[Federal Register Volume 87, Number 82 (Thursday, April 28, 2022)]
[Notices]
[Pages 25362-25392]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-09143]
[[Page 25361]]
Vol. 87
Thursday,
No. 82
April 28, 2022
Part II
Department of Transportation
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Federal Transit Administration
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Notice of FTA Transit Program Changes, Authorized Funding Levels and
Implementation of the Infrastructure Investment and Jobs Act; and FTA
Fiscal Year 2022 Apportionments, Allocations, Program Information and
Interim Guidance; Notice
Federal Register / Vol. 87 , No. 82 / Thursday, April 28, 2022 /
Notices
[[Page 25362]]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Notice of FTA Transit Program Changes, Authorized Funding Levels
and Implementation of the Infrastructure Investment and Jobs Act; and
FTA Fiscal Year 2022 Apportionments, Allocations, Program Information
and Interim Guidance
AGENCY: Federal Transit Administration (FTA), Department of
Transportation (DOT).
ACTION: Notice.
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SUMMARY: This notice announces changes in Federal Transit
Administration (FTA) programs in accordance with amendments to Federal
public transportation law by the Bipartisan Infrastructure Law (enacted
as the Infrastructure Investment and Jobs Act (IIJA)). The IIJA
authorizes surface transportation programs of the Department of
Transportation (DOT) for Federal fiscal years (FY) 2022 through 2026
and provides advance appropriations for certain programs. This notice
provides preliminary implementation instructions and guidance for the
new and revised programs in FY 2022, announces the funding
apportionment for programs authorized and funded with FY 2022 contract
authority and appropriations, and describes future plans for several
competitive programs. The notice also includes locations of FY 2022
apportionment tables and unobligated (or carryover) funds allocated
under the discretionary programs from prior years.
FOR FURTHER INFORMATION CONTACT: For general information about this
notice contact John Bodnar, Director, Office of Transit Programs, at
(202) 366-9091. Please contact the appropriate FTA Regional Office for
any specific requests for information or technical assistance. FTA
Regional Office contact information is available at: https://www.transit.dot.gov/about/regional-offices/regional-offices.
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 that stakeholders subscribe to GovDelivery (https://public.govdelivery.com/accounts/USDOTFTA/subscriber/new) to receive
email notifications when new information is available.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. FY 2022 Funding for FTA Programs
A. Federal Transit Law as Amended by the IIJA Authorization and
FY 2022 Appropriations
B. Oversight Takedown
C. Formula Apportionment Data and Methodology
1. Apportionment Tables
2. National Transit Database and Census Data Used in FY 2022
Apportionments
D. Previously Authorized Funding
III. IIJA and FY 2022 Appropriations: Highlights of Changes
A. Grant Program Modifications
1. Modifications to Formula Programs
2. Competitive Programs
B. Washington Metropolitan Area Transit Authority Funding
C. Definitional Changes and New Definitions
D. Cross-Cutting Programmatic Requirements and Changes
1. Metropolitan and Statewide Planning
2. Innovative Bus Procurement
3. Disposition of Rolling Stock, Equipment and Supplies
4. Transfer of Property to Non-Governmental Entities
5. Fleet Transition Plan
6. National Transit Database
IV. Program-Specific Information
A. Metropolitan and Statewide Transportation 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. 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. Public Transportation Safety Program (49 U.S.C. 5329)
N. State of Good Repair 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
R. FY 2022 Transit Infrastructure Grants--Community Project
Funding/Congressionally Directed Spending
V. FTA Policy and Procedures for FY 2022 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FY 2022 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 contains important information and interim guidance
about new FTA programs and changes to existing FTA program statutes (49
U.S.C. 5301, et seq.), as amended by the Bipartisan Infrastructure Law,
which was enacted as the Infrastructure Investment and Jobs Act (IIJA)
(Pub. L. 117-58), signed by President Biden on November 15, 2021, and
effective on October 1, 2021.
In addition, this document provides apportionments for FTA formula
and discretionary programs for FY 2022 based on the Consolidated
Appropriations Act, 2022 (Pub. L. 117-103, March 15, 2022). It also
contains information on how FTA plans to administer its transit
programs in FY 2022 and how funds appropriated and allocated prior to
FY 2022 will be treated.
This notice highlights important changes to FTA programs, including
new competitive programs. It describes definitional changes and cross-
cutting requirements and provides specific information about FTA's
statutory programs as amended by the IIJA.
For each FTA program, FTA has provided information on the IIJA-
authorized funding levels for FY 2022, the basis for apportionment or
allocation of funds, requirements specific to the program, period of
availability of funds, and other program information. A separate
section provides information on pre-award authority and other
requirements and guidance applicable to FTA programs and grant
administration. Finally, the notice includes references to tables on
FTA's website that show amounts apportioned under the FY 2022
appropriations and approximately $2.3 billion in unobligated or
carryover funding available in FY 2022 under certain competitive
programs carried out in accordance with prior authorization acts.
Information in this document includes references to the existing
FTA program guidance and circulars. Some information may have been
superseded by new provisions in the IIJA, but these guidance documents
and circulars remain a resource for program management in most areas.
FTA intends to revise the guidance and circulars, as appropriate, with
an opportunity for public comment when necessary.
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II. FY 2022 Funding for FTA Programs
A. Federal Transit Law as Amended by the IIJA Authorization and FY 2022
Appropriations
The IIJA is the new five-year surface transportation
reauthorization legislation that provides FTA an authorization level of
$21.01 billion in FY 2022 and up to a total of $108.15 billion from FY
2022 through FY 2026. The IIJA modifies certain transit programs;
provides significant funding increases; creates four new competitive
grant programs; and changes several cross-cutting requirements. The law
continues and expands FTA's authority to strengthen the safety of
public transportation systems throughout the United States.
Of the $108.15 billion, the IIJA provides for $69.9 billion to be
provided from the Mass Transit Account, provides $21.25 billion in
advance appropriations, and authorizes an additional $17 billion to be
appropriated from the General Fund of the Treasury.
The Consolidated Appropriations Act, 2022, appropriated
$16,264,763,267 for FY 2022, providing the authorized $13.355 billion
for the Mass Transit Account; appropriated $504,263,267 in Transit
Infrastructure Grants, including an additional $175 million for the
Buses and Bus Facilities Competitive grant program, an additional $75
million for the Low or No Emission Grants program, an additional $6.5
million for the Urbanized Area Passenger Ferry program; an additional
$2 million for the Bus Testing program, an additional $12 million for
several research programs, $20 million for competitive grants to assist
areas of persistent poverty, $200,798,267 for Community Project
Funding/Congressionally Directed Spending and an additional $12.965
million to the ferry service for rural communities program;
appropriated $7.5 million in additional technical assistance and
training funding; appropriated $2.248 billion for the Capital
Investment Grant program and the Expedited Project Delivery Pilot
Program, and appropriated $150,000,000 for the Washington Metropolitan
Area Transit Authority. Combined with the $4.25 billion in advance
appropriations for FY 2022, a total of $20,514,763,267 was appropriated
for FY 2022. Funding availability for each program is identified in
section IV of this notice and Table 1 located on FTA's FY 2022
Apportionment web page.
B. Oversight Takedown
The IIJA did not modify the percentage takedown for oversight
provided in section 5338(c).\1\ The following oversight takedowns of
FTA programs will be applied: 0.5 percent of Metropolitan and Statewide
Planning funds, 0.75 percent of Urbanized Area Formula 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, 0.5 percent of Formula Grants for Rural Areas, 1
percent of State of Good Repair Formula funds, 0.75 percent for Grants
for Buses and Bus Facilities, and 1 percent of Capital and Preventive
Maintenance Projects for Washington Metropolitan Area Transit Authority
funds. The funds are used to provide necessary oversight activities,
such as oversight of the construction of any major capital project
receiving Federal transit assistance; to conduct State Safety
Oversight, drug and alcohol, civil rights, procurement systems,
management, planning certification, and financial reviews and audits,
as well as evaluations and analyses of recipient-specific problems and
issues; to generally provide technical assistance and correct
deficiencies identified in compliance reviews and audits; and to
support FTA's administrative expenses.
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\1\ All references to ``section'' herein refer to sections of
Chapter 53 of Title 49 of the United States Code, unless otherwise
specifically stated.
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Additionally, the IIJA provides for a 2 percent takedown from each
of the advance appropriations provided under Division J, Title VIII of
IIJA, except for the Capital Investment Grant takedown, which remains
at 1 percent. One-half percent of that two percent is to be provided to
the U.S. DOT Office of the Inspector General (OIG).
C. Formula Apportionment Data and Methodology
1. Apportionment Tables
FTA has published apportionment tables on its website for each
program that reflect the full-year appropriations less oversight take-
downs, as applicable. Tables displaying the funds available to eligible
states, tribes, and urbanized areas have been posted to http://www.transit.dot.gov/funding/apportionments. This website contains a
page listing the apportionment and allocation tables for FY 2022, as
well as links to prior year formula apportionment notices and tables
and the National Transit Database and Census data used to calculate the
FY 2022 apportionments.
2. National Transit Database and Census Data Used in the FY 2022
Apportionments
Consistent with past practices, the calculations for sections 5307,
5311, including 5311(j) (Tribal Transit), 5329, 5337, and 5339 programs
rely on the most-recent transit service data reported to the National
Transit Database (NTD), which in this case is the 2020 report year. Due
to the ongoing impacts of the COVID-19 pandemic, FTA allowed all
transit agencies to substitute their 2019 NTD data in place of their
2020 data in all cases where that transit agency provided more vehicle
revenue miles of service in 2019 than in 2020. In some cases where an
apportionment is based on the age of the system, the age is calculated
as of September 30, 2021, which was the last day before FY 2022 began.
Any recipient or beneficiary of either the section 5307 or section 5311
program funds is required to report to the NTD. All other FTA grant
recipients that own, operate, or manage transit capital assets must
report their asset data to the NTD. Additionally, a number of transit
operators report to the NTD on a voluntary basis. For the 2020 report
year, the NTD includes data from 949 reporters in urbanized areas, 929
of which reported operating transit service. The NTD also includes data
from 1,326 providers of rural transit service, which includes 133
Indian Tribes providing transit service. The IIJA made a number of
changes to NTD reporting requirements. Before implementing these
changes, FTA will provide notice and seek comment on implementation in
a separate notice in the Federal Register.
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 Section 5311.\2\ The formulas for
sections 5307, 5311, and 5311(j) include tiers where funding is
allocated on the basis of the number of persons living in poverty, and
the Section 5310 formula program allocates funding on the basis of 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 been using 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
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notice can be found on FTA's website: Formula Apportionments Data.
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\2\ It should be noted that the 2020 Census data is not yet
available. Once published the data will be applied to the FY 2023
allocations.
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The FY 2022 apportionments use data on low-income persons, persons
with disabilities, and older adults from the 2015-2019 ACS five-year
data set, which was published in December 2020. This data represents
the most recent five-year ACS estimates that are available as of
October 1st 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.'' For the FY 2022 apportionments, FTA is
using data on older adults (over 65 years old) from ACS Table B01001,
``Sex by Age'' after determining that the ACS table used in prior
fiscal years (ACS Table S.0103, ``People over 65 in the United
States'') did not include data for all urbanized areas.
D. Previously Authorized Funding
For programs that are continued under the IIJA with amendments, the
provisions of the IIJA now apply to all unobligated funds from FY 2021
and prior years, as well as to FY 2022 funds.
III. The IIJA and FY 2022 Appropriations: Highlights of Changes
The IIJA generally continued FTA's existing programs with
substantial increases in funding. However, it did modify certain FTA's
formula and competitive programs, created four new competitive grant
programs, and modified FTA's cross-cutting and regulatory requirements
in several areas.
A. Grant Program Modifications
1. Modifications to Formula Programs
In addition to increased funding levels, the IIJA modified several
of the formula programs. Modifications to the amounts for particular
programs or subprograms are described in Section IV.
a. Urbanized Area Formula Program
The IIJA requires each recipient that serves urbanized areas with
populations of 200,000 or more to allocate not less than 0.75 percent
of their Urbanized Area Formula Program funds to safety-related
projects. Examples of activities that may satisfy this requirement are
wide-ranging, and may include projects such as improving air filtration
systems or lighting on transit property, or procurements that improve
safety by replacing older vehicles in a poor state of good repair with
newer vehicles in a good state of repair with modern safety features.
Recipients in large urbanized areas that may use section 5307 funding
for operating expenses by qualifying under the ``100-bus rule'' may
identify operating expenses that satisfy the safety requirement. Note
that this is separate from the requirement for urbanized areas to use 1
percent of the funds apportioned under section 5336 for security under
the Urbanized Area Formula Program. However, some safety expenditures
identified to satisfy the safety requirement may also be used to
support the 1% requirement for security-related projects for the UZA if
the recipient can justify the expense as both a safety and a security
expense.
b. Grants for Buses and Bus Facilities Formula Program
The IIJA modifies the Grants for Buses and Bus Facilities Formula
and Competitive programs to include a requirement for applicants to
use, to the extent possible, innovative procurement tools authorized
under Section 3019 of the FAST Act (Pub. L. 114-94). If fewer than five
buses are purchased through a stand-alone procurement, the recipient
must provide a written explanation to FTA of why the authorized
procurement tools were not used. (See Section IV.O.)
2. Competitive Programs
The IIJA continues six competitive programs and creates four new
programs. FTA is in the process of developing program guidance for all
discretionary programs, which will be published in Notices of Funding
Opportunity (NOFO) for each program. These include:
a. Transit-Oriented Development Planning Pilot Program (Section
20005(b) of MAP-21)
This competitive pilot program for transit-oriented development
(TOD) planning grants continues and is authorized for $68.9 million
over five years, with $13.1 million authorized for FY 2022. Eligible
activities include site-specific as well as comprehensive planning
associated with new fixed guideway and core capacity improvement
projects. The comprehensive plans should enhance economic development,
ridership, and other goals established during the project development
and engineering processes; facilitate multimodal connectivity and
accessibility; increase access to transit hubs for pedestrian and
bicycle traffic; enable mixed-use development; identify infrastructure
needs associated with the project; and include private sector
participation. Also, provisions under the IIJA now permit federal
financing for site-specific as well as comprehensive planning.
Previously only comprehensive planning was eligible for federal funds.
A NOFO will be published announcing the amount of funding available,
application procedures, project and applicant eligibility, and relevant
selection criteria.
For more information or questions on this program, please contact
April McLean-McCoy at 202-366-7429 or [email protected].
b. Passenger Ferry Grant Program (49 U.S.C. 5307(h))
The competitive Passenger Ferry Grant Program continues without
changes. Of the amount authorized for Section 5307 each year, $30
million is set aside for the competitive discretionary Passenger Ferry
Grant Program. Eligible projects are capital projects in urbanized
areas including ferries, terminals, and related infrastructure. A NOFO
will be published announcing the amount of funding available,
application procedures, project and applicant eligibility, and relevant
selection criteria.
For more information about this program, please contact Vanessa
Williams at 202-366-4818 or [email protected]">Vanessa.[email protected].
c. Electric or Low-Emitting Ferry Pilot Program (NEW)
The IIJA authorizes a new pilot program to provide grants for the
purchase of electric or low-emitting ferries and the electrification of
or other reduction of emissions from existing ferries. A total of $50
million for each fiscal year through 2026 is authorized to be
appropriated to carry out this program. An additional $50 million in
advance appropriations is provided each fiscal year, for a total of up
to $100 million annually.
The term ``electric or low-emitting ferry'' means a ferry that
reduces emissions by utilizing alternative fuels or onboard energy
storage systems and related charging infrastructure to reduce emissions
or produce zero onboard emissions under normal operation.
A NOFO will be published announcing the amount of funding
available, application procedures, project and applicant eligibility,
and relevant selection criteria.
For more information about this program, please contact Vanessa
Williams at 202-366-4818 or [email protected]">Vanessa.[email protected].
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d. Ferry Service for Rural Communities (NEW)
The IIJA authorizes a new competitive program to provide funds to
States for basic essential ferry service. A total of $200 million per
year is authorized to be appropriated over five years with an
additional $200 million in advance appropriations provided for each of
fiscal years 2022 through 2026 to carry out this program. In FY 2022,
an additional $12.965 million was appropriated, for a total of
$212,965,000 to be made available.
A NOFO will be published announcing the amount of funding
available, application procedures, project and applicant eligibility,
and relevant selection criteria.
For more information about this program, please contact Sarah
Clements at 202-366-3062 or [email protected].
e. Innovative Coordinated Access and Mobility Pilot Program (FAST Act
Section 3006(b))
The competitive pilot program for innovative coordinated access and
mobility continues without changes. A total of $24.1 million is
authorized for this program over five years, with $4.6 million
authorized in FY 2022. Eligible applicants include state departments of
transportation, designated recipients of formula grants for the
Enhanced Mobility of Seniors and Individuals with Disabilities (Section
5310) program, local governmental entities that operate a public
transportation service, or their eligible subrecipients. The program is
designed to assist in financing innovative projects that improve the
coordination of transportation services and non-emergency medical
transportation (NEMT) services for people who are transportation
disadvantaged. A NOFO was published on October 7, 2021, that announced
funding, application procedures, project and applicant eligibility, and
relevant selection criteria (86 FR 55907). A report is published each
year on the pilot program. The most recent report is available at
Section 3006(b) Pilot Program for Innovative Coordinated Access and
Mobility Fiscal Year 2021.
For more information about this program, please contact Destiny
Buchanan at 202-493-8018 or [email protected].
f. Rail Vehicle Replacement Program (NEW)
The IIJA authorizes a new competitive program funded under the
State of Good Repair formula program at $1.5 billion over five years,
with $300 million annually to assist State and local governmental
authorities in financing capital projects for the replacement of rail
rolling stock. The IIJA requires that not more than 3 new awards shall
be issued to eligible projects under this program on a competitive
basis each fiscal year.
In awarding grants under this program consideration shall be given
to--
(A) the size of the rail system of the applicant,
(B) the amount of funds available to the applicant under this
subsection,
(C) the age and condition of the rail rolling stock of the
applicant that has exceeded or will exceed the useful service life of
the rail rolling stock in the 5-year period following the grant; and
(D) whether the applicant has identified replacement of the rail
vehicles as a priority in the investment prioritization portion of the
transit asset management plan of the recipient pursuant to 49 CFR part
625 (or successor regulations).
The amount of grant assistance provided under subsection 5337(f),
as a share of eligible project costs, shall be not more than 50
percent. The total Federal share of the cost of an eligible project
carried out under this program shall not exceed 80 percent; eligible
recipients may supplement the section 5337(f) share with other Federal
funds, including FTA formula funds. Eligible projects selected for
funding may be carried out through a multi-year grant agreement of up
to 3 consecutive fiscal years.
A NOFO will be published announcing the amount of funding
available, application procedures, project and applicant eligibility,
and relevant selection criteria.
For more information about this program, please contact Mark
Bathrick, 202-366-9955 or [email protected].
g. Public Transportation on Indian Reservations Competitive Program (49
U.S.C. 5311(c)(1)(A))
The Public Transportation on Indian Reservations competitive
program continues with $45.8 million authorized over 5 years with $8.75
million authorized for FY 2022. The program is otherwise unchanged. FTA
published a NOFO announcing FY 2022 Tribal Transit competitive funding
on February 16, 2022 (87 FR 8923).
For more information about this program, please contact Elan
Flippin, 202-366-3800 or [email protected].
h. Grants for Buses and Bus Facilities Competitive Program (49 U.S.C.
5339(b))
The competitive buses and bus facilities program is continued with
several modifications. A total of $1.9 billion over five years is
authorized to carry out the 5339(b) Grants for Buses and Bus Facilities
Competitive Program, with $372 million authorized in FY 2022. An
additional $175 million was appropriated in FY 2022, for a total of
$547 million. Eligible capital projects include projects to replace,
rehabilitate, lease, and purchase buses and related equipment and
projects to purchase, rehabilitate, construct or lease bus-related
facilities. Modifications include a requirement for applicants to use,
to the extent possible, innovative procurement tools authorized under
Section 3019 of the FAST Act. If fewer than five buses are purchased
through a stand-alone procurement, the recipient must provide a written
explanation to FTA of why the authorized procurement tools were not
used. (See Section C.3). Applicants of zero-emission buses must also
submit a fleet transition plan and 5 percent of the requested funds in
their application must be for workforce development activities, unless
the applicant certifies that less is needed to carry out their zero-
emission fleet transition plan. The law permits an applicant to the
Grants for Buses and Bus Facilities Competitive Program competitive
program that is also applying for the Low or No Emission Grant program
to propose partnerships with other entities, which would then be deemed
to satisfy the competitive procurement requirements under 49 U.S.C.
5325. The law now requires FTA to issue the NOFO within 30 days of a
full-year appropriation and announce selections within 75 days of the
application due date and increases the minimum for rural awards from 10
to 15 percent of the total, unless there are insufficient applications.
FTA published the NOFO for the program on March 4, 2022 (87 FR 12528).
For more information about the Grants for Buses and Bus Facilities
Competitive Program, contact Amy Volz, Office of Transit Programs at
(202) 366-7484 or [email protected].
i. Low or No Emission Program (49 U.S.C. 5339(c))
The Low or No Emissions Program (Low-No Program) is continued with
several modifications. The IIJA authorizes $374,550,890 and provides an
additional $5.25 billion in advance appropriations for a total of $5.6
billion over five years, with $1.1 billion authorized for FY 2022. An
additional
[[Page 25366]]
$75 million was appropriated in FY 2022 for a total of $1.175 billion.
Eligible projects or programs of projects include the acquisition and
leasing of low or no emission vehicles, constructing and leasing
facilities, and rehabilitating or improving existing facilities to
accommodate low or no emission vehicles. Modifications include a
clarification that requirements of section 5311 apply to rural
recipients. The law requires applicants for zero-emission buses to
submit a fleet transition plan, and 5 percent of the funds requested in
the application must be for workforce development activities, unless
the applicant certifies that less is needed to carry out its zero-
emission fleet transition plan. A recipient of a grant under this
subsection may submit an application in partnership with other
entities, including a transit vehicle manufacturer, that intends to
participate in the implementation of an eligible project under this
subsection. Eligible projects awarded with partnerships under this
subsection shall be considered to satisfy the requirement for a
competitive procurement under section 5325. Not less than 25 percent of
Low or No Emissions Grants total funding must be used for low-emission
vehicles and related facilities (such as compressed natural gas or
hybrid vehicles). FTA published the NOFO for the program on March 4,
2022 (87 FR 12528).
For more information about the Low or No Emission Program, contact
Amy Volz, Office of Transit Programs at (202) 366-7484 or
[email protected].
j. All Station Accessibility Program (NEW)
The advance appropriations of the IIJA provides $1.75 billion ($350
million per year) for a new competitive All Stations Accessibility
Program (ASAP) to provide states and local government authorities
funding for capital projects to upgrade the accessibility of legacy
rail fixed guideway public transportation systems for people with
disabilities, including those who use wheelchairs, by increasing the
number of existing stations or facilities for passenger use that meet
or exceed the construction standards of Title II of the Americans with
Disabilities Act of 1990 (42 U.S.C. 12131 et seq.). Eligible entities
are encouraged to consult with appropriate stakeholders, including
current and potential transit customers with disabilities and
disability advocacy groups, and the surrounding community to ensure the
projects provide accessibility for individuals with disabilities,
including accessibility for individuals with physical disabilities,
including those who use wheelchairs; accessibility for individuals with
sensory disabilities; and accessibility for individuals with
intellectual or developmental disabilities.
An eligible entity may not use a grant awarded under this program
to upgrade a station or facility for passenger use that is accessible
to and usable by individuals with disabilities, including individuals
who use wheelchairs, consistent with current (as of the date of the
upgrade) construction standards under Title II of the Americans with
Disabilities Act of 1990 (42 U.S.C. 12131, et seq.).
A grant for a project made with amounts made available under this
program shall be for 80 percent of the net project cost. All projects
shall at least meet the construction standards of Title II of the
Americans with Disabilities Act of 1990 as implemented by the U.S. DOT
ADA regulations at 49 CFR parts 37 and 38.
FTA will publish a NOFO announcing the amount of FY 2022 funding
available, application procedures, project and applicant eligibility,
and relevant selection criteria.
For more information about this program, please contact Kevin
Osborn at 202-366-7519 or [email protected].
k. Public Transportation Emergency Relief Program (49 U.S.C. 5324).
The IIJA modified the Emergency Relief Program to require an
applicant, before receiving a grant, to (1) submit to FTA documentation
demonstrating proof of insurance required under Federal law for all
structures related to the grant application; and (2) certify to FTA
that the applicant has insurance required under State law for all
structures related to the grant application.
For more information or questions on this program, please contact
Tom Wilson at (202) 366-5279 or [email protected].
l. Capital Investment Grants Program
The IIJA continues, with modifications, the discretionary Fixed
Guideway Capital Investment Grants (CIG) program, which funds fixed
guideway investments including new and expanded rapid rail, commuter
rail, light rail, streetcars, bus rapid transit, and ferries, as well
as corridor-based bus rapid transit investments that emulate the
features of rail. There are three categories of eligible projects under
the CIG program: New Starts, Small Starts, and Core Capacity. Each type
of CIG project has a unique set of requirements in the law, although
many similarities exist among them. To be eligible to receive a CIG
construction grant, all proposed projects must go through a multi-year,
multi-step development process outlined in the law. FTA is required to
evaluate and rate CIG projects on statutorily defined project
justification and local financial commitment criteria that differ by
project type, and a project must receive at least a ``Medium'' overall
rating to advance through the steps in the process and receive a
construction grant award. The IIJA authorizes $3 billion per year in
annual appropriations for the CIG Program, including funding that may
be awarded under the Expedited Project Delivery Pilot Program. In
addition, the law directly provides $1.6 billion per year in advance
appropriations as a supplement to annual appropriations for this
program.
Additionally, the IIJA makes several revisions:
Revises the Small Starts and New Starts eligibility
thresholds. Small Starts are now projects with a total estimated
project cost of less than $400,000,000 and that are seeking CIG funding
of less than $150,000,000. New Starts are projects with a total
estimated project cost of $400,000,000 or more or that are seeking CIG
funding of $150,000,000 or more.
Revises Core Capacity project eligibility to corridors
that are at capacity today or will be in 10 years, rather than the 5-
year timeframe under the FAST Act.
Establishes a process for immediate and future bundling of
CIG projects to allow sponsors to move multiple projects through the
CIG pipeline simultaneously. The new bundling eligibilities replace the
prior ``Program of Interrelated Projects'' eligibility.
Adds a requirement for the Secretary to determine that a
project sponsor has made progress toward meeting the transit asset
management performance targets required by 49 U.S.C. 5326(c)(2).
Amends the ``warrants'' provisions for New Starts and Core
Capacity projects to remove the requirement that the total estimated
capital cost of the project must be under $100,000,000.
Requires the Secretary to provide full and fair
consideration to projects that seek an updated rating after a period of
inactivity following an earlier rating and evaluation.
Adds a requirement that FTA publish, at least monthly, a
dashboard on its public website with information on each project
seeking CIG funding.
Revises Before and After Study requirements (an analysis
of predicted versus actual cost and ridership
[[Page 25367]]
outcomes after a CIG project opens for service). The requirement that
FTA report on those studies to Congress annually was also eliminated.
Instead, the GAO, as part of its biennial review of the CIG program,
will report to Congress on the differences between the predicted and
actual outcomes for CIG projects.
Revises the congressional notification timeframe required
before a CIG construction grant can be awarded from 30 days to 15 days
for New Starts and Core Capacity projects.
On March 15, 2022 FTA published in the Federal Register a Notice of
availability of initial guidance proposals for the Capital Investment
Grants program (87 FR 14612).
m. Grants To Assist Areas of Persistent Poverty
This competitive pilot program for the Areas of Persistent Poverty
Program (AoPP) has been appropriated in FY 2020 ($8,500,000), 2021
($16,220,000) and 2022 ($20,000,000). As required by law, funds will be
awarded competitively for planning, engineering, or development of
technical or financing plans for projects that assist areas of
persistent poverty. To be considered eligible, proposed projects must
be in a county with 20 percent or more of the population living in
poverty over the 30 years preceding the date of enactment of the
appropriation act, as measured by the 1990 and 2000 decennial census
and the most recent Small Area Income and Poverty Estimates, or from
any census tract with a poverty rate of at least 20 percent as measured
by the 2013-2017, 5-year data series available from the American
Community Survey of the Census Bureau. The FTA has posted a table and
maps of the Areas of Persistent Poverty that meet these criteria at
www.transit.dot.gov. A NOFO will be published announcing the amount of
funding available, application procedures, project and applicant
eligibility, and relevant selection criteria.
For more information or questions on this program, please contact
Tonya Holland at 202-493-0283 or [email protected].
B. Washington Metropolitan Area Transit Authority Funding
The IIJA reauthorizes the Passenger Rail Investment and Improvement
Act of 2008 (PRIIA) (Pub. L. 110-432) to provide supplemental funding
for the Washington Metropolitan Area Transit Authority (WMATA) through
fiscal year 2030 at $150,000,000 annually. Each year, WMATA must set
aside $5,000,000 for the exclusive use of the WMATA Inspector General.
A GAO audit is required within three years to assess the independence
of the Inspector General and the extent to which additional required
reforms have been implemented and are successful.
C. Definitional Changes and New Definitions
Section 30001 of the IIJA amended section 5302 to provide one new
definition and to amend existing definitions that clarify eligibility
and requirements within FTA's programs. Unless otherwise stated, these
definitions apply across all FTA programs, and are effective with all
funds obligated on or after October 1, 2021, even if the funds were
appropriated in earlier fiscal years. Several important definitional
changes include:
1. Assault on a Transit Worker
The term ``assault on a transit worker'' means a circumstance in
which an individual knowingly, without lawful authority or permission,
and with intent to endanger the safety of any individual, or with a
reckless disregard for the safety of human life, interferes with,
disables, or incapacitates a transit worker while the transit worker is
performing the duties of the transit worker.
2. Capital Project
The provision of technology to fuel a zero-emission vehicle is now
an eligible expense as a part of a joint development project. Guidance
will be forthcoming on this issue.
D. Cross-Cutting Programmatic Requirements and Changes
The following cross-cutting requirements apply to all FTA programs
as of October 1, 2021, unless otherwise noted.
1. Metropolitan and Statewide Planning
The planning programs provide funding and procedural requirements
to metropolitan areas and States for multimodal transportation planning
that is cooperative, continuous, and comprehensive, resulting in long-
range plans and short-range programs of projects that reflect
transportation investment priorities. The planning programs are jointly
administered by FTA and the Federal Highway Administration (FHWA),
which provides additional funding. There are five changes noted below.
The amendments to sections 5303, 5304, 5305 include:
Adds consideration of state and local housing patterns in
the metropolitan planning process and requires MPOs to provide
affordable housing organizations an opportunity to comment on the
transportation plan.
Requires MPOs to ensure the consistency of data used in
the planning process, including information used in forecasting travel
demand, if more than one MPO is designated within an urbanized area.
Permits the use of social media and other web-based tools
to encourage public participation in the planning process.
Requires MPOs to consider the equitable and proportional
representation of the population of the metropolitan planning area when
designating officials for the first time.
Permits a greater than 80 percent federal share for
transportation planning in certain circumstances and requires a federal
share of not less than 90 percent for activities that assist lower-
density or lower-income portions of urbanized or adjoining rural areas.
In addition to changes in sections 5303 and 5304, FTA notes the
Metropolitan and Statewide planning processes continue to emphasize a
performance-based planning process: MPOs and State DOTs must establish
performance targets that address forthcoming U.S. DOT-issued national
performance measures that are based on the goals outlined in the
legislation--safety, infrastructure condition, congestion reduction,
system reliability, economic vitality, environmental sustainability,
reduced project delivery delays, transit safety, and transit asset
management. MPOs also must coordinate their performance targets, to the
maximum extent practicable, with performance targets set by FTA
recipients under the new performance measure requirements for safety
and state of good repair. Transportation Improvement Programs (TIPs)
must include a description of the anticipated progress toward achieving
the performance targets identified in the metropolitan transportation
plan, linking investment priorities to those performance targets.
2. Innovative Bus Procurement
The IIJA amends the Grants for Buses and Bus Facilities formula and
competitive programs and requires applicants to use, to the extent
possible, innovative procurement tools authorized under Section 3019 of
the FAST Act. If fewer than five buses are purchased through a stand-
alone procurement, the recipient must provide a written explanation to
FTA of why the
[[Page 25368]]
authorized procurement tools were not used. Innovative procurements
authorized under Section 3019 of the FAST Act include: (1) State
cooperative procurement schedules in which a state government enters
into a cooperative procurement contract with one or more vendors in
which the vendors agree to provide an option to purchase rolling stock
and related equipment to the State government and any other
participant; and the State government acts throughout the term of the
contract as the lead procurement agency; (2) participation in the FTA
pilot program for nonprofit cooperative procurements (Interest
applicants may forward a Letter of Interest to: [email protected]);
(3) procurements resulting from the joint procurement clearinghouse
found in TrAMS; or (4) a capital lease. Note that Section 3019 requires
all recipients of capital leases (rolling stock and related equipment)
to submit to FTA, no later than three years after the date on which the
lease was entered, a report evaluating the overall costs and benefits
of leasing rolling stock and comparing the expected short-term and
long-term maintenance costs of leasing versus buying rolling stock.
As procurement decisions may be made before or after grant award,
the written explanation, if applicable, should be provided with the
TrAMS grant application or if the procurement decision is made after
grant award, to the appropriate FTA Regional Office. It is not required
for an application in response to a NOFO for a project not yet
selected. The written explanation may be provided in the form of a
letter explaining why the provisions of Section 3019 were not utilized
for the procurement.
3. Disposition of Rolling Stock, Equipment, and Supplies
The IIJA added a provision changing disposition requirements for
rolling stock and equipment with a fair market value of more than
$5,000 per unit and unused supplies with a total aggregate fair market
value of more than $5,000 that were purchased using Federal financial
assistance under Chapter 53. If the rolling stock, equipment, or
supplies are sold at the end of their service life, the recipient shall
now retain an amount equal to: (1) The sum of $5,000, and (2) of the
remaining proceeds, a percentage of the amount equal to the non-Federal
share expended by the recipient in making the original purchase. After
the recipient calculates and retains this amount, any remaining amounts
must be returned to FTA. For example, if a bus is sold at the fair
market value of $12,000 and funded with an 80 percent federal share,
the recipient retains $5,000 plus 20 percent of the remaining $7,000,
or $1,400, for a total of $6,400; they must return 80 percent of $7,000
(or $5,600) to FTA.
This provision is applicable to sales that occurred after the date
of enactment of the IIJA on November 15, 2021. FTA posted frequently
asked questions at: https://www.transit.dot.gov/funding/grants/bipartisan-infrastructure-law-disposition-requirements-frequently-asked-questions.
4. Transfer of Property to Non-Governmental Entities
Section 6609 of the FY 2022 National Defense Authorization Act
(NDAA) (Pub. L. 117-81) amended 49 U.S.C. 5334(h)(1), adding a
disposition option for assets acquired with federal assistance but no
longer needed for the originally authorized purpose. Under the new
provision, the Secretary may authorize the transfer of the asset to a
local governmental authority, non-profit organization, or other third-
party entity if, among other factors, it will be used for transit-
oriented development and includes affordable housing. When FTA concurs
that the following five criteria are met, the asset may be transferred
with no further obligation to the Government:
a. The asset is a necessary component of a proposed transit-
oriented development project;
b. The transit-oriented development project will increase transit
ridership;
c. At least 40 percent of the housing units offered in the transit-
oriented development, including housing units owned by nongovernmental
entities, are legally binding affordability restricted to tenants with
incomes at or below 60 percent of the area median income and owners
with incomes at or below 60 percent the area median income, which shall
include at least 20 percent of such housing units offered restricted to
tenants with incomes at or below 30 percent of the area median income
and owners with incomes at or below 30 percent the area median income;
d. The asset will remain in use for at least 30 years after the
date the asset is transferred; and
e. With respect to a transfer to a third-party entity, a local
government authority or nonprofit organization is unable to receive the
property; the overall benefit of allowing the transfer is greater than
the interest of the Government in liquidation and return of the
financial interest of the Government in the asset, after considering
fair market value and other factors; and the third party has
demonstrated a satisfactory history of construction or operating an
affordable housing development.
As part of the process to update FTA program circulars to reflect
the new authorizing legislation, additional guidance and information
regarding implementation of this and other provisions, maybe published
for notice and comment, as determined necessary.
5. Fleet Transition Plan
The IIJA amended the statutory provisions for the Grants for Buses
and Bus Facilities Competitive Program and the Low or No Emission
Program to include the requirement that any application for projects
related to zero-emission vehicles include a Zero-Emission Transition
Plan.
A Zero-Emission Transition Plan must, at a minimum:
1. Demonstrate a long-term fleet management plan with a strategy
for how the applicant intends to use the current request for resources
and future acquisitions.
2. Address the availability of current and future resources to meet
costs for the transition and implementation.
3. Consider policy and legislation impacting relevant technologies.
4. Include an evaluation of existing and future facilities and
their relationship to the technology transition.
5. Describe the partnership of the applicant with the utility or
alternative fuel provider.
6. Examine the impact of the transition on the applicant's current
workforce by identifying skill gaps, training needs, and retraining
needs of the existing workers of the applicant to operate and maintain
zero-emission vehicles and related infrastructure and avoid
displacement of the existing workforce.
6. National Transit Database (NTD)
The IIJA adds new requirements for the NTD to collect data on
geographic service area coverage from recipients of the Urbanized Area
Formula and Rural Area Formula programs. There is also a new
requirement for the NTD to collect data on fatalities that result from
impact with a bus and on transit worker assaults from all recipients of
FTA funding. FTA will provide notice of its plans to implement these
requirements, and may request comment on that proposal as necessary, in
a separate Federal Register notice.
IV. Program-Specific Information
A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
Section 5305(d) makes available Federal funding to support a
[[Page 25369]]
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 in 23 CFR part 450, as
incorporated by reference in 49 CFR part 613, Statewide and Non-
metropolitan Transportation Planning. State Departments of
Transportation (DOTs) are direct recipients of funds allocated by FTA,
and the funds are then sub-allocated to Metropolitan Planning
Organizations (MPOs) for planning activities that support the economic
vitality of the metropolitan area.
The metropolitan transportation planning process must establish a
performance-based approach in which the MPO will develop specific
performance targets that address transportation system performance
measures (issued by U.S. DOT), where applicable, to use in tracking
progress towards attaining critical outcomes. These performance targets
will be established by MPOs in coordination with States and transit
providers. MPOs will provide a system performance report that evaluates
the progress of the MPO in meeting the performance targets in
comparison with the system performance identified in prior reports.
This funding must support work elements and activities resulting in
comprehensive intermodal transportation planning for the movement of
people and goods in the metropolitan area. Comprehensive transportation
planning is not limited to transit planning or surface transportation
planning but also encompasses the relationships among land use and all
transportation modes, without regard to the programmatic source of
Federal assistance. Eligible work elements or activities include, but
are not limited to, studies relating to management, mobility
management, planning, operations, capital requirements, economic
feasibility, performance-based planning, safety, and transit asset
management; evaluation of previously funded projects; peer reviews and
exchanges of technical data, information, assistance, and related
activities in support of planning and environmental analysis among MPOs
and other transportation planners; planning for multimodal
transportation access to transit facilities including pedestrian and
bicycle access, and transit supportive land use plans; systems
planning, scenario planning, and corridor-level alternative analysis;
safety, security, and emergency transportation and evacuation planning;
air quality planning; and development of coordinated public transit
human services transportation plans. 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 about the Metropolitan Planning Program, contact Victor
Austin, Office of Planning and Environment at (202) 366-2996 or
[email protected].
1. Authorized Amounts
The IIJA authorizes $799.4 million over five years to provide
financial assistance for metropolitan planning needs under section 5305
as follows:
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Funds Authorized.................................... $152,740,2811 $155,931,187 $160,002,736 $163,308,011 $167,459,619
--------------------------------------------------------------------------------------------------------------------------------------------------------
The table above shows the funding amounts authorized for the
Metropolitan Planning Program.
2. FY 2022 Funding Availability
A total of $152,740,2811 is authorized and appropriated for the
period October 1, 2021, through September 30, 2022, 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 $152,178,080, as shown in the
table below, after the deduction for oversight and the addition of
reapportioned funds.
Metropolitan Planning Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $152,740,2811
Oversight Deductions................................... (763,701)
Reapportioned Funds.................................... 201,500
----------------
Total Apportioned.................................... 152,178,080
------------------------------------------------------------------------
3. Basis for Formula Apportionment
The IIJA did not change the funding formula. Of the amounts
authorized in section 5305, 82.72 percent is made available to the
Metropolitan Planning program. Eighty percent of the funds are
apportioned on a statutory basis to the States 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 the supplemental allocation.
4. Requirements
The State allocates 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
their 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 2022 plus three additional
fiscal years. Accordingly, funds apportioned in FY 2022 must be
obligated in grants by September 30, 2025. Any FY 2022 apportioned
funds that remain unobligated at the close of business on September 30,
2025, 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. The specific requirements of
Statewide transportation planning are set forth in 49 U.S.C. 5304 and
in 23 CFR part 450, as incorporated by reference in 49 CFR
[[Page 25370]]
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 elements and
activities resulting in comprehensive intermodal transportation
planning for the movement of people and goods and has the same
eligibilities as MPP funds. Comprehensive transportation planning is
not limited to transit planning or surface transportation planning but
also encompasses the relationships among land use and all
transportation modes, without regard to the programmatic source of
Federal assistance.
For more information, contact Victor Austin, Office of Planning and
Environment at (202) 366-2996 or [email protected].
1. Authorized Amounts
The IIJA authorizes $167 million over five years to provide
financial assistance for statewide planning and other technical
assistance activities under section 5305 as follows:
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Funds Authorized.................................... $31,907,061 $32,573,633 $33,424,169 $34,114,633 $34,981,893
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
In FY 2022, $31,907,061 is authorized and appropriated for the
period October 1, 2021 through September 30, 2022 to the State Planning
and Research Program (section 5305(e)). The total amount apportioned
for the State Planning and Research Program (SPRP) is $32,019,592 as
shown in the table below, after the deduction for oversight and
addition of reapportioned funds.
Statewide Planning Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $31,907,061
Oversight Deductions................................... (159,535)
Reapportioned Funds.................................... 272,066
----------------
Total Apportioned.................................... 32,019,592
------------------------------------------------------------------------
States' apportionments for this program are displayed in Table 2.
3. Basis for Formula Apportionment
The IIJA did not change the funding formula. Of the amount
authorized in 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, and 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, 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 2022 plus three
additional fiscal years. Accordingly, funds apportioned in FY 2022 must
be obligated in grants by September 30, 2025. Any FY 2022 apportioned
funds that remain unobligated at the close of business on September 30,
2025 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 Federal assistance for
capital, planning, job access and reverse commute projects, and, in
some cases, operating assistance for public transportation in urbanized
areas. An urbanized area (UZA) is an area with a population of 50,000
or more that has been defined and designated as such by the U.S. Census
Bureau. Program funds are apportioned to urbanized areas through a
statutory formula. In addition, $30 million is allocated each year
under this program to passenger ferry projects through a discretionary
funding competition.
For more information about the Urbanized Area Formula Program,
contact Bret Martin with the Office of Transit Programs, at (202) 366-
0870 or [email protected].
1. Authorized Amounts
The IIJA authorizes $33.5 billion over five years to provide
financial assistance for urbanized areas under section 5307. Of the
amounts authorized and appropriated for section 5307 in each year, $30
million is set aside for the competitive discretionary Passenger Ferry
Grant Program, 0.75 percent is apportioned to eligible States for State
Safety Oversight (SSO) Program grants, 3 percent is apportioned to
small transit intensive cities, and 0.75 percent is set aside for
program oversight.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Funds Authorized.................................... $6,408,288,249 $6,542,164,133 $6,712,987,840 $6,851,662,142 $7,025,844,743
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
A total of $6,408,288,249 is authorized and appropriated for the
section 5307 program for FY 2022. The total amount apportioned to
urbanized areas is $6,920,874,612 which includes the addition of
amounts apportioned to UZAs pursuant to the Section 5340 Growing States
and High-Density States Formula factors and reapportioned funds. This
amount excludes the set-aside for the Passenger Ferry Discretionary
Program, apportionments under the State Safety Oversight Program, and
oversight (authorized by section 5338), as shown in the table below:
Urbanized Area Formula Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................. \a\
$6,408,288,249
Oversight Deductions................................. (48,062,162)
State Safety Oversight Program....................... (48,062,162)
[[Page 25371]]
Passenger Ferry Program.............................. (30,000,000)
5340 High Density States............................. 348,290,112
5340 Growing States.................................. 280,465,968
Reapportioned Funds.................................. 9,954,607
------------------
Total Apportioned.................................. 6,920,874,612
------------------------------------------------------------------------
\a\ Includes 3 percent set-aside for Small Transit Intensive Cities
Formula.
Table 3 displays the amounts apportioned under the Urbanized Area
Formula Program.
The FY 2022 Appropriations provides $48,062,162 for the State
Safety Oversight Program and with the addition of $6.5 million in
Transit Infrastructure Grants, of which $3,250,000 must be made
available for low or zero-emission ferries and infrastructure, provides
a total of $36.5 million for the Passenger Ferry Program.
3. Basis for Formula Apportionment
FTA apportions Urbanized Area Formula Program funds based on
statutory formulas. Congress established four separate formulas that
are used to apportion the available funding: The section 5307 Urbanized
Area Formula Program formula, the Small Transit Intensive Cities (STIC)
formula, the Growing States and High-Density States formulas, and a
formula based on low-income population.
The IIJA made changes to the apportionment formula for FY 2022
through 2026. The percentage of funds allocated on the basis of Small
Transit Intensive Cities (STIC) factor increased to 3 percent.
Additionally, the takedown for the State Safety Oversight grant program
has increased to 0.75 percent.
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.
a. Section 5307--Urbanized Area Formula
For UZAs between 50,000 and 199,999 in population, the section 5307
formula is based on population and population density. For UZAs with
populations of 200,000 and more, the formula is based on a combination
of bus revenue vehicle miles, bus passenger miles, bus operating costs,
fixed guideway vehicle revenue miles, and fixed guideway route miles,
as well as population and population density. The Urbanized Area
Formula is defined in 49 U.S.C. 5336.
To calculate a UZA's FY 2022 apportionment, FTA used population and
population density statistics from the 2010 Census and validated
mileage and transit service data from transit provider's 2020 National
Transit Database (NTD) Report Year (when applicable). 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. 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 of the data used to calculate the apportionments, as well
as the amount appropriated by Congress for the apportionment. The
dollar unit values for FY 2022 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).
The Census Bureau has indicated that it will release urbanized area
boundaries and definitions from the 2020 Census in summer 2022 or
later. FTA anticipates implementing these new boundaries and
definitions in the FY 2023 apportionments. FTA requested comments on
its procedures for incorporating the urbanized area changes into NTD
reporting and published its final determination in a Federal Register
Notice (87 FR 20500).
b. Small Transit Intensive Cities Formula
Under the STIC formula, FTA apportions 3 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 on the
basis of one or more of six performance categories: Passenger miles
traveled per vehicle revenue mile, passenger miles traveled per vehicle
revenue hour, vehicle revenue miles per capita, vehicle revenue hours
per capita, passenger miles traveled per capita, and passengers per
capita.
The data used to determine a UZA's eligibility under the STIC
formula and to calculate the STIC apportionments was obtained from the
NTD. 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 2022
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
The IIJA does not change the formula factor for low-income
population. Of the amount authorized and appropriated for the Urbanized
Area Formula Program in each year, 3.07 percent is apportioned on the
basis of 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, according
to an equivalent formula. The low-income populations used for this
calculation were based on the American Community Survey (ACS) data set
for 2015-2019. This information is updated by the Census Bureau
annually.
4. Eligible Expenses
Eligible activities include planning, engineering design and
evaluation of transit projects and other technical transportation-
related studies; capital investments in bus and bus-related activities
such as replacement of buses, overhaul and rebuilding of buses; crime
prevention and security equipment; construction of maintenance and
passenger facilities; and capital investments in new and existing fixed
guideway systems including rolling stock, overhaul and rebuilding of
vehicles, track, signals, communications, and computer hardware and
software. All preventive maintenance and some Americans with
Disabilities Act complementary paratransit service costs are considered
[[Page 25372]]
capital costs. For urbanized areas with populations less than 200,000,
operating assistance is an eligible expense. In areas over 200,000 in
population, operating assistance is an eligible expense if the special
rule (100 Bus Rule) at 49 U.S.C. 5307(a)(2) applies. Job access and
reverse commute activities remain eligible under the program.
In addition, recipients may use up to one-half of one percent of
their section 5307 funds to support workforce development activities at
an 80 percent Federal share; the eligible workforce development
activities are defined in Section 5314; see Section IV. K. of this
notice for more information. This provision is in addition to the one-
half of one percent that recipients may use for training activities
with the National Transit Institute.
5. Requirements
Program guidance for the Urbanized Area Formula Program is found in
FTA Circular 9030.1E, Urbanized Area Formula Program: Program Guidance
and Application Instructions, dated January 16, 2014, and is
supplemented by additional information and changes provided in this
notice and that may be posted to the FTA's section 5307 web page. FTA
is in the process of updating the program circular to incorporate
changes resulting from amendments to 49 U.S.C. 5307.
Key program requirements and changes that apply to all programs are
addressed in section III.D. of this notice, ``Cross-Cutting
Programmatic Requirements and Changes.'' The following subsections
outline several important program requirements and changes that apply
specifically to the Urbanized Area Formula Program.
6. Period of Availability
Funds made available under Section 5307 are available for
obligation during the year of apportionment plus five additional years.
This is unchanged under the IIJA. Accordingly, funds apportioned in FY
2022 must be obligated in grants by September 30, 2027. Any FY 2022
apportioned funds that remain unobligated at the close of business on
September 30, 2027, will revert to FTA for reapportionment under the
Urbanized Area Formula Program.
Funds allocated under the Passenger Ferry discretionary program
follow the same period of availability as section 5307. Accordingly,
funds allocated in FY 2022 must be obligated in grants by September 30,
2027. Any of the funds allocated in FY 2022 that remain unobligated at
the close of business on September 30, 2027, will revert to FTA for
reallocation under the Passenger Ferry program.
7. What's New and Other Program Highlights
Recipients that serve urbanized areas with populations of 200,000
or more are required to allocate not less than 0.75 percent of their
Urbanized Area Formula Program funds to safety-related projects. It
should be noted however, some safety expenditures identified to satisfy
the safety requirement may also be used to support the 1% requirement
for security-related projects for the UZA if the recipient can justify
the expense as both a safety and a security expense.
D. Fixed Guideway Capital Investment Grants Program (49 U.S.C. 5309)
The Capital Investment Grants (CIG) Program includes three types of
eligible projects--New Starts projects, Small Starts projects, and Core
Capacity Improvement 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 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; and (3) projects that expand the capacity by at least 10
percent of an existing fixed guideway corridor that is at capacity
today or will be in ten years.
Projects become candidates for funding under the Capital Investment
Grants program by successfully completing steps in the multi-year
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.
New Starts and Core Capacity Improvement projects receive construction
funds from the program through a full funding grant agreement (FFGA)
that defines the scope of the project and specifies the total multi-
year Federal commitment to the project. Small Starts projects receive
construction funds through a single year grant or an expedited grant
agreement that defines the scope of the project and specifies the
Federal commitment to the project.
Bundles of CIG projects, comprised of multiple New Starts, Core
Capacity, and/or Small Starts projects being pursued by the same
project sponsor, are also allowed. Bundles must enhance or increase the
capacity of the transportation system and streamline procurements or
enable time or cost savings for the projects.
For more information about the Capital Investment Grants program
contact Elizabeth Day, Office of Capital Project Development, at (202)
366-5159 or [email protected].
For information about published allocations contact Kevin Osborn,
Office of Transit Programs, at (202) 366-7519 or [email protected].
1. Authorized Amounts
The IIJA authorizes $15 billion to be appropriated over five years
for the CIG program and the Expedited Project Delivery Pilot Program
(EPD), with an additional $8 billion in advance appropriations.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Funds Authorized to be Appropriated...................... $3,000,000,000 $3,000,000,000 $3,000,000,000 $3,000,000,000 $3,000,000,000
Advance Appropriations................................... 1,600,000,000 1,600,000,000 1,600,000,000 1,600,000,000 1,600,000,000
----------------------------------------------------------------------------------------------
Total................................................ 4,600,000,000 4,600,000,000 4,600,000,000 4,600,000,000 4,600,000,000
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 25373]]
2. FY 2022 Funding Availability
In addition to the advance appropriations of $1,600,000,000,
$2,248,000,000 was appropriated in FY 2022, for a total of
$3,848,000,00 for the section 5309 CIG and EPD programs. After the
oversight deduction, $3,809,520,000 is available for eligible projects
under the program.
Capital Investment Grant Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $3,848,000,000
Oversight Deduction.................................... (38,480,000)
----------------
Total Apportioned.................................... 3,809,520,000
------------------------------------------------------------------------
3. Basis for Allocation
Funds are allocated on a discretionary basis and subject to program
evaluation.
4. Eligible Expenses
See beginning of section D above.
5. Requirements
Project sponsors should reference the FTA website at
www.transit.dot.gov for the most current Capital Investment Grants
program policy guidance to learn what is required to enter and advance
through the program. Grant-related guidance is found in FTA Circular
9300.1B, Capital Investment Grant Program Guidance and Application
Instructions, November 1, 2008; and C5200.1A, Full Funding Grant
Agreement Guidance, December 5, 2002, which will be updated to
incorporate the changes made by the IIJA.
6. Period of Availability
Funding is available for four years, which is the fiscal year in
which the amount is made available plus three additional years.
Therefore, funds for a project identified in FY 2022 must be obligated
for the project by September 30, 2025. Section 5309 funds that remain
unobligated after four fiscal years to the projects for which they were
originally designated may be made available for other section 5309
projects.
7. What's New and Other Program Highlights
a. New Starts, Small Starts and Core Capacity
The IIJA amended the Capital Investment Grants Program (CIG) by
changing the eligibility parameters as described below and eliminating
the Program of Interrelated Projects and replacing it with a process
for bundling of projects. Under 49 U.S.C. 5309, as amended by the IIJA,
New Starts projects are defined as projects with a total capital cost
of $400 million or greater or that are seeking $150 million or more in
section 5309 funding. Previously, these thresholds were $300 million
and $100 million respectively. Eligible New Starts projects are new
fixed-guideway systems, such as rapid rail (heavy rail), commuter rail,
light rail, streetcars, trolleybus (using overhead catenary), cable
car, passenger ferries, and fixed guideway bus rapid transit, or an
extension of any of these systems. Fixed guideway bus rapid transit is
defined as operating on an exclusive transit lane for the majority of
the corridor length and 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.
Small Starts projects are defined as projects with a total capital
cost less than $400 million and that are seeking less than $150 million
in section 5309 funding. Previously, these thresholds were $300 million
and $100 million respectively. Eligible Small Starts projects are those
mentioned for the New Starts program, as well as corridor-based bus
rapid transit projects that do not operate on a separated fixed
guideway but include 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.
Core Capacity Improvement projects are defined as substantial,
corridor-based investments in existing fixed guideway systems that are
at capacity today or will be in ten years. Previously, the timeframe
was five years. A Core Capacity Improvement project must increase the
capacity of the existing fixed guideway system in the corridor by at
least 10 percent. Core Capacity projects cannot include elements
designed to maintain a state of good repair. This was not changed from
the eligibility under the FAST Act.
The number of steps in the process for projects has not changed.
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. FTA must evaluate and rate projects
seeking section 5309 funding according to statutorily defined criteria
at various steps in the process. Bundles of CIG projects, comprised of
multiple New Starts, Core Capacity, or Small Starts projects being
pursued by the same project sponsor, are now allowed. Bundles must
enhance or increase the capacity of the transportation system and
streamline procurements or enable time or cost savings for the
projects.
FTA has issued and will issue additional guidance regarding
implementation of the IIJA amendments to 49 U.S.C. 5309.
b. Expedited Project Delivery for Capital Investment Grants Pilot
Program
The IIJA made several modifications to the pilot program. Eligible
projects for the pilot program include New Starts, Small Starts, or
Core Capacity improvement projects that have not yet received a full
funding grant agreement. However, the definitions of New Starts, Small
Starts, and Core Capacity differ slightly from those used in the
Capital Investment Grants program.
A New Starts project under the EPD pilot program is defined as a
project with a total capital cost of $400 million or greater or that is
seeking $150 million or more in funding from the pilot program. A Small
Starts project under the pilot program is defined as a project with a
total capital cost less than $400 million and that is seeking less than
$150 million in funding from the pilot program. A Core Capacity
Improvement project under the pilot program is defined as a
substantial, corridor-based capital investment in an existing fixed
guideway system that increases the capacity of the corridor by not less
than 10 percent, and can include elements designed to maintain a state
of good repair.
Up to eight projects may be selected for the pilot program.
Projects must be supported at least in part through a public-private
partnership but must be operated and maintained by employees of an
existing provider of fixed guideway or bus rapid transit services in
the area. The maximum Federal funding provided to projects selected for
the pilot program is 25 percent.
The IIJA also requires that FTA determine a proposed pilot project
is justified based on its mobility improvements, environmental
benefits, congestion relief, economic development effects, and
estimated ridership and that it is supported by an acceptable degree of
local financial commitment. FTA published a Notice of Funding
Opportunity in the Federal Register that described the process for
project sponsors to apply to FTA for consideration as a pilot project.
For further information, see 85 FR 45460.
[[Page 25374]]
E. Enhanced Mobility of Seniors and Individuals With Disabilities
Program (49 U.S.C. 5310)
The Enhanced Mobility of Seniors and Individuals with Disabilities
Program provides formula funding apportioned to direct recipients:
States for rural (under 50,000) and small urban areas (50,000-200,000);
and designated recipients chosen by the Governor of the State for large
urban areas (populations of 200,000 or more); or a State or local
governmental entity that operates a public transportation service. The
Section 5310 program provides capital and operating assistance for
improving the mobility for seniors and individuals with disabilities by
removing barriers to transportation service and expanding
transportation mobility options. This program supports transportation
services planned, designed, and carried out to meet the special
transportation needs of seniors and individuals with disabilities in
all areas.
This program provides funds to: (1) Serve the special needs of
transit-dependent populations beyond traditional public transportation
service, where public transportation is insufficient, inappropriate, or
unavailable; (2) projects that exceed the requirements of the Americans
with Disabilities Act (ADA); (3) projects that improve access to fixed-
route service and decrease reliance on complementary paratransit; and
(4) projects that are alternatives to public transportation.
For more information about the Section 5310 program, contact
Destiny Buchanan, Office of Transit Programs, at (202) 493-8018 or
[email protected].
1. Authorized Amounts
The IIJA authorizes $1,943,105,343 to be appropriated over five
years for the Enhanced Mobility of Seniors and Individuals with
Disabilities formula program, with an additional $250 million provided
in advance appropriations. This amount does not include funding for the
Innovative Coordinated Access and Mobility Pilot Program.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year FY 2022 FY 2023 FY 2024 FY 2025 FY 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
5310 Formula Grants................................. $421,247,094 $429,002,836 $438,899,052 $446,932,778 $457,023,583
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
In FY 2022, $421,247,094 is appropriated for the program. A total
of $422,037,792 is available for allocation after the oversight and
administrative deduction, transfer to the US DOT Office of Inspector
General, and addition of reapportioned funds as shown in the table
below.
Section 5310 Formula Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $421,247,094
Oversight and Administrative........................... (2,851,235)
Transfer to OIG........................................ (5,000)
Reapportioned Funds.................................... 3,646,933
----------------
Total Apportioned.................................... 422,037,792
------------------------------------------------------------------------
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 their 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 with a population of less than 50,000.
Census Data on Older Adults and People with Disabilities is used for
the Section 5310 Enhanced Mobility of Older Adults and People with
Disabilities Apportionments. To view the Section 5310 table which
displays the amounts apportioned under the Enhanced Mobility of Seniors
and Individuals with Disabilities Program click here: https://www.transit.dot.gov/funding/apportionments.
Under the Section 5310 formula, funds are allocated using Census
data on seniors (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 2022 Section 5310
apportionments incorporate ACS data published in December 2020. Data on
seniors comes from the ACS 2015-2019 five-year data set, Table B01001,
``Sex by Age.'' Data on persons with disabilities comes from the ACS
2015-2019 five-year data set, Table S.1810, ``Disability
Characteristics.''
4. Eligible Expenses
Section 5310 funds are available for capital and operating expenses
to support the provision of transportation services to meet the
specific needs of seniors and individuals with disabilities. Of the
amounts apportioned to states and designated recipients, not less than
55 percent of funds must be used for ``traditional'' Section 5310
projects--those public transportation capital projects planned,
designed, and carried out to meet the specific needs of seniors and
individuals with disabilities when public transportation is
insufficient, unavailable, or inappropriate. This includes capital
equipment such as buses and vans; wheelchair lifts, ramps, and
securement devices; transit-related information technology systems
including scheduling/routing/one-call systems; and mobility management
programs. The acquisition of transportation services under a contract,
lease, or other arrangement is also eligible. Both capital and
operating costs associated with contracted service are eligible capital
expenses. The capital eligibility of acquisition of services is limited
to the Section 5310 program.
5. Requirements
Up to 45 percent of an area's apportionment may be used for
additional public transportation projects that: Exceed the Americans
with Disabilities Act minimum requirements; improve access to fixed-
route service and decrease reliance by individuals with disabilities on
ADA-complementary paratransit service; or provide alternatives to
public transportation that assist seniors and individuals with
disabilities with transportation. This includes projects eligible under
the former New Freedom program.
a. Eligible Recipients
Eligible direct recipients include States for rural and small urban
areas and designated recipients chosen by the Governor of the State for
large urban areas. Federally recognized Indian tribes and State or
local governmental entities that operate a public transportation
service are also eligible direct recipients. For urbanized areas less
than 200,000 in population and in the rural areas, the State is the
designated recipient for section 5310. Section 5310 designated
recipients remain in effect until changed by the Governor of a State by
officially notifying the appropriate
[[Page 25375]]
FTA regional administrator of re-designation.
In 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 definition of
designated recipient, 49 U.S.C. 5302(5)). Designated recipients are
responsible for administering the program. Responsibilities include:
Notifying eligible local entities of funding availability; developing
project selection processes; determining project eligibility;
developing the program of projects; and ensuring that all subrecipients
comply with Federal requirements.
Although FTA will only award grants to the eligible recipients for
the program, there are other entities eligible to receive funding as
subrecipients. These include private nonprofit organizations, and state
or local governmental authorities approved by a state to coordinate
services for seniors and people with disabilities, or state or local
governmental authorities which certify to the Governor that no
nonprofit organizations or associations are readily available in an
area to provide the service.
b. Local Match
The matching requirements for this program remain the same; capital
assistance is provided on an 80 percent Federal share, 20 percent local
share. Operating assistance requires a 50 percent local share. Funds
provided under other Federal programs (other than those of the U.S.
DOT, with the exception of the Federal Lands Transportation Program and
Tribal Transportation Program established by sections 202 and 203 of
title 23, U.S.C.) may be used for 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.
FTA requires the following elements, at a minimum, be included in
the plans:
i. An assessment of available services that identifies current
transportation providers (public, private, and nonprofit);
ii. An assessment of transportation needs for individuals with
disabilities and seniors;
iii. Strategies, activities, and/or projects to address the
identified gaps between current services and needs, as well as
opportunities to achieve efficiencies in service delivery; and,
iv. Priorities for implementation based on resources (from multiple
program sources), time, and feasibility for implementing specific
strategies and/or activities identified.
Additionally, 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. Recipients must
certify that projects were selected from this process and must make
reference to the plan in the program of projects, which is described
below.
d. State and Project Management Plans
FTA will continue to require States, designated recipients, and
State or local governmental entities that operate a public
transportation service who are responsible for implementing the Section
5310 program to document their approach to managing the program. The
primary purposes of State or Program Management Plans are to serve as
the basis for FTA management reviews of the program, and to 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, recipients
can use 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.
6. Period of Availability
For Enhanced Mobility of Seniors and Individuals with Disabilities
Program funds apportioned under this notice, FTA has administratively
set the period of availability to the year of apportionment plus two
years. Accordingly, funds apportioned in FY 2022 must be obligated in
grants by September 30, 2024. Any FY 2022 apportioned funds that remain
unobligated at the close of business on September 30, 2024, will revert
to FTA for reapportionment among the States and urbanized areas.
7. What's New and Other Program Highlights
The IIJA continues the Section 5310 program without change.
Recipients may continue to use a competitive selection process to
select projects, but it is not required. 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. There are no administrative or
statutory provisions to permit transferring Section 5310 funds to other
FTA programs nor is there a provision for large urbanized areas to
transfer their funds to the State.
Section 5310 program recipients may continue to partner with meal
delivery programs such as the OAA-funded meal programs (to find local
programs, visit: www.Eldercare.gov) and the USDA Summer Food Service
Program http://www.fns.usda.gov/sfsp/summer-food-service-program-sfsp.
Transit service providers receiving Section 5310 funds may coordinate
and assist in providing meal delivery services on a regular basis as
long as 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.
The Innovative Coordinated Access and Mobility Pilot program
created through Section 3006(b) of the Fixing America's Surface
Transportation (FAST) Act, is continued through IIJA.
F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
The Rural Areas program provides formula funding to States and
Indian tribes for the purpose of supporting public transportation in
areas with a population of less than 50,000. Funding may be used for
capital, operating, 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 operators of public transportation services,
including intercity bus companies. Indian Tribes are also eligible
direct recipients under Section 5311, both for funds apportioned to the
States and for projects apportioned or selected to be
[[Page 25376]]
funded with funds set aside for a separate Tribal Transit Program.
For more information about the Formula Grants for Rural Areas
program, contact Elan Flippin, Office of Transit Programs, at (202)
366-3800 or [email protected].
1. Authorized Amounts
The IIJA authorizes $4.1 billion over five years to provide
financial assistance for rural areas under section 5311(c)(3). The
Section 5311 program includes three other programs: The Rural Transit
Assistance Program (RTAP); the Appalachian Development Public
Transportation Assistance Program; and the Tribal Transit Program.
These separate programs are described in the sections that follow.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Funds Authorized.................................... $785,148,545 $801,551,125 $822,480,580 $839,471,067 $860,812,057
--------------------------------------------------------------------------------------------------------------------------------------------------------
In addition to the funds made available to States under Section
5311, approximately 14 percent of the funds authorized for the Section
5340 Growing States formula factors will be apportioned to States for
use in rural areas.
2. FY 2022 Funding Availability
In FY 2022, a total of $785,148,545 is authorized and appropriated
for the section 5311 program for the period October 1, 2021, through
September 30, 2022. The total amount apportioned is $893,663,711 to
Section 5311 programs and includes the amount for Growing States
formula factors, reapportioned funds, and deduction for oversight
(required by section 5338), as shown in the table below.
Formula Grants for Rural Areas Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $785,148,545
Oversight Deductions................................... (4,376,448)
Section 5340 Growing States............................ 112,286,712
Reapportioned Funds.................................... 604,902
----------------
Total Apportioned.................................... 893,663,711
------------------------------------------------------------------------
3. Basis for Formula Apportionment
The IIJA made no changes to the formula for the Rural Areas
Program. FTA apportions Section 5311 funds to the states by a statutory
formula using the latest available U.S. decennial census data. The
majority of rural formula funds (83.15 percent) are apportioned based
on land area and population factors. In this first tier, no state may
receive more than 5 percent of the amount apportioned on the basis of
land area. The remaining rural formula funds (16.85 percent) are
apportioned based on land area, vehicle revenue miles, and low-income
individual factors. In this second tier, no state may receive more than
5 percent of the amount apportioned on the basis of 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 according to 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 Rural Module of the National Transit Database (NTD)
was used for this apportionment, including data from directly reporting
Indian tribes. Data from public transportation systems that reported to
the Annual (Urbanized Area) Module, and that was not attributable to an
urbanized area, was also included.
4. Eligible Expenses
The Section 5311 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 Section 5311 funds
are in addition to those awarded to the State under Section 5305 and
must be used specifically for rural areas' needs.
a. Intercity Bus Transportation
Each State must continue to spend no less than 15 percent of its
annual Rural Areas Formula 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 being met. FTA
continues to encourage consultation with other stakeholders, such as
communities affected by loss of intercity service. The intercity bus
service match requirement in 49 U.S.C. 5311(g)(3) allows 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, to be
used as in-kind local match for the intercity bus projects.
b. State Administration
The IIJA did not change the amount available to States for
administration, planning, and technical assistance. States may elect to
use up to 10 percent of their apportionment at 100 percent Federal
share to administer the Section 5311 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.
c. Eligibility for Safety Certification Training
Recipients of Section 5311 funds are permitted to use not more than
0.5 percent of their formula funds under the Rural Areas program to pay
not more than 80 percent of the cost of participation for an employee
who is directly responsible for safety oversight to participate in
public transportation safety certification training. Safety
certification training program requirements are established in
accordance with Section 5329.
5. Requirements
The program requirements under this section are generally
unchanged, with the exception of the cross-cutting requirements
mentioned in section III.D. of this notice and specific subsections
outlined below.
The Federal share for capital assistance is 80 percent and for
operating assistance is 50 percent, except that States eligible for the
sliding scale match under FHWA programs may use that match ratio for
Section 5311 capital projects and 62.5 percent of the sliding scale
capital match ratio for operating projects. This is not changed under
the current authorization.
Each State prepares an annual program of projects, which must
provide for fair and equitable distribution of funds within the States,
[[Page 25377]]
including Indian reservations, and must provide for maximum feasible
coordination with transportation services assisted by other Federal
sources.
Additional program guidance for the Rural Areas Program is found in
FTA Circular 9040.1G, Formula Grants for Rural Areas: Program Guidance
and Application Instructions, dated October 24, 2014, and is
supplemented by additional information and changes provided in this
notice and that may be posted to FTA's Section 5311 web page. FTA is in
the process of updating the program circular to incorporate changes
resulting from IIJA amendments to 49 U.S.C. 5311.
The following subsections outline several important program
requirements that apply specifically to the section 5311 program.
6. Period of Availability
Section 5311 funds remain available to states for obligation for
three Federal fiscal years, beginning with the year of apportionment
plus two additional years. The Rural Areas program funds apportioned in
this notice are available for obligation during FY 2022 plus two
additional years. Any FY 2022 apportioned funds that remain unobligated
at the close of business on September 30, 2024, will revert to FTA for
reapportionment under the Rural Areas program.
7. What's New and Other Program Highlights
The IIJA did not modify the rural formula program.
G. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))
This program is not changed in the IIJA and continues to provide
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)
contact Elan Flippin, Office of Transit Programs, at (202) 366-3800 or
[email protected].
1. Authorized Amounts
The IIJA authorizes a two percent takedown from the funds
appropriated for section 5311 for RTAP. Of this amount, 15 percent is
reserved for the National RTAP program. The remainder is available for
allocation to the States.
The IIJA authorizes $105 million over five years to carry out this
program.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Funds Authorized.................................... $20,117,845 $20,538,128 $21,074,403 $21,509,749 $22,056,569
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
In FY 2022, $20,117,845 is authorized and appropriated for the
Section 5311 RTAP program. After the reduction to the National RTAP
program, and the addition of reapportioned funds a total of $17,563,773
is available for allocation to the States, as shown in the table below.
Rural Transportation Assistance Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $20,117,845
National RTAP.......................................... (2,625,869)
Reapportioned Funds.................................... 71,797
----------------
Total Apportioned.................................... 17,563,773
------------------------------------------------------------------------
Table 12 shows the FY 2022 RTAP allocations to the States.
3. Basis for Formula Apportionment
FTA will continue to allocate funds to the States by an
administrative formula. First, FTA allocates $65,000 to each State
($10,000 to territories), and then allocates the balance based on rural
population in the 2010 census.
4. Eligible Expenses
Eligible 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.
5. Requirements
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 Rural Areas Formula Program, but
also may support the rural components of the Section 5310 program.
6. Period of Availability
The Section 5311 RTAP funds apportioned in this notice are
available for obligation in FY 2022 plus two additional years,
consistent with that established for the Section 5311 program.
7. What's New and Other Program Highlights
The National RTAP project is administered by cooperative agreement
and re-competed at five-year intervals. In 2019, FTA awarded a
cooperative agreement to 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 TRB National Conference on Rural
Public and Intercity Bus Transportation and other research and
technical assistance projects of a national scope.
H. Appalachian Development Public Transportation Assistance Program (49
U.S.C. 5311(c)(2))
This program continues as a take-down under the section 5311
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 States and their
allocation are shown in the Rural Areas Formula program table posted on
FTA's website under the FY 2022 Apportionments page.
For more information about the Appalachian Development Public
Transportation Assistance Program, contact Elan Flippin, Office of
Transit Programs, at (202) 366-3800 or [email protected].
1. Authorized Amounts
The IIJA authorizes a take-down of three percent of Section 5311
funding for the Appalachian Development Public Transportation
Assistance Program. A total of $137.4 million is authorized over five
years as shown on the following table to support public transportation
in the Appalachian region.
[[Page 25378]]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Funds Authorized.................................... $26,258,687 $26,807,258 $27,507,228 $28,075,461 $28,789,194
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
A total of $26,258,687 is authorized and appropriated for the
Appalachian Development program for FY 2022, as shown below.
Appalachian Development Public Transportation Assistance Program--FY
2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $26,258,687
----------------
Total Apportioned.................................... 26,258,687
------------------------------------------------------------------------
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 U.S.C.). 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 can be used for purposes
consistent with Section 5311 to support public transportation in the
Appalachian region. Funds can be applied for in the State's annual
Section 5311 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 October 24,
2014.
5. Period of Availability
Section 5311 Appalachian program funds are available for three
years, which includes the year of apportionment plus two additional
years, consistent with that established for the Section 5311 program.
6. What's New and Other Program Highlights
The IIJA Establishes fixed funding percentages for the Appalachian
Development Public Transportation Assistance programs, providing three
percent of Section 5311 funding each year.
I. Formula Grants for Public Transportation on Indian Reservations
Program (49 U.S.C. 5311(c)(1))
The Public Transportation on Indian Reservations Program or Tribal
Transit Program (TTP) is continued as a takedown from the Section 5311
program. Over the five-year period from FY 2022 through FY 2026, the
program is authorized at a total of $229 million, of which $183 million
is for a formula program and $45.8 million is for a discretionary grant
program. More information on the discretionary program can be found in
section III.6 of this notice. Eligible direct recipients are federally
recognized Indian tribes and Alaskan Native Villages providing public
transportation in rural areas. The TTP funds are to be allocated for
grants to eligible recipients for any purpose eligible under Section
5311, which includes capital, operating, planning, and job access and
reverse commute projects.
For more information about the Tribal Transit Program contact
Matthew Lange, Office of Transit Programs at (312) 353-4118 or
[email protected].
1. Authorized Funding
Over the five-year period from FY 2022 through FY 2026, the program
is authorized at a total of $229 million, of which $183 million is for
a formula program and $45.8 million is for a discretionary grant
program.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Formula Funds Authorized................................. $35,011,582 $35,743,011 $36,676,304 $37,433,948 $38,385,592
Discretionary Funds Authorized........................... 8,752,896 8,935,753 9,169,076 9,358,487 9,596,398
----------------------------------------------------------------------------------------------
Total................................................ 43,764,478 44,678,764 45,845,380 46,792,435 47,981,990
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
In FY 2022, $35,011,582 is authorized and appropriated for the
formula program as shown in the table below. After the addition of
reapportioned funds, a total of $35,823,941 is available to be
apportioned.
Formula Grants for Public Transportation on Indian Reservations Program--
FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $35,011,582
Reapportioned Funds.................................... 812,359
----------------
Total Apportioned.................................... 35,823,941
------------------------------------------------------------------------
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 9 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 2009-2013 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 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 National Transit Database.
[[Page 25379]]
4. Requirements
Formula funds apportioned under this program can be used for
purposes consistent with Section 5311 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 direct recipients and
beneficiaries of Section 5311 funds. This reporting requirement has and
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. Tribes needing
assistance with reporting to the NTD should contact the NTD Helpdesk:
[email protected] or the Appian NTD Reporting Application Support line:
(877) 561-7466.
5. Period of Availability
Funding for the TTP is available for three years, which includes
the year of apportionment or allocation plus two additional years,
consistent with that established for the section 5311 program. Any FY
2022 formula funds that remain unobligated at the close of business on
September 30, 2024, will revert to FTA for reapportionment under the
TTP.
6. What's New and Other Program Highlights
The IIJA establishes fixed funding percentages for the Public
Transportation on Indian Reservations program. Five percent of Rural
Formula (Section 5311) funding is available for the Public
Transportation on Indian Reservations program. Twenty percent of the
Public Transportation on Indian Reservations funds must be distributed
on a competitive basis, while the remainder must be apportioned by
formula.
The funds set aside for the TTP are not meant to replace or reduce
funds that Indian tribes receive from States through the Section 5311
program but are to be used to enhance public transportation on Indian
reservations and transit serving tribal communities. Funds allocated to
Indian tribes by the States may be included in the State's Section 5311
application or awarded by FTA in a grant directly to the Indian tribe.
FTA encourages Indian tribes intending to apply to FTA as direct
recipients to contact the appropriate FTA Regional Office at the
earliest opportunity.
TTP recipients 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, and expects to
offer several workshops in FY 2022. FTA has also implemented the Tribal
Transit Technical Assistance Assessments initiative. 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. These workshops and assessments received exemplary
feedback from Tribal Transit Leaders and provided FTA with invaluable
opportunities to learn more about tribal transit leaders' perspectives
and honor the sovereignty of tribal nations. 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. A list of regional tribal transit liaisons can be found on
FTA's website at https://www.transit.dot.gov/funding/tribal-entities.
Tribes are encouraged to work directly with their regional tribal
transit liaison.
The Tribal Transportation Self Governance Program (TTSGP) was
authorized by the FAST Act and is codified at 23 U.S.C. 207. The TTSGP
final rule became effective on October 1, 2020 (85 FR 33494). Grant
funding made available through the FTA formula or competitive TTP may
be included in a Tribal Transportation Self-Governance funding
agreement if there is an existing Self-Governance compact in place
between the Tribe and the Department of Transportation. If funds are
transferred to a Tribal Self-Governance funding agreement, the funds
will be subject to the requirements and provisions of the Tribal
Transportation Self-Governance Program regulation at 49 CFR part 29 and
may be used only for the purpose for which they were awarded.
For more information about the Tribal Transit Program, please
contact Matthew Lange at [email protected] or 312-353-4118.
J. Public Transportation Innovation (49 U.S.C. 5312)
FTA's innovative research program includes three distinct programs:
(a) A Research, Development, Demonstration, Deployment, & Evaluation
program (49 U.S.C. 5312(b-e)); (b) a Low or No Emission Vehicle
Component Assessment Program (Lo-No CAP) (49 U.S.C. 5312(h)); and (c) a
Transit Cooperative Research Program (TCRP) (49 U.S.C. 5312(i)).
For more information about the Public Transportation Innovation
program, contact Mary Leary, Office of Research, Demonstration and
Innovation at (202) 366-4052 or [email protected].
1. Authorized Funding
The IIJA authorizes $192.8 million over five years as follows:
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Research, Development,................................... $25,261,523 $25,789,262 $26,462,651 $27,009,306 $27,695,935
Low-No Component Testing................................. 5,000,000 5,104,455 5,237,739 5,345,938 5,481,842
Transit Cooperative Research Program..................... 6,578,592 6,716,026 6,891,389 7,033,749 7,212,560
----------------------------------------------------------------------------------------------
Total................................................ 36,840,115 37,609,743 38,591,779 39,388,993 40,390,337
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 25380]]
2. FY 2022 Funding Availability
In FY 2022, $36,840,115 is authorized for the Public Transportation
Innovation program. With the addition of $12 million in Transit
Infrastructure Grants, a total of $48,840,115 is available in FY 2022.
Public Transportation Innovation--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Research, Development, Demonstration, Deployment, & $37,261,523
Evaluation............................................
Low or No Emission Vehicle Component Testing........... 5,000,000
Transit Cooperative Research Program (TCRP)............ 6,578,592
----------------
Total Apportioned.................................... 48,840,115
------------------------------------------------------------------------
3. Basis for Allocation of Funds
Section 5312 funds are allocated according to the authorized
purposes and amounts described above, and then remaining amounts are
subject to discretionary allocations where not specifically authorized.
For FY 2022, FTA intends to fund projects and activities in support of
the FTA FY 2022 action plan in five major areas: Safety, climate and
resiliency, equity, economic strength, and transformation. The
Consolidated Appropriations Act, 2022, (Pub. L. 117-103) included $12
million in Transit Infrastructure Grants, including: $1 million for
demonstration and deployment for innovation mobility solutions; $1
million for the accelerating innovative mobility initiative; and $10
million for technical assistance, research, demonstration, or
deployment activities or projects to accelerate the adoption of zero
emissions buses. Projects may be selected through competitive Notices
of Funding Opportunity (NOFO), noncompetitive awards, and partnerships
with other Federal entities through interagency agreements. Potential
recipients can register to receive information on NOFOs that are
released under this program on Grants.gov.
4. Eligible Expenses
Eligible expenses include activities involving: Research;
innovation and development; demonstration, deployment, and evaluation;
accelerated implementation and deployment of advanced digital
construction management systems; evaluation; low or no emission vehicle
component testing and research; and the Transit Cooperative Research
Program.
5. Requirements
The Government share of the cost of a project carried out under
this section shall not exceed 80 percent, except if there is
substantial public interest or benefit, FTA may approve a greater
Federal share. The non-Government share of the cost of a project
carried out under this section may be derived from in-kind
contributions. If FTA determines that there would be a clear and direct
financial benefit to an entity under a grant, contract, cooperative
agreement, or other agreement under this section, FTA shall establish a
Government share of the costs of the project to be carried out under
the grant, contract, cooperative agreement, or other agreement that is
consistent with the benefit. However, for the Lo-No Component Testing
Program, the Government share is 50 percent; the remaining 50 percent
of the costs will be paid by amounts recovered through the fees
established by the testing facilities. There is no match requirement
for the TCRP.
Application instructions and program management guidelines are set
forth in FTA Circular C 6100.1E, Technology Development and Deployment,
``Research, Technical Assistance and Training Program: Application
Instructions and Program Management Guidelines'' dated April 10, 2015.
All research recipients are required to work with FTA to develop
approved Statements of Work. FTA will be updating the Circular for the
Research program.
6. Period of Availability
FTA establishes the period in which the funds must be obligated to
the project. If the funds are not obligated within that period of time,
they revert to FTA for reallocation under the program.
7. What's New and Other Program Highlights
The IIJA amends 49 U.S.C. 5312 to create an accelerated
implementation and deployment of advanced digital construction
management systems research program to promote, implement, deploy,
demonstrate, showcase, support, and document the application of
advanced digital construction management systems, practices,
performance, and benefits.
Also amended is the Low or No Emission Vehicle Component Assessment
Program (Lo-No CAP). This program is expanded to allow the
competitively selected center(s) to conduct directed technology
research and to conduct testing, evaluation, and analysis of low or no
emission vehicle components, and new and emerging technology
components, intended for use in low or no emission vehicles. LONO-CAP
funds may be used to purchase capital equipment and capital projects
related to testing low or no emission vehicle components; or research
related to advanced vehicle technologies that provide advancements to
the entire public transportation industry.
Pursuant to the Small Business Innovation Development Act, a
portion of the Section 5312 funds must be set aside for the
Department's Small Business Innovation Research program 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.
K. Technical Assistance and Workforce Development (49 U.S.C. 5314)
The Technical Assistance and Workforce Development program, 49
U.S.C. 5314, provides assistance to: (1) Carry out technical assistance
activities that enable more effective and efficient delivery of
transportation services, foster compliance with Federal laws, and
improve public transportation service; (2) develop standards and best
practices for the transit industry; and (3) address public
transportation workforce needs through research, outreach, training and
the implementation of a frontline workforce grant program, and conduct
training and educational programs in support of the public
transportation industry.
For more information about the Technical Assistance and Workforce
Development program, contact Betty Jackson, Office of Research,
Demonstration and Innovation at (202) 366-4052 or
[email protected].
1. Authorized Amounts
The IIJA authorizes $61.98 million over five years for technical
assistance. Of this amount, $34.4 million is authorized for the
National Transit Institute under section 5314(c);
[[Page 25381]]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Technical Assistance, Standards Development & Human $5,262,873 $5,372,820 $5,513,111 $5,626,999 $5,770,048
Resource Training.......................................
National Transit Institute............................... 6,578,592 6,716,026 6,891,389 7,033,749 7,212,560
----------------------------------------------------------------------------------------------
Total................................................ 11,841,465 12,088,846 12,404,500 12,660,748 12,982,608
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
In FY 2022, a total of $11,841,465, is authorized for the Technical
Assistance and Workforce Development program for the period October 1,
2021, through September 30, 2022. With the addition of $7.5 million
from the General Fund, a total of $19,341,465 was appropriated for FY
2022 as shown in the table below.
Technical Assistance and Workforce Development--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Technical Assistance, Standards Development & Human $12,762,873
Resource Training.....................................
National Transit Institute............................. 6,578,592
----------------
Total Appropriated................................... 19,341,465
------------------------------------------------------------------------
3. Basis for Allocation of Funds
Under the authorized level of section 5314, $6.6 million is
available for the National Transit Institute (NTI) in FY 2022. The
remaining $12.76 million of appropriated funds will be allocated in
support of both FTA and USDOT strategic goals for technical assistance,
standards development, and workforce development. Projects may be
selected through Notices of Funding Opportunity (NOFO) or sole source
cooperative agreements. Potential recipients can register to receive
notification of NOFOs under this program on Grants.gov.
Once selected, FTA enters into cooperative agreements, contracts,
or other agreements to award funds and manage the projects carried out
under this section.
4. Eligible Expenses
Eligible expenses include activities involving (a) technical
assistance; (b) standards development; and (c) human resources and
training, which includes workforce development programs and activities.
Eligible technical assistance activities may include activities to
support: (a) Compliance with the Americans with Disabilities Act (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 and pre- and post-
award audits; (h) assisting with the development and deployment of low
and no emission vehicles or components for vehicles; (i) and other
technical assistance activities that are necessary to advance the
interests of public transportation.
Eligible standards activities include the development of voluntary
and consensus-based standards and best practices by the industry to
include 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 activities; (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 done through a competitive
frontline workforce development program as required in the
authorization. Should FTA allocate funds for these purposes, it will
advertise the available funding in a Notice of Funding Opportunity
(NOFO) on Grants.gov and on its website. FTA will be issuing additional
guidance in the coming months on how recipients can utilize their
formula funds in support of these eligible activities.
5. Requirements
a. Federal Share
The Government's 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
Government's 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. There is no match requirement for the
National Transit Institute.
b. Non-Government Share
The non-Government 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, Grants
Management Guidelines found on FTA's Circular web page at (https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/final-circulars). Application instructions and program management guidelines
are set forth in FTA Circular 6100.1E, Research, Technical Assistance
and Training Program: Application Instructions and Program Management
Guidelines dated April 10, 2015. All research recipients are required
to work with FTA to develop approved Statements of Work.
6. Period of Availability
FTA establishes the period in which the funds must be obligated to
the project. If the funds are not obligated within that period of time,
they revert to FTA for reallocation under the program.
7. What's New and Other Program Highlights
Under 49 U.S.C. 5314(b)(4), recipients may use no more than one-
half of one percent (0.5 percent) of their section 5307, 5337 and 5339
funds to support workforce development activities. In addition, 49
U.S.C. 5314(c)(4) allows recipients to use no more than one-half of one
percent (0.5 percent) of their 5307, 5337, and 5339 funds to attend NTI
training. Both provisions allow recipients to use these funds to pay up
to 80 percent of the cost of training.
[[Page 25382]]
For more information about the NTI, contact Lisa Colbert, at the
FTA Office of Research, Demonstration, and Innovation (TRI):
[email protected] or call 202-366-9261.
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 as a result of an
emergency or major disaster. No funding was provided in the
Consolidated Appropriations Act, 2022, for this program.
In the event of a publicly declared emergency or disaster, eligible
expenses will 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 in the United States or on an Indian reservation
that the Secretary determines is in danger of suffering serious damage
or has suffered serious damage as a result of an emergency. Additional
information on eligible expenses and the process for applying for ER
Program funding can be found in FTA's Emergency Relief Manual: A
Reference Manual for States & Transit Agencies on Response and Recovery
from Declared Disasters and FTA's Emergency Relief Program (49 U.S.C.
5324), which was published on October 5, 2015.
While Congress did not provide funding for this program in FY 2022,
recipients of FTA funding affected by a declared emergency or disaster
are authorized to use funds apportioned under sections 5307 and 5311
for emergency purposes. Recipients are advised that formula funds used
for emergency purposes will not be replaced or restored in the event
Congress subsequently makes funding 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 their FTA Regional Office
as soon as practicable to determine whether Emergency Relief funds are
available, and to notify FTA that it plans to seek reimbursement for
emergency operations 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
recipient has not received reimbursement from FEMA may later be
reimbursed by grants made either from section 5324 funding (if
appropriated) or 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.
In addition, before receiving a grant under this section following
an emergency, the recipient shall: (1) Submit documentation
demonstrating proof of insurance required under Federal law for all
structures related to the grant application; and (2) certify that the
recipient has insurance required under State law for all structures
related to the grant application.
Additional information about the Emergency Relief program is
available on the FTA website at https://www.transit.dot.gov/funding/grant-programs/emergency-relief-program.
For more information, contact Tom Wilson, Office of Program
Management, at 202-366-5279 or [email protected].
M. Public Transportation Safety Program (49 U.S.C. 5329)
Section 5329(e)(6) provides funding to support States with rail
fixed guideway public transportation systems (rail transit systems) to
develop and carry out State Safety Oversight (SSO) Programs consistent
with the requirements of 49 U.S.C. 5329. For more information, contact
Maria Wright, Office of Safety Review at (202) 366-5922 or
[email protected].
1. Authorized Amounts
A total of $251.6 million is authorized over five years for the
State Safety Oversight Program.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Funds Authorized.................................... $48,062,162 $49,066,231 $50,347,409 $51,387,466 $52,693,836
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
In FY 2022, $48,062,162 is authorized and appropriated for the
State Safety Oversight (SSO) program. With the addition of
reapportioned funds, a total apportionment of $49,011,483 is provided
for FY 2022. The total amount allocated for the SSO program is as shown
in the table below.
Public Transportation Safety Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $48,062,162
Reapportioned Funds.................................... 949,321
----------------
Total Apportioned.................................... 49,011,483
------------------------------------------------------------------------
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 which apportioned SSO Formula Grant Program FY13 and FY14 funds
(79 FR 13380). Grant funds for the SSO program are apportioned to
eligible States using a three-tier formula based on statutory
requirements, which apportion 60 percent of available funds based on
rail transit system vehicle passenger miles (PMT), vehicle revenue
miles (VRM), and directional route miles (DRM), 20 percent of available
funds equally to each eligible State, and 20 percent based on the
number of rail transit systems.
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 State Safety Oversight 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 FY13 and FY14 funds (79 FR 13380) 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 2022 funds that remain
unobligated as of September 30, 2024, will revert to FTA for
reapportionment under the SSO Formula Grant Program.
6. What's New and Other Program Highlights
Under the IIJA, the percent takedown for the SSO Formula Grant
Program increased from 0.5% to 0.75% of the section 5307 Urbanized Area
Formula Program. The IIJA enhances State safety oversight programs by
strengthening rail inspection practices by providing state safety
oversight agencies authority to
[[Page 25383]]
collect and analyze data and conduct risk-based inspections of rail
fixed guideway transportation systems. FTA continues to be authorized
to issue restrictions and prohibitions to address unsafe conditions or
practices, and to withhold funds for non-compliance with safety
requirements.
N. State of Good Repair Program (49 U.S.C. 5337)
The State of Good Repair (SGR) program provides capital assistance
for maintenance, replacement, and rehabilitation projects of existing
high intensity fixed guideway and high intensity motorbus systems to
maintain a state of good repair. Additionally, SGR grants are eligible
for developing and implementing Transit Asset Management plans. This
program provides funding for the following fixed guideway transit
modes: Rapid rail (heavy rail), commuter rail, light rail, hybrid rail,
monorail, automated guideway, trolleybus (using overhead catenary),
aerial tramway, cable car, inclined plane (funicular), passenger ferry,
and bus rapid transit. Fixed-route bus capital projects for services
operating on high-occupancy-vehicle (HOV) facilities are also funded
through High Intensity Motorbus tier of this program. Of the amount
authorized for Section 5337 each year, $300 million is set aside for
the competitive Rail Vehicle Replacement Program.
FTA published the State of Good Repair program guidance, FTA
Circular 5300.1, State of Good Repair Grants Program: Guidance and
Application Instructions, on January 28, 2015. The circular can be
accessed at https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/final-circulars.
For more information about the SGR program, contact Kevin Osborn,
Office of Transit Programs, at (202) 366-7519 or [email protected].
1. Authorized Amounts
The IIJA authorizes $18.35 billion over five years for the State of
Good Repair program, including $1.5 billion for the newly created Rail
Vehicle Replacement Program, and provides an additional $4.75 billion
in advance appropriations.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
SGR Formula Funds Total.................................. $4,165,528,226 $4,237,778,037 $4,330,934,484 $4,405,675,417 $4,500,496,668
Rail Vehicle Replacement Program......................... 300,000,000 300,000,000 300,000,000 300,000,000 300,000,000
----------------------------------------------------------------------------------------------
Total................................................ 4,465,528,226 4,537,778,037 4,630,934,484 4,705,675,417 4,800,496,668
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. FY 2022 Funding Availability
In FY 2022, $4,165,528,226 is authorized and appropriated for the
State of Good Repair Formula program. As shown in the table below,
these amounts are apportioned to support the State of Good Repair
Formula program, for the High Intensity Fixed Guideway Formula program
as well as the High Intensity Motorbus Formula program.
State of Good Repair Formula Program--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $4,165,528,226
Oversight Deductions................................... (54,060,282)
Transfer to OIG........................................ (95,000)
Reapportioned Funds.................................... 131,921
----------------
Total Available to Apportion......................... 4,111,504,865
------------------------------------------------------------------------
Total Apportioned to High Intensity Fixed Guideway 3,994,326,976
Formula...............................................
Total Apportioned to High Intensity Motorbus Formula... 117,177,889
------------------------------------------------------------------------
Table 15 shows the FY 2022 State of Good Repair Program formula
apportionments to eligible urbanized areas.
3. Basis for Formula Apportionment
FTA allocates State of Good Repair program funds according to a
statutory formula. Funds are apportioned to urbanized areas with high
intensity fixed guideway and high intensity motorbus systems that have
been in operation for at least seven years. This means that only
segments of high intensity fixed guideway and motorbus systems that
entered into revenue service on or before September 30, 2014, are
included in the formula, as identified in the NTD.
The law requires that 97.15 percent of the total amount authorized
for the State of Good Repair program be apportioned to urbanized areas
with ``High Intensity Fixed Guideway'' systems. The apportionments to
urbanized areas with ``High Intensity Fixed Guideway'' systems are
determined by two equal elements: (1) The proportion of the amount an
urbanized area would have received in FY 2011 to the total amount
apportioned to all urbanized areas in FY 2011 using new fixed guideway
definition; (2) the proportion of vehicle revenue miles of an urbanized
area to the total vehicle revenue miles of all urbanized areas and the
proportion of directional route miles of an urbanized area to the total
directional route miles of all urbanized areas. High Intensity Motorbus
systems will receive the remaining 2.85 percent of the total amount
authorized for the State of Good Repair program, and the apportionments
to urbanized areas are based on vehicle revenue miles and directional
route miles.
Vehicle revenue miles and directional route miles attributable to
an urbanized area must be placed in revenue service at least 7 years
before the first day of the fiscal year. A threshold level of more than
one mile of high intensity fixed guideway is required in order to
receive State of Good Repair funds. Therefore, urbanized areas
reporting one mile or less of fixed guideway mileage under the NTD are
not included. FTA will apportion funds to designated recipients in the
UZAs (see section IV. C. of this notice for more information about
designated recipients; FTA will apportion Section 5337 funds to the
Section 5307 designated recipient for the UZA) with high intensity
fixed guideway and/or high intensity motorbus systems operating at
least 7 years. The designated recipients will then allocate funds as
appropriate to recipients that are public entities in the urbanized
areas and provide split letters to FTA. FTA can make grants to direct
recipients after sub-allocation of funds.
4. Eligible Expenses
Eligible activities include projects that maintain, rehabilitate,
and replace transit assets, as well as projects that implement Transit
Asset Management plans. Additionally, training and workforce activities
authorized under 49 U.S.C. 5314(b) and (c) are eligible for the State
of Good Repair funds; funds for such activities are limited to 1
percent of the total amount apportioned to the recipient (0.5 percent
for each of the authorized activities).
5. Requirements
In addition to the program guidance found in the circular, all
recipients will need to certify that they will comply with the rule
issued under Section 5326 for the Transit Asset Management plan, 49 CFR
part 625, and SGR projects will need to be included in recipients'
Transit Asset Management plans.
[[Page 25384]]
6. Period of Availability
The State of Good Repair Program funds apportioned in this notice
are available for obligation during FY 2022 plus three additional
years. Accordingly, funds apportioned in FY 2022 must be obligated in
grants by September 30, 2025. Any FY 2022 apportioned funds that remain
unobligated at the close of business on September 30, 2025, will revert
to FTA for reapportionment under the State of Good Repair Program.
7. What's New and Other Program Highlights
The IIJA created as a takedown from Section 5337 authorized amounts
for the Rail Vehicle Replacement Program. This is a $300,000,000 annual
takedown. FTA will issue a NOFO with additional details including
eligibility and program requirements.
O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
The Section 5339 program provides funding to replace, rehabilitate,
and purchase buses and related equipment as well as construct bus-
related facilities.
Additional guidance on the Section 5339(a) formula program can be
found in FTA Circular 5100.1, which was published on May 18, 2015. This
Circular will be updated to reflect the amendments to section 5339 by
the IIJA. Information on the Section 5339(b) Buses and Bus Facilities
Competitive Grant Program and the Section 5339(c) Low or No Emission
Bus Competitive Grant Program was published in a Notice of Funding
Opportunity on March 7, 2022 (87 FR 12528).
For more information about the Buses and Bus Facilities program,
contact Amy Volz, Office of Transit Programs at (202) 366-7484 or
[email protected].
1. Authorized Amounts
The IIJA authorizes a total of $9.75 billion to be appropriated
over five years for the Section 5339 Program. Of that amount, three-
quarters of one percent is set aside for oversight. The IIJA provides
an additional $1,050,000,000 in advance appropriations for the Section
5339(c) Low or No Emission Program, with two percent set aside for
oversight and administrative expenses.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
5339(a) Formula Program.................................. $599,462,712 $611,986,119 $627,965,806 $640,938,080 $657,231,976
5339(b) Bus Competitive.................................. 372,341,813 380,120,424 390,045,823 398,103,239 408,223,797
5339(c) Low or No Emission Discretionary................. 1,100,561,189 1,102,056,178 1,103,963,762 1,105,512,334 1,107,457,427
Oversight, Administrative and OIG transfer............... 28,884,376 29,049,089 29,259,260 29,429,876 29,644,180
----------------------------------------------------------------------------------------------
Section 5339 Total................................... 2,101,250,090 2,123,211,810 2,151,234,651 2,173,983,529 2,202,557,380
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. Funding Availability
In FY 2022, $2,101,250,090 is authorized for section 5339 Buses and
Bus Facilities or provided through advance appropriations. The
Consolidated Appropriations Act, 2022, provided an additional $250
million for Transit Infrastructure Grants, including $175 million for
the Buses and Bus Facilities Competitive Program and $75 million for
the Low or No Emission Grant Program, for a total appropriation of
$2,351,250,090 in FY 2022. For the Formula Program, a total
apportionment of $601,222,535 is provided after a takedown for
oversight and the addition of reapportioned funds.
Grants for Buses and Bus Facilities Formula--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $603,992,657
Oversight.............................................. (4,529,945)
Reapportioned Funds.................................... 1,759,823
----------------
Total Apportioned.................................... 601,222,535
------------------------------------------------------------------------
3. Basis for Allocation
Section 5339(a) Buses and Bus Facilities formula program funds are
apportioned to States, territories, and designated recipients based on
a statutory formula. Under the national distribution, each State is
allocated $4 million, and each territory is allocated $1 million, for
use anywhere in the State or territory. The remainder of the available
funding is then apportioned for UZAs based on population, vehicle
revenue miles and passenger miles using the same apportionment formula
and allocation process as section 5307. Funds for UZAs under 200,000 in
population are apportioned to the State through a section 5339(a)
Governor's apportionment 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 recipients within each UZA for allocation to eligible
projects and recipients within the UZA.
4. Eligible Expenses
Eligible capital projects under the Buses and Bus Facilities
formula program (Section 5339(a)) continue to include projects to
replace, rehabilitate, and purchase buses and related equipment, and
projects to construct bus-related facilities. Recipients may use up to
one-half of one percent of their Section 5339 funds to support
workforce development activities at an 80 percent Federal share; the
eligible workforce development activities are defined in Section 5314;
see Section IV. K. of this notice for more information. This provision
is in addition to the one-half of one percent that the recipients may
use for training activities with the National Transit Institute.
5. Requirements
Eligible recipients of the Buses and Bus Facilities formula program
(Section 5339(a)) include designated recipients that operate fixed
route bus service or that allocate funding to fixed route bus
operators; and state or local governmental entities that operate fixed
route bus service that are eligible to receive direct grants under the
Urbanized Area Formula (Section 5307) and Rural Formula (Section 5311)
programs. Eligible subrecipients continue to 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 requirements of Section 5307 apply to recipients of Section
5339 funds within an urbanized area. The requirements of Section 5311
apply to recipients of Section 5339 funds within rural areas. For
additional program requirements, refer to FTA Circular 5100.1.
6. Period of Availability
The Buses and Bus Facilities Formula Program funds apportioned in
this notice are available for obligation during FY 2022 plus three
additional years.
[[Page 25385]]
Accordingly, funds apportioned in FY 2022 must be obligated in grants
by September 30, 2025. Any FY 2022 apportioned funds that remain
unobligated at the close of business on September 30, 2025, will revert
to FTA for reapportionment under the Buses and Bus Facilities Formula
Program.
Discretionary program funds authorized under Section 5339(b) and
(c) (Bus and Low No, respectively) follow the same period of
availability: Year of allocation plus three additional years.
7. What's New and Other Program Highlights
The Buses and Bus Facilities formula amounts for the national
distribution is increased to $4 million for each State and $1 million
for each territory. Additionally, both the Buses and Bus Facilities
formula and competitive programs now require that applicants should, to
the extent possible, utilize Innovative Procurement tools authorized
under Section 3019 of the FAST Act, and if less than 5 buses are
purchased through a standalone procurement, they must provide a written
explanation to FTA explaining why they did not utilize the procurement
tools authorized.
P. Growing States and High-Density States Formula Factors (49 U.S.C.
5340)
The IIJA continues the use of formula factors to distribute
additional funds to the Section 5307 and Section 5311 programs 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.
a. Authorized Amounts
The IIJA authorizes $3.879 billion over five years for the Growing
States and High-Density States Formula factors, as shown below:
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year 2022 2023 2024 2025 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Growing States........................................... $392,752,680 $400,957,696 $411,427,180 $419,926,283 $430,601,628
High Density States...................................... 348,290,112 355,566,259 364,850,518 372,387,459 381,854,274
----------------------------------------------------------------------------------------------
Total Funds Authorized............................... 741,042,792 756,523,956 776,277,698 792,313,742 812,455,901
--------------------------------------------------------------------------------------------------------------------------------------------------------
b. FY 2022 Funding Availability
In FY 2022, $741,042,792 is authorized and appropriated for
apportionment in accordance with the formula factors prescribed for
Growing States and High-Density States set forth in Section 5340 for FY
2022.
Growing States and High-Density States Formula Factors--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
High-Density 5307 Formula.............................. $348,290,112
Growing States (5307 & 5311)........................... 392,752,680
----------------
Total Apportioned.................................... 741,042,792
------------------------------------------------------------------------
c. 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
on the basis of 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 on the basis of 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 on the basis of 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 Section 5311
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 on
the basis of 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 on the basis of an individual urbanized area's population
relative to the population of all urbanized areas in that State.
Q. Washington Metropolitan Area Transit Authority Grants
1. Authorized Amounts
Under the IIJA, $150 million is authorized for each fiscal year
from 2022 through 2030 for grants to the Washington Metropolitan Area
Transit Authority (WMATA). After the one percent oversight takedown,
$148.5 million is available for obligation. Such funding is authorized
under section 601 of the Passenger Rail Investment and Improvement Act
of 2008. See Public Law 110-432, Division B, Title VI, as amended by
the IIJA.
For more information about WMATA grants, contact Kevin Osborn,
Office of Transit Programs, at (202) 366-7519 or [email protected].
Washington Metropolitan Area Transit Authority Grants--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation.................................... $150,000,000
Oversight Deduction.................................... (1,500,000)
----------------
Total Apportioned.................................... 148,500,000
------------------------------------------------------------------------
Grants may be provided for capital and preventive maintenance
expenditures for WMATA.
2. What's New and Other Program Highlights
The IIJA requires that $5,000,000 of the funding made available
each year be used for grants for the WMATA Office of the Inspector
General to carry out operations in accordance with Section 9 of Article
III of the WMATA Compact. Grants for capital and preventive maintenance
projects may not be made until WMATA notifies the Secretary of
Transportation that $5,000,000 in non-Federal funds has been made
available for the exclusive use of the WMATA Office of the Inspector
General. Furthermore, the IIJA requires that WMATA reform the WMATA
Office of Inspector General and update its capital program planning and
reporting procedures. FTA will provide additional
[[Page 25386]]
guidance on these requirements to WMATA.
R. FY 2022 Transit Infrastructure Grants--Community Project Funding
1. Appropriated Amounts
The Consolidated Appropriations Act, 2022, appropriated
$200,798,267 for Community Project Funding/Congressionally Directed
Spending for 80 projects in 27 States, identified in the accompanying
Joint Explanatory Statement. Table 20 identifies the recipient,
project, amount and a project ID that will be used to identify the
project in TrAMS. As the Consolidated Appropriations Act, 2022
identifies that funds are for projects and activities eligible under
Chapter 53, generally applicable Chapter 53 requirements apply to these
funds, including the planning requirements of Sections 5303 and 5304;
bus testing requirements of Section 5318; general provision
requirements of Section 5323 (such as NEPA and Buy America compliance);
contract requirements of Section 5325; project management requirements
of Section 5327; nondiscrimination requirements of Section 5322;
disposition requirements of Section 5334; and applicability of FTA
oversight of Section 5338. Non-federal match is not required for these
funds. Upon written request by the project sponsor in Table 20 and the
requested direct recipient, FTA may approve another entity to act as
the direct recipient of the funding and the project sponsor may serve
as a subrecipient. Pre-award authority is provided consistent with the
requirements for FTA's formula funds as of the date all necessary
requirements were met (see Section V, below.) However, before incurring
costs, recipients 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 before
incurring pre-award costs.
For more information about Community Project Funding grants,
contact Kevin Osborn, Office of Transit Programs, at (202) 366-7519 or
[email protected].
Community Project Funding/Congressionally Directed Spending--FY 2022
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriated.................................... $200,798,267
------------------------------------------------------------------------
V. FTA Policy and Procedures for FY 2022 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
1. Caution to New Recipients
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 recipient 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 recipient
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 recipients to incur certain project costs before grant
approval and retain the eligibility of those costs for subsequent
reimbursement after grant approval. The recipient assumes all risk and
is responsible for ensuring that all conditions are met to retain
eligibility. This pre-award spending authority permits an eligible
recipient 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 pre-award authority through the authorization
period of the IIJA (October 1, 2022, through September 30, 2026) for
capital assistance under all formula programs, so long as the
conditions described below are met. Pre-award authority is indicated in
the application. The actual items of cost associated with the use of
pre-award authority are documented in the initial Federal Financial
Report (FFR) that is required to be completed prior to the recipient
executing the award. FTA provides pre-award authority for planning and
operating assistance under the formula programs without regard to the
period of the authorization. For projects funded by competitive
programs, pre-award authority may be granted at the time of project
selection. 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. Recipients may be reimbursed for expenses incurred
before grant award so long as funds have been expended in accordance
with all Federal requirements, costs would have been allowable if
incurred after the date of award, and the recipient is otherwise
eligible to receive the funding. In addition to cross-cutting Federal
grant requirements, program specific requirements must be met.
Designated recipients of Section 5310 funds have pre-award authority
for the ten percent of the apportionment 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 in
section 3. Conditions 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 Letter
of No Prejudice (LONP) from FTA.
For more information, contact Lisa Colbert, at the FTA Office of
Research, Demonstration, and Innovation (TRI): [email protected] or
call 202-366-9261.
3. Conditions
The conditions under which pre-award authority may be utilized are
specified below:
i. 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
[[Page 25387]]
legal or implied commitment that all items undertaken by the applicant
will be eligible for inclusion in the project.
ii. All FTA statutory, procedural, and contractual requirements
must be met.
iii. No action will be taken by the recipient that prejudices the
legal and administrative findings that the Federal Transit
Administration must make in order to approve a project.
iv. Local funds expended by the recipient 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 recipient 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.
v. The Federal amount of any future FTA assistance awarded to the
recipient for the project will be determined on the basis of the
overall scope of activities and the prevailing statutory provisions
with respect to the Federal/local match ratio at the time the funds are
obligated.
vi. For funds to which the pre-award authority applies, the
authority expires with the lapsing of the fiscal year funds.
vii. 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 and an initial Federal Financial Report must be
submitted in TrAMS to associate those costs with the award.
viii. Environmental Requirements--All Federal grant requirements
must be met at the appropriate time for the 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 the appropriate FTA Regional Office for
assistance in determining the proper environmental review process,
including other applicable environmental laws, and level of
documentation necessary before incurring the above-mentioned costs.
This applies especially when the grant applicant believes a c-list CE
with construction activities, such as 23 CFR 771.118(c)(8), (9), (10),
(12), or (13), or property acquisition 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) CE determination, a finding of
no significant impact (FONSI), a combined final environmental impact
statement (FEIS)/record of decision (ROD), or a ROD.
ix. Planning and other requirements.
Formula funds must be authorized, or appropriated, and competitive
project 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 recipient 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 an MPO-approved UPWP that has been
coordinated with the State.
x. 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 requires a recipient
to make certain that no Federal requirements are circumvented.
xi. 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, recipients 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 Capital Investment Grant (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 Record of Decision (ROD), Finding
of No Significant Impact (FONSI), or Categorical Exclusion (CE)
determination by FTA for a New Starts, Small Starts, or Core Capacity
[[Page 25388]]
Improvement project, FTA extends pre-award authority to project
sponsors 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 appropriate 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 recipients 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, 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
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 documented in the draft
environmental impact statement (DEIS), FEIS, environmental assessment
(EA), or CE document, as needed for the selected alternative that is
the subject of the FTA-signed ROD or FONSI, or CE determination. This
pre-award authority 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, has been 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 reoccupation by
unauthorized occupants. Demolition of the building is also covered by
this pre-award authority upon FTA's written agreement that the adverse
condition exists. Pre-award authority for property acquisition is also
provided when FTA makes a CE determination for a protective buy or
hardship acquisition in accordance with 23 CFR 771.118(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, and vehicle purchases upon completion of the
environmental review process, FTA does not generally 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 still not yet assured.
c. National Environmental Policy Act (NEPA) Activities
NEPA requires that major projects proposed for FTA funding
assistance be subjected to a 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 appropriate FTA Regional Office upon initiation of the Federal
environmental review process consistent with 23 CFR 771.111. NEPA-
related activities include, but are not
[[Page 25389]]
limited to, public involvement activities, historic preservation
reviews, section 4(f) evaluations, wetlands evaluations, and endangered
species consultations. 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. FTA reimbursement for costs
incurred is not guaranteed and recipients may not start activities and
incur costs under pre-award authority for property acquisition,
demolition, construction, and acquisition of vehicles, equipment, or
construction materials until the environmental review process is
complete.
For more information about FTA's National Environmental Policy Act
(NEPA) activities, contact Megan Blum, Office of Environmental
Programs, at (202) 366-0463 or [email protected].
d. Other CIG Project 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.
For more information about the Fixed Guideway Capital Investment
Grants program, including LONP policy, real property acquisition, and
reimbursement of costs incurred under Pre-Award Authority, contact
Elizabeth Day, Office of Capital Project Development, at (202) 366-5159
or [email protected].
e. Pre-Award Authority for the Expedited Project Delivery (EPD) Pilot
Program
The EPD Pilot Program, as authorized by Section 3005(b) of the
Fixing America's Surface Transportation Act (FAST Act), is aimed at
expediting delivery of new fixed guideway capital projects, small
starts projects, or core capacity improvement projects. Section 3005(b)
requires the FTA to notify Congress and the applicant, in writing,
within 120 days after the receipt of a complete application, on the
decision of project selection. FTA will extend pre-award authority for
all eligible project costs at the time it is announced that a project
has been selected. There is no pre-award authority provided until a
project selection announcement is made, and costs incurred prior to
project selection are not eligible. Letters of No Prejudice will not be
provided for the EPD Pilot Program, as all eligible costs are covered
by pre-award authority at the time of project selection.
Although FTA provides pre-award authority for eligible project
costs, FTA does not award Federal funding for activities conducted
under pre-award authority until the project receives an EPD Pilot
Program construction grant. This is to ensure that Federal funds are
not risked on a project whose advancement into construction is not yet
assured. 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.
For more information about the Expedited Project Delivery Pilot
Program, contact Mark Ferroni, Office of Planning and Environment, at
(202) 366-3233 or [email protected].
B. Letter of No Prejudice (LONP) Policy
1. Policy
LONP authority allows an applicant to incur costs on a project
utilizing non-Federal resources, with the understanding that the costs
incurred subsequent to the issuance of the LONP may be reimbursable as
eligible expenses or eligible for credit toward the local match should
FTA approve the project at a later date. LONPs are applicable to
projects and project activities not covered by automatic pre-award
authority. The majority of LONPs will be for Section 5309 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, or otherwise extended. 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 for the CIG
program. 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.
C. FY 2022 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 FY 2022 version of
FTA's Certifications and Assurances is available on FTA's website at FY
2022 Annual List of Certifications & Assurances.
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
FY 2022 Certifications and Assurances
[[Page 25390]]
electronically in TrAMS within 90 days of this notice, to prevent
delays.
D. Civil Rights Requirements
Recipients must ensure their programs and services operate in a
nondiscriminatory manner and fulfill reporting requirements to document
their civil rights compliance as a condition to receiving Federal
funds.
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 (C 4710.1) provides guidance for implementing the regulatory
requirements of the ADA.
In addition, recipients must regularly prepare and submit
in TrAMS civil rights program plans and reports to establish and
demonstrate compliance and document policies and practices in the
following areas: 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 (C 4702.1B) provides
guidance for carrying out the regulatory requirements and outlines the
Title VI program requirements and timeline for submitting updates.
Disadvantaged Business Enterprise (DBE) program: The
Department of Transportation's DBE implementing regulations are found
in 49 CFR part 26 and set forth requirements for implementing the DBE
program in good faith and developing and reporting on the triennial DBE
goal.
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 (C 4704.1A) provides guidance for carrying out the regulatory
requirements and outlines the EEO program submission process.
Recipients are expected to maintain current civil rights program
plans and submit required reports in TrAMS. Recipients with past due or
expired programs are ineligible for new funding awards and may be
subject to other remedies or sanctions at FTA's discretion.
While not new requirements, recipients are specifically reminded of
the following:
Recipients awarding $250,000 or more in FTA-funded
contracts must comply with the Disadvantaged Business Enterprise (DBE)
regulations, including by implementing a DBE program that affirmatively
remedies the ongoing effects of discrimination in transportation
contracting. The recipient must conduct outreach to and consultation
with small businesses, women-owned businesses, and minority-owned
businesses; apply DBE goals as needed when exercising pre-award
authority; and verify the DBE certification of transit vehicle
manufacturers before purchasing transit vehicles.
Recipients in urbanized areas of 200,000 or more in
population and with 50 or more fixed-route vehicles in peak service
must conduct a service equity analysis for all service changes that
meet the recipient's definition of ``major service change'' prior to
implementing the service change. Those recipients also must conduct a
fare equity analysis for all fare increases or decreases prior to
implementing a fare change. Furthermore, an environmental justice
analysis is not a substitute for a Title VI service equity analysis
triggered by a major service change or fare change. When a full equity
analysis is not required due to the size of the recipient or duration
of a change, FTA expects agencies to take steps to ensure changes are
equitable and nondiscriminatory.
Recipients are encouraged to reach out to FTA's Office of Civil
Rights when contemplating new projects, new services, or new service
models for technical assistance and guidance, to support recipients in
achieving their equity and accessibility goals and complying with
federal civil rights requirements.
E. Consolidated Planning Grants (CPG)
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
CPG eliminates the need to monitor individual fund sources, if several
have been used, and ensures that the oldest funds will always be used
first.
Under the CPG, States can report metropolitan planning program
expenditures to comply with the Uniform Guidance 2 CFR part 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. FHWA Order 4551.1 dated August 12, 2013, on
``Fund 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]; or
Victor Austin, Office of Planning and Environment at (202) 366-2996 or
[email protected].
F. Grant Application Procedures
All applications are filed electronically. FTA continues to award
and manage grants and cooperative agreements using the Transit Award
Management System (TrAMS). To access TrAMS, contact your FTA Regional
Office. Resources on using TrAMS can be found on FTA's website at
https://www.transit.dot.gov/TrAMS.
FTA regional staff is responsible for working with potential
recipients to review and process grant applications. In order for an
application to be considered complete and 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:
i. Applicants must be registered and have an ``active status'' in
the System for Award Management (SAM) and its registration is current.
To register an entity or check the status and renew registration, visit
the SAM website at https://www.sam.gov/SAM.
ii. Applicant's contact information is correct and up to date.
iii. Applicant has properly submitted its annual certifications and
assurances.
iv. Applicant's Civil Rights submissions are current and approved.
v. Recipient 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.
vi. Documentation is on file to support status as either a
designated recipient (for the program and area) or a direct recipient.
vii. Funding is available, including any flexible funds included in
the budget, and split letters or suballocation letters on file, where
applicable, to support amount being applied for in grant application.
viii. The activity is listed in a currently approved Transportation
Improvement Program (TIP); Statewide Transportation Improvement Program
(STIP), or Unified Planning Work
[[Page 25391]]
Program (UPWP) unless such requirements have been waived for the
specific funding and activity type to facilitate response and recovery
from the COVID-19 public health emergency.
ix. All eligibility issues are resolved.
x. Required environmental findings are made.
xi. The application contains a well-defined scope of work including
at least one project with accompanying project narratives, budget that
includes scope codes and activity line-item information, Federal and
non-Federal funding amounts, and milestones.
xii. 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.
xiii. 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.
xiv. Applicant has ensured that it has registered to report to the
National Transit Database, and that any beneficiaries that provide
public transportation service have also registered to report to the
National Transit Database.
xv. FTA must provide Congressional notification before awarding
competitive grants.
Other important issues that impact FTA grant processing activities
are discussed below.
a. Award Budgets--Scope Codes and Activity Line Items (ALI) Codes;
Financial Purpose Codes
FTA uses the Scope and Activity Line Item (ALI) Codes in the award
budgets to track program trends, to report to Congress, and to respond
to requests from the Inspector General and the Government
Accountability Office (GAO), as well as to manage grants. The accuracy
of the data is dependent on the careful and correct use of codes.
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 the Governor's designee (e.g., State DOT).
Depending on the program and 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 can make grants to eligible direct
recipients, other than the designated recipients, recipients are
reminded that documentation must be on file to support the (1) 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 2022.
Split letters or suballocation letters (Governor's Apportionment
letters), must also be on file to support grant applications from
direct recipients. Once suballocation letters for FY 2022 funding are
finalized they should also 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 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 recipients the capability to submit
payment requests on-line, 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 their intended purpose and in compliance with
regulatory and statutory requirements. FTA conducts periodic oversight
reviews to assess recipient compliance with applicable Federal
requirements. Each Urbanized Area Formula Program recipient is reviewed
every three years, (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 recipient oversight assessment.
Important objectives of FTA's oversight program include but are not
limited to: Determining recipient compliance with Federal requirements;
identifying technical assistance needs and delivering technical
assistance to meet those needs; spotting emerging issues with
recipients in a forward-looking fashion; recognizing when there is a
need for more in-depth reviews in the areas of procurement, financial
management, and civil rights; and identifying recipients with recurring
or systemic issues.
3. Technical Assistance
As noted throughout the notice, FTA continues to rely on several of
the existing program circulars for general program guidance. FTA is
continuing to update the program circulars, with an opportunity for
notice and comment where warranted, to reflect amendments to chapter 53
of title 49, U.S.C. made by the IIJA. In the meantime, if you have any
questions, please do not hesitate to contact FTA. FTA headquarters and
regional staff will be pleased to answer your questions and provide any
technical assistance you may need to apply for FTA program funds and
manage the grants you receive. At its discretion, FTA may also use
program oversight consultants to provide technical assistance to
recipients on a case-by-case basis. This notice and the program
guidance circulars previously identified in this document may be
accessed via the FTA website at www.transit.dot.gov.
[[Page 25392]]
G. Grant Management
1. Grant Reporting
Recipients of FTA funds are reminded that all FTA recipients are
required to report on their grants and that it is critical to ensure
reports demonstrate that reasonable progress is being made on the
project. At a minimum, all awards require a Federal Financial Report
(FFR) and a Milestone Progress Report (MPR) on an annual basis, with
some reports required quarterly or monthly depending on the recipient
and the type of projects funded under the grant. The requirements for
these reports and other reporting requirements can be found in FTA
Circular 5010.1E, Grant Management Requirements, dated July 16, 2018.
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 or
demonstrate reasonable progress on projects can result in suspension or
premature close-out of a grant.
2. Inactive Grants and Grant Closeout
In FY 2022, FTA will continue to focus on inactive grants and
grants that do not comply with reporting requirements. If appropriate,
FTA will take action to close out and deobligate funds from these
grants if reasonable progress is not being 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.
As inactive grants continue to be an audit finding within the DOT, FTA
must take action to ensure its grants do not prevent the DOT from
receiving a ``clean audit'' opinion on its annual financial statement.
At the end of Federal Fiscal Year 2022, FTA will identify the list
of grants that were awarded on or prior to September 20, 2019, have had
no funds disbursed or have not had a disbursement since September 30,
2021. FTA Regional Offices will contact grant recipients with grants
that meet these criteria to notify them that FTA intends to close the
grant and deobligate any remaining funds unless the recipient can
provide information that demonstrates that the projects funded by the
grant remain active and the recipient has a realistic schedule to
expedite completion of the projects funded in the grant.
3. Transportation Investments Generating Economic Recovery (TIGER),
Better Utilizing Investments To Leverage Development (BUILD) and
Rebuilding American Infrastructure With Sustainability and Equity
(RAISE) Discretionary Grants
Recipients of open TIGER, BUILD and RAISE grants should be aware
that, as a matter of law, all remaining TIGER funds must be disbursed
from grants by the end of the fifth fiscal year after the Expiration of
Obligation Authority. (See 31 U.S.C. 1552.) For FTA TIGER VII projects,
that requirement takes effect at the end of FY 2022. Accordingly, once
ECHO closes for disbursements in late September 2022, all undisbursed
funds within FTA TIGER VII-funded grants will no longer be available to
the recipient. These undisbursed funds will be de-obligated from the
grant. Even if a recipient has incurred costs or disbursed funds prior
to the close of ECHO, if the recipient has not actually drawn down the
funds by the time ECHO closes, FTA will be unable to reimburse the
recipient. Therefore, recipients with open TIGER VII grants must ensure
project activities are completed and all funds are drawn down before
ECHO closes by late September 2022.
The contents of this document do not have the force and effect of
law and are not meant to bind the public in any way. This document is
intended only to provide clarity to the public regarding existing
requirements under the law or agency policies. Recipients should refer
to applicable regulations and statutes referenced in this document.
Nuria I. Fernandez,
Administrator.
[FR Doc. 2022-09143 Filed 4-27-22; 8:45 am]
BILLING CODE 4910-57-P