[Federal Register Volume 77, Number 7 (Wednesday, January 11, 2012)]
[Notices]
[Pages 1785-1856]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-249]
[[Page 1785]]
Vol. 77
Wednesday,
No. 7
January 11, 2012
Part II
Department of Transportation
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Federal Transit Administration
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FTA Fiscal Year 2012 Apportionments, Allocations, and Program
Information; Notice
Federal Register / Vol. 77 , No. 7 / Wednesday, January 11, 2012 /
Notices
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2012 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 funds is available, FTA publishes
multiple partial apportionment notices. This notice is the first notice
announcing partial apportionment for programs funded with Fiscal Year
(FY) 2012 contract authority because the current authorization of FTA's
programs provides contract authority for the period October 1, 2011
through March 31, 2012. Additionally, the Consolidated and Further
Continuing Appropriations Act, 2012, provides full-year funding for
FTA's programs funded from the General Fund of the United States
Treasury, which are Administrative Expenses, the New Starts and
Research programs and grants to the Washington Metropolitan Area
Transit Authority. The Appropriations Act, 2012 also provides an
obligation limitation for the available contract authority and any
additional contract authority that Congress may make available this
fiscal year. This notice also provides program guidance and
requirements; and provides information on several program issues
important under the current program authorization. Also included are
tables that show certain discretionary program unobligated (carryover)
and reapportioned funding from previous years available for obligation
during FY 2012.
FOR FURTHER INFORMATION CONTACT: For general information about this
notice contact Jamie Pfister, Director, Office of Transit Programs, at
(202) 366-2053. Please contact the appropriate FTA regional office for
any specific requests for information or technical assistance. The
Appendix at the end of this notice includes contact information for FTA
regional offices.
An FTA headquarters contact for each major program area is 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 the Consolidated and Further
Continuing Appropriations Act, 2012 (Minibus), the Surface and Air
Transportation Programs Extension Act, 2012, and the Safe,
Accountable, Flexible, Efficient Transportation Equity Act: A Legacy
for Users (SAFETEA-LU)
B. Program Funds Set-Aside for Oversight
III. FTA FY 2012 Program Highlights and Changes
A. Discretionary Grant Program Competitions
B. Census Designations and Population Counts for the
Apportionment of Formula Funds
C. Federal Share for Biodiesel Buses
D. Vehicle Fuel and Electrical Propulsion Costs as Capital
Maintenance for Section 5307
IV. 2012 FTA Programs
A. Metropolitan Planning Program (49 U.S.C. 5305(d))
B. State Planning and Research Program (49 U.S.C. 5305(e))
C. Urbanized Area Formula Program (49 U.S.C. 5307)
D. Clean Fuels Grant Program (49 U.S.C. 5308)
E. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway
Modernization
F. Capital Investment Program (49 U.S.C. 5309)--Bus and Bus-
Related Facilities
G. Capital Investment Program (49 U.S.C. 5309)--New Starts
H. Special Needs of Elderly Individuals and Individuals With
Disabilities Program (49 U.S.C. 5310)
I. Non-Urbanized Area Formula Program (49 U.S.C. 5311)
J. Rural Transportation Assistance Program (49 U.S.C.
5311(b)(3))
K. Public Transportation on Indian Reservations Program (49
U.S.C. 5311(c)(1))
L. Job Access and Reverse Commute Program (49 U.S.C. 5316)
M. New Freedom Program (49 U.S.C. 5317)
N. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320)
O. Alternatives Analysis Program (49 U.S.C. 5339)
P. Growing States and High Density States Formula (49 U.S.C.
5340)
Q. Over-the-Road Bus Accessibility Program (Section 3038, Pub.
L. 105-85)
R. National Research Program (49 U.S.C. 5314)
S. Washington Metropolitan Area Transit Authority Grants
V. FTA Policy and Procedures for FY 2012 Grants Requirements
A. Automatic Pre-Award Authority To Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FTA FY 2012 Annual List of Certifications and Assurances
D. FHWA Funds Used for Transit Purposes
E. Civil Rights Requirements
F. Deferred Local Share
G. Technical Assistance
VI. Tables
1. FTA FY 2012 Appropriations and Apportionments for Grant
Programs
2. FTA FY 2012 Section 5303 and 5304 Metropolitan Planning
Program and State Planning and Research Program Apportionments
3. FTA FY 2012 Section 5307 and Section 5340 Urbanized Area
Apportionments
3-A. Census 2000 Urbanized Areas 200,000 or More in Population
Eligible To Use Section 5307 Funds for Operating Assistance
4. FTA FY 2012 Section 5307 Apportionment Formula
5. FTA FY 2012 Formula Programs Apportionments Data Unit Values
6. FTA FY 2012 Small Transit Intensive Cities Performance Data
and Apportionments
7. FTA Section 5308 Prior Year Unobligated Clean Fuels
Allocations
8. FTA FY 2012 Section 5309 Fixed Guideway Modernization
Apportionments
9. FTA FY 2012 Section 5309 Fixed Guideway Modernization Program
Apportionment Formula
10. FTA FY 2012 Section 5309 Bus and Bus Related Equipment and
Facilities Allocations
11. FTA Section 5309 Prior Year Unobligated Bus and Bus Related
Equipment and Facilities Allocations
12. FTA FY 2012 Section 5309 New Starts Allocations
13. FTA Section 5309 Prior Year Unobligated New Starts Program
Allocations
14. FTA FY 2012 Section 5310 Special Needs for Elderly
Individuals and Individuals With Disabilities Apportionments
15. FTA FY 2012 Section 5311 and Section 5340 Nonurbanized Area
Formula Apportionments, and Rural Transportation Assistance Program
(RTAP) Allocations
16. FTA FY 2012 Section 5311(c) Prior Year Unobligated Public
Transportation on Indian Reservations Allocations
17. FTA FY 2012 Section 5316 Job Access and Reverse Commute
(JARC) Apportionments
18. FTA FY 2012 Section 5317 New Freedom Apportionments
19. FTA Section 5339 Prior Year Unobligated Alternatives
Analysis Allocations
VII. 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. The
Surface and Air Transportation Programs Extension Act of 2011 (Pub. L.
112-30, Div. C), hereinafter (``Temporary Authorization, 2012''),
continues the authorization of the Federal transit programs of the U.S.
Department of Transportation (DOT) through March 31, 2012. It extends
contract authority for the Formula and Bus Grants programs at
approximately
[[Page 1787]]
fifty percent of the FY 2011 levels until March 31, 2012. Additionally,
FTA's full-year appropriations bill (Pub. L. 112-055, the Consolidated
and Further Continuing Appropriations Act, 2012), hereinafter
(``Appropriations Act, 2012'') was enacted in November, giving FTA
appropriated resources for Administrative Expenses, Capital Investment
Grants, and Research programs and grants to the Washington Metropolitan
Area Transportation Authority. The Appropriations Act, 2012 also
provides a full fiscal year obligation limitation on any contract
authority that is made available to FTA programs funded from the Mass
Transit Account of the Highway Trust Fund during this fiscal year.
This document apportions the FY 2012 authorized contract authority
among potential program recipients according to statutory formulas in
49 U.S.C. Chapter 53. FTA will issue a supplemental notice at a later
date if additional contract authority becomes available.
The notice does not include reprogramming of discretionary funds
that lapsed to the designated project as of September 30, 2011 or the
allocation of FY 2012 discretionary resources, with the exception of
Small Starts allocations.
For each FTA program included in this notice, we have provided
relevant information about the FY 2012 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. For additional information on FY
2012 and prior year annual apportionments, please visit
www.fta.dot.gov/grants/12853.html.
II. FY 2012 Funding for FTA Programs
A. Funding Based on the Consolidated and Further Continuing
Appropriations Act, 2012 (Pub. L. 112-55), and the Surface and Air
Transportation Programs Extension Act of 2011 (Pub. L. 112-30)
The Surface and Air Transportation Programs Extension Act of 2011
(Temporary Authorization, 2012) continues the authorization of the
Federal transit programs of the U.S. Department of Transportation (DOT)
through March 31, 2012, and provides contract authority for these
programs equal to approximately one half of the amounts available in FY
2011. The fiscal year 2012 Appropriations Act provides full-year
funding for FTA programs funded from the General Fund of the United
States Treasury and a full year obligation limitation on any contract
authority that is made available during this fiscal year.
Table 1 of this document shows the funding that is currently
available for the FTA programs. In addition to current year contract
authority and appropriated funds, available funding also includes a
small amount of additional contract authority not allocated in fiscal
year 2011 and recoveries of lapsed funds. The amounts shown in Table 1
also include applicable reductions for set asides and takedowns. This
Federal Register notice includes tables of apportionments and
allocations for FTA formula programs as well as carryover discretionary
funds based on applicable law.
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).
In addition, the Appropriations Act, 2012 authorizes an oversight
takedown of 1 percent from the Job Access and Reverse Commute 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. FTA FY 2012 Program Highlights and Changes
A. Discretionary Grant Program Competitions
FTA's discretionary grant programs that are funded from the General
Fund of the United States Treasury (Section 5309 New Starts and the
National Research Program) are authorized under chapter 53 of title 49,
U.S.C., and funds are appropriated to carry out project activities in
the Appropriation Act, 2012. Discretionary grant programs for which
funding is derived from the Mass Transit Account of the Highway Trust
Fund (Section 5308 Clean Fuels, 5309 Bus and Bus Facilities, 5311(c)
Tribal Transit, 5320 Paul S. Sarbanes Transit in Parks, 5339
Alternatives Analysis, and Section 3038, Pub. L. 105-85 Over the Road
Bus Accessibility) are provided with contract authority pursuant to 49
U.S.C. 5338(f)(1). At this time only half of the FY 2011 amount is
available. Programs that were funded with unallocated Section 5309 bus
funds in FY 2011 will again be allocated through a competitive process
in FY 2012. Information about discretionary programs, including
currently available funding amounts, can be found under the relevant
subheading within this notice.
FTA anticipates publishing individual or combined Notices of
Funding Availability (NOFAs) for discretionary programs in the Federal
Register during the first quarter of calendar year 2012. Specific
program requirements and selection criteria will be published in the
relevant NOFAs. Applications will be due usually within 45-75 days from
the date of publication. See the subheading for the Transit in Parks
program for a specific exception relating to that program's schedule.
New Starts and Small Starts program funds are allocated to specific
projects by Congress after an extensive review and qualification
process, and will not be published as a NOFA in the Federal Register.
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[GRAPHIC] [TIFF OMITTED] TN11JA12.000
B. Census Designations and Population Counts Used for the Apportionment
of Formula Funds
Formula allocations for Fiscal Year 2012 will continue to be based
on 2000 Census data and designations. The 2010 Census Urbanized Area
(UZA) designations and populations, which are expected to be released
by the Bureau of the Census during FY 2012, will be used for the
apportionment of FTA formula funds no earlier than FY 2013. For
information on how the 2010 Census may affect formula funding
recipients, FTA has published a summary of the potential impacts on its
Web site at http://www.fta.dot.gov/grants/12853_12408.html.
C. Federal Share for Biodiesel Buses
Section 164 of the Consolidated Appropriations Act, 2008, the
Omnibus Act, 2009 and the Consolidated Appropriations Act, 2010 allowed
a 90 percent Federal share for biodiesel buses and for the net capital
cost of factory-installed or retrofitted hybrid electric propulsion
systems and any equipment related to such a system. The Department of
Defense and Full-Year Continuing Appropriations Act, 2011 continued the
provision for fiscal year 2011. However, the Appropriations Act, 2012,
does not contain similar language. Therefore, the increased Federal
share for biodiesel buses and for the net capital cost of factory-
installed or retrofitted hybrid electric propulsion systems and any
equipment related to such a system is no longer authorized through the
appropriation process for grants awarded in fiscal year 2012.
D. Vehicle Fuel and Electrical Propulsion Costs as Capital Maintenance
for Section 5307
The Appropriations Act, 2012, permits FTA to treat fuel costs for
vehicle operations, including utility costs for the propulsion of
electrical vehicles, as a capital maintenance item for grants made in
FY 2012 under the Urbanized Area Formula Program, up to a total of
$100,000,000. Since total obligations for this purpose are limited to
$100,000,000, the use of funds for this purpose will be limited in
amount, and will be available only to program recipients that respond
to an upcoming announcement posted at www.grants.gov. Recipients are
advised that this provision does not provide any funding in addition to
their Section 5307 program apportionment. Additional information on
this provision can be found in IV-C. Urbanized Area Formula Program
(49.U.S.C. 5307).
IV. FTA Programs
This section of the notice provides the available FY 2012 funding
to date and/or other important program-related information for eleven
FTA formula and discretionary 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, program requirements, length of time FY 2012 funding is
available for obligation to the recipient and other significant program
information.
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
[[Page 1789]]
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. State Departments of
Transportation are direct recipients of funds allocated by FTA, which
are then sub-allocated to Metropolitan Planning Organizations (MPOs),
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 2012 Funding Availability
The Temporary Authorization, 2012 provides $46,943,600 in contract
authority for the period October 1, 2011 through March 31, 2012 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. Thus far, the total amount apportioned for the Metropolitan
Planning Program to States for MPOs' use in urbanized areas (UZAs) is
$46,925,691, as shown in the table below, after the addition of
available FY 2011 contract authority and reapportioned funds and
deductions for oversight.
Metropolitan planning program
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Total Appropriation..................................... $46,943,600
FY 2011 Contract Authority.............................. 195,331
Oversight Deductions.................................... -235,695
Reapportioned Funds..................................... 22,455
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Total Apportioned................................... 46,925,691
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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 made available to the Metropolitan Planning program.
FTA apportions Metropolitan Planning funds to the States according to a
statutory formula. Eighty percent of the funds are apportioned to the
States based on the most recent decennial Census for each State's UZA
population. The remaining 20 percent is provided to the States as a
supplemental apportionment based on an FTA administrative formula to
address planning needs in larger, more complex UZAs. The amount
published for each State includes the supplemental allocation.
3. Program Requirements
The State allocates Metropolitan Planning funds to MPOs in UZAs or
portions thereof to provide funds for planning projects included in a
one or two year program of planning work activities (the Unified
Planning Work Program, or UPWP) that includes multimodal systems
planning activities spanning both highway and transit planning topics.
Each State has either reaffirmed or developed, in consultation with
their MPOs, an allocation formula among MPOs within the State, based on
the 2000 Census. The allocation formula among MPOs in each State 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
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 to recipients for four
fiscal years--which includes the year of apportionment plus three
additional years. Any FY 2012 apportioned funds that remain unobligated
at the close of business on September 30, 2015 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. Alternatively, FTA planning funds may be
transferred to FHWA to be administered as a combined grant.
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
[[Page 1790]]
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. State Planning and Research Program (49 U.S.C. 5305(e))
This program provides financial assistance to States for statewide
transportation planning and other technical assistance activities,
including supplementing the technical assistance program provided
through the Metropolitan Planning program. The specific requirements of
Statewide transportation planning are set forth in 49 U.S.C. 5304 and
further explained in 23 CFR Part 450 as referenced in 49 CFR Part 613,
Statewide Transportation Planning; Metropolitan Transportation
Planning; Final Rule. This funding must support work elements and
activities resulting in balanced and comprehensive intermodal
transportation planning for the movement of people and goods.
Comprehensive transportation planning is not limited to transit
planning or surface transportation planning, but also encompasses the
relationships among land use and all transportation modes, without
regard to the programmatic source of Federal assistance. For more
information, contact Victor Austin, Office of Planning and Environment
at (202) 366-2996.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $9,806,400 in contract
authority for the period October 1, 2011 through March 31, 2012 to the
State Planning and Research Program (49 U.S.C. 5305). Thus far, the
total amount apportioned for the State Planning and Research Program
(SPRP) is $9,956,684 as shown in the table below, after the addition of
available FY 2011 contract authority and reapportioned funds and the
deduction for oversight (authorized by 49 U.S.C. 5327).
State Planning and Research Program
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Total Appropriation..................................... $9,806,400
FY 2011 Contract Authority.............................. 40,804
Oversight Deduction..................................... -49,236
Reapportioned Funds..................................... 158,716
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Total Apportioned................................... 9,956,684
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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 data available, 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, 2015, 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 urbanized
areas. An urbanized area (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 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 Area 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 199,999. 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 Adam Schildge or Elan Flippin, Office of
Transit Programs, at (202) 366-0778.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $2,080,182,500 in
contract authority for the period October 1, 2011 through March 31,
2012 to the Urbanized Area Formula Program (49 U.S.C. 5307). Thus far,
the total amount apportioned for the Urbanized Area Formula Program is
$2,280,481,376 as shown in the table below, after the addition of
available FY 2011 contract authority and reapportioned funds and the
0.75 percent deduction for oversight (authorized by 49 U.S.C. 5327),
and including funds apportioned to UZAs pursuant to Section 5340 for
Growing States and High Density States.
Urbanized Area Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation................................. a $2,080,182,500
FY 2011 Contract.................................... 8,655,561
Authority...........................................
Oversight Deduction................................. -15,666,286
[[Page 1791]]
Section 5340 Funds Added............................ 196,585,277
Reapportioned Funds................................. 10,724,324
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Total Apportioned............................... 2,280,481,376
------------------------------------------------------------------------
a Includes 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 2012 apportionment, FTA used population and
population density statistics from the 2000 Census and (when
applicable) validated mileage and transit service data from transit
providers' 2010 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 2012 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 2012, one percent of funds appropriated for Section 5307, or
$20,801,825 based on Temporary Authorization, 2012 and Appropriations
Act, 2012, 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 2012
apportionments comes from the NTD reports for the 2010 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 2012, 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 2012, FTA apportions
$79,851,565 to UZAs in growing States and $116,733,712 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 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.
i. 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,
for informational purposes, the apportionment amount that would be
attributable by formula to each small UZA within the State. The
Governor is not bound by the small UZA amounts published for
informational purposes 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.
ii. 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
[[Page 1792]]
projects. This requirement is now treated as a certification, rather
than as a set-aside as was the case under the Transportation Equity Act
for the 21st Century (TEA-21). Designated recipients in UZAs with
populations of 200,000 or more certify they are spending not less than
one percent of Section 5307 funds for transit enhancements. In
addition, Designated Recipients must submit an annual report on how
they spent the money with the Federal fiscal year's final quarterly
progress report in TEAM-Web. The report should include the following
elements: (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.
iii. 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 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. 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
activity line items in the grant budget, we have established a non-
additive (``non-add'') scope code for security expenditures--Scope 991-
00. 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.
iv. FY 2012 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.
Temporary Authorization, 2012 extends that eligibility until March 31,
2012. The specific provisions allowing the limited use of operating
assistance in large UZAs are as follows:
a. Section 5307(b)(1)(E) provides for grants for the operating
costs of equipment and facilities for use in public transportation in
the Evansville, IN-KY urbanized area, for a portion or portions of the
UZA if ``the portion'' of the UZA includes only one State, the
population of ``the portion'' is less than 30,000, and the grants will
be not used to provide public transportation outside of ``the portion''
of the UZA.
b. 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.
c. 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.
d. Section 3027(c)(3) of TEA-21, as amended (49 U.S.C. 5307 note),
provides an exception to the restriction
[[Page 1793]]
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.
e. Section 5307(b)(2), as amended, allows, in FYs 2008 through 2011
and for the period October 1, 2011 through March 31, 2012, (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. These allowances are shown in Table 3-A.
v. Treatment of Fuel and Electrical Propulsion Costs as Capital
Maintenance
The Appropriations Act, 2012, permits FTA to treat fuel costs for
vehicle operations, including utility costs for the propulsion of
electrical vehicles, as a capital maintenance item for grants made in
FY 2012 under the Urbanized Area Formula Program, up to a total of
$100,000,000. The treatment of these costs as capital maintenance items
means that they may be eligible for reimbursement under this program at
an 80/20 matching rate. As explained in the preceding section, fuel
costs are also eligible for reimbursement as an operating expense for
UZAs under 200,000 in population, and under other special conditions
noted above, but require a 50 percent match.
Since total obligations for this purpose are limited to
$100,000,000, the use of funds for this purpose will be limited in
amount, and will be available only to program recipients that respond
to an upcoming announcement posted at www.grants.gov. Designated
recipients for each Urbanized Area are directed to respond to this
announcement with the dollar amount, out of their annual urbanized area
apportionment funding, that they would like to apply to these costs for
grants made in Fiscal Year 2012. While this provision applies to grants
made during FY 2012, it is not limited to grants made using FY 2012
apportioned funds and may also include grants made during FY 2012 that
contain prior year funds.
Recipients are directed to submit a request for the maximum dollar
amount that they would elect to apply to capitalized fuel or propulsion
under this provision based on the anticipated availability of full FY
2012 funding. Funds will be distributed as dollar caps for an
interested urbanized area's Section 5307 apportionment. FTA will base
the amount of the cap it allocates to each urbanized area that responds
to the announcement on a fixed percentage applied to the Section 5307
apportionment of that urbanized area, not to exceed the amount
requested. However, if all urbanized area 5307 recipients respond to
the announcement, each could expect to be permitted to use no more than
2.2% of their annual formula apportionment amount for this purpose.
Eligible respondents to this request are only the designated recipients
for the urbanized area formula apportionment, including the State DOTs
for areas under 200,000. The upcoming funding announcement will provide
further direction. FTA will publish the distribution in a Federal
Register notice.
Recipients are advised that this provision does not provide any
funding in addition to their Section 5307 program apportionment. Funds
granted under this provision will be treated as an alternative use of
the eligible recipient's formula funding. Distribution of such funds
among sub-recipients is subject to Federal planning requirements and
will require coordination between the designated recipient(s), MPO, and
other direct recipients of FTA funds. Funds sub-allocated to direct
recipients within a UZA will be included in their FTA grants.
Procurements to which these 5307 funds are applied must comply with
Federal procurement requirements and include all applicable Federal
procurement clauses.
Recipients, if selected to use this provision, will be required to
obligate funds no later than September 30, 2012. Once funds are
obligated, they will remain available until expended; funds can be
requested for the applicant's current fiscal year plus one additional
year. FTA does not plan to reallocate funding caps under this provision
after it has been initially distributed.
Eligible designated recipients of Section 5307 funding that are
interested in using funds under this provision are encouraged to become
familiar with using grants.gov and are advised to monitor the site for
the upcoming solicitation of interest. In addition, FTA recommends that
grantees register for automatic email updates for Section 5307
Urbanized Area Formula Program on the FTA Web site. Further details
will be posted with the announcement at www.grants.gov.
vi. 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:
a. From non-Federal government sources other than revenues from
providing public transportation services;
b. From revenues derived from the sale of advertising and
concessions;
c. From an undistributed cash surplus, a replacement or
depreciation cash fund or reserve, or new capital;
d. From amounts received under a service agreement with a State or
local social service agency or private social service organization; and
e. Proceeds from the issuance of revenue bonds.
f. 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.
vii. 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 by Secretary pursuant to section 5303(k). The
Governor's Apportionment for small UZAs may include funds attributable
to a small UZA designated as a TMA or within the planning boundaries of
a TMA.
The list of small UZAs included within the planning boundaries of
designated TMAs is provided in the table below.
[[Page 1794]]
------------------------------------------------------------------------
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.
Pittsburgh, PA.................... Monessen, PA; Weirton, WV-
Steubenville, OH-PA (PA portion);
Uniontown-Connellsville, PA.
Seattle, WA....................... Bremerton, WA.
Washington, DC-VA-MD.............. Frederick, MD.
------------------------------------------------------------------------
Section 5303(k) provides that the Secretary shall designate ``any
additional area as a transportation management area on the request of
the Governor and the MPO designated for the area.'' In the event a
Governor and an MPO determine that a small UZA should be a TMA or
included within the boundaries of a TMA, the MPO and Governor must
jointly request such designation from 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.
viii. 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 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 apportionment plus
three additional years. Accordingly, these funds must be obligated in
grants by September 30, 2015. Any apportioned funds that remain
unobligated at the close of business on September 30, 2015 will revert
to FTA for reapportionment under the Urbanized Area Formula Program.
5. Other Program or Apportionment Related Information and Highlights
In each UZA with a population of 200,000 or more, the Governor, in
consultation with responsible local officials and publicly owned
operators of public transportation, has designated one or more entities
to be the Designated Recipient for Section 5307 funds apportioned to
the UZA. The same entity(s) may or may not be the Designated Recipient
for the Job Access and Reverse Commute (JARC) and New Freedom program
funds apportioned to the UZA. In UZAs under 200,000 in population, the
State is the Designated Recipient for Section 5307, as well as JARC and
New Freedom programs. The Designated Recipient for Section 5307 may
authorize other entities to apply directly to FTA for Section 5307
grants pursuant to a supplemental agreement. While the requirement that
projects selected for funding be included in a locally developed
coordinated public transit/human service transportation plan is not
included in Section 5307 as it is in Sections 5310, 5316 (JARC) and
5317 (New Freedom), FTA expects that in their role as public transit
providers, recipients of Section 5307 funds will be participants in the
local planning process for these programs.
D. Clean Fuels Grant Program (49 U.S.C. 5308)
The Clean Fuels Grant program is a discretionary grant program that
supports the use of alternative fuels in air quality maintenance or
nonattainment areas for ozone or carbon monoxide through capital grants
to urbanized areas for clean fuel vehicles and facilities. Funds will
be distributed in response to a discretionary competition announced in
the Federal Register during the first quarter of calendar year 2012.
For more information about this program contact Vanessa Williams,
Office of Program Management, at (202) 366-4818.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $25,750,000 in contract
authority for the period October 1, 2011 through March 31, 2012 for the
Clean Fuels Program. After the addition of available FY 2011 contract
authority, a total of $25,857,145 is thus far available for grants, as
shown in the table below.
Clean Fuels Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriated...................................... $25,750,000
FY 2011 Contract Authority.............................. 107,145
---------------
Total Apportioned................................... 25,857,145
------------------------------------------------------------------------
2. Requirements
Clean Fuels Grant program funds may be made available to any
grantee in a UZA that is designated as maintenance or nonattainment
area for ozone or carbon monoxide as defined in the Clean Air Act.
Eligible recipients include section 5307 Designated Recipients as well
as recipients in small UZAs. The State in which a small UZA is located
will act as the recipient of funds. Eligible projects include the
purchase or lease of clean fuel buses, the construction or lease of
clean fuel or electrical recharging facilities and related equipment
for such buses, and construction or improvement of public
transportation facilities to accommodate clean fuel buses.
3. Period of Availability
Clean Fuels Program funds are available for three years, which
includes the year the funds are allocated to a project through a notice
of award or appropriation plus two. FY 2012 funds will be distributed
through a competitive discretionary process, which will be announced in
a Federal Register Notice of Funding Availability during the first
quarter of calendar year 2012.
[[Page 1795]]
4. Other Program or Apportionment Related Information and Highlights
Table 7 lists prior year carryover of $13,761,707 for Clean Fuels
projects allocated FY 2010 program funds. These projects were announced
during FY 2011 and are available for obligation until September 30,
2013. For more information about the FY 2011 Clean Fuels Grant Program
award announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31694.pdf (Federal Register Citation: 76 FR 77302--FTA
Sustainability Program Funds: Announcement of Project Selections,
December 12, 2011).
E. 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 2012 Funding Availability
The Temporary Authorization, 2012 provides $833,250,000 in contract
authority for the period October 1, 2011 through March 31, 2012 for the
Fixed Guideway Modernization Program. Thus far, the total amount
apportioned for the Fixed Guideway Modernization Program is
$831,257,145, after the addition of available FY 2011 contract
authority and reapportioned funds and deductions for oversight, as
shown in the table below.
Fixed Guideway Modernization Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $833,250,000
FY 2011 Contract Authority.............................. 3,467,122
Oversight Deduction (total)............................. -8,367,171
Reapportioned Funds..................................... 363,287
---------------
Total Apportioned................................... 831,257,145
------------------------------------------------------------------------
The FY 2012 Fixed Guideway Modernization Program apportionments to
eligible areas are displayed in Table 8.
2. Basis for Formula Apportionment
The formula for allocating the Fixed Guideway Modernization funds
contains seven tiers. The apportionment of funding under the first four
tiers is based on amounts specified in law and NTD data used to
apportion funds in FY 1997. Funding under the last three tiers is
apportioned based on the latest available data on route miles and
revenue vehicle miles on segments at least seven years old, as reported
to the NTD. Section 5337(f) of title 49, U.S.C. provides for the
inclusion of Morgantown, West Virginia (population 55,997) as an
eligible UZA for purposes of apportioning fixed guideway modernization
funds. Also, 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 2012 Formula apportionments are based on data grantees provided
to the NTD for the 2010 reporting year. Table 9 provides additional
information and details on the formula. Dollar unit values for the
formula factors used in the Fixed Guideway Modernization Program are
displayed in Table 5. To replicate an area's apportionment, multiply
the dollar unit value by the appropriate formula factor, i.e., route
miles and revenue vehicle miles.
3. Program Requirements
Fixed Guideway Modernization funds must be used for capital
projects to maintain, modernize, or improve fixed guideway systems.
Eligible UZAs (those with a population of 200,000 or more) with fixed
guideway systems that are at least seven years old are entitled to
receive Fixed Guideway Modernization funds. A threshold level of more
than one mile of fixed guideway is required in order to receive Fixed
Guideway Modernization funds. Therefore, UZAs reporting one mile or
less of fixed guideway mileage under the NTD are not included. However,
funds apportioned to an urbanized area may be used on any fixed
guideway segment in the UZA. Program guidance for Fixed Guideway
Modernization is presently found in FTA Circular C9300.1B, Capital
Facilities and Formula Grant Programs, dated November 1, 2008.
4. Period of Availability
The funds apportioned in this notice under the Fixed Guideway
Modernization Program remain available to recipients to be obligated in
a grant during the year of appropriation plus three additional years.
FY 2012 Fixed Guideway Modernization funds that remain unobligated at
the close of business on September 30, 2015, will revert to FTA for
reapportionment under the Fixed Guideway Modernization Program.
F. Capital Investment Program (49 U.S.C. 5309)--Bus and Bus-Related
Facilities
This program provides capital assistance for new and replacement
buses, and related equipment and facilities. Funds are allocated on a
discretionary basis. Eligible purposes are acquisition of buses for
fleet and service expansion, bus maintenance and administrative
facilities, transfer facilities, bus malls, transportation centers,
intermodal terminals, park-and-ride stations, acquisition of
replacement vehicles, bus rebuilds, bus preventive maintenance,
passenger amenities such as passenger shelters and bus stop signs,
accessory and miscellaneous equipment such as mobile radio units,
supervisory vehicles, fare boxes, computers, and shop and garage
equipment. Eligible applicants are State and local governmental
authorities. Eligible sub-recipients include other public agencies,
private companies engaged in public transportation and private non-
profit organizations.
For more information about Bus and Bus-Related Facilities (Bus
Program) contact Samuel Snead, Office of Transit Programs, at (202)
366-1089.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $492,000,000 in contract
authority for the period October 1, 2011 through March 31, 2012 for the
Bus and Bus-Related Facilities program. The total amount apportioned
for the program thus far is $489,106,722, after the addition of
available FY 2011 contract authority and deductions for oversight, as
shown in the table below.
Bus and Bus-Related Facilities
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriated...................................... $492,000,000
FY 2011 Contract Authority.............................. 2,047,194
Oversight Deduction..................................... -4,940,472
---------------
Total Apportioned................................... 489,106,722
------------------------------------------------------------------------
[[Page 1796]]
2. Basis for Allocation
FY 2012 Bus and Bus-Related Facilities program allocations are
shown in Table 10. Allocations include nine Section 5309 Capital
Investment Program New and Small Starts Bus Rapid Transit (BRT)
projects, which are funded through the Bus and Bus-Related Facilities
program in FY 2012.
Unallocated 2012 Bus and Bus-Related Facilities Program funds will
be distributed through discretionary program competitions. FY 2012
discretionary competitions will include a State of Good Repair program,
a Bus Livability program and a Veterans Transportation and Community
Living Initiative. FTA will publish one or more Notices of Funding
Availability (NOFAs) during the first quarter of calendar year 2012 to
announce these discretionary program competitions. Specific program
requirements and selection criteria will be published in the relevant
notices of funding availability (NOFA).
3. Requirements
Program guidance for Bus and Bus-Related Facilities is found in FTA
Circular C9300.1B, ``Capital Investment Program Guidance and
Application Instructions,'' (November 1, 2008) and in subsequent
notices of funding availability for each discretionary program.
4. Period of Availability
Section 5309 Bus and Bus-Related Facilities funds are available for
three years, which includes the year the funds are allocated to a
project through a notice of award or appropriation plus two. Fiscal
Year 2012 Bus and Bus-Related Facilities allocations, including the
Ferry Boat Allocations for FY 2010-2012, listed in Table 10 not
obligated in an FTA grant for eligible purposes by September 30, 2014
may be made available for other Bus and Bus-Related Facilities projects
under Section 5309 during the following fiscal year.
5. Other Program or Allocation Related Information and Highlights
Prior year unobligated balances for Bus and Bus-Related allocations
in the amount of $367,630,155 remain available for obligation in FY
2012. The prior year carryover amounts are displayed in Table 11.
Footnotes are included in Table 11 to identify the period of
availability for each of these allocations. These tables do not include
funds allocated in the recent discretionary competitions announced
after September 30, 2011.
This notice publishes the allocation of funds for Section 5309
Ferry Boat Systems projects for FY 2010, FY 2011, and FY 2012. These
projects are shown in Table 10. The list of FY 2010 Ferryboat projects
replaces the projects published in the FTA FY 2010 apportionment notice
(February 16, 2010, Table 10), which incorrectly published a list of
Ferry Boat Systems projects administered by the Federal Highway
Administration (FHWA).
For more information about the FY 2011 Bus Livability Program award
announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28779.pdf. (Federal Register Citation: 76 FR 68813-FY 2011
Discretionary Livability Funding Opportunity; Section 5309 Bus and Bus
Facilities Livability Initiative Program Grants and Section 5339
Alternatives Analysis Program, November 7, 2011.)
For more information about the FY 2011 State of Good Repair Program
award announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28774.pdf. (Federal Register Citation: 76 FR 68819--State of
Good Repair Bus and Bus Facilities Discretionary Program Funds,
November 7, 2011.)
For more information about the FY 2011 Veterans Transportation and
Community Living Initiative award announcements, please visit
www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32447.pdf (Federal
Register Citation: 76 FR 78732-FY 2011 Discretionary Funding
Opportunity; Section 5309 Bus and Bus Facilities Veterans
Transportation and Community Living Initiative, December 19, 2011).
G. Capital Investment Program (49 U.S.C. 5309)--New and Small Starts
The New Starts program provides funds for construction of new fixed
guideway systems or extensions to existing fixed guideway systems.
Eligible purposes are light rail, rapid rail (heavy rail), commuter
rail, monorail, automated fixed guideway system (such as a ``people
mover''), or a busway/high occupancy vehicle (HOV) facility, Bus Rapid
Transit that is fixed guideway, or an extension of any of these.
Eligible purposes for the Small Starts program are those mentioned for
the New Starts program, as well as corridor based bus systems that do
not operate on a fixed guideway but include elements such as
substantial transit stations, signal priority or pre-emption, branding
of vehicles, and service frequencies of 10 minutes during peak periods
and 15 minutes during off peak periods for at least 14 hours per day.
Projects become candidates for funding under this program by
successfully completing the appropriate steps in the major capital
investment planning and project development process, which includes
evaluation and rating by FTA based on several statutorily-defined
criteria. Major new fixed guideway projects, or extensions to existing
systems, financed with New Starts funds typically receive these funds
through a full funding grant agreement (FFGA) that defines the scope of
the project and specifies the total multi-year Federal commitment to
the project. Small Starts projects typically receive funds through a
project construction grant agreement (PCGA) that defines the scope of
the project and specifies the Federal commitment to the project or a
single year construction grant if the Small Starts contribution is $25
million or less and has already been appropriated.
For more information about the New or Small Starts project
development process or evaluation and rating process contact Elizabeth
Day, Office of Planning and Environment, at (202) 366-4033, or for
information about published allocations contact Eric Hu, Office of
Transit Programs, at (202) 366-0870.
1. FY 2012 Funding Availability
The Appropriations Act, 2012 appropriated $1,955,000,000 to the
major capital investment program (New and Small Starts) for the full
fiscal year. Thus far, the total amount allocated for the major capital
investment program (New and Small Starts) is $1,935,450,000, after the
one percent deduction for oversight, is shown in the table below.
Capital Investment Program (New Starts)
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................. $1,955,000,000
Oversight (one percent).............................. -19,550,000
------------------
Total Available.................................. 1,935,450,000
------------------------------------------------------------------------
2. Basis for Allocation
Congress included authorizations for specific New Starts projects
with Full Funding Grant Agreements (FFGA) in SAFETEA-LU. Funds
allocated to specific projects are shown in Table 12. These non-
discretionary allocations amount to $1,388,515,000. Table 12 also
includes a discretionary allocation of $35,481,000 for the Small Starts
Project Central Mesa LRT Extension (Mesa, AZ). Unallocated funds total
$511,454,000.
The Appropriations Bill, 2012 includes a rescission of $58,500,000
of unspent funds appropriated in FY 2009 under Public law 111-8.
[[Page 1797]]
3. Requirements
FY 2010 New Starts projects were earmarked in law. Thus,
reprogramming for a purpose other than that specified must also occur
in law. While FY 2012 New Starts projects were identified in conference
report accompanying the Appropriations Act, 2012 and not the Act
itself, New Starts projects are subject to a complex set of approvals
related to planning and project development set forth in 49 CFR Part
611. FTA has published a number of rulemakings and interim guidance
documents related to the New Starts program since the passage of
SAFETEA-LU. Grantees should reference the FTA Web site at
www.fta.dot.gov for the most current program guidance about project
developments and management. Grant related guidance for New Starts is
found in FTA Circular C9300.1B, Capital Investment Program Guidance and
Application Instructions dated November 1, 2008; and C5200.1A, Full
Funding Grant Agreement Guidance, dated December 5, 2002.
4. Period of Availability
New Starts funds that remain unobligated to the projects designated
the funds after three fiscal years (including the fiscal year the funds
are allocated plus two additional years) may be made available for
other section 5309 New Start projects. Therefore, corresponding funds
for projects identified in the FY 2012 conference report must be
obligated for the project by September 30, 2014.
5. Other Program or Apportionment Related Information and Highlights
Prior year FY 2010 and FY 2011 unobligated discretionary and non-
discretionary allocations for New Starts, including Urban Circulator
projects, in the amount of $1,323,217,298 remain available for
obligation in FY 2012. These unobligated amounts are displayed in Table
13.
H. Special Needs of Elderly Individuals and Individuals With
Disabilities Program (49 U.S.C. 5310)
This program provides formula funding to States for capital
projects to assist private nonprofit groups in meeting the
transportation needs of the elderly and individuals with disabilities
when the public transportation service provided in the area is
unavailable, insufficient, or inappropriate to meet these needs. A
State agency designated by the Governor administers the Section 5310
program. The State's responsibilities include: notifying eligible local
entities of funding availability; developing project selection
criteria; determining applicant eligibility; selecting projects for
funding; and ensuring that all sub-recipients 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) 366-0797.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $66,750,000 in contract
authority for the period October 1, 2011 through March 31, 2012 for 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, $67,055,892 remains available for
allocation to the States. The FY 2012 Elderly and Individuals with
Disabilities Program apportionments to the States are displayed in
Table 14.
Elderly and Individuals With Disabilities Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $66,750,000
FY 2011 Contract Authority.............................. 277,744
Oversight Deduction..................................... -335,139
Reapportioned Funds..................................... 363,287
---------------
Total Apportioned................................... 67,055,892
------------------------------------------------------------------------
2. Basis for Apportionment
FTA allocates funds to the States by an administrative formula
consisting of a $125,000 floor for each State ($50,000 for smaller
territories) with the balance allocated based on 2000 Census population
data for persons aged 65 and over and for persons with disabilities.
3. Requirements
Funds are available to support the capital costs of transportation
services for older adults and people with disabilities. Uniquely under
this program, eligible capital costs include the acquisition of
service. Seven specified States (Alaska, Louisiana, Minnesota, North
Carolina, Oregon, South Carolina, and Wisconsin) may use up to 33
percent of their apportionment for operating assistance under the terms
of the SAFETEA-LU Section 3012(b) pilot program.
Capital assistance is provided on an 80 percent Federal, 20 percent
local matching basis except that Section 5310(c) allows States eligible
for a higher match under the sliding scale for FHWA programs to use
that match ratio for Section 5310 capital projects. Operating
assistance is 50 percent Federal, 50 percent local. Funds provided
under other Federal programs (other than those of the DOT, with the
exception of the Federal Lands Highway Program established by 23 U.S.C.
204) may be used as match. Revenue from service contracts may also be
used as local match.
While the assistance is intended primarily for private non-profit
organizations, public bodies approved by the State to coordinate
services for the elderly and individuals with disabilities, or any
public body that certifies to the State that there are no non-profit
organizations in the area that are readily available to carry out the
service, may receive these funds.
States may use up to ten percent of their annual apportionment to
administer, plan, and provide technical assistance for a funded
project. No local share is required for these program administrative
funds. Funds used under this program for planning must be shown in the
United Planning Work Program (UPWP) for MPO(s) with responsibility for
that area.
The State recipient must certify that: The projects selected were
derived from a locally developed, coordinated public transit-human
services transportation plan; and, the plan was developed through a
process that included representatives of public, private, and nonprofit
transportation and human services providers and participation by the
public. The locally developed, coordinated public transit-human
services transportation planning process must be coordinated and
consistent with the metropolitan and statewide planning processes and
funding for the program must 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
sub-recipients 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
[[Page 1798]]
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 www.fta.dot.gov.
4. Period of Availability
Section 5310 funds are available for three years, which includes
the year of apportionment plus two. Fiscal Year 2012 Section 5310 funds
not obligated in an FTA grant for eligible purposes by September 30,
2014 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 sub-recipients.
6. Performance Measures
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, 2012. States should submit performance measures on behalf
of their sub-recipients. Information on the Section 5310 performance
measures can be found at http://www.fta.dot.gov/laws/circulars/leg_reg_6622.html.
I. Nonurbanized Area Formula Program (49 U.S.C. 5311)
This program provides formula funding to States and Indian Tribes
for the purpose of supporting public transportation in areas with a
population of less than 50,000. Funding may be used for capital,
operating, State administration, and project administration expenses.
Eligible sub-recipients 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) 366-0893.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $232,500,000 in contract
authority for the Nonurbanized Area Formula Program (49 U.S.C. 5311)
for the period October 1, 2011 through March 31, 2012. Thus far, the
total amount apportioned for the Nonurbanized Area Formula Program is
$269,879,990 after take-downs of two percent for the Rural
Transportation Assistance Program (RTAP), 0.5 percent for oversight,
and $7,500,000 for the Tribal Transit Program, and the addition of
Section 5340 funding for Growing States and of reapportioned funds, as
shown in the table below.
Nonurbanized Area Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................. $232,500,000
FY 2011 Contract Authority........................... 916,869
Oversight Deduction.................................. -1,167,337
Tribal Takedown...................................... -7,500,000
RTAP Takedown........................................ -4,650,000
Section 5340 Funds Added............................. 36,882,147
Reapportioned Funds.................................. 748,311
------------------
Total Apportioned................................ 269,879,990
------------------------------------------------------------------------
The FY 2012 Nonurbanized Area Formula apportionments to the States
are displayed in Table 15.
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 $36,729,317 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 2012
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 www.fta.dot.gov.
4. Period of Availability
Section 5311 Nonurbanized Area Formula Program funds are available
for
[[Page 1799]]
three years, which includes the year of appropriation, plus two. Fiscal
Year 2012 Nonurbanized Area Formula funds not obligated in an FTA grant
for eligible purposes by September 30, 2014 will revert to FTA for
reapportionment among the States under the Nonurbanized Area Formula
Program.
5. Other Program or Apportionment Related Information and Highlights
i. 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 sub-recipient, unless the sub-recipient 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 2012 Report Year, State or Territorial DOTs
must report on behalf of any sub-recipient receiving Section 5311
grants in 2012, or that continued to benefit in 2012 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 2012, or if they continued to benefit in 2012
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, www.ntdprogram.gov.
ii. 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 2011. Through this notice FTA extends the In-Kind Match
program through FY 2012. FTA published guidance on the in-kind match
pilot in the Federal Register on February 28, 2007, as Appendix 1 of
the Notice announcing the final revised circular 9040.1F, which is
available at www.fta.dot.gov.
J. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))
This program provides funding to assist in the design and
implementation of training and technical assistance projects, research,
and other support services tailored to meet the needs of transit
operators in nonurbanized areas. For more information about Rural
Transportation Assistance Program (RTAP) contact Lorna Wilson, Office
of Transit Programs, at (202) 366-0893.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $4,650,000 in contract
authority for RTAP (49 U.S.C. 5311(b)(2)), as a two percent takedown
from the funds appropriated for Section 5311 for the period October 1,
2011 through March 31, 2012. FTA has reserved 15 percent for the
National RTAP program. After the reservation for the National RTAP
program and the addition of FY 2011 contract authority and
reapportioned funds, thus far a total of 4,105,923 is available for
allocation to the States, as shown in the table below.
Rural Transit Assistance Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation............................ $4,650,000
FY 2011 Contract Authority..................... 19,348
National RTAP Takedown......................... -697,500
Reapportioned Funds............................ 134,075
------------------------
Total Apportioned.............................. 4,105,923
------------------------------------------------------------------------
Table 15 shows the FY 2012 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
Section 5311 RTAP funds are available for three years, which
includes the year the funds are made available to a project through a
notice of award, plus two.
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.
K. Public Transportation on Indian Reservations Program (49 U.S.C.
5311(c)(1))
FTA refers to this program as the Tribal Transit Program. It is
funded as a takedown from funds made available for the Section 5311
program. Eligible direct recipients are federally recognized Indian
Tribes. The funds are to be allocated for grants to Indian Tribes for
any purpose eligible under Section 5311, which includes capital,
operating, planning, and administrative assistance for rural public
transit services and rural intercity bus service. For more information
about the Tribal Transit Program contact Lorna Wilson, Office of
Transit Programs, at (202) 366-0893.
1. Funding Availability in FY 2012
Based on the Temporary Authorization, 2012 FTA is allocating
$7,500,000 for the Tribal Transit Program for the period October 1,
2011 through March 31, 2012. After the addition of available FY 2011
contract authority and reapportioned funds, and the deduction of FY
2012 funds apportioned to the program in FY 2011, a total of $8,020,905
is available for grants, as shown in the table below.
Tribal Transit Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriated...................................... $7,500,000
FY 2011 Contract Authority.............................. 31,207
FY 2011 Program Apportionment........................... -36,410
---------------
[[Page 1800]]
Reapportioned Funds..................................... 489,698
---------------
Total Apportioned................................... 8,020,905
------------------------------------------------------------------------
2. Basis for Allocation
Based on procedures developed in consultation with the Tribes, FTA
will issue a Notice of Funding Availability (NOFA) soliciting
applications for FY 2012 funds. Projects are competitively selected
based on the criteria published in the NOFA.
3. Requirements
FTA developed streamlined program requirements based on statutory
authority allowing the Secretary to determine the terms and conditions
appropriate to the program. These conditions are contained in the
annual NOFA. Beginning with grants awarded in FY 2009, the grant
agreement has incorporated the statement of warranty for labor
protective arrangements, and tribal grants will be submitted to the
Department of Labor (DOL) for information upon FTA approval. Projects
funded under the Tribal Transit Program are not required to have local
match.
4. Period of Availability
Section 5311 Tribal Transit funds are available for three years,
which includes the year of allocation, plus two. Fiscal Year 2012
Tribal Transit funds announced during FY 2012 that are not obligated in
an FTA grant for eligible purposes by September 30, 2014 may be made
available for other Tribal Transit projects under Section 5311 during
the following fiscal year.
5. Other Program Changes and Highlights
The funds set aside for the Tribal Transit Program are not meant to
replace or reduce funds that Indian Tribes receive from States through
the Section 5311 program but are to be used to enhance public
transportation on Indian reservations and transit serving tribal
communities. Funds allocated to Tribes by the States may be included in
the State's Section 5311 application or awarded by FTA in a grant
directly to the Tribe. We encourage Tribes intending to apply to FTA as
direct recipients to contact the appropriate FTA regional office at the
earliest opportunity.
Technical assistance for Tribes may be available from the State DOT
using the State's allocation of RTAP or funds available for State
administration under Section 5311, from the Tribal Transportation
Assistance Program (TTAP) Centers supported by FHWA, and from the
Community Transportation Association of America under a program funded
by the United States Department of Agriculture (USDA). The National
RTAP will also be developing new resources for Tribal Transit. The
National RTAP program, in conjunction with FTA, will be hosting a
Tribal Transit Training and Technical Assistance meeting in Scottsdale,
Arizona from March 18-21, 2012. Tribes who have active grants with
FTA's Tribal Transit program are encouraged to attend the two and half
day training session. For more information contact Lorna Wilson,
Program Manager at (202) 366-0893 or visit the National RTAP Web site
regarding preliminary conference logistics at http://www.nationalrtap.org.
Table 16 lists prior year carryover of $6,373,776 for Tribal
Transit program projects allocated project funding in FY 2010. The FY
2010 allocations were announced on March 30, 2011 and are available for
obligation until September 30, 2013. For more information about the FY
2011 Tribal Transit program selections announced on December 1, 2011,
please visit www.fta.dot.gov/tribaltransit. FTA anticipates publishing
its FY 2011 Tribal Transit Program Notice of Award, formally announcing
the FY 2011 program selections, in the Federal Register in early
January.
L. Growing States and High Density States Formula Factors (49 U.S.C.
5340)
The Temporary Authorization, 2012 makes $232,500,000 in contract
authority 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 for the period October 1, 2011 through March 31,
2012. After the addition of available FY 2011 contract authority, a
total of $233,467,424 is available for apportionment. 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,'' for purposes of this program, is defined to
mean only 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 estimates as of July 1,
2010 were used in the FY 2012 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.
M. Job Access and Reverse Commute Program (49 U.S.C. 5316)
The Job Access and Reverse Commute (JARC) program provides formula
funding to States and Designated Recipients to support the development
and maintenance of job access projects designed to transport welfare
recipients and low-income individuals to and from jobs and activities
related to their employment, and for reverse commute projects designed
to transport residents of UZAs and other than urbanized areas to
suburban employment opportunities. For more information about the JARC
program contact Gil Williams, Office of Transit Programs, at (202) 366-
0797.
1. Funding Availability in FY 2012
The Temporary Authorization, 2012 provides $82,250,000 in contract
authority for the JARC Program for the period October 1, 2011 through
March 31, 2012. The Appropriations Act, 2012 allows for a takedown of
one percent of JARC program funds for oversight. After this takedown of
one percent for oversight, and the addition of available FY 2011
contract authority and reapportioned funds, a total of 95,047,060 is
thus far available for allocation to the States, as shown in the table
below.
Job Access and Reverse Commute Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $82,250,000
FY 2011 Contract Authority.............................. 342,239
Oversight Deduction..................................... -822,500
Reapportioned Funds..................................... 13,277,321
---------------
Total Apportioned................................... 95,047,060
------------------------------------------------------------------------
Table 17 shows the FY 2012 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
[[Page 1801]]
(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 sub-recipients 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 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 sub-recipients 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 www.fta.dot.gov.
4. Period of Availability
Section 5316 JARC funds are available for three years, which
includes the year of apportionment, plus two. Fiscal Year 2012 JARC
funds not obligated in an FTA grant for eligible purposes by September
30, 2014 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
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 sub-recipients. 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.
N. New Freedom Program (49 U.S.C. 5317)
SAFETEA-LU established the New Freedom Program under 49 U.S.C.
5317. The program purpose is to provide new public transportation
services and public transportation alternatives beyond those currently
required by the
[[Page 1802]]
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) 366-0797.
1. Funding Availability in FY 2012
The Temporary Authorization, 2012 provides $46,250,000 in contract
authority for the New Freedom Program for the period October 1, 2011
through March 31, 2012. After the addition of available FY 2011
contract authority and reapportioned funds, a total of 54,405,514 is
available for allocation to the States, as shown in the table below.
New Freedom Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriated...................................... $46,250,000
FY 2011 Contract Authority.............................. 192,445
Reapportioned Funds..................................... 7,963,069
---------------
Total Apportioned................................... 54,405,514
------------------------------------------------------------------------
Table 18 shows the FY 2012 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 sub-recipients through a competitive selection process. If the
Governor has designated more than one recipient of New Freedom funds in
a large UZA, the Designated Recipients may agree to conduct a single
competitive selection process or sub-allocate funds to each Designated
Recipient, based upon a percentage split agreed on locally and conduct
separate competitions.
3. Requirements
States and Designated Recipients must solicit grant applications
and select projects competitively, based on application procedures and
requirements established by the Designated Recipient, consistent with
the Federal New Freedom program objectives. In the case of large UZAs,
the area-wide solicitation shall be conducted in cooperation with the
appropriate MPO(s).
Funds are available to support the capital and operating costs of
new public transportation services and public transportation
alternatives that are beyond those required by the Americans with
Disabilities Act (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 increased 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 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 sub-recipients 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
www.fta.dot.gov.
4. Period of Availability
Section 5317 New Freedom funds are available for three years, which
includes the year of apportionment, plus two. Fiscal Year 2012 New
Freedom funds not obligated in an FTA grant for eligible purposes by
September 30, 2014 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
Transfers to Section 5307 or 5311: States may transfer New Freedom
funds to Section 5307 or Section 5311, but only for projects
competitively selected
[[Page 1803]]
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 sub-recipients. 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.
O. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320)
The Paul S. Sarbanes Transit in Parks Program (Transit in Parks),
formally the Alternative Transportation in Parks and Public Lands
(ATPPL) Program, is administered by FTA in partnership with the
Department of the Interior (DOI) and the U.S. Department of
Agriculture's Forest Service. The purpose of the program is to enhance
the protection of national parks and Federal lands, and increase the
enjoyment of those visiting them. The Program funds capital and
planning expenses for alternative transportation systems such as buses,
trams, ferries and bicycle or pedestrian facilities in federally-
managed parks and public lands. Federal land management agencies and
State, tribal and local governments acting with the consent of a
Federal land management agency are eligible to apply.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $13,450,000 in contract
authority to the Paul S. Sarbanes Transit in Parks Program for the
period October 1, 2011 through March 31, 2012. After the addition of
available FY 2011 contract authority and the deduction for oversight, a
total of $13,438,435 is available for grants, as shown in the table
below. Up to ten percent of the funds may be reserved for planning,
research, and technical assistance.
Paul S. Sarbanes Transit in Parks Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriated...................................... $13,450,000
FY 2011 Contract Authority.............................. 55,965
Oversight Deduction..................................... 67,530
---------------
Total Apportioned................................... 13,438,435
------------------------------------------------------------------------
As stated in the FY 2011 Notice of Funding Availability, FY 2012
funds may be used to fund project applications received in response to
the 2011 program competition. An announcement of project selections
using both FY 2011 and FY 2012 funds will be published in or around
January 2012. Depending upon the availability of additional full-year
funding, FTA may publish a separate notice of Funding Availability
(NOFA) in the Federal Register inviting additional applications for
funding in FY 2012. For information on the FY 2011 program competition
and award announcements, please visit www.fta.dot.gov/transitinparks.
2. Program Requirements
Projects are competitively selected based on criteria specified in
the Notice of Funding Availability. The terms and conditions applicable
to the program are also specified in the NOFA. Projects must conserve
natural, historical, and cultural resources, reduce congestion and
pollution, and improve visitor mobility and accessibility. By statute,
no more than 25 percent of the amount provided may be allocated for any
one project. Projects funded under the Transit in Parks Program are not
required to have local match.
3. Period of Availability
Funds awarded under the Transit in Parks Program remain available
until expended. Consistent with section 9.5.2a of the ``Department of
Transportation Financial Management Policies Manual (October 24, 2006),
funds awarded to Federal land management agencies through interagency
agreements remain available for a period of five years from execution
of the agreement.
P. Alternatives Analysis Program (49 U.S.C. 5339)
The Alternatives Analysis Program provides grants to States,
authorities of the States, metropolitan planning organizations, and
local government authorities to develop studies as part of the
transportation planning process. These studies include: an assessment
of a wide range of public transportation alternatives designed to
address transportation needs in a defined corridor or subarea; an
initiation of the environmental review process by performing the
planning-level consideration of environmental issues; sufficient
information to enable the Secretary to make the findings of project
justification and local financial commitment required under the Major
Capital Investment Program (New Starts and Small Starts); the selection
of a locally preferred alternative; and the adoption of the locally
preferred alternative as part of the Long Range Statewide
Transportation Plan or Metropolitan Transportation Plan. For more
information about this program contact Kenneth Cervenka, Office of
Planning and Environment, at (202) 493-0512, or for information about
published allocations contact Eric Hu, Office of Transit Programs, at
(202) 366-0870.
1. FY 2012 Funding Availability
The Temporary Authorization, 2012 provides $12,500,000 in contract
authority to the Alternatives Analysis Program for the period October
1, 2011 through March 31, 2012. After the addition of available FY 2011
contract authority, a total of $12,552,012 is currently available for
grants, as shown in the table below.
Alternatives Analysis Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriated...................................... $12,500,000
FY 2011 Contract Authority.............................. 52,012
---------------
Total Apportioned................................... 12,552,012
------------------------------------------------------------------------
2. Requirements
The Government's share of the cost of an activity funded may not
exceed 80 percent of the cost of the activity. The funds will be
awarded as separate Section 5339 grants. The grant requirements will be
comparable to those for Section 5309 grants. Eligible projects include
planning and corridor studies, which lay the foundation for the
adoption of locally preferred alternatives within the fiscally
constrained Metropolitan Transportation Plan for that area, and early
scoping of the environmental review process, which supports the
incorporation of the planning studies' results into subsequent NEPA
documents. Funds awarded under the Alternatives Analysis Program must
be shown in the UPWP for MPO(s) with responsibility for that area. Pre-
award authority for Section 5339 funds applies to projects only after
FTA funding allocations for a particular fiscal year are published in
an FTA notice of apportionments and allocations. For
[[Page 1804]]
more information on pre-award authority see Section V of this notice.
Unless otherwise specified in law, grants made under the
Alternatives Analysis program must meet all other eligibility
requirements as outlined in Section 5309.
3. Period of Availability
Section 5338 Alternatives Analysis funds are available for three
years, which includes the year the funds are allocated to a project
through a notice of award or the year of appropriation, plus two.
4. Other Program or Apportionment Related Information and Highlights
Table 19 lists prior year carryover of $15,031,000 for Alternatives
Analysis projects allocated project funding in FY 2010. Funding for
these projects not obligated in an FTA grant by September 30, 2012 may
be made available for other Alternatives Analysis projects during the
next fiscal year. For more information about the FY 2011 Alternatives
Analysis award announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28779.pdf. (Federal Register Citation: 76 FR
68813--FY 2011 Discretionary Livability Funding Opportunity; Section
5309 Bus and Bus Facilities Livability Initiative Program Grants and
Section 5339 Alternatives Analysis Program, November 7, 2011).
Q. Over-the-Road Bus Accessibility Program (Section 3038, Pub. L. 105-
85 [49 U.S.C. 5310 Note])
The Over-the-Road Bus Accessibility (OTRB) Program authorizes FTA
to make grants to operators of over-the-road buses to help finance the
incremental capital and training costs of complying with the DOT over-
the-road bus accessibility final rule, 49 CFR Part 37, published on
September 28, 1998 (63 FR 51670). FTA conducts a national solicitation
of applications, and grantees are selected on a competitive basis. For
more information about the OTRB program contact Blenda Younger, Office
of Transit Programs, at (202) 366-4345.
1. Funding Availability in FY 2012
The Temporary Authorization, 2012 provides $4,400,000 in contract
authority to the Over-the-Road Bus Accessibility Program for the period
October 1, 2011 through March 31, 2012. After the addition of available
FY 2011 contract authority, a total of $4,418,308 is thus far available
for grants, as shown in the table below.
Over-the-Road Bus Accessibility Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriated...................................... $4,400,000
FY 2011 Contract Authority.............................. 18,308
---------------
Total Apportioned................................... 4,418,308
------------------------------------------------------------------------
Of this amount, $3,313,731 is allocable to providers of intercity
fixed-route service, and $1,104,577 to other providers of over-the-road
bus services, including local fixed-route service, commuter service,
and charter and tour service.
2. Program Requirements
Projects are competitively selected. The Federal share of the
project is 90 percent of net project cost. Program guidance is provided
in the Federal Register notice soliciting applications. Assistance
under the program is available to private operators of over-the-road
buses that are used substantially or exclusively in intercity, fixed
route and over-the-road bus service. Assistance is also available to
private operators of over-the-road buses in other services, such as
charter, tour, and commuter service. Capital projects eligible for
funding include projects to add lifts and other accessibility
components to new vehicle purchases and to purchase lifts to retrofit
existing vehicles. Eligible training costs include developing training
materials or providing training for local providers of over-the-road
bus services. A comprehensive listing of program requirements is
published annually in the OTRB Program Notice of Funding Availability
(NOFA).
3. Period of Availability
FTA has observed that some private operators selected to receive
funding under this program have not acted promptly to obligate the
funds in a grant and request reimbursement for expenditures. While the
program does not have a statutory period of availability, in the FY
2008 Apportionment Notice, FTA published its intention to limit the
period of availability to a selected operator to three years, which
includes the year of allocation plus two additional years. Over the
Road Bus funds allocated to projects in March 2011 must be obligated in
an FTA grant by September 30, 2013. (Federal Register Citation: 76 FR
17738--Over-the-Road Bus Accessibility Program Announcement of Project
Selections, March 30, 2011; http://www.gpo.gov/fdsys/pkg/FR-2011-03-30/pdf/2011-7409.pdf)
4. Other Program or Apportionment Related Information and Highlights
FTA will publish a notice of award for the FY 2011 program
competition and a NOFA soliciting 2012 applications in early calendar
year 2012. The notice will be available at http://www.fta.dot.gov/legislation_law/Federal_register_notices.php. For more information
about the Over the Road Bus Program, visit www.fta.dot.gov/otrb.
R. Research Programs (49 U.S.C. 5312, 5313, 5314, 5322 and 5506)
FTA's Research Programs (NRPs) include the National Research and
Technology Program (NRTP), the Transit Cooperative Research Program
(TCRP), the National Transit Institute (NTI), and the University
Transportation Centers Program (UTC). Funds for FTA Human Resource
Programs are also provided under the Research appropriations account
heading.
Through funding under these programs, FTA seeks to deliver
solutions that improve public transportation. For more information
contact Linda Wolfe, Office of Research, Demonstration and Innovation,
at (202) 366-8511.
1. Funding Availability in FY 2012
The Appropriations Act, 2012 appropriated $44,000,000 under the
Research and University Research Centers account heading for FY 2012.
Of this amount, Congress specified that $6,500,000 is allocated for
TCRP, $3,500,000 for NTI, $4,000,000 for the UTC. As requested in the
conference report accompanying the Appropriations Act, 2012, FTA
intends to direct $25,000,000 to fund the research, development,
demonstration and deployment of new and cutting edge bus and transit
technologies authorized under section 5312 of chapter 53. The remaining
$5,000,000 is available to fund eligible projects under section 5306,
5312-15, 5322, and 5506. All research and research and development
projects, as defined by the Office of Management and Budget, are
subject to a 2.6% reduction for the Small Business Innovative Research
Program (SBIR).
2. Program Requirements
Program Requirements are defined in FTA Circular 6100.1D Research,
Technical Assistance, and Training Programs: Application Instructions
and Program Management Guidelines published on May 1, 2011 and
available at www.fta.dot.gov. Projects must support FTA's Strategic
Goals and meet the Office of Management and Budget's Research and
Development Investment
[[Page 1805]]
Criteria. All recipients are required to work with FTA to develop
approved Statements of Work and plans to evaluate results before award.
Eligible activities under the National Research Program include
research, development, demonstration and deployment projects as
described in 49 U.S.C. 5312(a); Joint Partnership projects for
deployment of innovation as described in 49 U.S.C. 5312(b);
International Mass Transportation Projects as described in 49 U.S.C.
5312(c); Unless otherwise specified in law, all projects must meet one
of these eligibility requirements.
Problem Statements for TCRP can be submitted on TCRP's Web site:
http://www.tcrponline.org. Information about NTI courses can be found
at http://www.ntionline.com. UTC funds are transferred to the Research
and Innovative Technology Administration to make awards.
3. Period of Availability
Funds are available until expended.
4. Other Program or Apportionment Related Information and Highlights
Funds not designated by Congress for specific projects and
activities will be programmed by FTA based on national priorities.
Opportunities are posted in www.grants.gov under Catalogue of Federal
Domestic Assistance Number 20.514.
S. Washington Metropolitan Area Transit Authority Grants
The Appropriations Act, 2012 appropriated $150,000,000 in funding
this fiscal year for grants to the Washington Metropolitan Transit
Authority, WMATA. Such funding is authorized under section 601 of the
Passenger Rail Investment and Improvement Act of 2008. See Public Law
110-432, Division B, Title VI. Grants may be provided for capital and
preventive maintenance expenditures for WMATA after it has been
determined that WMATA has placed the highest priority on investments
that will improve the safety of the system, including but not limited
to fixing the track signal system, replacing 1000 series cars,
installing guarded turnouts, buying equipment for wayside worker
protection, and installing rollback protection on cars that are not
equipped with the safety feature. FTA will communicate further program
requirements directly to WMATA.
V. FTA Policy and Procedures for FY 2012 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, or for an eligible activity but at an
inappropriate time (e.g., prior to NEPA completion), 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 when 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 an eligible
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. Since that time, FTA has extended the same pre-
award authority through FY 2011. 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:
i. 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 and the grantee is otherwise eligible to receive
the funding. 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
(as defined in FTA Circular 9040.1F, Section 6). 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.
ii. 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.
iii. Pre-award authority for design and environmental work on a
capital project is triggered by the authorization of formula funds, the
appropriation of
[[Page 1806]]
funds for a earmarked project, or the announcement of competitively
selected projects.
iv. Following authorization of formula funds or appropriation and
publication of earmarked projects or the announcement of competitively
selected 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. 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.
v. 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 (e.g., published in a Federal Register Notice
of Award). For Section 5309 Capital Investment Bus and Bus-Related
Facilities, Clean Fuels Program, or other transit capital discretionary
projects, the date that costs may be incurred is: (1) For design and
environmental review, the appropriations act which directs funds to the
project was enacted or the announcement of the discretionary allocation
of funds for the project; and (2) for property acquisition, demolition,
construction, and acquisition of vehicles, equipment, or construction
materials, the date that FTA approves the document (Record of Decision
(ROD), Finding of No Significant Impact (FONSI), or Categorical
Exclusion (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.
vi. The pre-award authority described above does not apply to
Section 5309 Capital Investment Program (New and Small Starts) funds.
Specific instances of pre-award authority for Capital Investment
Program projects are described in paragraph 4 below. 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.
vii. 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:
i. Pre-award authority is not a legal or implied commitment that
the subject project will be approved for FTA assistance or that FTA
will obligate Federal funds. Furthermore, it is not a legal or implied
commitment that all items undertaken by the applicant will be eligible
for inclusion in the project.
ii. All FTA statutory, procedural, and contractual requirements
must be met.
iii. 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.
iv. 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.
v. 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.
vi. For funds to which the pre-award authority applies, the
authority expires with the lapsing of the fiscal year funds.
vii. When a grant for the project is subsequently awarded, the
Financial Status Report, in TEAM-Web, must indicate the use of pre-
award authority.
viii. Planning, Environmental, 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.
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 or
[[Page 1807]]
maintenance 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 (CE), or has issued a Finding of No Significant Impact
(FONSI) or a Record of Decision (ROD), in accordance with FTA
environmental regulations, 23 CFR Part 771. For a planning project to
have pre-award authority, the planning project must be included in a
MPO-approved Unified Planning Work Program (UPWP) that has been
coordinated with the State.
ix. 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.
x. 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 the Major Capital Investment Program (New
and Small Starts Projects)
i. Preliminary Engineering (PE), Final Design (FD), and Project
Development (PD). Projects proposed for Section 5309 capital investment
program 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 later into 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 for a New Starts
project, FTA extends pre-award authority to incur costs for utility
relocation, real property acquisition and associated relocations, and
vehicle purchases, which activities 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 for a Small Starts project, FTA
extends pre-award authority to incur costs for utility relocation, real
property acquisition and associated relocations, and vehicle purchases,
which activities 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.
ii. 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 major
capital investment program (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
[[Page 1808]]
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-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 0construction is still not yet
assured.
iii. 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 (i.e., CE) 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, 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, or that includes a project grouping under 23 CFR
450.216(j) that includes the project. The grant applicant must notify
the FTA regional office upon initiation of the Federal environmental
review process in accordance with the ``Dear Colleague'' letter from
the FTA Administrator dated February 24, 2011. 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. 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), or the flexible highway programs (STP and CMAQ).
FTA assistance for environmental documents for New Starts and Small
Starts projects is subject to certain additional restrictions. Under
SAFETEA-LU, Section 5309 capital investment program funds (New and
Small Starts) 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
the grant applicant seek reimbursement of Section 5309 major capital
improvement program funds for NEPA work conducted after the PE or PD
approval. Prior to PE or PD approval, any NEPA related work for a New
Starts or Small Starts project can only be reimbursed through the use
of Section 5339 (Alternatives Analysis Program), Section 5307
(Urbanized Area Formula Program) and the flexible highway programs.
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. NEPA-related
activities do not include PE activities beyond those necessary for NEPA
compliance. As with any pre-award authority, FTA reimbursement for
costs incurred is not guaranteed.
iv. Other New and Small Starts Project Activities Requiring Letter
of No Prejudice (LONP). Except as discussed in paragraphs a through c
above, a project sponsor must obtain a written LONP from FTA before
incurring costs for any activity expected to be funded by major capital
investment program 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 capital
investment program (New Starts or Small Starts) projects undertaking
activities not covered under automatic pre-award authority, or for
Section 5309 Bus and Bus-Related projects authorized but not yet
appropriated funds 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 Planning, Environmental 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
determination.
[[Page 1809]]
3. Request for LONP
Before incurring costs for project activities 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
under the major capital investment program 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:
i. Description of the activities to be covered by the LONP.
ii. 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.
iii. Allocated level of risk and contingency for the activity
requested.
iv. Status of procurement progress, including, if appropriate,
submittal of bids and expiration of those bids for the activities
covered by the LONP.
v. Strength of the capital and operating financial plan for the New
or Small Starts project and the future transit system.
vi. Adequacy of the Project Management Plan.
vii. Resolution of any readiness issues that would affect the
project, such as land acquisition, status of third party agreements,
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 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 2012 Annual List of Certifications and Assurances
The full text of the FY 2012 Certifications and Assurances was
published in the Federal Register on November 1, 2011, and is available
on the FTA Web site and in TEAM-Web. The FY 2012 Certifications and
Assurances must be used for all grants made in FY 2012, including
obligation of carryover funds. All grantees with active grants are
required to have signed the FY 2012 Certifications and Assurances
within 90 days after publication. Any questions regarding this document
may be addressed to the appropriate Regional Office or to FTA's Office
of Administration at (202) 366-4022.
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 options in transportation funding by including substantial
flexibility to transfer funds between FTA and FHWA formula program
funding categories. The provisions also allow for transfer of certain
discretionary program funds for administration of highway projects by
FHWA and transit projects by FTA. FTA and FHWA execute Flex Funding
Transfers between the Formula and Bus Grants Transit programs and the
Federal Aid Highway programs. 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.
1. Transfer Process for Funds
SAFETEA-LU was signed into law on August 10, 2005. With the
enactment of SAFETEA-LU, beginning in FY2006, 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 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 budget authority
(obligation limitation) between the Federal Aid Program trust fund
account and the Federal Transit Formula and Bus Grant Program account.
At the point in time that the obligation resulting from the transfer of
budgetary authority is expended, a transfer of liquidating cash will be
required.
Beginning in FY 2007, the accounting process was changed for
transfers of flex funds and other specific programs to allow budget
authority and the liquidating cash to be transferred separately. FTA
requires that flex fund transfers to FTA be in separate and
identifiable grants in order to ensure that the draw-down of flexed
funds can be tracked, thus securing the internal controls for
monitoring these resources from the Federal Highway Administration to
avoid deficiencies in FTA's Formula and Bus Grants account.
FTA monitors the expenditures of flexed funded grants and requests
the transfer of liquidating cash from FHWA to ensure sufficient funds
are available to meet expenditures. To facilitate tracking of grantees'
flex funding expenditures, FTA developed codes to provide distinct
identification of ``flex funds.''
The process for transferring flexible funds between FTA and FHWA
programs is described below. Note that the new transfer process for
``flex funds'' that began in FY 2007 does not apply to the transfer of
funds from FHWA to FTA to be combined with Metropolitan and Statewide
Planning and Research 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 Nancy Grubb, FTA
Budget Office, at (202) 366-1635; or FHWA Budget Division, at (202)
366-2845.
i. 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
[[Page 1810]]
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
budget 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 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 guidance on project
eligibility under the CMAQ program in a Notice at 73 FR 62362 et seq.
(October 1, 2008) 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.
In the event that transferred formula funds are not obligated for
the intended purpose within the period of availability of the formula
program to which they were transferred, they become available to the
Governor for any eligible capital transit project. Earmarked funds,
however, can only be used for the congressionally designated purposes.
ii. 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.
2. 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 to increase 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. Civil Rights Requirements
Recipients of FTA funds are reminded that they must comply with all
applicable civil rights requirements. All recipients must submit a
Title VI program on a triennial basis, consistent with Title VI of the
Civil Rights Act of 1964 and subsequent implementing regulations.
Specifically, recipients are encouraged to consult their Regional Civil
Rights Officer (RCRO) and FTA Circular 4702.1A, ``Title VI and Title
VI-Dependent Guidelines for Federal Transit Administration
Recipients,'' dated May 13, 2007; and Part II, Section 114(c) of the
FTA Agreement to develop this program. Recipients receiving $250,000 or
more in planning, capital or operating assistance are reminded that
under 49 CFR Part 26, they must have a Disadvantaged Business
Enterprise (DBE) program and develop a triennial DBE goal. The FTA
Reporting Schedule for Recipients' 3 year Goal for Disadvantage
Business Enterprise Programs can be found on FTA's DBE Web site under
``DBE Guidance'' at http://www.fta.dot.gov/civilrights/12326_13310.html. FTA funding recipients that have 50 or more transit-related
employees, and that have received capital or operating assistance in
excess of $1,000,000 or planning assistance in excess of $250,000 in
the
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previous Federal fiscal year, are required to provide an EEO program
submission pursuant to Title VII of the Civil Rights Act of 1964; Title
49, Chapter 53, Section 5332 of the United States Code and FTA Circular
4704.1, ``Equal Employment Opportunity Program Guidelines for Grant
Recipients,'' dated July 26, 1988.
Recent changes to 49 CFR Part 26, the USDOT's DBE regulation,
became effective in February 2011. Pursuant to those changes, all
recipients who are required to have DBE programs in place must now also
have a small business participation element in their DBE program.
Recipients must submit to FTA by February 28, 2012, an amendment to the
DBE program plan that sets forth in detail the steps to be taken to
facilitate competition by small business concerns. Specifically,
fostering small business participation includes taking all reasonable
steps to eliminate obstacles to their participation, including
unnecessary and unjustified bundling of contract requirements that may
preclude small business participation in procurements as prime
contractors or subcontractors. Tools that recipients may choose to
utilize in their small business program could include establishing a
race-neutral small business set-aside goal in contracts, requiring
prime contractors to provide subcontracting opportunities of the type
size that small businesses, including DBEs, can reasonably perform,
identifying alternative acquisition strategies and structuring
procurements to facilitate the ability of consortia or joint ventures
consisting of small businesses, including DBEs to compete for an
perform prime contacts. The small business program amendment may be
submitted as a standalone document, but it should also be incorporated
into the recipient's existing DBE program. Please be advised that if
you have not updated your DBE program in the last two years, you are
encouraged to consult with your Regional Civil Rights Officer as there
may be other updates necessary for you to bring your DBE program into
full compliance with 49 CFR Part 26. Please visit FTA's Web site at
http://www.fta.dot.gov/civilrights/12326.html for guidance on the small
business requirements. In addition, once you have developed your small
business program, you must attach the full version of your DBE Program
containing the new section into FTA's Transportation Electronic Award
Management (TEAM) system. Again, you must submit your small business
program within your DBE Program to FTA by February 28, 2012, and that
program must be loaded into TEAM. Paper submissions to FTA will not be
accepted.
Please also be advised that recipients in an urbanized area of
200,000 or more must analyze the impact of any proposed changes to
transit service and fares. It is important that you conduct this
analysis now under the existing requirements. This is true even as we
consider changes to FTA's Title VI Circular 4702.1A itself, via the
proposal that was published in the Federal Register on September 29,
2011.
Specifically, Chapter V of FTA's Title VI Circular, ``Program-
Specific Requirements and Guidelines for Recipients Serving Large
Urbanized Areas'' sets out directives that include, most notably, the
requirement to properly assess the impacts of service and fare changes.
In other words, public transportation agencies serving large urbanized
areas must conduct a service and fare equity analysis at the planning
and programming stages to determine whether service and/or fare changes
have a discriminatory impact. Service change analysis is required both
for service reductions and service improvements. FTA has developed a
service and fare analysis questionnaire that can also assist you by
following this link: http://www.fta.dot.gov/civilrights/12881.html. In
addition, although our proposed changes to the Title VI Circular are
not final, you may find the examples included in the appendices of the
proposed circular helpful as you develop your service and fare
analysis. You can review the proposed Circular at the following link:
http://www.fta.dot.gov/12349_13816.html. Please submit this analysis
to FTA in advance of implementing the changes by attaching the full
version to FTA's TEAM system.
As always, FTA staff stands ready to assist you with civil rights
compliance. Please check the FTA civil rights web page for training
opportunities. You can also contact your regional civil rights officer
for assistance.
F. Deferred Local Share
A recipient may request on a case by case basis that the local
share for a project funded with FTA formula funds be deferred until 100
percent of the Federal funds have been drawn down. A request for the
deferral must accompany the grant application. FTA must approve the
deferral of local share prior to obligating the grant for which the
local share is deferred. Approval is contingent upon the deferral's
resulting in benefits to transit and upon the recipient's demonstrating
that the recipient has the financial capacity to complete the project.
In order to complete the project, the local funds must be available to
match all the Federal funds that were previously drawn down.
Deferred local share does not apply to FTA discretionary programs.
Generally, FTA will not approve retroactive deferral of local share. In
exceptional circumstances, FTA may approve retroactive deferral of
local share, for example in response to a catastrophic event such as a
hurricane or flood where sources of local funds are temporarily
disrupted.
G. 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 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 2012
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 5th day of January, 2012.
Peter Rogoff,
Administrator.
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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, Tel. 8A36, Ft. Worth, TX 76102,
617-494-2055. Tel. 817-978-0550.
States served: Connecticut, Maine, States served: Arkansas,
Massachusetts, New Hampshire, Rhode Louisiana, Oklahoma, New
Island, and Vermont. Mexico and Texas.
Anthony Carr, Acting Regional Mokhtee Ahmad, Regional
Administrator, Region 2--New York, One Administrator, Region 7--
Bowling Green, Room 429, New York, NY Kansas City, MO, 901 Locust
10004-1415, Tel. 212-668-2170. Street, Room 404, Kansas City,
MO 64106, Tel. 816-329-3920.
States served: New Jersey, New York States served: Iowa, Kansas,
Missouri, and Nebraska.
New York Metropolitan Office, Region 2--
New York, One Bowling Green, Room 428,
New York, NY 10004-1415, Tel. 212-668-
2202.
Brigid Cherin-Hynes, Regional Terry Rosapep, Regional
Administrator, Region 3--Philadelphia, Administrator, Region 8--
1760 Market Street, Suite 500, Denver, 12300 West Dakota
Philadelphia, PA 19103-4124, Tel. 215- Ave., Suite 310, Lakewood, CO
656-7100. 80228-2583, Tel. 720-963-3300.
States served: Delaware, Maryland, States served: Colorado,
Pennsylvania, Virginia, West Virginia, Montana, North Dakota, South
and District of Columbia. Dakota, Utah, and Wyoming.
Philadelphia Metropolitan Office,
Region 3--Philadelphia, 1760 Market
Street, Suite 500, Philadelphia, PA
19103-4124, Tel. 215-656-7070.
Washington, D.C. Metropolitan Office,
1990 K Street NW., Room 510,
Washington, DC 20006, Tel. 202-219-
3562.
Yvette Taylor, Regional Administrator, Leslie T. Rogers, Regional
Region 4--Atlanta, 230 Peachtree Administrator, Region 9--San
Street NW., Suite 800, Atlanta, GA Francisco, 201 Mission Street,
30303, Tel. 404-865-5600. Room 1650, San Francisco, CA
94105-1926, Tel. 415-744-3133.
States served: Alabama, Florida, States served: American Samoa,
Georgia, Kentucky, Mississippi, North Arizona, California, Guam,
Carolina, Puerto Rico, South Carolina, Hawaii, Nevada, and the
Tennessee, and Virgin Islands. Northern Mariana Islands.
Los Angeles Metropolitan
Office, Region 9--Los Angeles,
888 S. Figueroa Street, Suite
1850, Los Angeles, CA 90017-
1850, Tel. 213-202-3952.
Marisol Simon, Regional Administrator, Rick Krochalis, Regional
Region 5--Chicago, 200 West Adams Administrator, Region 10--
Street, Suite 320, Chicago, IL 60606, Seattle, Jackson Federal
Tel. 312-353-2789. Building, 915 Second Avenue,
Suite 3142, Seattle, WA 98174-
1002, Tel. 206-220-7954.
States served: Illinois, Indiana, States served: Alaska, Idaho,
Michigan, Minnesota, Ohio, and Oregon, and Washington.
Wisconsin.
Chicago Metropolitan Office, Region 5--
Chicago, 200 West Adams Street, Suite
320, Chicago, IL 60606, Tel. 312-353-
2789.
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[FR Doc. 2012-249 Filed 1-10-12; 8:45 am]
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