[Federal Register Volume 73, Number 244 (Thursday, December 18, 2008)]
[Notices]
[Pages 77344-77429]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-29645]



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Part IV





Department of Transportation





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Federal Transit Administration



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FTA Fiscal Year 2009 Apportionments, Allocations, and Program 
Information; Notice

  Federal Register / Vol. 73, No. 244 / Thursday, December 18, 2008 / 
Notices  

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


FTA Fiscal Year 2009 Apportionments, Allocations, and Program 
Information

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice.

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SUMMARY: Division A of the Consolidated Security, Disaster Assistance, 
and Continuing Appropriations Act, 2009, (Pub. L. 110-329) signed into 
law by President Bush on September 30, 2008, continues to fund the 
Federal transit programs of the Department of Transportation (DOT) at 
the same levels that were available under Division K of the 
``Consolidated Appropriations Act, 2008'' (Pub. L. 110-161) until a DOT 
Appropriations Act for Fiscal Year (FY) 2009 is enacted or March 6, 
2009, whichever occurs first. This notice provides information on 
funding amounts that are currently available for the Federal Transit 
Administration (FTA) assistance programs; provides program guidance and 
requirements; and provides information on several program issues 
important in the current year. The notice also includes tables that 
show certain discretionary programs unobligated (carryover) funding 
from previous years that will be available for obligation during FY 
2009.

FOR FURTHER INFORMATION CONTACT: For general information about this 
notice contact Henrika Buchanan-Smith, Director, Office of Transit 
Programs, at (202) 366-2053. Please contact the appropriate FTA 
regional office for any specific requests for information or technical 
assistance. The Appendix at the end of this notice includes contact 
information for FTA regional offices. An FTA headquarters contact for 
each major program area is also included in the discussion of that 
program in the text of the notice.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Overview
II. FY 2009 Available Funding for FTA Programs
    A. Available Funding Based on Division A of the Continuing 
Appropriations Act, 2009, and Safe, Accountable, Flexible, Efficient 
Transportation Equity Act: A Legacy for Users (SAFETEA-LU)
    B. Program Funds Set-Aside for Oversight
III. FY 2009 FTA Key Program Initiatives and Changes
    A. SAFETEA-LU Implementation
    B. Planning Emphasis Areas
    C. Earmarks and Competitive Grant Opportunities
    D. Flexible Funding Procedures
    E. Changes in Match for Biodiesel Vehicles and Hybrid Retrofits
    F. National Transit Database (NTD) Disaster Adjustments Policy
IV. FTA PROGRAMS
    A. Metropolitan Planning Program (49 U.S.C. 5305)
    B. Statewide Planning and Research Program (49 U.S.C. 5305)
    C. Urbanized Area Formula Program (49 U.S.C. 5307)
    D. Clean Fuels Formula Program (49 U.S.C. 5308)
    E. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway 
Modernization
    F. Capital Investment Program (49 U.S.C. 5309)--Bus and Bus-
Related Facilities
    G. Capital Investment Program (49 U.S.C. 5309)--New Starts
    H. Special Needs of Elderly Individuals and Individuals With 
Disabilities Program (49 U.S.C. 5310)
    I. Nonurbanized Area Formula Program (49 U.S.C. 5311)
    J. Rural Transportation Assistance Program (49 U.S.C. 
5311(b)(3))
    K. Public Transportation on Indian Reservation Program (49 
U.S.C. 5311(c))
    L. National Research Program (49 U.S.C. 5314)
    M. Job Access and Reverse Commute Program (49 U.S.C. 5316)
    N. New Freedom Program (49 U.S.C. 5317)
    O. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320)
    P. Alternatives Analysis Program (49 U.S.C. 5339)
    Q. Growing States and High Density States Formula (49 U.S.C. 
5340)
    R. Over-the-Road Bus Accessibility Program (49 U.S.C. 5310 note)
V. FTA Policy And Procedures for FY 2009 Grants Requirements
    A. Automatic Pre-Award Authority To Incur Project Costs
    B. Letter of No Prejudice (LONP) Policy
    C. FTA FY 2009 Annual List of Certifications and Assurances
    D. FHWA Funds Used for Transit Purposes
    E. Grant Application Procedures
    F. Payments
    G. Oversight
    H. Technical Assistance
TABLES
    1. FTA FY 2009 APPROPRIATIONS AND APPORTIONMENTS FOR GRANT 
PROGRAMS
    2. FTA FY 2009 METROPOLITAN PLANNING PROGRAM AND STATEWIDE 
PLANNING AND RESEARCH PROGRAM APPORTIONMENTS
    3. FTA FY 2009 SECTION 5307 AND SECTION 5340 URBANIZED AREA 
APPORTIONMENTS
    4. FTA FY 2009 SECTION 5307 APPORTIONMENT FORMULA
    5. FTA FY 2009 FORMULA PROGRAMS APPORTIONMENTS DATA UNIT VALUES
    6. FTA FY 2009 SMALL TRANSIT INTENSIVE CITIES PERFORMANCE DATA 
AND APPORTIONMENTS
    7. FTA PRIOR YEAR UNOBLIGATED SECTION 5308 CLEAN FUELS 
ALLOCATIONS
    8. FTA FY 2009 SECTION 5309 FIXED GUIDEWAY MODERNIZATION 
APPORTIONMENTS
    9. FTA FY 2009 FIXED GUIDEWAY MODERNIZATION PROGRAM 
APPORTIONMENT FORMULA
    10. FTA PRIOR YEAR UNOBLIGATED SECTION 5309 BUS AND BUS-RELATED 
FACILITIES ALLOCATIONS
    11. FTA FY 2009 SECTION 5309 NEW STARTS ALLOCATIONS
    12. FTA PRIOR YEAR UNOBLIGATED SECTION 5309 NEW STARTS 
ALLOCATIONS
    13. FTA FY 2009 SPECIAL NEEDS FOR ELDERLY INDIVIDUALS AND 
INDIVIDUALS WITH DISABILITIES APPORTIONMENTS
    14. FTA FY 2009 SECTION 5311 AND SECTION 5340 NONURBANIZED AREA 
FORMULA APPORTIONMENTS, AND RURAL TRANSPORTATION ASSISTANCE PROGRAM 
(RTAP) ALLOCATIONS
    15. FTA PRIOR UNOBLIGATED TRIBAL TRANSIT DISCRETIONARY 
ALLOCATIONS
    16. FTA FY 2009 SECTION 5316 JOB ACCESS AND REVERSE COMMUTE 
(JARC) APPORTIONMENTS
    17. FTA PRIOR UNOBLIGATED DISCRETIONARY JARC ALLOCATIONS
    18. FTA FY 2009 SECTION 5317 NEW FREEDOM APPORTIONMENTS
    19. FTA PRIOR YEAR UNOBLIGATED SECTION 5339 ALTERNATIVE ANALYSIS 
ALLOCATIONS
APPENDIX

I. Overview

    This document apportions or allocates the FY 2009 funds that were 
made available under Division A of the Consolidated Security, Disaster 
Assistance, and Continuing Appropriations Act, 2009, (Pub. L. 110-329, 
September 30, 2008), hereinafter, (``Continuing Appropriations Act, 
2009'') among potential program recipients according to statutory 
formulas in 49 U.S.C. Chapter 53 and existing Full Funding Grant 
Agreements. The notice only includes the amount of FY 2009 funds that 
is currently available, which is approximately \5/12\ or 43% of the 
amounts that were available under the Consolidated Appropriations Act, 
2008. The notice does not include any extension or reprogramming of any 
discretionary funds that lapsed to the designated project as of 
September 30, 2008. The notice also does not include partial amounts 
made available to projects designated Bus and Bus-Related Facilities 
Program funds or National Research Program funds under SAFETEA-LU. FTA 
will issue a supplemental notice at a later date regarding these 
projects and any additional increments of formula and discretionary 
funds that become available.

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    For each FTA program included in this notice, we have provided 
relevant information on the FY 2009 funding currently available, 
program requirements, period of availability, and other related program 
information and highlights, as appropriate. A separate section of the 
document provides information on program requirements and guidance that 
are applicable to all FTA programs.

II. FY 2009 Funding for FTA Programs

A. Funding Based on the Continuing Appropriations Act, 2009 (Pub. L. 
110-329, September 30, 2008) and SAFETEA-LU Authorization

    The Continuing Appropriations Act, 2009, provides general funds and 
obligation authority on trust funds from the MTA that total $4.1 
billion for FTA programs, until a DOT Appropriations Act for FY 2009 is 
enacted or a continued continuing Resolution after March 6, 2009, 
whichever occurs first. Table 1 of this document shows the funding for 
the FTA programs, as provided for in the Continuing Appropriations Act, 
2009. All Formula Programs and the Section 5309 Bus and Bus-Related 
Facilities Program are funded entirely from MTA of the Highway Trust 
Fund in FY 2009. The Section 5309 New Starts Program, the Research 
Program, and FTA administrative expenses are funded by appropriations 
from the General Fund of the Treasury.
    Congress has enacted a partial year Continuing Appropriations Act, 
2009. This Federal Register notice includes tables of apportionments 
and allocations for FTA formula programs based on that Act. Prorated 
allocations based on FY 2008 funding levels are also included for 
active Full Funding Grant Agreements (FFGAs) under the New Starts 
discretionary program; however, FY 2009 discretionary allocations for 
other discretionary programs will not be published until FTA issues a 
subsequent notice as additional resources are made available.

B. Program Funds Set-Aside for Project Management Oversight

    FTA uses a percentage of funds appropriated to certain FTA programs 
for program oversight activities conducted by the agency. The funds are 
used to provide necessary oversight activities, including oversight of 
the construction of any major capital project under these statutory 
programs; to conduct safety and security, civil rights, procurement 
systems, management, planning certification and, financial reviews and 
audits, as well as evaluations and analyses of grantee specific 
problems and issues; and to provide technical assistance to correct 
deficiencies identified in compliance reviews and audits.
    Section 5327 of title 49 U.S.C., authorizes the takedown of funds 
from FTA programs for project management oversight. Section 5327 
provides oversight takedowns at the following levels: 0.5 percent of 
Planning funds, 0.75 percent of Urbanized Area Formula funds, 1 percent 
of Capital Investment funds, 0.5 percent of Special Needs of Elderly 
Individuals and Individuals with Disabilities formula funds, 0.5 
percent of Nonurbanized Area Formula funds, and 0.5 percent of the Paul 
S. Sarbanes Transit in the Parks Program funds (formerly the 
Alternative Transportation in the Parks and Public Lands Program).

III. FY 2009 FTA Program Initiatives and Changes

A. SAFETEA-LU Implementation

    In FY 2009, FTA continues to focus on implementation of SAFETEA-LU 
through issuance of new and revised program guidance and regulations. 
Before any documents that place binding obligations on grantees are 
finalized and issued, FTA makes them available for public comment. We 
encourage grantees to regularly check the FTA Web site at http://www.fta.dot.gov and the U.S. Government docket management Website at 
http://regulations.gov for new issuances and to comment to the docket 
established for each document on relevant issues.

B. Planning Emphasis Areas

    In recognition of the priority planning organizations and grantees 
are giving to the implementation of the new and changed provisions of 
SAFETEA-LU, FTA and the Federal Highway Administration (FHWA) are not 
issuing new planning emphasis areas for FY 2009, and have rescinded 
planning emphasis areas from prior years.

C. Earmarks and Competitive Grant Opportunities

    SAFETEA-LU contained statutory earmarks under several programs. 
Absent future legislation to the contrary, FTA will honor the statutory 
earmarks; however, funds for the FY 2009 discretionary programs with 
the exception of New Start Program funds for existing FFGAs will not be 
made available in partial increments. FTA will publish the availability 
of discretionary funds in a subsequent notice. This notice does include 
tables of unobligated balances for earmarks from previous years under 
the Bus and Bus-Related Facilities Program, the New Starts Program, the 
Clean Fuels Program, and the Alternatives Analysis Program. FTA will 
continue to honor those earmarks. FTA will supplement this notice, at a 
later date, to provide any additional discretionary allocations of 
funds made available in FY 2009 and any lapsed prior year earmarks that 
the Secretary of Transportation determines to extend or reprogram, once 
the Department has examined the requests.

D. Flexible Funding Procedures

    Obligation authority for flexible funds, high priority projects and 
other transit projects in title 23 U.S.C. is transferred to FTA when 
States and local agencies determine that FTA will administer the 
project. The liquidating cash, however, is transferred between Federal 
accounts only as needed to ensure that adequate funds are available for 
disbursement on a timely basis. In order to track the cash flow more 
closely, FTA no longer combines funds transferred from FHWA into a 
single grant with FTA funds in the program to which they are 
transferred. FTA has established codes and procedures for grants 
involving funds transferred from FHWA. Grantees can contact the 
appropriate regional office for assistance.

E. Changes in Match for Biodiesel Vehicles and Hybrid Retrofits

    Section 164 of the Consolidated Appropriations Act, 2008, allowed a 
90 percent Federal share for biodiesel buses and for the net capital 
cost of factory-installed or retrofitted hybrid electric propulsion 
systems and any equipment related to such a system. This increased 
federal share is a cross-cutting provision and is applicable across FTA 
programs for any grants awarded during FY 2008 regardless of what 
fiscal year funding is used. This provision remains in effect pursuant 
to Division A of the Continuing Appropriations Act, 2009, which expires 
on or before March 6, 2009. Grantees may apply for a 90 percent Federal 
share for the entire cost of a biodiesel bus, but only for the cost of 
the propulsion system and related equipment in the case of the hybrid 
electric systems, not for 90 percent of the cost of the entire vehicle. 
In lieu of calculating the costs of the equipment separately, grantees 
may apply for 83 percent of the cost of the vehicle.

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F. National Transit Database (NTD) Disaster Adjustments Policy

    Previously, when a transit provider could not report to the NTD due 
to an ``Act of God'', such as an earthquake, fire, or flood, FTA would 
grant the affected transit provider a ``hold harmless adjustment,'' by 
using the previous year's service data reported to the NTD for that 
transit provider in the apportionment of formula grants for urbanized 
areas. On August 14, 2008, FTA proposed to change this policy and 
initiated notice and comment on the proposal. Effective November 13, 
2008, (73 FR 67247), FTA established a new policy, retroactive to NTD 
Report Year (RY) 2007 data, allowing transit providers that suffer a 
marked decrease in service data due to a natural or man-made disaster 
to receive a similar ``hold harmless adjustment'' in the apportionment 
of formula grants for urbanized areas. This adjustment is not automatic 
and must be requested in writing by either the affected transit 
provider, or the affected designated recipient for the urbanized area. 
FTA will approve or deny each request at its discretion based on the 
following factors: (1) Whether a Federal disaster declaration was in 
place for all or part of the current report year, for either all or 
part of the transit provider's service area; (2) whether the request 
demonstrates that the decrease in transit service from the report year 
before the disaster is in large part due to the ongoing impact of the 
disaster; and (3) whether the request demonstrates that the decrease in 
transit service reasonably appears to be temporary, and does not 
reflect the true transit needs of the urbanized area. FTA will not 
grant adjustment requests that do not address all three factors. 
Adjustment requests should include sufficient documentation to allow 
FTA to evaluate the request based on these factors. FTA may request 
additional information from an applicant for an adjustment to evaluate 
the request based on these factors. A request for an adjustment may 
only be made for one year at a time. Requests for an adjustment related 
to the same disaster may be made in subsequent years, provided that the 
applicant can continue to support its request based on the above 
factors. If the adjustment request is granted, the NTD data in all 
publicly-available data sets and data products would remain unadjusted, 
and would reflect the actual NTD submission for the transit provider. 
The only adjustment would be in using data from the previous full NTD 
Report Year before the disaster occurred in the data sets used for the 
apportionments of formula grants for urbanized areas.
    Further instructions for requesting a ``hold harmless'' adjustment 
will be found in future editions of the NTD Annual Reporting Manual, 
available at http://www.ntdprogram.gov.

IV. FTA Programs

    This section of the notice provides available FY 2009 funding and/
or other important program-related information for the three major FTA 
funding accounts included in the notice (Formula and Bus Grants, 
Capital Investment Grants, and Research Grants). Of the 17 separate FTA 
programs contained in this notice that fall under the major program 
area headings, funding for ten programs is apportioned by statutory or 
administrative formula. Funding for the other seven is allocated on a 
discretionary or competitive basis.
    Funding and/or other important information for each of the 17 
programs is presented immediately below. This includes program 
apportionments or allocations, certain program requirements, length of 
time FY 2009 funding is available for obligation and other significant 
program information pertaining to FY 2009.

A. Metropolitan Planning Program (49 U.S.C. 5305(d))

    Section 5305(d) authorizes federal funding to support a 
cooperative, continuous, and comprehensive planning program for 
transportation investment decision-making at the metropolitan area 
level. The specific requirements of metropolitan transportation 
planning are set forth in 49 U.S.C. 5303 and further explained in 23 
CFR Part 450 as referenced in 49 CFR Part 613, Statewide Transportation 
Planning; Metropolitan Transportation Planning; Final Rule. State 
Departments of Transportation are direct recipients of funds allocated 
by FTA, which are then suballocated to Metropolitan Planning 
Organizations (MPOs) by formula, for planning activities that support 
the economic vitality of the metropolitan area, especially by enabling 
global competitiveness, productivity, and efficiency; increasing the 
safety and security of the transportation system for motorized and non-
motorized users; increasing the accessibility and mobility options 
available to people and for freight; protecting and enhancing the 
environment, promoting energy conservation, and improving quality of 
life; enhancing the integration and connectivity of the transportation 
system, across and between modes, for people and freight; promoting 
efficient system management and operation; and emphasizing the 
preservation of the existing transportation system. This funding must 
support work elements and activities resulting in balanced and 
comprehensive intermodal transportation planning for the movement of 
people and goods in the metropolitan area. Comprehensive transportation 
planning is not limited to transit planning or surface transportation 
planning, but also encompasses the relationships among land use and all 
transportation modes, without regard to the programmatic source of 
Federal assistance. Eligible work elements or activities include, but 
are not limited to studies relating to management, planning, 
operations, capital requirements, and economic feasibility; evaluation 
of previously funded projects; peer reviews and exchanges of technical 
data, information, assistance, and related activities in support of 
planning and environmental analysis among MPOs and other transportation 
planners; work elements and related activities preliminary to and in 
preparation for constructing, acquiring, or improving the operation of 
facilities and equipment. An exhaustive list of eligible work 
activities is provided in FTA Circular 8100.1C, Program Guidance for 
Metropolitan Planning and State Planning and Research Program Grants, 
dated September 1, 2008. For more about the Metropolitan Planning 
Program and the FTA Circular 8100.1C, contact Victor Austin Office of 
Planning and Environment at (202) 366-2996.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $38,068,323 to 
the Metropolitan Planning Program (49 U.S.C. 5305(d)) to support 
metropolitan transportation planning activities set forth in 49 U.S.C. 
5303. The total amount apportioned for the Metropolitan Planning 
Program to States for MPOs' use in urbanized areas (UZAs) is 
37,877,981, as shown in the table below, after the deduction for 
oversight and the addition of prior year reapportioned funds.

                      Metropolitan Planning Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation...................................       $38,068,323
Oversight Deduction...................................          -190,342
                                                       -----------------
    Total Apportioned.................................        37,877,981
------------------------------------------------------------------------

    States' apportionments for this program are displayed in Table 2.

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2. Basis for Formula Apportionments
    As specified in law, 82.72 percent of the amounts authorized for 
Section 5305 are allocated to the Metropolitan Planning program. FTA 
allocates Metropolitan Planning funds to the States according to a 
statutory formula. Eighty percent of the funds are distributed to the 
States as a basic allocation based on each State's UZA population, 
based on the most recent decennial Census. The remaining 20 percent is 
provided to the States as a supplemental allocation based on an FTA 
administrative formula to address planning needs in the larger, more 
complex UZAs. The amount published for each State is a combined total 
of both the basic and supplemental allocation.
3. Program Requirements
    The State allocates Metropolitan Planning funds to MPOs in UZAs or 
portions thereof to provide funds for projects included in an annual 
work program (the Unified Planning Work Program, or UPWP) that includes 
both highway and transit planning projects. Each State has either 
reaffirmed or developed, in consultation with their MPOs, a new 
allocation formula, as a result of the 2000 Census. The State 
allocation formula may be changed annually, but any change requires 
approval by the FTA regional office before grant approval. Program 
guidance for the Metropolitan Planning Program is found in FTA Circular 
8100.1C, Program Guidance for Metropolitan Planning and State Planning 
and Research Program Grants, dated September 1, 2008. For more about 
the Metropolitan Planning Program and the FTA Circular 8100.1C, contact 
Victor Austin of the Office of Planning and Environment at (202) 366-
2996.
4. Period of Availability
    The funds apportioned under the Metropolitan Planning program 
remain available to be obligated by FTA to recipients for four fiscal 
years--which includes the year of apportionment plus three additional 
years. Any apportioned funds that remain unobligated at the close of 
business on September 30, 2012, will revert to FTA for reapportionment 
under the Metropolitan Planning Program.
5. Other Program or Apportionment Related Information and Highlights
    a. Planning Emphasis Areas (PEAs). FTA and FHWA are not issuing new 
PEAs this year, and are rescinding PEAs issued in prior years, in light 
of the priority given to implementation of SAFETEA-LU planning and 
program provisions.
    b. Consolidated Planning Grants. FTA and FHWA planning funds under 
both the Metropolitan Planning and State Planning and Research Programs 
can be consolidated into a single consolidated planning grant (CPG), 
awarded by either FTA or FHWA. The CPG eliminates the need to monitor 
individual fund sources, if several have been used, and ensures that 
the oldest funds will always be used first. Unlike ``flex funds'' for 
capital programs, planning funds from FHWA may be combined with FTA 
planning funds in a single grant. Alternatively, FTA planning funds may 
be transferred to FHWA to be administered as combined grants.
    Under the CPG, States can report metropolitan planning program 
expenditures (to comply with the Single Audit Act) for both FTA and 
FHWA under the Catalogue of Federal Domestic Assistance number for 
FTA's Metropolitan Planning Program (20.505). Additionally, for States 
with an FHWA Metropolitan Planning (PL) fund-matching ratio greater 
than 80 percent, the State can waive the 20 percent local share 
requirement, with FTA's concurrence, to allow FTA funds used for 
metropolitan planning in a CPG to be granted at the higher FHWA rate. 
For some States, this Federal match rate can exceed 90 percent.
    States interested in transferring planning funds between FTA and 
FHWA should contact the FTA Regional Office or FHWA Division Office for 
more detailed procedures. Current guidelines are included in Federal 
Highway Administration Memorandum dated July 12, 2007, ``Information: 
Final Transfers to Other Agencies that Administer Title 23 Programs.''
    For further information on CPGs, contact Kristen Clarke, Office of 
Budget and Policy, FTA, at (202) 366-1686, Ken Johnson, Office of 
Program Management, FTA, at (202) 366-1659, or Kenneth Petty, Office of 
Planning and Environment, FHWA, at (202) 366-6654.

B. State Planning and Research Program (49 U.S.C. 5305(e))

    This program provides financial assistance to States for Statewide 
transportation planning and other technical assistance activities, 
including supplementing the technical assistance program provided 
through the Metropolitan Planning program. The specific requirements of 
Statewide transportation planning are set forth in 49 U.S.C. 5304 and 
further explained in 23 CFR Part 450 as referenced in 49 CFR Part 613, 
Statewide Transportation Planning; Metropolitan Transportation 
Planning; Final Rule. This funding must support work elements and 
activities resulting in balanced and comprehensive intermodal 
transportation planning for the movement of people and goods. 
Comprehensive transportation planning is not limited to transit 
planning or surface transportation planning, but also encompasses the 
relationships among land use and all transportation modes, without 
regard to the programmatic source of Federal assistance. For more 
information, contact Victor Austin of the Office of Planning and 
Environment at (202) 366-2996.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $7,952,377 to the 
State Planning and Research Program (49 U.S.C. 5305). The total amount 
apportioned for the State Planning and Research Program (SPRP) is 
$7,912,615, as shown in the table below, after the deduction for 
oversight (authorized by 49 U.S.C. 5327).

                   State Planning and Research Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation...................................        $7,952,377
Oversight Deduction...................................           -39,762
                                                       -----------------
    Total Apportioned.................................         7,912,615
------------------------------------------------------------------------

    State apportionments for this program are displayed in Table 2.
2. Basis for Apportionment Formula
    As specified in law, 17.28 percent of the amounts authorized for 
Section 5305 are allocated to the State Planning and Research program. 
FTA apportions funds to States by a statutory formula that is based on 
the most recent decennial Census, and the State's UZA population as 
compared to the UZA population of all States.
3. Requirements
    Funds are provided to States for Statewide transportation planning 
programs. These funds may be used for a variety of purposes such as 
planning, technical studies and assistance, demonstrations, and 
management training. In addition, a State may authorize a portion of 
these funds to be used to supplement Metropolitan Planning funds 
allocated by the State to its UZAs, as the State deems appropriate. 
Program guidance for the State Planning and Research program is found 
in FTA Circular 8100.1C. This funding must support work elements and 
activities resulting in balanced and comprehensive intermodal

[[Page 77348]]

transportation planning for the movement of people and goods. 
Comprehensive transportation planning is not limited to transit 
planning or surface transportation planning, but also encompasses the 
relationships among land use and all transportation modes, without 
regard to the programmatic source of Federal assistance. Eligible work 
elements or activities include, but are not limited to studies relating 
to management, planning, operations, capital requirements, and economic 
feasibility; evaluation of previously funded projects; peer reviews and 
exchanges of technical data, information, assistance, and related 
activities in support of planning and environmental analysis; work 
elements and related activities preliminary to and in preparation for 
constructing, acquiring, or improving the operation of facilities and 
equipment. An exhaustive list of eligible work activities is provided 
in FTA Circular 8100.1C, Program Guidance for Metropolitan Planning and 
State Planning and Research Program Grants, dated September 1, 2008. 
For more information, contact Victor Austin, Office of Planning and 
Environment at (202) 366-2996.
4. Period of Availability
    The funds apportioned under the State Planning and Research program 
remain available to be obligated by FTA to recipients for four fiscal 
years--which include the year of apportionment plus three additional 
fiscal years. Any apportioned funds that remain unobligated at the 
close of business on September 30, 2012, will revert to FTA for 
reapportionment under the State Planning and Research Program.
5. Other Program or Apportionment Related Information and Highlights
    See Section A5 for information about Planning Emphasis Areas and 
CPGs.

C. Urbanized Area Formula Program (49 U.S.C. 5307)

    Section 5307 authorizes Federal capital and operating assistance, 
in some cases, for transit in Urbanized Areas (UZAs). A UZA is an area 
with a population of 50,000 or more that has been defined and 
designated as such in the most recent decennial Census by the U.S. 
Census Bureau. The Urbanized Area Formula Program funds may also be 
used to support planning activities, and may supplement to planning 
projects funded under the Metropolitan Planning program described 
above. Urbanized Areas Formula Program funds used for planning must be 
shown in the UPWP for MPO(s) with responsibility for that area. Funding 
is apportioned directly to each UZA with a population of 200,000 or 
more, and to the State Governors for UZAs with populations between 
50,000 and 200,000. Eligible applicants are limited to entities 
designated as recipients in accordance with 49 U.S.C. 5307(a)(2) and 
other public entities with the consent of the Designated Recipient. 
Generally, operating assistance is not an eligible expense for UZAs 
with populations of 200,000 or more. However, there are several 
exceptions to this restriction. The exceptions are described in section 
3(d)(5) below.
    For more information about the Urbanized Area Formula Program 
contact Scott Faulk, Office of Transit Programs, at (202) 366-1660.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $1,682,053,574 to 
the Urbanized Area Formula Program (49 U.S.C. 5307). The total amount 
apportioned for the Urbanized Area Formula Program is $1,828,187,915 as 
shown in the table below, after the 0.75 percent deduction for 
oversight (authorized by 49 U.S.C. 5327) and including funds 
apportioned to UZAs from the appropriation for Section 5340 for Growing 
States and High Density States.

                     Urbanized Area Formula Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation..................................     $1,682,053,574
                                                                     \a\
Oversight Deduction..................................        -12,615,402
Section 5340 Funds Added.............................        158,749,743
                                                      ------------------
    Total Apportioned................................      1,828,187,915
------------------------------------------------------------------------
\a\ One percent set-aside for Small Transit Intensive Cities Formula.

    Table 3 displays the amounts apportioned under the Urbanized Area 
Formula Program.
2. Basis for Formula Apportionment
    FTA apportions Urbanized Area Formula Program funds based on 
legislative formulas. Different formulas apply to UZAs with populations 
of 200,000 or more and to UZAs with populations less than 200,000. For 
UZAs with 50,000 to 199,999 in population, the formula is based solely 
on population and population density. For UZAs with populations of 
200,000 and more, the formula is based on a combination of bus revenue 
vehicle miles, bus passenger miles, fixed guideway revenue vehicle 
miles, and fixed guideway route miles, as well as population and 
population density. Table 4 includes detailed information about the 
formulas.
    To calculate a UZA's FY 2009 apportionment, FTA used population and 
population density statistics from the 2000 Census and (when 
applicable) validated mileage and transit service data from transit 
providers' 2007 National Transit Database (NTD) Report Year. Pursuant 
to 49 U.S.C. 5336(b), FTA used 60 percent of the directional route 
miles attributable to the Alaska Railroad passenger operations system 
to calculate the apportionment for the Anchorage, Alaska UZA.
    We have calculated dollar unit values for the formula factors used 
in the Urbanized Area Formula Program apportionment calculations. These 
values represent the amount of money each unit of a factor is worth in 
this year's apportionment. The unit values change each year, based on 
all of the data used to calculate the apportionments. The dollar unit 
values for FY 2009 are displayed in Table 5. To replicate the basic 
formula component of a UZA's apportionment, multiply the dollar unit 
value by the appropriate formula factor (i.e., the population, 
population x population density), and when applicable, data from the 
NTD (i.e., route miles, vehicle revenue miles, passenger miles, and 
operating cost).
    In FY 2009, one percent of funds appropriated for Section 5307, or 
$16,820,536 based on the Continuing Appropriations Act, is set aside 
for Small Transit Intensive Cities (STIC). FTA apportions these funds 
to UZAs under 200,000 in population that operate at a level of service 
equal to or above the industry average level of service for all UZAs 
with a population of at least 200,000, but not more than 999,999, in 
one or more of six performance categories: Passenger miles traveled per 
vehicle revenue mile, passenger miles traveled per vehicle revenue 
hour, vehicle revenue miles per capita, vehicle revenue hours per 
capita, passenger miles traveled per capita, and passengers per capita.
    The data for these categories for the purpose of FY 2009 
apportionments comes from the NTD reports for the 2007 reporting year. 
This data is used to determine a UZA's eligibility under the STIC 
formula, and is also used in the STIC apportionment calculations. 
Because these performance data change with each year's NTD reports, the 
UZAs eligible for STIC funds and the amount each receives may vary each 
year. In FY 2009, FTA apportioned $56,826 for each performance factor/
category for which the urbanized area exceeded the national average for 
UZAs with a

[[Page 77349]]

population of at least 200,000 but not more than 999,999.
    In addition to the funds apportioned to UZAs, according to the 
Section 5307 formula factors contained in 49 U.S.C. 5336, FTA also 
apportions funds to urbanized areas under Section 5340 Growing States 
and High Density States formula factors. In FY 2009, FTA apportions 
$64,557,843 to 453 UZA's in all 50 States and $94,191,900 to 46 UZAs in 
seven High Density States. Half of the funds appropriated for Section 
5340 are available to Growing States and half to High Density States. 
FTA apportions Growing States funds by a formula based on State 
population forecasts for 15 years beyond the most recent Census. FTA 
distributes the amounts apportioned for each State between UZAs and 
nonurbanized areas based on the ratio of urbanized/nonurbanized 
population within each State in the 2000 census, and to UZAs 
proportionately based on UZA population in the 2000 census because 
population estimates are not available at the UZA level. FTA apportions 
the High Density States funds to States with population densities in 
excess of 370 persons per square mile. These funds are apportioned only 
to UZAs within those States. FTA pro-rates each UZA's share of the High 
Density funds based on the population of the UZAs in the State in the 
2000 census.
    FTA cannot provide unit values for the Growing States or High 
Density formulas because the allocations to individual States and 
urbanized areas are based on their relative population data, rather 
than on a national per capita basis.
    Based on language in the conference report accompanying SAFETEA-LU, 
FTA is to show a single apportionment amount for Section 5307, STIC and 
Section 5340. FTA shows a single Section 5307 apportionment amount for 
each UZA in Table 3, the Urbanized Area Formula apportionments. The 
amount includes funds apportioned based on the Section 5307 formula 
factors, any STIC funds, and any Growing States and High Density States 
funding allocated to the area. FTA uses separate formulas to calculate 
and generate the respective apportionment amounts for the Section 5307, 
STIC and Section 5340. For technical assistance purposes, the UZAs that 
received STIC funds are listed in Table 6. FTA will make available 
breakouts of the funding allocated to each UZA under these formulas, 
upon request to the regional office.
3. Program Requirements
    Program guidance for the Urbanized Area Formula Program is 
presently found in FTA Circular C9030.1C, Urbanized Area Formula 
Program: Grant Application Instructions, dated October 1, 1998, and 
supplemented by additional information or changes provided in this 
document. FTA is in the process of updating the circular. Several 
important program requirements are highlighted below.
a. Urbanized Area Formula Apportionments to Governors
    For small UZAs, those with a population of less than 200,000, FTA 
apportions funds to the Governor of each State for distribution. A 
single total Governor's apportionment amount for the Urbanized Area 
Formula, STIC, and Growing States and High Density States is shown in 
the Urbanized Area Formula Apportionment Table 3. The table also shows 
the apportionment amount attributable to each small UZA within the 
State. The Governor may determine the sub-allocation of funds among the 
small UZAs except that funds attributed to a small UZA that is located 
within the planning boundaries of a Transportation Management Area 
(TMA) must be obligated to that small UZA, as discussed in subsection f 
below.
b. Transit Enhancements
    Section 5307(d)(1)(K) requires that one percent of Section 5307 
funds apportioned to UZAs with populations of 200,000 or more be spent 
on eligible transit enhancement activities or projects. This 
requirement is now treated as a certification, rather than as a set-
aside as was the case under the Transportation Equity Act for the 21st 
Century (TEA-21). Designated recipients in UZAs with populations of 
200,000 or more certify they are spending not less than one percent of 
Section 5307 funds for transit enhancements. In addition, Designated 
Recipients must submit an annual report on how they spent the money 
with the Federal fiscal year's final quarterly progress report in TEAM-
Web. The report should include the following elements: (a) Grantee 
name; (b) UZA name and number; (c) FTA project number; (d) transit 
enhancement category; (e) brief description of enhancement and progress 
towards project implementation; (f) activity line item code from the 
approved budget; and (g) amount awarded by FTA for the enhancement. The 
list of transit enhancement categories and activity line item (ALI) 
codes may be found in the table of Scope and ALI codes on TEAM-Web, 
which can be accessed at http://FTATEAMWeb.fta.dot.gov.
    The term ``transit enhancement'' includes projects or project 
elements that are designed to enhance public transportation service or 
use and are physically or functionally related to transit facilities. 
Eligible enhancements include the following: (1) Historic preservation, 
rehabilitation, and operation of historic mass transportation 
buildings, structures, and facilities (including historic bus and 
railroad facilities); (2) bus shelters; (3) landscaping and other 
scenic beautification, including tables, benches, trash receptacles, 
and street lights; (4) public art; (5) pedestrian access and walkways; 
(6) bicycle access, including bicycle storage facilities and installing 
equipment for transporting bicycles on mass transportation vehicles; 
(7) transit connections to parks within the recipient's transit service 
area; (8) signage; and (9) enhanced access for persons with 
disabilities to mass transportation.
    It is the responsibility of the MPO to determine how the one-
percent for transit enhancements will be allotted to transit projects. 
The one percent minimum requirement does not preclude more than one 
percent from being expended in a UZA for transit enhancements. However, 
activities that are only eligible as enhancements--in particular, 
operating costs for historic facilities--may be assisted only within 
the one-percent funding level.
c. Transit Security Projects
    Pursuant to section 5307(d)(1)(J), each recipient of Urbanized Area 
Formula funds must certify that of the amount received each fiscal 
year, it will expend at least one percent on ``public transportation 
security projects'' or must certify that it has decided the expenditure 
is not necessary. For applicants not eligible to receive Section 5307 
funds for operating assistance, only capital security projects may be 
funded with the one percent. SAFETEA-LU, however, expanded the 
definition of eligible ``capital'' projects to include specific crime 
prevention and security activities, including: (1) Projects to refine 
and develop security and emergency response plans; (2) projects aimed 
at detecting chemical and biological agents in public transportation; 
(3) the conduct of emergency response drills with public transportation 
agencies and local first response agencies; and (4) security training 
for public transportation employees, but excluding all expenses related 
to operations, other than such

[[Page 77350]]

expenses incurred in conducting emergency drills and training. ALI 
codes have been established for these four new capital activities. The 
one percent may also include security expenditures included within 
other capital activities, and, where the recipient is eligible, 
operating assistance. The relevant ALI codes would be used for those 
activities.
    FTA is often called upon to report to Congress and others on how 
grantees are expending Federal funds for security enhancements. To 
facilitate tracking of grantees' security expenditures, which are not 
always evident when included within larger capital or operating 
activity line items in the grant budget, we have established a non-
additive (``non-add'') scope code for security expenditures--Scope 991. 
The non-add scope is to be used to aggregate activities included in 
other scopes, and it does not increase the budget total. Section 5307 
grantees should include this non-add scope in the project budget for 
each new Section 5307 grant application or amendment. Under this non-
add scope, the applicant should repeat the full amount of any of the 
line items in the budget that are exclusively for security and include 
the portion of any other line item in the project budget that is 
attributable to security, using under the non-add scope the same line 
item used in the project budget. The grantee can modify the ALI 
description or use the extended text feature, if necessary, to describe 
the security expenditures.
    The grantee must provide information regarding its use of the one 
percent for security as part of each Section 5307 grant application, 
using a special screen in TEAM-Web. If the grantee has certified that 
it is not necessary to expend one percent for security, the Section 
5307 grant application must include information to support that 
certification. FTA will not process an application for a Section 5307 
grant until the security information is complete.
d. FY 2009 Operating Assistance
    UZAs under 200,000 in population may use Section 5307 funds for 
operating assistance. In addition, Section 5307, as amended by, 
SAFETEA-LU and TEA-21, allows some UZAs with a population of 200,000 or 
more to use FY 2009 Urbanized Area Formula funds for operating 
assistance under certain conditions. The specific provisions allowing 
the limited use of operating assistance in large UZAs are as follows:
    (1) Section 5307(b)(1)(E) provides for grants for the operating 
costs of equipment and facilities for use in public transportation in 
the Evansville, IN-KY urbanized area, for a portion or portions of the 
UZA if the portion of the UZA includes only one State, the population 
of the portion is less than 30,000, and the grants will be not used to 
provide public transportation outside of the portion of the UZA.
    (2) Section 5307(b)(1)(F) provides operating costs of equipment and 
facilities for use in public transportation for local governmental 
authorities in areas which adopted transit operating and financing 
plans that became a part of the Houston, Texas, UZA as a result of the 
2000 decennial census of population, but lie outside the service area 
of the principal public transportation agency that serves the Houston 
UZA.
    (3) Section 5336(a)(2) prescribes the formula to be used to 
apportion Section 5307 funds to UZAs with population of 200,000 or 
more. SAFETEA-LU amended 5336(a)(2) to add language that stated, ``* * 
* except that the amount apportioned to the Anchorage urbanized area 
under subsection (b) shall be available to the Alaska Railroad for any 
costs related to its passenger operations.'' This language has the 
effect of directing that funds apportioned to the Anchorage urbanized 
area, under the fixed guideway tiers of the Section 5307 apportionment 
formula, be made available to the Alaska Railroad, and that these funds 
may be used for any capital or operating costs related to its passenger 
operations.
    (4) Section 3027(c)(3) of TEA-21, as amended (49 U.S.C. 5307 note), 
provides an exception to the restriction on the use of operating 
assistance in a UZA with a population of 200,000 or more, by allowing 
transit providers/grantees that provide service exclusively to elderly 
persons and persons with disabilities and that operate 20 or fewer 
vehicles to use Section 5307 funds apportioned to the UZA for operating 
assistance. The total amount of funding made available for this purpose 
under Section 3027(c)(3) is $1.4 million. Transit providers/grantees 
eligible under this provision have already been identified and 
notified.
    (5) Pursuant to the SAFETEA-LU Technical Corrections Act, 2008, in 
FY 2009, section 5307(b)(2) allows (1) UZAs that grew in population 
from under 200,000 to over 200,000 or that were under 200,000 but 
merged into another urbanized area and the population is over 200,000, 
as a result of the 2000 Census to use Section 5307 funds for operating 
assistance in an amount up to 50 percent of the grandfathered amount 
for FY 2002 funds; (2) Areas that were nonurbanized under the 1990 
Census and became urbanized, as a result of the 2000 Census, to use no 
more than 50 percent of the amount apportioned to the area for FY 2003 
for operating assistance; and (3) nonurbanized areas under the 1990 
Census that merged into urbanized areas over 200,000, as a result of 
the 2000 Census, to use 50 percent of the amount the area received in 
FY 2002 Section 5311 funding for operating assistance.
e. Sources of Local Match
    Pursuant to Section 5307(e), the Federal share of an urbanized area 
formula grant is 80 percent of net project cost for a capital project 
and 50 percent of net project cost for operating assistance unless the 
recipients project a greater local share. The remainder of the net 
project cost (i.e., 20 percent and 50 percent, respectively) shall be 
provided from the following sources:
    1. In cash from non-Government sources other than revenues from 
providing public transportation services;
    2. From revenues derived from the sale of advertising and 
concessions;
    3. From an undistributed cash surplus, a replacement or 
depreciation cash fund or reserve, or new capital;
    4. From amounts received under a service agreement with a State or 
local social service agency or private social service organization; and
    5. Proceeds from the issuance of revenue bonds.
    In addition, funds from Section 403(a)(5)(C)(vii) of the Social 
Security Act (42 U.S.C. 603(a)(5)(C)(vii)) can be used to match 
Urbanized Area Formula funds.
f. Designated Transportation Management Areas (TMA)
    Guidance for setting the boundaries of TMAs is in the joint 
transportation planning regulations codified at 23 CFR Part 450 as 
reference in 49 CFR Part 613. In some cases, the TMA planning 
boundaries established by the MPO for the designated TMA includes one 
or more small UZAs. In addition, one small UZA (Santa Barbara, CA) has 
been designated as a TMA. In either of these situations, the Governor 
cannot allocate ``Governor's Apportionment'' funds attributed to the 
small UZAs to other areas; that is, the Governor only has discretion to 
allocate Governor's Apportionment funds attributable to areas that are 
outside of designated TMA planning boundaries.
    The list of small UZAs included within the planning boundaries of

[[Page 77351]]

designated TMAs is provided in the table below.

------------------------------------------------------------------------
                                  Small urbanized area included in TMA
        Designated TMA                     planning boundary
------------------------------------------------------------------------
 Albany, NY..................  Saratoga Springs, NY.
 Houston, TX.................  Galveston, TX; Lake Jackson-Angleton, TX;
                                Texas City, TX; The Woodlands, TX.
 Jacksonville, FL............  St. Augustine, FL.
 Orlando, FL.................  Kissimmee, FL.
 Palm Bay-Melbourne, FL......  Titusville, FL.
 Philadelphia, PA-NJ-DE-MD...  Pottstown, PA.
 Pittsburg, PA...............  Monessen, PA; Weirton, WV-Steubenville,
                                OH-PA (PA portion); Uniontown-
                                Connellsville, PA.
 Seattle, WA.................  Bremerton, WA.
 Washington, DC-VA-MD........  Frederick, MD.
------------------------------------------------------------------------

    The MPO must notify the Associate Administrator for Program 
Management, Federal Transit Administration, 1200 New Jersey Avenue, 
SE., Washington, DC 20590, in writing, no later than July 1 of each 
year, to identify any small UZA within the planning boundaries of a 
TMA.
g. Urbanized Area Formula Funds Used for Highway Purposes
    Funds apportioned to a TMA are eligible for transfer to FHWA for 
highway projects, if the Designated Recipient has allocated a portion 
of the areas section 5307 funding for such use. However, before funds 
can be transferred, the following conditions must be 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.
    The MPO should notify the appropriate FTA Regional Administrator of 
its intent to use FTA funds for highway purposes, as prescribed in 
section V.D below. Urbanized Area Formula funds that are designated by 
the MPO for highway projects will be transferred to and administered by 
FHWA.
4. Period of Availability
    The Urbanized Area Formula Program funds apportioned in this notice 
remain available to be obligated during the year of appropriation plus 
three additional years. Accordingly, these funds must be obligated by 
FTA to recipients by September 30, 2012. Any of these apportioned funds 
that remain unobligated at the close of business on September 30, 2012, 
will revert to FTA for reapportionment under the Urbanized Area Formula 
Program.
5. Other Program or Apportionment Related Information and Highlights
    In each UZA with a population of 200,000 or more, the Governor in 
consultation with responsible local officials, and publicly owned 
operators of public transportation has designated one or more entities 
to be the Designated Recipient for Section 5307 funds apportioned to 
the UZA. The same entity(s) may or may not be the Designated Recipient 
for the Job Access and Reverse Commute (JARC) and New Freedom program 
funds apportioned to the UZA. In UZAs under 200,000 in population, the 
State is the Designated Recipient for Section 5307 as well as JARC and 
New Freedom programs. The Designated Recipient for Section 5307 may 
authorize other entities to apply directly to FTA for Section 5307 
grants pursuant to a supplemental agreement. While the requirement that 
projects selected for funding be included in a locally developed 
coordinated public transit/human service transportation plan is not 
included in Section 5307 as it is in Sections 5310, 5316 (JARC) and 
5317 (New Freedom), FTA expects that in their role as public transit 
providers, recipients of Section 5307 funds will be participants in the 
local planning process for these programs.

D. Clean Fuels Grant Program (49 U.S.C. 5308)

    The Clean Fuels Grant Program supports the use of alternative fuels 
in air quality maintenance or nonattainment areas for ozone or carbon 
monoxide through capital grants to urbanized areas for clean fuel 
vehicles and facilities. Previously an unfunded Formula Program under 
TEA-21, the program is now a discretionary program. For more 
information about this program, contact Kimberly Sledge, Office of 
Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $21,074,900 to 
the Clean Fuels Grant Program (49 U.S.C. 5308). FTA will publish 
project allocations in a supplemental notice when all program funds 
have been made available.
2. Requirements
    Clean Fuels program funds may be made available to any grantee in a 
UZA that is designated as maintenance or nonattainment area for ozone 
or carbon monoxide as defined in the Clean Air Act. Eligible recipients 
include Section 5307 Designated Recipients as well as recipients in 
small UZAs. In the case of a small UZA, the State in which the area is 
located will act as the recipient.
    Eligible projects include the purchase or lease of clean fuel buses 
(including buses that employ a lightweight composite primary 
structure), the construction or lease of clean fuel buses or electrical 
recharging facilities and related equipment for such buses, and 
construction or improvement of public transportation facilities to 
accommodate clean fuel buses.
    Legislation will be necessary if a recipient wishes to use Clean 
Fuels funds earmarked in SAFETEA-LU for eligible program activities 
outside the scope of a project description.
    Unless otherwise specified in law, grants made under the Clean 
Fuels program must meet all other eligibility requirements as outlined 
in Section 5308.
3. Period of Availability
    Funds designated for specific Clean Fuels Program projects remain 
available for obligation for three fiscal years, which includes the 
year of appropriation plus two additional fiscal years. The FY 2009 
funding for projects will remain available through September 30, 2011. 
Clean Fuels funds not obligated in an FTA grant for eligible purposes 
at the end of the period of availability will generally be made 
available for other projects.

[[Page 77352]]

5. Other Program or Allocation Related Information and Highlights
    Prior year unobligated balances for Clean Fuel allocations in the 
amount of $46,862,483 remain available for obligation in FY 2009. This 
includes $6,690,000 in FY 2007 and $40,172,483 in FY 2008 unobligated 
allocations. The unobligated amounts available as of September 30, 
2008, are displayed in Table 7.

E. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway 
Modernization

    This program provides capital assistance for the modernization of 
existing fixed guideway systems. Funds are allocated by a statutory 
formula to UZAs with fixed guideway systems that have been in operation 
for at least seven years. A ``fixed guideway'' refers to any transit 
service that uses exclusive or controlled rights-of-way or rails, 
entirely or in part. The term includes heavy rail, commuter rail, light 
rail, monorail, trolleybus, aerial tramway, inclined plane, cable car, 
automated guideway transit, ferryboats, that portion of motor bus 
service operated on exclusive or controlled rights-of-way, and high-
occupancy-vehicle (HOV) lanes. Eligible applicants are the public 
transit authorities in those urbanized areas to which the funds are 
allocated. For more information about Fixed Guideway Modernization 
contact Scott Faulk, Office of Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $675,257,000 to 
the Fixed Guideway Modernization Program. The total amount apportioned 
for the Fixed Guideway Modernization Program is $668,504,430, after the 
deduction for oversight, and addition of prior year reapportioned 
funds, as shown in the table below.

                  Fixed Guideway Modernization Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation...................................      $675,257,000
Oversight Deduction...................................        -6,752,570
                                                       -----------------
    Total Apportioned.................................       668,504,430
------------------------------------------------------------------------

The FY 2009 Fixed Guideway Modernization Program apportionments to 
eligible areas are displayed in Table 8.
2. Basis for Formula Apportionment
    The formula for allocating the Fixed Guideway Modernization funds 
contains seven tiers. The apportionment of funding under the first four 
tiers is based on amounts specified in law and NTD data used to 
apportion funds in FY 1997. Funding under the last three tiers is 
apportioned based on the latest available data on route miles and 
revenue vehicle miles on segments at least seven years old, as reported 
to the NTD. Section 5337(f) of title 49, U.S.C. provides for the 
inclusion of Morgantown, West Virginia (population 55,997) as an 
eligible UZA for purposes of apportioning fixed guideway modernization 
funds. Also, pursuant to 49 U.S.C. 5336(b) FTA used 60 percent of the 
directional route miles attributable to the Alaska Railroad passenger 
operations system to calculate the apportionment for the Anchorage, 
Alaska UZA under the Section 5309 Fixed Guideway Modernization formula.
    FY 2009 Formula apportionments are based on data grantees provided 
to the NTD for the 2007 reporting year. Table 9 provides additional 
information and details on the formula. Dollar unit values for the 
formula factors used in the Fixed Guideway Modernization Program are 
displayed in Table 5. To replicate an area's apportionment, multiply 
the dollar unit value by the appropriate formula factor, i.e., route 
miles and revenue vehicle miles.
3. Program Requirements
    Fixed Guideway Modernization funds must be used for capital 
projects to maintain, modernize, or improve fixed guideway systems. 
Eligible UZAs (those with a population of 200,000 or more) with fixed 
guideway systems that are at least seven years old are entitled to 
receive Fixed Guideway Modernization funds. A threshold level of more 
than one mile of fixed guideway is required in order to receive Fixed 
Guideway Modernization funds. Therefore, UZAs reporting one mile or 
less of fixed guideway mileage under the NTD are not included. However, 
funds apportioned to an urbanized area may be used on any fixed 
guideway segment in the UZA. Program guidance for Fixed Guideway 
Modernization is presently found in FTA Circular C9300.1B, Capital 
Facilities and Formula Grant Programs, dated November 1, 2008.
4. Period of Availability
    The funds apportioned in this notice under the Fixed Guideway 
Modernization Program remain available to be obligated by FTA to 
recipients during the year of appropriation plus three additional 
years. FY 2009 Fixed Guideway Modernization funds that remain 
unobligated at the close of business on September 30, 2012, will revert 
to FTA for reapportionment under the Fixed Guideway Modernization 
Program.

F. Capital Investment Program (49 U.S.C. 5309)--Bus and Bus-Related 
Facilities

    This program provides capital assistance for new and replacement 
buses, and related equipment and facilities. Funds are allocated on a 
discretionary basis. Eligible purposes are acquisition of buses for 
fleet and service expansion, bus maintenance and administrative 
facilities, transfer facilities, bus malls, transportation centers, 
intermodal terminals, park-and-ride stations, acquisition of 
replacement vehicles, bus rebuilds, bus preventive maintenance, 
passenger amenities such as passenger shelters and bus stop signs, 
accessory and miscellaneous equipment such as mobile radio units, 
supervisory vehicles, fare boxes, computers, and shop and garage 
equipment. Eligible applicants are State and local governmental 
authorities. Eligible subrecipients include other public agencies, 
private companies engaged in public transportation and private non-
profit organizations. For more information about Bus and Bus-Related 
Facilities contact Kimberly Sledge, Office of Transit Programs, at 
(202) 366-2053.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $350,455,128 for 
the Bus and Bus-Related Facilities program. FTA will publish project 
allocations in a supplemental notice when all program funds have been 
made available.
    The SAFETEA-LU Technical Corrections Act of 2008 extended funds 
made available for FY 2006 SAFTETEA-LU projects number 176 and 652. 
Funds for these projects remain available until September 30, 2009 and 
are shown in Table 10.
2. Requirements
    FTA honors Congressional earmarks for the purpose designated, for 
purposes eligible under the program or under the expanded eligibility 
of a ``notwithstanding'' provision. Projects designated for funding in 
the report language accompanying the Consolidated Appropriations Act, 
2008, were incorporated as earmarks into the Act by reference. FTA will 
treat these projects as projects designated in law. To apply to use 
funds designated in report language under the Bus Program in any year 
for project activities outside the scope of the project designation 
included in report language, the recipient must submit a request for 
reprogramming to the House and Senate

[[Page 77353]]

Committees on Appropriations for resolution.
    FTA will continue to honor projects earmarked to receive Section 
5309 bus funds in SAFETEA-LU for fiscal years 2007 and 2008 as well as 
projects earmarked by reference in the Consolidated Appropriations Act, 
2008. Legislation will be necessary to amend the earmark if you wish to 
use funds for project activities outside the scope of the project 
description.
    Grants made under the Bus and Bus-Related Facilities program must 
meet all other eligibility requirements as outlined in Section 5309 
unless otherwise specified in law.
    Program guidance for Bus and Bus-Related Facilities is found in FTA 
Circular C9300.1B, ``Capital Investment Program Guidance and 
Application Instructions,'' (November 1, 2008).
3. Period of Availability
    The FY 2007 and FY 2008 Bus and Bus-Related Facilities funds not 
obligated in a grant for eligible purposes as of September 30, 2009 and 
September 30, 2010, respectively, may be made available for other 
projects under 49 U.S.C. 5309.
4. Other Program or Allocation Related Information and Highlights
    Prior year unobligated balances for Bus and Bus-Related allocations 
in the amount of $665,031,952 remain available for obligation in FY 
2009. This includes $1,772,317 for FY 2006 earmarks extended in the 
SAFETEA-LU Technical Corrections Act, 2008; $197,666,184 in FY 2007 
unobligated allocations (earmarked and discretionary projects); and 
$465,593,451in FY 2008 unobligated allocations. The unobligated amounts 
available as of September 30, 2008, are displayed in Table 10. The FTA 
will issue a supplemental notice at a later date that identifies 
project funds that are redirected to other eligible activities or 
extended to the original project by subsequent action. Project funding 
that was extended or redirected under the SAFETEA-LU Technical 
Corrections Act of 2008 are listed above in section 1 and also included 
in Table 10.

G. Capital Investment Program (49 U.S.C. 5309)--New Starts

    The New Starts program provides funds for construction of new fixed 
guideway systems or extensions to existing fixed guideway systems. 
Eligible purposes are light rail, rapid rail (heavy rail), commuter 
rail, monorail, automated fixed guideway system (such as a ``people 
mover''), or a busway/high occupancy vehicle (HOV) facility, Bus Rapid 
Transit that is fixed guideway, or an extension of any of these. 
Projects become candidates for funding under this program by 
successfully completing the appropriate steps in the major capital 
investment planning and project development process. Major new fixed 
guideway projects, or extensions to existing systems, financed with New 
Starts funds typically receive these funds through a full funding grant 
agreement (FFGA) that defines the scope of the project and specifies 
the total multi-year Federal commitment to the project. Beginning in FY 
2007, up to $200,000,000 each year is designated for ``Small Starts'' 
(Section 5309(e)) projects with a New Starts share of less than 
$75,000,000 and a net project cost of less than $250,000,000.
    For more information about New Starts project development contact 
Elizabeth Day, Office of Planning and Environment, at (202) 366-4033, 
or for information about published allocations contact Kimberly Sledge, 
Office of Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $668,117,803 to 
New Starts. The total amount allocated for New Starts is $430,252,472, 
as shown in the table below.

                 Capital Investment Program (New Starts)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation...................................      $674,866,468
Oversight (one percent)...............................        -6,748,665
Undistributed Amount..................................       237,865,331
                                                       -----------------
    Total Allocated...................................       430,252,472
------------------------------------------------------------------------

2. Basis for Allocation
    Congress included authorizations for specific New Starts projects 
with Full Funding Grant Agreements (FFGA) in SAFETEA-LU. Under the 
Continuing Appropriations Act, 2009, FFGAs have been allocated 5/12ths 
and the one percent statutory project management oversight takedown has 
been applied. Funds allocated to specific projects are shown in Table 
11.
3. Requirements
    Because New Starts projects are earmarked in law rather than report 
language, reprogramming for a purpose other than that specified must 
also occur in law. New Starts projects are subject to a complex set of 
approvals related to planning and project development set forth in 49 
CFR Part 611. FTA has published a number of rulemakings and interim 
guidance documents related to the New Starts program since the passage 
of SAFETEA-LU. Grantees should reference the FTA Web site at http://www.fta.dot.gov for the most current program guidance about project 
developments and management. Grant related guidance for New Starts is 
found in FTA Circular C9300.1B, Capital Investment Program Guidance and 
Application Instructions dated November 1, 2008; and C5200.1A, Full 
Funding Grant Agreement Guidance, dated December 5, 2002.
4. Period of Availability
    New Starts funds remain available for three fiscal years (including 
the fiscal year the funds are made available or appropriated plus two 
additional years). FY 2009 funds remain available through September 30, 
2011. Funds may be made available for other section 5309 projects after 
the period of availability has expired.
5. Other Program or Apportionment Related Information and Highlights
    Prior year unobligated allocations for New Starts in the amount of 
$325,627,924 remain available for obligation in FY 2009. This amount 
includes $62,712,383 in FY 2007 and $262,915,541 in FY 2008 unobligated 
allocations. These unobligated amounts are displayed in Table 12.

H. Special Needs of Elderly Individuals and Individuals With 
Disabilities Program (49 U.S.C. 5310)

    This program provides formula funding to States for capital 
projects to assist private nonprofit groups in meeting the 
transportation needs of the elderly and individuals with disabilities 
when the public transportation service provided in the area is 
unavailable, insufficient, or inappropriate to meet these needs. A 
State agency designated by the Governor administers the Section 5310 
program. The State's responsibilities include: Notifying eligible local 
entities of funding availability; developing project selection 
criteria; determining applicant eligibility; selecting projects for 
funding; and ensuring that all subrecipients comply with Federal 
requirements. Eligible nonprofit organizations or public bodies must 
apply directly to the designated State agency for assistance under this 
program. For more information about the Elderly and Individuals with 
Disabilities Program contact David Schneider, Office of Transit 
Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $54,622,700 to 
the Elderly and Individuals with Disabilities Program (49 U.S.C. 5310).

[[Page 77354]]

After deduction of 0.5 percent for oversight, and the addition of 
reapportioned prior year funds, $54,349,586 remains available for 
allocation to the States.

            Elderly and Individuals With Disabilities Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation...................................       $54,622,700
Oversight Deduction...................................          -273,113
                                                       -----------------
    Total Apportioned.................................        54,349,587
------------------------------------------------------------------------

    The FY 2009 Elderly and Individuals with Disabilities Program 
apportionments to the States are displayed in Table 13.
2. Basis for Apportionment
    FTA allocates funds to the States by an administrative formula 
consisting of a $125,000 floor for each State ($50,000 for smaller 
territories) with the balance allocated based on 2000 Census population 
data for persons aged 65 and over and for persons with disabilities.
3. Requirements
    Funds are available to support the capital costs of transportation 
services for older adults and people with disabilities. Uniquely under 
this program, eligible capital costs include the acquisition of 
service. Seven specified States (Alaska, Louisiana, Minnesota, North 
Carolina, Oregon, South Carolina, and Wisconsin) may use up to 33 
percent of their apportionment for operating assistance under the terms 
of the SAFETEA-LU Section 3012(b) pilot program.
    Capital assistance is provided on an 80 percent Federal, 20 percent 
local matching basis except that Section 5310(c) allows States eligible 
for a higher match under the sliding scale for FHWA programs to use 
that match ratio for Section 5310 capital projects. Operating 
assistance is 50 percent Federal, 50 percent local. Funds provided 
under other Federal programs (other than those of the DOT, with the 
exception of the Federal Lands Highway Program established by 23 U.S.C. 
204) may be used as match. Revenue from service contracts may also be 
used as local match.
    While the assistance is intended primarily for private non-profit 
organizations, public bodies approved by the State to coordinate 
services for the elderly and individuals with disabilities, or any 
public body that certifies to the State that there are no non-profit 
organizations in the area that are readily available to carry out the 
service, may receive these funds.
    States may use up to ten percent of their annual apportionment to 
administer, plan, and provide technical assistance for a funded 
project. No local share is required for these program administrative 
funds. Funds used under this program for planning must be shown in the 
United Planning Work Program (UPWP) for MPO(s) with responsibility for 
that area.
    The State recipient must certify that: The projects selected were 
derived from a locally developed, coordinated public transit-human 
services transportation plan; and, the plan was developed through a 
process that included representatives of public, private, and nonprofit 
transportation and human services providers and participation by the 
public. The locally developed, coordinated public transit-human 
services transportation planning process must be coordinated and 
consistent with the metropolitan and statewide planning processes and 
funding for the program must included in the metropolitan and statewide 
Transportation Improvement Program (TIP and STIP) at a level of 
specificity or aggregation consistent with State and local policies and 
procedures. Finally, the State must certify that allocations of the 
grant to subrecipients are made on a fair and equitable basis.
    The coordinated planning requirement is also a requirement in two 
additional programs. Projects selected for funding under the Job Access 
Reverse Commute program and the New Freedom program are also required 
to be derived from a locally developed coordinated public transit/human 
service transportation plan. FTA anticipates that most areas will 
develop one consolidated plan for all the programs, which may include 
separate elements and other human service transportation programs.
    The Section 5310 program is subject to the requirements of Section 
5307 to the extent the Secretary determines appropriate. Program 
guidance is found in FTA C 9070.1F, dated May 1, 2007. The circular is 
posted on the FTA Web site at http://www.fta.dot.gov.
4. Period of Availability
    FTA has administratively established a three year period of 
availability for Section 5310 funds. Funds allocated to States under 
the Elderly and Individuals with Disabilities Program in this notice 
must be obligated by September 30, 2011. Any funding that remains 
unobligated as of that date will revert to FTA for reapportionment 
among the States under the Elderly and Individuals with Disabilities 
Program.
5. Other Program or Apportionment Related Information and Highlights
    States may transfer Section 5310 funds to Section 5307 or Section 
5311, but only for projects selected under the Section 5310 program, 
not as a general supplement for those programs. FTA anticipates that 
the States would use this flexibility primarily for projects to be 
implemented by a Section 5307 recipient in a small urbanized area, or 
for Federally recognized Indian Tribes that elect to receive funds as a 
direct recipient from FTA under Section 5311. A State that transfers 
Section 5310 funds to Section 5307 must certify that each project for 
which the funds are transferred has been coordinated with private 
nonprofit providers of services. FTA has established a scope code (641) 
to track 5310 projects included within a Section 5307 or 5311 grant. 
Transfer to Section 5307 or 5311 is permitted but not required. FTA 
expects primarily to award stand-alone Section 5310 grants to the State 
for any and all subrecipients.

I. Nonurbanized Area Formula Program (49 U.S.C. 5311)

    This program provides formula funding to States and Indian Tribes 
for the purpose of supporting public transportation in areas with a 
population of less than 50,000. Funding may be used for capital, 
operating, State administration, and project administration expenses. 
Eligible subrecipients include State and local public agencies, Indian 
Tribes, private non-profit organizations, and private operators of 
public transportation services, including intercity bus companies. 
Indian Tribes are also eligible direct recipients under Section 5311, 
both for funds apportioned to the States and for projects selected to 
be funded with funds set aside for a separate Tribal Transit Program.
    For more information about the Nonurbanized Area Formula Program 
contact Lorna Wilson, Office of Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $188,383,800 to 
the Nonurbanized Area Formula Program (49 U.S.C. 5311). The total 
amount apportioned for the Nonurbanized Area Formula Program is 
$208,147,062, after take-downs of two percent for the Rural 
Transportation Assistance Program (RTAP), 0.5 percent for oversight, 
and $5,161,200 for the Tribal Transit Program, and the addition of 
Section 5340 funds and prior year funds

[[Page 77355]]

reapportioned, as shown in the table below.

                    Nonurbanized Area Formula Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation.....................................    $188,383,800
Oversight Deduction.....................................        -941,919
RTAP Takedown...........................................      -3,767,676
Tribal Transit Takedown.................................      -5,161,200
Section 5340 Funds Added................................      29,634,057
                                                         ---------------
  Total Apportioned.....................................     208,147,062
------------------------------------------------------------------------

    The FY 2009 Nonurbanized Area Formula apportionments to the States 
are displayed in Table 14.
2. Basis for Apportionments
    FTA apportions the funds available for apportionment after take-
down for oversight, the Tribal Transit Program, and RTAP according to a 
statutory formula. FTA apportions the first twenty percent to the 
States based on land area in nonurbanized areas with no state receiving 
more than 5 percent of the amount apportioned. FTA apportions the 
remaining eighty percent based on nonurbanized population of each State 
relative to the national nonurbanized population. FTA does not 
apportion Section 5311 funds to the Virgin Islands, which by a 
statutory exception are treated as an urbanized area for purposes of 
the Section 5307 formula program.
    FTA is allocating $29,634,057 to the 50 States for nonurbanized 
areas from the Growing States portion of Section 5340. FTA apportions 
Growing States funds by a formula based on State population forecasts 
for 15 years beyond the most recent census. FTA distributes the amounts 
apportioned for each State between UZAs and nonurbanized areas based on 
the ratio of urbanized/nonurbanized population within each State in the 
2000 census.
3. Program Requirements
    The Nonurbanized Area Formula Program provides capital, operating 
and administrative assistance for public transit service in 
nonurbanized areas under 50,000 in population.
    The Federal share for capital assistance is 80 percent and for 
operating assistance is 50 percent, except that States eligible for the 
sliding scale match under FHWA programs may use that match ratio for 
Section 5311 capital projects and 62.5 percent of the sliding scale 
capital match ratio for operating projects.
    Each State must spend no less than 15 percent of its FY 2009 
Nonurbanized Area Formula apportionment for the development and support 
of intercity bus transportation, unless the State certifies, after 
consultation with affected intercity bus service providers, that the 
intercity bus service needs of the State are being adequately met. FTA 
also encourages consultation with other stakeholders, such as 
communities affected by loss of intercity service.
    Each State prepares an annual program of projects, which must 
provide for fair and equitable distribution of funds within the States, 
including Indian reservations, and must provide for maximum feasible 
coordination with transportation services assisted by other Federal 
sources.
    In order to retain eligibility for funding, recipients of Section 
5311 funding must report data annually to the NTD.
    Program guidance for the Nonurbanized Area Formula Program is found 
in FTA C 9040.1F, Nonurbanized Area Formula Program Guidance and Grant 
Application Instructions, dated April 1, 2007, which was revised and 
reissued after notice and comment. The circular is posted at http://www.fta.dot.gov.
4. Period of Availability
    Funds apportioned to nonurbanized areas under the Nonurbanized Area 
Formula Program during FY 2009 will remain available for two additional 
fiscal years after the year of apportionment. Any funds that remain 
unobligated at the close of business on September 30, 2011, will revert 
to FTA for allocation among the States under the Nonurbanized Area 
Formula Program.
5. Other Program or Apportionment Related Information and Highlights
    a. NTD Reporting. By law, FTA requires that each recipient under 
the Section 5311 program submit an annual report to the NTD containing 
information on capital investments, operations, and service provided 
with funds received under the Section 5311 program. Section 5311(b)(4), 
as amended by SAFETEA-LU, specifies that the report should include 
information on total annual revenue, sources of revenue, total annual 
operating costs, total annual capital costs, fleet size and type, and 
related facilities, revenue vehicle miles, and ridership. State or 
Territorial DOT 5311 grant recipients must complete a one-page form of 
basic data for each 5311 subrecipient, unless the subrecipient is 
already providing a full report to the NTD as a Tribal Transit direct 
recipient or as an urbanized area reporter (without receiving a Nine or 
Fewer Vehicles Waiver). For the 2008 Report Year State or Territorial 
DOTs must report on behalf of any subrecipient receiving Section 5311 
grants in 2008, or that continued to benefit in 2008 from capital 
assets purchased using Section 5311 grants. Tribal Transit direct 
recipients must report if they received an obligation or an outlay for 
a Section 5311 grant in 2008, or if they continued to benefit in 2008 
from capital assets using Section 5311 Grants, unless the Tribe is 
already filing a full NTD Reports as an urbanized area reporter or 
unless the Tribe only received $50,000 or less in planning grants. The 
NTD Rural Reporting Manual contains detailed reporting instructions and 
is posted on the NTD Web site, http://www.ntdprogram.gov.
    b. Extension of Intercity Bus Pilot of In-Kind Match. Beginning in 
FY 2007, FTA implemented a two year pilot program of in-kind match for 
intercity bus service. The initial program was set to expire after FY 
2008; however, FTA decided to extend the program through FY 2009. FTA 
published guidance on the in-kind match pilot in the Federal Register 
on February 28, 2007, as Appendix 1 of the Notice announcing the final 
revised circular 9040.1F.

J. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))

    This program provides funding to assist in the design and 
implementation of training and technical assistance projects, research, 
and other support services tailored to meet the needs of transit 
operators in nonurbanized areas. For more information about Rural 
Transportation Assistance Program (RTAP) contact Lorna Wilson, Office 
of Transit Programs, at (202) 366-2053.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $3,767,676 to 
RTAP (49 U.S.C. 5311(b)(2)), as a two percent takedown from the funds 
appropriated for Section 5311. FTA has reserved 15 percent for the 
National RTAP program. After adding prior year funds eligible for 
reapportionment, $3,202,525 is available for allocations to the States, 
as shown in the table below.

                    Rural Transit Assistance Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation.....................................      $3,767,676
National RTAP Takedown..................................        -565,151
                                                         ---------------
  Total Apportioned.....................................       3,202,525
------------------------------------------------------------------------

    Table 14 shows the FY 2009 RTAP allocations to the States.

[[Page 77356]]

2. Basis for Allocation
    FTA allocates funds to the States by an administrative formula. 
First FTA allocates $65,000 to each State ($10,000 to territories), and 
then allocates the balance based on nonurbanized population in the 2000 
census.
3. Program Requirements
    States may use the funds to undertake research, training, technical 
assistance, and other support services to meet the needs of transit 
operators in nonurbanized areas. These funds are to be used in 
conjunction with a State's administration of the Nonurbanized Area 
Formula Program, but may also support the rural components of the 
Section 5310, JARC, and New Freedom programs.
4. Period of Availability
    Funds apportioned to States under RTAP remain available for two 
fiscal years following FY 2009. Any funds that remain unobligated at 
the close of business on September 30, 2011, will revert to FTA for 
allocation among the States under the RTAP.
5. Other Program or Apportionment Related Information and Highlights
    The National RTAP project is administered by cooperative agreement 
and re-competed at five-year intervals. In FY 2008, FTA awarded the 
cooperative agreement to the Neponset Valley Transportation Management 
Association (NVTMA) located in Waltham, Massachusetts through a 
competitive process. The projects are guided by a project review board 
that consists of managers of rural transit systems and State DOT RTAP 
programs. National RTAP resources also support the biennial TRB 
National Conference on Rural Public and Intercity Bus Transportation 
and other research and technical assistance projects of a national 
scope.

K. Public Transportation on Indian Reservations Program (49 U.S.C. 
5311(c)(1))

    FTA refers to this program as the Tribal Transit Program. It is 
funded as a takedown from funds appropriated for the Section 5311 
program. Federally recognized Indian Tribes are defined as eligible 
direct recipients. The funds are to be apportioned for grants to Indian 
Tribes for any purpose eligible under Section 5311, which includes 
capital, operating, planning, and administrative assistance for rural 
public transit services and rural intercity bus service. For more 
information about the Tribal Transit Program contact Lorna Wilson, 
Office of Transit Programs, at (202) 366-2053.
1. Funding Availability in FY 2009
    Under the Continuing Appropriations Act, 2009, the amount allocated 
to the program in FY 2009 is $5,161,200, as authorized in Section 
5311(c)(1)(C).
2. Basis for Allocation
    Based on procedures developed in consultation with the Tribes, FTA 
will issue a Notice of Funding Availability (NOFA) soliciting 
applications for FY 2009 funds.
3. Requirements
    FTA developed streamlined program requirements based on statutory 
authority allowing the Secretary to determine the terms and conditions 
appropriate to the program. These conditions are contained in the 
annual NOFA. Beginning with grants awarded in FY 2009, the grant 
agreement will incorporate the statement of warranty for labor 
protective arrangements, and tribal grants will be submitted to the 
Department of Labor (DOL) upon FTA approval.
4. Period of Availability
    Funds remain available for three fiscal years, which includes the 
fiscal year the funds were apportioned or appropriated plus two 
additional years. Funds appropriated in FY 2009 will remain available 
for obligation to the tribes competitively selected to receive the 
funds through September 30, 2011. Any funds that remain unobligated 
after September 30, 2011, will revert to FTA for reallocation among the 
Tribes.
5. Other Program or Apportionment Related Information and Highlights
    Prior year unobligated allocations under the Tribal Transit Program 
in the amount of $2,876,718 remain available for obligation in FY 2009. 
These unobligated amounts are displayed in Table 15.
    The funds set aside for the Tribal Transit Program are not meant to 
replace or reduce funds that Indian Tribes receive from states through 
the Section 5311 program but are to be used to enhance public 
transportation on Indian reservations and transit serving tribal 
communities. Funds allocated to Tribes by the States may be included in 
the State's Section 5311 application or awarded by FTA in a grant 
directly to the tribe. We encourage Tribes intending to apply to FTA as 
direct recipients to contact the appropriate FTA regional office at the 
earliest opportunity.
    Technical assistance for Tribes may be available from the State DOT 
using the State's allocation of RTAP or funds available for State 
administration under Section 5311, from the Tribal Transportation 
Assistance Program (TTAP) Centers supported by FHWA, and from the 
Community Transportation Association of America under a program funded 
by the United States Department of Agriculture (USDA). The National 
RTAP will also be developing new resources for Tribal Transit.

L. National Research Programs (49 U.S.C. 5314)

    FTA's National Research Programs (NRP) include the National 
Research and Technology Program (NRTP), the Transit Cooperative 
Research Program (TCRP), the National Transit Institute (NTI), and the 
University Transportation Centers Program (UTC).
    Through funding under these programs, FTA seeks to deliver 
solutions that improve public transportation. FTA's Strategic Research 
Goals are to provide transit research leadership, increase transit 
ridership, improve capital and operating efficiencies, improve safety 
and emergency preparedness, and to protect the environment and promote 
energy independence. For more information contact Bruce Robinson, 
Office of Research, Demonstration and Innovation, at (202) 366-4209.
1. Funding Availability in FY 2009
    The Continuing Appropriations Act, 2009, provides $28,112,583 for 
the Research and University Research Centers Programs. Of this amount 
$3,999,930 is allocated for TCRP, $1,849,430 for NTI, $3,010,700 for 
the UTC, and $19,252,523 for NRTP. Within the NRTP, $22,615,000 is 
allocated for specific activities under 49 U.S.C. 5338(d) and in 
Section 3046 of SAFETEA-LU, more than the amount currently available. 
All research and research and development projects, as defined by the 
Office of Management and Budget, are subject to a 2.6% reduction for 
the Small Business Innovative Research Program (SBIR). A project 
allocation table with the entire year's funding will be published in a 
subsequent notice.
2. Program Requirements
    Application Instructions and Program Management Guidelines are set 
forth in FTA Circular 6100.1C. Research projects must support FTA's 
Strategic Research Goals and meet the Office of Management and Budget's 
Research and Development Investment Criteria. All

[[Page 77357]]

research recipients are required to work with FTA to develop approved 
Statements of Work and plans to evaluate research results before award.
    Eligible activities under the NRTP include research, development, 
demonstration and deployment projects as defined by 49 U.S.C. 5312(a); 
Joint Partnership projects for deployment of innovation as defined by 
49 U.S.C. 5312(b); International Mass Transportation Projects as 
defined by 49 U.S.C. 5312(c); and, human resource programs as defined 
by 49 U.S.C. 5322. Unless otherwise specified in law, all projects must 
meet one of these eligibility requirements.
    Problem Statements for TCRP can be submitted on TCRP's website: 
http://www.tcrponline.org. Information about NTI courses can be found 
at http://www.ntionline.com. UTC funds are transferred to the Research 
and Innovative Technology Administration to make awards.
3. Period of Availability
    Funds are available until expended.
4. Other Program or Apportionment Related Information and Highlights
    Funds not designated by Congress for specific projects and 
activities will be programmed by FTA based on national priorities. 
Opportunities are posted in http://www.grants.gov under Catalogue of 
Federal Domestic Assistance Number 20.514.

M. Job Access and Reverse Commute Program (49 U.S.C. 5316)

    The Job Access and Reverse Commute (JARC) program provides formula 
funding to States and Designated Recipients to support the development 
and maintenance of job access projects designed to transport welfare 
recipients and low-income individuals to and from jobs and activities 
related to their employment, and for reverse commute projects designed 
to transport residents of UZAs and other than urbanized to suburban 
employment opportunities. For more information about the JARC program 
contact David Schneider, Office of Transit Programs, at (202) 366-2053.
1. Funding Availability in FY 2009
    The Continuing Appropriations Act, 2009, provides $67,095,600 for 
the JARC Program. The total amount apportioned by formula is shown in 
the table below.

                 Job Access and Reverse Commute Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Apportioned.......................................     $67,095,600
------------------------------------------------------------------------

Table 16 shows the FY 2009 JARC apportionments.
2. Basis for Formula Apportionment
    By law, FTA allocates 60 percent of funds available to UZAs with 
populations of 200,000 or more persons (large UZAs); 20 percent to the 
States for urbanized areas with populations ranging from 50,000 to 
200,000 persons (small UZAs), and 20 percent to the States for rural 
and small urban areas with populations of less than 50,000 persons. FTA 
apportions funds based upon the number of low income individuals 
residing in a State or large urbanized area, using data from the 2000 
Census for individuals below 150 percent of poverty. FTA publishes 
apportionments to each State for small UZAs and for rural and small 
urban areas and a single apportionment for each large UZA.
    The Designated Recipient, either for the State or for a large UZA, 
is responsible for further allocating the funds to specific projects 
and subrecipients through a competitive selection process. If the 
Governor has designated more than one recipient of JARC funds in a 
large UZA, the Designated Recipients may agree to conduct a single 
competitive selection process or sub-allocate funds to each Designated 
Recipient, based upon a percentage split agreed upon locally, and 
conduct separate competitions.
    States may transfer funds between the small UZA and the 
nonurbanized apportionments, if all of the objectives of JARC are met 
in the size area the funds are taken from. States may also use funds in 
the small UZA and nonurbanized area apportionments for projects 
anywhere in the State (including large UZAs) if the State has 
established a statewide program for meeting the objectives of JARC. A 
State planning to transfer funds under either of these provisions 
should submit a request to the FTA regional office. FTA will assign new 
accounting codes to the funds before obligating them in a grant.
3. Requirements
    States and Designated Recipients must solicit grant applications 
and select projects competitively, based on application procedures and 
requirements established by the Designated Recipient, consistent with 
the Federal JARC program objectives. In the case of large UZAs, the 
area-wide solicitation shall be conducted in cooperation with the 
appropriate MPO(s).
    Funds are available to support the planning, capital, and operating 
costs of transportation services that are eligible for funding under 
the program. Assistance may be provided for a variety of transportation 
services and strategies directed at assisting welfare recipients and 
eligible low-income individuals address unmet transportation needs, and 
to provide reverse commute services. The transportation services may be 
provided by public, non-profit, or private-for-profit operators. The 
Federal share is 80 percent of capital and planning expenses and 50 
percent of operating expenses. Funds provided under other Federal 
programs (other than those of the DOT, with the exception of the 
Federal Lands Highway Program established by 23 U.S.C. 204) may be used 
for local/State match for funds provided under Section 5316, and 
revenue from service contracts may be used as local match.
    States and Designated Recipients may use up to ten percent of their 
annual apportionment for administration, planning, and to provide 
technical assistance. No local share is required for these program 
administrative funds. Funds used under this program for planning in 
urbanized areas must be shown in the UPWP for MPO(s) with 
responsibility for that area.
    The Designated Recipient must certify that: the projects selected 
were derived from a locally developed, coordinated public transit-human 
services transportation plan; and, the plan was developed through a 
process that included representatives of public, private, and nonprofit 
transportation and human services providers and participation by the 
public, including those representing the needs of welfare recipients 
and eligible low-income individuals. The locally developed, coordinated 
public transit-human services transportation planning process must be 
coordinated and consistent with the metropolitan and statewide planning 
processes and funding for the program must be included in the 
metropolitan and statewide Transportation Improvement Program (TIP and 
STIP) at a level of specificity or aggregation consistent with State 
and local policies and procedures. Finally, the State must certify that 
allocations of the grant to subrecipients are made on a fair and 
equitable basis.
    The coordinated planning requirement is also a requirement in two 
additional programs. Projects selected for funding under the Section 
5310 program and the New Freedom program are also required to be 
derived from a locally developed coordinated public transit-human 
service transportation plan. FTA anticipates that most areas will 
develop one consolidated plan for all the programs, which may include

[[Page 77358]]

separate elements and other human service transportation programs. The 
goal of the coordinated planning process is not to be an exhaustive 
document, but to serve as a tool for planning and implementing 
beneficial projects. The level of effort required to develop the plan 
will vary among communities based on factors such as the availability 
of resources. FTA does not approve coordinated plans.
    The JARC program is subject to the relevant requirements of Section 
5307, including the requirement for certification of labor protections. 
JARC program requirements are published in FTA circular 9050.1, dated 
April 1, 2007. The circular and other guidance including frequently 
asked questions are posted on the FTA Web site at http://www.fta.dot.gov.
4. Period of Availability
    FTA has established a consistent three-year period of availability 
for JARC, New Freedom, and the Section 5310 program, which includes the 
year of apportionment plus two additional years. FY 2009 funding is 
available through FY 2011. Any funding that remains unobligated on 
September 30, 2011 will revert to FTA for reapportionment among the 
States and large UZAs under the JARC program.
5. Other Program or Apportionment Related Information and Highlights
    a. Carryover Earmarks. Table 17 lists prior year carryover of 
$7,791,630 for JARC projects designated by Congress in FYs 2002-2005. 
JARC earmarks carried over from TEA-21 are subject to the terms and 
conditions under which they were originally appropriated, including the 
requirement for a 50 percent local share for both capital and operating 
assistance. All projects should be in a regional JARC Plan as required 
under TEA-21 or in the new local coordinated plan required by the new 
formula JARC program. FTA will award a grant for a designated project 
upon receipt of a complete application, but can honor changes to the 
original designation only if so directed by the Appropriations 
Committee chairs. FTA intends to propose that any remaining JARC 
Discretionary Program funds be reallocated in the agency's FY 2010 
budget. Grantees intending to use their remaining discretionary JARC 
funds should obligate funds prior to September 30, 2009.
    b. Designated Recipient. FTA must have received formal notification 
from the Governor or Governor's designee of the Designated Recipient 
for JARC funds apportioned to a State or large UZA before awarding a 
grant to that area for JARC projects.
    c. Transfers to Section 5307 or 5311. States may transfer JARC 
funds to Section 5307 or Section 5311, but only for projects 
competitively selected under the JARC program, not as a general 
supplement for those programs. FTA anticipates that the States would 
use this flexibility primarily for projects to be implemented by a 
Section 5307 recipient in a small urbanized area or for Federally 
recognized Indian Tribes that elect to receive funds as a direct 
recipient from FTA under Section 5311. FTA has established a scope code 
(646) to track JARC projects included within a Section 5307 or 5311 
grant. Transfer to Section 5307 or 5311 is permitted but not required. 
FTA will also award stand-alone Section 5316 grants to the State for 
any and all subrecipients. In order to track disbursements accurately 
against the appropriate program, FTA will not combine JARC funds with 
Section 5307 funds in a single Section 5307 grant, nor will FTA combine 
JARC with New Freedom funds in a single Section 5307 grant.
    d. Evaluation. Section 5316(i)(2), of SAFETEA-LU, requires FTA to 
conduct a study to evaluate the effectiveness of the JARC program. To 
support the evaluation, annual GAO reports on the program, and DOT 
Performance Measures, while reducing the burden grantees previously 
experienced from separate reporting required for the JARC program under 
TEA-21. FTA has established a web-based system for designated 
recipients to report their program measures on behalf of themselves and 
their subrecipients.

N. New Freedom Program (49 U.S.C. 5317)

    SAFETEA-LU established the New Freedom Program under 49 U.S.C. 
5317. The program purpose is to provide new public transportation 
services and public transportation alternatives beyond those currently 
required by the Americans with Disabilities Act of 1990 (42 U.S.C. 
12101 et seq.) that assist individuals with disabilities with 
transportation, including transportation to and from jobs and 
employment support services. For more information about the New Freedom 
program contact David Schneider, Office of Transit Programs, at (202) 
366-2053.
1. Funding Availability in FY 2009
    The Continuing Appropriations Act, 2009, provides $37,633,750 for 
the New Freedom Program. The entire amount is apportioned by formula, 
as shown in the table below.

                           New Freedom Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Apportioned.......................................     $37,633,750
------------------------------------------------------------------------

Table 18 shows the FY 2009 New Freedom apportionments.
2. Basis for Formula Apportionment
    By law, FTA allocates 60 percent of funds available to UZAs with 
populations of 200,000 or more persons (large UZAs); 20 percent to the 
States for urbanized areas with populations ranging from 50,000 to 
200,000 persons (small UZAs), and 20 percent to the States for rural 
and small urban areas with populations of less than 50,000 persons. FTA 
apportions funds based upon the number of persons with disabilities 
over the age of five residing in a State or large urbanized area, using 
data from the 2000 Census. FTA publishes apportionments to each State 
for small UZAs and for rural and small urban areas and a single 
apportionment for each large UZA.
    The Designated Recipient, either for the State or for a large UZA, 
is responsible for further allocating the funds to specific projects 
and subrecipients through a competitive selection process. If the 
Governor has designated more than one recipient of New Freedom funds in 
a large UZA, the Designated Recipients may agree to conduct a single 
competitive selection process or sub-allocate funds to each Designated 
Recipient, based upon a percentage split agreed on locally and conduct 
separate competitions.
3. Requirements
    States and Designated Recipients must solicit grant applications 
and select projects competitively, based on application procedures and 
requirements established by the Designated Recipient, consistent with 
the Federal New Freedom program objectives. In the case of large UZAs, 
the area-wide solicitation shall be conducted in cooperation with the 
appropriate MPO(s).
    Funds are available to support the capital and operating costs of 
new public transportation services and public transportation 
alternatives that are beyond those required by the Americans with 
Disabilities Act. Funds provided under other Federal programs (other 
than those of the DOT, with the exception of the Federal Lands Highway 
Program established by 23 U.S.C. 204) may be used as match for capital 
funds provided under Section 5317, and revenue from contract services 
may be used as local match.
    Funding is available for transportation services provided by 
public, non-profit,

[[Page 77359]]

or private-for-profit operators. Assistance may be provided for a 
variety of transportation services and strategies directed at assisting 
persons with disabilities to address unmet transportation needs. 
Eligible public transportation services and public transportation 
alternatives funded under the New Freedom program must be both new and 
beyond the ADA. (In FY 2007, FTA published interim guidance holding 
Designated Recipients harmless for project selections conducted in good 
faith based on FTA's earlier preliminary determination that eligible 
services could be either new or beyond the ADA. Grants awarded in FY 
2009 are now subject to the requirements of the final guidance which 
was published April 1, 2007).
    The Federal share is 80 percent of capital expenses and 50 percent 
of operating expenses. Funds provided under other Federal programs 
(other than those of the DOT) may be used for local/state match for 
funds provided under Section 5317, and revenue from service contracts 
may be used as local match.
    States and Designated Recipients may use up to ten percent of their 
annual apportionment to administer, plan, and provide technical 
assistance for a funded project. No local share is required for these 
program administrative funds. Funds used under this program for 
planning must be shown in the UPWP for MPO(s) with responsibility for 
that area.
    The Designated Recipient must certify that: the projects selected 
were derived from a locally developed, coordinated public transit-human 
services transportation plan; and, the plan was developed through a 
process that included representatives of public, private, and nonprofit 
transportation and human services providers and participation by the 
public, including those representing the needs of welfare recipients 
and eligible low-income individuals. The locally developed, coordinated 
public transit-human services transportation planning process must be 
coordinated and consistent with the metropolitan and statewide planning 
processes and funding for the program must be included in the 
metropolitan and statewide Transportation Improvement Program (TIP and 
STIP) at a level of specificity or aggregation consistent with State 
and local policies and procedures. Finally, the State must certify that 
allocations of the grant to subrecipients are made on a fair and 
equitable basis.
    The coordinated planning requirement is also a requirement in two 
additional programs. Projects selected for funding under the Section 
5310 program and the JARC program are also required to be derived from 
a locally developed coordinated public transit-human service 
transportation plan. FTA anticipates that most areas will develop one 
consolidated plan for all the programs, which may include separate 
elements and other human service transportation programs.
    The New Freedom program is subject to the relevant requirements of 
Section 5307, but certification of labor protections is not required. 
New Freedom Program requirements are published in FTA circular 9045.1, 
which was effective May 1, 2007. The circular and other guidance 
including frequently asked questions are posted on the FTA Web site at 
http://www.fta.dot.gov.
4. Period of Availability
    FTA has established a consistent three-year period of availability 
for New Freedom, JARC, and the Section 5310 program, which includes the 
year of apportionment plus two additional years. FY 2009 funding is 
available through FY 2011. Any funding that remains unobligated on 
September 30, 2011, will revert to FTA for reapportionment among the 
States and large UZAs under the New Freedom program.
5. Other Program or Apportionment Related Information and Highlights
    a. Designated Recipient. FTA must have received formal notification 
from the Governor or Governor's designee of the Designated Recipient 
for New Freedom funds apportioned to a State or large UZA before 
awarding a grant to that area for New Freedom projects.
    b. Transfers to Section 5307 or 5311. States may transfer New 
Freedom funds to Section 5307 or Section 5311, but only for projects 
competitively selected under the New Freedom program, not as a general 
supplement for those programs. FTA anticipates that the States would 
use this flexibility for projects to be implemented by a Section 5307 
recipient in a small urbanized area or for Federally recognized Indian 
Tribes that elect to receive funds as a direct recipient from FTA under 
Section 5311. FTA has established a scope code (647) to track New 
Freedom projects included within a Section 5307 or 5311 grant. Transfer 
to Section 5307 or 5311 is permitted but not required. FTA will also 
award stand-alone Section 5317 grants to the State for any and all 
subrecipients. In order to track disbursements accurately against the 
appropriate program, FTA will not combine New Freedom funds with 
Section 5307 funds in a single Section 5307 grant, nor will FTA combine 
New Freedom with JARC funds in a single Section 5307 grant.
    c. Performance Measures. To support the evaluation of the program 
and Departmental reporting under the Governmental Performance and 
Results Act and the Office of Management and Budget's Performance 
Assessment and Rating Tool, FTA has established a web-based system for 
designated recipients to report their program measures on behalf of 
themselves and their subrecipients.

O. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320)

    The Paul S. Sarbanes Transit in Parks Program (Transit in Parks 
Program), formally the Alternative Transportation in Parks and Public 
Lands (ATPPL) program, is administered by FTA in partnership with the 
Department of the Interior (DOI) and the U.S. Department of 
Agriculture's Forest Service. The purpose of the program is to enhance 
the protection of national parks and Federal lands, and increase the 
enjoyment of those visiting them. The program funds capital and 
planning expenses for alternative transportation systems such as buses 
and trams in federally-managed parks and public lands. Federal land 
management agencies and State, tribal and local governments acting with 
the consent of a Federal land management agency are eligible to apply.
1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, makes $10,752,500 
available for the program in FY 2009. Up to ten percent of the funds 
may be reserved for planning, research, and technical assistance. FTA 
will publish a Notice of Funding Availability (NOFA) in the Federal 
Register inviting applications for projects to be funded in FY 2009.
2. Program Requirements
    Projects are competitively selected based on criteria specified in 
the Notice of Funding Availability. The terms and conditions applicable 
to the program are also specified in the NOFA. Projects must conserve 
natural, historical, and cultural resources, reduce congestion and 
pollution, and improve visitor mobility and accessibility. No more than 
25 percent may be allocated for any one project.
3. Period of Availability
    The funds under the Transit in Parks Program remain available until 
expended.

[[Page 77360]]

4. Other Program or Apportionment Related Information and Highlights
    Project selections for the FY 2008 funding were published in the 
Federal Register on October 10, 2008. Fifty-two projects totaling 
$24,470,501 were awarded.

P. Alternatives Analysis Program (49 U.S.C. 5339)

    The Alternatives Analysis Program provides grants to States, 
authorities of the States, metropolitan planning organizations, and 
local government authorities to develop studies as part of the 
transportation planning process. These studies include an assessment of 
a wide range of public transportation alternatives designed to address 
a transportation problem in a corridor or subarea; sufficient 
information to enable the Secretary to make the findings of project 
justification and local financial commitment required; the selection of 
a locally preferred alternative; and the adoption of the locally 
preferred alternative as part of the state or regional long-range 
transportation plan. For more information about this program contact 
Ron Fisher, Office of Planning and Environment, at (202) 366-4033.
 1. FY 2009 Funding Availability
    The Continuing Appropriations Act, 2009, provides $10,619,642 to 
the Alternatives Analysis Program (49 U.S.C. 5339). FTA will publish 
project allocations in a supplemental notice when all program funds 
have been made available.
2. Requirements
    Alternatives Analysis program funds may be made available to 
States, authorities of the States, metropolitan planning organizations, 
and local governmental authorities. The Government's share of the cost 
of an activity funded may not exceed 80 percent of the cost of the 
activity. The funds will be awarded as separate Section 5339 grants. 
The grant requirements will be comparable to those for Section 5309 
grants. Eligible projects include planning and corridor studies and the 
adoption of locally preferred alternatives within the fiscally 
constrained Metropolitan Transportation Plan for that area. Funds 
awarded under the Alternatives Analysis Program must be shown in the 
UPWP for MPO(s) with responsibility for that area. Pre-award authority 
applies to these funds after Congress appropriates funds for these 
projects and the allocations are published in an FTA notice of 
apportionments and allocations.
    Legislation to amend a 2007 or 2008 earmark under section 3037(c) 
of SAFETEA-LU is necessary should a recipient wish to use section 5339 
funds for eligible project activities outside the scope of the project 
description. Unless otherwise specified in law, grants made under the 
Alternatives Analysis program must meet all other eligibility 
requirements as outlined in Section 5309.
3. Period of Availability
    Funds designated for specific Alternatives Analysis Program 
projects remain available for obligation for three fiscal years, which 
includes the year of availability plus two additional fiscal years. 
Alternatives Analysis funds not obligated in an FTA grant for eligible 
purposes at the end of the period of availability will generally be 
made available for other projects.
4. Other Program or Apportionment Related Information and Highlights
    Table 19 lists prior year carryover of $23,481,600 for Alternatives 
Analysis projects allocated project funding in FY 2007 and FY 2008. 
This amount includes $480,000 for FY 2006, which was competitively 
awarded in FY 2007. The total carryover amount also includes $8,987,600 
from FY 2007 and $14,014,000 from FY 2008.
    The SAFETEA-LU Technical Corrections Act of 2008 rescinded FY 2006 
and FY 2007 funding in the amount of $500,000 for the Middle Rio Grande 
Coalition of Governments, Albuquerque to Santa Fe Corridor Study. 
Funding for the Lane County, Oregon Bus Rapid Transit Phase II Corridor 
Study is now available to all phases of the project.

Q. Growing States and High Density States Formula Factors

    The Continuing Appropriations Act, 2009, makes $188,383,800 
available for apportionment in accordance with the formula factors 
prescribed for Growing States and High Density States in Section 5340 
of SAFETEA-LU. Fifty percent of this amount (or $94,191,900) is 
apportioned to eligible States and urbanized areas using the Growing 
State formula factors. The other 50 percent is apportioned to eligible 
States and urbanized areas using the High Density States formula 
factors. Based on application of the formulas, $64,557,843 of the 
Growing States funding was apportioned to urbanized areas and 
$29,634,057 to nonurbanized areas. All of the $94,191,900 allotted to 
High Density States was apportioned to urbanized areas.
    The term `State' is defined only to mean the 50 States. For the 
Growing State portion of Section 5340, funds are allocated based on the 
population forecasts for fifteen years after the date of that census. 
Forecasts are based on the trend between the most recent decennial 
census and Census Bureau population estimates for the most current 
year. Census population estimates as of December 27, 2007 were used in 
the FY 2009 apportionments Funds allocated to the States are then sub-
allocated to urbanized and non-urbanized areas based on forecast 
population, where available. If forecasted population data at the 
urbanized level is not available, as is currently the case, funds are 
allocated to current urbanized and non-urbanized areas on the basis of 
current population in the 2000 Census. Funds allocated to urbanized 
areas are included in their Section 5307 apportionment. Funds allocated 
for non-urbanized areas are included in the states' Section 5311 
apportionments.

R. Over-the-Road Bus Accessibility Program (49 U.S.C. 5310 note)

    The Over-the-Road Bus Accessibility (OTRB) Program authorizes FTA 
to make grants to operators of over-the-road buses to help finance the 
incremental capital and training costs of complying with the DOT over-
the-road bus accessibility final rule, 49 CFR Part 37, published on 
September 28, 1998 (63 FR 51670). FTA conducts a national solicitation 
of applications, and grantees are selected on a competitive basis. For 
more information about the OTRB program contact Blenda Younger, Office 
of Transit Programs, at (202) 366-2053.
1. Funding Availability in FY 2009
    The Continuing Appropriations Act, 2009, provides $3,569,830 for 
the Over-the-Road Bus Accessibility (OTRB) Program, which is the total 
amount allocable for OTRB, as shown in the table below.

                 Over-the-Road Bus Accessibility Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Apportioned.......................................      $3,569,830
------------------------------------------------------------------------

    Of this amount, $2,677,373 is allocable to providers of intercity 
fixed-route service, and $892,457 to other providers of over-the-road 
bus services, including local fixed-route service, commuter service, 
and charter and tour service.
2. Program Requirements
    Projects are competitively selected. The Federal share of the 
project is 90

[[Page 77361]]

percent of net project cost. Program guidance is provided in the 
Federal Register notice soliciting applications. Assistance under the 
program is available to private operators of over-the-road buses that 
are used substantially or exclusively in intercity, fixed route and 
over-the-road bus service. Assistance is also available to private 
operators of over-the-road buses in other services, such as charter, 
tour, and commuter service. Capital projects eligible for funding 
include projects to add lifts and other accessibility components to new 
vehicle purchases and to purchase lifts to retrofit existing vehicles. 
Eligible training costs include developing training materials or 
providing training for local providers of over-the-road bus services. A 
comprehensive listing of program requirements is published annually in 
the OTRB Program Notice of Funding Availability (NOFA).
3. Period of Availability
    FTA has observed that some private operators selected to receive 
funding under this program have not acted promptly to obligate the 
funds in a grant and request reimbursement for expenditures. While the 
program does not have a statutory period of availability, in the FY 
2008 Apportionment Notice, FTA published its intention to limit the 
period of availability to a selected operator to three years, which 
includes the year of allocation plus two additional years. Accordingly, 
funds for projects selected in FY 2005 or prior years are no longer 
available for obligation in a grant and will be reallocated in the FY 
2009 competition. FY 2006 funds will be reallocated at the end of FY 
2009 if not obligated in a grant by September 30, 2009. FY 2007 and FY 
2008 funds were allocated on August 22, 2008 and will be reallocated if 
not obligated in a grant by September 30, 2010. Funds for project 
selections announced in FY 2009 will be reallocated if not obligated in 
a grant by September 30, 2011.
4. Other Program or Apportionment Related Information and Highlights
    FTA will publish a NOFA soliciting applications for FY 2009 in a 
subsequent notice once the full funding level is made available to the 
program. The notice will be available at http://www.fta.dot.gov/laws/leg_reg_federal_register.html.

V. FTA Policy and Procedures for FY 2009 Grants

A. Automatic Pre-Award Authority To Incur Project Costs

1. Caution to New Grantees and Grantees Using Innovative Financing
    While we provide pre-award authority to incur expenses prior to 
grant award for many projects, we recommend that first-time grant 
recipients not utilize this automatic pre-award authority and wait 
until the grant is actually awarded by FTA before incurring costs. As a 
new grantee, it is easy to misunderstand pre-award authority conditions 
and not be aware of all of the applicable FTA requirements that must be 
met in order to be reimbursed for project expenditures incurred in 
advance of grant award. FTA programs have specific statutory 
requirements that are often different from those for other Federal 
grant programs with which new grantees may be familiar. If funds are 
expended for an ineligible project or activity, FTA will be unable to 
reimburse the project sponsor and, in certain cases, the entire project 
may be rendered ineligible for FTA assistance.
    Grantees proposing to use innovative financing techniques or 
capital leasing are required to consult with the applicable FTA 
Regional Office (see Appendix A) prior to entering into the financial 
agreement--especially where the grantee expects to use Federal funds 
for debt service or capital lease payments. Consulting with FTA prior 
to entering into the agreement allows FTA to advise the grantee of any 
applicable federal regulations, such as the Capital Leasing Regulation, 
and will minimize the risk of the costs being ineligible for 
reimbursement at a later date.
2. Policy
    FTA provides pre-award authority to incur expenses prior to grant 
award for certain program areas described below. This pre-award 
authority allows grantees to incur certain project costs prior to grant 
approval and retain the eligibility of those costs for subsequent 
reimbursement after grant approval. The grantee assumes all risk and is 
responsible for ensuring that all conditions are met to retain 
eligibility. This pre-award spending authority permits a grantee to 
incur costs on an eligible transit capital, operating, planning, or 
administrative project without prejudice to possible future Federal 
participation in the cost of the project. In the Federal Register 
Notice of November 30, 2006, FTA extended pre-award authority for 
capital assistance under all formula programs through FY 2009, the 
duration of SAFETEA-LU. In this notice, FTA extends pre-award authority 
through FY 2010 for capital assistance under all formula programs. FTA 
provides pre-award authority for planning and operating assistance 
under the formula programs without regard to the period of the 
authorization. In addition, we extend pre-award authority for certain 
discretionary programs based on the annual Appropriations Act each 
year. All pre-award authority is subject to conditions and triggers 
stated below:
    a. FTA does not impose additional conditions on pre-award authority 
for operating, planning, or administrative assistance under the formula 
grant programs. Grantees may be reimbursed for expenses incurred prior 
to grant award so long as funds have been expended in accordance with 
all Federal requirements. In addition to cross-cutting Federal grant 
requirements, program specific requirements must be met. For example, a 
planning project must have been included in a Unified Planning Work 
Program (UPWP); a New Freedom operating assistance project or a JARC 
planning or operating project must have been derived from a coordinated 
public transit-human services transportation plan (coordinated plan) 
and competitively selected by the Designated Recipient prior to 
incurring expenses; expenditure on State Administration expenses under 
State Administered programs must be consistent with the State 
Management Plan. Designated Recipients for JARC and New Freedom have 
pre-award authority for the ten percent of the apportionment they may 
use for program administration, if the use is consistent with their 
Program Management Plan.
    b. Pre-Award authority for Alternatives Analysis planning projects 
under 49 U.S.C. 5339 is triggered by the publication of the allocation 
in FTA's Federal Register Notice of Apportionments and Allocations 
following the annual Appropriations Act, or announcement of additional 
discretionary allocations. The projects must be included in the UPWP of 
the MPO for that metropolitan area.
    c. Pre-award authority for design and environmental work on a 
capital project is triggered by the authorization of formula funds, or 
the appropriation of funds for a discretionary project.
    d. Following authorization of formula funds or appropriation and 
publication of discretionary projects, pre-award authority for capital 
project implementation activities including property acquisition, 
demolition,

[[Page 77362]]

construction, and acquisition of vehicles, equipment, or construction 
materials is triggered by completion of the environmental review 
process with FTA's concurrence in the categorical exclusion (CE) 
determination or signing of an environmental Record of Decision (ROD) 
or Finding of No Significant Impact (FONSI). Prior to exercising pre-
award authority, grantees must comply with the conditions and Federal 
requirements outlined in paragraph 3 below. Failure to do so will 
render an otherwise eligible project ineligible for FTA financial 
assistance. Capital projects under the Section 5310, JARC, and New 
Freedom programs must comply with specific program requirements, 
including coordinated planning and competitive selection. In addition, 
prior to incurring costs, grantees are strongly encouraged to consult 
with the appropriate FTA regional office regarding the eligibility of 
the project for future FTA funds and the applicability of the 
conditions and Federal requirements.
    e. As a general rule, pre-award authority applies to the Section 
5309 Capital Investment Bus and Bus-Related Facilities, the Clean Fuels 
Bus program, high priority project designations, and any other transit 
discretionary projects designated in SAFETEA-LU only AFTER funds have 
been appropriated. Pre-award authority is currently extended for FY 
2007 and FY 2008 discretionary project funding. As of the date of this 
notice, FTA extends preaward authority to FY 2009 projects designated 
discretionary funding in SAFETEA-LU and to discretionary allocations 
extended or reprogrammed under the SAFETEA-LU Technical Corrections Act 
of 2008, as of June 6, 2008. For Section 5309 Capital Investment Bus 
and Bus-Related, Clean Fuels Program, or other transit capital 
discretionary projects such as those designated in an annual 
Appropriations Act, the date that costs may be incurred is: (1) For 
design and environmental review, the appropriations bill which funds 
the project was enacted; and (2) for property acquisition, demolition, 
construction, and acquisition of vehicles, equipment, or construction 
materials, the date that FTA approves the document (ROD, FONSI, or CE 
determination) that completes the environmental review process required 
by the National Environmental Policy Act (NEPA) and its implementing 
regulations. FTA introduced this new trigger for pre-award authority in 
FY 2006 in recognition of the growing prevalence of new grantees 
unfamiliar with Federal and FTA requirements to ensure FTA's continued 
ability to comply with NEPA and related environmental laws. Because FTA 
does not sign a final NEPA document until MPO and statewide planning 
requirements (including air quality conformity requirements, if 
applicable) have been satisfied, this new trigger for pre-award will 
ensure compliance with both planning and environmental requirements 
prior to irreversible action by the grantee.
    f. In previous notices, FTA extended pre-award authority to Section 
330 projects referenced in the DOT Appropriation Act, 2002, and the 
Consolidated Appropriations Resolution, 2003 and to those surface 
transportation projects commonly referred to as Section 115 projects 
administered by FTA, for which amounts were provided in the 
Consolidated Appropriations Act, 2004, Section 117 projects in the 2005 
Appropriations Act, and Section 112 of the 2006 Appropriations Act that 
are to be administered by FTA. FTA, in the FY 2008 Apportionment 
Notice, extended pre-award authority to high priority projects in 
SAFETEA-LU, as of the date they were transferred or allotted to FTA for 
administration. The same conditions described for bus projects apply to 
these projects. We strongly encourage any prospective applicant that 
does not have a previous relationship with FTA to review Federal grant 
requirements with the FTA regional office before incurring costs.
    g. Blanket pre-award authority does not apply to Section 5309 
Capital Investment New Starts funds. Specific instances of pre-award 
authority for Capital Investment New Starts projects are described in 
paragraph 4 below. Pre-award authority does not apply to Capital 
Investment Bus and Bus-Related Facilities or Clean Fuels projects 
authorized for funding beyond this fiscal year. Before an applicant may 
incur costs for Capital Investment New Starts projects, Bus and Bus-
Related Facilities projects, or any other projects not yet published in 
a notice of apportionments and allocations, it must first obtain a 
written Letter of No Prejudice (LONP) from FTA. To obtain an LONP, a 
grantee must submit a written request accompanied by adequate 
information and justification to the appropriate FTA regional office, 
as described below.
    h. Blanket pre-award authority does not apply to Section 5314 
National Research Programs. Before an applicant may incur costs for 
National Research Programs, it must first obtain a written Letter of No 
Prejudice (LONP) from FTA. To obtain an LONP, a grantee must submit a 
written request accompanied by adequate information and justification 
to the appropriate FTA headquarters office. Information about LONP 
procedures may be obtained from the appropriate headquarters office.
3. Conditions
    The conditions under which pre-award authority may be utilized are 
specified below:
    a. Pre-award authority is not a legal or implied commitment that 
the subject project will be approved for FTA assistance or that FTA 
will obligate Federal funds. Furthermore, it is not a legal or implied 
commitment that all items undertaken by the applicant will be eligible 
for inclusion in the project.
    b. All FTA statutory, procedural, and contractual requirements must 
be met.
    c. No action will be taken by the grantee that prejudices the legal 
and administrative findings that the Federal Transit Administrator must 
make in order to approve a project.
    d. Local funds expended by the grantee pursuant to and after the 
date of the pre-award authority will be eligible for credit toward 
local match or reimbursement if FTA later makes a grant or grant 
amendment for the project. Local funds expended by the grantee prior to 
the date of the pre-award authority will not be eligible for credit 
toward local match or reimbursement. Furthermore, the expenditure of 
local funds on activities such as land acquisition, demolition, or 
construction prior to the date of pre-award authority for those 
activities (i.e., the completion of the NEPA process) would compromise 
FTA's ability to comply with Federal environmental laws and may render 
the project ineligible for FTA funding.
    e. The Federal amount of any future FTA assistance awarded to the 
grantee for the project will be determined on the basis of the overall 
scope of activities and the prevailing statutory provisions with 
respect to the Federal/local match ratio at the time the funds are 
obligated.
    f. For funds to which the pre-award authority applies, the 
authority expires with the lapsing of the fiscal year funds.
    g. When a grant for the project is subsequently awarded, the 
Financial Status Report, in TEAM-Web, must indicate the use of pre-
award authority.
    h. Environmental, Planning, and Other Federal Requirements.
    All Federal grant requirements must be met at the appropriate time 
for the project to remain eligible for Federal funding. The growth of 
the Federal transit program has resulted in a growing number of 
inexperienced grantees who make compliance with

[[Page 77363]]

Federal planning and environmental laws increasingly challenging. FTA 
has therefore modified its approach to pre-award authority to use the 
completion of the NEPA process, which has as a prerequisite the 
completion of planning and air quality requirements, as the trigger for 
pre-award authority for all activities except design and environmental 
review.
    i. The requirement that a project be included in a locally adopted 
metropolitan transportation plan, the metropolitan transportation 
improvement program and Federally-approved statewide transportation 
improvement program (23 CFR Part 450) must be satisfied before the 
grantee may advance the project beyond planning and preliminary design 
with non-Federal funds under pre-award authority. If the project is 
located within an EPA-designated non-attainment area for air quality, 
the conformity requirements of the Clean Air Act, 40 CFR Part 93, must 
also be met before the project may be advanced into implementation-
related activities under pre-award authority. Compliance with NEPA and 
other environmental laws and executive orders (e.g., protection of 
parklands, wetlands, and historic properties) must be completed before 
State or local funds are spent on implementation activities, such as 
site preparation, construction, and acquisition, for a project that is 
expected to be subsequently funded with FTA funds. The grantee may not 
advance the project beyond planning and preliminary design before FTA 
has determined the project to be a categorical exclusion, or has issued 
a Finding of No Significant Impact (FONSI) or an environmental Record 
of Decision (ROD), in accordance with FTA environmental regulations, 23 
CFR Part 771. For planning projects, the project must be included in a 
locally-approved Unified Planning Work Program (UPWP) that has been 
coordinated with the State.
    j. In addition, Federal procurement procedures, as well as the 
whole range of applicable Federal requirements (e.g., Buy America, 
Davis-Bacon Act, Disadvantaged Business Enterprise) must be followed 
for projects in which Federal funding will be sought in the future. 
Failure to follow any such requirements could make the project 
ineligible for Federal funding. In short, this increased administrative 
flexibility requires a grantee to make certain that no Federal 
requirements are circumvented through the use of pre-award authority. 
If a grantee has questions or concerns regarding the environmental 
requirements, or any other Federal requirements that must be met before 
incurring costs, it should contact the appropriate regional office.
4. Pre-Award Authority for New Starts Projects
    a. Preliminary Engineering (PE) and Final Design (FD). Projects 
proposed for Section 5309 New Starts funds are required to follow a 
Federally defined New Starts project development process. This New 
Starts process includes, among other things, FTA approval of the entry 
of the project into PE and into FD. In accordance with Section 5309(d), 
FTA considers the merits of the project, the strength of its financial 
plan, and its readiness to enter the next phase in deciding whether or 
not to approve entry into PE or FD. Upon FTA approval to enter PE, FTA 
extends pre-award authority to incur costs for PE activities. Upon FTA 
approval to enter FD, FTA extends pre-award authority to incur costs 
for FD activities. The pre-award authority for each phase is automatic 
upon FTA's signing of a letter to the project sponsor approving entry 
into that phase. PE and FD are defined in the New Starts regulation 
entitled Major Capital Investment Projects, found at 49 CFR Part 611.
    b. Real Property Acquisition Activities. FTA extends automatic pre-
award authority for the acquisition of real property and real property 
rights for a New Starts project upon completion of the NEPA process for 
that project. The NEPA process is completed when FTA signs an 
environmental Record of Decision (ROD) or Finding of No Significant 
Impact (FONSI), or makes a Categorical Exclusion (CE) determination. 
With the limitations and caveats described below, real estate 
acquisition for a New Starts project may commence, at the project 
sponsor's risk, upon completion of the NEPA process.
    For FTA-assisted projects, any acquisition of real property or real 
property rights must be conducted in accordance with the requirements 
of the Uniform Relocation Assistance and Real Property Acquisition 
Policies Act (URA) and its implementing regulations, 49 CFR Part 24. 
This pre-award authority is strictly limited to costs incurred: (i) To 
acquire real property and real property rights in accordance with the 
URA regulation, and (ii) to provide relocation assistance in accordance 
with the URA regulation. This pre-award authority is limited to the 
acquisition of real property and real property rights that are 
explicitly identified in the final environmental impact statement 
(FEIS), environmental assessment (EA), or CE document, as needed for 
the selected alternative that is the subject of the FTA-signed ROD or 
FONSI, or CE determination. This pre-award authority does not cover 
site preparation, demolition, or any other activity that is not 
strictly necessary to comply with the URA, with one exception. That 
exception is when a building that has been acquired, has been emptied 
of its occupants, and awaits demolition poses a potential fire-safety 
hazard or other hazard to the community in which it is located, or is 
susceptible to reoccupation by vagrants. Demolition of the building is 
also covered by this pre-award authority upon FTA's written agreement 
that the adverse condition exists.
    Pre-award authority for property acquisition is also provided when 
FTA makes a CE determination for a protective buy or hardship 
acquisition in accordance with 23 CFR 771.117(d)(12), and when FTA 
makes a CE determination for the acquisition of a pre-existing railroad 
right-of-way in accordance with 49 U.S.C. 5324(c). When a tiered 
environmental review in accordance with 23 CFR 771.111(g) is being 
used, pre-award authority is not provided upon completion of the first-
tier environmental document except when the Tier-1 ROD or FONSI signed 
by FTA explicitly provides such pre-award authority for a particular 
identified acquisition.
    Project sponsors should use pre-award authority for real property 
acquisition and relocation assistance very carefully, with a clear 
understanding that it does not constitute a funding commitment by FTA. 
FTA provides pre-award authority upon completion of the NEPA process to 
maximize the time available to project sponsors to move people out of 
their homes and places of business, in accordance with the requirements 
of the Uniform Relocation Act, but also with maximum sensitivity to the 
plight of the people so affected. Although FTA provides pre-award 
authority for property acquisition upon completion of the NEPA process, 
FTA will not make a grant to reimburse the sponsor for real estate 
activities conducted under pre-award authority until the project has 
been approved into FD. Even if funds have been appropriated for the 
project, the timing of an actual grant for property acquisition and 
related activities must await FD approval to ensure that Federal funds 
are not risked on a project whose advancement beyond PE is still not 
yet assured.
    c. National Environmental Policy Act (NEPA) Activities. NEPA 
requires that major projects proposed for FTA funding assistance be 
subjected to a

[[Page 77364]]

public and interagency review of the need for the project, its 
environmental and community impacts, and alternatives to avoid and 
reduce adverse impacts. Projects of more limited scope also need a 
level of environmental review, either to support an FTA finding of no 
significant impact (FONSI) or to demonstrate that the action is 
categorically excluded from the more rigorous level of NEPA review.
    FTA's regulation titled ``Environmental Impact and Related 
Procedures,'' at 23 CFR Part 771 states that the costs incurred by a 
grant applicant for the preparation of environmental documents 
requested by FTA are eligible for FTA financial assistance (23 CFR 
771.105(e)). Accordingly, FTA extends pre-award authority for costs 
incurred to comply with NEPA regulations and to conduct NEPA-related 
activities for a proposed New Starts or Small Starts project, effective 
as of the date of the Federal approval of the relevant STIP or STIP 
amendment that includes the project or any phase of the project. NEPA-
related activities include, but are not limited to, public involvement 
activities, historic preservation reviews, section 4(f) evaluations, 
wetlands evaluations, endangered species consultations, and biological 
assessments. This pre-award authority is strictly limited to costs 
incurred to conduct the NEPA process, and to prepare environmental, 
historic preservation and related documents. It does not cover PE 
activities beyond those necessary for NEPA compliance.
    For many FTA programs, costs incurred by a grant applicant 
exercising pre-award authority in the preparation of environmental 
documents required by FTA are eligible for FTA reimbursement (See also 
23 CFR 771.105(e)). FTA assistance for environmental documents for New 
Starts and Small Starts projects, however, is subject to certain 
restrictions. Under SAFETEA-LU, Section 5309 New Starts funds cannot be 
used for any activity, including a NEPA-related activity that occurs 
prior to the approval of a New Starts project into PE or a Small Starts 
project into Project Development (PD). Section 5339 (Alternatives 
analysis program), Section 5307 (Urbanized Area Formula Program) and 
flexible highway funds are available for NEPA work conducted prior to 
PE approval (for New Starts) or PD approval (for Small Starts). Section 
5309 New Starts funds, however, as well as Section 5307 (Urban Formula 
program) and flexible highway funds, can be used for NEPA work 
conducted after PE approval (for New Starts) or PD approval (for Small 
Starts). NEPA-related activities include, but are not limited to, 
public involvement activities, historic preservation reviews, section 
4(f) evaluations, wetlands evaluations, endangered species 
consultations, and biological assessments. As with any pre-award 
authority, FTA reimbursement for costs incurred is not guaranteed.
    d. Other New Starts Activities Requiring Letter of No Prejudice 
(LONP). Except as discussed in paragraphs a through c 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 
awarded. To obtain an LONP, an applicant must submit a written request 
accompanied by adequate information and justification to the 
appropriate FTA regional office, as described in B below.
5. Pre-Award Authority for Small Starts
    When FTA issues a Project Development approval letter for a Small 
Starts project, FTA grants pre-award authority for the engineering and 
design activities necessary to complete NEPA. Upon FTA's issuance of a 
Record of Decision (ROD), a Finding of No Significant Impact (FONSI), 
or a Categorical Exclusion (CE) determination, pre-award authority is 
granted to incur costs for all other project engineering activities 
including right-of-way acquisition and utility relocation. When FTA 
issues a Project Construction Grant Agreement (PCGA), FTA grants pre-
award authority for the construction phase of the project. Pre-award 
authority for NEPA-related work on a Small Starts project is described 
in paragraph 4.c above. Pre-award authority for real property 
acquisition activities for a Small Starts project is granted under the 
same conditions and for the same reasons as for New Starts projects, as 
described in paragraph 4.b above.

B. Letter of No Prejudice (LONP) Policy

1. Policy
    LONP authority allows an applicant to incur costs on a project 
utilizing non-Federal resources, with the understanding that the costs 
incurred subsequent to the issuance of the LONP may be reimbursable as 
eligible expenses or eligible for credit toward the local match should 
FTA approve the project at a later date. LONPs are applicable to 
projects and project activities not covered by automatic pre-award 
authority. The majority of LONPs will be for Section 5309 New Starts or 
Small Starts funds not covered under a full funding grant agreement 
(FFGA) or PCGA, or for Section 5309 Bus and Bus-Related projects 
authorized but not yet appropriated by Congress. LONPs may be issued 
for formula and discretionary funds beyond the life of the current 
authorization or FTA's extension of automatic pre-award authority; 
however, the LONP is limited to a five-year period.
2. Conditions and Federal Requirements
    The conditions for pre-award authority specified in section V.A.2 
above apply to all LONPs. The Environmental, Planning and Other Federal 
Requirements described in section V.A.3 also apply to all LONPs. 
Because project implementation activities may not be initiated prior to 
NEPA completion, FTA will not issue an LONP for such activities until 
the NEPA process has been completed with a ROD, FONSI, or Categorical 
Exclusion determination.
3. Request for LONP
    Before incurring costs for a project not covered by automatic pre-
award authority, the project sponsor must first submit a written 
request for an LONP, accompanied by adequate information and 
justification, to the appropriate regional office and obtain written 
approval from FTA. FTA approval of an LONP for a New Starts or Small 
Starts project is determined on a case-by-case basis. As a prerequisite 
to FTA approval of an LONP for a New Starts or Small Starts project, 
FTA will require project sponsors to demonstrate project worthiness and 
readiness that establish the project as a promising candidate for an 
FFGA or PCGA. For New Starts projects, this usually cannot be 
determined prior to the project's approval to enter final design. 
However, there may be limited instances where LONP requests prior to 
entry into final design are approved, if strongly justified. Projects 
will be assessed based upon the criteria considered in the New Start 
evaluation process. Specifically, when requesting an LONP, the 
applicant shall provide sufficient information to allow FTA to consider 
the following items:
    a. Description of the activities to be covered by the LONP.
    b. Justification for advancing the identified activities. The 
justification should include an accurate assessment of the consequences 
to the project scope, schedule, and budget should the LONP not be 
approved.
    c. Data that indicates that the project will maintain its ability 
to receive a rating of ``medium'', or better and that its cost-
effectiveness rating will be ``medium'' or better, unless such project

[[Page 77365]]

has been specifically exempted from such a requirement.
    d. Allocated level of risk and contingency for the activity 
requested.
    e. Status of procurement progress, including, if appropriate, 
submittal of bids for the activities covered by the LONP.
    f. Strength of the capital and operating financial plan for the New 
Starts project and the future transit system.
    g. Adequacy of the Project Management Plan.
    h. Resolution of any readiness issues that would affect the 
project, such as land acquisition and technical capacity to carry out 
the project.

C. FTA FY 2009 Annual List of Certifications and Assurances

    The full text of the FY 2009 Certifications and Assurances was 
published in the Federal Register on October 31, 2008, and is available 
on the FTA Website and in TEAM-Web. The FY 2009 Certifications and 
Assurances must be used for all grants made in FY 2009, including 
obligation of carryover. All grantees with active grants are required 
to have signed the FY 2009 Certifications and Assurances within 90 days 
after publication. Any questions regarding this document may be 
addressed to the appropriate Regional Office or to Nydia Picayo, in the 
FTA Office of Program Management, at (202) 366-1662.

D. FHWA Funds Used for Transit Purposes

    SAFETEA-LU continues provisions in the Intermodal Surface 
Transportation Efficiency Act of 1991 (ISTEA) and TEA-21 that expanded 
modal choice in transportation funding by including substantial 
flexibility to transfer funds between FTA and FHWA formula program 
funding categories. The provisions also allow for transfer of certain 
discretionary program funds for administration of highway projects by 
FHWA and transit projects by FTA. FTA and FHWA execute Flex Funding 
Transfers between the Formula and Bus Grants Transit programs and the 
Federal Aid Highway programs. This also includes the transfer of 
Metropolitan and Statewide planning set-aside funds from FHWA to FTA to 
be combined with metropolitan and statewide planning resources as 
Consolidated Planning Grants (CPG). These transfers are based on States 
requests to transfer funding from the Highway and/or Transit programs 
to fund States and local project priorities, and joint planning needs. 
This practice can result in transfers to the Federal Transit Program 
from the Federal Aid Highway Program or vice versa.
1. Transfer Process for Funds
    SAFETEA-LU was enacted on August 10, 2005. With the enactment of 
SAFETEA-LU, beginning in FY2006, Federal transit programs are funded 
solely from general funds or trust funds. The transit formula and bus 
grant programs are now funded from MTA of the Highway Trust Fund. The 
Formula and Bus Grant Programs receives flex funding transfers from the 
Federal Aid Highway Program.
    As a result of the changes to program funding mechanisms, there is 
no longer a requirement to transfer budget authority and liquidating 
cash resources simultaneously upon the execution of a flex funding 
transfer request by a State. Since the transfers are between trust fund 
accounts, the only requirement is to transfer budget authority 
(obligation limitation) between the Federal Aid Program trust fund 
account and the Federal Transit Formula and Bus Grant Program account. 
At the point in time that the obligation resulting from the transfer of 
budgetary authority is expended, a transfer of liquidating cash will be 
required.
    Beginning in FY 2007, the accounting process was changed for 
transfers of flex funds and other specific programs to allow budget 
authority to be transferred and the cash to be transferred separately. 
FTA requires that flexed fund transfers to FTA be in separate and 
identifiable grants in order to ensure that the draw-down of flexed 
funds can be tracked, thus securing the internal controls for 
monitoring these resources from the Federal Highway Administration to 
avoid deficiencies in FTA's Formula and Bus Grants account.
    FTA monitors the expenditures of flexed funded grants and requests 
the transfer of liquidating cash from FHWA to ensure sufficient funds 
are available to meet expenditures. To facilitate tracking of grantees' 
flex funding expenditures, FTA developed codes to provide distinct 
identification of ``flex funds.''
    The process for transferring flexible funds between FTA and FHWA 
programs is described below. Note that the new transfer process for 
``flex funds'' that began in FY 2007 does not apply to the transfer of 
State planning set-aside funds from FHWA to FTA to be combined with 
metropolitan and statewide planning resources as Consolidated Planning 
Grants (CPG). These transfers are based on States requests to transfer 
funding from the Highway and/or Transit programs to fund States and 
local project priorities, and joint planning needs. Planning funds 
transferred will be allowed to be merged in a single grant with FTA 
planning resources using the same process implemented in FY 2006. For 
information on the process for the transfer of funds between FTA and 
FHWA planning programs refer to section IV.A and B. Note also that 
certain prior year appropriations earmarks (Sections 330, 115, 117, and 
112) are allotted annually for administration rather than being 
transferred. For information regarding these procedures, please contact 
Kristen D. Clarke, FTA Budget Office, at (202) 366-1686; or FHWA Budget 
Division, at (202) 366-2845.
a. Transfer From FHWA to FTA
    FHWA funds transferred to FTA are used primarily for transit 
capital projects and eligible operating activities that have been 
designated as part of the metropolitan and statewide planning and 
programming process. The project must be included in an approved STIP 
before the funds can be transferred. By letter, the State DOT requests 
the FHWA Division Office to transfer highway funds for a transit 
project. The letter should specify the project, amount to be 
transferred, apportionment year, State, urbanized area, Federal aid 
apportionment category (i.e., Surface Transportation Program (STP), 
Congestion Mitigation and Air Quality (CMAQ) or identification of the 
earmark and indication of the intended FTA formula program (i.e., 
Section 5307, 5311 or 5310) and should include a description of the 
project as contained in the STIP. Note that FTA may also administer 
certain transfers of statutory earmarks under the Section 5309 bus 
program, for tracking purposes.
    The FHWA Division Office confirms that the apportionment amount is 
available for transfer and concurs in the transfer, by letter to the 
State DOT and FTA. The FHWA Office of Budget and Finance then transfers 
obligation authority. All FHWA, CMAQ, and STP funds transferred to FTA 
will be transferred to one of the three FTA formula programs (i.e. 
Urbanized Area Formula (Section 5307), Nonurbanized Area Formula 
(Section 5311) or Elderly and Persons with Disabilities (Section 5310). 
High Priority projects in Section 1702 of SAFETEA-LU or Transportation 
Improvement projects in Section 1934 of SAFETEA-LU and other 
Congressional earmarks that are transferred to FTA will be aligned with 
and administered through FTA's discretionary Bus and Bus Related 
Facilities Program (Section 5309). The most recent guidance on 
transfers of FHWA funds as allowed

[[Page 77366]]

under SAFETEA-LU is FHWA Memorandum, dated July 19, 2007, ``Information 
Fund Transfers to Other Agencies and Among Title 23 Programs.''
    The FTA grantee's application for the project must specify which 
program the funds will be used for, and the application must be 
prepared in accordance with the requirements and procedures governing 
that program. Upon review and approval of the grantee's application, 
FTA obligates funds for the project.
    Transferred funds are treated as FTA formula or discretionary 
funds, but are assigned a distinct identifying code for tracking 
purposes. The funds may be transferred for any capital purpose eligible 
under the FTA formula program to which they are transferred and, in the 
case of CMAQ, for certain operating costs. FHWA issued revised interim 
guidance on project eligibility under the CMAQ program in a Notice at 
71 FR 76038 et seq. (December 19, 2006) incorporating changes made by 
SAFETEA-LU. In accordance with 23 U.S.C. 104(k), all FTA requirements 
except local share are applicable to transferred funds except in 
certain cases when CMAQ funds are authorized for operating expenses. 
Earmarks that are transferred to the Section 5309 Bus Program for 
administration, however, can be used for the Congressionally designated 
transit purposes, and in some case where the law provides, are not 
limited to eligibility under the Bus Program.
    In the event that transferred formula funds are not obligated for 
the intended purpose within the period of availability of the formula 
program to which they were transferred, they become available to the 
Governor for any eligible capital transit project. Earmarked funds, 
however, can only be used for the Congressionally designated purposes.
b. Transfers From FTA to FHWA
    The MPO submits a written request to the FTA regional office for a 
transfer of FTA Section 5307 formula funds (apportioned to a UZA 
200,000 and over in population) to FHWA based on approved use of the 
funds for highway purposes, as determined by the designated recipient 
under Section 5307 and contained in the Governor's approved State 
Transportation Improvement Program. The MPO must certify that: (1) 
Notice and opportunity for comment and appeal has been provided to 
affected transit providers; (2) the funds are not needed for capital 
investments required by the Americans with Disabilities Act, and (3) 
local transit needs are being addressed. The FTA Regional Administrator 
reviews and, if he or she concurs in the request, then forwards the 
approval in written format to FTA Headquarters, where a reduction equal 
to the dollar amount being transferred to FHWA is made to the grantee's 
Urbanized Area Formula Program apportionment.
    Transfers of discretionary earmarks for administration by FHWA are 
handled on a case-by-case basis, by the FTA regional office, in 
consultation with the FTA Office of Program Management, Office of Chief 
Counsel, and Office of Budget and Policy.
c. Matching Share for FHWA Transfers
    The provisions of Section 104(k) 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 four instances in which a Federal share higher than 80 
percent would be permitted. First, in States with large areas of Indian 
and certain public domain lands and national forests, parks and 
monuments, the local share for highway projects is determined by a 
sliding scale rate, calculated based on the percentage of public lands 
within that State. This sliding scale, which permits a greater Federal 
share, but not to exceed 95 percent, is applicable to transfers used to 
fund transit projects in these public land States. FHWA develops the 
sliding scale matching ratios for the increased Federal share.
    Second, commuter carpooling and vanpooling projects and transit 
safety projects using FHWA transfers administered by FTA may retain the 
same 100 percent Federal share that would be allowed for ride-sharing 
or safety projects administered by FHWA.
    The third instance is the 100 percent Federally-funded safety 
projects; however, these are subject to a nationwide 10 percent program 
limitation.
    The fourth instance occurs with CMAQ funds. H.R. 6, The Energy 
Independence and Security Act, 2007, increased the federal share of 
CMAQ projects to 100% at the State's discretion. FTA will honor this 
increased match for CMAQ funds transferred to FTA for implementation if 
the state chooses to fund the project at a higher federal share than 80 
percent. The federal share for CMAQ projects cannot be lower than 80 
percent.

D. Miscellaneous Transit Earmarks in FHWA Programs

    The FY 2002 and FY 2003 Appropriations Acts and accompanying 
reports included Section 330, which identified a number of transit 
projects among projects designated to receive funding from certain FHWA 
funding sources. The FY 2004 Appropriations Act similarly included 
transit projects among projects designated to receive funding from 
certain FHWA sources in Section 115, the FY 2005 Appropriations Act 
included a set of designations under Section 117, and the FY 2006 
Appropriations Act included designations under Section 112, which may 
include some projects that FHWA will identify to be administered by 
FTA. For those projects identified by FHWA as transit in nature, FHWA 
allots the funds to FTA to administer. The funds are available for the 
designated project until obligated and expended. Some of these FY 2002-
2006 designations for transit projects have not yet been obligated. 
However, because these are FHWA funds, funds for projects unobligated 
at the end of the FY are not automatically available as carry over made 
available in the following FY. Instead FHWA re-allots obligation 
authority to FTA annually, after reconciling account balances. Because 
the requirements and procedures associated with these projects differ 
in some cases from those for the FTA programs that FTA grantees are 
familiar with, and the availability of funds for obligation by FTA 
depends on allotments from FHWA, transit applicants seeking funding 
under these miscellaneous FHWA designations must work closely with the 
appropriate FTA regional office and FHWA Division Office when applying 
for a grant under these designations.

E. Grant Application Procedures

    1. Grantees must provide a Dun and Bradstreet (D&B) Data Universal 
Numbering System (DUNS) number for inclusion in all applications for a 
Federal grant or cooperative agreement. The DUNS number should be 
entered into the grantee profile in TEAM-Web. Additional information 
about this and other Federal grant streamlining initiatives mandated by 
the Federal Financial Assistance Management Improvement Act of 1999 
(Pub. L. 106-107) can be accessed on OMB's Web site at http://www.whitehouse.gov/omb/grants/reform.html.
    2. All applications for FTA funds should be submitted 
electronically to the appropriate FTA regional office through TEAM-Web, 
an Internet-

[[Page 77367]]

accessible electronic grant application system. FTA has provided 
limited exceptions to the requirement for electronic filing of 
applications.
    3. In FY 2009, FTA remains committed to processing applications 
promptly upon receipt of a completed application by the appropriate 
regional office. In order for an application to be considered complete 
and for FTA to assign a grant number, enabling submission in TEAM-Web, 
the following requirements must be met:
    a. The project is listed in a currently approved Metropolitan 
Transportation Plan, Metropolitan Transportation Improvement Program 
(TIP); FTA approved Statewide Transportation Improvement Program 
(STIP), or Unified Planning Work Program (UPWP).
    b. All eligibility issues have been resolved.
    c. Required environmental findings have been made.
    d. The project budget's Activity Line Items (ALI), scope, and 
project description meet FTA requirements.
    e. Local share funding source(s) have been identified.
    f. The grantee's required Civil Rights submissions are current.
    g. Certifications and assurances are properly submitted.
    h. Funding is available, including any flexible funds included in 
the budget.
    i. For projects involving new construction (using at least $100 
million in New Starts or formula funds), FTA engineering staff has 
reviewed the project management plan and given approval.
    j. When required for grants related to New Starts projects, PE and/
or FD has been approved.
    k. Milestone information is complete, or FTA determines that 
milestone information can be finalized before the grant is ready for 
award. The grant must include sufficient milestones appropriate to the 
scale of the project to allow adequate oversight to monitor the 
progress of projects from the start through completion and closeout.
    4. Under most FTA programs, grants involving funding related to 
transit operations must be submitted to the Department of Labor (DOL) 
for certification of labor protective arrangements, prior to grant 
award. Grants under the Nonurbanized Area Formula Program and Over-the-
Road Bus Program are covered under the special warranty provision and 
do not require certification. Beginning with grants associated in FY 
2009, Tribal Transit grants are also covered by the special warranty. 
Although grants under these programs will not be certified, they must 
be submitted to DOL upon approval by FTA. This change resulted from the 
new DOL Regulations, 29 CFR Part 215, published on August 13, 2008. In 
addition, before FTA can award grants for discretionary projects and 
activities designated by Congress, notification must be given to 
members of Congress, and in the case of awards greater than $500,000, 
to the House and Senate authorizing and appropriations committees three 
days prior to award. Discretionary grants allocated by FTA also go 
through the Congressional notification process if they are greater than 
$500,000. In previous years, the amount requiring notification was $1 
million; however, the Continuing Appropriations Act, 2008, lowered the 
threshold for notification to $500,000 dollars.
    5. Other important issues that impact FTA grant processing 
activities are discussed below.
a. Change in Budget Structure
    Because SAFETEA-LU restructured FTA's accounts from split funded 
accounts to one solely trust funded account and three general funded 
accounts, FTA does not mix funds from years prior to FY 2006 in the 
same grant with funds appropriated in FY 2006 and beyond (except for 
New Starts and research grants). Prior to FY 2006, all programs were 
funded approximately 80 percent from MTA of the Highway Trust Fund and 
20 percent from the General Funds U.S. Treasury. The trust funds were 
transferred into the general funded accounts at the beginning of the 
year. Under SAFETEA-LU most programs are funded entirely from trust 
funds derived from the MTA, while the New Starts and Research programs 
are funded with general funds. For a New Starts or research project, 
any prior year funds currently available for obligation and FY 2009 
funds may be included in an amendment to an existing grant.
    For formula programs funded solely from trust funds beginning in FY 
2006, grantees may not combine funds appropriated since FY 2006 in the 
same grant with FY 2005 and prior year funds. Grant amendments cannot 
be made to add FY 2006 and later year funds to a grant that includes FY 
2005 or prior funds. However, grantees are able to amend new grants 
established with FY 2006 or later year funds to add funds made 
available after FY 2006. We regret any inconvenience this accounting 
change may cause as we implement new statutory requirements under 
SAFETEA-LU. We encourage grantees to spend down and close out old 
grants as quickly as possible to minimize the inconvenience.
b. Grant Budgets--SCOPE and Activity Line Item (ALI) Codes
    FTA uses the SCOPE and Activity Line Item (ALI) Codes in the grant 
budgets to track program trends, to report to Congress, and to respond 
to requests from the Inspector General and the Government 
Accountability Office (GAO), as well as to manage grants. The accuracy 
of the data is dependent on the careful and correct use of codes. As 
needed, we revise the SCOPE and ALI table to include new codes for 
newly eligible capital items, to better track certain expenditures, and 
to accommodate new or modified programs. We encourage grantees to 
review the table before selecting codes from the drop-down menus in 
TEAM-Web while creating a grant budget and to consult with the regional 
office in the correct use of codes.
c. Earmark and Discretionary Program Tracking
    FTA has implemented procedures in TEAM-Web for matching grants to 
earmarks or projects selected by FTA under discretionary programs. Each 
earmark or selected discretionary project published in the Federal 
Register is associated with a unique identifier. Tables of earmarks and 
selected discretionary projects have also been established in TEAM-Web. 
When applying for a grant using funding designated by Congress or FTA 
for a particular project, grantees are asked to identify the amount of 
funding associated with each specific earmark or discretionary project 
used in the grant. Further instructions are posted on the TEAM-Website 
and regional staff can provide additional assistance.

F. Payments

    Once a grant has been awarded and executed, requests for payment 
can be processed. To process payments FTA uses ECHO-Web, an Internet 
accessible system that provides grantees the capability to submit 
payment requests on-line, as well as receive user-IDs and passwords via 
e-mail. New applicants should contact the appropriate FTA regional 
office to obtain and submit the registration package necessary for set-
up under ECHO-Web.

G. Oversight

    FTA conducts periodic oversight reviews to assess grantee 
compliance with Federal requirements. Each urbanized area grantee is 
reviewed every three years (a Triennial Review). Triennial reviews have 
been modified to look at the grantee's involvement in the coordinated 
planning for transportation for the populations targeted by the JARC

[[Page 77368]]

and New Freedom programs and participation in delivery of specialized 
services under those programs in the urbanized area. States are 
reviewed periodically for their management of the Section 5310, 5311, 
JARC, and New Freedom programs. Other more detailed reviews are 
scheduled based on an annual grantee risk assessment, for example, 
reviews in the areas of Procurement, Financial Management, Safety and 
Civil Rights.

H. Technical Assistance

    FTA headquarters and regional staff will be pleased to answer your 
questions and provide any technical assistance you may need to apply 
for FTA program funds and manage the grants you receive. This notice 
and the program guidance circulars previously identified in this 
document may be accessed via the FTA Web site at http://www.fta.dot.gov.
    In addition, copies of the following circulars and other useful 
information are available on the FTA Web site and may be obtained from 
FTA regional offices; Circular 4220.1F, Third Party Contracting 
Requirements; and Circular 5010.1D, Grant Management Guidelines. Both 
circulars were recently revised and can be found at http://www.fta.dot.gov/laws/leg_reg_circulars_guidance.html. The FY 2009 
Annual List of Certifications and Assurances and Master Agreement are 
also posted on the FTA Web site. The DOT final rule on ``Participation 
by Disadvantaged Business Enterprises in Department of Transportation 
Financial Assistance Programs,'' which was effective July 16, 2003, can 
be found at http://www.access.gpo.gov/nara/cfr/waisidx_04/49cfr26_04.html/

    Issued in Washington, DC, this 8th day of December 2008.
Sherry Little,
Acting Administrator.

 Appendix A

FTA Regional Offices

Richard H. Doyle, Regional Administrator, Region 1--Boston, Kendall 
Square, 55 Broadway, Suite 920, Cambridge, MA 02142-1093, Tel. 617 494-
2055.
States served: Connecticut, Maine, Massachusetts, New Hampshire, Rhode 
Island, and Vermont
Brigid Hynes-Cherin, Regional Administrator, Region 2--New York, One 
Bowling Green, Room 429, New York, NY 10004-1415, Tel. No. 212 668-
2170.
States served: New Jersey, New York
Letitia Thompson, Regional Administrator, Region 3--Philadelphia, 1760 
Market Street, Suite 500, Philadelphia, PA 19103-4124, Tel. 215 656-
7100.
States served: Delaware, Maryland, Pennsylvania, Virginia, West 
Virginia, and District of Columbia
Yvette Taylor, Regional Administrator, Region 4--Atlanta, Atlanta 
Federal Center, Suite 17T50, 61 Forsyth Street, SW., Atlanta, GA 30303, 
Tel. 404 562-3500.
States served: Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, Puerto Rico, South Carolina, Tennessee, and Virgin Islands
Marisol Simon, Regional Administrator, Region 5--Chicago, 200 West 
Adams Street, Suite 320, Chicago, IL 60606, Tel. 312 353-2789.
States served: Illinois, Indiana, Michigan, Minnesota, Ohio, and 
Wisconsin
Robert C. Patrick, Regional Administrator, Region 6--Ft. Worth, 819 
Taylor Street, Room 8A36, Ft. Worth, TX 76102, Tel. 817 978-0550.
States served: Arkansas, Louisiana, Oklahoma, New Mexico and Texas
Mokhtee Ahmad, Regional Administrator, Region 7--Kansas City, MO, 901 
Locust Street, Room 404, Kansas City, MO 64106, Tel. 816 329-3920.
States served: Iowa, Kansas, Missouri, and Nebraska
Terry Rosapep, Regional Administrator, Region 8--Denver, 12300 West 
Dakota Ave., Suite 310, Lakewood, CO 80228-2583, Tel. 720-963-3300.
States served: Colorado, Montana, North Dakota, South Dakota, Utah, and 
Wyoming
Leslie T. Rogers, Regional Administrator, Region 9--San Francisco, 201 
Mission Street, Room 2210, San Francisco, CA 94105-1926, Tel. 415 744-
3133.
States served: American Samoa, Arizona, California, Guam, Hawaii, 
Nevada, and the Northern Mariana Islands
Rick Krochalis, Regional Administrator, Region 10--Seattle, Jackson 
Federal Building, 915 Second Avenue, Suite 3142, Seattle, WA 98174-
1002, Tel. 206 220-7954.
States served: Alaska, Idaho, Oregon, and Washington
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[FR Doc. E8-29645 Filed 12-17-08; 8:45 am]
BILLING CODE 4910-57-C