[Federal Register Volume 74, Number 55 (Tuesday, March 24, 2009)]
[Notices]
[Pages 12447-12455]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-6420]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Solicitation of Comments and Notice of Availability of Fiscal
Year 2009 Funding for Transit Investments for Greenhouse Gas and Energy
Reduction Grants
AGENCY: Federal Transit Administration, DOT.
ACTION: Interim notice of funding availability, request for comments.
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SUMMARY: The American Recovery and Reinvestment Act of 2009 (ARRA)
appropriated $100 million for a new discretionary grant program for
public transportation projects that reduce a transit system's
greenhouse gas emissions or result in a decrease in a transit system's
energy use. Because of time limitations in ARRA funding, this notice
announces the availability of the new grant program, application
requirements, and deadlines for submitting grant proposals for funding.
However, because the Transit Investments for Greenhouse Gas and Energy
Reduction (TIGGER) program is a new grant program, FTA also is
accepting comments on the program's provisions and may alter some of
the requirements in response to comments.
DATES: Comments must be received by April 7, 2009. Late-filed comments
will be considered to the extent practicable. Complete proposals for
the TIGGER Grant Program must be submitted by May 22, 2009.
[[Page 12448]]
ADDRESSES: For Comments: You must include the agency name (Federal
Transit Administration) and the docket number (FTA-2009-0013) with your
comments. To ensure your comments are not entered into the docket more
than once, please submit comments, identified by the docket number
(FTA-2009-0013) by only one of the following methods:
1. Web site: The U.S. Government electronic docket site is
www.regulations.gov. Go to this Web site and follow the instructions
for submitting comments into docket number FTA-2009-0013;
2. Fax: Telefax comments to 202-493-2251;
3. Mail: Mail your comments to U.S. Department of Transportation,
1200 New Jersey Avenue SE., Docket Operations, M-30, Room W12-140,
Washington, DC 20590; or
4. Hand Delivery: Bring your comments to the U.S. Department of
Transportation, 1200 New Jersey Avenue SE., Docket Operations, M-30,
West Building Ground Floor, Room W12-140, Washington, DC 20590, between
9 a.m. and 5 p.m., Monday through Friday, except Federal holidays.
Instructions for submitting comments: You must include the agency
name (Federal Transit Administration) and Docket number (FTA-2009-0013)
for this notice at the beginning of your comments. You should submit
two copies of your comments if you submit them by mail or courier. For
confirmation that FTA has received your comments, you must include a
self-addressed stamped postcard. Note that all comments received will
be posted without change to www.regulations.gov, including any personal
information provided, and will be available to Internet users. You may
review DOT's complete Privacy Act Statement in the Federal Register
published April 11, 2000, (65 FR 19477), or you may visit
www.regulations.gov.
For Proposals: Proposals must be submitted electronically via e-
mail at [email protected]. FTA will announce grant selections in the
Federal Register when the selection process is complete.
This announcement is available on the Internet on the FTA Web site
at: http://www.fta.dot.gov. FTA will take all comments into
consideration and may publish a follow up document revising some
elements of the proposal. If FTA determines that no substantive changes
need be made in the Notice of Funding Availability, then all comments
will be responded to when FTA publishes a Federal Register notice
announcing the successful proposals. Proposals must be submitted to FTA
electronically at [email protected] and applicants should receive a
confirmation e-mail within 2 business days. A synopsis of this
announcement will be posted in the FIND module of the government-wide
electronic grants Web site at http://www.grants.gov. However,
applicants will not be able to apply through the APPLY module of that
site. Mail and fax submissions will not be accepted.
FOR FURTHER INFORMATION CONTACT: Contact the appropriate FTA Regional
Office (see Appendix A) for application-specific information and
issues. For general program information, contact Walter Kulyk, Office
of Mobility Innovation, (202)366-4995, e-mail: [email protected]. A
TDD is available at 1-800-877-8339 (TDD/FIRS). A TDD is available at 1-
800-877-8339 (TDD/FIRS).
SUPPLEMENTARY INFORMATION: FTA invites interested parties to comment on
the TIGGER program elements as outlined below. FTA intends to respond
and provide any revisions to the notice of funding availability in a
subsequent notice.
Table of Contents
I. Overview of this Notice
II. Eligibility Information
III. Proposal and Submission Information
IV. How Proposals Will Be Evaluated
V. Award Administration Information
VI. Technical Assistance
Appendix A--FTA Regional and Metropolitan Offices
Appendix B--Glossary of Terms
Appendix C--Proposal Outline
Appendix D--Project Measurement Guidelines
Appendix E--Tables
I. Overview of This Notice
The American Recovery and Reinvestment Act (ARRA) was enacted on
February 17, 2009. While the total amount in ARRA is $787 billion, $8.4
billion was appropriated to FTA for transit capital improvements and
reinvestment. Of this $8.4 billion, $100 million is appropriated for a
new program to provide direct funding to public transit agencies for
``capital investments that will assist in reducing the energy
consumption or greenhouse gas emissions of their public transportation
systems * * * .''
The program will take place in phases. Today's Federal Register
notice requests proposals be submitted by May 22, 2009. In addition,
because this is a new program, we are requesting comments on the
proposed program outline, structure, and requirements. FTA will take
all comments into consideration and may publish a follow up document
revising some elements of its proposal. If FTA determines that no
substantive changes need to be made in this Notice of Funding
Availability (NOFA), all comments will be responded to when FTA
publishes a Federal Register notice announcing the successful
proposals. If substantive changes are necessary, FTA may publish a
supplemental Federal Register notice and request for applications.
Depending on the nature of the comments and the number of initial
proposals received, FTA may award funds based on the initial proposals.
The ARRA authorizes two purposes for these new grants: first, for
capital investments that will assist in reducing the energy consumption
of a transit system; or, second, for capital investments that will
reduce greenhouse gas emissions of a public transportation system.
Proposals for projects may be submitted under either or both
categories. To ensure that the purposes of the ARRA are met, FTA has
established a range of funding that will be considered for approval.
Each submitted proposal must request a minimum of $2,000,000. FTA will
allow consolidated proposals from transit agencies to reach this
$2,000,000 threshold, thus, individual projects within a proposal may
receive less than $2,000,000. Conversely, to ensure a variety of
projects are funded, FTA has established a maximum grant amount of
$25,000,000.
II. Eligibility Information
A. Eligible Recipients
Eligible recipients under this program are public transportation
agencies.
B. Eligible Applicants
Any public transportation agency may apply. Since the minimum
proposal that will be accepted is $2,000,000, eligible applicants may
submit a consolidated proposal either directly, through a designated
recipient, a Metropolitan Planning Organization (MPO), State Transit
Association, Transportation Management Association (TMA), or through a
State Department of Transportation. Grant awards will be made for
particular projects directly to public transportation agencies.
C. Eligible Expenses
Eligible expenses must meet the following criteria: (1) The expense
must be an eligible capital expense as defined under 49 U.S.C.
5302(a)(1); and (2) The project will assist in the reduction of the
energy consumption of a public transportation system or the reduction
of greenhouse gas emissions of a public
[[Page 12449]]
transportation system. This excludes some elements of the statutory
definition of a capital project, such as fleet expansion or fixed
guideway extensions because these types of projects would increase
transit agency energy consumption.
D. Cost Sharing or Matching
The Federal share for TIGGER grants is 100 percent, although
applicants may request a lower Federal share.
III. Proposal and Submission Information
A. Proposal Submission Process
Proposals must be submitted by e-mail to [email protected]. A
synopsis of this announcement will be posted in the ``FIND'' module of
the government-wide electronic grants Web site at http://www.grants.gov. However, applicants will not be able to apply through
the ``APPLY'' module of that site. Mail and fax submissions will not be
accepted.
Because funding in the ARRA programs is intended to sustain or
create jobs and promote economic recovery, each proposed project should
be ready to implement once the grant is awarded and should be completed
in a reasonable period of time.
Successful applicants will apply for funds through FTA's TEAM
system. FTA may require revisions, such as a reduction in project
budget, before a grant award is submitted in TEAM.
B. Proposal Content
Proposals may contain one project from one transit agency, projects
from multiple public transit agencies, or multiple projects from one
public transit agency. Combined proposals must contain applicant
information for each agency. Proposals with multiple projects must
contain project information for each project. See Appendix C for an
outline of proposal requirements.
(1) Proposal Summary
A proposal should include a list of each project and sponsoring
applicant.
(2) Applicant Information
This addresses basic identifying information, including:
a. Applicant name;
b. Contact information (including contact name, address, e-mail
address, phone number and fax number;
c. Description of services provided by the agency, including areas
served;
d. If proposal includes vehicles, include existing fleet
information, such as a current rail or bus fleet management plan, if
not already on file with the FTA Regional Office, and
e. A description of your technical capacity to implement the
proposed project.
(3) Project Information
For each project, every proposal must: (a) Identify whether the
project is to be evaluated under energy reduction or greenhouse gas
reduction criteria or both criteria; (b) Describe the scope of the
project, including the proposed capital investment as well as the
existing system, subsystem, facility, vehicle, or component that the
investment will replace or be applied to. The project scope determines
where measurement of energy reductions or greenhouse gas emissions
reductions will take place and must be directly related to the actual
capital investment. It should be determined in a manner that permits
measurement before and after the investment to determine either the
energy savings or greenhouse gas reductions. For example, a project
could consist of replacing 10 buses in a 100 vehicle bus fleet with
more energy-efficient buses. In this case, measurement would focus on
the 10 vehicles, not the entire fleet. As another example, a project
could consist of including wayside energy storage for a rail system to
capture regenerated energy. In this case, the measurement could focus
on the energy use of the rail lines where the investment takes place,
not the entire rail system. As a third example, a project could consist
of multiple investments (e.g., compact fluorescents, solar panels) to
reduce the energy use of a bus maintenance facility. In that case, the
measurement could be the energy use of the entire facility; (c) Provide
a line item budget for the project and its total cost and for scalable
projects include the minimum amount necessary to implement the project
if FTA were not to fund the total cost; (d) Identify the expected
useful life of the investment; and (e) Provide brief project time-line
outlining steps from project development through completion, including
significant milestones such as date of contract awards and dates of
project implementation (e.g. when vehicles will begin revenue service).
(4) Project Measurement Information
A proposal must provide narrative information for each project
describing how the estimates provided in the summary tables were
calculated. See Appendix D--Project Measurement Guidelines provides
information on the step-by-step process agencies should follow in
developing their calculations. The proposals should provide information
for each step described in Appendix D. Proposals also should identify
the process the agency will use to determine the actual energy savings
or greenhouse gas emission reductions realized once the investment is
implemented.
(5) A proposal should include a project measurement summary for
either or both the energy consumption reduction or greenhouse gas
emission reduction programs. (See Appendix E--Tables.) FTA will post on
its Web site: www.fta.dot.gov a Microsoft Excel spreadsheet that may be
used to develop these tables.
(6) A proposal should address each of the evaluation criteria
separately.
C. Funding Restrictions
Only proposals from eligible recipients for eligible activities
will be considered for funding (see Section III of this Notice). FTA
may decide to provide only partial funding for certain proposals to
maximize the impact of this program.
IV. How Proposals Will Be Evaluated
Energy consumption reduction and greenhouse gas reduction projects
will be evaluated separately. An applicant may request evaluation under
both criteria if it provides the necessary project measurement
information. Two criteria are specific to energy consumption reduction
projects and one criterion is specific to greenhouse gas reduction
projects. The remaining criteria apply to all projects.
A. Project Evaluation Criteria for Energy Consumption Reduction
Projects
FTA will evaluate projects on total energy consumption savings
projected to result from the project, and projected energy savings of
the project as a percentage of the total energy usage of the public
transit agency. Refer to Appendix B for definitions.
B. Project Evaluation Criterion for Greenhouse Gas Emission Reduction
Projects
FTA will evaluate projects based on the total amount of greenhouse
gas reductions projected to result from the project.
C. Project Evaluation Criteria for All Projects
In addition, FTA will evaluate all projects on the following
criteria:
(1) Return on Investment. This includes the ratio of energy savings
or greenhouse gas reductions per dollar of Federal TIGGER funds
invested.
(2) Project Readiness. The Project Is Ready To Implement.
a. Any required environmental work has been initiated for
construction
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projects requiring an Environmental Finding.
b. Implementation plans are ready, including initial design of
facilities projects.
c. the Metropolitan Transportation Improvement Program/State
Transportation Improvement Program (TIP/STIP) can be amended.
d. Project can be obligated and implemented quickly, if selected.
(3) The applicant demonstrates the capacity to carry out the
project.
a. The applicant is in fundable status for the FTA grant program
b. The applicant demonstrates the technical capacity to carry out
the project including the project approach or project management plan.
c. The applicant has systems and internal controls in place that
allow it to separately track and report ARRA funds even used to fund an
existing project/activity.
d. The applicant has the ability to collect information and
demonstrate the results of the project for at least one year following
project implementation.(But note that useful life criteria apply for
FTA funded assets.)
(4) Project Innovation. The project identifies a unique,
significant, or innovative approach to reducing energy consumption or
greenhouse gas emissions not currently in widespread practice within
the transit industry or an approach distinct from the other proposals
received by FTA.
(5) The national applicability of the project as an example of
energy savings or greenhouse gas reductions including whether the
project could be replicated by other transit agencies regionally or
nationally.
D. Review and Selection Process
Proposals first will be screened by FTA program staff. After
evaluating proposals based on the established technical criteria, the
FTA review team will provide recommendations to the FTA Administrator.
FTA will publish the list of all selected projects and funding levels
in the Federal Register.
V. Award Administration Information
A. Award Notices
FTA will screen all proposals to determine whether all required
eligibility elements, as described in III. ``Eligibility Information''
are provided. Once proposals have been reviewed and projects have been
selected, FTA will award funds to the public transit agency to
implement the project. FTA will award funding to successful applicants
through a grant in FTA's TEAM grant management system. These grants
will be administered and managed by FTA regional offices in accordance
with the federal requirements of 49 U.S.C. Chapter 53.
B. Administrative and National Policy Requirements
Information about general requirements for FTA grant programs
funded by ARRA can be found in the Federal Register Notice American
Recovery and Reinvestment Act of 2009 Public Transportation
Apportionments, Allocations and Grant Program Information, (74 FR 9656,
March 5, 2009) and posted on our Web site (www.fta.dot.gov).
(1) Grant Requirements. If selected, project sponsors will apply
for a grant through TEAM and adhere to the customary FTA grant
requirements of 49 U.S.C. Chapter 53, including those identified in FTA
Circular 5010.1D and the FTA Master Agreement. Technical assistance
regarding these requirements is available from each FTA regional
office.
All recipients and their sub-awardees are required to have a DUNS
number (www.dnb.com) and a current registration in the Central
Contractor Registration (www.ccr.gov).
Recipients of ARRA funds must have systems and internal controls
that allow them to separately track and report ARRA funds even if the
funds are being used to fund an existing project/activity.
Applicants must sign and submit current Certifications and
Assurances before receiving a grant. Annual certifications and
assurances filed by a grantee for Fiscal Year 2009 under FTA's regular
program meet this requirement. The Applicant assures that it will
comply with all applicable Federal statutes, regulations, executive
orders, FTA circulars, and other Federal administrative requirements in
carrying out any project supported by the FTA grant. The Applicant
acknowledges that it is under a continuing obligation to comply with
the terms and conditions of the grant agreement issued for its project
with FTA. The Applicant understands that Federal laws, regulations,
policies, and administrative practices might be modified from time to
time and may affect the implementation of the project. The Applicant
agrees that the most recent Federal requirements will apply to the
project, unless FTA issues a written determination otherwise.
FTA will not amend its standard grant agreement for the purposes of
the ARRA. However, to the extent the ARRA imposes additional
requirements they will be reflected as special conditions in individual
grant documents.
(2) Planning. Applicants are encouraged to notify the appropriate
State DOT and MPO in areas likely to be served by the project funds
made available under this program. Incorporation of funded projects in
the long range plans and transportation improvement programs of States
and metropolitan areas is required of all funded projects. FTA cannot
obligate grant funds unless the project is contained in a federally
approved STIP.
Similarly, all environmental requirements must be complete before
FTA can obligate and award a grant in TEAM.
C. Reporting Requirements
FTA reporting requirements include standard reporting requirements
identified in FTA Circular 5010.1D, and the Master Grant Agreement. In
addition under ARRA, the TIGGER program has additional reporting
requirements. A recipient of TIGGER funds must report on an annual
basis:
(1) Actual annual energy consumed within the project scope
attributable to the investment, for energy consumption reduction
projects;
(2) Actual greenhouse gas emissions within the project scope
attributable to the investment, for greenhouse gas reduction projects;
(3) Actual annual reductions or increases in operating costs
attributable to the investment, for all projects.
As a condition of award, grantees receiving ARRA funds will be
required to report on grant activities on a routine basis. FTA grantees
will be responsible for reporting up-to-date and accurate information
in a milestone status report and financial status report on a quarterly
basis, as well as additional data elements that are required to be
reported in www.recovery.gov. Additionally, special certifications and
grant conditions also will be required of ARRA grant recipients, such
as:
a. One-Time Funding. The Recipient acknowledges that receipt of
ARRA funds is a ``one-time'' disbursement that does not create any
future obligation by the FTA to advance similar funding amounts.
b. Integrity. The Recipient agrees that all data it submits to FTA
in compliance with ARRA requirements will be accurate, objective, and
of the highest integrity.
c. Violations of Law. The Recipient agrees that it and its
subrecipients shall report any credible evidence that a principal,
employee, agent, contractor, subrecipient, subcontractor, or other
person has submitted a false claim
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under the False Claims Act or has committed a criminal or civil
violation of law pertaining to fraud, conflict of interest, bribery,
gratuity, or similar misconduct involving ARRA funds.
d. Maintenance of Effort. A Recipient that is a State agrees to
comply with the maintenance of effort certification it has made in
compliance with Section 1201 of ARRA.
e. Emblems. The Recipient agrees to identify projects supported by
FTA by attaching the appropriate emblems as the Federal Government may
require.
f. Reporting Requirements. In addition to other Federal reporting
requirements applicable to the type of project undertaken, the
Recipient agrees to
(1) Comply with the reporting requirements of ARRA, Section 1201(c)
and (f).
(2) Comply with reporting requirements and deadlines of ARRA,
Section 1512. Therefore, the Recipient reports on the use of the funds
and on the status of compliance with the National Environmental Policy
Act by submitting the Standard Form-Performance Progress Report-
Recovery form not later than 10 days after the end of each calendar
quarter to FTA. The Recipients agree to obtain a Dun and Bradstreet
Universal Numbering System (DUNS) number (www.dnb.com) for any first
tier subrecipient that does not have a DUNS number, and agrees to
maintain, and require its first tier subrecipients to maintain, active
and current profiles in the Central Contractor Registration database
(www.ccr.gov).
g. Further Requirements. The Recipient agrees to comply with any
applicable future Federal requirements that may be imposed on the use
of ARRA funds.
FTA will issue additional specific guidance on reporting
requirements in the near future for your information. The ARRA
statutory reporting requirements and certifications are identified
below:
(1) Section 1511: Certifications
For covered funds made available to State or local governments for
infrastructure investments, the Governor, mayor, or other chief
executive, as appropriate, is required to certify that the
infrastructure investment has received the full review and vetting
required by law and that the chief executive accepts responsibility
that the infrastructure investment is an appropriate use of taxpayer
dollars. Such certification must include a description of the
investment, the estimated total cost, and the amount of covered funds
to be used, and must be posted on a specified Web site. A State or
local agency may not receive infrastructure funds made available under
ARRA unless this certification is made and posted.
On February 27, 2009, USDOT Secretary LaHood sent letters to all
Governors providing guidance and a template for this certification and
instructing them to send the Section 1511 certification and the other
two certifications by the Governor described below to the Department at
the following address: [email protected]. A single certification by the
Governor, based on the established planning process, and including a
link to a Web site posting of the Statewide Transportation Improvement
Program, which must contain the required section 1511 information for
each investment, will satisfy the requirement for certification by the
Governor for both FHWA and FTA projects. FTA will provide further
guidance in the near future about any additional certifications that
may be required by local officials to ensure that all ARRA projects
have been properly vetted.
(2) Section 1512: Reports on Use of Funds
Recipient Reports.--Not later than 10 days after the end of each
calendar quarter, each recipient of ARRA funds from a Federal agency
shall submit a report to that agency that contains--
(A) The total amount of recovery funds received from that agency;
(B) The amount of recovery funds received that were expended or
obligated to projects or activities; and
(C) A detailed list of all projects or activities for which
recovery funds were expended or obligated, including--
(i) The name of the project or activity;
(ii) A description of the project or activity;
(iii) An evaluation of the completion status of the project or
activity;
(iv) An estimate of the number of jobs created and the number of
jobs retained by the project or activity; and
(v) For infrastructure investments made by State and local
governments, the purpose, total cost, and rationale of the agency for
funding the infrastructure investment with funds made available under
ARRA, and name of the person to contact at the agency if there are
concerns with the infrastructure investment.
(D) detailed information on any subcontracts or subgrants awarded
by the recipient to include the data elements required to comply with
the Federal Funding Accountability and Transparency Act of 2006 (Pub.
L. 109-282), allowing aggregate reporting on awards below $25,000 or to
individuals, as prescribed by the Director of the Office of Management
and Budget.
The data elements required to comply with Public Law 109-282 are:
name of entity receiving the award; the amount of the award;
information on the award including transaction type, funding agency,
the North American Industry Classification System Code or Catalog of
Federal Domestic Assistance number (where applicable); program source;
and an award title descriptive of the purpose of each funding action.
FTA will extract as much as possible of this information from grant
information and standard reports provided through its TEAM electronic
grants award and management system. Supplemental reporting may be
required, however, to provide the project and contract level
information. FTA will provide further reporting instructions at a later
date. FTA is working with other modal administrations within the United
States Department of Transportation (USDOT) to standardize the
information required from all USDOT recipients.
Additional frequency of reporting may be required to be responsive
to Congressional oversight requirements.
(3) Section 1512(h): Registration
Recipients of ARRA funds that are required to report information
per section 1512(c) (4) must register with Central Contractor
Registration database (CCR) or complete other registration requirements
as determined by the Director of the Office of Management and Budget
(OMB).
The reporting and registration requirements are effective September
1 2009. OMB has not yet determined whether to use the CCR or some other
registration database. However, OMB has issued guidance requiring FTA
and other Federal agencies to ensure that grantees and first tier
subawardees (subrecipients and contractors) obtain a DUNS number, or
update their DUNS record if necessary. OMB has not yet issued a final
determination on the extent to which subawardees will be required to
register in CCR.
(4) Section 1201(a): Maintenance of Effort
Not later than March 19, 2009, for each amount that is distributed
to a State or its agency from an appropriation in ARRA for a covered
program, the Governor of that State is required to certify to the
Secretary of Transportation that the State will maintain its effort
with regard to State funding for the types of projects that are funded
by the appropriation. As part of
[[Page 12452]]
this certification, the Governor is required to submit to the Secretary
of Transportation a statement identifying the amount of funds the State
planned to expend from State sources as of February 17, 2009, during
the period of February 17, 2009 through September 30, 2010, for the
types of projects that are funded by the appropriation.
This requirement applies only to State funding for transportation
projects eligible for ARRA funding. USDOT will treat this maintenance
of effort requirement through one consolidated certification from the
Governor to the Secretary, which must include State funding for transit
projects, as well as highway and other transportation modal projects.
(5) Section 1201(2)(c): Periodic Reports
For amounts received under each covered program by a grant
recipient under ARRA, the grant recipient shall include in the periodic
reports information tracking:
(A) The amount of Federal funds appropriated, allocated, obligated,
and outlaid under the appropriation;
(B) the number of projects that have been put out to bid under the
appropriation;
(C) the number of projects for which contracts have been awarded
under the appropriation and the amount of Federal funds associated with
such contracts;
(D) the number of projects for which work has begun under such
contracts and the amount of Federal funds associated with such
contracts;
(E) the number of projects for which work has been completed under
such contracts and the amount of Federal funds associated with such
contracts;
(F) the number of direct, on-project jobs created or sustained by
the Federal funds provided for projects under the appropriation and, to
the extent possible, the estimated indirect jobs created or sustained
in the associated supplying industries, including the number of job-
years created and the total increase in employment since February 17,
2009 and
(G) the actual aggregate expenditures by each grant recipient from
State sources for projects eligible for funding under the program
during the period of February 17, 2009 through September 30, 2010, as
compared to the level of such expenditures that were planned to occur
during such period as of the date of enactment of the ARRA.
Each grant recipient is required to submit the first of the
periodic reports required not later than 90 days from February 17,
2009.
FTA will extract as much of this information as possible from grant
information and standard reports provided through the TEAM electronic
grants award and management system. Supplemental reporting may be
required, however, to provide the project and contract level
information. FTA will provide further reporting instructions at a later
date. FTA is working with other modal administrations within DOT to
standardize the information required from all DOT recipients, including
the possibility of generating the required jobs data through the use of
economic models and factors applied to the data provided in the grant
awards and other information reported by the grantee.
(6) Section 1607
Section 1607 requires that the Governor certify within 45 days of
enactment (April 3, 2009) that, for funds provided, the state will
request and use funds provided by this Act and the funds will be used
to create jobs and promote economic growth. If the Governor does not
provide this certification, then the state legislature may act to
accept the funds.
(7) Section 1609
Under section 1609(c), FTA is required to report to certain
congressional committees every 90 days following enactment on the
status and progress of projects funded or proposed for funding under
the ARRA with respect to compliance with the National Environmental
Policy Act (NEPA) and its implementing regulations. FTA will request
assistance from grant recipients in compiling this quarterly report.
(8) Other Reporting
To satisfy the needs for transparency and accountability related to
funding appropriated under the ARRA, grantees may be required to
provide additional information not yet specified in response to
requests from the Office of Management and Budget (OMB), the
Congressional Budget Office (CBO), the Government Accountability Office
(GAO), or the USDOT Inspector General (IG) or the Recovery
Accountability and Transparency Board. FTA will inform grantees if and
when such additional reports are required.
VI. Technical Assistance
FTA will post answers to common questions about the program as well
as a Microsoft Excel spreadsheet for assistance in calculations at
www.fta.dot.gov. Technical assistance regarding these requirements is
available from each FTA regional office. The regional offices will
contact those applicants selected for funding regarding general and
ARRA-specific grants and reporting requirements and will provide
assistance in preparing the documentation necessary for the grant
award.
Contact the appropriate FTA Regional or Metropolitan Office (see
Appendix A) for application-specific information and issues. For
general program information, contact Walter Kulyk, Office of Mobility
Innovation, (202) 366-4995, e-mail: [email protected]. A TDD is
available at 1-800-877-8339 (TDD/FIRS).
Issued in Washington, DC, this 19th day of March, 2009.
Matthew J. Welbes,
Acting Deputy Administrator.
Appendix A--FTA Regional and Metropolitan Offices
------------------------------------------------------------------------
------------------------------------------------------------------------
Richard H. Doyle, Regional Robert C. Patrick, Regional
Administrator, Region 1-Boston, Administrator, Region 6-Ft.
Kendall Square, 55 Broadway, Suite Worth, 819 Taylor Street, Room
920, Cambridge, MA 02142-1093, Tel. 8A36, Ft. Worth, TX 76102,
617 494-2055. Tel. 817 978-0550.
States served: Connecticut, Maine, States served: Arkansas,
Massachusetts, New Hampshire, Rhode Louisiana, Oklahoma, New
Island, and Vermont. Mexico and Texas.
--------------------------------
Brigid Hynes-Cherin, Regional Mokhtee Ahmad, Regional
Administrator, Region 2-New York, One Administrator, Region 7-Kansas
Bowling Green, Room 429, New York, NY City, MO 901 Locust Street,
10004-1415, Tel. No. 212 668-2170. Room 404, Kansas City, MO
64106, Tel. 816 329-3920.
States served: New Jersey, New York, States served: Iowa, Kansas,
New York Metropolitan Office, Region 2- Missouri, and Nebraska.
New York, One Bowling Green, Room 428,
New York, NY 10004-1415, Tel. 212-668-
2202.
[[Page 12453]]
Letitia Thompson, Regional Terry Rosapep, Regional
Administrator, Region 3-Philadelphia, Administrator, Region 8-
1760 Market Street, Suite 500, Denver, 12300 West Dakota
Philadelphia, PA 19103-4124, Tel. 215 Ave., Suite 310, Lakewood, CO
656-7100. 80228-2583, Tel. 720-963-3300.
States served: Delaware, Maryland, States served: Colorado,
Pennsylvania, Virginia, West Virginia, Montana, North Dakota, South
and District of Columbia. Dakota, Utah, and Wyoming.
Philadelphia Metropolitan Office, ...............................
Region 3-Philadelphia, 1760 Market
Street, Suite 500, Philadelphia, PA
19103-4124, Tel. 215-656-7070.
Washington, DC Office, 1990 K St NW., ...............................
Suite 510, Washington, DC 20006.
Phone: (202) 219-3562 or (202) 219- ...............................
3565, Fax: (202) 219-3545.
--------------------------------
Yvette Taylor, Regional Administrator, Leslie T. Rogers, Regional
Region 4-Atlanta, 230 Peachtree Administrator, Region 9-San
Street, NW., Suite 800, Atlanta, GA Francisco, 201 Mission Street,
30303, Tel. 404 562-3500. Suite 1650, San Francisco, CA
94105-1926, Tel. 415 744-3133.
States served: Alabama, Florida, States served: American Samoa,
Georgia, Kentucky, Mississippi, North Arizona, California, Guam,
Carolina, Puerto Rico, South Carolina, Hawaii, Nevada, and the
Tennessee, and Virgin Islands. Northern Mariana Islands.
Los Angeles Metropolitan
Office, Region 9-Los Angeles,
888 S. Figueroa Street, Suite
1850, Los Angeles, CA 90017-
1850, Tel. 213-202-3952.
--------------------------------
Marisol Simon, Regional Administrator, Rick Krochalis, Regional
Region 5-Chicago, 200 West Adams Administrator, Region 10-
Street, Suite 320, Chicago, IL 60606, Seattle, Jackson Federal
Tel. 312 353-2789. Building, 915 Second Avenue,
Suite 3142, Seattle, WA 98174-
1002, Tel. 206 220-7954.
States served: Illinois, Indiana, States served: Alaska, Idaho,
Michigan, Minnesota, Ohio, and Oregon, and Washington.
Wisconsin, Chicago Metropolitan
Office, Region 5-Chicago, 200 West
Adams Street, Suite 320, Chicago, IL
60606, Tel. 312-353-2789.
------------------------------------------------------------------------
Appendix B--Glossary of Terms
Energy Use of the Public Transportation System is energy
expressed in British Thermal Units (BTUs) (e.g., fuel, electricity,
steam) using the lower (net) heating value purchased directly by the
public transportation system. It includes both revenue and non
revenue operations directly operated by the agency, but not energy
used for purchased services. It includes fuel used by an agency to
generate energy, but not energy generated by an agency. As an
example, a diesel generator operated by an agency would count the
diesel used by the generator but not the electricity produced by the
generator. Energy produced on-site using solar or wind power is also
not counted as part of consumption.
Greenhouse Gases are gases that trap heat in the atmosphere
expressed in metric tons of CO2 equivalent. The principal
greenhouse gases that enter the atmosphere because of human
activities are: Carbon Dioxide (CO2); Methane
(CH4); Nitrous Oxide (N2O); and Fluorinated
Gases (Hydrofluorocarbons, perfluorocarbons, and sulfur
hexafluoride)
Greenhouse Gas Emissions of the Public Transportation Agency are
greenhouse gas emissions from public transportation systems vehicles
or facilities, otherwise known as direct emissions. It does not
include indirect emissions (e.g., from third-party power plants) or
displaced emissions (e.g., emissions from manufacturing transit
equipment, waste disposal, emissions released outside the transit
agency service area, etc.)
Project is the proposed capital investment as well as the
existing system, subsystem, facility, vehicle, or component that the
investment will replace or be applied to. The project scope
determines where measurement of energy reductions or emissions
reductions will take place and must be directly related to the
actual capital investment.
Total Project Energy Savings is the estimated annual project
energy savings multiplied by the expected useful life of the
investment.
Total Project Greenhouse Gas Emission Reductions is the
estimated annual project greenhouse gas emission reductions
multiplied by the expected useful life of the investment.
Appendix C--Proposal Outline
Each proposal must contain the following information.
1. A list of each project, and sponsoring applicant
2. Applicant information: For each transit agency included in
the proposal, the information should include:
a. Applicant name,
b. Contact information
c. Description of services provided by the agency and areas
served
d. If proposal includes vehicles, include existing fleet
information, such as a current rail or bus fleet management plan, if
not already on file with the FTA Regional Office, and
e. A description of their technical, legal, and financial
capacity to implement the proposed project.
3. Project Information: For each project proposed, the
information should include:
a. Whether the project is to be evaluated under energy
reduction, greenhouse gas reduction criteria, or both.
b. A description of the scope of the project.
c. Provide a line item budget for the project and its total cost
and for scalable projects include the minimum amount necessary to
implement the project if FTA were not to fund the total cost.
d. Identify the expected useful life of the investment
e. Provide brief project time-line outlining steps from project
development through completion, including significant milestones
such as date of contract awards and dates of project implementation
(e.g. when vehicles will begin revenue service).
4. Project Measurement Criteria for Energy Reduction projects:
Proposals should identify the process the agency will use to
determine the actual energy savings once the investment is
implemented. For each project proposed to reduce energy consumption
the proposal should include:
a. Project's Current Annual Energy Use
b. Project's Estimated Annual Energy Use
c. Project's Estimated Annual Energy Savings
d. Project's Total Energy Savings
e. Project's Total Energy Savings as a Percentage of the
Agency's Total Energy Use. This can be reported as less than one
percent or the proposal must include:
i. Total reported Energy Consumption
ii. Total non-reported Energy Consumption
iii. Total Energy Consumption of the Public Transportation
Agency
iv. The Project's Total Energy Savings as a percentage of the
Total Energy Consumption of the Public Transportation Agency
5. Project Measurement Criteria for Greenhouse Gas Emission
Reduction projects: Proposals should identify the process the agency
will use to determine the greenhouse gas emission reductions once
the investment is implemented. For each project proposed to reduce
greenhouse gas emissions the proposal should include:
a. Project's Current Annual Greenhouse Gas Emissions
b. Project's Estimated Annual Greenhouse Gas Emissions
[[Page 12454]]
c. Project's Estimated Annual Greenhouse Gas Savings
d. Project's Total Greenhouse Gas Savings
6. Project Measurement Summaries (Tables 1 and or 2 in Appendix
C). FTA will post on its Web site: www.fta.dot.gov a Microsoft Excel
spreadsheet that may be used to develop these tables.
7. Address each of the evaluation criteria separately.
a. Return on Investment--no additional information is required
b. The Project Is Ready To Implement--the proposal should
address whether:
i. Any required environmental work has been initiated for
construction projects requiring an Environmental Finding.
ii. Implementation plans are ready, including initial design of
facilities projects.
iii. TIP/STIP can be amended.
iv. Project can be obligated and implemented quickly, if
selected.
c. The applicant demonstrates the capacity to carryout the
project--the proposal should address whether:
i. The applicant is in fundable status for the FTA grant program
ii. The applicant demonstrates the technical capacity to carry
out the project, including the project approach or project
management plan.
iii. The applicant has systems and internal controls that allow
them to separately track and report Recovery Act funds even if the
funds are being used to funds an existing project/activity.
iv. The applicant has the ability to collect information on the
results of the project for one year following the project's
implementation.
d. The degree of innovation in a project--the proposal should
address whether the project identifies a unique or significant
approach to reducing energy consumption or greenhouse gas emissions
not currently in widespread practice within the industry or an
approach distinct from the other proposals received.
e. The national applicability of the project as an example of
energy savings or greenhouse gas reductions--the proposal should
address whether the project identified could be replicated by other
transit agencies regionally or nationally.
Appendix D--Project Measurement Guidelines
I. Projects Measured Under The Energy Consumption Reduction Focus of
ARRA
Energy consumption is the total annual energy (e.g., fuel,
electricity, steam) purchased directly by the public transportation
system. It includes both revenue and non revenue operations directly
operated by the agency, but not energy used for purchased services.
It includes fuel used by an agency to generate energy, but not
energy generated by an agency. As an example, a diesel generator
operated by an agency would count the diesel used by the generator
but not the electricity produced by the generator. Energy produced
on-site using solar or wind power is also not counted as part of
consumption.
When calculating energy consumption, all initial figures should
be expressed in both the typical units for that energy source (e.g.
gallons or kWh) and in British Thermal Units (BTUs), using the lower
(net) heating value. The Center for Transportation Analysis of
Oakridge National Laboratory of the Department of Energy provides
information and links on how to convert typical energy units to BTUs
in the Transportation Energy Data Book at http://cta.ornl.gov/data/tedb27/Edition27_Appendix_B.pdf. All final calculations should be
performed in BTUs. Agency's annual data should be based on the most
recent year for which 12 continuous months of data is available, but
no earlier than 2007 data.
A. Total Project Energy Savings
(i) Project's Current Annual Energy Use. The proposal must
identify the current annual energy use of the project scope that the
proposed investment is to be applied to or replace and describe how
this was calculated.
(ii) Project's Estimated Annual Energy Use. The proposal must
identify the estimated annual energy use of the same project scope
for when the project is implemented.
(iii) Project's Annual Energy Savings. The proposal must
subtract the project's estimated annual energy use from the
project's current annual energy use. This is the estimated annual
project energy savings.
(iv) Total Project Energy Savings. The proposal must multiply
the estimated annual project energy savings by the expected useful
life of the investment.
B. Total Project Energy Savings as a Percentage of the Total Energy
Use of the Public Transportation Agency
(i) For some projects, the estimated total project energy
savings as a percentage of the total energy use of the public
transportation system will be less than one percent. In those cases
the proposal may identify the total savings as less than one percent
without further calculations provided.
(ii) If the agency estimates that the total project energy
savings as a percentage of the total energy use of the public
transportation system will be greater than one percent, the proposal
must include the following:
(1) Reported Energy Consumption. The proposal must identify
directly operated annual bus and rail propulsion energy consumption.
This is normally reported to the National Transit Database (see
``Table 17: Energy Consumption by Public Transit Entity''). However,
the proposal should use data from the same time period as being used
for the rest of the calculations, which is not necessarily the data
reported in NTD.
(2) Non-reported Energy Consumption. The proposal must estimate
energy consumption for all energy consumed by the agency not
reported in Table 17. The estimate should include a listing of what
related vehicles, facilities, systems, and equipment are included
and how the total energy consumption for each was calculated. This
will need to be supported by the applicant's own data.
(3) Total Energy Use of the Public Transportation Agency. The
proposal must add reported energy consumption with non-reported
energy consumption.
(4) For each project, the proposal must divide the estimated
total project energy savings by the total energy use of the public
transportation agency.
II. Projects To Be Evaluated Under Greenhouse Gas Reduction Focus of
the ARRA
Only projects that will reduce greenhouse gas emissions of the
public transportation system, otherwise known as direct emissions
(e.g. emissions from their vehicles or facilities) are eligible
under this program. Projects intended to reduce indirect emissions
(e.g., from third-party power plants) or displaced emissions (e.g.,
emissions from manufacturing transit equipment, waste disposal,
emissions released outside the transit agency service area, etc.)
are ineligible. As an example, an electric heavy-rail system
consuming electricity purchased from a third-party power plant would
be considered to have zero greenhouse gas emissions, irrespective of
the type of power plant or the greenhouse gases emitted in the
production and construction of the system and equipment.
The most common greenhouse gas emitted by public transportation
agencies is carbon dioxide (CO2). If the proposal
estimates reductions to other greenhouse gases they must be
converted to their CO2 equivalent. Agency's annual data
should be based on the most recent year they for which a full year's
worth of data is available, but no earlier than 2007 data.
In most cases, CO2 emissions should be calculated by
multiplying energy use by an appropriate emission factor (e.g.,
approximately 9.17 kg of CO2 are emitted per gallon of
diesel fuel burned) outlined below. The Environmental Protection
Agency provides information and a calculator on greenhouse gas
conversions at: http://www.epa.gov/solar/energy-resources/calculator.html.
Data should be reported in metric tons of CO2
equivalent. If an agency uses another procedure, it should clearly
justify and describe its calculations.
A. Project's Total Estimated Greenhouse Gas Reduction
(i) Project's Current Annual Greenhouse Gas Emissions. The
proposal must identify the current greenhouse gas emissions of the
project scope that the proposed investment is to be applied to or
replace.
(1) The proposal should identify the energy source, the
project's current annual energy use (as calculated above), and
multiply the project's current annual energy use by the appropriate
emission factor.
(2) Project's Estimated Annual Greenhouse Gas Emissions. The
proposal must identify the estimated annual greenhouse gas emissions
of the same project scope when the project is implemented.
(a) The proposal should identify the project's new energy source
(if applicable), the project's estimated annual energy use (as
calculated above), and multiply the project's estimated annual
energy use by the appropriate emission factor.
[[Page 12455]]
(b) Project's Estimated Annual Greenhouse Gas Reduction. The
proposal must subtract the project's estimated annual greenhouse gas
emissions from the project's current annual greenhouse gas
emissions.
(c) Project's Estimated Total Greenhouse Gas Reduction. The
proposal must multiply the project's estimated annual greenhouse gas
reduction by the estimated useful life of the investment.
Appendix E--Tables
FTA will post on its Web site: www.fta.dot.gov a Microsoft Excel
spreadsheet that may be used to develop these tables.
Table 1--For Energy Consumption Reduction Projects
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
A1. Agency...................... A2. Total Agency A3. Total Agency A4. Total Agency Note: For some projects, the estimated total project energy savings as a percentage of the total
Reported Energy Non-Reported Energy Use. energy use of the public transportation system will be less than one percent. In those cases the
Use. Energy Use. proposal may identify the total savings as less than one percent for E8 and need not fill in A2-
A4.
-----------------------------------------------------
Agency X........................ xx................ xx................ xx................
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
E1. Project Scope (Title)........................... E2. Cost.......... E3. Estimated E4. Project's E5. Project's E6. Project's E7. Total Project E8. Total Savings
Project Useful Current Annual Estimated Annual Annual Energy Energy Savings. as % of Total Use
Life. Energy Use. Energy Use. Savings.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Project 1........................................... Project Cost...... xx................ xx................ xx................ E4-E5............. E5 X E3........... E7/A4
Project 2........................................... Project Cost...... xx................ xx................ xx................ E4-E5............. E5 X E3........... E7/A4
Project 3........................................... Project Cost...... xx................ xx................ xx................ E4-E5............. E5 X E3........... E7/A4
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Table 2--For Greenhouse Gas Emission Reduction Projects
--------------------------------------------------------------------------------------------------------------------------------------------------------
Agency name:
---------------------------------------------------------------------------------------------------------------------------------------------------------
G4. Project's G5. Project's G6. Project's
G3. Estimated current annual CO2 estimated annual estimated annual E7. Total project
G1. Project scope (Title) G2. Cost project useful equivalent CO2 equivalent CO2 emission CO2 emission
life emissions emissions reductions reductions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Project 1....................... Project Cost...... xx................ xx................ xx................ G4-G5............. G6 X G3
Project 2....................... Project Cost...... xx................ xx................ xx................ G4-G5............. G6 X G3
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[FR Doc. E9-6420 Filed 3-23-09; 8:45 am]
BILLING CODE 4910-57-P