[Federal Register Volume 79, Number 109 (Friday, June 6, 2014)]
[Notices]
[Pages 32807-32811]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-13178]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

[Docket No. FTA-2013-0026]


Enhanced Mobility of Seniors and Individuals With Disabilities: 
Final Circular

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice of availability of final circular.

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SUMMARY: The Federal Transit Administration (FTA) has placed in the 
docket and on its Web site, guidance in the form of a circular to 
assist grantees in implementing the Enhanced Mobility for Seniors and 
Individuals with Disabilities Program. The Moving Ahead for Progress in 
the 21st Century Act blended the New Freedom Program and the Elderly 
Individuals and Individuals with Disabilities Program into a new 
Enhanced Mobility for Seniors and Individuals with Disabilities 
Program. FTA is updating the circular due to these changes in the law.

DATES: The final circular becomes effective July 7, 2014.

FOR FURTHER INFORMATION CONTACT: For program questions, Gilbert 
Williams, Office of Program Management, Federal Transit Administration, 
1200 New Jersey Ave. SE., Room E44-409, Washington, DC 20590, phone: 
(202) 366-0797, fax: (202) 366-7951, or email, 
[email protected]. For legal questions, Bonnie Graves, Office of 
Chief Counsel, same address, Room E56-306, phone: (202) 366-4011, fax: 
(202) 366-3809, or email, [email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Overview
II. Chapter-by-Chapter Analysis
    A. Chapter I--Introduction and Background
    B. Chapter II--Program Overview
    C. Chapter III--General Program Information
    D. Chapter IV--Program Development
    E. Chapter V--Coordinated Planning
    F. Chapter VI--Program Management and Administrative 
Requirements
    G. Chapter VII--State and Program Management Plans
    H. Chapter VIII--Other Provisions
    I. Appendices

I. Overview

    FTA is updating Circular 9070.1F, ``Elderly Individuals and 
Individuals with Disabilities Program Guidance and Application 
Instructions,'' last revised in 2007, in order to incorporate changes 
in the law subsequent to passage of the Moving Ahead for Progress in 
the 21st Century Act (MAP-21, Pub. L. 112-141). MAP-21 blended the 
previous ``Section 5310 program'' and the New Freedom Program (49 
U.S.C. 5317, authorized by the Safe, Accountable, Flexible, Efficient 
Transportation Equity Act--A Legacy for Users (SAFETEA-LU), and 
repealed by MAP-21).
    On July 11, 2013, FTA issued a notice of availability of the 
proposed circular in the Federal Register (78 FR 41824) and requested 
public comment on the proposed circular. The comment period closed on 
September 9, 2013. FTA received comments from 53 entities, including 
trade associations, State DOTs, metropolitan planning organizations, 
public transportation providers, human service agencies, and 
individuals. This notice addresses the

[[Page 32808]]

comments received and explains changes FTA made to the proposed 
circular in response to comments.
    The new Section 5310 program, as amended by MAP-21, authorizes 
grants for the activities previously authorized under two separate 
grant programs: Section 5310, formula grants for the special needs of 
elderly individuals and individuals with disabilities; and Section 
5317, New Freedom program. The new Section 5310 program authorizes four 
types of projects: Public transportation projects planned, designed, 
and carried out to meet the special needs of seniors and people with 
disabilities when public transportation is insufficient, unavailable or 
inappropriate; public transportation projects that exceed the 
requirements of the Americans with Disabilities Act (ADA) of 1990; 
public transportation projects that improve access to fixed route 
service and decrease reliance by people with disabilities on 
complementary paratransit; and alternatives to public transportation 
that assist seniors and people with disabilities with transportation. 
Notably, the ``alternatives to public transportation'' language now 
applies to seniors as well as to people with disabilities, and projects 
no longer have to be ``new'' to be eligible for funding. Newly eligible 
under Section 5310 are projects that improve access to fixed route 
service. The objective of this eligible activity is to remove barriers, 
including improving access to public rights-of-way and installing 
elevators in rail stations that are not required by the ADA to have 
elevators, so people who use wheelchairs or have other mobility 
impairments have greater access to bus stops and rail stations.
    Several aspects of the new Section 5310 program carry forward 
language from the previous Section 5310 and 5317 (New Freedom) 
programs. For example, projects funded under the new Section 5310 must 
be part of a program of projects that is annually submitted to FTA. 
Recipients of Section 5310 funds may coordinate and assist with meal 
delivery services for homebound people, as long as the service does not 
interfere with the provision of transportation services. The Federal 
share of costs remains at 80 percent for capital projects and 50 
percent for operating. Consistent with previous law, facilities or 
equipment may be transferred to other recipients under certain 
conditions. Further, the requirement for coordinated planning is 
retained, and projects must be included in the coordinated plan. In 
addition, seniors and people with disabilities must be included in the 
development and approval of the coordinated plan.
    Under MAP-21, funding for the new Section 5310 program is no longer 
only apportioned to States; it is now apportioned in the same way that 
Section 5317 (New Freedom) funds were apportioned under the previous 
authorization, except the senior population (age 65 and over) is now 
included in the formula. The law specifies that 60 percent of the funds 
are apportioned to designated recipients in large urbanized areas with 
a population of 200,000 or more in a ratio reflecting the number of 
seniors and people with disabilities in each such urbanized area; 20 
percent of the funds are apportioned to the States in a ratio 
reflecting the number of seniors and people with disabilities in 
urbanized areas with a population of less than 200,000; and 20 percent 
of the funds are apportioned to the States in a ratio reflecting the 
number of seniors and people with disabilities in rural areas with a 
population of less than 50,000 in each State.
    The competitive selection process, required under the previous New 
Freedom program, is no longer mandatory. However, whether or not a 
State or a designated recipient uses a competitive selection process to 
award funds to subrecipients, the State or designated recipient must 
certify that funds allocated to subrecipients are allocated on a fair 
and equitable basis.

 II. Chapter-by-Chapter Analysis

A. Chapter I--Introduction and Background

    Chapter I of the proposed circular is an introductory chapter and 
covers general information about FTA and how to contact us, briefly 
reviews the authorizing legislation for FTA programs generally, 
includes definitions applicable to the Section 5310 program, and 
provides a brief history of the Section 5310 program. Where applicable, 
we have used the same definitions found in statute, rulemakings, and 
other circulars to ensure consistency.
    FTA received three comments on this chapter, all related to 
definitions. One commenter suggested that FTA clarify the definition of 
``public transportation,'' since some providers are not public 
transportation agencies, but are non-profit human service agencies that 
also provide transportation services. In MAP-21, Congress amended the 
definition of public transportation to include service that is open to 
a segment of the general public defined by age, disability or low-
income. This definition includes service provided by non-profit 
agencies. One commenter suggested we add a definition of ``direct 
recipient'' and we have done so. We have also added the statutory 
definition of ``designated recipient.'' The commenter also suggested we 
add definitions for ``selection of projects'' and ``competitive 
selection process.'' We believe these do not require definitions and 
are adequately described in the circular. Finally, one commenter noted 
that the Older Americans Act defines ``elderly'' as 60 years of age or 
older. Federal transit law at 49 U.S.C. 5302(18) defines ``senior'' as 
an individual who is 65 years of age or older. We would note that 
public transportation providers may define ``senior'' to include 
individuals under age 65, as a lower age would be inclusive of those 
over age 65. For purposes of the formula, funds are distributed based 
on the number of people over age 65 in a particular area.

B. Chapter II--Program Overview

    Section 5310(h) requires FTA to submit a report to Congress making 
recommendations on the establishment of performance measures for grants 
under Section 5310. The law requires the report to be developed in 
consultation with national non-profit organizations that provide 
technical assistance and advocacy on issues related to transportation 
services for seniors and individuals with disabilities. In addition, 
Section 5335(c) requires all FTA grant recipients, including grant 
recipients under Section 5310, to report an asset inventory or 
condition assessment conducted by the recipient to the National Transit 
Database (NTD). In the notice announcing the availability of the 
proposed circular, FTA asked for comment on performance measures and 
reporting requirements, proposed in section 3 of chapter II.
    FTA received a number of comments on its proposal. Commenters were 
generally concerned about the amount of data that would be collected 
from traditional Section 5310 subrecipients, as well as how that data 
would be collected. Some commenters suggested various performance 
measures, and two commenters suggested that there be two sets of 
performance measures: One for traditional Section 5310 projects and one 
for other Section 5310 projects.
    In light of the requirement that FTA develop a report on 
performance measures in consultation with national non-profit 
organizations that provide technical assistance and advocacy on issues 
related to transportation services for seniors and individuals with

[[Page 32809]]

disabilities, and that we did not receive comments from such 
organizations, FTA conducted additional outreach on this topic. Easter 
Seals Project Action coordinated an online dialogue from March 31 
through April 18, 2014 (http://fta5310grant.ideascale.com/) to get 
additional comments on the measures required by 49 U.S.C. 5310(g): 
Modifications to the geographic coverage of transportation service, the 
quality of transportation service, or service times that increase the 
availability of transportation services for seniors and individuals 
with disabilities; ridership; and accessibility improvements. FTA is in 
the process of reviewing the additional comments and expects to make 
recommendations regarding performance measures in response to this 
outreach effort.
    In this final circular, FTA has retained the existing performance 
measures for traditional Section 5310 projects, as well as the existing 
measures for what used to be New Freedom projects. This will allow for 
consistency and a continuation of previous reporting requirements as 
FTA considers new performance measures.
    The asset inventory reporting required by 49 U.S.C. 5335(c) will 
not take effect until FTA amends the National Transit Database (NTD) 
reporting manual, via a notice in the Federal Register. FTA invites 
interested stakeholders to submit comments when the notice is 
published.

C. Chapter III--General Program Information

    FTA received a number of comments on this chapter, but many of the 
comments relate to provisions in the law that FTA cannot change. For 
example, several commenters objected to available funds being 
apportioned 60 percent to large urbanized areas, 20 percent to small 
urbanized areas and 20 percent to rural areas, and asked for more 
flexibility in apportioning funds. This formula is established by 
Congress in 49 U.S.C. 5310(c), and FTA has no discretion to change it. 
However, the law does allow funds apportioned for small urbanized and 
rural areas to be transferred to another area of the State if the 
Governor of the State certifies that all of the objectives of the 
Section 5310 program are being met in the specified areas. For example, 
if all objectives of the Section 5310 program are being met in rural 
areas, funds designated for rural areas may be transferred to urbanized 
areas of less than 200,000 in population. Funds apportioned to small 
urbanized and rural areas may also be transferred for use anywhere in 
the State, including large urbanized areas, if the State has 
established a statewide program for meeting the objectives of the 
Section 5310 program. A recipient may transfer apportioned funds only 
after consulting with responsible local officials, publicly owned 
operators of public transportation, and nonprofit providers in the area 
from which the funds to be transferred were originally apportioned. 
Funds apportioned to large UZAs may not be transferred to other areas.
    One commenter asked how the disability calculation will be made for 
apportionment purposes. Consistent with 49 U.S.C. 5310(c), FTA uses 
Census Bureau data, specifically the American Community Survey's 5-year 
data sets, which are updated annually, to determine the number of 
seniors and people with disabilities in a particular area.
    Another subject on which commenters had questions--and on which FTA 
has no discretion--was when an entity would be able to apply to FTA 
directly for Section 5310 funds as opposed to being a subrecipient of a 
designated recipient. In large urbanized areas, the Section 5310 
designated recipient may allocate funds to a Section 5307 designated 
recipient as a result of its coordinated planning and selection 
processes, and that Section 5307 designated recipient may apply to FTA 
directly for Section 5310 funds. This is consistent with the previous 
New Freedom program, and there would be no other eligible direct 
recipients in large urbanized areas beyond these program designated 
recipients. There was a change in the law related to small urbanized 
and rural areas. The previous New Freedom program (at 49 U.S.C. 
5317(c)(3)) permitted States to transfer New Freedom funds to Section 
5307 for administration of competitively selected New Freedom projects 
within a Section 5307 grant to an eligible recipient under that 
program. This provision is not in the new Section 5310 program. 
Therefore, the State is the only eligible direct recipient for Section 
5310 funds in rural areas and small urbanized areas, and because the 
language in the proposed circular was consistent with the law, FTA is 
not making any changes to section 4 of chapter III, Eligible Direct 
Recipients.
    Several commenters had questions about the requirement that 55 
percent of an area's apportionment be available for ``traditional 
Section 5310 projects.'' The new Section 5310 program essentially 
maintains the status quo for traditional Section 5310 projects--those 
public transportation capital projects planned, designed, and carried 
out to meet the special needs of seniors and individuals with 
disabilities when public transportation is insufficient, unavailable or 
inappropriate. These projects are carried out by private non-profit 
organizations, including human service agencies; or a State or local 
governmental authority that is approved by a State to coordinate 
services for seniors and individuals with disabilities, or certifies 
that there are no non-profit organizations readily available in the 
area to provide the service. Eligible subrecipients for other Section 
5310 activities include a State or local governmental authority, a 
private non-profit organization, or an operator of public 
transportation that receives a Section 5310 grant indirectly through a 
recipient.
    Consistent with the Section 5310 program under previous 
authorizations, for traditional Section 5310 projects, the State or 
designated recipient applies for Section 5310 funds on behalf of 
private non-profit agencies (such as human service agencies) and 
eligible local governmental authorities within the rural area of the 
State or the urbanized area. This provision ensures continued support 
for non-profit providers of public transportation, and maintains the 
status quo for these projects. For the remaining Section 5310 funds 
available (at most, 45 percent) to a rural or urbanized area, the 
designated recipient applies to FTA on behalf of itself and eligible 
subrecipients.
    Commenters asked FTA to clarify when the 55 percent of funds 
available for traditional Section 5310 projects would be available for 
ADA complementary paratransit. As we stated in the Federal Register 
notice accompanying the proposed circular, based on historical uses of 
Section 5310 funds, FTA proposed including the eligibility of rolling 
stock for and acquisition of ADA complementary paratransit service as 
traditional Section 5310 projects when carried out by eligible 
subrecipients, so long as the projects are planned, designed, and 
carried out to meet the specific needs of seniors and individuals with 
disabilities when public transportation is insufficient, unavailable or 
inappropriate, and the projects are included in the area's coordinated 
plan. Some States have historically used Section 5310 funds for vehicle 
and service acquisition for ADA complementary paratransit service, in 
particular where the State has required coordination efforts among 
human service transportation providers. Therefore, vehicle and service 
acquisition will continue to be eligible activities under the Section 
5310 program as traditional Section 5310 projects when the requirements 
listed above are met. Operating expenses for

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ADA paratransit service are not eligible expenses under any part of the 
Section 5310 program, except as acquisition of service, permitted under 
49 U.S.C. 5310(b)(4). We have amended the circular for clarity.
    If a recipient, through the coordinated planning process, elects to 
expand ADA service beyond the required service components (geographic 
area, additional hours, etc.) and requires additional vehicles to do 
so, those additional vehicles would be eligible under the 45 percent 
``other eligible projects'' as a project that exceeds ADA minimum 
requirements. Similarly, accessibility improvements to rail stations 
are eligible as long as they exceed ADA minimum requirements. For 
example, installing an elevator in an older station where elevators are 
not required, or installing a second elevator at a station in order to 
provide more reliable access would be eligible under ``other eligible 
projects.''
    Some commenters asked whether States could blend their rural and 
small urbanized area apportionments for purposes of allocating funds 
between traditional Section 5310 projects and other eligible projects. 
For example, if the State had two small urbanized areas in addition to 
the rural area, could it allocate 55 percent of the total apportionment 
for the three areas to the rural area, thus allowing the small 
urbanized areas to use their apportionments for other eligible 
projects? The law requires that the amount available for capital 
projects planned, designed, and carried out to meet the special needs 
of seniors and individuals with disabilities when public transportation 
is insufficient, inappropriate or unavailable ``shall be not less than 
55 percent of the funds apportioned to the recipient'' under Section 
5310. FTA apportions funds to States for rural areas, and separately 
apportions funds to States for small urbanized areas. Therefore, the 
allocation between traditional Section 5310 projects and other projects 
must be a minimum 55/45 split in each area that receives an 
apportionment.
    One commenter requested that FTA allow the pass through of 
administrative funds from the designated recipient to one or more 
subrecipients for administration, planning, or technical assistance 
purposes. We have amended section 12 of chapter III to include language 
allowing this pass through of funds.
    Three commenters asked that FTA remove the word ``capital'' in 
section 16, Federal/Local Matching Requirements when describing non-
cash or in-kind match. FTA agrees that non-cash and in-kind match may 
be operating or capital costs, and we have removed the word 
``capital.'' In response to comments, we have also removed the word 
``new'' when describing eligible projects, and added the word 
``seniors'' to include alternative transportation available for both 
seniors and individuals with disabilities.
    Finally, one commenter suggested that FTA should not specifically 
identify taxi operators as being eligible subrecipients in certain 
circumstances, but should state for-profit operators are eligible. 
Providers of public transportation, whether for-profit or non-profit, 
are eligible subrecipients. However, public transportation is a shared-
ride service, and most taxi companies provide exclusive ride service. 
We included this information in the circular in order to address a 
frequently asked question of the former New Freedom program. Entities 
that provide exclusive ride service may be eligible participants in the 
Section 5310 program, but only as contractors, not as subrecipients.
    FTA has made amendments to Chapter III in response to comments 
described above, as well as clarifying edits.

D. Chapter IV--Program Development

    FTA received only two comments on this chapter, and both commenters 
requested that FTA revise section 7, Certifications and Assurances, to 
reflect the fact that the designated recipient is responsible for 
submitting the certifications and assurances in large urbanized areas. 
This was an oversight in the proposed circular and we have revised the 
language.

E. Chapter V--Coordinated Planning

    This chapter describes the required coordinated planning process. 
Several commenters requested that FTA maintain flexibility in how a 
project appears in a coordinated plan. We have added language in the 
circular to clarify that projects may be identified in the plan as 
strategies, activities, and/or specific projects addressing service 
gaps or transportation coordination objectives articulated and 
prioritized within the plan. For example, a coordinated plan may 
identify a service gap, such as the absence of accessible 
transportation service after 10:00 p.m., when the transit system's 
fixed route service ends. Examples of strategies to address this 
service gap may be non-specific, such as adding late-night service 
options; or may be more specific, such as contracting for accessible 
taxi service or extending ADA complementary paratransit hours past the 
fixed route service end time. Either approach allows designated 
recipients to meet the identified service gap. Alternatively, the plan 
may include a specific project if the people developing the coordinated 
plan prefer to include a specific project to meet this need. The level 
of specificity in the coordinated plan is a local decision. However, 
FTA expects the program of projects that accompanies the grant to 
clearly identify the gaps or strategies a particular project is 
addressing; this should be done by providing the page number in the 
coordinated plan that correlates to the gap or strategy for a 
particular project.
    Another area of comment involved addition of the word ``approved'' 
in the sentence, ``a coordinated plan . . . developed and approved 
through a process that included participation by seniors, individuals 
with disabilities . . .'' The addition of the word ``approved'' is a 
change in the law. FTA inadvertently left out the words ``and 
approved'' in several places in the circular; we have amended the text 
to be clear that the people developing the coordinated plan--including 
seniors and individuals with disabilities--must also approve that plan. 
This ensures that the people who are identifying the needs and 
establishing the priorities in the plan will also have a voice in 
approving that plan. One commenter asked how ``approved'' is different 
from ``adopted.'' In this instance, we believe these terms are 
synonymous--an adopted plan is by definition one that is approved.
    Some commenters asked about the relationship between the 
coordinated plan and the project selection process, particularly when 
the project selection process is competitive. Under previous law, a 
competitive selection process was required for Section 5317 (New 
Freedom); under MAP-21 it is optional. Regardless of how a specific 
contractor or subrecipient is selected to carry out the project, 
projects should be funded in accordance with the priorities identified 
in the coordinated plan.
    One commenter asked if each individual rural project must be 
included in the Statewide Transportation Improvement Program (STIP). 
Depending on the projects resulting from the coordinated planning and 
selection process, a single line item on the STIP for capital or 
operating projects may be sufficient. However, given the expanded 
project and subrecipient eligibility under MAP-21, a designated 
recipient and State may need to consider more detailed programming, 
such as categorizing the

[[Page 32811]]

projects based on the types of projects (capital or operating) and/or 
types of subrecipients, e.g., non-profit, public entity, etc.
    Finally, one commenter asked if a current four-year coordinated 
plan is in place, could the plan be updated to meet the new MAP-21 
requirements? FTA recognizes that some entities may need to modify 
existing coordinated plans to address the specific needs of seniors and 
individuals with disabilities and/or be approved by seniors and 
individuals with disabilities. Modifications to existing plans are 
acceptable.
    FTA has made clarifying edits to Chapter V to address the above 
comments.

F. Chapter VI--Program Management and Administrative Requirements

    The vast majority of comments received for Chapter VI related to 
the proposed reporting requirements. FTA had proposed meeting the 
requirements of 49 U.S.C. 5335(c) by combining all of the performance 
measure and asset inventory reporting requirements into a single 
requirement, and allow States and designated recipients to report on 
behalf of their subrecipients under a single, unified reporting system. 
While some commenters supported this approach, most commenters 
expressed concern that such reporting would be burdensome on small 
Section 5310 non-profit providers. As discussed in the Chapter II 
summary, above, FTA is retaining the existing performance measures for 
the program (including the measures for the former New Freedom program) 
while we review comments received as a result of additional outreach 
with non-profit agencies. In addition, the National Transit Database 
(NTD) reporting requirement will only be effective after FTA conducts a 
rulemaking on this requirement.
    The remaining comments were related to vehicle use. One commenter 
asked that FTA define the word ``incidental'' and provide examples of 
permissible incidental use. Incidental use means occasional or 
infrequent use of vehicles that does not interfere with the project 
activities originally funded. Examples are provided in section 5, 
Vehicle Use, and include meal delivery as well as use for other Federal 
programs, as when the recipient is coordinating service with other 
entities that provide transportation for seniors or individuals with 
disabilities. Operating assistance available under Section 5310 may not 
be used for such incidental purposes.

G. Chapter VII--State and Program Management Plans

    FTA proposed only minor changes to Chapter VII, generally to 
address the change from a State-managed program to a program managed by 
designated recipients as well as States. FTA received one comment on 
this chapter. In section 1, General, the commenter asked FTA to be more 
specific about the State Management Plan and Program Management Plan 
contents that should be coordinated with the STIP and TIP. We have 
amended the language for clarity. We would note, however, that there is 
flexibility in the coordination of the STIP and the State Management 
Plan, as well as the TIP and the Program Management Plan. Each State 
and urbanized area has different needs and as such the management plan 
will be different; therefore, FTA has elected not to be too specific in 
what must be included in the management plan.

H. Chapter VIII--Other Provisions

    This chapter describes cross-cutting FTA and Federal requirements 
that apply to the Section 5310 program. Two commenters suggested 
modifying the Title VI program requirements for Section 5310 
subrecipients. FTA's Title VI program circular states that Section 5310 
non-profits that serve only their own clientele (closed door service) 
are required to submit a Title VI Program every three years, but it is 
a streamlined Program that includes only basic information. Interested 
stakeholders are invited to visit http://www.fta.dot.gov/legislation_law/12349_14792.html and review page IV-1 of the Title VI circular. 
One commenter suggested that typical categorical exclusions be included 
in the Environmental Review section of this chapter. Operating 
assistance and most vehicle acquisitions will be categorically 
excluded, but many other capital projects may not be. We recommend 
recipients consult with their FTA regional office if they have specific 
questions related to environmental reviews. One commenter suggested 
that FTA include the human service transportation exception to the 
charter service prohibition in the circular. We have added this text to 
the section on Charter Bus Services.

I. Appendices

    One commenter suggested that FTA remove the union contact 
information from the checklist in Appendix A, since labor protections 
do not apply to the Section 5310 program. We have made that change. We 
have not made any other substantive edits to the appendices.

    Issued in Washington, DC, 2nd day of June 2014.
Dorval R. Carter, Jr.,
Chief Counsel.
[FR Doc. 2014-13178 Filed 6-5-14; 8:45 am]
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