[Federal Register Volume 84, Number 128 (Wednesday, July 3, 2019)]
[Notices]
[Pages 31984-32005]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-14248]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2019 Apportionments, Allocations and Program
Information
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
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SUMMARY: This notice provides priorities for programs in fiscal year
(FY) 2019, announces the full-year apportionments and allocations for
grant programs, provides contract authority, and describes plans for
several competitive programs.
FOR FURTHER INFORMATION CONTACT: For general information about this
notice, contact Kimberly Sledge, Director, Office of Transit Programs,
at (202) 366-2053. Please contact the appropriate FTA Regional Office
for any specific requests for information or technical assistance. FTA
Regional Office contact information is available on FTA's website:
www.transit.dot.gov. An FTA headquarters contact for each major program
area is included in the discussion of that program in the text of this
notice. FTA recommends stakeholders subscribe on FTA's website:
www.transit.dot.gov to receive email notifications when new information
is available.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. FY 2019 Funding for FTA Programs
A. Funding Available Under Division G of the Consolidated
Appropriations Act, 2019 (Pub. L. 116-6)
B. Oversight Takedown
C. FY 2019 Formula Apportionments: Data and Methodology
III. FY 2019 Program Highlights
A. Emergency Relief Docket
B. Policy Priorities
1. Random Drug Testing
2. Public Transportation Agency Safety Plans
C. FY 2019 Competitive Program Funding
IV. FY 2019 Program-Specific Information
A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
B. State Planning and Research Program (49 U.S.C. 5304 and
5305(e))
C. Urbanized Area Formula Program (49 U.S.C. 5307)
D. Fixed Guideway Capital Investment Grants Program (49 U.S.C.
5309)
E. Formula Grants for the Enhanced Mobility of Seniors and
Individuals With Disabilities Program (49 U.S.C. 5310)
F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
G. Rural Transportation Assistance Program (49 U.S.C.
5311(b)(3))
H. Appalachian Development Public Transportation Assistance
Program (49 U.S.C. 5311(c)(2))
I. Formula Grants for Public Transportation on Indian
Reservations Program (49 U.S.C. 5311(j))
J. Public Transportation Innovation (49 U.S.C. 5312)
K. Technical Assistance and Workforce Development (49 U.S.C.
5314)
L. Public Transportation Emergency Relief Program (49 U.S.C.
5324)
M. State Safety Oversight Formula Program (49 U.S.C. 5329)
N. State of Good Repair Grants Program (49 U.S.C. 5337)
O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
P. Growing States and High-Density States Formula Factors (49
U.S.C. 5340)
Q. Washington Metropolitan Area Transit Authority Grants
V. FTA Policy and Procedures for FY 2019 Grants
A. Automatic Pre-Award Authority to Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FY 2019 Annual List of Certifications and Assurances
D. Civil Rights Requirements
E. Consolidated Planning Grants
F. Grant Application Procedures
G. Grant Management
I. Overview
This document provides notice to stakeholders that FTA is
apportioning the full Fiscal Year (FY) 2019 authorized contract
authority through September 30, 2019 for FTA formula and competitive
programs pursuant to Division G of the Consolidated Appropriations Act,
2019 (Pub. L. 116-6). In addition, this document contains important
information about FTA programs, statutory requirements, and policy
priorities.
For each FTA program, FTA has provided information on the FY 2019
authorized funding levels, the basis for apportionment or allocation of
funds, requirements specific to the program, the period of availability
of funds, and other program information. A separate section provides
information on pre-award authority as well as other requirements
applicable to FTA programs and grant administration. Finally, the
notice includes a reference to tables on FTA's website that show new
contract authority apportioned and made available through September 30,
2019.
Information in this document includes references to existing FTA
program guidance and circulars. Some information in FTA's guidance
documents and circulars may have been superseded by new provisions in
the Fixing America's Surface Transportation (FAST) Act (Pub. L. 114-
94), but these guidance documents and circulars remain a resource for
program management in most areas.
II. FY 2019 Funding for FTA Programs
A. Funding Available Under Division G of the Consolidated
Appropriations Act, 2019
Division G of the Consolidated Appropriations Act, 2019 (Pub. L.
116-6) (``Consolidated Appropriations Act,
[[Page 31985]]
2019'') makes $13.4 billion in funding available for FTA programs
through September 30, 2019. The Consolidated Appropriations Act, 2019
provides funding from the Mass Transit Account at the amounts
authorized by the FAST Act for FY 2019, along with an additional $700
million in general funds for transit infrastructure grants including:
$350 million for Section 5339 Grants for Buses and Bus Facilities, $263
million for the Section 5337 State of Good Repair grants program, $40
million for the Section 5311 Formula Grants for Rural Areas, $40
million for the Section 5340 High Density States Apportionments, $1
million for the Section 5318 Bus Testing] Facility, and $6 million for
low and no emission vehicle testing facilities. Current funding
availability for each program is identified in section IV of this
notice and in Table 1 located on FTA's FY 2019 Apportionment web page:
www.transit.dot.gov/funding/apportionments.
B. Oversight Takedown
Section 5338(f) of title 49, United States Code (all subsequent
statutory references are to title 49, United States Code unless
otherwise noted) provides for the following oversight takedowns of FTA
programs: 0.5 percent of Metropolitan and Statewide Planning funds,
0.75 percent of Urbanized Area Formula Grant funds, 1 percent of Fixed
Guideway Capital Investment Grants funds, 0.5 percent of Formula Grants
for the Enhanced Mobility of Seniors and Individuals with Disabilities
funds, 0.5 percent of Formula Grants for Rural Areas funds, 1 percent
of State of Good Repair Formula Grants funds, 0.75 percent of Grants
for Buses and Bus Facilities funds, and 1 percent of funds for Capital
and Preventive Maintenance Projects for grants to the Washington
Metropolitan Area Transit Authority. FTA uses the funds to provide
necessary oversight activities, such as oversight of the construction
of any major capital project receiving Federal public transportation
assistance; to conduct State Safety Oversight, drug and alcohol, civil
rights, procurement systems, management, planning certification, and
financial management reviews and audits; evaluations and analyses of
grantee-specific problems and issues; and to generally provide
technical assistance and correct deficiencies identified in compliance
reviews and audits.
C. FY 2019 Formula Apportionments: Data and Methodology
1. Apportionment Tables
FTA publishes apportionment tables on its website for each program
that reflects the funding level in the full-year appropriations act
less oversight take-downs, as applicable. FTA has posted tables
displaying the funds available to eligible states, tribes, and
urbanized areas to www.transit.dot.gov/funding/apportionments. This
website contains a page listing the apportionment and allocation tables
for FY 2019, links to prior year formula apportionment notices and
tables, and the National Transit Database (NTD) and Census data used to
calculate the FY 2019 apportionments.
2. National Transit Database (NTD) and Census Data Used in the FY 2019
Apportionments
Consistent with past practices, the apportionments calculations for
Sections 5307, 5311 (including 5311(j) (Tribal Transit)), 5329, 5337,
and 5339 rely on the most-recent transit service data reported to the
NTD, which for FY 2019 is the 2017 report year. In some cases, where an
apportionment is based on the age of the system, the age is calculated
as of September 30, 2018, the last day before FY 2019 began. Recipients
or beneficiaries of either Section 5307 or 5311 funds are required to
report to the NTD. Additionally, several transit operators report to
the FTA's NTD on a voluntary basis. For the 2017 report year, the NTD
includes data from 939 reporters in urbanized areas, 920 of which
reported operating transit service. The NTD also includes data from
1,495 providers of rural transit service, which includes 131 Indian
Tribes providing transit service.
The 2010 Census data is used to determine population and population
density for Sections 5303, 5305, 5307 and 5339 as well as rural
population and rural land area for the 5311 program. The formulas for
Sections 5307, 5311, and 5311(j) include tiers where funding is
allocated based on the number of persons living in poverty, and the
Section 5310 formula program allocates funding based on the population
of older adults and people with disabilities. The Census Bureau no
longer publishes decennial census data on persons living in poverty and
persons with disabilities. As a result, since FY 2013, FTA has used the
data for these populations available via the Census' American Community
Survey (ACS). The NTD and Census data that FTA used to calculate the
apportionments associated with this notice can be found on FTA's
website: www.transit.dot.gov/funding/apportionments.
The FY 2019 apportionments use data on low-income persons, persons
with disabilities, and older adults from the 2012-2016 ACS five-year
data set, which was published in August 2017. This data represents the
most recent five-year ACS estimates that are available as of October 1
for the year being apportioned. As was the case in prior years, data on
low-income persons comes from ACS Table B17024, ``Age by Ratio of
Income to Poverty in the Last Twelve Months,'' and data on people with
disabilities under 65 years old comes from ACS Table S1810,
``Disability Characteristics.'' Data on older adults (over 65 years
old) comes from ACS Table B01001, ``Sex by Age.''
III. FY 2019 Program Highlights
A. Emergency Relief Docket
On March 7, 2019 FTA announced the establishment of an Emergency
Relief Docket for calendar year 2019. See https://federalregister.gov/d/2019-04110 for more information. After an emergency or major
disaster, if FTA requirements impede a grantee or subgrantee's ability
to respond to the emergency or major disaster, a grantee or subgrantee
may submit a request for temporary relief from FTA administrative and
statutory requirements. A grantee or subgrantee seeking relief must
submit a petition for waiver of FTA requirements at www.regulations.gov
for posting in the docket (FTA-2019-0001). For additional information
on the Emergency Relief Docket, please contact the appropriate FTA
Regional Office.
B. Policy Priorities
As FTA implements its programs, it is particularly focused on the
following policy priority areas in FY 2019.
1. Random Drug Testing
FTA is required to annually publish random testing rates for public
transportation employees subject to the requirements of the FTA's Drug
and Alcohol Testing regulation (49 CFR part 655). As mandated by its
regulation, effective January 1, 2019, FTA increased the required
minimum rate of random drug testing from 25 percent to 50 percent of
covered employees for recipients of financial assistance under 49
U.S.C. 5307, 5309, 5311, and 5339. The increase to the drug testing
rate results from a recent rise in the proportion of violations
identified through random drug testing. The
[[Page 31986]]
minimum random alcohol testing rate will remain at 10 percent.
For information related to drug and alcohol testing, please visit
the FTA website: https://www.transit.dot.gov/drug-alcohol-program.
2. Public Transportation Agency Safety Plans
Federal public transportation law at 49 CFR part 673 requires
public transportation systems that receive Federal financial assistance
under 49 U.S.C. Chapter 53 to develop Public Transportation Agency
Safety Plans by July 20, 2020. Specifically, recipients of Section 5307
Urbanized Area Formula Program funds and all rail fixed guideway public
transportation systems that receive Federal financial assistance must
develop a Public Transportation Agency Safety Plan that adopts and
implements Safety Management System principles and methods. Recipients
also must certify compliance with this regulation annually, update
their Public Transportation Agency Safety Plan annually, set safety
performance targets in their plans, and coordinate their Public
Transportation Agency Safety Plan elements with other FTA programs and
rules, as specified in 49 U.S.C. 5303, 5304, and 5329. For more
information on the requirements, please visit the FTA website:
www.transit.dot.gov/PTASP.
C. FY 2019 Competitive Program Funding
FTA's competitive grants programs and the FY 2019 appropriated
funding levels are identified in the chart below. FTA selects projects
for funding after issuance of a Notice of Funding Opportunity.
Additional information about each competitive program is in Section III
of this notice.
------------------------------------------------------------------------
2019
appropriated
FY 2019 competitive programs Statute 49 U.S.C. funding level
(in millions)
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Passenger Ferry Grant Program..... 5307(h)............. $30.00
Innovative Coordinated Access and FAST Section 3006(b) 3.50
Mobility Grants Pilot Program.
Tribal Transit.................... 5311(c)(1)(A)....... 5.00
Grants for Buses and Bus 5339(b)............. 423.22
Facilities Competitive Program.
Low or No Emission Grants 5339(c)............. 85.00
Competitive Program.
TOD Planning Pilot Program........ MAP-21 Section 10.00
20005(b).
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IV. FY 2019 Program-Specific Information
A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
Section 5305(d) authorizes Federal funding to support a
cooperative, continuous, and comprehensive planning program for
transportation investment decision-making at the metropolitan area
level. The specific requirements of metropolitan transportation
planning are set forth in 49 U.S.C. 5303 and further explained in 23
CFR part 450, as incorporated by reference in 49 CFR part 613, Planning
Assistance and Standards. The State DOTs are the designated recipients
of Metropolitan Planning Programs (MPP) and State Planning and Research
Program (SPRP) funds allocated by FTA, which are then sub-allocated to
Metropolitan Planning Organizations (MPOs) for planning activities that
support the economic vitality of the metropolitan area. The Secretary
has the discretion to award MPP and SPRP assistance to States,
authorities of States, MPOs, and local governmental authorities.
Each MPO must establish specific performance targets against system
performance measures issued by U.S. DOT, and use these in tracking
progress towards attaining critical outcomes. The MPO must coordinate
with States and transit providers in setting these targets. MPOs must
provide a system performance report that evaluates progress in meeting
the performance targets in comparison with the system performance
identified in prior reports.
MPP funding must support work resulting in balanced and
comprehensive intermodal transportation planning for the movement of
people and goods in the metropolitan area. Comprehensive transportation
planning is not limited to transit planning or surface transportation
planning, but also encompasses the relationships among land use and all
transportation modes, without regard to the programmatic source of
Federal assistance. MPP funds may be used for studies relating to
management, mobility management, planning, operations, capital
requirements, economic feasibility, performance-based planning, safety,
and transit asset management. Funds may be used to develop or update
the metropolitan planning agreements, and to evaluate previously funded
projects or to conduct peer reviews and exchanges of technical data,
information, or assistance, among MPOs and other transportation
planners. Funds may be used for planning for multimodal transportation
access to transit facilities; system planning; scenario planning;
corridor-level alternative analysis; development of federally required
documents; safety, security and emergency transportation planning;
coordinated public transit human services transportation planning; and
public participation in the transportation planning, including the
development of the Public Participation Plan. An exhaustive list of
eligible work activities is provided in FTA Circular 8100.1D, Program
Guidance for Metropolitan Planning and State Planning and Research
Program Grants, dated September 10, 2018.
For more information or questions on the Metropolitan Planning
program, please contact Victor Austin at (202) 366-2996 or
[email protected].
1. Authorized Amounts
Federal public transportation law authorizes $139,087,757 to carry
out section 5305. Of the amounts authorized for Section 5305, 82.72
percent, or $115,053,393, is made available to the Metropolitan
Planning Program in FY 2019 to provide financial assistance for
metropolitan planning needs under Section 5303.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $115,053,393 is
available to the Metropolitan Planning Program (Section 5305(d)) to
support metropolitan transportation planning activities set forth in
Section 5303. The total amount apportioned for the Metropolitan
Planning Program to States for use by MPOs in urbanized areas (UZAs) is
$114,478,126 as shown in the table below, after the deduction for
oversight (authorized by Section 5338).
[[Page 31987]]
Metropolitan Planning Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $115,053,393
Oversight Deductions.................................... (575,267)
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Total Apportioned..................................... $114,478,126
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Of the amounts authorized for Section 5305, 82.72 percent is made
available to the Metropolitan Planning Program. As a subset of the
Metropolitan Planning Program funds, FTA apportions 80 percent to the
states by statutory formula based on the most recent decennial Census
for each State's UZA population. The remaining 20 percent is provided
to the States based on an FTA administrative formula to address
planning needs in larger, more complex UZAs. The amount published for
each State includes this supplemental allocation.
4. Requirements
The States allocate Metropolitan Planning funds to MPOs in UZAs or
portions thereof to provide funds for planning projects included in a
one or two-year program of planning work activities (the Unified
Planning Work Program, or UPWP) that includes multimodal systems
planning activities spanning both highway and transit planning topics.
Each State has either reaffirmed or developed, in consultation with its
MPOs, an allocation formula among MPOs within the State, based on the
2010 Census. The allocation formula among MPOs in each State may be
changed annually, but any change requires approval by the FTA Regional
Office before grant approval. Program guidance for the Metropolitan
Planning Program is found in FTA Circular 8100.1D, Program Guidance for
Metropolitan Planning and State Planning and Research Program Grants,
dated September 10, 2018.
5. Period of Availability
The Metropolitan Planning program funds apportioned in this notice
are available for obligation during FY 2019 plus three additional
fiscal years. Funds apportioned in FY 2019 must be obligated in grants
by September 30, 2022. Any FY 2019 apportioned funds that remain
unobligated at the close of business on September 30, 2022, will revert
to FTA for reapportionment under the Metropolitan Planning Program.
B. State Planning and Research Program (49 U.S.C. 5304 and 5305(e))
This program provides financial assistance to States for statewide
transportation planning and other technical assistance activities,
including supplementing the technical assistance program provided
through the Metropolitan Planning program and planning support for non-
urbanized areas. The specific requirements of Statewide transportation
planning are set forth in 49 U.S.C. 5304 and further explained in 23
CFR part 450 as referenced in 49 CFR part 613, Planning Assistance and
Standards. State DOTs are required to reference performance measures
and performance targets within the Statewide Planning process. This
funding must support work resulting in balanced and comprehensive
intermodal transportation planning for the movement of people and goods
and has the same eligibilities as MPP funds.
For more information or questions on the State Planning and
Research program, please contact Victor Austin at (202) 366-2996 or
[email protected].
1. Authorized Amounts
Federal public transportation law authorizes $24,034,364 in FY
2019, to provide financial assistance for statewide planning and other
technical assistance activities under Section 5305. As specified in
law, this represents the 17.28 percent of the amounts available for
Section 5305 that are allocated to the Statewide Planning and Research
program.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $24,034,364 is
available for the State Planning and Research Program (Section
5305(e)). The total amount apportioned for the State Planning and
Research Program (SPRP) is $23,914,193 as shown in the table below,
after the deduction for oversight (authorized by Section 5338).
Statewide Transportation Planning Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $24,034,364
Oversight Deductions.................................... (120,171)
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Total Apportioned..................................... 23,914,193
------------------------------------------------------------------------
States' apportionments for this program are displayed in Table 2.
3. Basis for Formula Apportionment
Of the amount authorized for Section 5305, 17.28 percent is
allocated to the State Planning and Research program. FTA apportions
funds to States by a statutory formula that is based on the most recent
decennial Census data available, specifically, the State's UZA
population as compared to the UZA population of all States.
4. Requirements
Funds are provided to States for Statewide transportation planning
programs. These funds may be used for a variety of purposes such as
planning, technical studies and assistance, performance-based planning,
demonstrations, and management training. In addition, a State may
authorize a portion of these funds to be used to supplement
Metropolitan Planning funds allocated by the State to its UZAs, as the
State deems appropriate.
Program guidance for the State Planning and Research program is
found in FTA Circular 8100.1D, Program Guidance for Metropolitan
Planning and State Planning and Research Program Grants, dated
September 10, 2018.
5. Period of Availability
The State Planning and Research program funds apportioned in this
notice are available for obligation during FY 2019 plus three
additional fiscal years. Accordingly, funds apportioned in FY 2019 must
be obligated in grants by September 30, 2022. Any FY 2019 apportioned
funds that remain unobligated at the close of business on September 30,
2022 will revert to FTA for reapportionment under the State Planning
and Research program.
C. Urbanized Area Formula Program (49 U.S.C. 5307)
The Urbanized Area Formula Program provides financial assistance to
designated recipients in urbanized areas (UZAs) for capital investments
in public transportation systems, planning, job access and reverse
commute projects, and, in some cases, operating assistance. FTA
apportions funds for this program through a statutory formula. Of the
amount authorized for Section 5307 each year, $30 million is set aside
for the competitive Passenger Ferry Grant Program (Ferry program), as
authorized under 49 U.S.C. 5307(h). The Ferry program offers financial
assistance to public ferry systems in urbanized areas for capital
projects. Projects are selected annually through a funding competition.
Additionally, 0.5 percent will be apportioned to eligible States for
State Safety Oversight (SSO) Program grants, and 0.75 percent will be
set aside for program oversight. Further information on the 0.5 percent
apportionment to States for the State Safety Oversight Program is
provided in section IV.M. of this notice.
For more information or questions on the Urbanized Area Formula
Program, contact Tara Clark at (202) 366-2623 or [email protected].
For more
[[Page 31988]]
information on the Ferry Program, contact Vanessa Williams at (202)
366-4818 or [email protected].
1. Authorized Amounts
Federal public transportation law authorizes $4,827,117,606 in FY
2019 to provide financial assistance for urbanized areas under Section
5307.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $5,262,516,268 is
available for the Urbanized Area Formula program, which includes the
addition of reapportioned funds and amounts apportioned to UZAs
pursuant to the Section 5340 Growing States and High-Density States
Formula factors. This amount to UZAs excludes the set-aside of $30
million for the Ferry program, apportionments under the State Safety
Oversight Program, and oversight (authorized by Section 5338), as shown
in the table below:
Urbanized Area Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available......................... \a\
$4,827,117,606
Oversight Deduction................................... -36,203,382
State Safety Oversight Program........................ -24,135,588
Ferry Discretionary Program........................... -30,000,000
5340 High Density States.............................. 308,004,054
5340 Growing States................................... 209,758,739
Reapportioned Funds................................... 7,974,839
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Total Apportioned................................... $5,262,516,268
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
------------------------------------------------------------------------
\a\ Includes 1.5 percent set-aside for Small Transit Intensive Cities
Formula Table 3 displays the amounts apportioned under the Urbanized
Area Formula Program.
3. Basis for Formula Apportionment
FTA apportions Urbanized Area Formula Program funds based on
statutory formulas. Congress established four separate formulas to
apportion available funding: The Section 5307 Urbanized Area Formula
Program formula, the Small Transit Intensive Cities (STIC) formula, the
Growing States and High-Density States formula, and a formula based on
low-income population.
Consistent with prior apportionment notices, Table 3 shows a total
Section 5307 apportionment for each UZA, which includes amounts
apportioned under each of these formulas. Detailed information about
the formulas is provided in Table 4. For technical assistance purposes,
the UZAs that receive STIC funds are listed in Table 6. FTA will
provide breakouts of the funding allocated to each UZA under these
formulas upon request to the FTA Regional Office.
FTA has calculated dollar unit values for the formula factors used
in the Urbanized Area Formula Program apportionment calculations. These
values represent the amount of money each unit of a factor is worth in
this year's apportionment. The unit values change each year, based on
all data used to calculate the apportionments, as well as the amount
appropriated by Congress for the apportionment. The dollar unit values
for FY 2019 are displayed in Table 5. To replicate the basic formula
component of a UZA's apportionment, multiply the dollar unit value by
the appropriate formula factor (i.e., the population, population x
population density), and when applicable, data from the NTD (i.e.,
route miles, vehicle revenue miles, passenger miles, and operating
cost).
a. Section 5307--Urbanized Area Formula
For UZAs between 50,000 and 199,999 in population, the Urbanized
Area Formula is primarily based on population and population density.
For UZAs with populations of 200,000 or more, the formula is based on
population and population density, as well as a combination of bus
revenue vehicle miles, bus passenger miles, bus operating costs, fixed
guideway vehicle revenue miles, and fixed guideway route miles, either
within the UZA or attributable to the UZA. The Urbanized Area Formula
is defined in 49 U.S.C. 5336. Consistent with Section 5336(b), FTA has
included 27 percent of the fixed guideway directional route miles and
vehicle revenue miles from eligible urbanized area transit systems, but
which were attributable to rural areas outside of the urbanized areas
from which the system receives funds.
b. Small Transit Intensive Cities Formula
Under the Small Transit Intensive Cities (STIC) formula, FTA
apportions 2 percent of the funds made available for Section 5307 to
UZAs that are under 200,000 in population and have public
transportation service that operates at a level equal to or above the
industry average for UZAs with a population of at least 200,000, but
not more than 999,999. STIC funds are apportioned based on six
performance categories: Passenger miles traveled per vehicle revenue
mile, passenger miles traveled per vehicle revenue hour, vehicle
revenue miles per capita, vehicle revenue hours per capita, passenger
miles traveled per capita, and passengers per capita. In FY 2019, the
STIC set aside increased from 1.5 percent to 2 percent. The data used
to determine a UZA's eligibility under the STIC formula and to
calculate the STIC apportionments was obtained from the NTD for the
2017 reporting year. Because performance data change with each year's
NTD reports, the UZAs eligible for STIC funds and the amount each
receives may vary each year. UZAs that received funding through the
STIC formula for FY 2019 are listed in Table 6.
c. Section 5340--Growing States and High-Density States Formula
FTA also apportions funds to qualifying UZAs and States according
to the Section 5340 Growing States and High-Density States formula, as
shown in Table 3. More information on this program and its formula is
found in Section IV.P. of this notice.
d. Low-Income Population
Of the amount authorized and appropriated for the Urbanized Area
Formula Program in each year, 3.07 percent is apportioned based on the
low-income population. As specified in statute, FTA apportions 75
percent of the available funds to UZAs with a population of 200,000 or
more. Funds are apportioned based on the ratio of the number of low-
income individuals in each UZA to the total number of low-income
individuals in all urbanized areas of that size. FTA apportions the
remainder of the funds (25 percent) to UZAs with populations of less
than 200,000, per an equivalent formula. The low-income populations
used for this calculation were based on the American Community Survey
(ACS) data set for 2012-2016. This information is updated by the Census
Bureau annually.
4. Requirements
To comply with or maintain compliance with the Clean Air Act (CAA)
or the Americans with Disabilities Act (ADA) of 1990, the maximum
Federal share for the Urbanized Area Formula Program, including the
Passenger Ferry Program, is 85 percent for the net project cost of
acquiring vehicles (including clean-fuel or alternative fuel). The
maximum Federal share is 90 percent of the net project cost for
acquiring vehicle-related equipment or facilities (including clean-fuel
or alternative-fuel vehicle-related equipment or facilities) for
complying with or maintaining compliance with the CAA or ADA.
Program guidance for the Urbanized Area Formula Program is provided
in FTA Circular 9030.1E, Urbanized Area Formula Program: Program
Guidance
[[Page 31989]]
and Application Instructions, dated January 16, 2014.
5. Period of Availability
Funds made available under the Urbanized Area Formula Program are
available for obligation during the year of apportionment plus five
additional years. Accordingly, funds apportioned in FY 2019 must be
obligated by September 30, 2024. Any FY 2019 apportioned funds that
remain unobligated at the close of business on September 30, 2024 will
revert to FTA for reapportionment under the Urbanized Area Formula
Program. Funds allocated under the Passenger Ferry program have the
same period of availability as Section 5307. Accordingly, funds
allocated in FY 2019 must be obligated by September 30, 2024. Any of
the funds allocated in FY 2019 that remain unobligated at the close of
business on September 30, 2024 will revert to FTA for reallocation
under the Passenger Ferry program.
D. Fixed Guideway Capital Investment Grants Program (49 U.S.C. 5309)
The Capital Investment Grants (CIG) Program includes four types of
eligible projects: New Starts projects, Small Starts projects, Core
Capacity Improvement projects, and Programs of Inter-related Projects.
Funding is provided for construction of: (1) New fixed guideway systems
or extensions to existing fixed guideway systems such as rapid rail
(heavy rail), commuter rail, light rail, trolleybus (using overhead
catenary), cable car, passenger ferries, and bus rapid transit
operating on an exclusive transit lane for the majority of the corridor
length during peak periods that also includes features that emulate the
services provided by rail fixed guideway, including defined stations,
traffic signal priority for public transit vehicles, and short headway
bi-directional service for a substantial part of weekdays and weekends;
(2) corridor-based bus rapid transit service that does not operate on
an exclusive transit lane but includes features that emulate the
services provided by rail fixed guideway, including defined stations,
traffic signal priority for public transit vehicles, and short headway
bi-directional services for a substantial part of weekdays; (3)
projects that expand the capacity by at least 10 percent in an existing
fixed guideway corridor that is at capacity today or will be in five
years; and (4) programs of two or more interrelated projects as
described above that have logical connectivity with one another and
will all begin construction in a reasonable timeframe. FAST Act Section
3005(b) authorizes an Expedited Project Delivery for the CIG Pilot
Program.
For more information about the Capital Investment Grant program
contact Elizabeth Day, Office of Capital Project Development, at (202)
366-5159 or [email protected]. For information about published
allocations contact Eric Hu, Office of Transit Programs, at (202) 366-
0870 or [email protected].
1. Authorized Amounts
Federal public transportation law authorizes $2,301,785,760 in FY
2019, to provide financial assistance for Capital Investment Grants
under Section 5309 and Section 3005(b) of the FAST Act.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $2,552,687,000 is
available for Capital Investment Grants for the Fixed Guideway Capital
Investment Grants Program and the FAST Act Section 3005(b) Expedited
Project Delivery for CIG Pilot Program. The Consolidated Appropriations
Act, 2019 requires that $2,169,783,950 of the amount available must be
obligated by December 31, 2020. The funds are allocated in the
following manner: $1,265,670,000 for New Starts projects; $635,000,000
for Core Capacity projects; $526,500,000 for Small Starts projects;
$100,000,000 for FAST Act Section 3005(b) Expedited Project Delivery
for CIG Pilot Program projects and $25,517,000 for Oversight. The total
amount available for projects is $2,527,170,000 as shown in the table
below, after the deduction for oversight (authorized by Section 5338).
Capital Investment Grants Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available......................... $2,552,687,000
Oversight Deduction................................... (25,517,000)
-----------------
* Total Apportioned................................. $2,527,170,000
------------------------------------------------------------------------
* Of the total amount apportioned, $2,169,783,950 shall be obligated by
December 31, 2020.
3. Basis for Allocation
Funds are allocated on a competitive basis and subject to program
evaluation.
4. Requirements
Projects become candidates for funding under the Capital Investment
Grants Program by successfully completing steps in the process defined
in Section 5309 and obtaining a satisfactory rating under the
statutorily defined criteria. For New Starts and Core Capacity
Improvement projects, the steps in the process include project
development, engineering, and construction. For Small Starts projects,
the steps in the process include project development and construction.
For programs of interrelated projects, the steps in the process depend
on the combination of project types included. FTA issued a Request for
Expressions of Interest to Participate in the FAST Act Section 3005(b)
Expedited Project Delivery Pilot Program in the Federal Register on
September 12, 2018, with submissions due on November 13, 2018.
5. Period of Availability
Capital Investment Grant program funds apportioned in this notice
are available for obligation during FY 2019 plus three additional
fiscal years. Accordingly, funds apportioned in FY 2019 must be
obligated in grants by September 30, 2022, except $2,169,783,950 that
must be obligated by December 31, 2020.
E. Formula Grants for the Enhanced Mobility of Seniors and Individuals
With Disabilities Program (49 U.S.C. 5310)
The Section 5310 Enhanced Mobility of Seniors and Individuals with
Disabilities Program provides formula funding to states and urbanized
areas for meeting the transportation needs of older adults and people
with disabilities when the public transportation service provided is
unavailable, insufficient, or inappropriate to meet these needs. The
program aims to improve mobility for seniors and individuals with
disabilities by removing barriers to transportation service and
expanding transportation mobility options. The Pilot Program for
Innovative Coordinated Access and Mobility Program (Pilot Program) was
established by Section 3006(b) of the FAST Act. The purpose of the
program is to assist in financing innovative projects for the
transportation disadvantaged that improve the coordination of
transportation services and non-emergency medical transportation (NEMT)
services, including, for example, the deployment of coordination
technology, and projects that create or increase access to community
One-Call/One-Click Centers.
For more information or questions on the Enhanced Mobility of
Seniors and Individuals with Disabilities program, please contact Kelly
Tyler at (202) 366-3102 or [email protected].
1. Authorized Amounts
Federal public transportation law authorizes $279,646,188 in FY
2019 to provide formula funding to designated
[[Page 31990]]
recipients and states for meeting the transportation needs of older
adults and people with disabilities. The law also authorizes $3.50
million for the competitive Pilot Program.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $279,646,188 is
available for the Section 5310 formula program. The total amount
apportioned is $281,247,957 after the oversight deduction of $1,398,231
as shown in the table below, and a total of $3,500,000 is available for
the competitive Pilot Program.
Formula Grants for the Enhanced Mobility of Seniors and Individuals With
Disabilities Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $279,646,188
Oversight Deduction..................................... (1,398,231)
---------------
Total Apportioned..................................... $278,247,957
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Sixty percent of the funds are apportioned among designated
recipients for urbanized areas with a population of 200,000 or more
individuals. Twenty percent of the funds are apportioned among the
States for urbanized areas with a population of at least 50,000 but
less than 200,000. Twenty percent of the funds are apportioned among
the States for rural areas, defined as areas with a population less
than 50,000. Census Data on Older Adults and People with Disabilities
is used for the Section 5310 program apportionments. FY 2019
Apportionments Table 8 displays the amounts apportioned under the
Enhanced Mobility of Seniors and Individuals with Disabilities Program.
Under the Section 5310 formula, funds are allocated using Census data
on older adults (i.e., persons 65 and older) and people with
disabilities. However, beginning in 2010, the Census Bureau stopped
collecting this demographic information as part of its decennial
census. Data on seniors and people with disabilities is now only
available from the American Community Survey (ACS), which is conducted
and published on a rolling basis. FTA's FY 2019 Section 5310
apportionments incorporate ACS data published in August 2017. Data on
seniors comes from the ACS 2012-2016 five-year data set, Table B01001,
``Sex by Age.'' Data on persons with disabilities comes from the ACS
2012-2016 five-year data set, Table S1810, ``Disability
Characteristics.''
4. Requirements
At least 55 percent of program funds must be used on traditional
Section 5310 projects such as buses and vans; wheelchair lifts, ramps,
and securement devices; or transit-related information technology
systems including scheduling, routing, one-call systems. Mobility
management programs are also defined as capital projects for purposes
of this provision. The acquisition of transportation services under a
contract, lease, or other arrangement is also eligible; both the
capital and operating costs associated with contracted service are
eligible capital expenses for purposes of this provision. The capital
eligibility of acquisition of services is limited to the Section 5310
program. The remaining 45 percent of a recipient's 5310 funds may be
used for capital expenses or operating assistance.
a. Eligible Recipients
Eligible recipients include States for rural and small urban areas
and designated recipients for large urban areas; or a State or local
governmental entity that operates a public transportation service. For
urbanized areas, less than 200,000 in population and in the rural
areas, the State is the designated recipient for Section 5310. Current
Section 5310 designations remain in effect until changed by the
Governor of a State by officially notifying the appropriate FTA
Regional Administrator of re-designation. A State or local governmental
entity that operates a public transportation service may be a direct
recipient for Section 5310 funds.
For urbanized areas over 200,000 in population, the recipient
charged with administering the Section 5310 Program must be officially
designated in accordance with the planning process, by the Governor of
a State, responsible local officials, and publicly owned operators of
public transportation prior to grant award (See the definition of
designated recipient, 49 U.S.C. 5302(4)). Designated recipients are
responsible for administering the program. Eligible subrecipients
include State or local governmental authorities, private nonprofit
agencies, and operators of public transportation that receive a grant
indirectly through a recipient. For the 55 percent of funds that must
be used for capital projects, eligible subrecipients include private
nonprofit organizations as well as State or local governmental
authorities that are either approved by the State to coordinate
services for seniors and people with disabilities, or which certify to
the Governor that no nonprofit organizations are readily available in
the area to provide the service.
b. Local Match
Capital assistance is provided at 80 percent Federal share; 20
percent local share. Operating assistance requires a 50 percent local
match. Funds provided under other Federal programs (other than those of
the DOT, except for the Federal Lands Transportation Program) may be
used as local match for funds provided under Section 5310, and revenue
from service contracts may be used as local match.
c. Planning and Consultation
The coordinated planning provision requires that all projects be
included in the local coordinated human service-public transportation
plan. The plan must be developed and adopted with representation from
seniors, individuals with disabilities, representatives of public,
private, nonprofit transportation and human services providers, and
other members of the public.
d. State and Project Management Plans
States, designated recipients, and State or local governmental
entities that operate a public transportation service that are
responsible for implementing the Section 5310 program are required to
document their approach to managing the program. The Management Plans
serve as the basis for FTA management reviews of the program, and
provide public information on the administration of the programs.
e. Program of Projects (POP)
Designated recipients are required to develop a Program of Projects
(POP) with the grant application and submit it to the FTA Regional
Office. The POP should be developed with respect to the coordinated
plan, long range plan, and the transportation improvement plan. For
additional guidance in developing the required POP, see Chapter IV of
the FTA Circular 9070.1G, Enhanced Mobility of Seniors and Individuals
with Disabilities Program Guidance and Application Instructions, dated
July 7, 2014.
5. Period of Availability
The Enhanced Mobility of Seniors and Individuals with Disabilities
program funds apportioned in this notice are available for obligation
during FY 2019 plus two additional fiscal years. Accordingly, funds
apportioned in FY 2019 must be obligated in grants by September 30,
2021. Any FY 2019 apportioned funds that remain unobligated at the
close of business on September 30, 2021, will revert to FTA
[[Page 31991]]
for reapportionment among the States and urbanized areas.
6. Other Program Information
A State may transfer apportioned funds between small urbanized
areas and rural areas if it can certify that the needs are being met in
the area to which the funds were originally apportioned. The State can
transfer the funds (rural and small urbanized area) to any area within
the state if a statewide program for Section 5310 is established.
Section 5310 funds may not be transferred to other FTA programs, and
Section 5310 funds apportioned to large urbanized areas may not be
transferred to other areas. Section 5310 program recipients may partner
with meal delivery programs such as the Older Americans Act (OAA)-
funded meal programs (to find local programs, visit: www.Eldercare.gov)
and the USDA Summer Food Service Program https://www.fns.usda.gov/sfsp/summer-food-service-program. Transit service providers receiving 5310
funds may coordinate and assist in providing meal delivery services on
a regular basis if this does not conflict with the provision of transit
services.
Program Guidance is found in FTA Circular 9070.1G, Enhanced
Mobility of Seniors and Individuals with Disabilities Program Guidance
and Application Instructions, dated July 7, 2014.
F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
The Formula Grants for Rural Areas program provides formula funding
to States and Indian tribes for supporting public transportation in
areas with a population of less than 50,000. Funding may be used for
capital, operating, planning, job access and reverse commute projects,
and State administration expenses. Eligible subrecipients include State
and local governmental authorities, Indian Tribes, private non-profit
organizations, and private intercity bus companies. Indian Tribes are
also eligible direct recipients under the Formula Grants for Rural
Areas program, both for funds apportioned to the States and for
projects apportioned or selected to be funded with funds set aside from
the Tribal Transit Program.
For more information about the Formula Grants for Rural Areas
program, please contact [Eacute]lan Flippin at (202) 366-3800 or
[email protected].
1. Authorized Amounts
Federal public transportation law authorizes $659,322,031 to
provide financial assistance for rural areas under the Formula Grants
for Rural Areas program. This amount includes $35 million for the
Tribal Transit program; $20 million for the Appalachian program;
$13,186,441 for the Rural Transit Assistance program; and $591,135,590
for the Rural Formula program. This amount excludes funding for the
Section 5340 Growing States Apportionments.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $630,335,590 is
available for the Rural Area Programs. The total amount apportioned to
the program is $716,416,160 as shown in the table below, after the
addition of $6,024,853 in reapportioned funds and $83,552,327 for the
Section 5340(c) Growing States, and the oversight deduction authorized
by Section 5338.
Grants for Rural Areas Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $630,335,590
Oversight Deduction..................................... (3,496,610)
5340 Growing States..................................... 83,552,327
Reapportioned Funds..................................... 6,024,853
---------------
Total Apportioned..................................... 716,416,160
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions the Formula Grants for Rural Areas program funds to
states by a statutory formula using the latest available U.S. decennial
census data. Most of the Formula Grants for Formula Grants for Rural
Areas program funds (83.15 percent) are apportioned based on land area
and population factors. In the first tier, no state may receive more
than 5 percent of the amount apportioned based on land area. The
remaining funds (16.85 percent) are apportioned based on land area,
vehicle revenue miles, and the proportion of low-income individuals. In
the second tier, no state may receive more than 5 percent of the amount
apportioned based on land area, or more than 5 percent of the amounts
apportioned for vehicle revenue miles. In addition to funds made
available under Section 5311, FTA adds amounts apportioned based on
rural population per the growing states formula factors of 49 U.S.C.
5340 to the amounts apportioned to the states under the Section 5311
formula. Before FTA apportions Section 5311 funds to the states, FTA
subtracts funding from the total available amounts for the Appalachian
Development Transportation Assistance Program, the Tribal Transit
Program, the Rural Transportation Assistance Program (RTAP), and FTA
oversight activities.
Data from the National Transit Database (NTD) 2017 Report Year was
used for this apportionment, including data from directly-reporting
Indian tribes. Data from public transportation systems that reported as
urbanized area systems, but not attributable to an urbanized area, was
also included. The Formula Grants for Rural Areas program includes
three takedowns: The Appalachian Development Public Transportation
Assistance Program; the Rural Transportation Assistance Program (RTAP);
and the Tribal Transit Program. These separate programs are described
in the sections that follow.
4. Requirements
The Formula Grants for Rural Areas program provides funding for
capital, operating, planning, job access and reverse commute projects,
and administration expenses for public transit service in rural areas
under 50,000 in population. The planning activities undertaken with
Formula Grants for Rural Areas program funds are in addition to those
awarded to the State under Section 5305 and must be used specifically
for the needs of rural areas.
a. Intercity Bus Transportation
Each State must spend no less than 15 percent of its annual Formula
Grants for Rural Areas program apportionment for the development and
support of intercity bus transportation, unless it can certify, after
consultation with affected intercity bus service providers, that the
intercity bus service needs of the State are adequately met. FTA
encourages consultation with other stakeholders, such as communities
affected by loss of intercity service. The cost of an unsubsidized
portion of privately provided intercity bus service that connects
feeder service, including all operating and capital costs of such
service whether or not offset by revenue from such service, may be used
as in-kind local match for the intercity bus projects.
b. State Administration
States may elect to use up to 10 percent of their apportionment at
100 percent Federal share to administer the Formula Grants for Rural
Areas program and provide technical assistance to subrecipients.
Technical assistance includes project planning, program and management
development, public transportation coordination activities, and
research the State considers appropriate to promote effective delivery
of public transportation to rural areas.
[[Page 31992]]
c. Other Requirements
The Federal share for capital assistance is 80 percent and for
operating assistance is 50 percent, except that States eligible for the
sliding scale match under FHWA programs may use that match ratio for
Formula Grants for Rural Areas program capital projects and 62.5
percent of the sliding scale capital match ratio for operating
projects. Each State prepares an annual program of projects, which must
provide for fair and equitable distribution of funds within the State,
including Indian reservations, and must provide for maximum feasible
coordination with transportation services assisted by other Federal
sources.
Additional program guidance for the Formula Grants for Rural Areas
program is found in FTA Circular 9040.1G, Formula Grants for Rural
Areas: Program Guidance and Application Instructions, dated November
24, 2014, and is supplemented by additional information that may be
posted to FTA's website.
5. Period of Availability
The Formula Grants for Rural Areas program funds apportioned in
this notice are available for obligation during FY 2019 plus two
additional fiscal years. Accordingly, funds apportioned in FY 2019 must
be obligated in grants by September 30, 2021. Any FY 2019 apportioned
funds that remain unobligated at the close of business on September 30,
2021, will revert to FTA for reapportionment under the Formula Grants
for Rural Areas program.
6. Other Program Information
Revenue from the sale of advertising and concessions may be used as
local match.
G. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))
This program provides funding to assist in the design and
implementation of training and technical assistance projects, research,
and other support services tailored to meet the needs of transit
operators in rural areas.
For more information about Rural Transportation Assistance Program
(RTAP), please contact [Eacute]lan Flippin at (202) 366-3800 or
[email protected].
1. Authorized Amounts
Federal public transportation law authorized $13,186,440, or two
percent of the funds made available for the Formula Grants for Rural
Areas program, to be made available for the Rural Transportation
Assistance Program (RTAP). Of the two percent takedown, 15 percent is
reserved for the National RTAP program. The remainder is available for
allocation to the States.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $13,986,441 is
available for the RTAP Program. The total amount apportioned for RTAP
is $11,888,475 as shown in the table below, after the deduction for
National RTAP.
Rural Transportation Assistance Program (RTAP)
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $13,986,441
National RTAP........................................... (2,097,966)
---------------
Total Apportioned..................................... 11,888,475
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA allocates RTAP funds to the States by an administrative
formula. First, FTA allocates $65,000 to each State and $10,000 to each
territory, and then allocates the balance based on rural population in
the 2010 census.
4. Requirements
Eligible RTAP expenses include the design and implementation of
training and technical assistance projects, research, and other support
services tailored to meet the needs of transit operators in rural
areas. States may use the funds to undertake research, training,
technical assistance, and other support services to meet the needs of
transit operators in rural areas. These funds are to be used in
conjunction with a State's administration of the Formula Grants for
Rural Areas program, but also may support the rural components of the
Section 5310 program.
5. Period of Availability
The RTAP funds apportioned in this notice are available for
obligation during FY 2019 plus two additional fiscal years.
Accordingly, funds apportioned in FY 2019 must be obligated in grants
by September 30, 2021.
6. Other Program Information
The National RTAP project is administered by cooperative agreement
and re-competed at five-year intervals. In 2014, FTA awarded a
cooperative agreement to the Neponset Valley Transportation Management
Association to administer the National RTAP Program. The National RTAP
projects are guided by a project review board that consists of managers
of rural transit systems and State DOT RTAP programs. National RTAP
resources also support the biennial Transportation Research Board
National Conference on Rural Public and Intercity Bus Transportation
and other research and technical assistance projects of a national
scope. The National RTAP project will be recompeted in FY 2019.
H. Appalachian Development Public Transportation Assistance Program (49
U.S.C. 5311(c)(2))
This program is a take-down under the Formula Grants for Rural
Areas program to provide additional funding to support public
transportation in the Appalachian region. There are sixteen eligible
States that receive an allocation under this provision. The State
allocations are shown in the Formula Grants for Rural Areas program
table posted on FTA's website on the FY 2019 Apportionments page.
For more information about the Appalachian Development Public
Transportation Assistance Program, please contact [Eacute]lan Flippin
at (202) 366-3800 or [email protected].
1. Authorized Amounts
Federal public transportation law authorizes $20 million in each of
FY 2016 through FY 2020 as a take-down under the Formula Grants for
Rural Areas program to support public transportation in the Appalachian
region.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $20 million is
available.
Appalachian Development Public Transportation Assistance Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $20,000,000
Total Apportioned..................................... 20,000,000
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions the funds using percentages established under
Section 9.5(b) of the Appalachian Regional Commission Code (subtitle IV
of title 40). Allocations are based in general on each State's
remaining estimated need to complete eligible sections of the
Appalachian Development Highway System as determined from the latest
percentages of available cost estimates for completion of the System.
Such cost estimates are produced at approximate five-year intervals.
Allocations contain upper and lower limits in amounts determined by the
Commission and are made in accordance with legislative instructions.
4. Requirements
Funds apportioned under this program may be used for purposes
[[Page 31993]]
consistent with the Formula Grants for Rural Areas program to support
public transportation in the Appalachian region. Funds can be applied
for in the State's annual Formula Grants for Rural Areas program grant.
Appalachian program funds that cannot be used for operating may be
used for a highway project under certain circumstances. States should
contact their regional office if they intend to request a transfer.
Additional information about the requirements for this section can be
found in Chapter VII of FTA Circular 9040.1G, Formula Grants for Rural
Areas: Program Guidance and Application Instructions, dated November
24, 2014.
5. Period of Availability
The Appalachian program funds apportioned in this notice are
available for obligation during FY 2019 plus two additional fiscal
years, consistent with that established for the Formula Grants for
Rural Areas program.
I. Formula Grants for Public Transportation on Indian Reservations
Program (49 U.S.C. 5311(j))
The Public Transportation on Indian Reservations Program, or Tribal
Transit Program (TTP), totals $35 million, of which $30 million is for
a formula program and $5 million is for a competitive grant program. It
is funded as a takedown from funds made available for the Formula
Grants for Rural Areas program. Formula factors include vehicle revenue
miles and the number of low-income individuals residing on tribal lands
(defined as American Indian Areas, Alaska Native Areas, and Hawaiian
Home Lands). Eligible direct recipients are Federally recognized Indian
tribes and Alaskan Native Villages providing public transportation in
rural areas. The TTP funds are allocated for grants to eligible
recipients for any purpose eligible under Formula Grants for Rural
Areas program, which includes capital, operating, planning, and job
access and reverse commute projects.
For more information about the Tribal Transit Program, contact
Jasmine Clemons, Office of Transit Programs at (202) 366-2343 or
[email protected].
1. Authorized Amounts
Federal public transportation law authorizes $35 million in FY 2019
to provide assistance to the tribes.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $30 million is
available for the formula program and $5 million for the competitive
program.
Formula Grants for Public Transportation on Indian Reservations Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $30,000,000
Total Apportioned..................................... 30,000,000
------------------------------------------------------------------------
Public Transportation on Indian Reservations Program Competitive Grants
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $5,000,000
Total Apportioned..................................... 5,000,000
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Funding is allocated by formula and distributed to eligible Indian
tribes providing public transportation on tribal lands. The formula
apportionment shown in Table 10 is based on a statutory formula which
includes three tiers. Tiers 1 and 2 are based on data reported to NTD
by Indian tribes; Tier 3 is based on 2012-2016 American Community
Survey data. The three tiers for the formula are: Tier 1--50 percent
based on vehicle revenue miles reported to the NTD; Tier 2--25 percent
provided in equal shares to Indian tribes reporting at least 200,000
vehicle revenue miles to the NTD; Tier 3--25 percent based on Indian
tribes providing public transportation on tribal lands (American Indian
Areas, Alaska Native Areas, and Hawaiian Home Lands) on which more than
1,000 low income individuals reside. If more than one eligible tribe
provides public transportation services on tribal lands in a single
Tribal Statistical Area, and the tribes cannot determine how to
allocate Tier 3 funds, FTA will allocate the funds based on the
relative portion of transit (as defined by unlinked passenger trips)
operated by each tribe, as reported to the NTD.
4. Requirements
Formula funds apportioned under this program can be used for
purposes consistent with the Formula Grants for Rural Areas program to
support public transportation on Indian Reservations in rural areas.
Funds allocated under the competitive program must be used consistent
with the tribe's proposal and the allocation notice published in the
Federal Register, which is used to announce the selected projects.
Eligible recipients under both the competitive and formula program
include federally recognized Indian tribes or Alaska native villages,
groups, or communities as identified by the U.S. Department of the
Interior Bureau of Indian Affairs (BIA). A tribe must have the legal,
financial, and technical capabilities to receive and administer Federal
funds.
Section 5335 requires NTD reporting for all recipients of Section
5311 funds. This reporting requirement continues to apply to the Tribal
Transit Program. Tribes that provide public transportation in rural
areas are reminded to report annually so they are included in the TTP
formula apportionments. To be considered in the FY 2019 formula
apportionments, tribes should have submitted their reports to the NTD
no later than April 30, 2017; voluntary reporting to the NTD is also
encouraged. Additionally, to be considered for the FY 2020 formula
apportionment funds, tribes would have submitted their reports to the
NTD no later than April 30, 2018. Tribes needing assistance with
reporting to the NTD should contact the NTD Helpline at 1-888-252-0936
or [email protected].
5. Period of Availability
The TTP formula program funds apportioned in this notice are
available for obligation during FY 2019 plus two additional fiscal
years. Accordingly, funds apportioned in FY 2019 must be obligated in
grants by September 30, 2021. Any FY 2019 apportioned funds that remain
unobligated at the close of business on September 30, 2021, will revert
to FTA for reapportionment under the TTP formula program. Competitive
TTP funds are available for obligation during the FY in which funds are
awarded to projects plus two additional years.
6. Other Program Information
Section 207 of title 23, United States Code establishes a Tribal
Transportation Self-Governance Program (Self Governance Program). The
Self Governance Program will establish specific criteria for
determining eligibility for a tribe to participate in the program. A
Negotiated Rulemaking to implement this program in consultation with
tribal representatives and other interested stakeholders is under
development.
The funds set aside for the TTP are not meant to replace or reduce
funds that Indian tribes receive from States through the Formula Grants
for Rural Areas program but are to be used to enhance public
transportation on Indian reservations and transit serving tribal
communities. Funds allocated to Indian tribes by the States may be
included in the State's Formula Grants for Rural Areas program
application or may be awarded by FTA in a grant directly to the Indian
tribe. FTA encourages Indian tribes intending to apply to FTA as
[[Page 31994]]
direct recipients to contact the appropriate FTA Regional Office at the
earliest opportunity.
All TTP grantees must comply with all applicable Federal statutes,
regulations, executive orders, FTA circulars, and other Federal
requirements in carrying out the project supported by the FTA grant. To
assist tribes with understanding these requirements, FTA regularly
conducts Tribal Transit Technical Assistance Workshops. FTA has also
expanded its technical assistance to tribes receiving funds under this
program by undertaking Tribal Transit Technical Assistance Assessments.
Through these assessments, FTA collaborates with tribal transit leaders
to review processes and identify areas in need of improvement and then
assist with solutions to address these needs--all in a supportive and
mutually beneficial manner. These assessments include discussions of
compliance areas pursuant to the Master Agreement, a site visit,
promising practices reviews, and technical assistance from FTA and its
contractors. FTA will post information about upcoming workshops to its
website and will disseminate information about the reviews through its
Regional offices. FTA has regional tribal transit liaisons in each of
the FTA Regional Offices that are available to assist tribes with
applying for and managing FTA grants. Tribes are encouraged to work
directly with their regional tribal transit liaison.
J. Public Transportation Innovation (49 U.S.C. 5312)
Public Transportation Innovation is FTA's research program with the
overarching statutory goal to improve public transportation. The law
specifies research focus areas, including providing more effective and
efficient public transportation service; mobility management; system
capacity; advanced vehicle design; asset maintenance; construction and
project management; environment and energy efficiency; and safety
improvements.
FTA may make grants, enter into contracts, cooperative agreements,
and other agreements to carry out the research, development,
demonstration, and deployment projects, including research and
technology of national significance to public transportation.
Within this section are three distinct programs: (a) A Research,
Development, Demonstration, Deployment, and Evaluation program (49
U.S.C. 5312(b-e)); (b) a Low or No Emission Vehicle Component
Assessment Program (LoNo-CAP) (49 U.S.C. 5312(h)); and (c) a Transit
Cooperative Research Program (49 U.S.C. 5312(i)). Eligible recipients
can be departments, agencies, and governmental agencies, including
Federal Laboratories; state and local entities; providers of public
transportation; private or non-profit organizations; institutions of
higher education; and technical community colleges. Each program area
has specific requirements relating to the type of organization that may
receive a grant or enter an agreement.
The types of research eligible for funding are broad and include:
Opportunities to enhance public transportation operational
effectiveness and efficiency; improve services; leverage new types of
vehicle technologies; utilize transformative technologies to improve
public transportation; field new mobility models; and support increased
safety.
For more information about the Public Transportation Innovation
program, contact Edwin Rodriguez, Office of Research, Demonstration and
Innovation at (202) 366-0671 or [email protected].
For more information on the LoNo-CAP program, please contact Sam
Yimer at (202) 366-1321 or [email protected] or visit:
www.transit.dot.gov/research-innovation/lonocap.
1. Authorized Amounts
Federal public transportation law authorizes $28 million in FY 2019
funding for the Public Transportation Innovation program.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $34 million is
available for the Public Transportation Innovation program. The total
amounts apportioned to each subcomponent of the program is shown below
in the table.
Public Transportation Innovation Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Research, Development, Demonstration, Deployment, & $20,000,000
Evaluation.............................................
Low or No Emission Vehicle Component Testing............ 3,000,000
Transit Cooperative Research Program (TCRP)............. 5,000,000
Low or No Emission Bus Testing.......................... 6,000,000
---------------
Total Apportioned..................................... 34,000,000
------------------------------------------------------------------------
3. Basis for Allocation
Public Transportation Innovation funds are allocated according to
the authorized purposes and amounts described above. The Secretary may
make grants and enter contracts, cooperative agreements, and other
agreements for research, development, demonstration, and deployment
projects, and evaluation of research and technology of national
significance to public transportation, that the Secretary determines
will improve public transportation. For FY 2019, FTA intends to fund
projects and activities consistent with its research priorities of
mobility innovation, infrastructure, and safety. Projects may be
selected through Notices of Funding Opportunity (NOFO), or Requests for
Proposals (RFPs), or sole-sourced. FTA awards to a diverse set of
recipients and issues different types of research agreements, including
grants, cooperative agreements, contracts, or interagency agreements.
Potential recipients can register to receive notification of funding
opportunities under this program on Grants.gov.
FTA awards an annual cooperative agreement to the National
Academies of Sciences, Engineering, and Medicine to administer the
TCRP. FTA solicited proposals for the LoNo-CAP in Fall 2016. Awards
were made to Auburn University and The Ohio State University in
September 2017. Both facilities are preparing to test Low and No
emissions components and are expected to receive $6 million by the end
of FY 2019.
4. Requirements
Eligible expenses include activities involving (a) research,
innovation, development, demonstration, deployment, evaluation; (b) low
or no emission vehicle component testing; and (c) transit cooperative
research.
The Federal share for the Research, Innovation, Development,
Deployment, and Demonstration program shall not exceed 80 percent
unless there is substantial public interest or benefit or it is
approved by the Secretary. The remaining 20 percent can be met with in-
kind resources. In some cases, FTA may require a higher non-Federal
share if FTA determines a recipient would obtain a clear and direct
financial benefit from the project, or if the non-Federal share is an
evaluation factor under a competitive selection process.
The Low or No Emission Vehicle Component Testing (LoNo-CAP) is a
voluntary program in which FTA pays 50 percent of the testing fees and
the entity requesting testing pays 50 percent of the fees.
Eligible activities under LoNo-CAP include testing and assessing
voluntarily submitted LoNo components for transit buses, publishing the
results
[[Page 31995]]
of these LoNo component assessments, and preparing an annual report to
Congress summarizing the results of the component assessments. For more
information on the LoNo-CAP program, visit www.transit.dot.gov/research-innovation/lonocap.
All research recipients are required to work with FTA to develop
approved Statements of Work. Application instructions and program
management guidelines are set forth in FTA Circular C 6100.1E,
Research, Technical Assistance and Training Program: Application
Instructions and Program Management Guidelines dated May 11, 2015.
5. Period of Availability
Funding is available until expended.
6. Other Program Information
FTA publishes annual research reports on projects, evaluations, and
benefits of its research portfolio. The reports can be accessed on
FTA's website at www.transit.dot.gov/research-innovation/fta-reports-and-publications. Section 6019(b) of the FAST Act establishes new
requirements for annual modal research plans in 49 U.S.C. 6501.
TCRP is a cooperative effort of three organizations: FTA; the
National Academies, acting through the Transportation Research Board
(TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit
educational and research organization established by the American
Public Transportation Association (APTA). FTA funds the TCRP through a
cooperative agreement. The TCRP is governed by an independent board,
the TCRP Oversight and Project Selection (TOPS) Committee. The TOPS
Committee sets priorities to decide what research studies will be
undertaken and annually selects projects. The FY 2019 selected projects
can be found at: http://onlinepubs.trb.org/onlinepubs/tcrp/docs/finalannouncement2019.pdf.
For more information about TCRP, please contact Faith Hall at (202)
366-9055 or [email protected].
Pursuant to the Small Business Innovation Development Act, of 1982
(Pub. L. 97-219, amending 15 U.S.C. 638) and reauthorized through FY
2022 by the National Defense Authorization Act for Fiscal Year 2017
(Pub. L. 114-328, 1834), 3.2 percent of the 5312 funds must be set
aside for the Department's Small Business Innovation Research Program
(SBIR) to address high priority research that will demonstrate
innovative, economic, accurate, and durable technologies, devices,
applications, or solutions to significantly improve current transit-
related service, including transit vehicle operation, safety,
infrastructure and environmental sustainability, mobility, rider
experience, or broadband communication. Information on current and past
SBIR projects can be found on the DOT SBIR website: www.volpe.dot.gov/work-with-us/small-business-innovation-research.
For more information about SBIR, please contact Kenneth Blacks at
(202) 366-7106 or [email protected].
K. Technical Assistance and Workforce Development (49 U.S.C. 5314)
The Technical Assistance and Workforce Development program, 49
U.S.C. 5314, has three types of programs: Technical assistance and
standards development; human resources and training; and the National
Transit Institute (NTI). FTA funds projects across these areas to
achieve statutory goals to assist the public transportation industry to
more effectively and efficiently provide public transportation service;
develop standards and best practices; provide specific technical
assistance in several areas, including complying with the Americans
with Disabilities Act and human services transportation coordination as
well as meeting the transportation needs of older adults. Key focus
areas for human resources and training are employment training;
outreach to aid in recruiting public transportation workers, especially
to increase employment for certain targeted groups; frontline workforce
development; and advanced training for new and emerging technology
areas such as low and no emission bus maintenance. The NTI's goal is to
develop and conduct training and educational programs for Federal,
State, and local transportation employees and others engaged in public
transportation work.
For more information or questions about the Technical Assistance
and Workforce Development programs, please contact Betty Jackson,
Office of Research, Demonstration, and Innovation at (202) 366-1730 or
[email protected].
1. Authorized Amounts
Federal public transportation law authorizes $9 million in contract
authority for the Technical Assistance and Workforce Development
Program, of which $4 million is authorized for NTI. An additional $5
million is authorized to be appropriated from the general fund.
2. FY 2019 Funding Availability
In FY 2019 under the Consolidated Appropriations Act, 2019, $14
million is available for the Technical Assistance and Workforce
Development program, as shown in the table below. Of the available
amounts $4 million is available for the NTI. The Consolidated
Appropriations Act directs not less than $1.5 million be available for
a cooperative agreement to assist small-urban, rural, and tribal public
transit recipients and planning organizations with applied innovation
and capacity-building that is not duplicative of the activities of
National RTAP or other FTA research activities.
Technical Assistance and Workforce Development
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $14,000,000
Total Apportioned..................................... 14,000,000
------------------------------------------------------------------------
3. Basis for Allocation
Under the Technical Assistance and Workforce Development Program,
$4 million is authorized for the NTI and the remaining funds are
available to support the FTA and USDOT strategic plan for technical
assistance, standards development, and workforce development. Projects
may be selected through sole source, NOFOs, or RFPs. Potential
recipients can register to receive notification of funding availability
under this program on Grants.gov. Once selected, FTA enters cooperative
agreements, grants, contracts, or other agreements to award funds and
manage the projects carried out under this section.
4. Requirements
Eligible expenses include activities involving: (a) Technical
assistance; (b) standards development; and (c) human resources and
training, including workforce development programs and activities.
Eligible technical assistance activities may include activities to
support: (a) Compliance with the ADA; (b) compliance with coordinating
planning and human services transportation; (c) meeting the
transportation needs of elderly individuals; (d) increasing transit
ridership in coordination with MPOs and other entities, particularly
around transit-oriented development; (e) addressing transportation
equity with regard to the effect that transportation planning,
investment, and operations have for low-income and minority
individuals; (f) facilitating best practices to promote bus driver
safety; (g) compliance with Buy America requirements and pre- and post-
award
[[Page 31996]]
audits; (h) assisting with the development and deployment of low and no
emission vehicles or components for vehicles; and (i) other technical
assistance activities that are necessary to advance the interests of
public transportation.
Eligible standards development activities include the development
of voluntary and consensus-based standards and best practices by the
industry including those needed for safety, fare collection,
intelligent transportation systems, accessibility, procurement,
security, asset management, operations, maintenance, vehicle
propulsion, communications, and vehicle electronics.
Eligible human resources and training activities include (a)
employment training programs; (b) outreach programs to increase
employment for veterans, females, individuals with disabilities, and
minorities in public transportation; (c) research on public
transportation personnel and training needs; (d) training and
assistance for veteran and minority business opportunities; and (e)
consensus-based national training standards and certifications in
partnership with industry stakeholders. FTA funding directly allocated
for these eligible purposes must be conducted through a competitive
frontline workforce development program as required by Section 5314.
Should FTA allocate funds for these purposes, it will advertise the
available funding in a NOFO on Grants.gov and on its website. In
addition, recipients of funds under Sections 5307, 5337, and 5339 may
use 0.5 percent of their available funds to pay for workforce
development activities (up to an 80 percent Federal share). There is a
separate eligibility to use 0.5 percent of available funds under the
sections above for training through the NTI.
The Federal share of the cost of a project carried out using a
grant under this section shall not exceed 80 percent. However, for the
human resources and training, including the Innovative Public
Transportation Frontline Workforce Development Program, the Federal
share cannot exceed 50 percent. The Federal share for other types of
awards will be stated in the agreement. In some cases, FTA may require
a higher non-Federal share if FTA determines a recipient would obtain a
clear and direct financial benefit from the project, or if the non-
Federal share is an evaluation factor under a competitive selection
process.
The non-Federal share of the cost of a project carried out under
these sections (Technical Assistance and Standards and Technical
Assistance and Training) may be derived from in-kind contributions as
defined in the most current version of FTA Circular 5010, ``Award
Management Guidelines'' found on FTA's web page at www.transit.dot.gov.
Application instructions and program management guidelines are set
forth in FTA Circular 6100.1E, ``Research, Technical Assistance and
Training Programs: Application Instructions and Program Management
Guidelines'' dated May 11, 2015.
All recipients of Section 5314 funds are required to work with FTA
to develop approved statements of work. There is no match requirement
for the NTI.
5. Period of Availability
FTA establishes the period in which the funds must be obligated to
each project. If the funds are not obligated within that time, they
revert to FTA for reallocation under the program.
6. Other Program Information
FTA publishes an annual report to Congress on the technical
assistance and standards activities that receive assistance under this
section. Additionally, FTA must report annually on the Frontline
Workforce Development Program. FTA reports can be found on FTA's
website at www.transit.dot.gov.
L. Public Transportation Emergency Relief Program (49 U.S.C. 5324)
FTA's Emergency Relief (ER) Program is authorized to provide
funding for public transportation expenses incurred because of an
emergency or major disaster. Funds appropriated for this program are
used to assist in responding to a declared emergency or disaster.
Eligible expenses include emergency operating expenses, such as
evacuations, rescue operations, and expenses incurred to protect assets
in advance of a disaster, as well as capital projects to protect,
repair, reconstruct, or replace equipment and facilities of a public
transportation system that the Secretary determines is in danger of
suffering serious damage or has suffered serious damage because of an
emergency.
Additionally, transit agencies in the affected areas may request
relief from certain FTA administrative and regulatory requirements for
costs incurred in support of evacuations, rescue efforts, and the
efficient shut down and resumption of transit services during and after
the storm. Requests for relief from these requirements may be submitted
to FTA's Emergency Relief Docket at https://www.regulations.gov/. The
docket number for calendar year 2019 is FTA-2019-0001.
FTA encourages transit agencies in affected areas to become
familiar with FTA's Emergency Relief Program Manual as well as other
resources and best practices, available at www.transit.dot.gov/emergencyrelief. When Congress appropriates funding for FTA's Emergency
Relief Program, or at FEMA's direction, FTA will work with agencies to
assess the impacts of the storm, including emergency operations and any
potential damages to transit rolling stock or facilities.
Recipients of FTA funding affected by a declared emergency or
disaster are also authorized to use funds apportioned under Sections
5307 and 5311 for emergency purposes under the provisions of FTA's
Emergency Relief Program. Recipients are advised that formula funds
disbursed to a grantee for emergency purposes will not be replaced or
restored if funding is subsequently made available through FTA under
the ER Program or by the Federal Emergency Management Agency (FEMA).
In the event of a disaster affecting a public transportation
system, the affected recipient should contact its FTA Regional Office
as soon as practicable to determine whether Emergency Relief Program
funds are available, and to notify FTA that it plans to seek
reimbursement for emergency operations and/or repairs that have already
taken place or are in process. If Emergency Relief funds are
unavailable, the recipient may seek reimbursement from FEMA. Properly
documented costs for which the grantee has not received reimbursement
from FEMA may later be reimbursed by grants made either from Emergency
Relief Program funding (if appropriated) or from Sections 5307 and 5311
program funding, once the eligible recipient formally applies to FTA
for reimbursement and FTA determines that the expenses are eligible for
emergency relief.
More information on the Emergency Relief Program and FTA's response
to disasters are available on the FTA website at www.transit.dot.gov/emergencyrelief.
For more information or questions on this program, please contact
John Bodnar at (202) 366-9091 or [email protected].
M. State Safety Oversight Formula Program (49 U.S.C. 5329)
The State Safety Oversight Formula Program provides funding to
support States with rail fixed guideway public transportation systems
(rail transit
[[Page 31997]]
systems) to develop and carry out State Safety Oversight (SSO) Programs
consistent with the requirements of 49 U.S.C. 5329.
For more information or questions on the Public Transportation
Safety program, please contact Kimberly Burtch at (202) 366-0816 or
[email protected].
1. Authorized Amounts
Federal public transportation law authorizes $24,135,588 in FY 2019
to provide funding to support States in developing and carrying out the
SSO Program.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $24,135,588 is
available for the State Safety Oversight (SSO) Formula program as shown
in the table below.
State Safety Oversight Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $24,135,588
Total Apportioned..................................... 24,135,588
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA will continue to allocate funds to the States by an
administrative formula, which is detailed in the Federal Register
notice apportioning SSO Formula Grant Program FY 2013 and FY 2014 funds
(79 FR 13380, March 10, 2014). Grant funds for the SSO program are
apportioned to eligible States using a three-tier formula based on
statutory requirements, which apportion sixty percent (60 percent) of
available funds based on rail transit system passenger miles traveled
(PMT), vehicle revenue miles (VRM), and directional route miles (DRM);
twenty percent (20 percent) of available funds equally to each eligible
State; and twenty percent (20 percent) based on the number of rail
transit systems in each state.
4. Requirements
FTA requires each applicant to demonstrate in its grant application
that its proposed grant activities will develop, lead to, or carry out
a SSO program that meets the requirements under 49 U.S.C. 5329(e).
Grant funds may be used for program operational and administrative
expenses, including employee training activities. Please see the
Federal Register notice which apportioned SSO Formula Grant Program FY
2013 and FY 2014 funds (79 FR 13380, March 10, 2014) for more
information.
5. Period of Availability
SSO Formula Grant Program funds are available for the year of
apportionment plus, two additional years. Any FY 2019 funds that remain
unobligated at the close of business on September 30, 2021 will revert
to FTA for reapportionment under the SSO Formula Grant Program.
N. State of Good Repair Program (49 U.S.C. 5337)
The State of Good Repair Program provides financial assistance to
designated recipients in Urbanized Areas (UZAs) with fixed guideway and
high-intensity motorbus systems for capital investments that maintain,
rehabilitate, and replace aging transit assets and bring fixed guideway
and high intensity motorbus systems into a state of good repair. FTA
apportions funds for this program through a statutory formula using
data reported to the National Transit Database (NTD).
For more information or questions on the State of Good Repair
program, please contact Eric Hu at (202) 366-0870 or [email protected].
1. Authorized Amounts
Federal public transportation law authorizes $2,638,366,859 in FY
2019 for the State of Good Repair Program.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $2,901,366,859 is
available for the State of Good Repair Program. The total amount
apportioned is $2,872,353,190 after the deduction for oversight as
shown in the table below.
State of Good Repair Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................ $2,901,366,859
Oversight Deduction.................................. (29,013,669)
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Total Apportioned.................................. 2,872,353,190
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions State of Good Repair Program funds per a statutory
formula. Funds are apportioned to urbanized areas with fixed guideway
or high-intensity motorbus systems that have been in operation for at
least seven years. This means that only segments of fixed guideway and
high-intensity motorbus systems that entered revenue service on or
before September 30, 2011 are included in the formula, as identified in
the NTD. Funds apportioned to urbanized areas with fixed guideway are
determined by two equal elements: (1) A fixed proportion, based on the
proportion an urbanized area would have received in FY 2011 to the
total amount apportioned to all urbanized areas in the FY 2011 Fixed
Guideway Modernization program using the fixed guideway definition
defined in prior law; and (2) a variable proportion, based on the
proportion of vehicle revenue miles and directional route miles
attributed to an urbanized area relative to all urbanized areas, with
revenue miles weighted for 60 percent of this element and directional
miles weighted for 40 percent of this element. Funds apportioned to
urbanized areas with motorbus systems are 60 percent based on revenue
miles and 40 percent based on route miles that attributed to an
urbanized area relative to all urbanized areas. The fixed guideway tier
is apportioned 97.15 percent of the total appropriation, and the
remaining 2.85 percent is apportioned to the high-intensity motorbus
tier.
4. Requirements
In addition to the program guidance found in the FTA Circular
5300.1, ``State of Good Repair Grants Program: Guidance and application
Instructions,'' all recipients must comply with the regulation at 49
CFR part 625, issued under the authority of Section 5326 for the
Transit Asset Management plan (TAM).
5. Period of Availability
The State of Good Repair Program funds apportioned in this notice
are available for obligation during FY 2019 plus three additional
years. Accordingly, funds apportioned in FY 2019 must be obligated in
grants by September 30, 2022. Any FY 2019 apportioned funds that remain
unobligated at the close of business on September 30, 2022 will revert
to FTA for reappointment under the State of Good Repair Program.
6. Other Program Information
In July 2016, FTA published a Final Rule (49 CFR part 625) for
Transit Asset Management (81 FR 48890, July 26, 2016). Each grantee had
to have a TAM plan in place by October 1, 2018 unless FTA granted it an
extension. Beginning in FY 2019, all projects funded under the State of
Good Repair Program must appear in the investment prioritization of the
grantee's TAM plan.
O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
The Grants for Buses and Bus Facilities Program provides financial
assistance to states, local governmental entities that operate fixed
route bus service, and designated recipients for capital investments in
public transportation systems to replace,
[[Page 31998]]
rehabilitate, lease, and purchase buses and related equipment and to
construct bus-related facilities, including technological changes or
innovations to modify low or no emission vehicles or facilities.
Funding is provided through Section 5339(a) formula allocations,
Section 5339(b) competitive grants, and Section 5339(c) low or no
emission grants.
For more information or questions on the Grants for Buses and Bus
Facilities Formula Program, please contact John Bodnar at (202) 366-
9091 or [email protected]. For information or questions regarding the
competitive Buses and Bus Facilities Infrastructure Investment Program
please contact Mark G. Bathrick at (202) 366-9955 or
[email protected]. For information or questions regarding the
competitive Low or No Emissions Grant Program, contact Tara Clark at
(202) 366-2623 or [email protected].
1. Authorized Amounts
Federal public transportation law authorizes $454,964,489 for the
Grants for Buses and Bus Facilities Formula program and $322,059,980
for the Grants for Buses and Bus Facilities Competitive program, of
which $55,000,000 is available for the Low or No Emissions program in
FY 2019 to provide financial assistance for the Grants for Buses and
Bus Facilities Program.
2. Funding Availability
Under the Consolidated Appropriations Act, 2019, $614,964,489 is
available for the Grants for Buses and Bus Facilities Formula Program,
$512,059,980 is available for the Grants for Buses and Bus Facilities
Competitive Program of which $85,000,000 is available for the Low or No
Emission Grants Program.
After the 0.75 percent take-down for oversight, $610,352,255 is
available for the Grants for Buses and Bus Facilities Formula Program,
$423,219,530 is available for the Grants for Buses and Bus Facilities
Competitive Program, and $85,000,000 is available for the Low or No
Emission Grants Program. The amounts are shown in the table below.
------------------------------------------------------------------------
------------------------------------------------------------------------
Formula Grants for Buses and Bus Facilities
------------------------------------------------------------------------
Total Formula Appropriation available................... $614,964,489
Oversight Deduction..................................... (4,612,234)
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Total Formula Apportioned............................. $610,352,255
------------------------------------------------------------------------
Low or No Emission Grants for Buses and Bus Facilities
------------------------------------------------------------------------
Total Appropriation available........................... $85,000,000
Total Low or No Apportioned............................. $85,000,000
------------------------------------------------------------------------
Competitive Grants for Buses and Bus Facilities
------------------------------------------------------------------------
Total Competitive Appropriation available............... 512,059,980
Oversight Deduction..................................... (3,840,450)
Low or No Emission Grants............................... (85,500,000)
---------------
Total Bus Competition Apportioned..................... $423,219,530
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Section 5339(a) Buses and Bus Facilities Program formula funds are
apportioned to States, territories, and designated recipients based on
a statutory formula. Under the national distribution, each State is
allocated $3.5 million and each territory is allocated $1 million for
use anywhere in the State or territory for FY 2019. The remainder of
the available funding is then apportioned to UZAs based on population,
vehicle revenue miles, and passenger miles using the same apportionment
formula and allocation process as the Urbanized Area Formula Program.
Funds for UZAs under 200,000 in population are apportioned to the State
for allocation to eligible recipients within such areas of the State at
the Governor's discretion. Funds for UZAs with populations of 200,000
or more are apportioned directly to one or more designated recipient(s)
within each UZA for allocation to eligible projects and recipients
within the UZA.
FTA allocates funds under the competitive Section 5339(b) and
5339(c) programs on an annual basis based on a notice of funding
opportunity, which contains detailed guidance on applicant eligibility,
project eligibility, evaluation criteria, and application requirements.
4. Requirements
Eligible recipients for Section 5339(a) formula grants include: (1)
Designated recipients that allocate funds to fixed route bus operators,
and (2) States and local governmental entities that operate fixed route
bus service. Eligible subrecipients include public agencies or private
nonprofit organizations engaged in public transportation, including
those providing services open to a segment of the general public as
defined by age, disability, or low income. The definition of eligible
recipients applies to funding apportioned in previous fiscal years that
remain available for obligation. The requirements of the Urbanized Area
Formula Program apply to recipients of Section 5339 funds within an
urbanized area. The requirements of Formula Grants for Rural Areas
program apply to recipients of Section 5339 funds within rural areas.
Under prior law, only designated recipients were eligible direct
recipients of Section 5339(a) funds. Given that State and local
government entities that operate fixed route service are now eligible
direct recipients of Section 5339(a) funds, FTA does not require
designated recipients to maintain program management plans (PMPs) if
they do not manage any sub-awards of Section 5339 funds.
For additional program requirements, refer to FTA Circular 5100,
``Buses and Bus Facilities Formula Program: Guidance and Application
Instructions.''
5. Period of Availability
The Bus and Bus Facilities Program formula funds apportioned in
this notice are available for obligation during FY 2019 plus three
additional years. Accordingly, funds apportioned in FY 2019 must be
obligated in grants by September 30, 2022. Any FY 2019 apportioned
funds that remain unobligated at the close of business on September 30,
2022 will revert to FTA for reapportionment under the Buses and Bus
Facilities Formula Program. Competitive program funds authorized under
Sections 5339(b) and 5339(c) follow the same period of availability and
reapportionment policy based on the selection date.
P. Growing States and High-Density States Formula Factors (49 U.S.C.
5340)
Federal public transportation law authorizes the use of formula
factors to distribute additional funds to the Section 5307 Urbanized
Area Formula program and Section 5311 Formula Grants for Rural Areas
program for growing states and high-density states. FTA will continue
to publish single urbanized and rural apportionments that show the
total amount for Section 5307 and 5311 programs that includes Section
5340 apportionments for these programs.
For more information or questions on this program, please contact
Tara Clark at (202) 366-2623 or [email protected].
1. Authorized Amounts
Federal public transportation law authorizes $561,315,120 for
apportionment in FY 2019 for the Growing States and High-Density States
Formula factors.
2. FY 2019 Funding Availability
Under the Consolidated Appropriations Act, 2019, $601,315,120
[[Page 31999]]
is available for the Growing States and High-Density States formula.
Growing States and High-Density States Formula Factors
------------------------------------------------------------------------
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Growing States.......................................... $293,311,066
High-Density States..................................... 308,004,054
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Total Apportioned..................................... 601,315,120
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3. Basis for Formula Apportionment
Under the Growing States portion of the Section 5340 formula, FTA
projects each State's 2025 population by comparing each State's
apportionment year population (as determined by the Census Bureau) to
the State's 2010 Census population and extrapolating to 2025 based on
each State's rate of population growth between 2010 and the
apportionment year. Each State receives a share of Growing States funds
based on its projected 2025 population relative to the nationwide
projected 2025 population.
Once each State's share is calculated, funds attributable to that
State are divided into an urbanized area allocation and a non-urbanized
area allocation based on the percentage of each State's 2010 Census
population that resides in urbanized and non-urbanized areas. Urbanized
Areas receive portions of their State's urbanized area allocation based
on the 2010 Census population in that urbanized area relative to the
total 2010 Census population in all urbanized areas in the State. These
amounts are added to the Urbanized Area's Section 5307 apportionment.
The States' rural area allocation is added to the allocation that
each State receives under the Formula Grants for Rural Areas program.
The High-Density States portion of the Section 5340 formula are
allocated to urbanized areas in States with a population density equal
to or greater than 370 persons per square mile. Based on this threshold
and 2010 Census data, the States that qualify are Maryland, Delaware,
Massachusetts, Connecticut, Rhode Island, New York, and New Jersey. The
amount of funds provided to each of these seven States is allocated
based on the population density of the individual State relative to the
population density of all seven States. Once funds are allocated to
each State, funds are then allocated to urbanized areas within the
States based on an individual urbanized area's population relative to
the population of all urbanized areas in that State.
Q. Washington Metropolitan Area Transit Authority Grants
Section 601 of the Passenger Rail Investment and Improvement Act of
2008 (PRIIA) authorized an aggregate amount of $1.5 billion to be
available in increments over 10 fiscal years beginning in fiscal year
2009 to assist the Washington Metropolitan Transit Authority (WMATA) in
implementing its Capital Improvement Program and preventive maintenance
projects. Although authorized in FY 2009, funding was appropriated
beginning in FY 2010. Therefore, the incremental funding spans FY 2010
thru FY 2019.
For more information or questions on the Washington Metropolitan
Area Transit Authority Grants program, please contact Eric Hu at (202)
366-0870 or [email protected] or Timothy Steinitz at (215) 656-7253 or
[email protected].
1. Authorized Amounts
Section 601 of PRIIA authorizes $150,000,000.
2. FY 2109 Funding Availability
Under the Consolidated Appropriations Act, 2019, $150,000,000 is
available. The total amount available is $148,500,000 after the
deduction for oversight as shown in the table below.
Washington Metropolitan Area Transit Authority Grants
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $150,000,000
Oversight Deduction..................................... (1,500,000)
---------------
Total Apportioned..................................... 148,500,000
------------------------------------------------------------------------
3. Basis for Allocation
The funding is authorized under Section 601, Authorization for
Capital and Preventive Maintenance Projects for Washington Metropolitan
Area Transit Authority, of the Passenger Rail Investment and
Improvement Act of 2008, (Pub. L. 110-432) Division B, Title VI.
4. Requirements
Grants may be provided for capital and preventive maintenance
expenditures for WMATA after it has been determined that WMATA has
placed the highest priority on investments that will improve the safety
of the system, including, but not limited, to fixing the track signal
system, replacing 1000 series railcars, installing guarded turnouts,
buying equipment for wayside worker protection, and installing rollback
protection on cars that are not equipped with the safety feature. FTA
will communicate further program requirements directly to WMATA. The
maximum Federal share for each project shall be for 50 percent of the
net project cost of the project, and matching funds shall be provided
in cash from sources other than Federal funds or revenues from the
operation of public transportation systems.
5. Period of Availability
Funds appropriated for WMATA under Section 601 of PRIIA shall
remain available until expended.
V. FTA Policy and Procedures for FY 2019 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
1. Caution to New Grantees
While FTA provides pre-award authority to incur expenses before
grant award for formula programs, it recommends that first-time grant
recipients NOT utilize this automatic pre-award authority without
verifying with the appropriate FTA Regional Office that all pre-
requisite requirements have been met. Commonly, a new grantee may
misunderstand pre-award authority conditions and be unaware of all the
applicable FTA requirements that must be met in order to be reimbursed
for project expenditures incurred in advance of grant award. FTA
programs have specific statutory requirements that are often different
from those for other Federal grant programs with which new grantees may
be familiar. If funds are expended for an ineligible project or
activity, or for an eligible activity but at an inappropriate time
(e.g., prior to NEPA completion), FTA will be unable to reimburse the
project sponsor and, in certain cases, the entire project may be
rendered ineligible for FTA assistance.
2. Policy
FTA provides pre-award authority to incur expenses before grant
award for certain program areas described below. This pre-award
authority allows grantees to incur certain project costs before grant
approval and retain the eligibility of those costs for subsequent
reimbursement after grant approval. The grantee assumes all risk and is
responsible for ensuring that all conditions are met to retain
eligibility. This pre-award spending authority permits an eligible
grantee to incur costs on an eligible transit capital, operating,
planning, or administrative project without prejudice to possible
future Federal participation in the cost of the project. In this
notice, FTA provides
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pre-award authority through the authorization period of the FAST Act
(October 1, 2015 through September 30, 2020) for capital assistance
under all formula programs, so long as the conditions described below
are met. FTA provides pre-award authority for planning and operating
assistance under the formula programs without regard to the period of
the authorization. All pre-award authority is subject to conditions and
triggers stated below:
a. Operating, Planning, or Administrative Assistance
FTA does not impose additional conditions on pre-award authority
for operating, planning, or administrative assistance under the formula
grant programs. Grantees may be reimbursed for expenses incurred before
grant award so long as funds have been expended in accordance with all
Federal requirements, would have been allowable if incurred after the
date of award, and the grantee is otherwise eligible to receive the
funding. In addition to cross-cutting Federal grant requirements,
program specific requirements must be met. For example, a State of Good
Repair Formula Grants project on or after October 1, 2018 must be
included in the grantee's certified TAM Plan, a planning project must
be included in a Unified Planning Work Program (UPWP); a Section 5310
project be included in a coordinated public transit-human services
transportation plan (coordinated plan) and selected by the designated
recipient before incurring expenses, and expenditures on State
Administration expenses under State Administered programs must be
consistent with the State Management Plan (as defined in FTA Circular
9040.1G, Chapter 6). Designated recipients for Section 5310 have pre-
award authority for the ten percent of the apportionment they may use
for program administration.
b. Transit Capital Projects
For transit capital projects, the date that costs may be incurred
varies depending on the type of activity and its potential to have a
significant impact on the human and natural environment as described
under conditions in section 3 below. Before an applicant may incur
costs when pre-award authority has not been granted, it must first
obtain a written Letter of No Prejudice (LONP) from FTA. To obtain an
LONP, a grantee must submit a written request accompanied by adequate
information and justification to the appropriate FTA regional office,
as described in section 4 below.
c. Public Transportation Innovation, Technical Assistance and Workforce
Development
Unless provided for in an announcement of project selections, pre-
award authority does not apply to Section 5312 Public Transportation
Innovation projects or Section 5314 Technical Assistance and Workforce
Development projects. Before an applicant may incur costs for
activities under these programs, it must first obtain a written LONP
from FTA. To obtain an LONP, a grantee must submit a written request
accompanied by adequate information and justification to the
appropriate FTA headquarters office. Information about LONP procedures
may be obtained from the appropriate headquarters office.
3. Conditions
The conditions under which pre-award authority may be utilized are
specified below:
a. Pre-award authority is not a legal or implied commitment that
the subject project will be approved for FTA assistance or that FTA
will obligate Federal funds. Furthermore, it is not a legal or implied
commitment that all items undertaken by the applicant will be eligible
for inclusion in the project.
b. All FTA statutory, procedural, and contractual requirements must
be met.
c. No action will be taken by the grantee that prejudices the legal
and administrative findings that FTA must make in order to approve a
project.
d. Local funds expended by the grantee after the date of the pre-
award authority will be eligible for credit toward local match or
reimbursement if FTA later makes a grant or grant amendment for the
project. Local funds expended by the grantee before the date of the
pre-award authority will not be eligible for credit toward local match
or reimbursement. Furthermore, the expenditure of local funds or the
undertaking of certain activities that would compromise FTA's ability
to comply with Federal environmental laws (e.g., project implementation
activities such as land acquisition, demolition, or construction before
the date of pre-award authority) may render the project ineligible for
FTA funding.
e. The Federal amount of any future FTA assistance awarded to the
grantee for the project will be determined based on the overall scope
of activities and the prevailing statutory provisions with respect to
the Federal/local match ratio at the time the funds are obligated.
f. For funds to which the pre-award authority applies, the
authority expires with the lapsing of the fiscal year funds.
g. When a grant for the project is subsequently awarded, the grant
and the Federal Financial Report in TrAMS must indicate the use of pre-
award authority.
h. Environmental Requirements.
All Federal environmental requirements must be met at the
appropriate time for a project to remain eligible for Federal funding.
Designated recipients may incur costs for design and environmental
review activities for all formula funded projects from the date of the
authorization of the formula funds or for discretionary funded projects
other than those funded by the Capital Investment Grants (CIG) program
from the date of the announcement of the competitive allocation of
funds for the project.
For projects that qualify for a categorical exclusion (CE) pursuant
to 23 CFR 771.118(c), designated recipients may start activities and
incur costs under pre-award authority for property acquisition,
demolition, construction, and acquisition of vehicles, equipment, or
construction materials from the date of the authorization of formula
funds or the date of the announcement of competitive allocations for
the project.
FTA recommends that a grant applicant considering a CE pursuant to
23 CFR 771.118(c) contact FTA's Regional Office for assistance in
determining the appropriate environmental review process and level of
documentation necessary before incurring the above-mentioned costs,
especially when the grant applicant believes a CE at 23 CFR
771.118(c)(8), (9), (10), (12), or (13) applies to its project. If FTA
subsequently finds that a project does not qualify for a CE under 23
CFR 771.118(c) and the sponsor has already undertaken activities under
pre-award authority, the project will be ineligible for FTA assistance.
For all other non-CIG projects that do not qualify for a CE under
23 CFR 771.118(c), grant applicants may take action and incur costs for
property acquisition, demolition, construction, and acquisition of
vehicles, equipment, or construction materials from the date that FTA
completes the environmental review process required by NEPA and its
implementing regulations, 23 U.S.C. 139, and other environmental laws,
by its issuance of a 23 CFR 771.118(d) categorical exclusion
determination, a finding of no significant impact (FONSI), a combined
final environmental impact statement (FEIS)/record of decision (ROD),
or a ROD.
i. Planning and other requirements.
Formula funds must be authorized or appropriated and competitive
project
[[Page 32001]]
allocations published or announced before pre-award authority can be
considered. The requirements that a capital project be included in a
locally adopted Metropolitan Transportation Plan, the metropolitan
transportation improvement program, and the federally approved
statewide transportation improvement program (23 CFR part 450) must be
satisfied before the grantee may advance the project beyond planning
and preliminary design with non-federal funds under pre-award
authority. If the project is located within an EPA-designated non-
attainment or maintenance area for air quality, the conformity
requirements of the Clean Air Act, 40 CFR part 93, must also be met
before the project may be advanced into implementation-related
activities under pre-award authority triggered by the completion of the
NEPA process. For a planning project to have pre-award authority, the
planning project must be included in a MPO-approved UPWP that has been
coordinated with the State.
j. Federal procurement procedures, as well as the whole range of
applicable Federal requirements (e.g., Buy America, Davis-Bacon Act,
and Disadvantaged Business Enterprise) must be followed for projects in
which Federal funding will be sought in the future. Failure to follow
any such requirements could make the project ineligible for Federal
funding. In short, the administrative flexibility allowed by pre-award
authority requires a grantee to make certain that no Federal
requirements are circumvented.
k. All program specific requirements must be met. For example,
projects under Section 5310 must comply with specific program
requirements, including coordinated planning. Before incurring costs,
grantees are strongly encouraged to consult with the appropriate FTA
Regional Office regarding the eligibility of the project for future FTA
funds and for questions on environmental requirements, or any other
Federal requirements that must be met.
4. Pre-Award Authority for the Fixed Guideway Capital Investment Grants
Program
Projects proposed for Section 5309 CIG program funds are required
to follow a multi-step, multi-year process defined in law. For New
Starts and Core Capacity projects, this process includes three phases:
Project development (PD), engineering, and construction. For Small
Starts projects, this process includes two phases: PD and construction.
After receiving a letter from the project sponsor requesting entry into
the PD phase, FTA must respond in writing within 45 days whether the
information was sufficient for entry. If FTA's correspondence indicates
the information was sufficient and the New Starts, Small Starts or Core
Capacity project enters PD, FTA extends pre-award authority at that
time to the project sponsor to incur costs for PD activities. PD
activities include the work necessary to complete the environmental
review process and as much engineering and design activities as the
project sponsor believes are necessary to support the environmental
review process. Upon completion of the environmental review process
with a combined FEIS/ROD, ROD, FONSI, or CE determination by FTA for a
New Starts, Small Starts, or Core Capacity Improvement project, FTA
extends pre-award authority to the project sponsor to incur costs for
as much engineering and design as needed to develop a reasonable cost
estimate and financial plan for the project, utility relocation, and
real property acquisition and associated relocations for any property
acquisitions not already accomplished as a separate project for
hardship or protective purposes or right-of-way under 49 U.S.C.
5323(q).
For Small Starts projects, upon completion of the environmental
review process and confirmation from FTA that the overall project
rating is at least a Medium, FTA extends pre-award authority for
vehicle purchases. Upon receipt of a letter notifying a New Starts or
Core Capacity project sponsor of the project's approval into the
engineering phase, FTA extends pre-award authority for vehicle
purchases as well as any remaining engineering and design, demolition,
and procurement of long lead items for which market conditions play a
significant role in the acquisition price. The long lead items include,
but are not limited to, procurement of rails, ties, and other
specialized equipment, and commodities.
Please contact the FTA Regional Office for a determination of
activities not listed here, but which meet the intent described above.
FTA provides this pre-award authority in recognition of the long-lead
time and complexity involved with purchasing vehicles as well as their
relationship to the ``critical path'' project schedule. FTA cautions
grantees that do not currently operate the type of vehicle proposed in
the project about exercising this pre-award authority. FTA encourages
these sponsors to wait until later in the process when project plans
are more fully developed. FTA reminds project sponsors that the
procurement of vehicles must comply with all Federal requirements,
including, but not limited to, competitive procurement practices, the
Americans with Disabilities Act, Disadvantaged Business Enterprise
program requirements and Buy America. FTA encourages project sponsors
to discuss the procurement of vehicles with FTA in regard to Federal
requirements before exercising pre-award authority. Because there is
not a formal engineering phase for Small Starts projects, FTA does not
extend pre-award authority for demolition and procurement of long lead
items. Instead, this work must await receipt of a construction grant
award or an expedited grant agreement.
a. Real Property Acquisition
As stated above, FTA extends pre-award authority for the
acquisition of real property and real property rights for CIG projects
(New or Small Starts or Core Capacity) upon completion of the
environmental review process for that project. The environmental review
process is completed when FTA signs a combined FEIS/ROD, ROD, FONSI, or
makes a CE determination. With the limitations and caveats described
below, real estate acquisition may commence, at the project sponsor's
risk. To maintain eligibility for a possible future FTA grant award,
any acquisition of real property or real property rights must be
conducted in accordance with the requirements of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act (URA) and its
implementing regulations, 49 CFR part 24. This pre-award authority is
strictly limited to costs incurred: (i) To acquire real property and
real property rights in accordance with the URA regulation; and (ii) to
provide relocation assistance in accordance with the URA regulation.
This pre-award authority is limited to the acquisition of real property
and real property rights that are explicitly identified in the draft
environmental impact statement (DEIS), FEIS, environmental assessment
(EA), or CE documentation, as needed for the selected alternative that
is the subject of the FTA-signed combined FEIS/ROD, ROD, FONSI, or CE
determination. This pre-award authority regarding property acquisition
that is granted at the completion of the environmental review process
does not cover site preparation, demolition, or any other activity that
is not strictly necessary to comply with the URA, with one exception--
namely when a building that has been acquired, vacated, and awaits
demolition poses a potential fire safety hazard or other hazard to the
community in which it is located, or is susceptible to unauthorized
occupants. Demolition of
[[Page 32002]]
the building is also covered by this pre-award authority upon FTA's
written agreement that the adverse condition exists. Pre-award
authority for property acquisition is also provided when FTA makes a CE
determination for a protective buy or hardship acquisition in
accordance with 23 CFR 771.118(d)(3). Pre-award authority for property
acquisition is also provided when FTA completes the environmental
review process for the acquisition of right-of-way as a separate
project in accordance with 49 U.S.C. 5323(q). When a tiered
environmental review in accordance with 23 CFR 771.111(g) is used, pre-
award authority is NOT provided upon completion of the first-tier
environmental document except when the Tier-1 ROD or FONSI signed by
FTA explicitly provides such pre-award authority for a particular
identified acquisition. Project sponsors should use pre-award authority
for real property acquisition relocation assistance with a clear
understanding that it does not constitute a funding commitment by FTA.
FTA provides pre-award authority upon completion of the environmental
review process for real property acquisition and relocation assistance
for displaced persons and businesses in accordance with the
requirements of the URA.
b. Reimbursement of Costs Incurred Under Pre-Award Authority
Although FTA provides pre-award authority for property acquisition,
long lead items, demolition, utility relocation, and vehicle purchases
upon completion of the environmental review process, FTA does not award
Federal funding for these activities conducted under pre-award
authority until the project receives a CIG program construction grant.
This is to ensure that Federal funds are not risked on a project whose
advancement into construction is not yet assured.
c. National Environmental Policy Act (NEPA) Activities
NEPA requires that certain projects proposed for FTA funding
assistance be subjected to a public and interagency review of the need
for the project, its environmental and community impacts, and
alternatives to avoid and reduce adverse impacts. Projects of more
limited scope also need a level of environmental review to determine
whether there are significant environmental impacts or confirmation
that a CE applies. FTA's regulation titled ``Environmental Impact and
Related Procedures,'' at 23 CFR part 771 states that the costs incurred
by a grant applicant for the preparation of environmental documents
requested by FTA are eligible for FTA financial assistance (23 CFR
771.105(f)). Accordingly, FTA extends pre-award authority for costs
incurred to comply with NEPA regulations and to conduct NEPA-related
activities, effective as of the earlier of the following two dates: (1)
The date of the Federal approval of the relevant STIP or STIP amendment
that includes the project or any phase of the project, or that includes
a project grouping under 23 CFR 450.216(j) that includes the project;
or (2) the date that FTA approves the project into the project
development phase of the CIG program. The grant applicant must notify
the FTA Regional Office to initiate the Federal environmental review
process in accordance with the ``Dear Colleague'' letter from the FTA
Administrator dated February 24, 2011. NEPA-related activities include,
but are not limited to, public involvement activities, historic
preservation reviews, Section 4(f) evaluations, wetlands evaluations,
endangered species consultations, and biological assessments. This pre-
award authority is strictly limited to costs incurred to conduct the
NEPA process and associated engineering, and to prepare environmental,
historic preservation and related documents. When a New Starts, Small
Starts, or Core Capacity project is granted pre-award authority for the
environmental review process, the reimbursement for NEPA activities
conducted under pre-award authority may be sought at any time through
Section 5307 (Urbanized Area Formula Program) or the flexible highway
programs (e.g., Surface Transportation Program or Congestion Mitigation
and Air Quality Improvement Program). Reimbursement from the Section
5309 CIG program for NEPA activities conducted under pre-award
authority is provided only for expenses incurred after entry into the
project development phase and only once a construction grant agreement
is signed. As with any pre-award authority, FTA reimbursement for costs
incurred is not guaranteed.
d. Other Activities Requiring Letter of No Prejudice (LONP)
Except as discussed in paragraphs i through iii above, a CIG
project sponsor must obtain a written LONP from FTA before incurring
costs for any activity not covered by pre-award authority. To obtain an
LONP, an applicant must submit a written request accompanied by
adequate information and justification to the appropriate FTA Regional
Office, as described in B below.
B. Letter of No Prejudice (LONP) Policy
1. Policy
LONP authority allows an applicant to incur costs on a project
utilizing non-Federal resources, with the understanding that the costs
incurred subsequent to the issuance of the LONP may be reimbursable as
eligible expenses or eligible for credit toward the local match should
FTA approve the project for a grant award at a later date. LONPs are
applicable to projects and project activities not covered by automatic
pre-award authority. The majority of LONPs will be for Section 5309 CIG
program projects undertaking activities not covered under automatic
pre-award authority. LONPs may be issued for formula funds beyond the
life of the current authorization or FTA's extension of automatic pre-
award authority; however, the LONP is limited to a five-year period,
unless otherwise authorized in the LONP. Receipt of Federal funding
under any program is not implied or guaranteed by an LONP.
2. Conditions and Federal Requirements
The conditions and requirements for pre-award authority specified
in section V.4.ii and V.4.iii above apply to all LONPs. Because project
implementation activities may not be initiated before completion of the
environmental review process, FTA will not issue an LONP for such
activities until the environmental review process has been completed
with a combined FEIS/ROD, ROD, FONSI, or CE determination.
3. Request for LONP
Before incurring costs for project activities not covered by
automatic pre-award authority, the project sponsor must first submit a
written request for an LONP, accompanied by adequate information and
justification, to the appropriate regional office and obtain written
approval from FTA. FTA approval of an LONP is determined on a case-by-
case basis. Federal funding under the CIG program is not implied or
guaranteed by an LONP. Specifically, when requesting an LONP, the
applicant shall provide the following items:
a. Description of the activities to be covered by the LONP.
b. Justification for advancing the identified activities. The
justification should include an accurate assessment of the consequences
to the project scope, schedule, and budget should the LONP not be
approved.
c. Allocated level of risk and contingency for the activity
requested.
[[Page 32003]]
C. FY 2019 Annual List of Certifications and Assurances
Section 5323(n) requires FTA to publish annually a list of all
certifications required under Chapter 53 concurrently with the
publication of this annual apportionment notice. The 2019 version of
FTA's Certifications and Assurances is available on FTA's website. FTA
cannot make an award or an amendment to an award unless the recipient
has executed the latest version of FTA's Certifications and Assurances.
FTA encourages recipients of formula funding to execute the new
Certifications and Assurances within 90 days of this notice, to prevent
any delay to application processing.
D. Civil Rights Requirements
1. Civil Rights Overview
Recipients must carry out provisions of the Americans with
Disabilities act (ADA) of 1990, Section 504 of the Rehabilitation Act
of 1973, as amended, and the Department of Transportation's
implementing regulations at 49 CFR parts 27, 37, 38, and 39. FTA's ADA
Circular (4710.1) provides guidance for carrying out the regulatory
requirements of the ADA. In addition, recipients must regularly prepare
and submit civil rights program plans and reports to establish
voluntary compliance and document policies and practices in the areas
of Title VI, DBE and EEO. The current status of civil rights programs
can be found on each recipient's Civil Rights Information page of
TrAMS. New program plans and program updates must be submitted there as
well. Before submitting an application for funding, recipients should
consult with FTA Circulars and guidance and submit the following
programs, as applicable:
a. Title VI of the Civil Rights Act of 1964: The Department of
Transportation's Title VI implementing regulations are found in 49 CFR
part 21. FTA's Title VI Circular (4702.1B) provides guidance for
carrying out the regulatory requirements.
b. Disadvantaged Business Enterprise (DBE) program and triennial
goal: The Department of Transportation's DBE implementing regulations
are found in 49 CFR part 26 and provide guidance for carrying out the
regulatory requirements and developing the triennial DBE goal.
c. Title VII of the Civil Rights Act of 1964, Equal Employment
Opportunity (EEO): The Department of Transportation's EEO implementing
regulations are found in 49 CFR part 21. FTA's EEO Circular (4704.1A)
provides guidance for carrying out the regulatory requirements.
2. Disadvantaged Business Enterprise Program--Transit Vehicle
Manufacturers (TVM)
Recipients exercising pre-award authority are expected to comply
with the DBE regulations. The Department of Transportation's DBE
program helps small businesses owned by socially and economically
disadvantaged individuals to compete in the marketplace, and is
designed to support the people who create jobs--our nation's
entrepreneurs. When procuring vehicles, 49 CFR 26.49 requires that
transit vehicle manufacturers (TVMs) ``must establish and submit for
FTA's approval an annual overall percentage goal'' and ``one that has
been approved or has not been disapproved, at the time solicitations
are made eligible for bid.''
It is the recipient's responsibility to ensure that the TVM has
submitted a goal to FTA and FTA has either approved it or not
disapproved it. A recipient may verify a TVM has submitted a DBE goal
to FTA for its review by checking the FTA Eligible TVMs List located at
www.transit.dot.gov/tvm. A recipient may request from FTA verification
of the eligibility of a TVM not included on FTA's website. Please email
your request to [email protected], and FTA will respond via
email within five business days. Failure by a recipient to verify a
TVM's eligibility to bid on an FTA-assisted contract prior to award
cannot be cured after award of the contract and will likely result in
FTA declining to provide federal funding for the vehicle procurement.
Furthermore, recipients are also reminded of the requirement in 49
CFR 26.49(a)(4), which states, ``FTA recipients are required to submit
within 30 days of making an award, the name of the successful bidder,
and the total dollar value of the contract in the manner prescribed in
the grant agreement.'' Recipients are to report to FTA all vehicle
purchases, post-production alterations, and retrofit procurements
within the 30 days of award using the electronic Transit Vehicle Award
Reporting form found at www.transit.dot.gov/dbe. Vehicles purchased
solely for personal use and/or purchased ``off the lot'' do not need to
be reported. Recipients that receive the funds directly from FTA must
report on behalf of their subrecipients as well. Only the subrecipients
that received the federal funds directly from FTA are responsible for
reporting the vehicle awards to FTA.
E. Consolidated Planning Grants
FTA and FHWA planning funds under both the Metropolitan Planning
and State Planning and Research Programs can be consolidated into a
single consolidated planning grant, awarded by either FTA or FHWA. The
Consolidated Planning Grants (CPG) eliminate the need to monitor
individual fund sources, if several have been used, and ensures that
the oldest funds will always be used first.
Under the CPG, States can report metropolitan planning program
expenditures, to comply with the Uniform Guidance 2 CFR 200, subpart F,
for both FTA and FHWA under the Catalogue of Federal Domestic
Assistance number for FTA's Metropolitan Planning Program (20.505).
Additionally, for States with an FHWA Metropolitan Planning (PL) fund-
matching ratio greater than 80 percent, the State can waive the 20
percent local share requirement, with FTA's concurrence, to allow FTA
funds used for metropolitan planning in a CPG to be granted at the
higher FHWA rate. For some States, this Federal match rate can exceed
90 percent.
States interested in transferring planning funds between FTA and
FHWA should contact the FTA Regional Office or FHWA Division Office for
more detailed procedures. The FHWA Order 4551.1 dated August 12, 2013,
on ``Funding Transfers to Other Agencies and Among Title 23 Programs''
provides guidance and more detailed information.
For further information on CPGs, contact Ann Souvandara, Office of
Budget and Policy, FTA, at (202) 366-0649 or [email protected].
F. Grant Application Procedures
All applications for FTA funds should be submitted to the
appropriate FTA Regional Office. All applications are filed
electronically. FTA continues to award and manage grants and
cooperative agreements using the Transit Award Management System
(TrAMS). Information on accessing and using TrAMS, including a list of
FTA points of contact for the system, can be found on FTA's website at
https://www.transit.dot.gov/TrAMS.
FTA regional staff are responsible for working with grantees to
review and process grant applications. For an application to be
considered complete and ready for FTA to assign a Federal Award
Identification Number (FAIN), enabling submission in TrAMS, and
submission to the Department of Labor, when applicable, the following
requirements must be met:
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1. Recipient has registered in the System for Award Management
(SAM) and its registration is current with an active status. To
register an entity or check the status and renew registration, visit
the SAM website at https://www.sam.gov/SAM/.
2. Recipient's contact information, including Dun and Bradstreet
Data Universal Numbering System (DUNS), is correct. To request a DUNS
number, call Dun & Bradstreet at 1-866-705-5711 or visit the website at
http://fedgov.dnb.com/webform.
3. Recipient has properly submitted its annual certifications and
assurances.
4. Recipient's Civil Rights submissions are current.
5. After October 1, 2018, the grantee has a Transit Asset
Management plan in place that meets the requirements of 49 CFR part
625, or is covered by a compliant Group Plan.
6. Documentation is on file to support recipient's status as either
a designated recipient for the program and area or a direct recipient.
7. Funding is available, including any flexible funds included in
the budget, and split letters or suballocation letters on file, where
applicable, to support the amount requested in the grant application.
8. The activity is listed in a currently approved Transportation
Improvement Program (TIP); Statewide Transportation Improvement Program
(STIP), or Unified Planning Work Program (UPWP).
9. All eligibility issues are resolved.
10. Required environmental findings are made.
11. The application contains a well-defined scope of work,
including at least one project with accompanying project narratives, at
least one budget scope code and an activity line item, Federal and non-
Federal funding amounts, and milestones.
12. Major Capital Projects as defined by 49 CFR part 633 ``Project
Management Oversight'' must document FTA has reviewed the project
management plan and provided approval.
13. Milestone information is complete. FTA will also review status
of other open grants reports to confirm financial and milestone
information is current on other open awards.
FTA must also provide Congressional notification before awarding
competitive grants.
Other important issues that impact FTA grant processing activities
in addition to the list above are discussed below.
a. Award Budgets--Scope Codes and Activity Line Items (ALI) Codes;
Financial Purpose Codes
FTA uses Scope and ALI Codes in the award budgets to track
disbursements, monitor program trends, report to Congress, and to
respond to requests from the Inspector General and the Government
Accountability Office, as well as to manage grants. The accuracy of the
data is dependent on the careful and correct use of codes.
b. Designated and Direct Recipients Documentation
For its formula programs, FTA primarily apportions funds to the
designated recipient in the large UZAs (areas over 200,000), or for
areas under 200,000 (small UZAs and rural areas), it apportions the
funds to the Governor, or its designee (e.g., State DOT). Depending on
the program, as described in the individual program sections found in
Section IV of this notice, further suballocation of funds may be
permitted to eligible recipients who may then apply directly to FTA for
the funding as direct recipients.
For the programs in which FTA may make grants to eligible direct
recipients, other than the designated recipient(s), recipients are
reminded that documentation must be on file to support: (1) The status
of the recipient either as a designated recipient or direct recipient;
and (2) the allocation of funds to the direct recipient.
Documentation to support existing designated recipients for the UZA
must also be on file at the time of the first application in FY 2019.
Split letters and/or suballocation letters (Governor's Apportionment
letters), must also be on file to support grant applications from
direct recipients. Once suballocation letters for FY 2019 funding are
finalized they should be uploaded as part of the application into
TrAMS.
The Direct Recipient is required to upload to TrAMS a copy of the
suballocation letter (Letter) indicating their allocation of funding,
for the appropriate fund program, when the applicant transmits their
application for initial review. The Letter must be signed by the
Designated Recipient, or as applicable in accordance with their
planning requirements. If there are two Designated Recipients, both
entities must sign the Letter. The Letter must: (1) Indicate the
allocations to the respective Direct Recipients listed in the letter;
(2) incorporate language above the signatories to reflect this
agreement; and (3) make clear that the Direct Recipient will assume
any/all responsibility associated with the award for the funds. When
drafting the Letter, Designated Recipients may use the template
language below:
``As identified in this Letter, the Designated Recipient(s)
authorize the reassignment/reallocation of [enter fund source; e.g.
Section 5307 funds] to the Direct Recipient(s) named herein. The
undersigned agree to the amounts allocated/reassigned to each direct
Recipient. Each Direct Recipient is responsible for its application to
the Federal Transit Administration to receive such funds and assumes
the responsibilities associated with any award for these funds.''
1. Payments
Once a grant has been awarded and executed, requests for payment
can be processed. To process payments, FTA uses ECHO-Web, an internet
accessible system that provides grantees the capability to submit
payment requests online, as well as receive user-IDs and passwords via
email. New applicants should contact the appropriate FTA Regional
Office to obtain and submit the registration package necessary for set-
up under ECHO-Web.
2. Oversight
FTA is responsible for conducting oversight activities to help
ensure that grant recipients use FTA Federal financial assistance in a
manner consistent with its intended purpose and in compliance with
regulatory and statutory requirements. FTA conducts periodic oversight
reviews to assess grantee compliance with applicable Federal
requirements. Each Urbanized Area Formula Program recipient is reviewed
every three years as part of FTA's Triennial Review; and States and
state-wide public transportation agencies are reviewed periodically to
assess the management practices and program implementation of FTA
state-wide programs (e.g., Planning, Rural Areas, Enhanced Mobility of
Seniors and Individuals with Disabilities Programs). Other more
detailed reviews are scheduled based on an annual grantee oversight
assessment. Important objectives of FTA's oversight program include,
but are not limited to: Determining grantee compliance with Federal
requirements; identifying technical assistance needs, and delivering
technical assistance to meet those needs; spotting emerging issues with
grantees; recognizing when there is a need for more in-depth reviews in
the areas of procurement, financial management, and civil rights; and
identifying grantees with recurring or systemic issues.
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3. Technical Assistance
As noted throughout the notice, recipients should review FTA's
program circulars for general program guidance. FTA headquarters and
regional staff will be pleased to answer questions and provide any
technical assistance needed to apply for FTA program funds and manage
grants. At its discretion, FTA may also use program oversight
consultants to provide technical assistance to grantees on a case by
case basis. This notice and the program guidance circulars identified
in this document may be accessed on FTA's website: www.transit.dot.gov.
G. Grant Management
1. Grant Reporting
FTA grantees are required to report on their grants. It is critical
to ensure reports demonstrate that reasonable progress is being made on
projects. At a minimum, all awards require a Federal Financial Report
(FFR) and a Milestone Progress Report (MPR) on an annual basis. Some
reports are required quarterly depending on the recipient and the type
of projects funded under the grant and FTA's risk-based reporting
policy that went into effect on October 1, 2017. The requirements for
these reports and other reporting requirements can be found in the
latest version of FTA Circular 5010. FTA staff, auditors, and
contractors rely on the information provided in the FFR and MPR to
review and report on the status of both financial and project-level
activities contained in the grant. It is critical that recipients
provide accurate and complete information in these reports and submit
them by the required due date. Failure to report and/or demonstrate
reasonable progress on projects can result in suspension or premature
closeout of a grant.
2. Inactive Grants and Grant Closeout
In FY 2019, FTA will continue to focus on identifying and working
with recipients to close inactive grants. If appropriate, FTA will act
to closeout and deobligate funds from these grants if reasonable
progress is not made. The efficient use of funds will further FTA's
fulfillment of its mission to provide efficient and effective public
transportation systems for the nation.
In October 2018, FTA identified a list of grants that were awarded
on or prior to September 30, 2015 that had not disbursed funds since
September 30, 2017 or had never disbursed funds. FTA Regional Offices
will contact grant recipients with grants that meet these criteria, to
close the grant and deobligate any remaining funds unless the grantee
can provide information that demonstrates projects funded by the grant
remain active and there is a realistic schedule to expedite completion
of the projects.
Issued in Washington, DC.
K. Jane Williams,
Acting Administrator.
[FR Doc. 2019-14248 Filed 7-2-19; 8:45 am]
BILLING CODE 4910-57-P