[Federal Register Volume 77, Number 25 (Tuesday, February 7, 2012)]
[Notices]
[Pages 6178-6190]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-2752]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FY 2012 Discretionary Funding Opportunities: Bus and Bus
Facilities Programs (State of Good Repair and Bus Livability
Initiatives) and Clean Fuels Grant Program, Augmented With
Discretionary Bus and Bus Facilities Program Funds
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice of Funding Availability for FTA State of Good Repair,
Livability, and Environmental Sustainability Initiatives, Clean Fuels
Grant Program: Solicitation of Project Proposals.
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SUMMARY: The Federal Transit Administration (FTA) announces the
availability of Section 5309 Bus and Bus Facilities Program and Section
5308 Clean Fuels Program discretionary funds in Fiscal Year (FY) 2012.
There are two initiatives under the Bus and Bus Facilities capital
program: (1) State of Good Repair Initiative (SGR) and (2) Bus
Livability Initiative. FTA will distribute funds in support of the U.S.
Department of Transportation's (DOT) state of good repair, livability,
and environmental sustainability efforts.
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. Subject to funding availability by Congress, FTA will fund the
SGR and Bus Livability Initiatives with approximately $775 million
($650 million for SGR and $125 million for Bus Livability) of
unallocated Section 5309 Bus and Bus Facilities Program funds,
authorized by 49 U.S.C. 5309(b) as amended by Section 3011 of the Safe,
Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy
for Users (SAFETEA-LU), Public Law 109-59, August 10, 2005 and its
extensions. Subject to funding availability, FTA will make available
approximately $51.5 million from its FY 2012 Section 5308 Clean Fuels
Program to fund projects from non-attainment areas selected through the
Clean Fuels competition supplemented with additional Bus and Bus
Facilities program resources, as available for attainment areas.
This notice solicits proposals to compete for FY 2012 funding under
the aforementioned program and initiatives. Based on the timing of
Congressional appropriations and extensions of SAFETEA-LU, FTA may
award FY 2013 funding to proposals submitted under this notice.
This notice includes priorities established by FTA for these
discretionary funds, the criteria FTA will use to identify meritorious
projects for funding, and describes how to apply for funding under each
discretionary program. This announcement is available on the FTA Web
site at: http://www.fta.dot.gov. A synopsis of each funding
opportunity will be posted in the FIND module of the government-wide
electronic grants Web site at http://www.GRANTS.GOV. FTA will announce
final selections on the FTA Web site and may also announce selections
in the Federal Register.
DATES: Complete proposals for each program must be submitted by the
following due dates: SGR proposals are due by 11:59 pm EDT on March 22,
2012; Bus Livability proposals are due by 11:59 pm EDT on March 29,
2012; and Clean Fuels proposals are due by 11:59 pm EDT on April 5,
2012. All proposals must be submitted electronically through the
GRANTS.GOV APPLY function. Any agency intending to apply should
initiate the process of registering on the GRANTS.GOV site immediately
to ensure completion of registration before the submission deadline.
Instructions for applying can be found on FTA's Web site at http://www.fta.dot.gov/bus and http://fta.dot.gov/cleanfuels and in the
``FIND'' module of GRANTS.GOV.
FOR FURTHER INFORMATION CONTACT: Contact the appropriate FTA Regional
Office found at http://www.fta.dot.gov for proposal-specific
information and issues. For program-specific questions about applying
for the programs outlined in this notice, please contact the individual
listed below.
SGR Bus Initiative
Contact: Adam Schildge, Office of Program Management, (202) 366-
0778, email: adam.schildge@dot.gov. A TDD is available at 1-800-877-
8339 (TDD/FIRS).
Bus Livability Initiative
Contact: Bryce McNitt, Office of Budget and Policy, (202) 366-2618,
e-mail: bryce.mcnitt@dot.gov. A TDD is available at 1-800-877-8339
(TDD/FIRS).
Clean Fuels Grant Program
Contact: Vanessa Williams, Office of Program Management, (202) 366-
4818, email: vanessa.williams@dot.gov. A TDD is available at 1-800-877-
8339 (TDD/FIRS).
SUPPLEMENTARY INFORMATION:
Table of Contents
I. FTA Discretionary Programs Overview
A. Authority
B. Policy Priorities
II. Discretionary Programs Information
A. Bus and Bus Facilities Program: State of Good Repair (SGR)
Initiative
1. Program Description and Purpose
2. Eligibility Information
3. Evaluation Criteria, Review, and Selection
B. Bus and Bus Facilities Program: Bus Livability Initiative
1. Program Description and Purpose
2. Eligibility Information
3. Evaluation Criteria, Review, and Selection
C. Clean Fuels/Bus and Bus Facilities Program
1. Program Description and Purpose
2. Eligibility Information
3. Evaluation Criteria, Review, and Selection
III. Proposal and Submission Information for All Programs and
Initiatives
IV. Award Administration
V. Agency Contacts and Technical Assistance
Appendix A Discretionary Program Timeline
Appendix B Program Matrix
I. FTA Discretionary Programs Overview
A. Authority
Bus and Bus Facilities Program
Section 5309(b) of Title 49, United States Code, as amended by
Section 3011 of SAFETEA-LU, authorizes FTA's Bus and Bus Facilities
program as follows:
The Secretary may make grants under this section to assist State
and local governmental authorities in financing * * * capital
projects to replace, rehabilitate, and purchase buses and related
equipment and to construct bus-related facilities, including
programs of bus and bus-related projects for assistance to
subrecipients that are public agencies, private companies engaged in
public transportation, or private non-profit organizations.
Clean Fuels
The Clean Fuels Grant Program was first established as the Clean
Fuels Formula Program in Section 3008 of the Transportation Equity Act
for the 21st Century, Public Law 105-178, and June 9, 1998 (now
codified at 49 U.S.C. 5308)). The program is currently authorized as a
discretionary program
[[Page 6179]]
under Section 5308, as amended by Section 3010 of SAFETEA-LU.
B. Policy Priorities
Maintaining transit assets in a state of good repair, fostering
livable communities and promoting sustainable development, and
improving our Nation's environment through investments in clean energy
sources, have been key strategic goals of the Department of
Transportation (DOT) and FTA. By this notice, FTA announces subject to
the availability of funds approximately $826.5 million in FY 2012
discretionary resources to: (1) Help growing reinvestment needs and the
large backlog of transit assets needing repair or replacement; (2)
support tangible livability improvements within existing programs while
demonstrating the feasibility and value of such improvements; and (3)
promote the usage and development of energy efficient technologies that
reduce energy use, greenhouse gas emissions and other pollutants.
Projects funded as a result of this notice will further the
Department's state of good repair, livability, and environmental
sustainability efforts. As each discretionary funding opportunity has
separate eligibility and program requirements, FTA encourages proposers
to carefully consider which program to apply under. FTA will provide
approximately $650 million, subject to funding availability, in
unallocated FY 2012 discretionary Bus and Bus Facilities Program funds
for the State of Good Repair Initiative, approximately $125 million,
subject to funding availability, in unallocated FY 2012 Section 5309
Bus and Bus Facilities Program funds for the Bus Livability Initiative,
and approximately $51.5 million, subject to funding availability, for
the Clean Fuels Grant Program. FTA also intends to further its
environmental sustainability goals by allowing proposers in attainment
areas that are not eligible under the Clean Fuels Grant Program to
apply for projects which promote the use of clean fuels and fund those
projects with Bus and Bus Facilities program funds as appropriate.
Please refer to Appendix A for information on additional availability
of FTA funds.
State of Good Repair
Maintaining the nation's public transportation fleet,
infrastructure, and equipment in a state of good repair is essential to
providing reliable, high-quality, and safe transit services to the tens
of millions of Americans who depend on it daily. Transit not only
provides mobility options for the American public, but contributes to
the livability of our nation's communities and to environmental and
energy sustainability. However, given recent reductions in State and
local resources and the need to meet projected growth in demand for
transit service, many local transit agencies are finding it difficult
to meet their basic reinvestment needs. FTA's June 2010 National State
of Good Repair Assessment Study (National SGR Study) estimated a
combined $77.7 billion repair and replacement backlog in our nation's
bus and rail systems.
The state of repair of transit infrastructure is an important issue
for both large and small systems across the country. FTA's National SGR
Study indicates that roughly one-third of the nation's transit assets
are in either marginal or poor condition, implying that these assets
are near or have already exceeded their expected useful life. While
most of the $77.7 billion backlog is attributed to rail transit, more
than 40 percent of the nation's buses are also in poor to marginal
condition. The Study also estimates that an annual average of $14.4
billion in normal replacement expenditures by all levels of government
nationwide would be required to keep the backlog from getting larger.
This is the third year FTA has provided funding to support this key
strategic goal. To date, FTA has allocated over $1.5 billion to over
300 projects aimed at replacing or rehabilitating transit
infrastructure and for transit asset management systems.
Livable Communities and Sustainable Development
FTA has long fostered livable communities and sustainable
development through its various transit programs and activities. Public
transportation supports the development of communities, providing
effective and reliable transportation options that increase access to
jobs, recreation, health and social services, entertainment,
educational opportunities, and other activities of daily life, while
also improving mobility within and among these communities. Through
various initiatives and legislative changes over the last fifteen
years, FTA has allowed and encouraged projects that help integrate
transit into a community through neighborhood improvements and
enhancements to transportation facilities or services; make
improvements to areas adjacent to public transit facilities that may
facilitate mobility needs of transit users; or support other
infrastructure investments that enhance the use of transit and other
transportation options for the community.
On June 16, 2009, DOT Secretary Ray LaHood, U.S. Department of
Housing and Urban Development (HUD) Secretary Shaun Donovan, and U.S.
Environmental Protection Agency (EPA) Administrator Lisa Jackson
announced a new partnership to help American families in all
communities--rural, suburban and urban--gain better access to
affordable housing, more transportation options, and lower
transportation costs. DOT, HUD, and EPA created this high-level
interagency partnership to better coordinate federal transportation,
environmental protection, and housing investments.
Bus Livability will invest in projects that fulfill the following
six livability principles that serve as the foundation for the DOT-HUD-
EPA Partnership for Sustainable Communities:
Provide more transportation choices: Develop safe,
reliable, and economical transportation choices to decrease household
transportation costs, reduce our nation's dependence on foreign oil,
improve air quality, reduce greenhouse gas emissions and promote public
health.
Promote equitable, affordable housing: Expand location-
and energy-efficient housing choices for people of all ages, incomes,
races and ethnicities to increase mobility and lower the combined cost
of housing and transportation.
Enhance economic competitiveness: Improve economic
competitiveness through reliable and timely access to employment
centers, educational opportunities, services and other basic needs by
workers as well as expanded business access to markets.
Support existing communities: Target Federal funding
toward existing communities--through such strategies as transit-
oriented, mixed-use development and land recycling--to increase
community revitalization, improve the efficiency of public works
investments, and safeguard rural landscapes.
Coordinate policies and leverage investment: Align
policies and funding to remove barriers to collaboration, leverage
funding and increase the accountability and effectiveness of all levels
of government to plan for future growth, including making smart energy
choices such as locally generated renewable energy.
Value communities and neighborhoods: Enhance the unique
characteristics of all communities by investing in healthy, safe and
walkable neighborhoods--rural, urban or suburban.
[[Page 6180]]
Environmental Sustainability
A goal of the Obama Administration is to improve our Nation's
environment and to secure its energy future. The effective provision of
public transportation is a key part of this goal. The Administration
believes that we must commit ourselves to an economic future in which
the strength of our economy is not tied to the unpredictability of oil
markets.
FTA advances these energy and environmental goals by funding
projects that:
Enhance the quality of public transportation services.
Assist nonattainment and maintenance areas in achieving or
maintaining the National Ambient Air Quality standards for ozone and
carbon monoxide.
Support emerging clean fuel and advanced propulsion
technologies for transit buses and markets for those technologies.
Reduce greenhouse gas emissions of public transportation
systems.
II. Discretionary Programs Information
A. Bus and Bus Facilities Program: State of Good Repair (SGR)
Initiative
1. Program Description and Purpose
Improving and maintaining America's buses and bus facilities so
that the nation's public transportation systems are in good physical
condition and successfully accomplish their performance objectives is a
key strategic goal of DOT and FTA. This dimension of the SGR Initiative
is intended to contribute to the improvement of the condition of
transit capital assets by providing financial assistance for
recapitalization of buses and bus facilities. As part of the program,
FTA will prioritize the replacement and rehabilitation of intermodal
facilities that support the connection of bus service with multiple
modes of transportation, including but not limited to: Rail, ferry,
intercity bus and private transportation providers. In order to be
eligible for funding, intermodal facilities must have adjacent
connectivity with bus service. In addition, FTA will prioritize funding
for the development and implementation of new, or improvement of
existing, transit asset management systems. Public transportation asset
management means a strategic and systematic process of operating,
maintaining, and improving physical assets with a focus on both
engineering and economic analysis to identify a structured sequence of
maintenance, repair, rehabilitation, and replacement actions that will
achieve and sustain a desired state of good repair over the lifecycle
of the assets at minimum possible cost.
2. Eligibility Information
i. Eligible Proposers
``Direct Recipients'' within the meaning of FTA's Section 5307
Urbanized Area Formula program, States, or Indian Tribes are eligible
to submit proposals for this initiative. Proposals for funding eligible
projects in rural (nonurbanized) areas must be submitted as part of a
consolidated State proposal with the exception of nonurbanized projects
to Federally recognized Tribes. States and Direct Recipients may also
submit consolidated proposals for projects in urbanized areas.
Proposals shall contain projects to be implemented by the Recipient
or its subrecipients. Eligible subrecipients include public agencies,
private non-profit organizations, and private providers engaged in
public transportation.
ii. Eligible Expenses
Pursuant to 49 U.S.C. 5309(b)(3), FTA is authorized to make grants
to assist State and local governmental authorities in financing capital
projects to replace, rehabilitate, and purchase buses and related
equipment and to construct or rehabilitate bus-related facilities,
including programs of bus and bus-related projects for assistance to
subrecipients that are public agencies, private companies engaged in
public transportation, or private non-profit organizations.
Projects eligible for funding under the SGR Bus initiative are
capital projects. Eligible projects include, but are not limited to,
the purchase, replacement, or rehabilitation of, buses and vans and
related equipment (including Intelligent Transportation Systems (ITS),
fare equipment, and communication devices that are compliant with the
FCC's mandatory narrow-banding requirements); replacement or the
modernization of bus maintenance and revenue service (passenger)
facilities; replacement or modernization of intermodal facilities; and
the development and implementation of transit asset management systems.
This year, FTA will also consider expansion requests for bus
maintenance facilities and/or new equipment requests to the extent the
expansion or equipment is necessary to address current capacity
constraints that are limiting the agency's ability to maintain vehicles
and equipment in a state of good repair. All proposals must address the
objectives identified in the Program Purpose subsection above.
Funds made available under this initiative may not be used to fund
operating expenses, preventive maintenance, or any other expanded
capital eligibility items (for example, security drills, debt service
reserve, mobility management). Funds also may not be used to reimburse
projects that have incurred previous expenses absent evidence that FTA
issued a Letter of No Prejudice (LONP) for the project before the costs
were incurred. There is no blanket pre-award authority for projects to
be funded under this announcement before their identification in the
Federal Register of selected projects.
iii. Cost Sharing
Costs will be shared at the following ratio: 80 percent FTA/20
percent local contribution. FTA will not approve deferred local share
requests under this program. The Federal share may exceed 80 percent
for certain projects related to the Americans with Disabilities Act
(ADA) and the Clean Air Act (CAA) as follows: ADA--The Federal share is
90 percent for the cost of vehicle-related equipment or facilities
attributable to compliance with the ADA. (42 U.S.C. 12101 et seq.);
CAA--The Federal share is 90 percent for the cost of vehicle related
equipment or facilities (including clean-fuel or alternative-fuel
vehicle related equipment or facilities) attributable to compliance
with the CAA (42 U.S.C. 7401 et seq.). For administrative simplicity,
FTA allows recipients to compute the Federal share at 83 percent for
eligible ADA and CAA vehicle purchases. The 83 percent Federal share
does not apply to facilities. The award recipient must itemize the cost
of specific, discrete, facility-related items being purchased to be in
compliance with the ADA or the CAA in order to qualify for the Federal
share of 90 percent of the cost for these itemized elements.
A Federal share of 90 percent may also be applied to projects to
provide access for bicycles to public transportation facilities, to
provide shelters and parking facilities for bicycles in or around
public transportation facilities, or to install equipment for
transporting bicycles on public transportation vehicles.
3. Evaluation Criteria, Review and Selection
i. Project Evaluation Criteria
FTA will evaluate projects based on the proposals submitted
according to the following criteria. Each proposer is encouraged to
demonstrate the
[[Page 6181]]
responsiveness of a project to all of the selection criteria with the
most relevant information that the proposer can provide, regardless of
whether such information has been specifically requested or identified
in this notice. FTA will assess the extent to which a project addresses
the following criteria.
a. Demonstration of Need: FTA will evaluate each project to
determine its needs for resources. In addition to the project-specific
criteria below, this will include evaluating the project's impact on
service delivery and whether the project represents a one-time or
periodic need that cannot reasonably be funded from FTA program formula
allocations or State and/or local resources. This is the most important
criterion. To be recommended for funding under this initiative, a
proposal must receive a recommended or higher rating in this criterion.
1. For bus replacement or rehabilitation projects:
The age of the asset to be replaced or rehabilitated by
the proposed project, relative to its useful life.
The degree to which the proposed project addresses a
demonstrated and verifiable backlog of deferred maintenance.
Consistency with the proposer's bus fleet management plan.
Condition and performance of the asset to be replaced by
the
proposed project, as ascertained through field inspections or
otherwise, if available.
The project conforms to FTA's spare ratio guidelines.
The project improves energy efficiency or reduces energy
consumption/green house gas emissions. Proposers are encouraged to
provide information regarding the expected use of clean or alternative
sources of energy. Examples include the use or implementation of energy
efficient transit vehicles and retrofitting of existing vehicles with
energy efficient technologies which could also reduce direct emissions
such as electronic accessories, anti-idle technologies, and clean
fuels.
2. For bus facility and equipment projects (replacement and/or
expansion):
The age of the asset to be rehabilitated or replaced
relative to its useful life.
The degree to which the proposed project addresses a
demonstrated and verifiable backlog of deferred maintenance.
The degree to which the proposed project will enable the
agency to improve the maintenance and condition of the agency's fleet
and/or other related transit assets.
For expansion requests, the degree to which the proposed
project addresses a current capacity constraint that is limiting
ability of the agency to maintain vehicles and equipment in a state of
good repair.
The project supports emerging or advanced technologies and
green building initiatives for transit facilities and equipment.
3. For transit asset management system projects:
If asset management system development or upgrades are proposed,
the proposal shall describe, as applicable, the system element(s) the
proposer is seeking to improve; including:
How asset management plans/systems will be developed or
upgraded.
How asset inventories will be maintained physically and
fiscally.
How assets initial condition will be assessed.
How assets will be inspected and monitored, and at what
frequency.
How logistical decision support tools (including options
and tradeoff analysis) will be used in the proposer's day-to-day
operations.
Demonstrated long-term financial and management commitment
of the proposer to using the asset management system.
b. Planning and Local/Regional Prioritization: The extent to which
the proposed project is consistent with planning documents and local
priorities. This will involve assessing whether:
1. Project is consistent with the transit priorities identified in
the long range plan and/or contingency/illustrative projects. Proposer
should note if project could not be included in the financially
constrained Transportation Improvement Program (TIP)/Statewide
Transportation Improvement Program (STIP) due to lack of funding (if
selected, project must be in TIP and STIP before grant award).
2. Local support is demonstrated by availability of local match and
letters of support for the project.
3. In an area with more than one transit operator, the proposal
demonstrates coordination with, and support of, other transit
operators, or other related projects within the proposer's Metropolitan
Planning Organization (MPO) or the geographic region within which the
proposed project will operate.
c. Project Readiness: The extent to which the project is ready to
implement. FTA will assess whether:
1. Project is a Categorical Exclusion (CE) or the required
environmental work has been initiated or completed for construction
projects requiring an Environmental Assessment (EA) or Environmental
Impact Statement (EIS) under, among others, the National Environmental
Policy Act of 1969, as amended.
2. Project implementation plans are complete, including initial
design of facilities projects.
3. TIP/STIP can be amended (evidenced by MPO/State endorsement).
4. Project funds can be obligated and the project implemented
quickly, if selected.
5. Applicant demonstrates the ability to carry out the proposed
project successfully.
d. Technical, legal, and financial capacity to implement the
particular project proposed: FTA will evaluate whether:
1. The proposer has the technical capacity to administer the
project.
2. For fleet replacement, the acquisition is consistent with the
bus fleet management plan.
3. There are no outstanding legal, technical, or financial issues
with the grantee that would make this a high-risk project to implement
quickly.
4. The proposer has adequate financial systems in place and has
identified the source of local match if selected (no deferred local
share will be allowed).
5. The grantee is in fundable status for grant-making purposes.
ii. Review and Selection Process
In addition to other FTA staff that may review the proposals, a
technical evaluation committee will review proposals under the project
evaluation criteria. Members of the technical evaluation committee and
other involved FTA staff reserve the right to screen and rate the
applications it receives and to seek clarification from any applicant
about any statement in its application that FTA finds ambiguous and/or
request additional documentation to be considered during the evaluation
process to clarify information contained within the proposal.
After consideration of the findings of the technical evaluation
committee, the FTA Administrator will determine the final selection and
amount of funding for each project. Geographic diversity and the
applicant's receipt of other discretionary awards may be considered in
FTA's award decisions. FTA expects to announce the selected projects
and notify successful applicants in July 2012.
[[Page 6182]]
B. Bus and Bus Facilities Program: Bus Livability Initiative
1. Program Description and Purpose
The Bus Livability Initiative makes funds available to public
transportation providers to finance capital projects to replace,
rehabilitate, and purchase buses and related equipment and to construct
bus-related facilities, including programs of bus and bus-related
projects for assistance to subrecipients that are public agencies,
private companies engaged in public transportation, or private non-
profit organizations.
Improving mobility and shaping America's future by ensuring that
the Nation's public transportation systems are accessible, integrated,
and efficient, while offering flexibility of choices is a key strategic
goal of the DOT. FTA is committed to creating livable communities that
improve the quality of life for all Americans. Public transportation
provides transportation options that connect communities and fosters
sustainability and the development of urban and rural land use. Through
Bus Livability Initiative grants, FTA will invest in projects that
fulfill the six livability principles that serve as the foundation for
the DOT-HUD-EPA Partnership for Sustainable Communities.
2. Eligibility Information
i. Eligible Proposers
Eligible proposers and eventual grant applicants under this
initiative are Direct Recipients under the Section 5307 Urbanized Area
Formula program, States, and Indian Tribes. Proposals for funding
eligible projects in rural (nonurbanized) areas must be submitted as
part of a consolidated State proposal with the exception of
nonurbanized projects to Federally Recognized Tribes. States, Direct
Recipients, and Tribes may also submit consolidated proposals for
projects in urbanized areas.
Proposals shall contain projects to be implemented by the Recipient
or its subrecipients. Eligible subrecipients include public agencies,
private non-profit organizations, and private providers engaged in
public transportation.
ii. Eligible Expenses
Pursuant to 49 U.S.C. 5309(b)(3), FTA is authorized to make grants
to assist State and local governmental authorities in financing capital
projects to replace, rehabilitate, and purchase buses and related
equipment and to construct bus-related facilities, including programs
of bus and bus-related projects for assistance to subrecipients that
are public agencies, private companies engaged in public
transportation, or private non-profit organizations.
Projects eligible for funding under the Bus Livability Initiative
are capital projects such as: purchase and rehabilitation of buses and
vans, bus related equipment (including ITS, fare equipment,
communication devices); and construction and rehabilitation of bus-
related facilities (including administrative, maintenance, transfer,
and intermodal facilities, including facilities consistent with FTA's
Joint Development and Bike/Pedestrian policies, which are available at
http://www.fta.dot.gov/livability). FTA will prioritize the replacement
and rehabilitation of intermodal facilities that support the connection
of bus service with multiple modes of transportation such as: rail,
ferry, intercity bus, and private transportation providers. In order to
be eligible for funding, intermodal facilities must have adjacent
connectivity with bus service.
Funds made available under this initiative may not be used to fund
operating expenses, preventive maintenance, or any other expanded
capital eligibility items (for example, security drills, debt service
reserve, mobility management). Funds also may not be used to reimburse
projects that have incurred previous expenses absent evidence that FTA
issued a Letter of No Prejudice (LONP) for the project before the costs
were incurred. There is no blanket pre-award authority for projects to
be funded under this announcement before their identification in the
Federal Register of selected projects.
iii. Cost Sharing
Costs will be shared at the following ratio: 80 percent FTA/20
percent local contribution. FTA will not approve deferred local share
requests under this program. The Federal share may exceed 80 percent
for certain projects related to the Americans with Disabilities Act
(ADA) and the Clean Air Act (CAA) as follows: ADA--The Federal share is
90 percent for the cost of vehicle-related equipment or facilities
attributable to compliance with the ADA (42 U.S.C. 12101 et seq.);
CAA--The Federal share is 90 percent for the cost of vehicle related
equipment or facilities (including clean-fuel or alternative-fuel
vehicle related equipment or facilities) attributable to compliance
with the CAA (42 U.S.C. 7401 et seq.). For administrative simplicity,
FTA allows recipients to compute the Federal share at 83 percent for
eligible ADA and CAA vehicle purchases. The 83 percent Federal share
does not apply to facilities. The award recipient must itemize the cost
of specific, discrete, facility-related items being purchased to be in
compliance with the ADA or the CAA. The Federal share is 90 percent of
the cost for these itemized elements.
A Federal share of 90 percent may also be applied to projects to
provide access for bicycles to public transportation facilities, to
provide shelters and parking facilities for bicycles in or around
public transportation facilities, or to install equipment for
transporting bicycles on public transportation vehicles.
3. Evaluation Criteria, Review, and Selection
i. Project Evaluation Criteria
Projects will be evaluated according to the following criteria.
Each proposer is encouraged to demonstrate the responsiveness of a
project to any and all of the selection criteria with the most relevant
information that the proposer can provide, regardless of whether such
information has been specifically requested, or identified, in this
notice. FTA will assess the extent to which a project addresses the
criteria below and produces a livability or sustainability outcome.
a. Linkage to Livability Principles: Livability investments are
projects that deliver not only transportation benefits, but also are
designed and planned in such a way that they have a positive impact on
qualitative measures of community life. This element delivers benefits
that are inherently difficult to measure. However, it is implicit to
livability that its benefits are shared and therefore magnified by the
number of potential users in the affected community. Therefore,
descriptions of how projects enhance livability should include a
description of the affected community and the scale of the project's
impact. To determine whether a project improves the quality of the
living and working environment of a community, FTA will qualitatively
assess whether the project:
1. Will significantly enhance user mobility through the creation of
more convenient transportation options for travelers;
2. The degree to which the proposed project contributes
significantly to broader traveler mobility through intermodal
connections, or improved connections between residential and commercial
areas.
3. Will improve existing transportation choices by enhancing points
of modal connectivity or, in urban areas, by reducing congestion on
existing transit systems or roadways.
4. Will improve accessibility and transport services for
economically
[[Page 6183]]
disadvantaged populations, non-drivers, senior citizens, and persons
with disabilities.
5. Is the result of a planning process which coordinated
transportation and land-use planning decisions and encouraged community
participation in the process.
Note: Special consideration may be given to those proposers that
serve a community that holds HUD Preferred Sustainability Status. A
list of these communities can be found via http://www.hud.gov/sustainability.
b. Linkage to Environmental Sustainability: In order to determine
whether a project promotes a more environmentally sustainable
transportation system, i.e., reducing reliance on automobile travel,
improving the pedestrian environment of a community or, use of
environmental design techniques in the planning, construction, and
operation of the project, FTA will assess the project's ability to:
1. Improve energy efficiency or reduce energy consumption/green
house gas emissions. Proposers are encouraged to provide information
regarding the expected use of clean or alternative sources of energy;
for example through the use or implementation of energy efficient
transit vehicles or retrofitting of existing vehicles with energy
efficient technologies which could also reduce direct emissions such as
electronic accessories, anti-idle technologies, and clean fuels.
2. Maintain, protect or enhance the environment, as evidenced by
environmentally friendly policies and practices utilized in the project
design, construction, and operation that exceed the requirements of the
National Environmental Policy Act, including but not limited, items
such as: whether the project uses a Leadership in Energy and
Environmental Design (LEED)-certified design; the vehicles or
facilities are rated with the energy-star; the project re-uses a
brownfield; construction equipment is retrofitted with catalytic
converters; the project utilizes recycled materials; the project
includes elements to conserve energy, such as passive solar heating,
solar panels, wind turbines, reflective roofing or paving materials;
or, other advanced environmental design elements such as green roofs,
etc.
c. Leveraging of public and private investments.
1. Jurisdictional and Stakeholder Collaboration: To measure a
project's alignment with this criterion, FTA will assess the project's
involvement of non-Federal entities and the use of non-Federal funds,
including the scope of involvement and share of total funding. FTA will
give priority to projects that receive financial commitments from, or
otherwise involve, State and local governments, other public entities,
or private or nonprofit entities, including projects that engage
parties that are not traditionally involved in transportation projects,
such as nonprofit community groups or the private owners of real
property abutting the project. FTA will assess the amount of co-
investment from State, local or other non-profit sources.
2. Disciplinary Integration: To demonstrate the value of
partnerships across government agencies that serve the various public
service missions and to promote collaboration of the objectives
outlined in this notice, FTA will give priority to projects that are
supported, financially or otherwise, by non-transportation public
agencies that are pursuing similar objectives. Special consideration
will be given to those projects that leverage or provide services that
support projects funded under the DOT-HUD-EPA Partnership for
Sustainable Communities. For example, FTA will give priority to
transportation projects that are supported by relevant public housing
or human service agencies, or transportation projects that encourage
energy efficiency or improve the environment and are supported by
relevant public agencies with energy or environmental missions.
d. Demonstrated Need for Resources: FTA will evaluate each project
to determine its need for resources. This determination will be made by
examining the proposal to determine if:
1. The project represents a one-time or periodic need that cannot
reasonably be funded from FTA program formula allocations or State and/
or local revenues.
2. The project or applicant did not receive sufficient Federal
funding in previous years.
3. The project will have a significant impact on service delivery.
e. Planning and Prioritization at Local/Regional Level: FTA will
examine each Bus Livability project proposal for consistency with the
area's planning documents and local priorities. This examination will
involve assessing whether:
1. The project is consistent with the transit priorities identified
in the long-range plan and/or contingency/illustrative projects.
2. The MPO endorses the project, if in a UZA, and the State, if for
a rural area.
3. Local support is demonstrated by availability of local match for
this and/or related projects and letters of support.
4. Capital projects are consistent with service needs of the area.
i. Example: vehicle expansion proposal shows evidence of the need
for additional capacity.
f. Project Readiness: The extent to which the project is ready to
implement. This will involve assessing whether:
1. Any required environmental work has been initiated for
construction projects requiring an Environmental Assessment (EA),
Environmental Impact Statement (EIS), or documented Categorical
Exclusion (CE).
2. Implementation plans are ready, including initial design of
facilities projects.
3. TIP/STIP can be amended (evidenced by MPO/State endorsement).
4. Local share of funding is in place.
5. Project can be obligated and implemented quickly if selected.
6. The applicant demonstrates the ability to carry out the proposed
project successfully.
7. If the project is multimodal in nature, the proposal
demonstrates coordination with and support of other transportation
modes and partners.
g. Technical, legal, and financial capacity to implement the
particular project proposed:
1. The proposer has the technical capacity to administer the
project.
2. For fleet replacement, the acquisition is consistent with the
bus fleet management plan.
3. There are no outstanding legal, technical, or financial issues
with the grantee that would make this a high-risk project to implement
quickly.
4. The proposer has adequate financial systems in place and has
identified the source of local match if selected (no deferred local
share will be allowed).
5. The grantee is in fundable status for grant-making purposes.
ii. Review and Selection Process
An interagency evaluation committee will review proposals under the
project evaluation criteria. Members of the technical evaluation
committee and other involved FTA staff reserve the right to screen
applications and to seek clarification from any applicant about any
statement in its application that FTA finds ambiguous and/or request
additional documentation to be considered during the evaluation process
to clarify information contained within the proposal. After
consideration of the findings of the technical evaluation committee,
the FTA Administrator will determine the final selection and amount of
funding for each project. Geographic diversity and other discretionary
awards may be considered in FTA's award decisions. FTA expects to
announce the selected
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projects and notify successful applicants in July 2012.
C. Clean Fuels/Bus and Bus Facilities Program
1. Program Description and Purpose
The Clean Fuels Grant Program assists non-attainment or maintenance
areas in achieving or maintaining the National Ambient Air Quality
Standards for ozone and carbon monoxide (CO). Additionally, the program
supports emerging clean fuel and advanced propulsion technologies for
transit buses and markets for those technologies. FY 2012 unallocated
funding provides $51.5 million dollars in discretionary Clean Fuels
Grant Program resources. Additionally, FTA is expanding the eligible
applicant pool and may fund projects that meet the Clean Fuels Grant
Program objectives in attainment areas using a portion of discretionary
Bus and Bus Facilities Program resources that are available.
2. Eligibility Information
i. Eligible Applicants
Eligible applicants under this program are designated recipients in
maintenance or non-attainment areas for ozone or CO under section
107(d) of the Clean Air Act (42 U.S.C. 7407(d)), that are entities
designated to receive Federal urbanized formula funds under 49 U.S.C.
5307. Tribes, States and Designated Recipients may submit consolidated
proposals for projects in non-urbanized areas. FTA will also accept
applications from direct recipients, Tribes, and State Departments of
Transportation in attainment areas for projects that meet eligibility
criteria under the Bus and Bus Facilities Program.
ii. Eligible Projects
Section 5308 authorizes FTA to make grants under this section to
assist recipients to finance eligible projects such as the following:
(1) Purchasing or leasing clean fuel buses, including buses that employ
a lightweight composite primary structure and vans for use in revenue
service; (2) Constructing or leasing clean fuel bus facilities or
electrical recharging facilities and related equipment for such buses;
or (3) Projects relating to clean fuel, biodiesel, hybrid electric, or
zero emissions technology buses that exhibit equivalent or superior
emissions reductions to existing clean fuel or hybrid electric
technologies.
Funds made available under this program cannot be used to fund
operating expenses or preventive maintenance; to purchase or lease non-
revenue vehicles; or to reimburse projects that have incurred prior
eligible expenses without a Letter of No Prejudice (LONP) issued by FTA
for the project before the costs are incurred.
iii. Cost Sharing or Matching
For projects awarded funding, costs will be shared as follows:
a. Vehicles--90 percent FTA/10 percent local contribution for the
net incremental cost of the clean fuels component (not the whole
vehicle). For administrative simplicity, FTA allows recipients to apply
an 83 percent Federal share for the whole vehicle. The 83 percent share
is a blended figure representing 80 percent of the vehicle and 90
percent of the vehicle-related equipment to be acquired in compliance
with the Clean Air Act (CAA) 42 U.S.C. 7401 et seq.
b. Facilities--The 83 percent Federal share does not apply to
facilities, for which the costs are more variable. The Federal share is
90 percent of the cost for the CAA elements of the facility.
c. FTA will not approve deferred local share.
3. Evaluation Criteria, Review, and Selection
i. Project Evaluation Criteria
Projects will be evaluated according to the following criteria:
a. Demonstration of benefits: Proposers should explain how the
proposed project will reduce transportation related pollutants.
b. Demonstration of clean fuels/advanced technologies: Proposers
should explain how the project supports emerging clean fuels
technologies or advanced technologies for transit buses.
c. Demonstration of Need:
1. Project represents a one-time or periodic need that cannot
reasonably be funded from formula allocations or State and/or local
revenues.
2. Other Federal funds have not been made available for this
project.
3. The project will have a positive impact on air quality.
4. The project is consistent with the applicant's bus fleet
management plan.
5. The project is a transportation control measure in an approved
State Implementation Plan (if applicable).
d. Planning and Local/Regional Prioritization: The extent to which
the proposed project is consistent with planning documents and local
priorities. This will involve assessing whether:
1. Project is consistent with the transit priorities identified in
the long range plan and/or contingency/illustrative projects. Proposer
should note if project could not be included in the financially
constrained Transportation Improvement Plan (TIP)/Statewide
Transportation Improvement Program (STIP) due to lack of funding (if
selected, project must be in federally approved STIP before grant
award).
2. Local support is demonstrated by availability of local match for
this and/or related projects and letters of support.
3. In an area with more than one transit operator, the proposal
demonstrates coordination with and support of, other transit operators,
or other related projects within the proposer's Metropolitan Planning
Organization (MPO) or the geographic region within which the proposed
project will operate.
e. Project readiness: The extent to which the project is ready to
implement. This will involve assessing whether:
1. Project is a Categorical Exclusion (CE) or requires
environmental work has been initiated or completed for construction
projects requiring an Environmental Assessment (EA) or Environmental
Impact Statement (EIS).
2. Project implementation plans are ready, including initial design
of facilities projects.
3. TIP/STIP can be amended (evidenced by MPO/State endorsement).
4. Project funds can be obligated and the project implemented
quickly, if selected.
5. Applicant demonstrates the ability to carry out the proposed
project successfully.
f. Technical, legal, and financial capacity to implement the
particular project proposed:
1. The proposer has the technical capacity to administer the
project.
2. For fleet replacement, the acquisition is consistent with the
bus fleet management plan.
3. There are no outstanding legal, technical, or financial issues
with the grantee that would make this a high-risk project to implement
quickly.
4. The proposer has adequate financial systems in place and has
identified the source of local match if selected (no deferred local
share will be allowed).
5. The grantee is in fundable status for grant-making purposes.
ii. Review and Selection Process
In addition to other FTA staff that may review the proposals, a
technical evaluation committee will review proposals under the project
evaluation criteria. Members of the technical evaluation committee and
other involved FTA staff reserve the right to screen applications and
seek clarification from any applicant about
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any statement in its application that FTA finds ambiguous and/or
request additional documentation to be considered during the evaluation
process to clarify information contained within the proposal.
After consideration of the findings of the technical evaluation
committee, the FTA Administrator will determine the final selection and
amount of funding for each project. Geographic diversity and the
applicant's receipt of other discretionary awards may be considered in
FTA's award decisions. FTA expects to announce the selected projects in
July 2012 and notify successful applicants.
III. Proposal and Submission Information for All Programs and
Initiatives
A. Proposal Submission Process
Project proposals must be submitted electronically through http://www.GRANTS.GOV by the established due date. Mail and fax submissions
will not be accepted.
A complete proposal submission will consist of at least two files:
(1) The SF 424 Mandatory form (downloaded from GRANTS.GOV) and (2) the
supplemental form targeting the relevant FTA program found on the FTA
Web site at the program Web site: http://www.fta.dot.gov/bus and http://fta.dot.gov/cleanfuels. The supplemental form provides guidance and a
consistent format for proposers to respond to the criteria outlined in
this NOFA. Once completed, the supplemental form must be placed in the
attachments section of the SF 424 Mandatory form. Proposers must use
the correct supplemental form and attach it to their submission in
GRANTS.GOV to successfully complete the application process. A proposal
submission may contain additional supporting documentation as
attachments.
Within 24-48 hours after submitting an electronic application, the
applicant should receive three email messages from GRANTS.GOV: (1)
Confirmation of successful transmission to GRANTS.GOV, (2) confirmation
of successful validation by GRANTS.GOV and (3) confirmation of
successful validation by FTA. If confirmations of successful validation
are not received and a notice of failed validation or incomplete
materials is received, the applicant must address the reason for the
failed validation, as described in the notice, and resubmit before the
submission deadline. If making a resubmission for any reason, include
all original attachments regardless of which attachments were updated
and check the box on the supplemental form indicating this is a
resubmission.
Complete instructions on the application process can be found
http://www.fta.dot.gov/bus and http://fta.dot.gov/cleanfuels.
Important: FTA urges proposers to submit their applications at least 72
hours prior to the due date to allow time to receive the validation
message and to correct any problems that may have caused a rejection
notification. Submissions after the stated submission deadlines will
not be accepted. GRANTS.GOV scheduled maintenance and outage times are
announced on the GRANTS.GOV Web site http://www.GRANTS.GOV. Deadlines
will not be extended due to scheduled maintenance or outages.
B. Proposal Content
Proposers may submit one proposal for each project or one proposal
containing multiple projects. Proposers submitting multiple projects in
one proposal must be sure to clearly define each project by completing
a supplemental form for each project. Supplemental forms must be added
within the proposal by clicking the ``add project'' button in Section
II of the supplemental form.
Information such as proposer name, federal amount requested, local
match amount, description of areas served, etc. may be requested in
varying degrees of detail on both the SF 424 form and supplemental
form. All fields are required unless stated otherwise on the forms. Use
both the ``Check Package for Errors'' and the ``Validate Form''
validation buttons on both forms to check all required fields on the
forms. Ensure that the federal and local amounts specified are
consistent.
1. Applicant Information
This provides basic sponsor identifying information:
i. Applicant name and FTA recipient ID number.
ii. Applicant eligibility information, including Air Quality status
(for the Clean Fuels Program only).
iii. A general description of services provided by the agency
including ridership, fleet size, areas served, etc.
2. Project Information/Evaluation Criteria
For complete and up to date guidance on the project information and
project evaluation criteria that must be documented, refer to the
applicable program on the FTA Web site: http://fta.dot.gov/bus and
http://fta.dot.gov/cleanfuels. At a minimum, every proposal must:
i. Submit an SF-424 with the correct supplemental form attached.
ii. Describe concisely, but completely, the project scope to be
funded. As FTA may elect to fund only part of some project proposals.
If applicable, the scope should be declared as ``scalable'' with
specific components of independent utility clearly identified.
iii. Address each of the evaluation criteria separately,
demonstrating how the project responds to each criterion.
iv. Provide a line-item budget for the total project, with enough
detail to indicate the various key components of the project. As FTA
may elect to fund only part of some project proposals, the budget
should provide for the minimum amount necessary to fund specific
project components of independent utility.
v. Provide the Federal amount requested.
vi. Document the matching funds, including amount and source of the
match, demonstrating strong local or private sector financial
participation in the project.
vii. Provide support documentation, including financial statements,
bond-ratings, and documents supporting the commitment of non-federal
funding to the project, or a timeframe upon which those commitments
would be made.
viii. Provide a project time-line, including significant milestones
such as the date anticipated to issue a request for proposals for
vehicles, or contract for purchase of vehicle(s), and actual or
expected delivery date of vehicles, or notice of request for proposal
and notice to proceed for capital construction/rehabilitation projects.
C. Submission Dates and Times
Complete proposals for the State of Good Repair Initiative must be
submitted electronically through the GRANTS.GOV Web site by 11:59 p.m.
EDT on March 22, 2012. Complete proposals for the Bus Livability
Initiative must be submitted electronically through GRANTS.GOV by 11:59
p.m. EDT March 29, 2012. Complete proposals for the Clean Fuels Grant
Program must be submitted electronically through GRANTS.GOV by 11:59
p.m. EDT April 5, 2012. Proposers are encouraged to begin the process
of registration on the GRANTS.GOV site well in advance of the
submission deadline. Registration is a multi-step process, which may
take several weeks to complete before an application can be submitted.
Registered proposers may still be required to take steps to keep their
registration up to date before submissions can be made successfully:
(1) Registration in the Central Contractor
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Repository (CCR) is renewed annually and (2) persons making submissions
on behalf of the Authorized Organization Representative (AOR) must be
authorized in GRANTS.GOV by the AOR to make submissions.
D. Award Information
Federal transit funds are available to State or local governmental
authorities as recipients and other public transportation providers as
subrecipients. There is no monetary floor or upper limit for any single
grant award; however, FTA intends to fund as many meritorious projects
as possible. In addition, geographic diversity and the applicant's
receipt of other discretionary awards may be considered in FTA's award
decisions.
Consistent with 49 U.S.C. Section 5309(m)(8), the Secretary shall
consider the age and condition of buses, bus fleets, and bus-related
facilities and equipment of proposers in its award of State of Good
Repair, Bus Livability and Clean Fuels grants.
E. Funding Restrictions
Only proposals from eligible recipients for eligible activities
will be considered for funding. Due to funding limitations, proposers
that are selected for funding may receive less than the amount
originally requested.
IV. Award Administration
A. Award Notices
At the time the project selections are announced, FTA will extend
pre-award authority for the selected projects. There is no blanket pre-
award authority for these projects before announcement.
B. Administrative and National Policy Requirements
1. Grant Requirements
If selected, applicants will apply for a grant through TEAM and
adhere to the customary FTA grant requirements of the Section 5309 Bus
and Bus Facilities program, including those of FTA Circular 9300.1B,
Circular 5010.1D, and the labor protections of 49 U.S.C. 5333(b). All
discretionary grants, regardless of award amount, will be subject to
the Congressional Notification and release process. Technical
assistance regarding these requirements is available from each FTA
regional office.
2. Planning
FTA encourages proposers to notify the appropriate State
Departments of Transportation and MPO in areas likely to be served by
the project funds made available under these initiatives and programs.
Selected projects must be incorporated into the long-range plans and
transportation improvement programs of States and metropolitan areas
before they are eligible for FTA funding.
3. Standard Assurances
The applicant assures that it will comply with all applicable
Federal statutes, regulations, executive orders, FTA circulars, and
other Federal administrative requirements in carrying out any project
supported by the FTA grant. The applicant acknowledges that it is under
a continuing obligation to comply with the terms and conditions of the
grant agreement issued for its project with FTA. The applicant
understands that Federal laws, regulations, policies, and
administrative practices might be modified from time to time and may
affect the implementation of the project. The applicant agrees that the
most recent Federal requirements will apply to the project, unless FTA
issues a written determination otherwise. The applicant must submit the
Certifications and Assurances before receiving a grant if it does not
have current certifications on file.
4. Reporting
Post-award reporting requirements include submission of Federal
Financial Reports and Milestone Reports in TEAM on a quarterly basis
for all projects. Documentation is required for payment. In addition,
project sponsors receiving grants for asset management systems and
innovative technologies may be required to report on the performance of
these systems and technologies.
V. Agency Contacts and Technical Assistance
Contact the appropriate FTA Regional Office at http://www.fta.dot.gov for proposal-specific information and issues. For
general program information, please use the contacts for each program
identified in the front of this notice.
For additional technical assistance, FTA will post answers to
commonly asked questions about the SGR and Bus Livability Initiatives
at http://www.fta.dot.gov/bus, and for the Clean Fuels Grant Program at
http://www.fta.dot.gov/cleanfuels. FTA also expects to conduct Webinars
during the application period and will post this information on its Web
site.
Issued in Washington, DC, this 2nd day of February, 2012.
Peter Rogoff,
Administrator.
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[FR Doc. 2012-2752 Filed 2-6-12; 8:45 am]
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