates funds for the project.
Transferred funds are treated as FTA formula or discretionary
funds, except for local match purposes as described in c below, but are
assigned a distinct identifying code for tracking purposes. The funds
may be transferred for any capital purpose eligible under the FTA
formula program to which they are transferred and, in the case of CMAQ,
for certain operating costs. FHWA issued revised interim guidance on
project eligibility under the CMAQ program in a Notice at 71 FR 76038
et seq. (December 19, 2006) incorporating changes made by SAFETEA-LU.
In accordance with 23 U.S.C. 104(k), all FTA requirements except local
share, which remains the same as required under the FHWA program, are
applicable to transferred funds except in certain cases when CMAQ funds
are authorized for operating expenses. Earmarks that are transferred to
the Section 5309 Bus Program for administration, however, can be used
for the congressionally designated transit purposes, and in some cases
where the law provides, are not limited to eligibility under the Bus
Program.
Earmarked funds, however, can only be used for the congressionally
designated purposes.
2. Transfers From FTA to FHWA
The MPO submits a written request to the FTA regional office for a
transfer of FTA Section 5307 formula funds (apportioned to a UZA
200,000 and over in population) to FHWA based on approved use of the
funds for highway purposes, as determined by the designated recipient
under Section 5307 and contained in the Governor's approved State
Transportation Improvement Program. The MPO must certify that: (1)
Notice and opportunity for comment and appeal has been provided to
affected transit providers; (2) the funds are not needed for capital
investments required by the Americans with Disabilities Act, and (3)
local transit needs are being addressed. The FTA Regional Administrator
reviews and, if he or she concurs in the request, then forwards the
approval in written format to FTA Headquarters, where a reduction equal
to the dollar amount being transferred to FHWA is made to the grantee's
Urbanized Area Formula Program apportionment.
Transfers of discretionary earmarks for administration by FHWA are
handled on a case by case basis, by the FTA regional office, in
consultation with the FTA Office of Program Management, Office of Chief
Counsel, and Office of Budget and Policy.
3. Matching Share for FHWA Transfers
Section 104(k) of title 23 U.S.C., regarding the non-Federal share,
applies to Title 23 funds used for transit projects. Thus, FHWA funds
transferred to FTA retain the same matching share that the funds would
have if used for highway purposes and administered by FHWA.
There are four instances in which a Federal share higher than 80
percent would be permitted. First, in States with large areas of Indian
and certain public domain lands and national forests, parks and
monuments, the local share for highway projects is determined by a
sliding scale rate, calculated based on the percentage of public lands
within that State. This sliding scale, which permits a greater Federal
share, but not to exceed 95 percent, is applicable to transfers used to
fund transit projects in these public land States. FHWA develops the
sliding scale matching ratios for the increased Federal share.
Second, commuter carpooling and vanpooling projects and transit
safety projects using FHWA transfers administered by FTA may retain the
same 100 percent Federal share that would be allowed for ride-sharing
or safety projects administered by FHWA.
The third instance is the 100 percent Federally-funded safety
projects; however, these are subject to a nationwide 10 percent program
limitation.
The fourth instance occurs with CMAQ funds. Section 1131 of, The
Energy Independence and Security Act, 2007 (Pub. L. 11-140) amended 23
U.S.C. 120 increased the Federal share of CMAQ projects to 100% at the
State's discretion. FTA will honor this increased match for CMAQ funds
transferred to FTA for implementation if the state chooses to fund the
project at a higher Federal share than 80 percent. The Federal share
for CMAQ projects cannot be lower than 80 percent.
E. Technical Assistance
FTA headquarters and regional staff will be pleased to answer your
questions and provide any technical assistance you may need to apply
for FTA program funds and manage the grants you receive. This notice
and the program guidance circulars previously identified in this
document may be accessed via the FTA Web site at http://www.fta.dot.gov.
In addition, copies of the following circulars and other useful
information are available on the FTA Web site and may be obtained from
FTA regional offices; Circular 4220.1F, ``Third Party Contracting
Guidance,'' and Circular 5010.1D, ``Grant Management Guidelines.'' Both
circulars were recently revised and can be found at http://www.fta.dot.gov/laws/leg_reg_circulars_guidance.html. The FY 2011
Annual List of Certifications and Assurances and Master Agreement are
also posted on the FTA Web site.
The DOT final rule on ``Participation by Disadvantaged Business
Enterprises in Department of Transportation Financial Assistance
Programs,'' which was effective July 16, 2003, can be found at http://www.access.gpo.gov/nara/cfr/waisidx_04/49cfr26_04.html/.
Issued in Washington, DC, this 1st day of February, 2011.
Peter Rogoff,
Administrator.
Appendix A
FTA Regional Offices
------------------------------------------------------------------------
------------------------------------------------------------------------
Mary Beth Mello, 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, 8A36, Ft. Worth, TX 76102, Tel.
Tel. 617-494-2055 817-978-0550
States served: Connecticut, Maine, States served: Arkansas, Louisiana,
Massachusetts, New Hampshire, Oklahoma, New Mexico, and Texas
Rhode Island, and Vermont
------------------------------------------------------------------------
Brigid Hynes-Cherin, Regional Mokhtee Ahmad, Regional
Administrator, Region 2--New York, Administrator, Region 7--Kansas
One Bowling Green, Room 429, New City, MO, 901 Locust Street, Room
York, NY 10004-1415, Tel. 212-668- 404, Kansas City, MO 64106, Tel.
2170 816-329-3920
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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-- Administrator, Region 8--Denver,
Philadelphia, 1760 Market Street, 12300 West Dakota Ave., Suite 310,
Suite 500, Philadelphia, PA 19103- Lakewood, CO 80228-2583, Tel. 720-
4124, Tel. 215-656-7100 963-3300
States served: Delaware, Maryland, States served: Colorado, Montana,
Pennsylvania, Virginia, West North Dakota, South Dakota, Utah,
Virginia, and District of Columbia and Wyoming.
Philadelphia Metropolitan Office, Leslie T. Rogers, Regional
Region 3--Philadelphia, 1760 Administrator, Region 9--San
Market Street, Suite 500, Francisco, 201 Mission Street,
Philadelphia, PA 19103-4124, Tel. Room 1650, San Francisco, CA 94105-
215-656-7070 1926, Tel. 415-744-3133
Washington, DC Metropolitan Office, States served: American Samoa,
1990 K Street, NW., Room 510, Arizona, California, Guam, Hawaii,
Washington, DC 20006, Tel. 202-219- Nevada, and the Northern Mariana
3562 Islands
------------------------------------
Yvette Taylor, Regional Los Angeles Metropolitan Office,
Administrator, Region 4--Atlanta, Region 9--Los Angeles, 888 S.
230 Peachtreet Street, NW., Suite Figueroa Street, Suite 1850, Los
800, Atlanta, GA 30303, Tel. 404- Angeles, CA 90017-1850, Tel. 213-
865-5600 202-3952
------------------------------------
States served: Alabama, Florida, Rick Krochalis, Regional
Georgia, Kentucky, Mississippi, Administrator, Region 10--Seattle,
North Carolina, Puerto Rico, South Jackson Federal Building, 915
Carolina, Tennessee, and Virgin Second Avenue, Suite 3142,
Islands Seattle, WA 98174-1002, Tel. 206-
220-7954
------------------------------------
Marisol Simon, Regional States served: Alaska, Idaho,
Administrator, Region 5--Chicago, Oregon, and Washington
200 West Adams Street, Suite 320,
Chicago, IL 60606, Tel. 312-353-
2789,
States served: Illinois, Indiana,
Michigan, Minnesota, Ohio, and
Wisconsin
Chicago Metropolitan Office, Region
5-Chicago, 200 West Adams Street,
Suite 320, Chicago, IL 60606, Tel.
312-353-2789
------------------------------------------------------------------------
BILLING CODE 4910-57-P
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[FR Doc. 2011-2592 Filed 2-7-11; 8:45 am]
BILLING CODE 4910-57-C