[Federal Register Volume 74, Number 89 (Monday, May 11, 2009)]
[Notices]
[Pages 21843-21850]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-10963]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
American Recovery and Reinvestment Act of 2009 Public
Transportation Capital Investment Grants Program Appropriation and
Allocations
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The ``American Recovery and Reinvestment Act, 2009'' (Pub. L.
111-5; ``ARRA''), signed into law by President Barack Obama on February
17, 2009, includes $8.4 billion for transit capital improvements. The
Federal Transit Administration (FTA) published in the Federal Register
the transit formula program-related provisions of the ARRA, as well as
program and grant application requirements for these funds, on March 5,
2009. This notice implements the Capital Investment Grants Program
provisions of the ARRA and provides program and grant application
requirements for these funds, for FTA's New Starts and Small Starts
programs.
DATES: FTA may de-obligate and reallocate certain undisbursed funds by
May 11, 2010.
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 or
[[Page 21844]]
metropolitan office (Appendix B) for any specific requests for
information or technical assistance.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview of This Notice
II. Capital Investment Grants Program
A. FY 2009 ARRA Funding Availability
B. Basis for Allocation
C. Program Requirements and Period of Availability
D. Reporting Requirements and Certifications Applicable to
Recipients of ARRA Funds
E. Technical Assistance
Allocation Table for ARRA Capital Investment Grants Program
Appendix A: Grant Application Instructions
Appendix B: Regional Contact Information
I. Overview of This Notice
The American Recovery and Reinvestment Act of 2009 (ARRA) includes
appropriations and tax law changes totaling approximately $787 billion
to support multi-pronged efforts to stimulate the economy. Goals of the
statute include the preservation and creation of jobs and promotion of
economic recovery, as well as the investment in transportation,
environmental protection and other infrastructure providing long-term
economic benefits to the Nation.
ARRA provides $8.4 billion for public transportation. ARRA's
formula transit programs--the Capital Transit Assistance program and
the Fixed Guideway Infrastructure Investment program--were the subject
of FTA's March 5, 2009 Federal Register notice. The March 5 notice
further provided an overview of the ARRA's transit provisions and
established the principles, policies, and procedures that would apply
to all ARRA formula transit programs. Readers interested in how FTA
intends to implement ARRA's formula transit program resources should
refer to the March 5 notice for more information. Published separately
are two discretionary program Federal Register notices under the ARRA
Transit Capital Assistance Program: $17 million for the Tribal Transit
Program (published March 23, 2009) and $100 million for a new Transit
Investments for Greenhouse Gas and Energy Reduction (TIGGER) Program
(published March 24, 2009).
This Federal Register notice provides allocations of ARRA's third
and largest discretionary transit capital program. The Capital
Investment Grants Program makes available $750 million for FTA's
discretionary New and Small Starts Programs. The basis for FTA's
allocation of this funding is described within this notice, as are
program grant and reporting requirements and the period of availability
of Capital Investment Grants funding. This notice also includes contact
information for FTA regional and metropolitan offices.
II. Capital Investment Grants Program--New Starts/Small Starts
The Capital Investment Grants Program authorizes the Secretary of
Transportation to make discretionary grants as authorized under 49
U.S.C. 5309(d) and (e). This program will be implemented consistent
with the requirements of the New Starts and Small Starts Programs,
which provide funds for construction of major capital investments in
new fixed guideway systems, extensions to existing fixed guideway
systems, or, in the case of Small Starts, certain corridor-based bus
projects. The $750 million provided for the program is estimated to
support over 20,000 direct and indirect jobs and will expedite the
delivery of new major capital rail and bus investments in several
cities across the Nation. For more information about New or Small
Starts project development contact Elizabeth Day, Director of the
Office of Project Planning, at (202) 366-5159, or for information about
published allocations contact Aaron C. James, Sr., Director of the
Office of Engineering, at (202) 493-0107.
A. FY 2009 ARRA Funding Availability
The ARRA provides $750,000,000 to New Starts and Small Starts
projects under the Capital Investment Grants Program. The total amount
apportioned for projects is $742,500,000, after a one percent takedown
for oversight and administrative expenses provided in ARRA as shown in
the table below.
Capital Investment Grants
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation..................................... $750,000,000
Administrative and Program Management Oversight -$7,500,000
Deduction..............................................
---------------
Total Apportioned................................... $742,500,000
------------------------------------------------------------------------
B. Basis for Allocation
This notice allocates all ARRA funding for the Capital Investment
Grants Program. In making these allocations, FTA considered both the
specific direction provided in the legislation as well as Congress' and
the Administration's general objectives for accountability and
transparency in the administration of ARRA funds. These objectives
include the prompt and fair distribution of funding, the assurance that
funds are being used for authorized purposes, and that instances of
waste, fraud, and abuse are avoided. FTA also wanted to ensure that
projects funded with ARRA discretionary resources demonstrated merit by
meeting the statutory project justification and local financial
commitment criteria of the New Starts and Small Starts Programs.
ARRA provides that when FTA is selecting projects to be funded,
``priority shall be given to projects that are currently in
construction or are able to obligate funds within 150 days of
enactment'' of ARRA on February 17, 2009. The provisions of 49 U.S.C.
5309(d) and (e) are not waived by ARRA. Accordingly, FTA analyzed the
schedules and construction cash flow needs of ten New Starts projects
and one Small Starts project under construction or with Federal pay-out
schedules established in their Full Funding Grant Agreements (FFGAs) or
Project Construction Grant Agreement (PCGA) extending beyond Fiscal
Year (FY) 2009. FTA also reviewed the capacity of these projects'
existing contracts and of new contracts expected to be awarded by July
2009. The analysis showed that most of the eleven projects considered
for ARRA Capital Investment Grants funding demonstrated some contract
capacity to absorb additional revenues, but that projects differed in
their assessed ability (based on current construction and debt payoff
schedules) to rapidly make use of ARRA funding. As the contract
capacity of the eleven projects combined exceeded the amount of
available ARRA Capital Investment Grants resources--and because FTA
could not be assured that any other project in the New Starts or Small
Starts pipeline not in construction could obligate a significant amount
of funding within 150 days of ARRA enactment--FTA limited its
allocation of discretionary funding to this set of eleven major capital
investments.
Consequently, a two-step funding allocation approach was used. In
the first step, each of the eleven New Starts projects was allocated an
amount equal to 40 percent of its FY 2010 scheduled pay-out, while the
Pioneer Parkway EmX Bus Rapid Transit Small Starts project in
Springfield, Oregon was allocated an amount equal to its entire FY 2010
pay-out of $2,940,000, thus completing the Federal funding commitment
to the project. The step-one allocation totaled $457,680,000 of the
available $742,500,000. In the second step, the remaining $284,820,000
was distributed proportionally among five New Starts investments in
construction with projected contract expenditures in calendar year 2009
that are higher than their FY 2009 scheduled New Starts pay-out. FTA
believes that by
[[Page 21845]]
accelerating Federal funding to these eleven projects, their sponsors
will achieve one or more possible positive outcomes, including an
acceleration of the schedule of construction for a project, a reduction
in project finance costs, and/or the re-distribution of planned project
resources to other local transit priorities.
The allocation of Capital Investment Grants Program funding is
presented in the Allocation Table of this notice. The total Federal
funding commitment for each project will not change. However, each
FFGA's final scheduled New Starts pay-out will be reduced by the
amounts allocated in this Federal Register notice. The allocation of
ARRA Capital Investment Grants funding to liquidate New Starts and
Small Starts commitments will make available anew previously committed
Federal New or Small Starts commitment authority. The additional
commitment authority created by this $750 million allocation totals
$1.5 billion due to the statutory method for calculating commitment
authority. This allocation has the benefit of maximizing commitment
authority. This will allow FTA to make additional New or Small Starts
commitments in the coming months and contribute to the creation of jobs
associated with additional construction of new major capital transit
projects. In the absence of ARRA resources and this allocation
approach, the additional commitment authority to initiate new major
capital transit projects would not exist.
C. Program Requirements and Period of Availability
Providing additional funding to major capital projects under the
Recovery program will help New Starts and Small Starts project
delivery, as well as National economy and local economies. To maximize
the effectiveness of these funding decisions, FTA is requiring that all
ARRA Capital Investment Grants funds be drawn down (outlayed) by May
11, 2010. FTA may de-obligate any ARRA Capital Investment Grants
Program funding not drawn down by recipients within the one-year
period. FTA encourages project sponsors identified in this notice to
apply for ARRA funds as soon as possible. This will ensure the ability
to incur costs and draw funds from the Treasury within the year,
thereby sustaining and creating public transportation construction
jobs.
In recognition of the difficulty that some recipients may
experience in accelerating local matching resources, and to ensure the
timely expenditure of ARRA funds, FTA will permit, as a condition of
the grant, a deferral of the non-Federal match. Grantees may defer
provision of this local match simultaneously with the Federal funds'
draw down rate for up to three years after the date of the FTA ARRA
grant award, with a possible extension at FTA's discretion. However,
local match to all ARRA Capital Investment Grants funding must be
available by the end of the project's New Starts/Small Starts pay-out
period, even if this is less than three years from the date of the ARRA
grant. Each grantee should work with its FTA regional office on
specific wording of this condition if interested in using the deferral
provision.
Since ARRA Capital Investment Grants Program funding is being
administered through existing multi-year full funding grant agreements,
additional information can be found in FTA Circular (5200.1A, Full
Funding Grant Agreements Guidance, December 5, 2002).
D. Reporting Requirements and Certifications Applicable to Recipients
of ARRA Funds
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 the milestone status report and financial status report on a
quarterly basis, as well as additional data elements that are required
to be reported in http://www.recovery.gov. Additionally, special
certifications and grant conditions also will be required of ARRA grant
recipients. 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 investment funding from
funds made available under ARRA unless this certification is made and
posted.
On February 27, 2009, the United States Department of
Transportation (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 Federal Highway Administration (FHWA) and FTA
projects. If the 1511 certification previously submitted to DOT by the
Governor does not include the project for which this funding is
allocated, the mayor or other local official, as appropriate, may
submit a new certification specific to the Capital Investments Grant
project.
2. Section 1512. Reports on Use of Funds
Recipient Reports.--Not later than 10 days after the end of each
calendar quarter, starting in October 10, 2009, each recipient that
received ARRA funds from a Federal agency shall submit a report to that
agency that contains--
(i) The total amount of ARRA funds received from that agency;
(ii) The amount of ARRA funds received that were expended or
obligated to projects or activities; and
(iii) A detailed list of all projects or activities for which ARRA
funds were expended or obligated, including--
(A) The name of the project or activity;
(B) A description of the project or activity;
(C) An evaluation of the completion status of the project or
activity;
(D) An estimate of the number of jobs created and the number of
jobs retained by the project or activity; and
(E) 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.
(iv) 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
[[Page 21846]]
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;
an award title descriptive of the purpose of each funding action; and
employee compensation information for certain contracts under limited
conditions.
The Office of Management and Budget (OMB) will collect these
reports through a central Web-based reporting system and will provide
further reporting instructions at a later date. 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 subsection (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 with the
quarter ending September 30, 2009. 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 also indicated that
first tier 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 was 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 this certification, the Governor was
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. DOT 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.
As of March 19, 2009, all States and the District of Columbia had
submitted the required maintenance of effort certification. The
Department is currently reviewing these certifications for adequacy.
5. Section 1201(c)(2): 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 outlayed 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 ARRA.
Each grant recipient is required to submit the first of the
periodic reports including the Section 1201(c)(2) data required above
by May 18, 2009 and is required to submit updated reports not later
than August 16, 2009; February 17, 2010; February 17, 2011; and
February 17, 2012.
DOT had developed a standard reporting form for these reports. FTA
will provide further reporting instructions before the reports are due.
Grantees will be required to report direct jobs, but the department
will generate data on indirect and indirect jobs through the use of
economic models and factors applied to the data provided in the grant
awards and other information reported by the grantee. All States have
acted to accept transportation funds.
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 health. If the Governor does not
provide this certification, then the state legislature may act to
accept the funds. All states have acted to accept transportation funds.
7. Section 1609
Under section 1609(c), FTA is required to report to certain
congressional committees every 90 days following enactment of ARRA on
the status and progress of projects funded or proposed for funding
under the Act with respect to compliance with the National
Environmental Policy Act (NEPA) and its implementing regulations. FTA
may 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 DOT Inspector General (IG). FTA will inform grantees if
and when such additional reports are required.
E. Technical Assistance
FTA headquarters and regional staff are pleased to answer your
questions and provide any technical assistance you may need to apply
for FTA ARRA funds and to manage the grants you receive. In addition to
this notice, Questions and Answers regarding FTA's implementation of
the ARRA, and additional resources may be viewed via the FTA Web site
http://www.fta.dot.gov/economicrecovery.
[[Page 21847]]
Further, all FTA circulars are posted on our Web site, including:
C4220.1F, Third Party Contracting Requirements, dated November 1, 2008;
and C5010.1D, Grant Management Guidelines (November 1, 2008). In
addition, FTA has developed a toll-free hotline for civil rights-
related ARRA inquiries. The number is 866-525-5561 and is available at
http://www.fta.dot.gov/civil_rights.html. You may also contact the
regional civil rights officer at the Regional Office listed in Appendix
B.
Issued in Washington, DC, this 6th day of May, 2009.
Matthew J. Welbes,
Acting Deputy Administrator.
[GRAPHIC] [TIFF OMITTED] TN11MY09.000
Appendix A
Instructions for Preparing a Grant Application Using ARRA Funds
1. Pre-Application Stage
Note: To streamline the grant development process, ARRA grants
may receive official grant numbers and be submitted before all
traditional pre-application requirements are complete. However, ARRA
grants may not be awarded until all pre-application requirements
have been satisfied.
a. Planning. Project activities to be funded must be included in a
Federally-approved Statewide Transportation Improvement Program (STIP)
for capital and/or operating projects. Unified Planning Work Program
(UPWP) FTA will not require that planning requirements be completed
before the submission of grant applications for ARRA funding. However,
project planning requirements must be complete and properly documented
before grant award.
b. Environmental Determination. The impact that a proposed FTA
assisted project will have on the environment shall be evaluated and
documented in accordance with the National Environmental Policy Act of
1969 (42 U.S.C. section 4321 et seq.). All projects allocated Capital
Investment (New Starts) funding under the ARRA should have a ROD or
FONSI on file.
c. Annual Submission of Certifications and Assurances. A grant
applicant applying for assistance under Federal Transit Programs
including ARRA programs must submit certifications and assurances that
are applicable to the grant applicant's active and new grants during
the fiscal year. A grantee that has already submitted a FY 2009
Certifications and Assurances does not need to resubmit these
assurances.
d. Civil Rights Submissions. Civil Rights submissions that may be
required include a Title VI Plan, Equal Employment Opportunity (EEO)
Program, Disadvantaged Business Enterprise (DBE) Program, and ADA
Paratransit Plan. Typically, FTA's Regional Civil Rights Officer must
verify that all required Civil Rights submissions are current at the
time that the grant application is entered into TEAM. For ARRA funds,
the grant number will be assigned before civil rights reviews are
complete, but the grant will not be awarded with pending civil rights
requirements. In addition, it may be necessary to verify compliance
with specific Title VI, EEO, DBE and ADA requirements as part of the
grant review and approval process. Please work closely with your
Regional Civil Rights officer to ensure no delays in the award of a
grant.
2. Application Stage (Team Information)
Applications for ARRA New Starts funds must be submitted
electronically through the Transportation Electronic Award Management
(TEAM) System. Each ARRA program funding request must be applied for in
its own grant (i.e., ARRA Capital Assistance Formula funds may not be
applied for in the same grant as ARRA Fixed Guideway Modernization
funds or ARRA Capital Investment funds). Further, ARRA funds cannot be
commingled in a grant application with New Starts funds apportioned
under SAFETEA-LU.
[[Page 21848]]
ARRA Capital Investment grants should be developed using the newly
created Section code in TEAM. ARRA program codes appear in the color
red in the TEAM dropdown menu. The red is only to distinguish the ARRA
section codes from other FTA program codes. A Capital Investment (New
Starts) ARRA grant should be developed using the following section
code:
36--New Start-Economic Recovery.
Information that should be entered into TEAM when preparing an
application includes:
a. Recipient Information. Applicants should enter or update all
required information about the organization in the appropriate fields
in TEAM, including recipient address, contact information, union
information, urbanized area identification number (UZA), Congressional
district(s), DUNS number, etc. The information shall be current and
accurate for each grant and periodically updated as changes occur.
b. Project Information. Applicants should identify the project
start/end date, program date, Executive Order 12372 review date,
metropolitan planning organization (MPO) concurrence date (if
applicable), and grant project costs. The ``brief project description''
field should include information that can be used to report the type of
infrastructure investment such as: Construction of Light Rail System.
(1) Project Description. This information must be in sufficient
detail for FTA to obtain a general understanding of the nature and
purpose of the planned activities. There is a project description field
as well as a specific text field for this information associated with
each activity line item. Project activities shall be sufficiently
described to assist the reviewer in determining eligibility under the
program.
(2) Program Date and Page of STIP or Unified Planning Work Program
(UPWP). All projects must be included in the current STIP. The STIP is
jointly approved by FTA and FHWA. FTA funds cannot be obligated unless
the STIP is approved by FTA. The application should note the page(s) in
the most recently approved STIP on which the project(s) contained in
the application are listed. The electronic system has a field
designated ``program date'' where the date of the most recent FTA/FHWA
STIP approval should be entered.
In the case of ARRA grants, FTA regional offices will continue to
process grants while awaiting STIP amendment actions. Grant numbers
will be assigned before the inclusion of the STIP date in the grant
application if the grantee is awaiting formal STIP action or approval.
c. Budget. The appropriate scopes and activity line items (ALI)
should be used when developing the project budget. All sources of funds
shall be identified and confirmed. All rolling stock procurements shall
include vehicle description and fuel type; expansion activities shall
include a brief discussion of the expanded service. The project budget
should reflect the precise activities for which the grant funds will be
used. As a streamlining measure, FTA is not requiring that grantees
include any non-add scopes in the project budget when purchasing
activities that are categorized as ITS, ADA, or security.
d. Project Milestones. Estimated completion dates for all
milestones should be provided and updated quarterly. If milestones are
not pre-populated by the TEAM system for a particular activity line
item (ALI) , use the add function to add milestones for that ALI to the
grant application. At a minimum, activities that will require a
contract award should have milestones tracking (1) the date the RFP is
issued; (2) the anticipated date of contract award; and (3) the date
the contract will be completed. Activity line items that are not
contracted out should minimally include (1) the date the activity is
initiated and (2) the anticipated completion date.
It is critical that milestones for ARRA grant activities are
updated and monitored quarterly. Quarterly reports must be submitted 10
days after the end of each quarter.
e. Environmental Findings. The application must include a proposed
classification of each ALI that is an independent project with discrete
transit utility, in accordance with the FTA/FHWA environmental impact
procedures. (See 23 CFR 771.115 and 771.117.) The date of the ROD or
FONSI for the New Start project should be listed in the Environmental
Findings.
f. Fleet Status. A fleet status report does not need to be included
in the ARRA Capital Investment grant application. Fleet information
should be contained in the fleet management plan.
g. Application Submission. Once FTA deems (1) the TEAM application
template completed, (2) the activities eligible, and (3) the budget
complete and firm, FTA will assign a grant number. At this point, the
grant is ready to be pinned and submitted in TEAM by the designated
recipient/grantee. As previously stated, ARRA grants may be submitted
prior to the completion of all pre-application requirements such as:
Civil Rights documentation, Planning, ARRA required certifications.
This concurrent review process is a departure from FTA's standard
operating procedures and only applies to grants for ARRA program funds.
Note: Although ARRA program grants can be officially submitted
to FTA for review and approval, grant funds can not be awarded or
obligated until all applicable federal requirements including the
Section 1511 certification required under ARRA have been met.
h. Certification of Labor Protective Arrangements. ARRA Capital
Investment grants will be sent to DOL, as soon as the budget is
confirmed, budget details are included in the grant, and the
application is officially submitted for processing. DOL procedures have
minimum wait times built in for replies or objections by management and
unions. Accordingly, a grantee's prompt response to DOL communications
regarding the grant before the expiration of the minimum wait period
could result in the grant being certified before the end of the
allowable processing period.
i. Grant Approval. Once FTA staff determines through a final review
of the application that FTA program requirements have been met and that
the ARRA section 1511 certification is made and submitted to DOT for
posting to the DOT Recovery Web site, FTA will reserve the funds and
obligate the grant.
j. Grant Execution. After FTA has awarded the grant, the applicant
must execute the award before funds can be drawn down from the grant.
Before executing ARRA grants, the grantee will be prompted to select
both the rationale for the investment and the purpose of the investment
from menus that have been established in the reservation screen. ARRA
grants that include activities funded using pre-award authority will
require the submission of a Financial Status Report before grant
execution.
Application Checklist
Part I--Recipient Information
1. Is the Grantee Contact & Other Information current and complete?
2. Are Annual Certifications & Assurances pinned?
3. Is UZA/Congressional District information entered and accurate?
4. Is Union Contact information entered and accurate?
5. Has Civil Rights Program Documentation been approved by FTA?
6. Has the applicants DUNS Number been entered in the appropriate
field?
[[Page 21849]]
Part II--Project Details
1. Does the Project Description include adequate descriptive
information of funded projects?
2. Are the project activities included in the grant eligible to be
funded using ARRA Capital Investment Program funds?
Part III--Project Information
1. Has the grant been identified as a new application or amendment?
2. Start/End date entered?
3. Has the Program Date (STIP or UPWP date) been entered?
4. Have Control Totals been entered?
5. Does the brief project description field adequately articulate
what is being funded (Example: Construction of Light Rail System, Bus
Rapid Transit Vehicles, and etc.)?
6. If pre-award authority is applicable, has ``yes'' been selected?
7. Has the EO 12372 Review field been completed, if applicable?
Part IV--Budget
1. Are ALI codes entered under the appropriate scope codes?
2. Is grant for up to 80% Federal funds?
3. Does the funding amount entered in the budget match financial
information entered in the control totals in the ``Project
Information'' field?
4. Does the rolling stock (vehicle) line item contain accurate
information such as?
a. Description of vehicles purchased.
b. Fuel Type.
5. Have details been entered into the ``Extended Budget
Descriptions?''
a. Has descriptive information been added in the details section of
each ALI that identifies the items being funded using the line item?
Part V--Project Milestones
1. Are milestones listed for each ALI? (If an ALI does not have
milestones, they should be added.)
2. Have estimated completion dates been entered?
Part VI--Environmental Findings (NEPA)
1. Has an environmental finding been entered for each ALI?
Appendix B
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--
Bowling Green, Room 429, New York, NY Kansas City, MO, 901 Locust
10004-1415. Tel. No. 212-668-2170. Street, Room 404, Kansas City,
MO 64106. Tel. 816-329-3920.
States served: New Jersey, New York.... States served: Iowa, Kansas,
Missouri, and Nebraska.
New York Metropolitan Office, Region 2--
New York, One Bowling Green, Room 428,
New York, NY 10004-1415. Tel. 212-668-
2202.
------------------------------------------------------------------------
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 Metropolitan Office,
1990 K Street, NW., Room 510,
Washington, DC 20006. Tel. 202-219-
3562.
------------------------------------------------------------------------
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. 404-865-5600. Room 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.
------------------------------------------------------------------------
[[Page 21850]]
[FR Doc. E9-10963 Filed 5-8-09; 8:45 am]
BILLING CODE P