[Federal Register Volume 82, Number 12 (Thursday, January 19, 2017)]
[Notices]
[Pages 6692-6716]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-01194]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2017 Apportionments, Allocations, Program
Information and Interim Guidance
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
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SUMMARY: This notice provides interim guidance for programs in FY 2017,
announces the apportionments and allocations for programs authorized
and funded by the Further Continuing and Security Assistance
Appropriations Act, 2017 (Pub. L. 114-254) and provides contract
authority, and describes future plans for several competitive programs.
The notice also includes locations of FY 2017 apportionment tables and
unobligated (or carryover) funds allocated under the competitive
programs from prior years.
FOR FURTHER INFORMATION CONTACT: For general information about this
notice contact Kimberly Sledge, 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. FTA
Regional Office contact information is available on FTA's Web site:
www.transit.dot.gov.
An FTA headquarters contact for each major program area is included
in the discussion of that program in the text of this notice. FTA
recommends that stakeholders subscribe on FTA's Web site
www.transit.dot.gov to receive email notifications when new information
is available.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. FY 2017 Funding for FTA Programs
A. Funding Based on the Further Continuing and Security
Assistance Appropriations Act, 2017 (Pub. L. 114-254)
B. Oversight Takedown
C. FY 2017 Formula Apportionments: Data and Methodology
III. FY 2017 Program Highlights and Changes
A. Focus Areas
IV. FY 2017 Program-Specific Information
A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
B. State Planning and Research Program (49 U.S.C. 5304 and
5305(e))
C. Urbanized Area Formula Program (49 U.S.C. 5307)
D. Fixed Guideway Capital Investment Grant Program (49 U.S.C.
5309)
E. Enhanced Mobility of Seniors and Individuals With
Disabilities Program (49 U.S.C 5310)
F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
G. Rural Transportation Assistance Program (49 U.S.C.
5311(b)(3))
H. Appalachian Development Public Transportation Assistance
Program (49 U.S.C. 5311(c)(2))
I. Formula Grants for Public Transportation on Indian
Reservations Program (49 U.S.C. 5311(j))
J. Public Transportation Innovation (49 U.S.C. 5312)
K. Technical Assistance and Workforce Development (49 U.S.C.
5314)
L. Public Transportation Emergency Relief Program (49 U.S.C.
5324)
M. Public Transportation Safety Program (49 U.S.C. 5329)
N. State of Good Repair Program (49 U.S.C. 5337)
O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
P. Growing States and High Density States Formula Factors (49
U.S.C. 5340)
Q. Washington Metropolitan Area Transit Authority Grants
R. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320)
V. FTA Policy and Procedures for FY 2017 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FY 2017 Annual List of Certifications and Assurances
D. Civil Rights Requirements
E. Consolidated Planning Grants
F. Grant Application Procedures
G. Grant Management
I. Overview
This document contains important information and interim guidance
about existing FTA program statutes (49 U.S.C. 5301, et. seq.) and
changes resulting from the Fixing America's Surface Transportation
(FAST) Act (Pub. L. 114-94), signed by President Obama on December 4,
2015 and effective on October 1, 2015.
In addition, this document provides notice of funding availability
through April 28, 2017 by the Further Continuing and Security
Assistance Appropriations Act, 2017 (Pub. L. 114-254) contract
authority for FTA formula and competitive programs pursuant to the
Further Continuing and Security Assistance Appropriations Act, 2017
(Pub. L. 114-254) (``Continuing Appropriations Act'').
For each FTA program, FTA has provided information on the FY 2017
authorized funding levels, the basis for apportionment or allocation of
funds, requirements specific to the program, the period of availability
of funds, and other program information. A separate section provides
information on pre-award authority as well as other requirements and
guidance applicable to FTA programs and grant administration. Finally,
the notice includes referred to tables on FTA's Web site that show
$5,323,087,320 in new contract authority apportioned through April 28,
2017 and approximately $1.04 billion in unobligated or carryover
contract authority that is available in FY 2017 from prior years.
Information in this document includes references to the existing
FTA program guidance and circulars. Some information may have been
superseded by new provisions in the FAST Act, but these guidance
documents and circulars remain a resource for program management in
most areas. FTA intends to revise the guidance and circulars, as
appropriate, with an opportunity for public comment where necessary.
II. FY 2017 Funding for FTA Programs
A. Funding Based on the Further Continuing and Security Assistance
Appropriations Act, 2017
The Further Continuing and Security Assistance Appropriations Act,
2017 (Pub. L. 114-254) makes new funding available for FY 2017
available through April 28, 2017. At approximately seven twelfths of
the FY 2016 level.
Current funding availability for each program is identified in
section IV of this notice and in Table 1 located on FTA's FY 2017
Apportionment Web page: www.transit.dot.gov/funding/apportionments.
[[Page 6693]]
B. Oversight Takedown
The FAST Act modified section 5338(f) to provide for the following
oversight takedowns of FTA programs: 0.5 percent of Metropolitan and
Statewide Planning funds, 0.75 percent of Urbanized Area Formula funds,
1 percent of Fixed Guideway Capital Investment funds, 0.5 percent of
Formula Grants for the Enhanced Mobility of Seniors and Individuals
with Disabilities, 0.5 percent of Formula Grants for Rural Areas, 1
percent of State of Good Repair Formula funds, 0.75 percent for Grants
for Buses and Bus Facilities, and 1 percent of Capital and Preventive
Maintenance Projects for Washington Metropolitan Area Transit Authority
funds. The funds are used to provide necessary oversight activities,
such as oversight of the construction of any major capital project
receiving Federal transit assistance; 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 generally provide technical assistance and correct
deficiencies identified in compliance reviews and audits.
C. FY 2017 Formula Apportionments: Data and Methodology
1. Apportionment Tables
FTA is publishing apportionment tables on its Web site for each
program that reflects the funding level in the continuing resolution
appropriations less oversight take-downs, as applicable. Tables
displaying the funds available to eligible states, tribes, and
urbanized areas have been posted to http://www.transit.dot.gov/funding/apportionments. This Web site contains a page listing the apportionment
and allocation tables for FY 2017 as well as links to prior year
formula apportionment notices and tables and the National Transit
Database (NTD) and Census data used to calculate the FY 2017
apportionments.
2. National Transit Database and Census Data Used in the FY 2017
Apportionments
Consistent with past practices, the calculations for sections 5307,
5311, including 5311(j) (Tribal Transit), 5329, 5337, and 5339 programs
rely on the most-recent transit service data reported to the (NTD),
which for FY 2017 is the 2015 report year. In some cases where an
apportionment is based on the age of the system, the age is calculated
as of September 30, 2016, the last day before FY 2017 began. Any
recipient or beneficiary of either section 5307 or Rural Areas Formula
Program program funds is required to report to the NTD. Additionally, a
number of transit operators report to the FTA's NTD on a voluntary
basis. For the 2015 report year, the NTD includes data from 866
reporters in urbanized areas, 836 of which reported operating transit
service. The NTD also includes data from 1,551 providers of rural
transit service, which includes 134 Indian Tribes providing transit
service.
The 2010 Census data is used to determine population and population
density for sections 5303, 5305, 5307 and 5339 as well as rural
population and rural land area for Rural Areas Formula Program. The
formulas for sections 5307, 5311, and 5311(j) include tiers where
funding is allocated on the basis of the number of persons living in
poverty, and the section 5310 formula program allocates funding on the
basis of the population of older adults and people with disabilities.
The Census Bureau no longer publishes decennial census data on persons
living in poverty and persons with disabilities. As a result, since FY
2013, FTA used the data for these populations available via the Census'
American Community Survey (ACS). The NTD and census data that FTA used
to calculate the apportionments associated with this notice can be
found on FTA's Web site: www.transit.dot.gov/funding/apportionments.
The FY 2017 apportionments use data on low-income persons, persons
with disabilities, and older adults from the 2010-2014 ACS five-year
data set, which was published in December 2015. This data represent the
most recent five-year ACS estimates that are available as of October
1st for the year being apportioned. As was the case in prior years,
data on low-income persons comes from ACS Table B17024, ``Age by Ratio
of Income to Poverty in the Last Twelve Months,'' and data on people
with disabilities under 65 years old comes from ACS Table S1810,
``Disability Characteristics.'' Data on older adults (over 65 years
old) comes from ACS Table B01001, ``Sex by Age.''
III. FY 2017 Program Highlights and Changes
A. Focus Areas
1. Tribal Transportation Self-Governance Program (Title 23 Federal-Aid
Highways Program)
Section 207 of title 23, United States Code establishes a Tribal
Transportation Self-Governance Program (Self Governance Program). The
Self-Governance Program establishes specific criteria for determining
eligibility for a tribe to participate in the program. DOT will
implement this program in consultation with tribal representatives and
other interested stakeholders. A Negotiated Proposed Rulemaking to
implement this program is under development.
2. Public Transportation Innovation
FTA's research mission is to advance public transportation
innovation by leading multi-dimensional research, development,
demonstration, deployment, and technical assistance projects for the
transit industry that improves riders' experiences and enhances public
transit's effectiveness, efficiency, quality, and safety. FTA's Office
of Research, Demonstration, and Innovation sought industry input on a
five year research strategic plan. The result was an affirmation of
FTA's research strategic goals to improve safety, enhance mobility,
promote asset management, and expand asset innovation. These goals
directly address and support the six primary purposes of U.S. DOT's
transportation research and development program as defined in Section
6503 of the FAST Act as follows:
Improving mobility of people and goods;
Reducing congestion;
Promoting safety;
Improving the durability and extending the life of
transportation infrastructure;
Preserving the environment; and
Preserving the existing transportation system.
Going forward, FTA will continue to prioritize research investments
based upon these goals. FTA expects to publish its Research Strategic
Plan in FY 2017.
3. Shared Mobility
Shared Mobility continues to remain a key focus area within FTA's
Public Transportation Innovation program. The definition of personal
mobility is changing due to social and cultural trends combined with
the powerful tools in handheld smartphones and related transportation
technology innovations. New mobility concepts and solutions like bike-
sharing, car-sharing, car-hailing, and innovative demand-response bus
services are now possible and more convenient because of these
developments. This gives travelers new, flexible and personally
tailored transportation options. Many of these services are emerging in
proximity to high-capacity transit corridors with land uses and
activities that create the market
[[Page 6694]]
for new services. Supported by smart policies, the interaction between
public transportation and these emerging services can create improved
travel choices.
To support personal mobility innovation, (FTA) recently allocated
$8 million for 11 projects through the innovative Mobility on Demand
(MOD) Sandbox Demonstration program using FTA research funds (Public
Transportation Innovation/Public Transportation Innovation). The
projects carried out by transit agencies will test new ideas in
personal mobility and integrated multimodal transportation networks.
From that MOD program solicitation process, and from dialogue with
other stakeholders, FTA has identified questions about funding
eligibility under Federal public transportation law for FTA grant
programs, like the Urbanized Area and Rural formula programs, as well
as compliance with federal requirements, such as the Americans with
Disabilities Act (ADA), related to mobility on demand generally and,
particularly, to electronic hailing of vehicles such as taxis or other
transportation network company (TNC) vehicles.
FTA has prepared answers to Frequently Asked Questions (FAQs) to
address the eligibility and Federal requirement questions. This
information is posted on the FTA Web site at https://www.transit.dot.gov/shared-mobility. FTA will use information from the
MOD Sandbox projects and related efforts, such as the recently launched
online dialogue, to continue the discussion with agency stakeholders
and to address questions regarding innovative practices and shared-
ride, on-demand mobility services as they emerge. FTA encourages your
participation in this online discussion. Stakeholders can also send
comments and questions to [email protected].
4. Bus Testing Facility (49 U.S.C. 5318)
On August 1, 2016, FTA issued its final rule to implement minimum
performance standards, a scoring system, and a pass/fail threshold for
new model transit buses procured with FTA financial assistance
authorized under 49 U.S.C. Chapter 53. Consistent with 49 U.S.C.
5318(e), FTA recipients are prohibited from using FTA financial
assistance to procure new bus models, that were not previously tested,
that have not met the minimum performance standards established by this
rule. The standards and scoring system address the following
categories: Structural integrity, safety, maintainability, reliability,
fuel economy, emissions, noise, and performance. Buses must meet a
minimum performance standard in each of these categories in order to
receive an overall passing score and be eligible for purchase using FTA
financial assistance. Buses can achieve higher scores with higher
performance in each category, and the final rule establishes a
numerical scoring system based on a 100-point scale so that buyers can
more effectively compare vehicles.
The final rule was effective on October 31, 2016. FTA's Web site
has additional information, resources, and a link to sign up for email
notices about the Bus Testing Program at: www.transit.dot.gov/research-innovation/bus-testing.
5. FY 2017 Competitive Programs Funding and Schedule
FTA will issue Notices of Funding Opportunities (NOFO) in FY 2017
for the programs listed in the following chart. Additional information
about each competitive program is in section III of this notice.
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2017 Authorized
FY 2017 competitive programs Statute 49 U.S.C. funding level Timeline for notification of
(in millions) awards
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Passenger Ferry Grant Program........ 5307.................... $30.0 Summer 2017.
Rides to Wellness Demonstration and FAST Section 3006(b).... 3.0 Summer 2017.
Innovative Coordinated Access and
Mobility Grants.
Tribal Transit....................... 5311(c)(1)(A)........... 5.0 Spring 2017.
Grants for Buses and Bus Facilities 5339.................... 228.0 Summer 2017.
Competitive Program.
Low or No Emission Grants Competitive 5339.................... 55.0 Spring 2017.
Program.
Pilot Program to D Planning.......... MAP-21 Section 2005(b).. 10.0 Fall 2017.
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IV. FY 2017 Program-Specific Information
A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
Section 5305(d) authorizes Federal funding to support a
cooperative, continuous, and comprehensive planning program for
transportation investment decision-making at the metropolitan area
level. The specific requirements of metropolitan transportation
planning are set forth in 49 U.S.C. 5303 and further explained in 23
CFR part 450, as incorporated by reference in 49 CFR part 613, Planning
Assistance and Standards. State Departments of Transportation (DOTs)
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.
The MPO process must establish a performance-based approach in
which the MPO will develop specific performance targets that address
transportation system performance measures (to be issued by U.S. DOT),
where applicable, to use in tracking progress towards attaining
critical outcomes. These performance targets will be established by
MPOs in coordination with States and transit providers. MPOs will
provide a system performance report that evaluates the progress of the
MPO in meeting the performance targets in comparison with the system
performance identified in prior reports. 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, economic feasibility,
performance-based planning; 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
[[Page 6695]]
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 information or questions on the Metropolitan Planning
program, please contact Victor Austin at (202) 366-2996 or
[email protected].
1. Authorized Amounts
Federal transit law authorizes $110,347,597 in FY 2017 to provide
financial assistance for metropolitan planning needs under section
5305. Under the Further Continuing Appropriations Act, $62,042,888 is
available through April 28, 2017.
2. FY 2017 Funding Availability
In FY 2017, $62,042,888 is available for the period October 1, 2016
through April 28, 2017 to the Metropolitan Planning Program (section
5305(d)) to support metropolitan transportation planning activities set
forth in section 5303. The total amount apportioned for the
Metropolitan Planning Program to States for use by MPOs in urbanized
areas (UZAs) is $61,732,673 as shown in the table below, after the
deduction for oversight (authorized by section 5338).
Metropolitan Planning Program--FY 2017
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------------------------------------------------------------------------
Total Appropriation available through April 28, 2017.... $62,042,888
Oversight Deductions.................................... (310,214)
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Total Apportioned..................................... 61,732,673
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3. Basis for Formula Apportionment
Of the amounts authorized in section 5305, 82.72 percent is made
available to the Metropolitan Planning Program. Eighty percent of the
funds are apportioned on a statutory basis 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 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.
4. 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 its
MPOs, an allocation formula among MPOs within the State, based on the
2010 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.
5. Period of Availability
The Metropolitan Planning program funds apportioned in this notice
are available for obligation during FY 2017 plus three additional
fiscal years. Accordingly, funds apportioned in FY 2017 must be
obligated in grants by September 30, 2020. Any FY 2017 apportioned
funds that remain unobligated at the close of business on September 30,
2020, will revert to FTA for reapportionment under the Metropolitan
Planning Program.
6. Other Program Information
The planning programs provide funding and procedural requirements
to metropolitan areas and States for multimodal transportation planning
that is cooperative, continuous, and comprehensive, resulting in long-
range plans and short-range programs of projects that reflect
transportation investment priorities. The planning programs are jointly
administered by FTA and the Federal Highway Administration (FHWA),
which provides additional funding. The FAST Act sections 5303 and 5304
as noted below:
New emphasis is placed on intercity transportation,
including intercity buses and intermodal facilities that support
intercity transportation, and commuter vanpool providers.
The selection and role of the transit
representation on MPO policy boards in large urbanized areas is
clarified. MPOs in urbanized areas designated as transportation
management areas must include officials of agencies that administer or
operate major modes of transportation, as well as representatives of
public transit operators, on MPO policy boards. The representative of
public transit shall be selected according to the bylaws or enabling
legislation of the MPO, and the representative of public transit may
also serve as a representative of a local municipality on the MPO
board. For additional information please reference the Final Rule on
Statewide and Nonmetropolitan Transportation Planning and Metropolitan
Transportation Planning (81 FR, 3404, May 27, 2016).
The scope of the planning process adds two new planning
factors, in addition to the eight pre-existing factors established
under prior law. The two new factors are: (1) Improve the resiliency
and reliability of the transportation system, and reduce the
vulnerability of the existing transportation infrastructure to natural
disasters, and (2) enhance travel and tourism.
MPOs and State DOTs should provide public ports, intercity
bus operators and employer-based commuting programs with a reasonable
opportunity to comment on transportation plans.
Plans must place greater emphasis on the congestion
management process. MPOs that serve transportation management areas
must develop a congestion management plan with input from employers,
private and public transit providers, transportation management
associations, and organizations that provide low-income individuals
transportation access to jobs and job related services.
The long-range statewide transportation plan and
metropolitan transportation plan must include a description of the
performance measures and performance targets. State DOTs and MPOs are
also required to provide a system performance report evaluating the
condition and performance of the transportation system.
In the Final Rule on Statewide and Nonmetropolitan Transportation
Planning and Metropolitan Transportation Planning, FHWA and FTA make
the statewide, metropolitan, and nonmetropolitan transportation
planning regulations consistent with current statutory requirements.
The final rule establishes the following: (1) A new mandate for States
and MPOs to take a performance-based approach to planning and
programming; (2) a new emphasis on the nonmetropolitan transportation
planning process, by requiring States to have a higher level of
involvement with nonmetropolitan local officials and providing a
process for the creation of RTPOs; (3) implementation of the afore
mentioned statutory requirement for a structural change to the
membership of the larger MPOs; (4) a new framework for voluntary
scenario
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planning; (5) a new authority for the integration of the planning and
environmental review processes; and (6) a process for programmatic
mitigation plans.
Among the most significant charges is the new mandate for a
performance-based planning process: MPOs and State DOTs must establish
performance targets that address forthcoming U.S. DOT-issued national
performance measures that are based on the goals outlined in the
legislation-safety, infrastructure condition, congestion reduction,
system reliability, economic vitality, environmental sustainability,
reduced project delivery delays, transit safety, and transit asset
management. MPOs also must coordinate their performance targets, to the
maximum extent practicable, with performance targets set by FTA
grantees under the new performance measure requirements for safety and
state of good repair. Transportation Improvement Programs (TIPs) must
include a description of the anticipated progress toward achieving the
performance targets resulting from implementation of the TIP. By
October 1, 2017, DOT will provide Congress with a report evaluating the
effectiveness of performance-based planning and assessing the technical
capacity of MPOs in smaller areas to undertake performance-based
planning. After May 27, 2018, a State's and MPO's long-range plans,
STIPs, and TIPs must reflect performance targets and plans according to
the provisions of the final rule.
B. State Planning and Research Program (49 U.S.C. 5304 and 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,
Planning Assistance and Standards. State DOTs are required to reference
performance measures and performance targets within the Statewide
Planning process. 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 or questions on the State Planning and
Research program, please contact Victor Austin at (202) 366-2996 or
[email protected].
1. Authorized Amounts
Federal transit law authorizes $23,051,336 in FY 2017, to provide
financial assistance for statewide planning and other technical
assistance activities under section 5305. Under the Continuing
Appropriations Act of 2017, $12,960,603 is available through April 28,
2017. As specified in law, this represents the 17.28 percent of the
amounts available for section 5305 that are allocated to the Statewide
Planning and Research program.
2. FY 2017 Funding Availability
In FY 2017, $12,960,603 is available for the period October 1, 2016
through April 28, 2017 to the State Planning and Research Program
(section 5305(e)). The total amount apportioned for the State Planning
and Research Program (SPRP) is $12,895,800 as shown in the table below,
after the deduction for oversight (authorized by section 5338).
Statewide Planning Program--FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017.... $12,960,603
Oversight Deductions.................................... (64,803)
---------------
Total Apportioned..................................... 12,895,800
------------------------------------------------------------------------
States' apportionments for this program are displayed in Table 2.
3. Basis for Formula Apportionment
Of the amount authorized for section 5305, 17.28 percent is
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.
4. 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, performance-based planning,
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, Program Guidance for
Metropolitan Planning and State Planning and Research Program Grants,
dated September 1, 2008.
5. Period of Availability
The State Planning and Research program funds apportioned in this
notice are available for obligation during FY 2017 plus three
additional fiscal years. Accordingly, funds apportioned in FY 2017 must
be obligated in grants by September 30, 2020. Any FY 2017 apportioned
funds that remain unobligated at the close of business on September 30,
2020 will revert to FTA for reapportionment under the State Planning
and Research program.
C. Urbanized Area Formula Program (49 U.S.C. 5307)
The Urbanized Area Formula Program provides financial assistance to
designated recipients in urbanized areas (UZAs) for capital investments
in public transportation systems, planning, job access and reverse
commute projects, and, in some cases, operating assistance. FTA
apportions funds for this program through a statutory formula. Of the
amount authorized for Section 5307 each year, $30 million is set aside
for the competitive Passenger Ferry Grant Program (Ferry program), as
authorized under 49 U.S.C., 5307(h). The Ferry program offers financial
assistance to public ferry systems in urbanized areas for capital
projects. Projects are selected annually through a funding competition.
Additionally 0.5 percent will be apportioned to eligible States for
State Safety Oversight (SSO) Program grants, and 0.75 percent will be
set aside for program oversight. Further information on the 0.5 percent
apportionment to States for the State Safety Oversight Program is
provided in section IV.M. of this notice.
For more information or questions on the Urbanized Area Formula
Program, contact Tara Clark at (202) 366-2623 or [email protected].
For more information on the Ferry Program, contact Vanessa Williams at
(202) 366-4818 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $4,629,683,814 in FY 2017 to provide
financial assistance for urbanized areas under section 5307. Under the
Continuing Appropriations Act of 2017, $2,604,058,475 is available
through April 28, 2017.
[[Page 6697]]
2. FY 2017 Funding Availability
Under the Further Continuing and Security Assistance Appropriations
Act, 2017, only $2,604,058,475 is available for the Urbanized Area
Formula program for the period of October 1, 2016 through April 28,
2017. The total amount apportioned to urbanized areas is
$2,817,580,866, which includes the addition of amounts apportioned to
UZAs pursuant to the Section 5340 Growing States and High Density
States Formula factors. This amount excludes the set-aside for the
Ferry program, apportionments under the State Safety Oversight Program,
and oversight (authorized by section 5338), as shown in the table
below:
Urbanized Area Formula Program--FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available thru April 28,2017...... \a\
$2,604,058,475
Oversight Deduction................................... (19,530,439)
Ferry Competitive Program............................. (17,211,583)
State Safety Oversight Program........................ (13,020,292)
Section 5340 High Density States...................... 151,441,543
Section 5340 Growing States........................... 111,800,668
-----------------
Total Apportioned................................... 2,817,538,371
------------------------------------------------------------------------
\a\ Includes 1.5 percent set-aside for Small Transit Intensive Cities
Formula.
Table 3 displays the amounts apportioned under the Urbanized Area
Formula Program.
3. Basis for Formula Apportionment
FTA apportions Urbanized Area Formula Program funds based on
statutory formulas. Congress established four separate formulas to
apportion portions of the available funding: The Section 5307 Urbanized
Area Formula Program formula, the Small Transit Intensive Cities (STIC)
formula, the Growing States and High Density States formula, and a
formula based on low-income population.
Consistent with prior apportionment notices, Table 3 shows a total
section 5307 apportionment for each UZA, which includes amounts
apportioned under each of these formulas. Detailed information about
the formulas is provided in Table 4. For technical assistance purposes,
the UZAs that receive STIC funds are listed in Table 6. FTA will
provide breakouts of the funding allocated to each UZA under these
formulas upon request to the FTA Regional Office.
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, as well as the
amount appropriated by Congress for the apportionment. The dollar unit
values for FY 2017 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).
a. Section 5307--Urbanized Area Formula
For UZAs between 50,000 and 199,999 in population, the Urbanized
Area Formula is based on population and population density. For UZAs
with populations of 200,000 or more, the formula is based on a
combination of bus revenue vehicle miles, bus passenger miles, bus
operating costs, fixed guideway vehicle revenue miles, and fixed
guideway route miles, as well as population and population density. The
Urbanized Area Formula is defined in 49 U.S.C. 5336. Consistent with
section 5336(b), FTA has included 27 percent of the fixed guideway
directional route miles and vehicle revenue miles from eligible
urbanized area transit systems, but which were attributable to rural
areas outside of the urbanized areas from which the system receives
funds.
b. Small Transit Intensive Cities Formula
Under the STIC formula, FTA apportions 1.5% of the funds made
available for section 5307 to UZAs that are under 200,000 in population
and have public transportation service that operates at a level equal
to or above the industry average for UZAs with a population of at least
200,000, but not more than 999,999. STIC funds are apportioned on the
basis 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.
In FY 2019, the STIC set aside will increase from 1.5% to 2%.
The data used to determine a UZA's eligibility under the STIC
formula and to calculate the STIC apportionments was obtained from the
NTD for the 2015 reporting year. Because performance data change with
each year's NTD reports, the UZAs eligible for STIC funds and the
amount each receives may vary each year. UZAs that received funding
through the STIC formula for FY 2017 are listed in Table 6.
c. Section 5340--Growing States and High Density States Formula
FTA also apportions funds to qualifying UZAs and States according
to the section 5340 Growing States and High Density States formula, as
shown in Table 3. More information on this program and its formula is
found in section IV.P. of this notice.
d. Low-Income Population
Of the amount authorized and appropriated for the Urbanized Area
Formula Program in each year, 3.07 percent is apportioned on the basis
of low income population. As specified in statute, FTA apportions 75
percent of the available funds to UZAs with a population of 200,000 or
more. Funds are apportioned based on the ratio of the number of low
income individuals in each UZA to the total number of low income
individuals in all urbanized areas of that size. FTA apportions the
remainder of the funds (25 percent) to UZAs with populations of less
than 200,000, according to an equivalent formula. The low income
populations used for this calculation were based on the American
Community Survey (ACS) data set for 2010-2014. This information is
updated by the Census Bureau annually.
4. Requirements
The maximum Federal share for the Urbanized Area Formula Program,
including the Ferry Program, is 80 percent, or 85 percent for the net
project cost of acquiring vehicles (including clean-fuel or alternative
fuel) for the purpose of complying with or maintaining compliance with
the Clean Air Act (CAA) or the Americans with Disabilities Act (ADA) of
1990. The maximum Federal share is 90 percent of the net project cost
for acquiring vehicle-related equipment or facilities (including clean-
fuel or alternative-fuel vehicle-related equipment or facilities) for
the purpose of complying with or maintaining compliance with the CAA or
ADA.
Program guidance for the Urbanized Area Formula Program is found in
FTA Circular 9030.1E, Urbanized Area Formula Program: Program Guidance
and Application Instructions, dated January 16, 2014, and is
supplemented by additional information and changes provided in this
notice and that may be posted to the Urbanized Area Formula Grants
program Web page. FTA is in the process of updating the program
circular
[[Page 6698]]
to incorporate changes resulting from FAST Act amendments to 49 U.S.C.
5307.
5. Period of Availability
Funds made available under the Urbanized Area Formula Program are
available for obligation during the year of apportionment plus five
additional years. Accordingly, funds apportioned in FY 2017 must be
obligated by September 30, 2022. Any FY 2017 apportioned funds that
remain unobligated at the close of business on September 30, 2022 will
revert to FTA for reapportionment under the Urbanized Area Formula
Program.
Funds allocated under the Ferry program follow the same period of
availability as section 5307. Accordingly, funds allocated in FY 2017
must be obligated by September 30, 2022. Any of the funds allocated in
FY 2017 that remain unobligated at the close of business on September
30, 2022 will revert to FTA for reallocation under the Ferry program.
6. Other Program Information
a. Special Rule for Operating Assistance in Large Urbanized Areas
The special rule at 49 U.S.C. 5307(a)(2) makes recipients in
urbanized areas with populations of 200,000 or above that operate 100
or fewer buses in fixed route service or general public demand response
service during peak hours, excluding ADA complementary paratransit
service, eligible for operating assistance subject to a maximum amount
per system as explained below:
i. Public transportation systems that operate a minimum of 76 buses
and a maximum of 100 buses in fixed route service or general public
demand response, excluding ADA complementary paratransit service,
during peak service hours may receive operating assistance in an amount
not to exceed 50 percent of the share of the apportionment that is
attributable to such systems within the urbanized area, as measured by
vehicle revenue hours.
ii. Public transportation systems that operate 75 or fewer buses in
fixed route service or demand response, excluding ADA complementary
paratransit service, during peak service hours may receive operating
assistance in an amount not to exceed 75 percent of the share of the
apportionment that is attributable to such systems within the urbanized
area, as measured by vehicle revenue hours.
iii. A list of eligible recipients and their maximum operating
assistance amounts for FY 2017 is shown in Table 3-A. FTA identified
the systems eligible to use this provision and their maximum amounts
for FY 2017 using data from the NTD for reporting year 2015. Operating
assistance requires a 50 percent local match.
In accordance with section 5307(a)(2), FTA has calculated a fixed
annual cap on operating assistance for each eligible agency that
provides service in a large UZA. The cap is determined by dividing the
UZA's apportionment by the total number of vehicle revenue hours
reported from all public transportation operators and from all transit
modes in the UZA, and then by multiplying this quotient by the number
of bus vehicle revenue hours operated in the UZA by the eligible
system. The result is the proportional share of the apportionment that
is attributable to the qualifying system, as measured by vehicle
revenue hours. This cap is calculated based on the FY 2017
apportionment for an eligible provider's UZA. Eligible systems
operating in more than one UZA over 200,000 in population will receive
separate operating caps from each UZA in which the system operates. The
FY 2017 Apportionment Table 3A includes all eligible general public
demand response operators. Systems that operate more than 100 buses in
general public demand response service, and which do not operate any
fixed-route service are not eligible for operating assistance under
this provision. Systems that only operate ADA complimentary paratransit
are not eligible for operating assistance under this provision.
Systems that operate more than 100 buses in fixed route service are
not eligible for operating assistance under this provision. Systems
that operate 100 or fewer fixed route buses are eligible, regardless of
the number of demand response vehicles they operate.
In determining the amount of operating assistance available for
specific systems in urbanized areas under the Special Rule, public
transportation systems may execute a written agreement with one or more
other public transportation systems within the urbanized area to
allocate funds by a method other than by measuring vehicle revenue
hours. Systems within the urbanized area may combine their individual
operating assistance caps and allocate the combined funds using a
method that is agreed upon by all of the systems. The operating
assistance cap for the urbanized area does not change as a result of
any agreement between two or more systems. The method used to allocate
the funds must be documented in a written agreement, signed by the
participating parties, and transmitted to FTA as part of the split
letter.
b. Eligibility of Substitute Transit Service as a Capital Project
The cost of operating substitute service (i.e. a bus bridge) is an
eligible capital project expense when incidental to a scheduled capital
maintenance, rehabilitation, or construction project on an existing
system. Eligible substitute service must be temporary, scheduled, and
the costs defined in the grant agreement for the capital project.
Substitute service costs are not an eligible capital project expense in
conjunction with emergency maintenance, operating incidents, or other
contingency operations, including emergency operations associated with
an emergency or a disaster.
c. Prohibition on Funding for Art and Non-Functional Landscaping
While formerly eligible for Urbanized Area Formula Program funds as
a ``Transit Enhancement'' (the precursor to Associated Transit
Improvement), at 49 U.S.C. 5323 (h) now prohibits the use of FTA funds
for the ``incremental costs of incorporating art or non-functional
landscaping into facilities, including the costs of an artist on the
design team.'' This prohibition applies to the creation, production, or
installation of artworks, defined as objects intended for a primarily
aesthetic purpose, or the involvement of artists in the development of
a capital project. However, FTA does not interpret the law to exclude
or generally prohibit the functional and aesthetic design of transit
stations or related facilities, including designs intended to minimize
adverse visual effects on the surrounding community. Transit facilities
and surrounding landscape designs should incorporate aesthetic
considerations, including but not limited to decisions regarding the
use of light, shape, color, materials, the use of space, and the
historic setting to achieve a functional and welcoming public transit
facility.
FTA will not require grantees to assess the often indeterminate
incremental costs associated with functional design elements,
including, but not limited to, the use of different types or colors of
paint or tile, wayfinding elements intended to direct passengers or
staff, or different or alternate construction materials in the design
of a transit facility.
Recipients may continue to use local funds for art in association
with transit capital projects, but such expenditures may not be counted
towards the local
[[Page 6699]]
share of a project cost, and should not be included in the grant award.
With regard to landscaping, FTA recognizes that landscaping is a
functional element of many transit facilities. For example, landscaping
can be used to aid in the absorption or drainage of rainwater,
prevention of erosion, support of structures on a steep grade,
minimization of noise impacts, protection of habitat, provision of
shade in hot climates, channeling of pedestrian or vehicle traffic,
definition of useable or unsafe spaces, and many other purposes. In
interpreting the term ``functional landscaping'' under this provision
of law, FTA draws a similar distinction, as with art, between
functionally appropriate landscape design and landscape elements
installed primarily for visual or aesthetic appeal.
For additional information see the Art and Non-Functional
Landscaping frequently asked questions posted on the Urbanized Area
Formula Grants Web page.
d. Employee Training Expenses
Costs associated with employee training may be eligible for
Urbanized Area Formula Program funding as operating expenses, as
preventive maintenance expenses, or as provided for under the following
provisions. A recipient may fund training expenses as an operating
expense under Section 5307, where allowed, at a 50 percent Federal
share.
i. Under Section 5314(b), up to 0.5 percent of the program a
recipient's section 5307, 5337, and 5339 funds may be used for human
resources and workforce development activities at an 80 percent Federal
cost share, including the cost of administering a training program.
Eligible activities include:
Various public transportation training programs;
Outreach programs for targeted groups to increase public
transportation employment for veterans, women, individuals with
disabilities, and minorities;
Development of training partnerships with key stakeholders
including community colleges, workforce development boards, and other
industry groups;
Development of apprenticeships, on-the-job-training, and
instructional training for public transportation; maintenance and
operations occupations;
Improve safety, security, and emergency preparedness in
local public transportation system through improved safety culture and
workforce communication with first responders and the riding public.
And other activities approved by FTA that address human resource needs
as they apply to public transportation activities.
ii. Under Section 5314(c), up to 0.5 percent of Section 5307, 5337,
and 5339 funds are available to a state or public transportation
authority recipient in a fiscal year to use for tuition and direct
educational expenses at the National Transit Institute for education
and training of state and local transportation employees, at a federal
share not to exceed 80 percent. States may also use these funds for
training State and local transportation agency employees through grants
and contracts with public and private agencies, and other institutions
and individuals with prior FTA approval.
D. Fixed Guideway Capital Investment Grant Program (49 U.S.C. 5309)
The Capital Investment Grant (CIG) Program includes four types of
eligible projects--New Starts projects, Small Starts projects, Core
Capacity Improvement projects, and Programs of Inter-related Projects.
Funding is provided for construction of: (1) New fixed guideway systems
or extensions to existing fixed guideway systems such as rapid rail
(heavy rail), commuter rail, light rail, trolleybus (using overhead
catenary), cable car, passenger ferries, and bus rapid transit
operating on an exclusive transit lane for the majority of the corridor
length that also includes features that emulate the services provided
by rail fixed guideway including defined stations, traffic signal
priority for public transit vehicles, and short headway bi-directional
service for a substantial part of weekdays and weekends; (2) corridor-
based bus rapid transit service that does not operate on an exclusive
transit lane but includes features that emulate the services provided
by rail fixed guideway including defined stations, traffic signal
priority for public transit vehicles, and short headway bi-directional
services for a substantial part of weekdays; (3) projects that expand
the capacity by at least 10 percent in an existing fixed guideway
corridor that is at capacity today or will be in five years; and (4)
programs of two or more interrelated projects as described above that
have logical connectivity with one another and will all begin
construction in a reasonable timeframe.
For more information about the Capital Investment Grant program
contact Elizabeth Day, Office of Capital Project Development, at (202)
366-5159 or [email protected]. For information about published
allocations contact Eric Hu, Office of Transit Programs, at (202) 366-
0870 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $2,301,785,760 in FY 2017, to
provide financial assistance under section 5309. Under the Continuing
Appropriations Act of 2017, $1,241,314,889 is available through April
28, 2017.
2. FY 2017 Funding Availability
In FY 2017, $1,241,314,889 is available for the period October 1,
2016 through April 28, 2017 to the Fixed Guideway Capital Investment
Grant Program. The total amount available for projects is
$1,228,901,740 as shown in the table below, after the deduction for
oversight (authorized by section 5338).
Capital Investment Grants (New Starts)--FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017.. $1,241,314,889
Oversight Deduction................................... (12,413,149)
-----------------
Total Apportioned................................... 1,228,901,740
------------------------------------------------------------------------
3. Basis for Allocation
Funds are allocated on a competitive basis and subject to program
evaluation.
4. Requirements
Projects become candidates for funding under the Capital Investment
Grant Program by successfully completing steps in the process defined
in section 5309 and obtaining a satisfactory rating under the
statutorily-defined criteria. For New Starts and Core Capacity
Improvement projects, the steps in the process include project
development, engineering, and construction. For Small Starts projects,
the steps in the process include project development and construction.
For programs of interrelated projects, the steps in the process depend
on the combination of project types included. New Starts and Core
Capacity Improvement projects receive construction funds from the
program 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 receive construction
funds through a single year grant or a Small Starts grant agreement
(SSGA) that defines the scope of the project and specifies the Federal
commitment to the project.
5. Period of Availability
Funds for the Fixed Guideway Capital Investment Grant Program
remain
[[Page 6700]]
available for obligation for four years, which includes the fiscal year
in which the funds are allocated to projects plus three additional
years.
E. Enhanced Mobility of Seniors and Individuals With Disabilities
Program (49 U.S.C. 5310)
The Section 5310 Enhanced Mobility of Seniors and Individuals with
Disabilities Program provides formula funding to states for the purpose
of meeting the transportation needs of older adults and people with
disabilities when the transportation service provided is unavailable,
insufficient, or inappropriate to meet these needs. The program aims to
improve mobility for seniors and individuals with disabilities by
removing barriers to transportation service and expanding
transportation mobility options.
The Pilot Program for Innovative Coordinated Access and Mobility
Program (Pilot Program) open to Section 5310 recipients--was
established by Section 3006(b) of the FAST Act. The purpose of the
program is to assist in financing innovative projects for the
transportation disadvantaged that improve the coordination of
transportation services and non-emergency medical transportation (NEMT)
services, including, for example, the deployment of coordination
technology, and projects that create or increase access to community
One-Call/One-Click Centers.
For more information or questions on the Enhanced Mobility of
Seniors and Individuals with Disabilities program, please contact Kelly
Tyler at (202) 366-3120 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $268,208,388 in FY 2017 to provide
formula funding to states for the purpose of meeting the transportation
needs of older adults and people with disabilities. The law also
authorizes $3 million for the competitive Pilot Program. Under the
Further Continuing and Security Assistance Appropriations Act, 2017,
$150,859,185 is available through April 28, 2017 for the formula
program.
2. FY 2017 Funding Availability
The total available funding for projects under the Section 5310
formula program for FY 2017 is $150,104,889 after the oversight
deduction as shown in the table below.
Section 5310 Formula Program--FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017)... $150,859,185
Oversight Deductions (oversight 0.5%)................... ( 754,296)
---------------
Total Apportioned..................................... 150,104,889
Competitive Pilot Program............................... 1,147,439
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Sixty percent of the funds are apportioned among designated
recipients for urbanized areas with a population of 200,000 or more
individuals. Twenty percent of the funds are apportioned among the
States for urbanized areas with a population of at least 50,000 but
less than 200,000. Twenty percent of the funds are apportioned among
the States for rural areas, defined as areas with a population less
than 50,000. Census Data on Older Adults and People with Disabilities
is used for the Section 5310 Enhanced Mobility of Older Adults and
People with Disabilities Apportionments. FY 2017 Apportionments Table 8
displays the amounts apportioned under the Enhanced Mobility of Seniors
and Individuals with Disabilities Program.
Under the section 5310 formula, funds are allocated using Census
data on older adults (i.e., persons 65 and older) and people with
disabilities. However, beginning in 2010, the Census Bureau stopped
collecting this demographic information as part of its decennial
census. Data on seniors and people with disabilities is now only
available from the American Community Survey (ACS), which is conducted
and published on a rolling basis. FTA's FY 2017 section 5310
apportionments incorporate ACS data published in December, 2015. Data
on seniors comes from the ACS 2010-2014 five-year data set, Table
B01001, ``Sex by Age. Data on persons with disabilities comes from the
ACS 2010-2014 five-year data set, Table S.1810, ``Disability
Characteristics.''
4. Requirements
At least 55 percent of program funds must be used on capital
projects such as buses and vans; wheelchair lifts, ramps, and
securement devices or transit-related information technology systems
including scheduling/routing/one-call systems. Mobility management
programs are also defined as capital projects for purposes of this
provision. The acquisition of transportation services under a contract,
lease, or other arrangement is also eligible; both the capital and
operating costs associated with contracted service are eligible capital
expenses for purposes of this provision. The capital eligibility of
acquisition of services is limited to the section 5310 program. The
remaining 45 percent of a recipient's 5310 funds can be used for
capital or operating.
a. Eligible Recipients
Eligible recipients include States for rural and small urban areas
and designated recipients chosen by the Governor of the State for large
urban areas; or a State or local governmental entity that operates a
public transportation service. For urbanized areas less than 200,000 in
population and in the rural areas, the State is the designated
recipient for section 5310. Current section 5310 designations remain in
effect until changed by the Governor of a State by officially notifying
the appropriate FTA Regional Administrator of re-designation. A State
or local governmental entity that operates a public transportation
service may be a direct recipient for Section 5310 funds.
In urbanized areas over 200,000 in population, the recipient
charged with administering the section 5310 Program must be officially
designated in accordance with the planning process, by the Governor of
a State, responsible local officials, and publicly owned operators of
public transportation prior to grant award (See the definition of
designated recipient, 49 U.S.C. 5302(4)). Designated recipients are
responsible for administering the program. Eligible subrecipients
include private nonprofit agencies, public bodies approved by the state
to coordinate services for seniors and people with disabilities, or
public bodies which certify to the Governor that no nonprofit
organizations or associations are readily available in an area to
provide the service.
b. Local Match
Capital assistance is provided at 80 percent Federal share; 20
percent local share. Operating assistance requires a 50 percent local
match. Funds provided under other Federal programs (other than those of
the DOT, with the exception of the Federal Lands Transportation Program
may be used for local match for funds provided under section 5310, and
revenue from service contracts may be used as local match.
c. Planning and Consultation
The coordinated planning provision requires that all projects be
included in the local coordinated human service-public transportation
plan. The plan must be developed and adopted with representation from
seniors, individuals
[[Page 6701]]
with disabilities, representatives of public, private, nonprofit
transportation and human services providers, and other members of the
public.
d. State and Project Management Plans
States, designated recipients, and State or local governmental
entities that operate a public transportation service that are
responsible for implementing the section 5310 program are required to
document their approach to managing the program. The Management Plans
serve as the basis for FTA management reviews of the program, and
provide public information on the administration of the programs.
e. Program of Projects (POP)
Designated recipients are required to develop a Program of Projects
(POP) with the grant application and submit it to the FTA Regional
Office. The POP should be developed with respect to the coordinated
plan, long range plan, and the transportation improvement plan. For
additional guidance in developing the required POP, see Chapter IV of
the FTA Circular 9070.1G, Enhanced Mobility of Seniors and Individuals
with Disabilities Program Guidance and Application Instructions, dated
July 7, 2014.
5. Period of Availability
For Enhanced Mobility of Seniors and Individuals with Disabilities
Program funds apportioned under this notice, the period of availability
is three years, which includes the year of apportionment plus two
additional years. Accordingly, funds apportioned in FY 2017 must be
obligated in grants by September 30, 2019. Any FY 2017 apportioned
funds that remain unobligated at the close of business on September 30,
2019 will revert to FTA for reapportionment among the States and
urbanized areas.
6. Other Program Information
A State may transfer apportioned funds between small urbanized
areas and rural areas if it can certify that the needs are being met in
the area to which the funds were originally apportioned. The State can
transfer the funds (rural and small urbanized area) to any area within
the state if a statewide program for section 5310 is established.
Section 5310 funds may not be transferred to other FTA programs.
Section 5310 funds apportioned to large urbanized areas may not be
transferred to other areas. Section 5310 program recipients may partner
with meal delivery programs such as the OAA-funded meal programs (to
find local programs, visit: www.Eldercare.gov) and the USDA Summer Food
Service Program http://www.fns.usda.gov/sfsp/summer-food-service-program-sfsp. Transit service providers receiving 5310 funds may
coordinate and assist in providing meal delivery services on a regular
basis as long as this does not conflict with the provision of transit
services.
Program Guidance is found in FTA Circular 9070.1G, Enhanced
Mobility of Seniors and Individuals with Disabilities Program Guidance
and Application Instructions, dated July 7, 2014. Section 3006(b) of
the FAST Act creates a new competitive pilot program for innovative
coordinated access and mobility that is discussed in section III of
this notice. The Federal share is 80% for capital projects. Local Match
can come from other Federal (non-DOT) funds.
F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
The Rural Areas 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, planning, job access and reverse commute projects,
and State administration expenses. Eligible sub-recipients include
State and local governmental authorities, 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 Rural Areas Formula Program, both for
funds apportioned to the States and for projects apportioned or
selected to be funded with funds set aside for a separate Tribal
Transit Program. For more information about the Formula Grants for
Rural Areas program, please contact [Eacute]lan Flippin at (202) 366-
3800 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $632,355,120 in FY 2017 to provide
financial assistance for rural areas under Rural Areas Formula Program.
2. FY 2017 Funding Availability
Under the Further Continuing Security Assistance Appropriations
Act, 2017, $317,012,628 is available through April 28, 2017 to the
Rural Area Programs which includes $44,378,969 for Growing States. The
total amount apportioned to the program is $359,613,193 as shown in the
table below, after the deduction for oversight (authorized by section
5338).
Formula Grants for Rural Areas Program--FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation Available Through April 28, 2017.... $317,012,628
Oversight Deductions.................................... (1,778,404)
Section 5340 Growing States............................. 44,421,465
---------------
Total Apportioned..................................... 359,655,689
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions Rural Areas Formula Program funds to the states by a
statutory formula using the latest available U.S. decennial census
data. The majority of Rural Formula Program funds (83.15 percent) are
apportioned based on land area and population factors. In this first
tier, no state may receive more than 5 percent of the amount
apportioned on the basis of land area. The remaining Rural Formula
Program funds (16.85 percent) are apportioned based on land area,
vehicle revenue miles, and low-income individual factors. In this
second tier, no state may receive more than 5 percent of the amount
apportioned on the basis of land area, or more than 5 percent of the
amounts apportioned for vehicle revenue miles. In addition to funds
made available under section 5311, FTA adds amounts apportioned based
on rural population according to the growing states formula factors of
49 U.S.C. 5340 to the amounts apportioned to the states under the
section 5311 formula. Before FTA apportions section 5311 funds to the
states, FTA subtracts funding from the total available amounts for the
Appalachian Development Transportation Assistance Program, the Tribal
Transit Program, the Rural Transportation Assistance Program (RTAP),
and FTA oversight activities.
Data from the National Transit Database (NTD) 2015 Report Year was
used for this apportionment, including data from directly-reporting
Indian tribes. Data from public transportation systems that reported as
urbanized area systems, but that was not attributable to an urbanized
area, was also included. The Rural Areas Formula Program program
includes three takedowns: The Appalachian Development Public
Transportation Assistance Program; the Rural Transit Assistance Program
(RTAP); and the Tribal Transit Program. These separate programs are
described in the sections that follow.
4. Requirements
The Rural Areas Formula Program provides funding for capital,
operating, planning, job access and reverse commute projects, and
administration expenses for public transit service in
[[Page 6702]]
rural areas under 50,000 in population. The planning activities
undertaken with Rural Areas Formula Program funds are in addition to
those awarded to the State under section 5305 and must be used
specifically for the needs of rural areas.
a. Intercity Bus Transportation
Each State must spend no less than 15 percent of its annual Rural
Areas Formula Program apportionment for the development and support of
intercity bus transportation, unless it can certify, after consultation
with affected intercity bus service providers, that the intercity bus
service needs of the State are adequately met. FTA encourages
consultation with other stakeholders, such as communities affected by
loss of intercity service. The cost of an unsubsidized portion of
privately provided intercity bus service that connects feeder service,
including all operating and capital costs of such service whether or
not offset by revenue from such service may be used as in-kind local
match for the intercity bus projects. FTA is updating the Rural Areas
Formula Program program circular to include this change.
b. State Administration
States may elect to use up to 10 percent of their apportionment at
100 percent Federal share to administer the Rural Areas Formula Program
program and provide technical assistance to subrecipients. Technical
assistance includes project planning, program and management
development, public transportation coordination activities, and
research the State considers appropriate to promote effective delivery
of public transportation to rural areas.
c. Other Requirements
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
Rural Areas Formula Program capital projects and 62.5 percent of the
sliding scale capital match ratio for operating projects. No longer
exists
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.
Additional program guidance for the Rural Areas Formula Program is
found in FTA Circular 9040.1G, Formula Grants for Rural Areas: Program
Guidance and Application Instructions, dated November 24, 2014, and is
supplemented by additional information that may be posted to FTA's Web
page.
5. Period of Availability
Rural Areas Formula Program funds remain available to states for
obligation for three Federal fiscal years, beginning with the year of
apportionment plus two additional years. The Rural Areas Formula
Program funds apportioned in this notice are available for obligation
during FY 2017 plus two additional years. Any FY 2017 apportioned funds
that remain unobligated at the close of business on September 30, 2019
will revert to FTA for reapportionment under the Rural Areas program.
6. Other Program Information
Revenue from the sale of advertising and concessions may be used as
local match.
G. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))
This program provides funding to assist in the design and
implementation of training and technical assistance projects, research,
and other support services tailored to meet the needs of transit
operators in rural areas. For more information about Rural
Transportation Assistance Program (RTAP), please contact [Eacute]lan
Flippin at (202) 366-3800 or [email protected].
1. Authorized Amounts
There is a two percent takedown from the funds made available for
RTAP. Of the remaining amount, 15 percent is reserved for the National
RTAP program. The remainder is available for allocation to the States.
Federal Transit Law authorizes $12,647,102 in FY 2017 to provide
technical assistance.
2. FY 2017 Funding Availability
Under the Further Continuing and Security Assistance Appropriations
Act, 2017 $7,113,616 is available through April 28, 2017 to the RTAP
Program. The total amount apportioned for RTAP is $6,046,574 as shown
in the table below, after the deduction for National RTAP.
Rural Transportation Assistance Program--FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017.... $7,113,616
National RTAP (15%)..................................... (1,067,042)
---------------
Total Apportioned..................................... 6,046,574
------------------------------------------------------------------------
3. Basis for Formula Apportionment
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 rural population in the 2010
census.
4. Requirements
Eligible expenses include the design and implementation of training
and technical assistance projects, research, and other support services
tailored to meet the needs of transit operators in rural areas.
States may use the funds to undertake research, training, technical
assistance, and other support services to meet the needs of transit
operators in rural areas. These funds are to be used in conjunction
with a State's administration of the Rural Areas Formula Program, but
also may support the rural components of the section 5310 program.
5. Period of Availability
The RTAP funds apportioned in this notice are available for
obligation in FY 2017 plus two additional years, consistent with that
established for the Rural Areas Formula Program Rural Program.
6. Other Program Information
The National RTAP project is administered by cooperative agreement
and re-competed at five-year intervals. In July of 2014, FTA awarded a
cooperative agreement to the Neponset Valley Transportation Management
Association to administer the National RTAP Program. 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 Transportation Research Board
National Conference on Rural Public and Intercity Bus Transportation
and other research and technical assistance projects of a national
scope.
H. Appalachian Development Public Transportation Assistance Program (49
U.S.C. 5311(c)(2))
This program is a take-down under the Rural Areas Formula Program
to provide additional funding to support public transportation in the
Appalachian region. There are sixteen eligible States that receive an
allocation under this provision. The State allocations are shown in the
Rural Areas Formula program table posted on FTA's Web site on the FY
2017 Apportionments page. For more information about the Appalachian
[[Page 6703]]
Development Public Transportation Assistance Program, please contact
[Eacute]lan Flippin at (202) 366-3800 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $20 million in each of FY 2016
through FY 2020 as a take-down under the Rural Areas Formula Program to
support public transportation in the Appalachian region.
2. FY 2017 Funding Availability
Under the Further Continuing and Security Assistance Appropriations
Act, 2017 $11,474,389 is available through April 28, 2017.
Appalachian Development Public Transportation Assistance Program Funds
FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017.... $11,474,389
---------------
Total Apportioned..................................... 11,474,389
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions the funds using percentages established under
section 9.5(b) of the Appalachian Regional Commission Code (subtitle IV
of title 40). Allocations are based in general on each State's
remaining estimated need to complete eligible sections of the
Appalachian Development Highway System as determined from the latest
percentages of available cost estimates for completion of the System.
Such cost estimates are produced at approximate five year intervals.
Allocations contain upper and lower limits in amounts determined by the
Commission and are made in accordance with legislative instructions.
4. Requirements
Funds apportioned under this program can be used for purposes
consistent with the Rural Areas Formula Program to support public
transportation in the Appalachian region. Funds can be applied for in
the State's annual Rural Areas Formula Program grant.
Appalachian program funds that cannot be used for operating may be
used for a highway project under certain circumstances. States should
contact their regional office if they intend to request a transfer.
Additional information about the requirements for this section can be
found in Chapter VII of FTA Circular 9040.1G, Formula Grants for Rural
Areas: Program Guidance and Application Instructions, dated November
24, 2014.
5. Period of Availability
Appalachian Program funds are available for three years, which
includes the year of apportionment plus two additional years,
consistent with that established for the Rural Areas Formula Program.
I. Formula Grants for Public Transportation on Indian Reservations
Program (49 U.S.C. 5311(j))
The Public Transportation on Indian Reservations Program, or Tribal
Transit Program (TTP), totals $35 million, of which $30 million is for
a formula program and $5 million is for a competitive grant program. It
is funded as a takedown from funds made available for the section Rural
Areas Formula Program. Formula factors include vehicle revenue miles
and the number of low-income individuals residing on tribal lands
(defined as American Indian Areas, Alaska Native Areas, and Hawaiian
Home Lands). Eligible direct recipients are Federally recognized Indian
tribes and Alaskan Native Villages providing public transportation in
rural areas. The TTP funds are allocated for grants to eligible
recipients for any purpose eligible under Rural Areas Formula Program,
which includes capital, operating, planning, and job access and reverse
commute projects. For more information about the Tribal Transit Program
contact Elan Flippin, Office of Transit Programs at (202) 366-3800 or
[email protected].
1. Authorized Amounts
Federal transit law authorizes $35 million in FY 2017 ($30 million
for formula and $5 million for the competitive program).
2. FY 2017 Funding Availability
Under the Further Continuing and Security Assistance Appropriations
Act, 2017 $15,080,181 is available for the formula program and $5
million for the competitive program through April 28, 2017 as shown
below.
Formula Grants for Public Transportation on Indian Reservations Program
FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation (formula)........................... $15,080,181
Total Apportioned (competitive)......................... 5,000,000
---------------
Total Apportioned..................................... 20,080,181
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Funding is allocated by formula and distributed to eligible Indian
tribes providing public transportation on tribal lands. The formula
apportionment shown in Table 10 is based on a statutory formula which
includes three tiers. Tiers 1 and 2 are based on data reported to NTD
by Indian tribes; Tier 3 is based on 2010-2014 American Community
Survey data. The three tiers for the formula are: Tier 1--50 percent
based on vehicle revenue miles reported to the NTD; Tier 2--25 percent
provided in equal shares to Indian tribes reporting at least 200,000
vehicle revenue miles to the NTD; Tier 3--25 percent based on Indian
tribes providing public transportation on tribal lands (American Indian
Areas, Alaska Native Areas, and Hawaiian Home Lands) on which more than
1,000 low income individuals reside. If more than one eligible tribe
provides public transportation services on tribal lands in a single
Tribal Statistical Area, and the tribes cannot determine how to
allocate Tier 3 funds, FTA will allocate the funds based on the
relative portion of transit (as defined by unlinked passenger trips)
operated by each tribe, as reported to the National Transit Database.
4. Requirements
Formula funds apportioned under this program can be used for
purposes consistent with Rural Areas Formula Program to support public
transportation on Indian Reservations in rural areas. Funds allocated
under the competitive program must be used consistent with the tribe's
proposal and the allocation notice published in the Federal Register,
which is used to announce the selected projects. Eligible recipients
under both the competitive and formula program include federally-
recognized Indian tribes or Alaska native villages, groups, or
communities as identified by the U.S. Department of the Interior Bureau
of Indian Affairs (BIA). A tribe must have the legal, financial and
technical capabilities to receive and administer Federal funds.
Section 5335 requires NTD reporting for all recipients or
beneficiaries all section 5311 funds. This reporting requirement
continues to apply to the Tribal Transit Program. Tribes that provide
public transportation in rural areas are reminded to report annually so
they are included in the TTP formula apportionments. To be considered
in the FY 2017 formula apportionments, tribes should have submitted
their reports to the NTD no later than April 30, 2016; voluntary
reporting to the NTD is also encouraged. Additionally, to be considered
for the FY 2018 formula apportionment funds, tribes need to submit
their reports to the NTD no later than April 30, 2017. Tribes needing
assistance with reporting to the NTD
[[Page 6704]]
should contact the NTD Helpline at 1-888-252-0936 or [email protected].
5. Period of Availability
Funding for the TTP is available for three years, which includes
the year of apportionment plus two additional years, consistent with
that established for the Rural Areas Formula Program. Any FY 2017
formula funds that remain unobligated at the close of business on
September 30, 2019 will revert to FTA for reapportionment under the
TTP.
6. Other Program Information
Section 207 of title 23, United States Code establishes a Tribal
Transportation Self-Governance Program (Self Governance Program). The
Self Governance Program will establish specific criteria for
determining eligibility for a tribe to participate in the program. A
Negotiated Rulemaking to implement this program in consultation with
tribal representatives and other interested stakeholders is under
development.
The funds set aside for the TTP are not meant to replace or reduce
funds that Indian tribes receive from States through the Rural Areas
Formula Program but are to be used to enhance public transportation on
Indian reservations and transit serving tribal communities. Funds
allocated to Indian tribes by the States may be included in the State's
Rural Areas Formula Program application or maybe awarded by FTA in a
grant directly to the Indian tribe. FTA encourages Indian tribes
intending to apply to FTA as direct recipients to contact the
appropriate FTA Regional Office at the earliest opportunity.
TTP grantees must comply with all applicable Federal statutes,
regulations, executive orders, FTA circulars, and other Federal
requirements in carrying out the project supported by the FTA grant. To
assist tribes with understanding these requirements, FTA regularly
conducts Tribal Transit Technical Assistance Workshops. FTA has also
expanded its technical assistance to tribes receiving funds under this
program. In FY 2015, FTA implemented the Tribal Transit Technical
Assistance Assessments initiative. Through these assessments, FTA
collaborates with tribal transit leaders to review processes and
identify areas in need of improvement and then assist with solutions to
address these needs--all in a supportive and mutually beneficial
manner. These assessments include discussions of compliance areas
pursuant to the Master Agreement, a site visit, promising practices
reviews, and technical assistance from FTA and its contractors. FTA
will post information about upcoming workshops to its Web site and will
disseminate information about the reviews through its Regional offices.
FTA has regional tribal transit liaisons in each of the FTA Regional
Offices that are available to assist tribes with applying for and
managing FTA grants. Tribes are encouraged to work directly with their
regional tribal transit liaison.
J. Public Transportation Innovation (49 U.S.C. 5312)
Public Transportation Innovation is FTA's research program. Within
this section, are several different activities that comprise three
distinct programs: (a) A Research, Development, Demonstration,
Deployment, & Evaluation program (49 U.S.C. 5312(b-e)); (b) a Low or No
Emission Vehicle Component Assessment Program (LoNo-CAP) (49 U.S.C.
5312(h)); and (c) a Transit Cooperative Research Program (49 U.S.C.
5312(i)). For more information about the Public Transportation
Innovation program, contact Edwin Rodriguez, Office of Research,
Demonstration and Innovation at (202) 366-0671 or
[email protected].
1. Authorized Amounts
Federal transit law authorizes $48 million for FY 2017 for the
Public Transportation Innovation program.
2. FY 2017 Funding Availability
Under the Further Continuing and Security Assistance Appropriations
Act, 2017 $16,064,145 is available through April 28, 2017 shown in the
table below.
Public Transportation Innovation Apportioned Thru April 28, 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Research, Development, Demonstration, Deployment, & $11,474,389
Evaluation.............................................
Low or No Emission Vehicle Component Testing............ 1,721,158
Transit Cooperative Research Program (TCRP)............. 2,868,597
---------------
Total Apportioned..................................... 16,064,145
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Public Transportation Innovation funds are allocated according to
the authorized purposes and amounts described above, and then remaining
amounts are subject to competitive allocations where not specifically
authorized. For FY 2017, FTA intends to fund projects and activities
consistent with its Research Strategic Plan and in support of three
major areas: Asset Innovation and Management, Mobility, and Safety.
Projects may be selected through Notices of Funding Opporunity (NOFO)
or Requests for Proposals (RFPs), or sole-sourced. Potential recipients
can register to receive notification of funding availability under this
program on Grants.gov.
FTA awards an annual cooperative agreement to the National
Academies of Science to administer the TCRP. For the LoNo-CAP,
proposals were due November 28, 2016 and FTA expects to announce the
selected testing facility or facilities in January 2017.
4. Requirements
Eligible expenses include activities involving (a) Research,
Innovation, Development, Demonstration, Deployment, Evaluation; (b) Low
or No Emission Vehicle Component Testing; and (c) Transit Cooperative
Research.
The Government share of the cost of a project carried out under
FTA's Research, Development, Deployment, and Demonstration program
shall not exceed 80 percent; the remaining 20 percent of the costs can
be met with in-kind resources. In some cases, FTA may require a higher
non-Federal share if FTA determines a recipient would obtain a clear
and direct financial benefit from the project, or if the non-Federal
share is an evaluation factor under a competitive selection process.
However, for the LoNo-CAP, the Government share is 50 percent; the
remaining 50 percent of the costs will be paid by amounts recovered
through the fees established by the testing facilities. There is no
match requirement for the TCRP.
Application instructions and program management guidelines are set
forth in FTA Circular C 6100.1E, Technology Development and Deployment,
``Research, Technical Assistance and Training Program: Application
Instructions and Program Management Guidelines'' dated May 11, 2015.
All research recipients are required to work with FTA to develop
approved Statements of Work. FTA will be updating the Circular for the
Research Program during FY 2017.
5. Period of Availability
FTA establishes the period in which the funds must be obligated to
the project. If the funds are not obligated within that period of time,
they revert to FTA for reallocation under the program.
6. Other Program Information
FTA publishes an annual Research Report on projects, evaluations,
and benefits of its research portfolio. The FY2015 Report is posted on
FTA's Web
[[Page 6705]]
site, with the FY2016 report expected in February 2017. Section 6019(b)
of the FAST Act establishes new requirements for annual modal research
plans in 49 U.S.C. 6501. The FY 2016 plans are posted on DOT's Web
site.
For the new LoNo-CAP (5312(h)), FTA solicited proposals for the
LoNo-CAP in the Fall of 2016, with selection(s) expected in January
2017. Per the statute, FTA only considered proposals from
``institutions of higher education'' as defined in section 1002 of
title 20, U.S.C., the Higher Education Act of 1965. Eligible
institution(s) of higher education must have capacity to carry out
transportation-related advanced component testing and evaluation, with
laboratories capable of testing and evaluation, and direct access to or
a partnership with a testing facility capable of emulating real-world
circumstances in order to test low or no emission components.
LoNo-CAP differs from the Bus Testing Program (Section 5318) in
that LoNo-CAP testing is voluntary; it will only test components, and
it will not assign passing or failing scores. The LoNo component
testing performed under LoNo-CAP complements the Section 5318 Bus
Testing Program, under which FTA will continue to test complete buses
as a condition of eligibility for FTA grant funding. Eligible
activities under LoNo-CAP include testing and assessing voluntarily
submitted Lo-No components for transit buses, publishing the results of
these LoNo component assessments, and preparing an annual report to
Congress summarizing the results of the component assessments. For more
information on the LoNo-CAP, please contact Marcel Belanger at
[email protected] or visit: https://www.transit.dot.gov/research-innovation/lonocap.
TCRP is a cooperative effort of three organizations: FTA; the
National Academies, acting through the Transportation Research Board
(TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit
educational and research organization established by the American
Public Transportation Association (APTA). FTA funds the TCRP through a
cooperative agreement and it is governed by an independent board--the
TCRP Oversight and Project Selection (TOPS) Committee. The TOPS
Committee sets priorities to decide what research studies will be
undertaken and annually selects projects. The FY 2017 selected projects
can be found at http://www.trb.org/TCRP. For more information about
TCRP, please contact Faith Hall at [email protected].
Pursuant to the Small Business Innovation Development Act, a
portion of the 5312 funds must be set aside for the Department's SBIR
program to address high priority research that will demonstrate
innovative, economic, accurate, and durable technologies, devices,
applications, or solutions to significantly improve current transit-
related service including transit vehicle operation, safety,
infrastructure and environmental sustainability, mobility, rider
experience, or broadband communication. Information on current and past
SBIR projects can be found on the DOT SBIR Web site.
K. Technical Assistance and Workforce Development (49 U.S.C. 5314)
The Technical Assistance and Workforce Development program, 49
U.S.C. 5314, provides assistance to: (1) Carry out technical assistance
activities that enable more effective and efficient delivery of
transportation services, foster compliance with Federal laws, and
improve public transportation service; (2) develop standards and best
practices for the transit industry; and (3) address public
transportation workforce needs through research, outreach, training and
the implementation of a frontline workforce grant program, and conduct
training and educational programs in support of the public
transportation industry.
For more information or questions about the Technical Assistance
and Workforce Development programs, please contact Edwin Rodriguez,
Office of Research, Demonstration, and Innovation at (202) 366-0671 or
[email protected].
1. Authorized Amounts
The Technical Assistance and Workforce Development Program is at
$14 million in FY 2017. Under the Further Continuing and Security
Assistance Appropriations Act, 2017 $5,163,475 is authorized through
April 28, 2017 as shown in the table below.
2. FY 2017 Funding Availability
Technical Assistance and Workforce Development Funds Available Thru
April 28, 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Technical Assistance, Standards Development & Human $2,294,878
Resource Training......................................
National Transit Institute.............................. 2,868,597
---------------
Total Appropriated.................................... 5,163,475
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Under the Technical Assistance and Workforce Development Program,
$2,868,597 is available for the NTI. The remaining $2,294,878 will be
allocated in support of FTA and USDOT strategic goals for technical
assistance, standards development, and workforce development. Projects
may be selected through sole source, Notices of Funding Opportunity
(NOFO) or Requests for Proposals (RFPs). Potential recipients can
register to receive notification of funding availability under this
program on Grants.gov. Once selected, FTA enters into cooperative
agreements, grants, contracts, or other agreements to award funds and
manage the projects carried out under this section.
4. Requirements
Eligible expenses include activities involving: (a) Technical
assistance; (b) standards development; and (c) human resources and
training, including workforce development programs and activities.
Eligible technical assistance activities may include activities to
support: (a) Compliance with the ADA; (b) compliance with coordinating
planning and human services transportation; (c) meeting the
transportation needs of elderly individuals; (d) increasing transit
ridership in coordination with MPOs and other entities, particularly
around transit-oriented development; (e) addressing transportation
equity with regard to the effect that transportation planning,
investment, and operations have for low-income and minority
individuals; (f) facilitating best practices to promote bus driver
safety; (g): compliance with Buy America requirements and pre- and
post-award audits; (h) assisting with the development and deployment of
low and no emission vehicles or components for vehicles; (i) and other
technical assistance activities that are necessary to advance the
interests of public transportation.
Eligible standards development activities include the development
of voluntary and consensus-based standards and best practices by the
industry including those needed for safety, fare collection,
intelligent transportation systems, accessibility, procurement,
security, asset management, operations, maintenance, vehicle
propulsion, communications, and vehicle electronics.
Eligible human resources and training activities include (a)
employment training programs; (b) outreach programs to increase
employment for veterans, females, individuals with
[[Page 6706]]
disabilities, and minorities in public transportation; (c) research on
public transportation personnel and training needs; (d) training and
assistance for veteran and minority business opportunities; and (e)
consensus-based national training standards and certifications in
partnership with industry stakeholders. FTA funding directly allocated
for these eligible purposes must be done through a competitive
frontline workforce development program as required by section 5314.
Should FTA allocate funds for these purposes, it will advertise the
available funding in a Notice of Funding Opportunity (NOFO) on
Grants.gov and on its Web site. In the meantime, recipients of funds
under sections 5307, 5337, and 5339 may use 0.5 percent of their
available funds to pay for workforce development activities (up to an
80 percent Federal share). There is a separate eligibility to use 0.5
percent of available funds under the sections above for training at the
National Transit Institute.
The Government's share of the cost of a project carried out using a
grant under this section shall not exceed 80 percent. However, for the
human resources and training, including the Innovative Public
Transportation Frontline Workforce Development Program, the
Government's share cannot exceed 50 percent. The Federal share for
other types of awards will be stated in the agreement. In some cases,
FTA may require a higher non-Federal share if FTA determines a
recipient would obtain a clear and direct financial benefit from the
project, or if the non-Federal share is an evaluation factor under a
competitive selection process.
The non-Government share of the cost of a project carried out under
these sections (Technical Assistance and Standards and Technical
Assistance and Training) may be derived from in-kind contributions as
defined in the most current version of FTA Circular 5010, ``Award
Management Guidelines'' found on FTA's Circular Web page at http://www.fta.dot.gov/circulars). Application instructions and program
management guidelines are set forth in FTA Circular 6100.1E,
``Research, Technical Assistance and Training Programs: Application
Instructions and Program Management Guidelines'' dated May 11, 2015.
All research recipients are required to work with FTA to develop
approved statements of work. There is no match requirement for the
National Transit Institute.
5. Period of Availability
FTA establishes the period in which the funds must be obligated to
the project. If the funds are not obligated within that period of time,
they revert to FTA for reallocation under the program.
6. Other Program Information
FTA publishes an annual report to Congress on the technical
assistance and standards activities that receive assistance under this
section. Additionally, FTA must report annually on the Frontline
Workforce Development Program. These reports can be found on FTA's Web
site.
L. Public Transportation Emergency Relief Program (49 U.S.C. 5324)
FTA's Emergency Relief (ER) Program is authorized to provide
funding for public transportation expenses incurred as a result of an
emergency or major disaster. No funding was provided in the Further
Continuing and Security Assistance Appropriations Act, 2017 for this
program.
In the event funds are appropriated to this program to assist in
responding to a publicly declared emergency or disaster, eligible
expenses will include emergency operating expenses, such as
evacuations, rescue operations, and expenses incurred to protect assets
in advance of a disaster, as well as capital projects to protect,
repair, reconstruct, or replace equipment and facilities of a public
transportation system that the Secretary determines is in danger of
suffering serious damage or has suffered serious damage as a result of
an emergency. Additionally, transit agencies in the affected areas may
request relief from certain FTA administrative and regulatory
requirements for costs incurred in support of evacuations, rescue
efforts, and the efficient shut down and resumption of transit services
during and after the storm. Requests for relief from these requirements
may be submitted to FTA's Emergency Relief Docket at https://www.regulations.gov/. The docket number for calendar year 2017 is FTA-
2017-0001.
FTA also encourages transit agencies in affected areas to become
familiar with FTA's Emergency Relief Program Manual, available at
transit.dot.gov/emergencyrelief. Should funding be made available by
Congress through FTA's Emergency Relief Program, or at FEMA's
direction, FTA will work with agencies to assess the impacts of the
storm, including emergency operations and any potential damages to
transit rolling stock or facilities.
While Congress has not provided funding for this program in FY
2017, so far recipients of FTA funding affected by a declared emergency
or disaster are authorized to use funds apportioned under sections 5307
and 5311 for emergency purposes under the provisions of FTA's Emergency
Relief Program. Recipients are advised that formula funds disbursed to
a grantee for emergency purposes will not be replaced or restored in
the event that funding is subsequently made available through FTA under
the ER Program or by the Federal Emergency Management Agency (FEMA).
In the event of a disaster affecting a public transportation
system, the affected recipient should contact its FTA Regional Office
as soon as practicable to determine whether Emergency Relief Program
funds are available, and to notify FTA that it plans to seek
reimbursement for emergency operations and/or repairs that have already
taken place or are in process. If Emergency Relief funds are
unavailable the recipient may seek reimbursement from FEMA. Properly
documented costs for which the grantee has not received reimbursement
from FEMA may later be reimbursed by grants made either from Emergency
Relief Program funding (if appropriated) or from sections 5307 and 5311
program funding, once the eligible recipient formally applies to FTA
for reimbursement and FTA determines that the expenses are eligible for
emergency relief.
More information on the Emergency Relief Program and FTA's response
to Hurricane Sandy is available on the FTA Web site at https://www.transit.dot.gov/funding/grant-programs/emergency-relief-program/emergency-relief-program.
For more information or questions on this program, please contact
Adam Schildge at 202-366-0778 or [email protected].
M. Public Transportation Safety Program (49 U.S.C. 5329)
The State Safety Oversight Formula Program provides funding to
support States with rail fixed guideway public transportation systems
(rail transit systems) to develop and carry out State Safety Oversight
(SSO) Programs consistent with the requirements of 49 U.S.C. 5329.
For more information or questions on the Public Transportation
Safety program, please contact Maria Wright at (202) 366-5922 or
[email protected].
[[Page 6707]]
1. Authorized Amounts
Federal transit law authorizes $23,148,419 in FY 2017 to provide
funding to support States in developing and carrying out the SSO
Program.
2. FY 2017 Funding Availability
Under the Further Continuing and Security Assistance Appropriations
Act, 2017 $13,020,292 is available through April 28, 2017 for the
period October 1, 2016 through April 28, 2017 for the State Safety
Oversight (SSO) program as shown in the table below.
Public Transportation Safety Program Funds Apportioned Thru April 28,
2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $13,020,292
---------------
Total Apportioned..................................... 13,020,292
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA will continue to allocate funds to the States by an
administrative formula, which is detailed in the Federal Register
notice apportioning SSO Formula Grant Program FY 2013 and FY 2014 funds
(Mar. 10, 2014). Grant funds for the SSO program are apportioned to
eligible States using a three-tier formula based on statutory
requirements, which apportion sixty percent (60%) of available funds
based rail transit system passenger miles (PMT), vehicle revenue miles
(VRM), and directional route miles (DRM), twenty percent (20%) of
available funds equally to each eligible State, and twenty percent
(20%) based on the number of rail transit systems in each state.
4. Requirements
FTA requires each applicant to demonstrate in its grant application
that its proposed grant activities will develop, lead to, or carry out
a State Safety Oversight program that meets the requirements under 49
U.S.C. 5329(e). Grant funds may be used for program operational and
administrative expenses, including employee training activities. Please
see the Federal Register notice which apportioned SSO Formula Grant
Program FY 2013 and FY 2014 funds (79 FR 13380, Mar. 10, 2014) for more
information.
5. Period of Availability
SSO Formula Grant Program funds are available for the year of
apportionment plus two additional years. Any FY 2017 funds that remain
unobligated at the close of business on September 30, 2019 will revert
to FTA for reapportionment under the SSO Formula Grant Program.
6. Other Program Information
Section 5329 authorizes FTA to temporarily assume oversight of a
rail transit safety system, under certain circumstances. FTA also has
the authority to issue restrictions and prohibitions to address unsafe
conditions or practices. On August 11, 2016, FTA published a final rule
to set procedures for FTA's administration of the Public Transportation
Safety Program. The final rule provides procedures whereby FTA may: (1)
Require a recipient to use Chapter 53 funds to correct safety
violations identified by the Administrator or a State Safety Oversight
Agency before such funds are used for any other purpose, or (2)
withhold up to than 25 percent of funds apportioned under 49 U.S.C.
5307 from a recipient when the Administrator has evidence that the
recipient has engaged in a pattern or practice of serious safety
violations, or has otherwise refused to comply with the Public
Transportation Safety Program, or any regulation or directive issued
under those laws for which the Administrator exercises enforcement
authority for safety.
N. State of Good Repair Program (49 U.S.C. 5337)
The State of Good Repair Program provides financial assistance to
designated recipients in Urbanized Areas (UZAs) with fixed guideway and
high intensity motorbus systems for capital investments that maintain,
rehabilitate, and replace aging transit assets and bring fixed guideway
and high intensity motorbus systems into a state of good repair. FTA
apportions funds for this program through a statutory formula using
data reported to the National Transit Database (NTD).
For more information or questions on the State of Good Repair
program, please contact Eric Hu at (202) 366-0870 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $2,549,670,000 in FY 2017 for the
State of Good Repair Program.
2. FY 2017 Funding Availability
Under the Further Continuing and Security Assistance Appropriations
Act, 2017 $1,438,314,657 is available through April 28, 2017. The total
amount apportioned is $1,423,931,511 after the deduction for oversight
as shown in the table below, after the deduction for oversight
(authorized by section 5338).
State of Good Repair Program Funds Apportioned FY 2017
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017.. $1,438,314,657
Oversight Deductions.................................. (14,383,147)
-----------------
Total Apportioned................................... 1,423,931,511
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions State of Good Repair Program funds according to a
statutory formula. Funds are apportioned to urbanized areas with high
intensity fixed guideway and high intensity motorbus systems that have
been in operation for at least seven years. This means that only
segments of high intensity fixed guideway and high intensity motorbus
systems that entered into revenue service on or before September 30,
2009 are included in the formula, as identified in the NTD. Funds
apportioned to urbanized areas with high intensity fixed guideway and
motorbus systems are determined by two equal elements: (1) The
proportion of the amount an urbanized area would have received in FY
2011 to the total amount apportioned to all urbanized areas in the FY
2011 Fixed Guideway Modernization program using the fixed guideway
definition defined in prior law; and (2) the proportion of vehicle
revenue miles of an urbanized area to the total vehicle revenue miles
of all urbanized areas and the proportion of directional route miles of
an urbanized area to the total directional miles of all urbanized
areas. 97.15 percent of the total appropriation is apportioned to the
fixed guideway tier, the remaining 2.85 percent is apportioned to the
high-intensity motorbus tier.
4. Requirements
In addition to the program guidance found in the FTA Circular
5300.1, ``State of Good Repair Grants Program: Guidance and application
Instructions'' all recipients will need to comply with the rule issued
under section 5326 for the Transit Asset Management plan (TAM).
5. Period of Availability
The State of Good Repair Program funds apportioned in this notice
are available for obligation during FY 2017 plus three additional
years. Accordingly, funds apportioned in FY 2017 must be obligated in
grants by September 30, 2020. Any FY 2017 apportioned funds that remain
unobligated at the close of business on September 30, 2020 will revert
to FTA for reappointment under the State of Good Repair Program.
[[Page 6708]]
6. Other Program Information
In July 2016, FTA published a Final Rule for Transit Asset
Management (81 FR 48890, July 26, 2016). Grantees must have a TAM plan
in place by October 1, 2018. Beginning in FY 2019 all projects funded
under the State of Good Repair Program must appear in the investment
prioritization of the grantees TAM plan.
O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
The Grants for Buses and Bus Facilities Program provides financial
assistance to states and designated recipients for capital investments
in public transportation systems to replace, rehabilitate and purchase
buses and related equipment and to construct bus-related facilities,
including technological changes or innovations to modify low or no
emission vehicles or facilities. Funding is provided through formula
allocations and competitive grants. A sub-program, the Low- or No-
Emission Vehicle Program, provides competitive grants for bus and bus
facility projects that support low and zero-emission vehicles.
For more information or questions on the Grants for Buses and Bus
Facilities Program, please contact Vanessa Williams at (202) 366-4818
or [email protected]. For information or questions regarding the
competitive Low or No Emissions Grant Program, contact Tara Clark at
(202) 366-2623 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $719,960,000 in FY 2017, to provide
financial assistance for the Grants for Buses and Bus Facilities
Program.
2. Funding Availability
Under the Continuing Appropriations Act of 2017, $399,193,992 is
available through April 28, 2017. After the 0.75 percent take-down for
oversight, $396,200,037 is available after the deduction for oversight,
as shown in the table below.
Grants for Buses and Bus Facilities--FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation (Formula)........................... $245,437,180
Oversight Deduction..................................... (1,840,779)
---------------
Total Apportioned (Formula)........................... 243,596,401
Total Appropriation (Low No Competition)................ 31,554,570
Oversight Deduction..................................... (236,659)
---------------
Total to be Allocated (Competition)................... 31,317,910
Total Appropriation (Bus Competition)................... 122,202,243
Oversight Deduction..................................... (916,517)
---------------
Total to be Allocated (Competition)................... 121,285,726
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Buses and Bus Facilities Program formula funds are apportioned to
States, territories, and designated recipients based on a statutory
formula. Under the National Distribution, each State is allocated $1.0
million and each territory is allocated $286,860 for use anywhere in
the State or territory for each of fiscal years 2016 through 2020. The
remainder of the available funding is then apportioned to UZAs based on
population, vehicle revenue miles, and passenger miles using the same
apportionment formula and allocation process as the Urbanized Area
Formula Program. Funds for UZAs under 200,000 in population are
apportioned to the State for allocation to eligible recipients within
such areas of the State at the Governor's discretion. Funds for UZAs
with populations of 200,000 or more are apportioned directly to one or
more designated recipient(s) within each UZA for allocation to eligible
projects and recipients within the UZA.
FTA allocates funds under the competitive section 5339(b) and
5339(c) programs on an annual basis based on a notice of funding
opportunity, which contains detailed guidance on applicant eligibility,
project eligibility, evaluation criteria, and application requirements.
4. Requirements
Eligible recipients for section 5339(a) formula grants include: (1)
Designated recipients that allocate funds to fixed route bus operators,
and (2) States local governmental entities that operate fixed route bus
service. Eligible subrecipients to include public agencies or private
nonprofit organizations engaged in public transportation, including
those providing services open to a segment of the general public, as
defined by age, disability, or low income. The definition of eligible
recipients applies to funding apportioned in previous fiscal years that
remain available for obligation. The requirements of the Urbanized Area
Formula Program apply to recipients of section 5339 funds within an
urbanized area. The requirements of Rural Areas Formula Program apply
to recipients of section 5339 funds within rural areas.
Under prior law, only designated recipients were eligible direct
recipients of section 5339(a) funds. Given that State and local
government entities that operate fixed route service are now eligible
direct recipients of section 5339(a) funds. FTA does not require
designated recipients to maintain program management plans (PMPs) if
they do not manage any sub-awards of section 5339 funds.
For additional program requirements, refer to FTA Circular 5100,
``Bus and Bus Facilities Formula Program: Guidance and Application
Instructions.''
5. Period of Availability
The Bus and Bus Facilities Program formula funds apportioned in
this notice are available for obligation during FY 2017 plus three
additional years. Accordingly, funds apportioned in FY 2017 must be
obligated in grants by September 30, 2020. Any FY 2017 apportioned
funds that remain unobligated at the close of business on September 30,
2020 will revert to FTA for reapportionment under the Bus and Bus
Facilities Formula Program. Competitive program funds authorized under
sections 5339(b) and 5339(c) follow the same period of availability.
6. Other Program Information
Although it does not provide additional funding, as authorized
under section 5339(a)(9), FTA has established a pilot program to allow
designated recipients in urbanized areas between 200,000 and 1 million
in population to elect to pool their Bus and Bus Facilities Program
formula allocations with other designated recipients within their
respective states. The purpose of this provision is to allow for the
transfer of formula funding within a State in a manner that supports
the transit asset management plans of the participating designated
recipients. A State that intends to participate in this pilot program
beginning in FY 2018 must submit a request to establish a State Pool to
its FTA Regional Office by August 31, 2017. The request must identify
the urbanized areas that will participate in the pool for FY 2018, and
must include a letter from each participating designated recipient, and
from any affected eligible recipients of section 5339(a) funds within
the urbanized area, indicating their intention to participate in this
pooling provision for FY 2017. An urbanized area that participates in a
State Pool must contribute its entire section 5339(a) apportionment for
the fiscal years in which it participates in the pool. A designated
recipient for a multistate area may participate in only one State Pool.
A State that does not establish a State Pool in FY 2018 may
[[Page 6709]]
choose to begin participating in this provision in a future fiscal
year, but should be aware that the benefits of pooling program funds
will be diminished over a shorter duration. For FY 2018, the request
must specify the proposed distribution of the pooled funding and must
provide a detailed explanation of how this distribution will support
the transit asset management plans of each participating designated
recipient, including any eligible recipients to which the designated
recipient will allocate funding. Upon approval, FTA will make the
requested amounts of program funding available to the urbanized areas
as directed in the request. A State that elects to participate in this
pilot program will be required to develop an allocation plan for the
period of fiscal years 2018 through 2020 that ensures that a designated
recipient participating in the State's pool receives under the program
an amount of funds that equals the amount of funds that would have
otherwise been available to the designated recipient for that period
pursuant to the formulas provided. The amounts in the State Pool will
be apportioned separately from funds apportioned to the State under the
Governor's Apportionment for urbanized areas under 200,000 in
population, and will be made available directly by FTA to the
participating urbanized areas, as directed in the approved allocation
plan. An allocation plan may be revised for future fiscal years,
provided that it remains compliant with the requirement to ensure
equity over the period the pool is in effect. Approved requests to
establish a State Pool for the specified UZAs will remain in effect
until cancelled at the request of the State or one or more designated
recipients. If a State or designated recipient elects to end its
participation in this pooling provision in any future fiscal year, FTA
will adjust the formula allocations so that the total amount that each
affected urbanized area has received over the fiscal years in which it
participated, plus the following apportionment, equals the amount it
would have received over this period had it not participated in the
State pool. Adjustments will be made using the formula apportionment
factors used for each of the affected fiscal years. After the pools are
determined, FTA will publish a supplementary table showing the
participating UZAs, the State total, and the amounts for each UZA for
FY 2017. In future years, the States must provide the amounts
determined by August 31 (in an updated allocation plan), so that FTA
can publish the breakdowns and make the funds available in the
Apportionment Notice.
P. Growing States and High Density States Formula Factors (49 U.S.C.
5340)
Federal transit law authorizes the use of formula factors to
distribute additional funds to the section 5307 and Rural Areas Formula
Program programs for growing states and high density states. FTA will
continue to publish single urbanized and rural apportionments that show
the total amount for section 5307 and 5311 programs that includes
section 5340 apportionments for these programs.
For more information or questions on this program, please contact
Tara Clark at (202) 366-2623 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $544,433,788 for apportionment in FY
2017 for the Growing States and High Density States Formula factors.
2. FY 2017 Funding Availability
Under the Further Continuing and Security Assistance Appropriations
Act, 2017 $307,663,675 is available through April 28, 2017.
------------------------------------------------------------------------
Growing states and high density states formula factors
available thru April 28, 2017 2017
------------------------------------------------------------------------
Growing States.......................................... $156,222,132
High Density States..................................... 151,441,543
---------------
Total Apportioned..................................... 307,663,675
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Under the Growing States portion of the section 5340 formula, FTA
projects each State's 2025 population by comparing each State's
apportionment year population (as determined by the Census Bureau) to
the State's 2010 Census population and extrapolating to 2025 based on
each State's rate of population growth between 2010 and the
apportionment year. Each State receives a share of Growing States funds
on the basis of its projected 2025 population relative to the
nationwide projected 2025 population.
Once each State's share is calculated, funds attributable to that
State are divided into an urbanized area allocation and a non-urbanized
area allocation on the basis of the percentage of each State's 2010
Census population that resides in urbanized and non-urbanized areas.
Urbanized Areas receive portions of their State's urbanized area
allocation on the basis of the 2010 Census population in that urbanized
area relative to the total 2010 Census population in all urbanized
areas in the State. These amounts are added to the Urbanized Area's
section 5307 apportionment.
The States' rural area allocation is added to the allocation that
each State receives under the Rural Areas Formula Program Formula
Grants for Rural Areas program.
The High Density States portion of the section 5340 formula are
allocated to urbanized areas in States with a population density equal
to or greater than 370 persons per square mile. Based on this threshold
and 2010 Census data, the States that qualify are Maryland, Delaware,
Massachusetts, Connecticut, Rhode Island, New York and New Jersey. The
amount of funds provided to each of these seven States is allocated on
the basis of the population density of the individual State relative to
the population density of all seven States. Once funds are allocated to
each State, funds are then allocated to urbanized areas within the
States on the basis of an individual urbanized area's population
relative to the population of all urbanized areas in that State.
Q. Washington Metropolitan Area Transit Authority Grants
Section 601 of the Passenger Rail Investment and Improvement Act of
2008 (PRIIA) authorized an aggregate amount of $150,000,000 to be
available in increments over 10 fiscal years beginning in fiscal year
2009 to assist Washington Metropolitan Transit Authority (WMATA) in
implementing Capital Improvement Program and preventive maintenance
projects.
For more information or questions on the Washington Metropolitan
Area Transit Authority Grants program, please contact Eric Hu at (202)
366-0870 or [email protected] or Corey Walker at (202) 219-3562 or
[email protected].
1. Authorized Amounts
Section 601 of PRIIA authorizes $150,000,000 in FY 2017.
2. FY 2017 Funding Availability
Under the Continuing Appropriations Act of 2017, $86,057,917 is
available through April 28, 2017. The total amount available is
$85,197,338 after the deduction for oversight as shown in the table
below.
Washington Metropolitan Area Transit Authority Grants Funds--FY 2017
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017.... $86,057,917
Oversight Deduction..................................... (860,579)
---------------
[[Page 6710]]
Total Apportioned..................................... 85,197,338
------------------------------------------------------------------------
3. Basis for Formula Apportionment
The funding is authorized under Section 601, Authorization for
Capital and Preventive Maintenance Projects for Washington Metropolitan
Area Transit Authority, of the Passenger Rail Investment and
Improvement Act of 2008, (Pub. L. 110-432) Division B, Title VI.
4. Requirements
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 railcars, 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. The
maximum Federal share for each project shall be for 50 percent of the
net project cost of the project, and matching funds shall be provided
in cash from sources other than Federal funds or revenues from the
operation of public transportation systems.
5. Period of Availability
Funds appropriated for WMATA under Section 601 PRIIA shall remain
available until expended.
R. Paul S. Sarbanes Transit in Parks Program
The Paul S. Sarbanes Transit in Parks Program (Transit in Parks) at
former 49 U.S.C. 5320, has provided grants for alternative
transportation in and around America's national parks and Federal lands
since 2006. FTA is establishing a deadline of September 30, 2017 to
obligate funds allocated to recipients under the Transit in Parks
program. Any competitive allocations that remain unobligated after
September 30, 2017 will revert back to FTA.
Alternative transportation projects formerly eligible under Transit
in Parks are now eligible under the Federal Highway Administration's
Federal Lands Transportation Program and the Federal Lands Access
Program.
V. FTA Policy and Procedures for FY 2017 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
1. Caution to New Grantees
While FTA provides pre-award authority to incur expenses before
grant award for formula programs, it recommends that first-time grant
recipients NOT utilize this automatic pre-award authority without
verifying with the appropriate FTA Regional Office that all pre-
requisite requirements have been met. 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.
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 this
notice, FTA provides pre-award authority through the authorization
period of the FAST Act (October 1, 2015 through September 30, 2020) for
capital assistance under all formula programs, so long as the
conditions described below are met. FTA provides pre-award authority
for planning and operating assistance under the formula programs
without regard to the period of the authorization. All pre-award
authority is subject to conditions and triggers stated below:
a. Operating, Planning, or Administrative Assistance
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, would have been allowable if incurred after the
date of award, 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 section 5310 project must have been included in a coordinated
public transit-human services transportation plan (coordinated plan)
and selected by the designated recipient before incurring expenses;
expenditures on State Administration expenses under State Administered
programs must be consistent with the State Management Plan (as defined
in FTA Circular 9040.1G, Chapter 6). Designated recipients for section
5310 have pre-award authority for the ten percent of the apportionment
they may use for program administration.
b. Transit Capital Projects
For transit capital projects, the date that costs may be incurred
varies depending on the type of activity and its potential to have a
significant impact on the human and natural environment as described
under conditions in section 3 below. Before an applicant may incur
costs when pre-award authority has not been granted, 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 in section 4 below.
c. Public Transportation Innovation, Technical Assistance and Workforce
Development
Unless provided for in an announcement of project selections, pre-
award authority does not apply to Public Transportation Innovation
Public Transportation Innovation projects or section 5314 Technical
Assistance and Workforce Development. Before an applicant may incur
costs for activities under these programs, it must first obtain a
written Letter of No Prejudice (LONP) from FTA. To obtain an LONP,
[[Page 6711]]
a grantee must submit a written request accompanied by adequate
information and justification to the appropriate FTA headquarters
office. Information about LONP procedures may be obtained from the
appropriate headquarters office.
3. Conditions
The conditions under which pre-award authority may be utilized are
specified below:
a. Pre-award authority is not a legal or implied commitment that
the subject project will be approved for FTA assistance or that FTA
will obligate Federal funds. Furthermore, it is not a legal or implied
commitment that all items undertaken by the applicant will be eligible
for inclusion in the project.
b. All FTA statutory, procedural, and contractual requirements must
be met.
c. No action will be taken by the grantee that prejudices the legal
and administrative findings that the Federal Transit Administration
must make in order to approve a project.
d. Local funds expended by the grantee 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 the
undertaking of certain activities that would compromise FTA's ability
to comply with Federal environmental laws (e.g., project implementation
activities such as land acquisition, demolition, or construction before
the date of pre-award authority) may render the project ineligible for
FTA funding.
e. The Federal amount of any future FTA assistance awarded to the
grantee for the project will be determined on the basis of the overall
scope of activities and the prevailing statutory provisions with
respect to the Federal/local match ratio at the time the funds are
obligated.
f. For funds to which the pre-award authority applies, the
authority expires with the lapsing of the fiscal year funds.
g. When a grant for the project is subsequently awarded, the grant
and the Federal Financial Report in TrAMS must indicate the use of pre-
award authority.
h. Environmental Requirements.
All Federal environmental grant requirements must be met at the
appropriate time for the project to remain eligible for Federal
funding. Designated recipients may incur costs for design and
environmental review activities for all projects from the date of the
authorization of formula funds or the date of the announcement of the
competitive allocations of funds for the project. For projects that
qualify for a categorical exclusion pursuant to 23 CFR 771.118(c),
designated recipients may start activities and incur costs for property
acquisition, demolition, construction, and acquisition of vehicles,
equipment, or construction materials from the date of the authorization
of formula funds or the date of the announcement of the competitive
allocation of funds for the project. FTA recommends that a grant
applicant considering a categorical exclusion pursuant to 23 CFR
771.118(c) contact FTA's Regional Office for assistance in determining
the appropriate environmental review process and level of documentation
necessary before incurring costs for property acquisition, demolition,
construction, and acquisition of vehicles, equipment, or construction
materials. If FTA subsequently finds that a project does not to qualify
for this CE, it will be ineligible for FTA assistance. In particular,
FTA encourages grant applicants to contact FTA's Regional Office before
exercising pre-award authority for projects to which it believes a CE
at 23 CFR 771.118(c)(8), (9), (10), (12), or (13) applies.
For all other projects that do not qualify for a categorical
exclusion under 23 CFR 771.118(c), grant applicants may take action and
incur costs for property acquisition, demolition, construction, and
acquisition of vehicles, equipment, or construction materials from the
date that FTA completes the environmental review process required by
NEPA and its implementing regulations, 23 U.S.C. 139, and other
environmental laws by its issuance of a section 771.118(d) categorical
exclusion determination, a Finding of No Significant Impact (FONSI), or
a Record of Decision (ROD).
i. Planning and other requirements.
Formula funds must be authorized or appropriated and earmarked
project allocations published or announced before pre-award authority
can be considered.
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 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 triggered
by the completion of the NEPA process.
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.
j. Federal procurement procedures, as well as the whole range of
applicable Federal requirements (e.g., Buy America, Davis-Bacon Act,
and 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.
k. All program specific requirements must be met. For example,
projects under section 5310 must comply with specific program
requirements, including coordinated planning. 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 for questions on environmental requirements, or any other
Federal requirements that must be met.
4. Pre-Award Authority for the Fixed Guideway Capital Investment Grant
Program (New and Small Starts Projects and Core Capacity Projects)
Projects proposed for section 5309 Capital Investment Grant (CIG)
program funds are required to follow a multi-step, multi-year process
defined in law. For New Starts and Core Capacity projects, this process
includes three phases: Project development (PD), engineering, and
construction. For Small Starts projects, this process includes two
phases: PD and construction. After receiving a letter from the project
sponsor requesting entry into the PD phase, FTA must respond in writing
within 45 days whether the information was sufficient for entry. If
FTA's correspondence indicates the information was sufficient and the
New Starts, Small Starts or Core Capacity project enters PD, FTA
extends pre-award authority to the project sponsor to incur costs for
PD activities. PD activities include the work necessary to complete the
environmental review process and as much engineering and
[[Page 6712]]
design activities as the project sponsor believes are necessary to
support the environmental review process. Upon completion of the
environmental review process with a ROD, FONSI, or CE determination by
FTA for a New Starts, Small Starts, or Core Capacity Improvement
project, FTA extends pre-award authority to project sponsors to incur
costs for as much engineering and design as needed to develop a
reasonable cost estimate and financial plan for the project, utility
relocation, and real property acquisition and associated relocations
for any property acquisitions not already accomplished as a separate
project for hardship or protective purposes or right-of-way under 49
U.S.C. 5323(q).
For Small Starts projects, upon completion of the environmental
review process and confirmation from FTA that the overall project
rating is at least a Medium, FTA extends pre-award authority for
vehicle purchases. Upon receipt of a letter notifying a New Starts or
Core Capacity project sponsor of the project's approval into the
engineering phase, FTA extends pre-award authority for vehicle
purchases as well as any remaining engineering and design, demolition,
and procurement of long lead items for which market conditions play a
significant role in the acquisition price. The long lead items include,
but are 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.
FTA provides this pre-award authority in recognition of the long-lead
time and complexity involved with purchasing vehicles as well as their
relationship to the ``critical path'' project schedule. FTA cautions
grantees that do not currently operate the type of vehicle proposed in
the project about exercising this pre-award authority. FTA encourages
these sponsors to wait until later in the process when project plans
are more fully developed. 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, Disadvantaged Business Enterprise
program requirements 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. Because there is
not a formal engineering phase for Small Starts projects, FTA does not
extend pre-award authority for demolition and procurement of long lead
items. Instead, this work must await receipt of a construction grant
award or an expedited grant agreement.
a. Real Property Acquisition
As noticed above, FTA extends pre-award authority for the
acquisition of real property and real property rights for fixed
Guideway Capital Investment Grant projects (New or Small Starts or Core
Capacity) upon completion of the environmental review process for that
project. The environmental review 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 may commence, at the project sponsor's risk. 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 the environmental
review process does not cover site preparation, demolition, or any
other activity that is not strictly necessary to comply with the URA,
with one exception--namely 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). Pre-award authority for property
acquisition is also provided when FTA completes the environmental
review process for the acquisition of right-of-way as a separate
project in accordance with 49 U.S.C. 5323(q). When a tiered
environmental review in accordance with 23 CFR 771.111(g) is 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 with a clear
understanding that it does not constitute a funding commitment by FTA.
FTA provides pre-award authority upon completion of the environmental
review process for real property acquisition and relocation assistance
to maximize the time available to project sponsors to move people out
of their homes and places of business, in accordance with the
requirements of the URA, but also with maximum sensitivity to the
circumstances of the people so affected.
b. Reimbursement of Costs Incurred Under Pre-Award Authority
Although FTA provides pre-award authority for property acquisition,
long lead items, and vehicle purchases upon completion of the
environmental review process, FTA will not make a grant to reimburse
the sponsor for real estate activities, vehicle purchases or purchases
of long lead items conducted under pre-award authority until the
project receives its construction grant. This is to ensure that Federal
funds are not risked on a project whose advancement into construction
is not yet assured.
c. National Environmental Policy Act (NEPA) Activities
NEPA requires that major projects proposed for FTA funding
assistance be subjected to a public and interagency review of the need
for the project, its environmental and community impacts, and
alternatives to avoid and reduce adverse impacts. Projects of more
limited scope also need a level of environmental review, either to
support an FTA finding of no significant impact (FONSI) or to
demonstrate that the action is categorically excluded (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
[[Page 6713]]
with NEPA regulations and to conduct NEPA-related activities, effective
as of the earlier of the following two dates: (1) 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; or (2) the
date that FTA approves the project into the project development phase
of the CIG program. The grant applicant must notify the FTA Regional
Office to initiate 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 associated engineering, and to prepare environmental,
historic preservation and related documents. When a New Starts, Small
Starts, or Core Capacity project is granted pre-award authority for the
environmental review process, the reimbursement for NEPA activities
conducted under pre-award authority may be sought at any time through
section 5307 (Urbanized Area Formula Program) or the flexible highway
programs (STP and CMAQ). Reimbursement from the section 5309 CIG
program for NEPA activities conducted under pre-award authority is
provided only for expenses incurred after entry into the project
development phase and only once a construction grant agreement is
signed. As with any pre-award authority, FTA reimbursement for costs
incurred is not guaranteed.
d. Other New and Small Starts and Core Capacity Project Activities
Requiring Letter of No Prejudice (LONP)
Except as discussed in paragraphs i through iii above, a CIG
project sponsor must obtain a written LONP from FTA before incurring
costs for any activity not covered by pre-award authority. 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 Grant program projects (New or Small Starts or Core
Capacity) undertaking activities not covered under automatic pre-award
authority. LONPs may be issued for formula and competitive 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 in the LONP. Receipt of Federal
funding under any program is not implied or guaranteed by an LONP.
2. Conditions and Federal Requirements
The conditions and requirements for pre-award authority specified
in section V.4.ii and V.4.iii above apply to all LONPs. Because project
implementation activities may not be initiated before completion of the
environmental review process, FTA will not issue an LONP for such
activities until the environmental review process has been completed
with a ROD, FONSI, or CE determination.
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 is determined on a case-by-
case basis. Federal funding under the Fixed Guideway Capital Investment
Grant program for a New Starts, Small Starts, or Core Capacity project
is not implied or guaranteed by an LONP. Specifically, when requesting
an LONP, the applicant shall provide the following items:
a. Description of the activities to be covered by the LONP.
b. Justification for advancing the identified activities. The
justification should include an accurate assessment of the consequences
to the project scope, schedule, and budget should the LONP not be
approved.
c. Allocated level of risk and contingency for the activity
requested.
C. FY 2017 Annual List of Certifications and Assurances
The FY 2017 Certifications and Assurances and Master Agreement are
currently available in TrAMS and must be used for all grants and
cooperative agreements awarded in FY 2017. All recipients with active
projects are required to sign the FY 2017 Certifications and Assurances
within 90 days of publication. The FY 2017 Certifications and
Assurances publication date of December 20, 2016.
D. Civil Rights Requirements
1. Equal Employment Opportunity (EEO)
The FTA Office of Civil Rights released an updated EEO Circular,
FTA Circular 4704.1A, effective October 31, 2016. The Circular provides
guidance to FTA grant recipients to carry out EEO requirements and
prepare EEO Program Plans. The updated FTA EEO Circular is posted at
https://www.transit.dot.gov/regulations-and-guidance/civil-rights-ada/eeo-circular. Based on feedback received since publication of the
Circular, FTA would like to provide clarification regarding the
Circular.
First, State DOTs are subject to the same threshold requirements
for FTA EEO Program submissions, located in Circular Section 1.4,
Applicability, as other recipients. A State DOT must only submit a
transit-related EEO Program if: (1) It employs 100 or more transit-
related employees; and (2) requests or receives capital or operating
assistance in excess of $1 million in the previous Federal fiscal year,
or requests or receives planning assistance in excess of $250,000 in
the previous Federal fiscal year. In accordance with a One DOT approach
and pursuant to the forthcoming Memorandum of Understanding (MOU) with
the Federal Highway Administration (FHWA), State DOTs must submit a
single EEO Program to FHWA and FTA which will be jointly reviewed,
monitored, and approved in accordance with FHWA and FTA regulations
every four years. As part of the implementation of the MOU, FTA will be
collecting all State DOT EEO Programs every four years via TrAMS.
Therefore, a State DOT that does not meet the threshold requirements
outlined in Circular Section 1.4 must still submit the FHWA-required
EEO Program every four years to FTA, but will not be required to submit
a transit-related EEO Program.
Second, we wish to clarify the threshold requirements for preparing
and maintaining an abbreviated EEO Program, which is discussed in
Circular Section 1.4. In the paragraph discussing
[[Page 6714]]
the requirements for agencies employing between 50-99 transit-related
employees, FTA inadvertently did not include the monetary threshold
that has been in place since at least 1988. Thus, an agency is required
to prepare and maintain an abbreviated EEO Program only if: (1) It has
between 50-99 transit-related employees; and (2) it requests or
receives capital or operating assistance in excess of $1 million in the
previous Federal fiscal year, or requests or receives planning
assistance in excess of $250,000 in the previous Federal fiscal year.
The inadvertent absence of the monetary threshold would require more
agencies to prepare and maintain EEO Programs. Thus, reinstating the
threshold reduces the burden on transit agencies and maintains the
status quo.
Third, only direct recipients who cross the EEO Program threshold
requirements in Circular Section 1.4, and State DOTs are required to
prepare and/or submit an EEO Program to FTA. All subrecipients and
contractors who cross the EEO Program threshold must submit EEO
Programs to the entity from which they receive funds, generally the
transit agency or the State DOT, as appropriate. This will allow State
DOTs and transit agencies to determine and document that subrecipients
and contractors comply with EEO statutes and regulations, in accordance
with their monitoring responsibilities. FTA applicants, recipients,
subrecipients, and contractors that do not meet the EEO Program
threshold are not required to submit an EEO Program to FTA or to the
entity from which they receive funds.
FTA will amend the pages of the Circular affected by the above
clarifications and will post the updated Circular on FTA's Web site.
2. Title VI of the Civil Rights Act of 1964
The U.S. DOT's Title VI implementing regulations are found in 49
CFR part 21. FTA's Title VI Circular (4702.1B) provides guidance for
carrying out the regulatory requirements. Recipients in urbanized areas
of 200,000 or more in population and with 50 or more fixed-route
vehicles in peak service must conduct a service or fare equity analysis
for all service changes that meet the recipient's definition of ``major
service change'' prior to implementing the service change. A service
equity analysis is also required for all New Start, Small Start, or
other new fixed guideway capital projects, and must be completed six
months prior to implementing revenue service. Recipients also must
conduct a fare equity analysis for all fare increases or decreases
prior to implementing a fare change. Recipients that do not meet the
abovementioned threshold of 200,000 or more in population and 50 fixed
route vehicles in peak service (i.e., small transit providers) are not
required to conduct a service or fare equity analysis but should review
their policies and practices to ensure their service and fare changes
do not result in disparate impacts on the basis of race, color, or
national origin.
FTA would also like to stress the importance of public
participation. Recipients must facilitate effective public engagement
throughout all stages of the consultation, planning, and the decision-
making process. Particular emphasis should be given to affected, and
potentially affected, communities. FTA recommends that recipients
anticipating service and fare changes review FTA Circular 4703.1,
Environmental Justice Policy Guidance, Chapter III, Achieving
Meaningful Public Engagement with Environmental Justice Populations,
available at https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/environmental-justice-policy-guidance-federal-transit for
ideas on how to engage affected populations. Should you have any
questions, please contact your Regional Civil Rights Officer.
E. 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, 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.
Under the CPG, States can report metropolitan planning program
expenditures (to comply with the Single Audit Act) for both FTA and
FHWA under the Catalogue of Federal Domestic Assistance number for
FTA's Metropolitan Planning Program (20.505). Additionally, for States
with an FHWA Metropolitan Planning (PL) fund-matching ratio greater
than 80 percent, the State can waive the 20 percent local share
requirement, with FTA's concurrence, to allow FTA funds used for
metropolitan planning in a CPG to be granted at the higher FHWA rate.
For some States, this Federal match rate can exceed 90 percent.
States interested in transferring planning funds between FTA and
FHWA should contact the FTA Regional Office or FHWA Division Office for
more detailed procedures. Current guidelines are included in Federal
Highway Administration Memorandum dated July 12, 2007, ``Information:
Final Transfers to Other Agencies that Administer Title 23 Programs.''
For further information on CPGs, contact Ann Souvandara, Office of
Budget and Policy, FTA, at (202)366-0649.
F. Grant Application Procedures
All applications for FTA funds should be submitted to the
appropriate FTA Regional Office. All applications are filed
electronically. FTA continues to award and manage grants and
cooperative agreements using the Transit Award Management System
(TrAMS) which re-opened for financial activity on November 1, 2016.
Information on accessing and using TrAMS, including a list of FTA
points of contact for the system, can be found on FTA's Web site at
http://www.transit.dot.gov/TrAMS.
FTA regional staff is responsible for working with grantees to
review and process grant applications. In order for an application to
be considered complete and for FTA to assign a Federal Award
Identification Number (FAIN), enabling submission in TrAMS, and
submission to the Department of Labor (when applicable), the following
requirements must be met:
1. Recipient has registered in the System for Award Management
(SAM) and its registration is current. If your agency is not registered
or needs to ensure it is current, visit the SAM Web site at (https://www.sam.gov).
2. Recipient's contact information, including Dun and Bradstreet
Data Universal Numbering System (DUNS), is correct and up-to-date. If
requested by phone (1-866-705-5711), DUNS is provided immediately. If
your organization does not have a DUNS, you will need to go to the Dun
& Bradstreet Web site at http://fedgov.dnb.com/webform to obtain the
number.
3. Recipient has properly submitted its annual certifications and
assurances.
4. Recipient's Civil Rights submissions are current.
5. Documentation is on file to support recipient's status as either
a designated recipient (for the program and area) or a direct
recipient.
6. Funding is available, including any flexible funds included in
the budget, and split letters or suballocation letters on file (where
applicable) to support amount being applied for in grant application.
7. The project is listed in a currently approved Transportation
Improvement Program (TIP); Statewide Transportation Improvement Program
(STIP), or Unified Planning Work Program (UPWP).
[[Page 6715]]
8. All eligibility issues are resolved.
9. Required environmental findings are made.
10. The application contains a well-defined scope of work including
at least one project with accompanying project narratives, budget scope
and activity line item information, Federal and non-Federal funding
amounts, and milestones.
11. Major Capital Projects as defined by 49 CFR part 633 ``Project
Management Oversight'' must document FTA has reviewed the project
management plan and provided approval.
12. Milestone information is complete, or FTA determines that
milestone information can be finalized before the grant is ready for
award. FTA will also review status of other open grants' reports to
confirm financial and milestone information is current on other open
grants and projects.
Before FTA can award grants for competitive projects and
activities, notification must be provided to the House and Senate
authorizing and appropriations committees.
Other important issues that impact FTA grant processing activities
are discussed below.
a. System for Award Management (SAM) Registration and Dun and
Bradstreet Universal Numbering System (DUNS) Number
Each applicant or recipient of Federal Funds is required to: (1) Be
registered in SAM before submitting its application; (2) provide a
valid DUNS number in its application; and (3) continue to maintain an
active SAM registration with current information at all times during
which it has an active award or an application or plan under
consideration by the Federal Transit Administration (FTA). FTA will not
make an award to an applicant until the applicant has complied with all
applicable DUNS and SAM requirements and, if an applicant has not fully
complied with the requirements by the time the FTA is ready to make a
Federal award, FTA may determine that the applicant is not qualified to
receive a Federal award and use that determination as a basis for
making a Federal award to another applicant.
The System for Award Management (SAM) https://www.sam.gov/portal/SAM/ is the Official U.S. Government system that consolidated the
capabilities of many systems. There is no fee to register or use this
site. Entities may register and update their information at no cost
directly from the above site. SAM registration (formerly CCR
registration) needs to be renewed at least annually.
b. Award Budgets--Scope Codes and Activity Line Items (ALI) Codes;
Financial Purpose Codes
FTA uses the Scope and Activity Line Item (ALI) Codes in the award
budgets to track disbursements, monitor program trends, report to
Congress, and to respond to requests from the Inspector General and the
Government Accountability Office (GAO), as well as to manage grants.
The accuracy of the data is dependent on the careful and correct use of
codes.
c. Designated and Direct Recipients Documentation
For its formula programs, FTA primarily apportions funds to the
designated recipient in the large UZAs (areas over 200,000), or for
areas under 200,000 (small UZAs and rural areas), it apportions the
funds to the Governor, or its designee (e.g., State DOT). Depending on
the program and as described in the individual program sections found
in Section IV of this notice, further suballocation of funds may be
permitted to eligible recipients who can then apply directly to FTA for
the funding (direct recipients), so long as the required documentation
is on file.
For the programs in which FTA can make grants to eligible direct
recipients, other than the designated recipient(s), recipients are
reminded that documentation must be on file to support the: (1) Status
of the recipient either as a designated recipient or direct recipient;
and (2) the allocation of funds to the direct recipient.
Documentation to support existing designated recipients for the UZA
must also be on file at the time of the first application in FY 2017.
Further, split letters and/or suballocation letters (Governor's
Apportionment letters), must also be on file to support grant
applications from direct recipients. Once suballocation letters for FY
2017 funding are finalized they should also be uploaded into TrAMS.
The Direct Recipient is required to upload to TrAMS a copy of the
Designated Recipient letter indicating their allocation of funding [for
the appropriate fund program] when the applicant transmits their
application for initial review. The letter must be signed by the
Designated Recipient, or as applicable in accordance with their
planning requirements. If there are two Designated Recipients, both
entities must sign the Letter. The Letter must: (1) Indicate the
allocations to the respective Direct Recipients listed in the letter;
(2) incorporate language above the signatories to reflect this
agreement; and (3) make clear that the Direct Recipient will assume
any/all responsibility associated with the award for the funds. When
drafting the letter, Designated Recipients may use the template
language below:
``As identified in this Letter, the Designated Recipient(s)
authorize the reassignment/reallocation of [enter fund source; e.g.
Section 5307 funds] to the Direct Recipient(s) named herein. The
undersigned agree to the amounts allocated/reassigned to each direct
Recipient. Each Direct Recipient is responsible for its application to
the Federal Transit Administration to receive such funds and assumes
the responsibilities associated with any award for these funds.''
2. Payments
Once a grant has been awarded and executed, requests for payment
can be processed. To process payments, FTA uses ECHO-Web, an Internet
accessible system that provides grantees the capability to submit
payment requests on-line, as well as receive user-IDs and passwords via
email. New applicants should contact the appropriate FTA Regional
Office to obtain and submit the registration package necessary for set-
up under ECHO-Web.
3. Oversight
FTA is responsible for conducting oversight activities to help
ensure that grants recipients use FTA Federal financial assistance in a
manner consistent with their intended purpose and in compliance with
regulatory and statutory requirements. FTA conducts periodic oversight
reviews to assess grantee compliance with applicable Federal
requirements. Each Urbanized Area Formula Program recipient is reviewed
every three years, (also known as FTA's Triennial Review); and States
and state-wide public transportation agencies are reviewed periodically
to assess the management practices and program implementation of FTA
state-wide programs (e.g., Planning, Rural Areas, Enhanced Mobility of
Seniors and Individuals with Disabilities Programs). Other more
detailed reviews are scheduled based on an annual grantee oversight
assessment. Important objectives of FTA's oversight program include,
but are not limited to: Determining grantee compliance with Federal
requirements; identifying technical assistance needs, and delivering
technical assistance to meet those needs; spotting emerging issues with
grantees in a forward-looking fashion; recognizing when there is a need
for more in-depth reviews in the
[[Page 6716]]
areas of procurement, financial management, and civil rights; and
identifying grantees with recurring or systemic issues.
4. Technical Assistance
As noted throughout the notice, FTA continues to rely on several of
the existing program circulars for general program guidance. FTA is
continuing to update the program circulars, with an opportunity for
notice and comment (where warranted), to reflect amendments to chapter
53 of title 49, U.S.C. made by the FAST Act. In the meantime, if you
have any questions, please do not hesitate to contact FTA. 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. At its
discretion, FTA may also use program oversight consultants to provide
technical assistance to grantees on a case by case basis. 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
G. Grant Management
1. Grant Reporting
Recipients of FTA funds are reminded that all FTA grantees are
required to report on their grants and it is critical to ensure reports
demonstrate that reasonable progress is being made on the project. At a
minimum, all awards require a Federal Financial Report (FFR) and a
Milestone Progress Report (MPR) on an annual basis, with some reports
required quarterly depending on the recipient and the type of projects
funded under the grant. The requirements for these reports and other
reporting requirements can be found in the latest version of FTA
Circular 5010. FTA staff, auditors, and contractors rely on the
information provided in the FFR and MPR to review and report on the
status of both financial and project-level activities contained in the
grant. It is critical that recipients provide accurate and complete
information in these reports and submit them by the required due date.
Failure to report and/or demonstrate reasonable progress on projects
can result in suspension or premature close-out of a grant.
2. Inactive Grants and Grant Closeout
In FY 2017, FTA will continue to focus on identifying and working
with recipients to close inactive grants. If appropriate, FTA will take
action to close out and deobligate funds from these grants if
reasonable progress is not made. The efficient use of funds will
further FTA's fulfillment of its mission to provide efficient and
effective public transportation systems for the nation. As inactive
grants continue to be an audit finding within the DOT, FTA must take
action to ensure its grants do not impact the DOT from receiving a
``clean audit'' opinion on its annual financial statements.
In October 2016, FTA identified a list of grants that were awarded
on or prior to September 30, 2013 and have had no funds disbursed since
September 30, 2015 or have never had a disbursement. FTA Regional
Offices will be contacting grant recipients with grants that meet this
criteria to notify them that FTA intends to close the grant and
deobligate any remaining funds unless the grantee can provide
information that demonstrates that the projects funded by the grant
remain active and the grantee has a realistic schedule to expedite
completion of the projects funded in the grant.
Matthew Welbes,
Executive Director.
[FR Doc. 2017-01194 Filed 1-18-17; 8:45 am]
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