[Federal Register Volume 76, Number 64 (Monday, April 4, 2011)]
[Notices]
[Pages 18624-18625]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-7824]
[[Page 18624]]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Research, Technical Assistance and Training Programs: Notice of
Final Circular
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice of availability of final circular.
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SUMMARY: The Federal Transit Administration (FTA) is issuing Circular
6100.1D to provide comprehensive assistance to grantees on guidance on
application procedures and project management responsibilities for
FTA's National Research Programs.
DATES: The effective date of this circular is May 1, 2011.
ADDRESSES: A copy of the circular and comments and material received
from the public, as well as any documents indicated in the preamble as
being available in the docket, are part of docket FTA-2010-0034 and are
available for inspection or copying at the Docket Management Facility,
U.S. Department of Transportation, 1200 New Jersey Ave., SE., West
Building Ground Floor, Room W12-140, Washington, DC between 9 a.m. and
5 p.m., Monday through Friday, except Federal holidays.
You may also review the circular, comments, and supporting
documents online through the Federal Document Management System (FDMS)
at Web site: http://regulations.gov. Enter the docket number FTA-2010-
0034 in the search field. The FDMS is available 24 hours each day, 365
days each year. Electronic submission and retrieval help and guidelines
are available under the help section of the Web site.
This notice does not include the final circular. Electronic
versions of the final circular will be posted on http://regulations.gov
as well as on the FTA Web site http://www.fta.dot.gov. Paper copies of
the final circular may be obtained by contacting FTA's Administrative
Services Help Desk, at 202-366-4865.
FOR FURTHER INFORMATION CONTACT: Bruce Robinson, Office of Research,
Demonstration and Innovation, Federal Transit Administration, 1200 New
Jersey Ave., SE., East Building, Fourth Floor, Washington, DC 20590,
phone: (202) 366-4052, or e-mail, bruce.robinson@dot.gov; or Linda
Sorkin, Office of Chief Counsel, Federal Transit Administration, 1200
New Jersey Ave., SE., East Building, Fifth Floor, Washington, DC 20590,
phone: (202) 366-0959, or e-mail, linda.sorkin@dot.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. Chapter-by-Chapter Analysis
A. Chapter I--Introduction and Background
B. Chapter II--Program Overview
C. Chapter III--Application Instructions
D. Chapter IV--Project Administration
E. Chapter V--Financial Management
F. Chapter VI--FTA Oversight
G. Appendices
I. Overview
This notice provides a summary of changes to FTA Circular 6100.1D,
Research and Technical Assistance Training Program: Application
Instructions and Program Management Guidelines addresses comments
received in response to FTA's September 30, 2010 Federal Register
publication announcing the availability of the proposed circular (75 FR
60494). The final Circular 6100.1D supersedes FTA Circular 6100.1C.
Readers familiar with the former FTA Circular 6100.1C will notice that
FTA is proposing a complete reorganization to make this circular
consistent with the style of other circulars FTA has updated.
Substantive changes in content are discussed in the chapter-by-chapter
analysis.
One commenter responded to the notice of availability, asking for
several changes.
The commenter requested that FTA allow the public to review and
comment on any changes or updates that will be made to the circular.
FTA declined this request, as FTA specified in the Amendments to
Circular ``FTA reserves the right to update the circular without
further notice and comment. The intent of this paragraph that if the
revision is a result of other guidance and regulations that have gone
through notice and comments we do not need to solicit comments again.
Another request was to revise the ``Key Person'' definition to state
that the grantee should provide FTA with prior notice of impending
staff changes, rather than requiring FTA's prior approval. FTA declined
this request as this provision is required by 49 CFR 19.25(c). ``For
nonconstruction awards, recipients shall request prior approvals from
Federal awarding agencies for (2) changes in a key person specified in
the application or award document.''
FTA also declined the request to change the ``Reporting
Requirements'' section as the requested modifications to the TEAM
system fall outside the scope of this circular. The commenter had
requested that FTA modify the TEAM system so that it is not necessary
for the Milestone Progress Report to be submitted prior to the Federal
Financial Report in order for TEAM to generate a single pdf document
including both reports.
Three requests that were suggested by the commenter that were
approved in part by FTA included changes to Project Identification, the
Final Report and the Disclaimers sections. For the Project
Identification section, the commenter suggested that FTA forgo the
requirement for a sign on all hardware data, equipment, etc. The
language for Project Identification was modified to further refine
which equipment the requirement applied to as follows: ``The recipient
understands and agrees that each tangible product resulting from
national research program projects shall contain or include an
appropriate sign, designation or notification stating that the project
has been financed with Federal assistance provided by the DOT/FTA.
Unless determined otherwise in writing from the FTA, this requirement
applies to all equipment, prototypes, construction, reports, data,
software, Internet pages, or any similar items produced in the course
of the Grant Agreement or Cooperative Agreement for the project that
are part of the project's deliverables visible to the public, or are
made available to other research organizations or public transportation
providers. Reports must also include the disclaimer described in
Chapter IV, subsection 4.g.''
The commenter suggested that FTA make available a template or
sample cover page in the Final Report section of the circular. FTA
modified the section as follows: (3) Final Report to Report
Organization, Elements and Style. A technical report documenting
project performance and results must be submitted to the project
manager at the conclusion of the project or subproject. FTA requires
all documentation be Section 508 compliant and meet a high standard of
organization and clarity of writing. The report must be organized
consistent with the specific publication elements and report style
guidelines located at http://www.fta.dot.gov/research/program_requirements. Contact the FTA project manager for further information.
The commenter also suggested that FTA include a source for the
Standard Form 298 in the Disclaimer section. FTA agree and added the
following information to the section ``SF 298 is located at: http://
www.fta.dot.gov/documents/SF_298.pdf.''
[[Page 18625]]
A. Chapter I--Introduction and Background
The first four sections of this chapter are a general introduction
to FTA that is proposed to be included in all new and revised program
circulars for the orientation of readers new to FTA programs. Section 5
of this chapter sets forth definitions of terms appearing in the
proposed circular to ensure a common understanding of terms.
B. Chapter II--Program Overview
Sections 1 and 2 describe the statutory authority and nature of the
national research programs and activities for which this circular
applies. Section 3 clarifies the project management roles and
responsibilities of the recipient and FTA. Section 4 describes civil
rights requirements, and Section 5 notes that Federal cross-cutting
requirements will apply to these projects.
C. Chapter III--Application Instructions
Chapter III describes application instructions including the use of
the Web-based Transportation Electronic Award and Management (TEAM
system), the development of pre-applications or white papers, the
development of formal applications including project budgets and
statements of work, and other application requirements. Section 6
states that FTA may request recipients to participate in Peer Review of
applications.
D. Chapter IV--Project Administration
Chapter IV describes project administration requirements. Sections
1 and 2 provide an overview of the post award management process, with
a brief description of the application process. Section 3 describes
project identification requirements on all equipment, hardware,
construction, reports, data or any similar items produced in the course
of the project. Section 4 describes reporting requirements, clarifying
that all recipients must submit quarterly Federal Financial Reports
(FFR) and Milestone Progress Reports (MPR) in TEAM and clarifies the
development of Quarterly Narrative Reports. Section 4 also updates
guidelines on the Final Report and other major technical report
development and clarifies the requirements for electronic copies.
Section 4 also clarifies that all FTA-sponsored reports, not just the
Final Report, must contain an identification notice acknowledging FTA
sponsorship. Section 5 clarifies prior approval requirements and
procedures for obtaining prior approval. It clarifies prior approval
requirements for transfers of financial assistance between cost
categories and permits prior approvals to be requested and granted
electronically by authorized officials. Section 6 describes project
modifications including budget revisions and amendments. Sections 7, 8,
and 9 describe recipient responsibilities for equipment, intangible
property, and supplies. Section 10 clarifies the recipient's third
party procurement responsibilities. Section 11 describes project close-
out procedures. Sections 12 and 13 describe suspension and termination
procedures. Section 14 describes responsibilities for record retention.
E. Chapter V--Financial Management
Sections 1-6 describe the proper use and management of Federal
assistance including internal controls, non-Federal matching share, the
applicable Federal cost principles, indirect costs, and program income.
Section 7 describes the annual Single Audit requirements and describes
when these may be extended to for-profit organizations. Section 8
clarifies payment procedures requiring all recipients to make requests
using the Request of Advance or Reimbursement Standard Form 270 (SF-
270), as is current practice.
F. Chapter VI--FTA Oversight
Section 1 is a general description of FTA's oversight program.
Section 2 describes FTA's Oversight Programs that FTA may undertake.
Section 3 describes the types of reviews that may apply to the FTA
recipient or its projects. Section 3 describes the peer review process
FTA may request recipients to participate in.
G. Appendices
Appendix A lists all FTA circulars.
Appendix B provides an example of a Quarterly Narrative Report.
Appendix C describes requirements for developing a Cost Allocation
Plan.
Appendix D provides instructions for submitting the Request of
Advance or Reimbursement (SF-270).
Appendix E provides FTA regional and metropolitan contact
information.
Appendix F is the Subject and Location index.
Therese McMillan,
Deputy FTA Administrator.
[FR Doc. 2011-7824 Filed 4-1-11; 8:45 am]
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