[Federal Register Volume 68, Number 48 (Wednesday, March 12, 2003)]
[Notices]
[Pages 11906-11965]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-5707]



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Part II





Department of Transportation





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Federal Transit Administration



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FTA Fiscal Year 2003 Apportionments, Allocations and Program 
Information; Notice

  Federal Register / Vol. 68, No. 48 / Wednesday, March 12, 2003 / 
Notices  

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


FTA Fiscal Year 2003 Apportionments, Allocations and Program 
Information

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice.

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SUMMARY: The Omnibus Appropriations Bill ``Consolidated Appropriations 
Resolution, 2003'', (Pub. L. 108-7) was signed into law by President 
Bush on February 20, 2003, which includes the Department of 
Transportation and Related Agencies Appropriations for fiscal year 2003 
(FY 2003 DOT Appropriations Act), and provides FY 2003 appropriations 
for the Federal Transit Administration (FTA) transit assistance 
programs. Based upon this Act, the Transportation Equity Act for the 
21st Century (TEA-21), and 49 U.S.C. Chapter 53, this notice contains a 
comprehensive list of apportionments and allocations for transit 
programs.
    In addition, prior year unobligated allocations for the section 
5309 New Starts and Bus and Bus-Related Programs are listed. The FTA 
policy regarding pre-award authority to incur project costs, Letter of 
No Prejudice Policy, and other pertinent program information are 
provided.

FOR FURTHER INFORMATION CONTACT: The appropriate FTA Regional 
Administrator for grant-specific information and issues; Mary Martha 
Churchman, Director, Office of Resource Management and State Programs, 
(202) 366-2053, for general information about the Urbanized Area 
Formula Program, the Nonurbanized Area Formula Program, the Rural 
Transit Assistance Program, the Elderly and Persons with Disabilities 
Program, the Clean Fuels Formula Program, the Over-the-Road Bus 
Accessibility Program, the Capital Investment Program, or the Job 
Access and Reverse Commute Program; or Paul L. Verchinski, Chief, 
Statewide and Intermodal Planning Division, (202) 366-1626, for general 
information concerning the Metropolitan Planning Program and the 
Statewide Planning and Research Program; or Henry Nejako, Program 
Management Officer, Office of Research, Demonstration and Innovation, 
(202) 366-3765, for general information about the National Planning and 
Research Program.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Background
II. Overview
    A. Fiscal Year 2003 Appropriations
    B. TEA-21 Authorized Program Levels
    C. Project Management Oversight
    D. Leveraging Grant Funds
III. Fiscal Year 2003 Focus Areas
    A. Transit Safety and Security
    B. Ridership
    C. 2000 Census Changes and Impact on Grantee Status as 
Designated Recipient
IV. Metropolitan Planning Program and Statewide Planning and 
Research Program
    A. Metropolitan Planning Program
    B. Statewide Planning and Research Program
    C. FHWA Metropolitan Planning Program and State Planning and 
Research Program
    D. Local Match Waiver for Specified Planning Activities
    E. Planning Emphasis Areas for Fiscal Year 2003
    F. Consolidated Planning Grants
    G. FTA Review of Alternative Analysis
V. Urbanized Area Formula Program
    A. Total Urbanized Area Formula Apportionments
    B. Data Used for Urbanized Area Formula Apportionments
    C. Urbanized Area Formula Apportionments to Governors
    D. Transit Enhancements
    E. Fiscal Year 2003 Operating Assistance
    F. Designated Transportation Management Areas
    G. Urbanized Area Formula Funds Used for Highway Purposes
    H. National Transit Database Internet Reporting and Redesign 
Effort
VI. Nonurbanized Area Formula Program and Rural Transit Assistance 
Program
    A. Nonurbanized Area Formula Program
    B. Rural Transit Assistance Program
VII. Elderly and Persons With Disabilities Program
VIII. FHWA Surface Transportation Program and Congestion Mitigation 
and Air Quality Funds Used for Transit Purposes
    A. Transfer Process
    B. Matching Share for FHWA Transfers
IX. Capital Investment Program
    A. Fixed Guideway Modernization
    B. New Starts
    C. Bus and Bus-Related
X. Job Access and Reverse Commute Program
XI. Over-the-Road Bus Accessibility Program
XII. Clean Fuels Formula Program
XIII. National Planning and Research Program
XIV. Unit Values of Data for Urbanized Area Formula Program, 
Nonurbanized Area Formula Program, and Fixed Guideway Modernization
XV. Period of Availability of Funds
XVI. Automatic Pre-Award Authority to Incur Project Costs
    A. Policy
    B. Conditions
    C. Environmental, Planning, and Other Federal Requirements
    D. Pre-award Authority for New Starts Projects
    1. Preliminary Engineering and Final Design
    2. Real Property Acquisition Activities
    3. National Environmental Policy Act (NEPA) Activities
    4. Other New Starts Activities Requiring LONP
XVII. Letter of no Prejudice (LONP) Policy
    A. Policy
    B. Conditions
    C. Environmental, Planning, and Other Federal Requirements
    D. Request for LONP
XVIII. FTA Web site on the Internet
XIX. FTA Fiscal Year 2003 Annual List of Certifications and 
Assurances
XX. Grant Application Procedures
     Tables
    1. FTA FY 2003 Appropriations for Grant Programs
    2. FTA FY 2003 Metropolitan Planning Program and Statewide 
Planning and Research Program Apportionments
    3. FHWA FY 2003 Estimated Metropolitan Planning (PL) Program 
Apportionments
    4. FTA FY 2003 Urbanized Area Formula Apportionments
    5. FTA FY 2003 Nonurbanized Area Formula Apportionments, and 
Rural Transit Assistance Program (RTAP) Allocations
    6. FTA FY 2003 Elderly and Persons With Disabilities
    Apportionments
    7. FTA FY 2003 Fixed Guideway Modernization Apportionments
    8. FTA FY 2003 New Starts Allocations
    8A. FTA Prior Year Unobligated New Starts Allocations
    9. FTA FY 2003 Bus and Bus-Related Allocations
    9A. FTA Prior Year Unobligated Bus and Bus-Related Allocations
    10. FTA FY 2003 National Planning and Research Program 
Allocations
    11. FTA TEA-21 Authorization Levels (Guaranteed Funding Only)
    11A. FTA TEA-21 Authorization Levels (Guaranteed and Non-
Guaranteed Funding)
    12. FTA FY 1998-2003 Apportionment Formula for Urbanized Area 
Formula Program
    13. FTA FY 1998-2003 Fixed Guideway Modernization Program 
Apportionment Formula
    14. FTA FY 2003 Formula Grant Apportionments Unit Values of Data
    15. 2000 Census Urbanized Areas with Populations 200,000 or 
Greater Eligible to use FY 2003 Section 5307 Funds for Operating 
Assistance

I. Background

    Metropolitan Planning funds are apportioned by statutory formula to 
the States for allocation to Metropolitan Planning Organizations (MPOs) 
in urbanized areas or portions thereof to provide funds for their 
Unified Planning Work Programs. Statewide Planning and Research funds 
are apportioned to States by statutory formula to provide funds for 
their Statewide Planning and Research Programs. Urbanized Area Formula 
Program funds are apportioned by statutory formula to urbanized areas 
and to Governors to provide capital, operating and planning assistance 
in

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urbanized areas. Nonurbanized Area Formula Program funds are 
apportioned by statutory formula to Governors for capital, operating 
and administrative assistance in nonurbanized areas. Elderly and 
Persons with Disabilities Program funds are apportioned by statutory 
formula to Governors to provide capital assistance to organizations 
providing transportation service for the elderly and persons with 
disabilities. Fixed Guideway Modernization funds are apportioned by 
statutory formula to specified urbanized areas for capital improvements 
in rail and other fixed guideways. New Starts identified in the FY 2003 
DOT Appropriations Act and Bus and Bus-Related Allocations identified 
in the Conference Report accompanying the Act are included in this 
notice. FTA will honor those designations included in report language 
to the extent that the projects meet the statutory intent of the 
specific program.

II. Overview

A. Fiscal Year 2003 Appropriations

    The FY 2003 funding amounts for FTA programs are displayed in Table 
1. The amounts have been adjusted, from the FY 2003 enacted funding 
levels, to reflect an across-the-board .65 percent reduction 
proportionately applied to the discretionary budget authority and 
obligation limitation, and to each program, project and activity, as 
directed under section 601 of Title VI of the Consolidated 
Appropriations Resolution, 2003, along with transferred and reallocated 
resources. The following text provides a narrative explanation of the 
funding levels and other factors affecting the apportionments and 
allocations.

B. TEA-21 Authorized Program Levels

    TEA-21 provides a combination of trust and general fund 
authorizations that total $8.194 billion for the FY 2003 FTA program. 
Of this amount, $7.226 billion was guaranteed under the discretionary 
spending cap and was enacted under the FY 2003 DOT Appropriations Act. 
However, after applying the across-the-board .65 percent reduction, as 
directed by section 601 of Title IV of the Consolidated Appropriations 
Resolution, 2003, new funding for FTA programs is $7.179 billion. See 
Table 11 for fiscal years 1998-2003 guaranteed funding levels by 
program and Table 11A for the total of guaranteed and non-guaranteed 
levels by program.

C. Project Management Oversight

    Section 5327 of Title 49 U.S.C., permits the Secretary of 
Transportation to use up to one-half percent of the funds made 
available under the Urbanized Area Formula Program and the Nonurbanized 
Area Formula Program, and three-quarters percent of funds made 
available under the Capital Investment Program to contract with any 
person to oversee the construction of any major project under these 
statutory programs; to conduct safety, procurement, management and 
financial reviews and audits; and to provide technical assistance to 
correct deficiencies identified in compliance reviews and audits. 
Language in the 2002 DOT Appropriations Act increased the amount made 
available under the Capital Investment Program for oversight activities 
to one percent.

D. Leveraging Grant Funds

    Public transportation grantees are reminded that with interest 
rates at currently low levels it may be cost-effective to leverage 
their projected grant receipts, and thereby accelerate the acquisition 
of needed rolling stock or completion of essential infrastructure. FTA 
encourages grant recipients to examine all leveraging options at their 
disposal, including the use of grant anticipation notes (GAN) secured 
with Formula Capital, Fixed Guideway Modernization, and New Starts 
funds. To date, over $1.7 billion in grant anticipation bonds have been 
issued, allowing major projects to be completed early and at lower 
cost. FTA will provide information and other assistance to grantees 
that wish to examine financing options during their project development 
process.
    For additional information, contact Paul L. Marx, Office of Policy 
Development, at (202) 366-1675.

III. Fiscal Year 2003 Focus Areas

    FTA draws attention to the following areas of particular interest 
to grantees in FY 2003 relative to the FTA programs.

A. Transit Safety and Security

    Since September 11th, the Federal Transit Administration (FTA) has 
undertaken a series of major steps to help prepare the transit industry 
to counter terrorist threats. FTA has provided direct assistance to 
transit agencies through on-site readiness assessments, technical 
assistance teams, regional forums for emergency responders, grants for 
drills, training, and accelerating technology and research projects. 
From this initial work, it is clear that it is critical to integrate 
security throughout every aspect of transit programs, operations, and 
infrastructure.
    Although the transit industry has made great strides in 
strengthening security and emergency preparedness, there is much more 
to do. The most important investments for transit agencies to improve 
security elements are in the areas of employee training, public 
awareness, and emergency response planning. Detailed information about 
these three areas and other important actions can be found in FTA's 
list of Top 20 Security Program Action Items for transit agencies. 
These 20 action items are based on good security practices identified 
through FTA's Security Assessments and the technical assistance 
program. The Top 20 Security Program Action Items can be found on FTA's 
Web site at [http://transit-safety.volpe.dot.gov/security/SecurityInitiatives/Top20/default.asp]. FTA will work with transit 
agencies to assist you as you incorporate these practices into your 
programs.

B. Ridership

    FTA's FY 2003 strategic business plan establishes FTA's core values 
and identifies a number of strategic goals for sustaining these values 
over the next three years. Specifically, FTA seeks to deliver products 
and services that are valued by its customers and to assist transit 
agencies in better meeting the needs of their customers. Increasing 
transit ridership is a key measure of success in achieving this 
objective. FTA has further identified a goal of achieving an average 
2.5 percent increase in the number of transit passenger-miles traveled 
per market (controlling for differences in employment levels) this 
fiscal year. FTA is in the process of identifying a range of research, 
guidance, and other technical assistance to support State and local 
transit efforts to increase ridership. FTA encourages all transit 
agencies to focus attention on ways to increase transit ridership, and 
will be issuing further information about the FTA ridership initiative 
throughout FY 2003.

C. 2000 Census Changes and Impact on Grantee Status as Designated 
Recipient

    The Census Bureau released the 2000 Census urbanized area 
designations on May 1, 2002, and provided corrections/changes to the 
list of designated areas in subsequent Federal Register Notices, dated 
August 23 and November 20, 2002. FTA used this 2000 Census population 
data and information for the first time to apportion transit funds in 
FY 2003, which accounts for a number of changes from FY 2002 
apportionments.

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    In the 2000 Census, nonurbanized population decreased by three 
percent to 89.6 million from the 1990 Census, and elderly population 
increased by 18 percent to 35.4 million. Four hundred sixty-five 
urbanized areas were designated, which is 59 more than the 406 
designated in the 1990 Census. Seventy-six are newly qualified 
urbanized areas, and more than 50 urbanized areas crossed the 200,000 
population threshold, as a result of growth; the merger of two small 
urbanized areas; or the merger of one or more small urbanized areas 
into an existing urbanized area with population over 200,000. In 
addition, 14 urbanized areas were formed from splitting existing 
urbanized areas, more than 70 urbanized areas had name or description 
changes, which in some cases includes the addition of a new State in 
the urbanized area description/geographical boundary, and two urbanized 
areas (Montgomery, AL and Lorain-Elyria, OH) saw their populations 
decrease to less than 200,000. 2000 Census information and FTA analysis 
of the changes may be found on the FTA Web site at [http://www.fta.dot.gov/library/planning/census/censusinfo.html].
    The large number of urbanized areas affected by 2000 Census changes 
and the assorted types of changes experienced require that many areas 
designate or change their ``Designated Recipient.'' In order for FTA to 
award a grant to an urbanized area as part of its Urbanized Area 
Formula Program (Title 49 U.S.C. section 5307), a grant recipient must 
be a ``Designated Recipient'' for that urbanized area or must be a 
public agency authorized by the Designated Recipient to apply for 
grants. Documentation for new or changed Designated Recipients in areas 
over 200,000 in population shall include the following:
    1. A letter expressing the concurrence of the Governor or of 
another state agency in which the Governor's authority to concur in 
designations of recipients has been delegated;
    2. Concurrence by the publicly-owned operators of mass 
transportation servicing the urbanized area of the Designated 
Recipient(s);
    3. An appropriately certified resolution of the policy-making body 
of the Metropolitan Planning Organization (MPO) concurring in the 
Designated Recipient(s); and
    4. For each Designated Recipient, an opinion of counsel certifying 
to the entity's legal capacity to perform the functions of a Designated 
Recipient.
    For urbanized areas greater than 50,000 but under 200,000 in 
population, the Governor of each State is the Designated Recipient. The 
Governor may:
    1. Retain Designated Recipient status himself/herself. No 
documentation needs to be submitted to support this action; or
    2. Designate one or more local Designated Recipients for each 
urbanized area under 200,000 in population. Such designation must be 
documented by letter from the Governor naming the local Designated 
Recipient and by an opinion of counsel for each such Designated 
Recipient certifying its legal capacity to perform the functions of a 
Designated Recipient.
    Documentation relative to Designated Recipients or public agencies 
authorized by the Designated Recipient to apply for grants should be 
forwarded to the appropriate FTA Regional Office. For further 
information contact the appropriate FTA Regional Office, or Ken 
Johnson, FTA Office of Resource Management and State Programs, at (202) 
366-2053.

IV. Metropolitan Planning Program and State Planning and Research 
Program

A. Metropolitan Planning Program

    Funding made available for the Metropolitan Planning Program (49 
U.S.C. 5303) by the FY 2003 DOT Appropriations Act is $59,993,094 after 
application of the across-the-board .65 percent reduction. The FY 2003 
Metropolitan Planning Program apportionment to States for MPOs' use in 
urbanized areas totals $60,443,434. This amount includes $59,993,094 in 
FY 2003 funds, and $450,340 in prior year funds available for 
reapportionment under this program. A basic allocation of 80 percent of 
this amount ($48,354,747) is distributed to the States based on the 
State's urbanized area population as defined by the U.S. Census Bureau 
for subsequent State distribution to each urbanized area, or parts 
thereof, within each State. A supplemental allocation of the remaining 
20 percent ($12,088,687) is also provided to the States based on an FTA 
administrative formula to address planning needs in the larger, more 
complex urbanized areas. Table 2 contains the State apportionments for 
the combined basic and supplemental allocations.
    Each State, in cooperation with the MPOs, must develop an 
allocation formula for the combined apportionment, which distributes 
these funds to MPOs representing urbanized areas, or parts thereof, 
within the State. States must reaffirm these in-State formulas or 
develop new ones, which then must be submitted to the FTA Regional 
Office for approval before these funds area distributed.
    As noted in section III.C above, 2000 Census urbanized area 
designations are available in Federal Register Notices issued by the 
Census Bureau and may be accessed at [http://www.fta.dot.gov/library/legal/federalregister/2002/index.html] on the FTA Web site. FTA has 
posted on its Web site a comparison of FY 2003 guaranteed funding 
levels based on 2000 Census and based on the 1990 census information 
for each State at [http://www.fta.dot.gov/library/planning/census/comp/t2.html] and a comparison of the amounts actually apportioned for 
fiscal year 2002 using both the 1990 Census and the 2000 Census at 
[http://www.fta.dot.gov/library/planning/census/comp/t1.html]. This 
information should be utilized by each state when reaffirming or 
revising in-state formulas.

B. Statewide Planning and Research Program

    Funding made available for the Statewide Planning and Research 
Program (49 U.S.C. 5313(b)) by the FY 2003 DOT Appropriations Act is 
$12,532,406 after application of the across-the-board .65 percent 
reduction. The FY 2003 apportionment for the Statewide Planning and 
Research Program (SPRP) totals $12,643,295. This amount includes 
$12,532,406 in FY 2003 funds, and $110,889 in prior year funds 
available for reapportionment under this program. Final State 
apportionments for this program are also contained in Table 2. These 
funds may be used for a variety of purposes such as planning, technical 
studies and assistance, demonstrations, management training, and 
cooperative research. 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 urbanized areas, as the State deems 
appropriate.

C. FHWA Metropolitan Planning Program and State Planning and Research 
Program

    For informational purposes, the estimated FY 2003 apportionments 
for the FHWA Metropolitan Planning Program (PL) are contained in Table 
3. Actual apportionments for the FY 2003 FHWA State Planning and 
Research Program (SPRP) were not available at the time of publication 
of this notice.

D. Local Match Waiver for Specified Planning Activities

    Job Access and Reverse Commute Planning. Federal, State and local

[[Page 11909]]

welfare reform initiatives may require the development of new and 
innovative public and other transportation services to ensure that 
former welfare recipients have adequate mobility for reaching 
employment opportunities. In recognition of the key role that 
transportation plays in ensuring the success of welfare-to-work 
initiatives, FTA and FHWA permit the waiver of the local match 
requirement for job access and reverse commute planning activities 
undertaken with both FTA and FHWA Metropolitan Planning Program and 
State Planning and Research Program funds. FTA and FHWA will support 
requests for waivers when they are included in Metropolitan Unified 
Planning Work Programs and State Planning and Research Programs and 
meet all other requirements.

E. Planning Emphasis Areas for Fiscal Year 2003

    The FTA and FHWA identify Planning Emphasis Areas (PEAs) annually 
to promote priority themes for consideration, as appropriate, in 
metropolitan and statewide transportation planning processes. To 
support this, FTA and FHWA will prepare an inventory of current 
practice, guidance and training in those areas. Opportunities for 
exchanging ideas and experiences on innovative practices in these topic 
areas also will be provided throughout the year. For FY 2003, five key 
planning themes have been identified: (1) Consideration of safety and 
security in the transportation planning process; (2) integration of 
planning and environmental processes; (3) consideration of management 
and operations within planning processes; (4) State DOT consultation 
with non-metropolitan local officials; and (5) enhancing the technical 
capacity of planning processes.
    1. Safety and Security in the Transportation Planning Process. TEA-
21 emphasizes the safety and security of transportation systems as a 
national priority and calls for transportation projects and strategies 
that ``increase the safety and security of transportation systems.'' 
This entails integration of safety and facility security into all 
stages of the transportation planning process.
    FTA and FHWA are working together to advance the state-of-practice 
in addressing safety and security in the metropolitan and statewide 
planning process through workshops and case studies. A report prepared 
by the Transportation Research Board (TRB), Transportation Research 
Circular E-C02, ``Safety-Conscious Planning,'' January 2001, describes 
the issues and recommendations identified at a Safety in Planning 
workshop held earlier. The report is available on the TRB Web site at 
[http://www.nas.edu/trb]. Also, the Institute of Transportation 
Engineers (ITE) has prepared a discussion paper on the topic, entitled 
``The Development of the Safer Network Transportation Planning 
Process,'' which is posted to their Web site at [http://www.ite.org].
    2. Integrated Planning and Environmental Processes. TEA-21 mandated 
the elimination of the Major Investment Study as a stand-alone 
requirement, while integrating the concept within the planning and 
project development/environmental review processes. A training course 
entitled ``Linking Planning and NEPA'' is being developed and will be 
made available at the National Transit Institute Web site, [http://www.ntionline.com].
    3. Consideration of Management and Operations within Planning 
Processes. TEA-21 challenges FHWA and FTA to move beyond traditional 
capital programs for improving the movement of people and goods--
focusing on the need to improve the way transportation systems are 
managed and operated. FTA and FHWA have convened a working group and 
have commissioned discussion papers on the topic. This information is 
available at [http://plan2op.fhwa.dot.gov].
    4. State DOT Consultation With Non-Metropolitan Local Officials. On 
January 23, 2003, the FTA and FHWA issued a final Rule on consultation, 
which can be accessed at [http://www.fta.dot.gov/library/legal/federalregister/2003/fr12303.html]. This final rule amends the 1993 
Joint FTA/FHWA Planning regulation published in the Federal Register, 
Volume 58, No. 207, on October 28, 1993. Consultation is a vital issue 
within the transportation planning process. Each State shall have a 
documented process(es) that implements consultation with non-
metropolitan local officials in the statewide planning process and 
development of the statewide transportation improvement program by 
February 24, 2004. The FTA and FHWA will work with each State to help 
facilitate development of the documented process(es), but will not 
review or approve the documented process(es). However, the FTA and FHWA 
in the State Planning Finding will comment on progress toward 
accomplishing the documented process(es) and its implementation. Since 
consultation is a vital issue, each state shall review its documented 
process and solicit comments regarding the effectiveness of its 
consultation process within two years of adopting its documented 
process, and thereafter, at least once every five years.
    5. Enhancing the Technical Capacity of Planning Processes. Reliable 
information on current and projected usage and performance of 
transportation systems is critical to the ability of planning processes 
to supply credible information to decision-makers to support 
preparation of plans and programs that respond to their localities' 
unique needs and policy issues. To ensure the reliability of usage and 
performance data, as well as the responsiveness of policy forecasting 
tools, an evaluation is needed of the quality of information provided 
by the technical tools, data sources, and forecasting models, as well 
as the expertise of staff to ensure its adequacy to support decision-
making. If this expertise is found to be lacking, the responsible 
agencies within metropolitan and statewide planning processes are 
encouraged to devote appropriate resources to enhance and maintain 
their technical capacity.
    The metropolitan and statewide transportation planning processes 
have become critical tools for responding to increasingly complex 
issues at the State and local levels. Many of these issues are 
encompassed in previously listed planning emphasis areas (e.g., 
integrated planning and environmental processes, management and 
operations, analytical tools and methods) and include much more. It is 
essential that FTA and FHWA provide technical assistance, training, and 
information to our customers to further enhance the skills and 
capabilities they utilize to conduct effective transportation planning 
processes. The FTA and FHWA have created the Planning Capacity Building 
(PCB) Program, which combines what previously were separate programs 
focused on planning processes in metropolitan, statewide and rural 
areas. The PCB is a tool to disseminate and coordinate information, 
training, and foster a dialogue for the exchange of ideas. More 
information on the PCB program can be found at [http://www.mcb.fhwa.dot.gov]. (Note--As of this writing, a merged Web site 
focused on metropolitan, statewide, and rural issues is under 
development.)
    For further information on these PEAs, contact Candace Noonan, FTA 
Office of Planning, (202) 366-1648, or John Humeston, FHWA Office of 
Planning, (202) 366-1862.

F. Consolidated Planning Grants

    Since FY 1997, FTA and FHWA have offered States the option of 
participating in a pilot Consolidated Planning Grant (CPG) program. 
Information concerning

[[Page 11910]]

participation in the CPG program can be found on the FTA Web site at 
[http://www.fta.dot.gov/office/public/cpg.htm]. For further information 
on participating in the CPG Pilot, contact Candace Noonan, Office of 
Planning, FTA, at (202) 366-1648 or Anthony Solury, Office of Planning 
and Environment, FHWA, at (202) 366-5003.

G. FTA Review of Alternative Analysis

    FTA has long had substantive involvement in the evaluation of 
alternatives performed to comply with the National Environmental Policy 
Act (NEPA). FTA would like to extend this interest to comparable 
planning-level alternatives analysis, and requests that local agencies 
that intend to conduct such a study prior to NEPA review notify their 
FTA Regional Office in writing if such a study may result in a transit 
project being proposed for funding under the Section 5309 New Starts 
program. FTA further requests the opportunity to review any NEPA or 
pre-NEPA alternatives analysis scope of work, purpose and need, 
description of alternatives, and technical methodologies and results as 
they are developed. FTA desires to become involved in these local 
studies for three reasons: (1) To assist local agencies in addressing 
technical and procedural issues early in the study process, rather than 
at the end when it may be too late to solve them efficiently; (2) to 
ensure that FTA requirements for alternatives analysis are met (this 
includes the selection of a New Starts Baseline alternative and 
documentation of planning-level information needed to perform a Before 
and After Study, should the resulting project eventually receive a Full 
Funding Grant Agreement); and (3) to gain sufficient understanding of 
the resulting project to support FTA's decision to advance it into 
preliminary engineering (PE) and, later, final design. If the 
alternatives analysis is done outside of NEPA, FTA's review is further 
intended to help ensure that its results, including any elimination of 
alternatives from further consideration, are adequately supported and 
will stand up when the NEPA review is initiated.
    Failure to provide FTA with an opportunity to participate in the 
alternatives analysis could result in additional study effort necessary 
to ensure consistency with FTA policy and good planning practices. Such 
additional work could further result in significant delays in the 
processing of the request to enter into PE.
    In February 2003, FTA posted under the New Starts section of its 
Web site [http://www.fta.dot.gov/library/policy/ns/ns.htm] revised 
preliminary guidance on advancing fixed guideway transit investments 
through planning and project development. This guidance provides 
additional detail on FTA's expectations for alternatives analysis and 
its role in the study process. For additional information, contact Sean 
Libberton, FTA Office of Planning, at (202) 366-2360.

V. Urbanized Area Formula Program

A. Total Urbanized Area Formula Apportionments

    The amount made available to the Urbanized Area Formula Program (49 
U.S.C. 5307) by the FY 2003 DOT Appropriations Act is $3,423,540,998, 
after application of the across-the-board .65 percent reduction. In 
addition, $5,479,136 in prior year funds became available for 
reapportionment under the Urbanized Area Formula Program as provided by 
49 U.S.C. 5336(i).
    After reserving $17,117,705 for oversight, the amount of FY 2003 
funds available for apportionment is $3,406,423,293. The funds to be 
reapportioned, described in the previous paragraph, are then added and 
increase the total amount apportioned for this program to 
$3,411,902,429. Table 4 displays the amounts apportioned under the 
Urbanized Area Formula Program. Table 12 contains the apportionment 
formula for the Urbanized Area Formula Program.
    An additional $4,818,425 is made available for the Alaska Railroad 
for improvements to its passenger operations, after application of the 
across-the-board .65 percent reduction. After reserving $24,092 for 
oversight, $4,794,333 is available for the Alaska Railroad.

B. Data Used for Urbanized Area Formula Apportionments

    Data from the 2001 National Transit Database (NTD) Report Year were 
used to calculate the FY 2003 Urbanized Area Formula apportionments for 
urbanized areas 200,000 in population and over. 2000 Census Population 
and population density data are also used in calculating apportionments 
under the Urbanized Area Formula Program.

C. Urbanized Area Formula Apportionments to Governors

    The total Urbanized Area Formula apportionment to the Governor for 
use in areas under 200,000 in population for each State is shown in 
Table 4. This table also contains the apportionment amount attributable 
to each urbanized area within the State. The Governor may determine the 
allocation of funds among the urbanized areas under 200,000 in 
population with the following exception: as further discussed in 
Section F below, funds attributed to an urbanized area under 200,000 in 
population, located within the planning boundaries of a Transportation 
Management Area, must be obligated in that small urbanized area.

D. Transit Enhancements

    One percent of the Urbanized Area Formula Program apportionment in 
each urbanized area with a population of 200,000 and over must be made 
available only for transit enhancements. Table 4 shows the amount set 
aside for enhancements in these areas.
    The term ``transit enhancement'' includes projects or project 
elements that are designed to enhance mass transportation service or 
use and are physically or functionally related to transit facilities. 
Eligible enhancements include the following: (1) Historic preservation, 
rehabilitation, and operation of historic mass transportation 
buildings, structures, and facilities (including historic bus and 
railroad facilities); (2) bus shelters; (3) landscaping and other 
scenic beautification, including tables, benches, trash receptacles, 
and street lights; (4) public art; (5) pedestrian access and walkways; 
(6) bicycle access, including bicycle storage facilities and installing 
equipment for transporting bicycles on mass transportation vehicles; 
(7) transit connections to parks within the recipient's transit service 
area; (8) signage; and (9) enhanced access for persons with 
disabilities to mass transportation.
    It is the responsibility of the MPO to determine how the one 
percent will be allotted to transit projects. The one percent minimum 
requirement does not preclude more than one percent being expended in 
an urbanized area for transit enhancements. However, items that are 
only eligible as enhancements--in particular, operating costs for 
historic facilities--may be assisted only within the one percent 
funding level.
    The recipient must submit a report to the appropriate FTA Regional 
Office listing the projects or elements of projects carried out with 
those funds during the previous fiscal year and the amount awarded. The 
report must be submitted with the Federal fiscal year's final quarterly 
progress report in TEAM-Web. The report should include the following 
elements: (a) Grantee name, (b) urbanized area name and number, (c) FTA 
project number, (d) transit enhancement category, (e) brief description 
of enhancement and progress towards project

[[Page 11911]]

implementation, (f) activity line item code from the approved budget, 
and (g) amount awarded by FTA for the enhancement.

E. Fiscal Year 2003 Operating Assistance

    In general, FY 2003 funding for operating assistance is available 
only to urbanized areas with populations under 200,000. For these 
areas, there is no limitation on the amount of the State apportionment 
that may be used for operating assistance, and the Federal/local share 
ratio is 50/50. TEA-21 provides an exception to the restriction on 
operating assistance in areas over 200,000 in population; eligible 
areas have already been identified and notified.
    Pub. L. 107-232, signed by the President on October 1, 2002, allows 
transit systems in urbanized areas that, for the first time, exceeded 
200,000 in population according to the 2000 Census to use section 5307 
funds for operating assistance. A list of the eligible 2000 Census 
urbanized areas (with populations 200,000 or greater) to which Pub. L. 
107-232 applies and that may use FY 2003 funds for operating assistance 
is provided in Table 15. The listing also shows the maximum amount of 
the area's FY 2003 apportionment that may be used for operating 
assistance (the FY 2003 Operating Limitation). The use of the urbanized 
area funds for operating assistance by these areas is restricted to 
projects carried out within the geographical or service area boundary 
of the affected 1990 census small (less than 200,000 population) 
urbanized area.

F. Designated Transportation Management Areas

    All 2000 Census urbanized areas having a population of at least 
200,000 have been designated as Transportation Management Areas (TMAs), 
in accordance with 49 U.S.C. 5305. In addition, the Santa Barbara, CA 
urbanized area, which did not meet the population threshold requirement 
for TMA status with respect to 2000 Census, retained its previously 
granted TMA status based on Gubernatorial request. These TMA 
designations were formally made in the FTA Notices at 67 FR 45173 et 
seq. (July 8, 2002) and 67 FR 62285 et seq. (October 4, 2002).
    Guidance for setting the boundaries of TMAs is contained in the 
joint transportation planning regulations codified at 23 CFR part 450 
and 49 CFR part 613. In some cases, the TMA planning boundaries, which 
have been established by the MPO for the designated TMA, also include 
one or more urbanized areas less than 200,000 in population. Where this 
situation exists, the discretion of the Governor to allocate Urbanized 
Area Formula program ``Governor's Apportionment'' funds for urbanized 
areas with less than 200,000 in population is restricted, i.e., the 
Governor only has discretion to allocate Governor's Apportionment funds 
attributable to areas that are outside of designated TMA planning 
boundaries.
    If any additional small urbanized areas--within the planning 
boundaries of a TMA--are identified, notification should be made in 
writing to the Associate Administrator for Program Management, Federal 
Transit Administration, 400 Seventh Street, SW, Washington, DC 20590, 
no later than July 1 of each fiscal year. FTA has revised and provided 
below the list of previously identified urbanized areas with population 
less than 200,000 included within the planning boundaries of designated 
TMAs, based on 2000 Census urbanized area designations. With respect to 
Norman, OK, Section 336 of FY 2003 DOT Appropriations Act directs that 
the city of Norman, OK shall be considered part of the Oklahoma City 
TMA.

------------------------------------------------------------------------
                                  Small urbanized area included in TMA
        Designated TMA                          boundary
------------------------------------------------------------------------
Houston, TX..................  Galveston, TX; Texas City, TX
Orlando, FL..................  Kissimmee, FL
Palm Bay-Melbourne, FL.......  Titusville, FL
Philadelphia, PA-NJ-DENJ-MD..  Pottstown, PA
Pittsburgh, PA...............  Monessen, PA; Weirton, WV--Steubenville,
                                OH-PA (PA portion)
Seattle, WA..................  Bremerton, WA
Washington, DCNJ-VANJ-MD.....  Frederick, MD
Oklahoma City, OK............  Norman, Oklahoma
------------------------------------------------------------------------

G. Urbanized Area Formula Funds Used for Highway Purposes

    Urbanized Area Formula funds apportioned to a TMA can be 
transferred to FHWA and made available for highway projects if the 
following three conditions are met: (1) Such use must be approved by 
the MPO in writing after appropriate notice and opportunity for comment 
and appeal are provided to affected transit providers; (2) in the 
determination of the Secretary, such funds are not needed for 
investments required by the Americans with Disabilities Act of 1990 
(ADA); and (3) the MPO determines that local transit needs are being 
addressed.
    Urbanized Area Formula funds that are designated for highway 
projects will be transferred to and administered by FHWA. The MPO 
should notify FTA of its intent to use FTA funds for highway purposes, 
as prescribed in section VIII.A., below.

H. National Transit Database (NTD) Internet Reporting and Redesign 
Effort

    The National Transit Database (NTD) is FTA's repository for 
nationwide statistics about the transit industry, including safety and 
security data. The new, redesigned NTD reporting system is on the 
Internet and in operation. The new reporting software and statistical 
data reports can be found on FTA's NTD web site at [http://www.ntdprogram.com]. More than 600 FTA grantees have filed reports to 
FTA via the Internet on the new system. To meet Government Performance 
and Results Act deadlines, NTD data is available on a timelier basis. 
The new monthly reporting of safety and ridership data provides the NTD 
with current data. In addition, thousands of incident and summary 
safety and security reports will be submitted to FTA on the new NTD 
system. The new, detailed safety data will help FTA and the transit 
industry fashion countermeasures to recurring safety problems. The 
revised NTD includes several valuable new features like the new 
reporting software, which includes enhanced pre-submission validation 
routines. Reporters can save time by pre-loading certain large data 
fields

[[Page 11912]]

from last year. The new Oracle database and reports aid researchers.
    FTA grantees receive Urbanized Area Formula and Fixed Guideway 
Modernization apportionments based, in part, on the data they submit to 
the NTD. NTD data is also summarized and used to report to Congress on 
the condition, performance, and safety of the transit industry, and 
associated costs. The Transportation Security Administration is already 
using security reports from the NTD. In addition, these data are used 
in the assessment of FTA goals.
    This year, the voluntary reporting of rural transit data by State 
DOTs is being tested. Work also continues on the collection of data on 
the condition of the capital infrastructure of transit. A voluntary 
test version of the asset condition module was put on-line and was well 
accepted, providing an excellent inventory and assessment of tunnels, 
bridges, track, stations, bus maintenance facilities, and other assets.

VI. Nonurbanized Area Formula Program and Rural Transit Assistance 
Program

A. Nonurbanized Area Formula Program

    The amount made available for the Nonurbanized Area Formula Program 
(49 U.S.C. 5311) by the FY 2003 DOT Appropriations Act is $239,043,694, 
after application of the across-the-board .65 percent reduction. The FY 
2003 Nonurbanized Area Formula apportionments to the States total 
$238,954,559 and are displayed in Table 5. Of the $239,043,694 
available, $1,195,218 was reserved for oversight. The funds apportioned 
include $1,106,083 in prior year funds available for reapportionment.
    The Nonurbanized Area Formula Program provides capital, operating 
and administrative assistance for areas under 50,000 in population. 
Each State must spend no less than 15 percent of its FY 2003 
Nonurbanized Area Formula apportionment for the development and support 
of intercity bus transportation, unless the Governor certifies to the 
Secretary that the intercity bus service needs of the State are being 
adequately met.

B. Rural Transit Assistance Program

    Funding made available for the Rural Transit Assistance Program 
(RTAP) (49 U.S.C. 5311(b)(2)) by the FY 2003 DOT Appropriations Act is 
$5,215,875, after application of the across-the-board .65 percent 
reduction. The FY 2003 RTAP allocations to the States total $5,216,875 
and are displayed in Table 5. This amount includes $1,000 in prior year 
funds available for reapportionment.
    The funds are allocated to the States to undertake research, 
training, technical assistance, and other support services to meet the 
needs of transit operators in nonurbanized areas. These funds are to be 
used in conjunction with the States' administration of the Nonurbanized 
Area Formula Program.
    FTA also supports RTAP activities at the national level within the 
National Planning and Research Program (NPRP). The National RTAP 
projects support the States in their use of the formula allocations for 
training and technical assistance. Congress did not designate any funds 
for the National RTAP among the NPRP allocations in the Conference 
Report accompanying the FY 2003 DOT Appropriations Act. FTA will, 
however, include the National RTAP among priority projects to be funded 
from available NPRP funds. During FY 2002, FTA conducted a competitive 
selection and chose the American Public Works Association, in 
consortium with the Community Transportation Association of America, to 
provide National RTAP services for the next five years.

VII. Elderly and Persons With Disabilities Program

    The amount made available for the Elderly and Persons with 
Disabilities Program (49 U.S.C. 5310) by the FY 2003 DOT Appropriations 
Act is $90,063,558, after application of the across-the-board .65 
percent reduction. The FY 2003 Elderly and Persons with Disabilities 
Program apportionments to the States total $90,166,393 and are 
displayed in Table 6. The funds apportioned include $102,835 in prior 
year funds available for reapportionment.
    The formula for apportioning these funds uses Census population 
data for persons aged 65 and over, and for persons with disabilities. 
The funds provide capital assistance for transportation for elderly 
persons and persons with disabilities. Eligible capital expenses may 
include, at the option of the recipient, the acquisition of 
transportation services by a contract, lease, or other arrangement.
    While the assistance is intended primarily for private non-profit 
organizations, public bodies that coordinate services for the elderly 
and persons with disabilities, or any public body that certifies to the 
State that there are no non-profit organizations in the area that are 
readily available to carry out the service, may receive these funds.
    These funds may be transferred by the Governor to supplement 
Urbanized Area Formula or Nonurbanized Area Formula capital funds 
during the last 90 days of the fiscal year.

VIII. FHWA Surface Transportation Program and Congestion Mitigation and 
Air Quality Funds Used for Transit Purposes

A. Transfer Process

    The process for transferring flexible formula funds between FTA and 
FHWA programs is described below. For information on the transfer of 
FHWA funds to FTA planning programs contact the FTA/FHWA staff 
identified in section IV.F, above.
    Transfer from FHWA to FTA. FHWA funds designated for use in transit 
capital projects must be derived from the metropolitan and statewide 
planning and programming process, and must be included in an approved 
Statewide Transportation Improvement Program (STIP) before the funds 
can be transferred. The State DOT requests, by letter, the transfer of 
highway funds for a transit project to the FHWA Division Office. The 
letter should specify the project, amount to be transferred, 
apportionment year, State, Federal aid apportionment category i.e., 
Surface Transportation Program (STP), Congestion Mitigation and Air 
Quality (CMAQ), Interstate Substitute, or congressional earmark), and a 
description of the project as contained in the STIP.
    The FHWA Division Office confirms that the apportionment amount is 
available for transfer and concurs in the transfer by letter to the 
State DOT and FTA. The FHWA Office of Budget and Finance then transfers 
obligation authority and an equal amount of cash to FTA. All FHWA CMAQ, 
STP, and congressional earmarked funds for transit projects in the 
Appropriations Act or Conference Report will be transferred to one of 
the three FTA formula programs (i.e., Urbanized Area Formula (section 
5307), Nonurbanized Area Formula (section 5311) or Elderly and Persons 
with Disabilities (section 5310).
    The FTA grantee's application for the project must specify which 
program the funds will be used for and the application should be 
prepared in accordance with the requirements and procedures governing 
that program. Upon review and approval of the grantee's application, 
FTA obligates funds for the project.
    Transferred funds are treated as FTA formula funds, but are 
assigned a distinct identifying code for tracking purposes. The funds 
may be used for any capital purpose eligible under the FTA formula 
program to which they are

[[Page 11913]]

transferred and in the case of CMAQ for certain operating costs. FTA 
and FHWA have issued guidance on project eligibility under the CMAQ 
program in a Notice at 65 FR 9040 et seq. (February 23, 2000). In 
accordance with 23 U.S.C. 104(k), all FTA requirements are applicable 
to transferred funds except local share--FHWA local share requirements 
apply. Transferred funds should be combined with regular FTA funds in a 
single annual grant application.
    Transfers From FTA to FHWA. The Metropolitan Planning Organization 
(MPO) submits a request to the FTA Regional Office for a transfer of 
FTA section 5307 formula funds (apportioned to an urbanized area 
200,000 and over in population) to FHWA based on approved use of the 
funds for highway purposes, as contained in the Governor's approved 
State Transportation Improvement Program. The MPO must certify that: 
(1) The funds are not needed for capital investments required by the 
Americans with Disabilities Act; (2) notice and opportunity for comment 
and appeal has been provided to affected transit providers; and (3) 
local funds used for non-Federal match are eligible to provide 
assistance for either highway or transit projects. The FTA Regional 
Administrator reviews and concurs in the request, then forwards the 
approval to FTA Headquarters, where a reduction is made to the 
grantee's urbanized area formula apportionment and FTA's National 
Operating Budget in TEAM-Web, equal to the dollar amount being 
transferred to FHWA.
    For information regarding these procedures, please contact Kristen 
D. Clarke, FTA Budget Office, at (202) 366-1686; or Richard Meehleib, 
FHWA Finance Division, at (202) 366-2869.

B. Matching Share for FHWA Transfers

    The provisions of Title 23 U.S.C., regarding the non-Federal share 
apply to Title 23 funds used for transit projects. Thus, FHWA funds 
transferred to FTA retain the same matching share that the funds would 
have if used for highway purposes and administered by FHWA.
    There are three instances in which a Federal share higher than 80 
percent would be permitted. First, in States with large areas of Indian 
and certain public domain lands and national forests, parks and 
monuments, the local share for highway projects is determined by a 
sliding scale rate, calculated based on the percentage of public lands 
within that State. This sliding scale, which permits a greater Federal 
share, but not to exceed 95 percent, is applicable to transfers used to 
fund transit projects in these public land States. FHWA develops the 
sliding scale matching ratios for the increased Federal share.
    Secondly, commuter carpooling and vanpooling projects and transit 
safety projects using FHWA transfers administered by FTA may retain the 
same 100 percent Federal share that would be allowed for ride-sharing 
or safety projects administered by the FHWA.
    The third instance includes the 100 percent Federal safety 
projects; however, these are subject to a nationwide 10 percent program 
limitation.

IX. Capital Investment Program (49 U.S.C. 5309)

A. Fixed Guideway Modernization

    The formula for allocating the Fixed Guideway Modernization funds 
contains seven tiers. The apportionment of funding under the first four 
tiers, through FY 2003, is based on data used to apportion the funding 
in FY 1997. Funding under the last three tiers is apportioned based on 
the latest available route miles and revenue vehicle miles on segments 
at least seven years old, as reported to the NTD.
    Table 7 displays the FY 2003 Fixed Guideway Modernization 
apportionments. Fixed Guideway Modernization funds apportioned for this 
section must be used for capital projects to maintain, modernize, or 
improve fixed guideway systems.
    All urbanized areas with fixed guideway systems that are at least 
seven years old are eligible to receive Fixed Guideway Modernization 
funds. A request for the start-up service dates for fixed guideways has 
been incorporated into the NTD reporting system to ensure that all 
eligible fixed guideway data is included in the calculation of the 
apportionments. A threshold level of more than one mile of fixed 
guideway is required to receive Fixed Guideway Modernization funds. 
Therefore, urbanized areas reporting one mile or less of fixed guideway 
mileage under the NTD are not included.
    The FY 2003 DOT Appropriations Act makes $1,206,506,400 available 
for Fixed Guideway Modernization, after application of the across-the-
board .65 percent reduction. An amount of $12,065,064 was then reserved 
for oversight, leaving $1,194,441,336 available for apportionment to 
eligible urbanized areas. In addition, prior year funds available for 
reapportionment in the amount of $84,033 are added and increase the 
total amount apportioned to $1,194,525,369 under Fixed Guideway 
Modernization. Table 13 contains information regarding the Fixed 
Guideway Modernization apportionment formula.

B. New Starts

    The amount made available for New Starts by the FY 2003 DOT 
Appropriations Act is $1,252,229,548, after application of the across-
the-board .65 percent reduction. This amount includes $45 million 
(adjusted for the .65 percent reduction) in FY 2003 funds transferred 
from the Job Access and Reverse Commute Program (JARC) and additional 
transfers of $1,015,648 from unobligated 1999 JARC funds, in accordance 
with language in the FY 2003 DOT Appropriations Act and accompanying 
Conference Report. Of the $1,252,229,548 made available $12,522,295 was 
reserved for oversight activities, leaving $1,239,707,253 available for 
allocations to projects. The final allocation for each New Starts 
projects is listed in Table 8.
    Prior year unobligated allocations for New Starts in the amount of 
$483,496,983 remain available for obligation in FY 2003. This amount 
includes $464,241,119 in fiscal years 2001 and 2002 unobligated 
allocations, and $19,255,864 for fiscal years 1999 and 2000 unobligated 
allocations that are extended in the FY 2003 Conference Report. These 
unobligated amounts are displayed in Table 8A.
    Capital Investment Program funds for New Starts projects identified 
as having been extended in the FY 2003 Conference Report accompanying 
the FY 2003 DOT Appropriations Act will lapse September 30, 2003. A 
list of the extended projects and the amount that remains unobligated 
as of September 30, 2002, is appended to Table 8A for ready reference.

C. Bus and Bus-Related

    The FY 2003 DOT Appropriations Act provides $603,253,200 for the 
purchase of buses, bus-related equipment and paratransit vehicles, and 
for the construction of bus-related facilities, after application of 
the across-the-board .65 percent reduction.
    TEA-21 established a $100 million Clean Fuels Formula Program under 
49 U.S.C. 5308 (described in section XII below). The program is 
authorized to be funded with $50 million from the Bus and Bus-Related 
category of the Capital Investment Program and $50 million from the 
Formula Program. However, the FY 2003 DOT Appropriations Act directs 
FTA to transfer the formula portion to, and merge it with, funding 
provided for the Bus and Bus-Related category of the Capital Investment 
Program. The .65 percent across-the-

[[Page 11914]]

board reduction has been applied to the $50 million in transferred 
funds. Thus, $652,928,200 of funds appropriated in FY 2003 is available 
for funding the Bus and Bus-Related category of the Capital Investment 
Program. In addition, Congress directed that funds made available for 
bus and bus facilities include $4,567,156 reallocated from projects in 
previous appropriations Acts, which increases the total amount made 
available to $657,495,356. The reallocated funds are derived from 
unobligated balances for the following projects: Essex Junction, 
Vermont multimodal station, $490,547; Towamencin Township, Pennsylvania 
intermodal center (1999), $1,488,750; Towamencin Township, Pennsylvania 
intermodal center (2000), $1,471,643; Folsom, California multimodal 
facility, $992,500; and Georgetown University fuel cell program, 
$123,176.
    After reserving $6,529,282 for oversight, the amount available for 
allocation under the Bus and Bus-Related category is $650,966,074. 
Table 9 displays the allocation of the FY 2003 Bus and Bus-Related 
funds by State and project. The FY 2003 Conference Report accompanying 
the FY 2003 DOT Appropriations Act allocated all of the FY 2003 Bus and 
Bus-Related funds to specified States or localities for bus and bus-
related projects. FTA will fund all designations that comply with the 
statutory requirements for the program.
    Prior year unobligated balances for Bus and Bus-Related allocations 
in the amount of $515,023,153 remain available for obligation in FY 
2003. This includes $503,518,819 in fiscal years 2001 and 2002 
unobligated allocations, and $11,504,334 for fiscal years 1998, 1999 
and 2000 unobligated allocations extended in the FY 2003 Conference 
Report. These unobligated amounts are displayed in Table 9A.
    Capital Investment Program funds for Bus and Bus-Related projects 
identified as having been extended in the Conference Report 
accompanying the FY 2003 DOT Appropriations Act will lapse September 
30, 2003. A list of the extended projects and the amount that remains 
unobligated as of September 30, 2002, is appended to Table 9A for ready 
reference.
    In addition, FY 2003 Conference Report provides clarifications for 
Bus and Bus-Related projects as follows:
    (1) Funding provided to Bevill State Community College may also 
made available to Jasper, Alabama.
    (2) Within the funding provided in FY 2003 to the State of 
Illinois, $1,000,000 shall be for the refurbishment of the Dan Ryan 
station.
    (3) The conference agreement provides $7,500,000 to Kentucky for 
bus and bus facilities needs statewide. Of this funding, $4,000,000 
shall be provided to southern and eastern Kentucky. The remainder shall 
be allocated to: Bluegrass Community Action Services, City of 
Frankfort, Kentucky Foothills Development Council, Community Action 
Council of Fayette/Lexington, Lexington Red Cross, East Kentucky 
Independent Service Organization, and Lexington Transit Authority.
    (4) Within the funding provided for the state of Michigan, the 
state should strongly consider requests from Alger County, Charlevoix 
County, Delta Area Transit Authority, Houghton, Ontonogan County, City 
of Sault Ste. Marie, and Schoolcraft County.
    (5) Within the funds provided for the state of Ohio, the state 
should strongly consider requests from Kent, and the East Side transit 
center.
    (6) Funding provided for the Sierra Madre Villa intermodal center 
in fiscal year 2002 shall also be made available to the Los Angeles 
County Metropolitan Transportation Authority (LACMTA) for bus and bus 
related facilities in the LACMTA's service area.
    (7) Funds provided in fiscal year 2002 for the Fort Worth 
intermodal center park and ride facility shall be used to facilitate 
the finish out the intermodal connections into downtown Fort Worth and 
to enhance the linkage of the TRE with the T's bus operation and park 
and ride elements occurring at two sites: the ITC (and geographically 
related areas like the 7th Street parking lot and Alarm Supply 
Building) and a larger facility at the Texas and Pacific Station.
    (8) Funding provided for Wyandotte County buses and Kansas City 
joblinks in fiscal year 2001 shall be made available to the Unified 
Government of Wyandotte County/Kansas City.
    (9) Funds provided in fiscal year 2001 for Louisiana's Plaquemines 
Parish Ferry shall also be made available to the New Orleans Regional 
Planning Commission for vans, buses and related facility construction 
in Plaquemines, St. Bernard, St. John and St. Charles parishes.
    (10) Funds made available in fiscal year 2001 for the Tompkins 
County intermodal facility shall also be made available for the Ulster 
County, New York rural bus garage.
    (11) Funding provided for the Swampscott buses in fiscal year 2000 
may also be available to Lynnfield, Massachusetts to replace buses.
    (12) Funds made available in fiscal year 2000 to the Ithaca 
intermodal transportation center shall also be made available for the 
Binghamton intermodal transportation center.

X. Job Access and Reverse Commute Program

    The FY 2003 DOT Appropriations Act provides $104,317,500, for the 
Job Access and Reverse Commute (JARC) Program after the transfer of $45 
million from JARC to the Capital Investment Program (New Starts) as 
stipulated in the FY 2003 DOT Appropriations Act and the accompanying 
Conference Report, and the application of the across-the-board .65 
percent reduction. JARC project funding will be published separately 
from this notice.
    The JARC program, established under TEA-21, provides funding for 
the provision of transportation services designed to increase access to 
jobs and employment-related activities. Job Access projects are those 
that transport welfare recipients and low-income individuals, including 
economically disadvantaged persons with disabilities, in urban, 
suburban, or rural areas to and from jobs and activities related to 
their employment. Reverse Commute projects provide transportation 
services for the general public from urban, suburban, and rural areas 
to suburban employment opportunities. A total of up to $10,000,000 from 
the appropriation may be used for Reverse Commute Projects.

XI. Over-the-Road Bus Accessibility Program

    The amount made available for the Over-the-Road Bus Accessibility 
(OTRB) Program by the FY 2003 DOT Appropriations Act is $6,904,825, 
after application of the across-the-board .65 percent reduction. Of 
this amount, $5,215,875 is available to providers of intercity fixed-
route service, and $1,688,950 is available to other providers of over-
the-road bus services, including local fixed-route service, commuter 
service, and charter and tour service.
    The OTRB program authorizes FTA to make grants to operators of 
over-the-road buses to help finance the incremental capital and 
training costs of complying with the DOT over-the-road bus 
accessibility final rule, published on September 28, 1998 (63 FR 
51670). Funds will be provided at 90 percent Federal share. FTA 
conducts a national solicitation of applications and grantees are 
selected on a competitive basis.
    A Federal Register Notice providing program guidance and 
application procedures for FY 2003 was published in the Federal 
Register on February 7, 2003. Applications are due by March 28, 2003.

[[Page 11915]]

XII. Clean Fuels Formula Program

    TEA-21 established the Clean Fuels Formula Grant Program under 
section 5308 of Title 49 U.S.C. to assist non-attainment and 
maintenance areas in achieving or maintaining attainment status and to 
support markets for emerging clean fuel technologies. No funds were 
provided for this program in the FY 2003 DOT Appropriations Act. For 
further information contact Nancy Grubb, FTA Office of Resource 
Management and State Programs, at (202) 366-2053.

XIII. National Planning and Research Program

    The amount made available to the National Planning and Research 
Program by the FY 2003 DOT Appropriations Act is $31,295,250, after 
application of the across-the-board .65 percent reduction, of that 
amount $16,442,426 is allocated for specific activities. These 
allocations are listed in Table 10. For additional information contact 
Henry Nejako, Program Management Officer, Office of Research, 
Demonstration and Innovation, at (202) 366-0184.

XIV. Unit Values of Data for Urbanized Area Formula Program, 
Nonurbanized Area Formula Program, and Fixed Guideway Modernization

    The dollar unit values of data derived from the computations of the 
Urbanized Area Formula Program, the Nonurbanized Area Formula Program, 
and the Capital Investment Program--Fixed Guideway Modernization 
apportionments are displayed in Table 14 of this notice. To replicate 
an area's apportionment, multiply its population, population density, 
and data from the NTD by the appropriate unit value.

XV. Period of Availability of Funds

    The funds apportioned under the Metropolitan Planning Program and 
the Statewide Planning and Research Program, the Urbanized Area Formula 
Program, and Fixed Guideway Modernization, in this notice, will remain 
available to be obligated by FTA to recipients for three fiscal years 
following FY 2003. Any of these apportioned funds that remain 
unobligated at the close of business on September 30, 2006, will revert 
to FTA for reapportionment under the respective program.
    Funds apportioned to nonurbanized areas under the Nonurbanized Area 
Formula Program, including RTAP funds, will remain available for two 
fiscal years following FY 2003. Any such funds that remain unobligated 
at the close of business on September 30, 2005, will revert to FTA for 
reapportionment among the States under the Nonurbanized Area Formula 
Program. Funds allocated to States under the Elderly and Persons with 
Disabilities Program in this notice must be obligated by September 30, 
2003. Any such funds that remain unobligated as of that date will 
revert to FTA for reapportionment among the States under the Elderly 
and Persons with Disabilities Program. The FY 2003 DOT Appropriations 
Act includes a provision requiring that FY 2003 New Starts and Bus and 
Bus-Related funds not obligated for their original purpose as of 
September 30, 2005, shall be made available for other projects under 49 
U.S.C. 5309.
    JARC funds for projects selected by FTA for funding in FY 2003 will 
remain available for two fiscal years following FY 2003. Any such funds 
that remain unobligated at the close of business on September 30, 2005, 
will revert to FTA for reallocation under the JARC program.
    Capital Investment Program funds for New Starts and Bus and Bus-
Related projects identified as having been extended in the FY 2003 
Conference Report accompanying the FY 2003 DOT Appropriations Act will 
lapse September 30, 2003.

XVI. Automatic Pre-Award Authority To Incur Project Costs

    This information incorporates and elaborates on guidance previously 
provided in the FTA FY 2002 Apportionments and Allocations Notice found 
at [http://www.fta.dot.gov/library/legal/federalregister/2002/fr1202a.pdf].

A. Policy

    FTA provides blanket or automatic pre-award authority to cover 
certain program areas described below. This pre-award authority allows 
grantees to incur project costs prior to grant approval and retain 
their eligibility for subsequent reimbursement after grant approval. 
The grantee assumes all risk and is responsible for ensuring that all 
conditions, which are described below, are met to retain eligibility. 
This automatic pre-award spending authority permits a grantee to incur 
costs on an eligible transit capital or planning project without 
prejudice to possible future Federal participation in the cost of the 
project or projects. Prior to exercising pre-award authority, grantees 
must comply with the conditions and Federal requirements outlined in 
paragraphs B and C immediately below. Failure to do so will render an 
otherwise eligible project ineligible for FTA financial assistance. In 
addition, grantees are strongly encouraged to consult with the 
appropriate FTA regional office if there is any question regarding the 
eligibility of the project for future FTA funds or the applicability of 
the conditions and Federal requirements.
    Pre-award authority was extended in the June 24, 1998 Federal 
Register Notice on TEA-21 to all formula funds and flexible funds that 
will be apportioned during the authorization period of TEA-21, 1998-
2003. Pre-award authority for operating and planning projects under the 
formula grants programs is not limited to the authorization period. 
Pre-award authority also applies to Capital Investment Bus and Bus-
Related allocations identified in this notice. For such section 5309 
Capital Investment Bus and Bus-Related projects, the date that costs 
may be incurred is the date that the appropriation bill in which they 
are contained is enacted. Pre-award authority does not apply to Capital 
New Start funds, or to Capital Investment Bus and Bus-Related projects 
not specified in this or previous notices, except as described in D 
below.
Extension of Pre-Award Authority Beyond the TEA-21 Authorization Period
    Because there is uncertainty in the timing of the FY 2004 
appropriations act and/or the surface transportation reauthorization 
act, a large number of LONPs might be requested for routine, continuing 
transit projects using anticipated formula funds. FTA, in this Notice, 
is extending pre-award authority to grantees for project costs to be 
reimbursed by formula funds and flexible funds that will be 
appropriated in FY 2004.
    In using this pre-award authority for FY 2004 formula funds, 
grantees are cautioned that reauthorization may result in changes in 
program structure, administrative requirements, or funding 
availability. As with all pre-award authority, activities must be 
conducted in compliance with Federal requirements in order to retain 
eligibility for future reimbursement.

B. Conditions

    Similar to the FTA LONP authority, the conditions under which this 
authority may be utilized are specified below:
    (1) The pre-award authority is not a legal or moral commitment that 
the project(s) will be approved for FTA assistance or that FTA will 
obligate Federal funds. Furthermore, it is not a legal or moral 
commitment that all

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items undertaken by the applicant will be eligible for inclusion in the 
project(s).
    (2) All FTA statutory, procedural, and contractual requirements 
must be met.
    (3) No action will be taken by the grantee that prejudices the 
legal and administrative findings that the Federal Transit 
Administrator must make in order to approve a project.
    (4) Local funds expended by the grantee pursuant to and after the 
date of the pre-award authority will be eligible for credit toward 
local match or reimbursement if FTA later makes a grant for the 
project(s) or project amendment(s).
    (5) 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.
    (6) For funds to which the pre-award authority applies, the 
authority expires with the lapsing of the fiscal year funds.
    (7) The Financial Status Report, in TEAM-Web, must indicate the use 
of pre-award authority.

C. Environmental, Planning, and Other Federal Requirements

    FTA emphasizes that all of the Federal grant requirements must be 
met for the project to remain eligible for Federal funding. Compliance 
with the National Environmental Policy Act (NEPA) and other 
environmental laws or executive orders (e.g., protection of parklands, 
wetlands, and historic properties) must be completed before State or 
local funds are spent on implementing activities such as final design, 
construction, and acquisition for a project that is expected to be 
subsequently funded with FTA funds. Depending on which class the 
project is included under in FTA environmental regulations, 23 CFR part 
771, the grantee may not advance the project beyond planning and 
preliminary engineering before FTA has issued either a categorical 
exclusion, refer to 23 CFR part 771.117(d), a finding of no significant 
impact, or a record of decision. The conformity requirements of the 
Clean Air Act, 40 CFR part 93, also must be fully met before the 
project may be advanced into implementation under pre-award authority.
    Similarly, the requirement that a project be included in a locally 
adopted metropolitan transportation improvement program and federally 
approved statewide transportation improvement program must be followed 
before the project may be advanced with non-Federal funds under pre-
award authority. For planning projects, the project must be included in 
a locally approved Planning Work Program that has been coordinated with 
the State. In addition, Federal procurement procedures, as well as the 
whole range of Federal requirements, must be followed for projects in 
which Federal funding will be sought in the future. Failure to follow 
any such requirements could make the project ineligible for Federal 
funding. In short, this increased administrative flexibility requires a 
grantee to make certain that no Federal requirements are circumvented 
through the use of pre-award authority. If a grantee has questions or 
concerns regarding the environmental requirements, or any other Federal 
requirements that must be met before incurring costs, it should contact 
the appropriate regional office.
    Before an applicant may incur costs for Bus and Bus-Related Capital 
projects not listed in this notice or previous notices, it must first 
obtain a written 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 XVII below.

D. Pre-Award Authority for New Starts Projects

1. Preliminary Engineering and Final Design
    New Starts projects are required to follow a federally defined 
project development process. This process includes, among other things, 
FTA approval of entry of a project into preliminary engineering and 
approval to enter final design. The grantee request for entry into 
preliminary engineering and the request for entry into final design 
document the project's justification and financial criteria, which FTA 
evaluates as part of its approval process. With FTA approval to enter 
preliminary engineering, and subsequent approval to enter final design, 
FTA will automatically extend pre-award authority to that phase of 
project development.
2. Real Property Acquisition Activities
    FTA will extend automatic pre-award authority for the acquisition 
of real property and real property rights for a New Starts project upon 
completion of the NEPA review of that project. NEPA review 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 for a New Starts project may now commence upon 
completion of the NEPA review process.
    Most major FTA-assisted projects require the acquisition of 
residential and/or business properties and the relocation of the 
occupants. Often real property rights, like railroad track usage 
rights, are needed. With limited exceptions set forth in FTA's NEPA 
guidance, the purchase of real property can prejudice the consideration 
of less damaging alternatives and may not take place until the NEPA 
process has been completed by FTA's signing of an environmental ROD or 
FONSI or making a CE determination.
    For FTA-assisted projects, any acquisition of real property 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. Compliance with the URA 
regulations requires substantial lead-time. Properties must be 
appraised, persons who will be displaced must be educated about their 
relocation rights, proper housing must be found for displaced 
residents, and businesses must be relocated in accordance with the URA. 
In some cases, the remediation of contaminated soils or groundwater, or 
the removal of underground storage tanks must be dealt with during the 
acquisition process. Potentially responsible parties of the 
contamination must be identified and their financial liability 
negotiated or litigated. Acquisition of railroad right-of-way or usage 
rights is frequently a negotiated transaction that is fundamental to 
the transit project and therefore should be negotiated as early as 
possible after the completion of the NEPA process. Delays in the 
closing on an acquisition can lead to inconvenience or hardship for 
residents and businesses that are being displaced. Delays can also lead 
to increases in property values or in the current owners' financial 
expectations that prolong negotiated settlements.
    To facilitate the acquisition process for New Starts projects, FTA 
will extend automatic pre-award authority for the acquisition of real 
property and real property rights with the signing of the environmental 
ROD or FONSI or the CE determination. This pre-award authority is 
strictly limited to costs incurred to acquire real property and real 
property rights and to provide relocation assistance in accordance with 
the URA regulation. It is limited to the acquisition of real property 
and real property rights that are explicitly identified in the final 
EIS, EA or CE determination, as needed for the selected alternative 
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the FTA-signed ROD or FONSI, or the CE determination. It does not cover 
site preparation, demolition, or any other activity that is not 
strictly necessary to comply with the URA. At FTA's discretion, these 
other activities may be covered by a LONP, described in section XVII, 
below. This pre-award authority does not cover the acquisition of 
construction equipment or transit vehicles or any other acquisition 
except that of real property and real property rights.
    Grant applicants should use this pre-award authority for real 
property very discreetly with a clear understanding that it does not 
constitute a funding commitment by FTA. On occasion, even projects that 
received a ``recommended'' rating from FTA under the New Starts 
regulation, 49 CFR part 611, have not received a Full Funding Grant 
Agreement from FTA simply because the competition for the limited New 
Starts funds is so intense.
    This pre-award authority for the acquisition of real property and 
real property rights, in accordance with the URA and after FTA's 
signing of a ROD or FONSI or making a CE determination, is intended to 
streamline the project delivery process, to enhance relocation services 
for residents and businesses, and to avoid the escalation in the cost 
of real property caused by delays in its acquisition. In granting this 
pre-award authority, FTA is aware that the risk taken by the grant 
applicant in acquiring real property without an FTA commitment is 
somewhat mitigated by the re-sale value of the real property, in the 
event that FTA funding assistance is not ultimately forthcoming and the 
project is abandoned.
3. National Environmental Policy Act (NEPA) Activities
    The NEPA requires that projects with potentially significant 
adverse impacts proposed for Federal funding assistance be subjected to 
a public and interagency review of the need for the project, its 
environmental and community impacts, and alternatives with potentially 
fewer damaging effects. Projects for which FTA experience indicates 
there are no significant impacts are subject to NEPA, but categorically 
excluded from the more rigorous levels of NEPA review.
    FTA regulations, 23 CFR 771.105(e), state that the costs incurred 
by a grant applicant for the preparation of environmental documents 
requested by FTA are eligible for FTA assistance. FTA extends automatic 
pre-award authority for costs incurred to conduct the NEPA 
environmental review, including historic preservation activities, and 
to prepare an EIS, EA, CE, or other environmental documents for a 
proposed New Starts project, effective as of the date of the federal 
approval of the relevant STIP or STIP amendment that includes any phase 
of the project. This pre-award authority applies to New Starts funding, 
as well as other FTA funding sources. This pre-award authority is 
strictly limited to costs incurred to conduct the NEPA process and 
prepare environmental and historic preservation documents. It does not 
cover preliminary engineering activities beyond those necessary for 
NEPA compliance. As with any pre-award authority, FTA participation in 
costs incurred is not guaranteed.
    This pre-award authority for environmental and historic 
preservation work for a proposed New Starts project in the FTA-approved 
STIP is intended to streamline the NEPA process in accordance with TEA-
21 Section 1309, ``Environmental Streamlining,'' by eliminating 
unnecessary delays in starting up the conceptual engineering and 
environmental reviews, the public involvement process, and the 
interagency coordination process for New Starts projects.
4. Other New Starts Activities Requiring LONP
    Except as discussed in paragraphs 1-3 above, a grant applicant must 
obtain a written LONP from FTA before incurring costs for any activity 
expected to be funded by New Start funds not yet granted. 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 section XVII below.

XVII. Letter of no Prejudice (LONP) Policy

A. Policy

    LONP authority allows an applicant to incur costs on a project 
utilizing non-Federal resources with the understanding that the costs 
incurred subsequent to the issuance of the LONP may be reimbursable as 
eligible expenses or eligible for credit toward the local match should 
FTA approve the project at a later date. LONPs are applicable to 
projects and project activities not covered by automatic pre-award 
authority. The majority of LONPs will be for Section 5309 New Starts 
funds not covered under a full funding grant agreement or for Section 
5309 Bus and Bus-Related funds not yet appropriated by Congress. At the 
end of an authorization period, there may be LONPs for formula funds 
beyond the life of the current authorization.
    Under most circumstances the LONP will cover the total project. 
Under certain circumstances the LONP may be issued for local match 
only, for example, to permit real estate purchased as it becomes 
available to be used for match for the project at a later date.

B. Conditions

    The following conditions apply to all LONPs.
    (1) LONP pre-award authority is not a legal or moral commitment 
that the project(s) will be approved for FTA assistance or that FTA 
will obligate Federal funds. Furthermore, it is not a legal or moral 
commitment that all items undertaken by the applicant will be eligible 
for inclusion in the project(s).
    (2) All FTA, DOT, and other Federal statutory, regulatory, 
procedural, and contractual requirements must be met.
    (3) No action will be taken by the grantee that prejudices the 
legal and administrative findings that the Federal Transit 
Administrator must make in order to approve a project.
    (4) Local funds expended by the grantee pursuant to and after the 
date of the LONP will be eligible for credit toward local match or 
reimbursement if FTA later makes a grant for the project(s) or project 
amendment(s).
    (5) The Federal amount of any future FTA assistance 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.
    (6) For funds to which this pre-award authority applies, the 
authority expires with the lapsing of the fiscal year funds.

C. Environmental, Planning, and Other Federal Requirements

    As with automatic pre-award authority, FTA emphasizes that all of 
the Federal grant requirements must be met for the project to remain 
eligible for Federal funding. Compliance with NEPA and other 
environmental laws or executive orders (e.g., protection of parklands, 
wetlands, historic properties) must be completed before State or local 
funds are spent on implementation activities such as final design, 
construction, or acquisition for a project expected to be subsequently 
funded with FTA funds. Depending on which class the project is included 
under in FTA's environmental regulations, 23 CFR part 771, the grantee 
may not advance the project beyond planning and preliminary engineering 
before FTA has approved a CE determination, 23 CFR Section 771.117(d), 
a finding of no significant impact (FONSI), or an environmental ROD. 
Because project

[[Page 11918]]

implementation activities may not be initiated prior to NEPA 
completion, FTA will normally not issue an LONP for such activities 
until the NEPA process has been completed with a ROD, FONSI, or CE 
determination. The conformity requirements of the Clean Air Act, 40 CFR 
part 93, also must be fully met before the project may be advanced with 
non-Federal funds.
    Similarly, the requirement that a capital project be included in a 
locally adopted metropolitan transportation improvement program and 
federally approved statewide transportation improvement program must be 
followed before the project may be advanced with non-Federal funds. For 
planning projects, the project must be included in a locally approved 
Planning Work Program that has been coordinated with the State. In 
addition, Federal procurement procedures, as well as the whole range of 
Federal requirements, 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 pre-award authority requires a grantee to make certain that 
no Federal requirements are circumvented. If a grantee has questions or 
concerns regarding the environmental requirements, or any other Federal 
requirements that must be met before incurring costs, it should contact 
the appropriate FTA regional office.

D. Request for LONP

    Before an applicant may incur costs for a project not covered by 
automatic pre-award authority, it must first submit a written request 
for an LONP to the appropriate regional office and obtain written 
approval.

XVIII. FTA Web Site on the Internet

    FTA provides extended customer service by making available transit 
information on the FTA Web site, including this apportionment notice. 
Also posted on the Web site are FTA program Circulars: C9030.1C, 
Urbanized Area Formula Program: Grant Application Instructions, dated 
October 1, 1998; C9040.1E, Nonurbanized Area Formula Program Guidance 
and Grant Application Instructions, dated October 1, 1998; C9070.1E, 
The Elderly and Persons with Disabilities Program Guidance and 
Application Instructions, dated October 1, 1998; C9300.1A, Capital 
Program: Grant Application Instructions, dated October 1, 1998; 
4220.1D, Third Party Contracting Requirements, dated April 15, 1996; 
C5010.1C, Grant Management Guidelines, dated October 1, 1998; C8100.1B, 
Program Guidance and Application Instructions for Metropolitan Planning 
Program Grants, dated October 25, 1996; C8200.1, Program Guidance and 
Application Instructions for State Planning and Research Program 
Grants, dated December 27, 2001; and C5200.1A, Full Funding Grant 
Agreement Guidance, dated December 5, 2002. The FY 2003 Annual List of 
Certifications and Assurances is also posted on the FTA Web site. Other 
documents on the FTA Web site of particular interest to public transit 
providers and users include the annual Statistical Summaries of FTA 
Grant Assistance Programs, and the National Transit Database Profiles.
    FTA circulars are listed at [http://www.fta.dot.gov/library/admin/checklist/circulars.htm]. Other guidance of interest to Grantees can be 
found at: [http://www.fta.dot.gov/grantees/index.html]. Grantees should 
check the FTA Web site frequently to keep up to date on new postings.

XIX. FTA Fiscal Year 2003 Annual List of Certifications and Assurances

    On October 23, 2002, FTA published in the Federal Register the list 
and accompanying text of all Certifications and Assurances required of 
recipients of FTA assistance in Fiscal Year 2003. See, 67 FR 65171 et 
seq. The full text of the Fiscal Year 2003 Certifications and 
Assurances is also accessible both on FTA's Internet Web site at 
[http://www.fta.dot.gov/library/legal/ca.htm] and FTA's TEAM Web site 
for recipients, TEAM-Web at [http://ftateamweb.fta.dot.gov/static/2003-CERTS-TEAM.doc]. In compliance with 49 U.S.C. 5323(n), which requires a 
simultaneous publication of a list of the Certifications and Assurances 
and FTA's annual notice of Apportionments, recipients are directed to 
the October 23, 2002 notice at 67 FR 65171 et seq. for the list and 
text of FTA's Certifications and Assurances and to FTA's Web sites 
displaying those Certifications and Assurances. Any questions regarding 
this document may be addressed to the appropriate Regional Office.
    As in previous years, the grant applicant should certify 
electronically. Under certain circumstances the applicant may enter its 
Personal Identification Number (PIN) in lieu of an electronic signature 
provided by its attorney, provided the applicant has on file the 
current affirmation of its attorney in writing dated this Federal 
fiscal year. The applicant is advised to contact the appropriate FTA 
Regional Office for electronic procedure information.

XX. Grant Application Procedures

    All applications for FTA funds should be submitted to the 
appropriate FTA Regional Office. FTA utilizes TEAM-Web, an Internet 
accessible electronic grant application system, and all applications 
should be filed electronically. FTA has provided exceptions to the 
requirement for electronic filing of applications for certain new, non-
traditional grantees in the Job Access and Reverse Commute and Over-
the-Road Bus Accessibility programs as well as to a few grantees that 
have not successfully connected to or accessed TEAM-Web.
    FTA is committed to processing grants within 60 days of receipt of 
a completed application by the appropriate Regional Office. In order 
for an application to be considered complete, it must meet the 
following requirements: All projects must be contained in an approved 
STIP (when required), all environmental findings must be made by FTA, 
there must be an adequate project description, local share must be 
secure, any flexible funds included in the budget must be secured, all 
required civil rights submissions must be current and certifications 
and assurances must be properly submitted. Once an application is 
complete, the FTA Regional Office will assign a project number and, 
when required, submit the application to the Department of Labor for a 
certification under section 5333(b). The FTA circulars contain more 
information regarding application contents and complete applications. 
State applicants for section 5311 are reminded that they must certify 
to DOL that all subrecipients have agreed to the standard labor 
protection warranty for section 5311 and provide DOL with other related 
information for each grant.
    This notice and all program guidance circulars may be accessed via 
the FTA Web site. Copies of circulars are available from FTA Regional 
Offices as well.

    Issued on: March 5, 2003.
Jennifer L. Dorn.
Administrator.
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[FR Doc. 03-5707 Filed 3-11-03; 8:45 am]
BILLING CODE 4910-57-C