Urbanized Area Formula Program: Notice of Final Circular, 16229-16233 [2010-7083]
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Federal Register / Vol. 75, No. 61 / Wednesday, March 31, 2010 / Notices
Title: Notice of Funding Availability
and Solicitation of Applications for
Grants under the Railroad Safety
Technology Grant Program.
OMB Control Number: 2130–0587.
Abstract: The Rail Safety Technology
Program is a newly authorized program
under the Rail Safety Improvement Act
of 2008 (RSIA) (Pub. L. 110–432;
October 16, 2008). The program was
directed by Congress and passed into
law in the aftermath of a series of major
rail accidents that culminated in an
accident at Chatsworth, California, in
2008. Twenty-five people were killed
and 135 people were injured in the
Chatsworth accident. This event turned
the Nation’s attention to rail safety and
the possibility that new technologies,
such as PTC, could prevent such
accidents in the future. The RSIA
ordered installation of PTC by all Class
I railroads on any of their mainlines
carrying poisonous inhalation hazard
(PIH) materials and by all passenger and
commuter railroads on their main lines
not later than December 31, 2015.
As part of the RSIA, Congress
provided $50 million to FRA to award,
in one or more grants, to eligible
projects by passenger and freight rail
carriers, railroad suppliers, and State
and local Governments. Funds will be
awarded to projects that have a public
benefit of improved railroad safety and
efficiency, with priority given to
projects that make PTC technologies
interoperable between railroad systems;
projects that accelerate the deployment
of PTC technology on high-risk
corridors, such as those that have high
volumes of hazardous material
shipments; and for projects over which
commuter or passenger trains operate,
or that benefit both passenger and
freight safety and efficiency.
Funds provided under this grant
program may constitute a maximum of
80 percent of the total cost of a selected
project, with a minimum of 20 percent
of costs funded from other sources. The
funding provided under these grants
will be made available to grantees on a
reimbursement basis. FRA anticipates
awarding grants to multiple eligible
participants. FRA may choose to award
a grant or grants within the available
funds in any amount. Funding made
available through grants provided under
this program, together with funding
from other sources that is committed by
a grantee as part of a grant agreement,
must be sufficient to complete the
funded project and achieve the
anticipated technology development.
FRA will begin accepting grant
applications 10 days after publication of
the separate Notice of Funds
Availability, which will be published on
March 29, 2010, in the Federal Register
detailing the terms of the Railroad
Safety Technology Grant Program.
Applications may be submitted until
July 1, 2010. Selection announcements
will be made on or around September 3,
2010.
Form Number(s): FRA F 6180.146;
SF–269; SF–270.
Other Instruments: Information
Published with the Notice of Funds
Availability (NOFA) to be published
shortly in the Federal Register.
Affected Public: Businesses.
Respondent Universe: 50 railroads.
Frequency of Submission: On
occasion.
REPORTING BURDEN
Respondent
universe
Total annual
responses
Average time
per response
50 Railroads .....................
50 statements/forms .........
2 minutes ..........................
2
50 Railroads .....................
50 Railroads .....................
50 grant applications ........
25 meeting requests .........
250 hours .........................
30 minutes ........................
12,500
13
50 Railroads .....................
25 project meetings ..........
2 hours .............................
50
50 Railroads .....................
40 hours ...........................
400
50 Railroads .....................
10 grant application revisions.
120 progress reports ........
1 hour ...............................
120
50 Railroads .....................
50 Railroads .....................
10 forms ...........................
10 audit documents ..........
30 minutes ........................
34 hours ...........................
5
340
50 Railorads .....................
50 Railroads .....................
50 Railroads .....................
1 plan ................................
10 reports .........................
10 forms ...........................
24 hours ...........................
3 hours .............................
1 hour ...............................
24
30
10
50 Railroads .....................
50 Railroads .....................
5 reports ...........................
10 reports .........................
3 hours .............................
40 hours ...........................
15
400
Grant program
Pre-Application Process:
—Certification Statements (Form
FRA F 6180.146).
—Application Process .....................
—Meeting requests with FRA Associate Administrator.
—Face to Face Meetings with Associate Admin.
—Revisions to Grant Applications ..
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—Execution Process (Progress Reports).
—Close-Out Procedures:
—Financial Status Report (SF–269)
—Audit (OMB A–133 or 49 CFR
19.26).
—Audit Correction Plan ..................
—Final Progress Report .................
—Final Request for Payment (SF–
270).
—Federal Owner Property Report ..
—Final Technical Report ................
Total Responses: 336.
Estimated Total Annual Burden
13,909 hours.
Status: Re-Approval under Regular
Clearance Procedures
Pursuant to 44 U.S.C. 3507(a) and 5
CFR 1320.5(b), 1320.8(b)(3)(vi), FRA
informs all interested parties that it may
not conduct or sponsor, and a
respondent is not required to respond
to, a collection of information unless it
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displays a currently valid OMB control
number.
Authority: 44 U.S.C. 3501–3520.
Issued in Washington, DC on March 26,
2010.
Donna Alwine,
Acting Director, Office of Financial
Management, Federal Railroad
Administration.
[FR Doc. 2010–7201 Filed 3–30–10; 8:45 am]
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Urbanized Area Formula Program:
Notice of Final Circular
AGENCY: Federal Transit Administration
(FTA), DOT.
ACTION: Notice of Availability of Final
Circular.
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Federal Register / Vol. 75, No. 61 / Wednesday, March 31, 2010 / Notices
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SUMMARY: The Federal Transit
Administration (FTA) is issuing Circular
9030.1D to provide comprehensive
assistance to grantees in implementing
the Urbanized Area Formula Program
(Section 5307) for capital, planning, and
some operating grants in urbanized
areas.
DATES: The effective date of this circular
is May 1, 2010.
ADDRESSES: A copy of the circular and
comments and material received from
the public, as well as any documents
indicated in the preamble as being
available in the docket, are part of
docket FTA–2009–0010 and are
available for inspection or copying at
the Docket Management Facility, U.S.
Department of Transportation, 1200
New Jersey Ave., SE., West Building
Ground Floor, Room W12–140,
Washington, DC between 9 a.m. and 5
p.m., Monday through Friday, except
Federal holidays.
You may also review the circular,
comments, and supporting documents
online through the Federal Document
Management System (FDMS) at Web
site: https://regulations.gov. Enter the
docket number FTA–2009–0010 in the
search field. The FDMS is available 24
hours each day, 365 days each year.
Electronic submission and retrieval help
and guidelines are available under the
help section of the Web site.
This notice does not include the final
circular. Electronic versions of the final
circular will be posted on
http:/regulations.gov as well as on the
FTA Web site https://www.fta.dot.gov.
Paper copies of the final circular may be
obtained by contacting FTA’s
Administrative Services Help Desk, at
202–366–4865.
FOR FURTHER INFORMATION CONTACT:
Henrika Buchanan-Smith, Office of
Program Management, Federal Transit
Administration, 1200 New Jersey Ave.,
SE., East Building, Fourth Floor,
Washington, DC 20590, phone: (202)
366–5080, fax: (202) 366–7951, or email, Henrika.BuchananSmith@dot.gov; or Richard Wong, Office
of Chief Counsel, Federal Transit
Administration, 1200 New Jersey Ave.,
SE., East Building, Fifth Floor,
Washington, DC 20590, phone: (202)
366–0675, fax: (202) 366–3809, or email, Richard.Wong@dot.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. Chapter-by-Chapter Analysis
A. Chapter I—Introduction and
Background
B. Chapter II—Program Overview
C. Chapter III—General Program
Information
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D. Chapter IV—Program Development
E. Chapter V—Coordinated Planning
F. Chapter VI—Program Management and
Administrative Requirements
G. Chapter VII—Other Provisions
H. Appendices
I. Overview
This notice provides a summary of
changes to FTA Circular 9030.1C,
Urbanized Area Formula Program:
Program Guidance and Grant
Application Instructions and addresses
comments received in response to FTA’s
September 30, 2009 Federal Register
publication announcing the availability
of the proposed circular (74 FR 50273).
The final Circular 9030.1D supersedes
FTA Circular 9030.1C. Readers familiar
with the former FTA Circular 9030.1C
will notice that FTA is proposing a
complete reorganization to make this
circular consistent with the style of
other circulars FTA has updated.
Substantive changes in content are
discussed in the chapter-by-chapter
analysis.
Seven commenters responded to the
notice of availability, including a public
transportation trade association, a
vanpool operator, two large
metropolitan transit agencies, a member
of the public, and one who wished to
remain anonymous.
One commenter asked that FTA
extend the comment period for an
additional 45 to 60 days. FTA declined
this request, as FTA specified in the
Notice of Availability that ‘‘[l]ate-filed
comments will be considered to the
extent practicable,’’ and FTA has
considered all comments received after
the November 20, 2009, deadline.
Several commenters asked that FTA
withhold publication of the circular
until new surface transportation
reauthorization legislation had been
enacted. FTA believes that such an
approach is not feasible, given
uncertainty concerning the
reauthorization process and the need to
implement changes mandated by the
2005 reauthorization bill.
One commenter objected to the
language in section 6 of the title page
where FTA reserved the right to update
the circular to reflect changes in revised
or new guidance or regulation. FTA
disagrees with this objection, noting that
FTA is already obligated to include an
opportunity for notice and comment
when revising a circular or regulation,
and there is no need to duplicate that
effort when updating each circular
affected by that revision.
A. Chapter I—Introduction and
Background
Chapter I of the revised circular is the
introductory chapter containing general
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information about FTA, including
contact information. It briefly addresses
the current authorizing legislation for
the Urbanized Area Formula program
(a.k.a. ‘‘Section 5307 program’’),
provides information about Grants.gov,
includes definitions applicable to the
program and provides a brief program
history. A ‘‘Definitions’’ section has been
added to this circular, defining common
terms used in the Section 5307 program.
Chapter I contains a number of topics
that have been reorganized in the new
circular. The former section ‘‘Other
Funds Available for Transit Projects’’ is
now renamed ‘‘Relationship to Other
Programs’’ to be consistent with other
FTA circulars, and moved to Chapter II.
We have also moved the section titled
‘‘Flexible Funds’’ to the ‘‘Relationship to
Other Programs’’ section in Chapter II,
and transferred information on
apportionments and local and Federal
share to Chapter III. In addition, we
have incorporated the information in
the section titled ‘‘Grant Application
Process’’ into other sections of the
revised circular.
Several commenters suggested that
the term ‘‘direct recipient’’ be deleted in
favor of the term ‘‘designated recipient.’’
FTA declines to adopt that change, as
the two terms are not identical. A
‘‘designated recipient’’ is an entity
officially designated by the Governor
through the planning process to receive
and apportion funds. A direct recipient,
in contrast, is any entity that receives
funds directly from FTA. In some cases,
the designated recipient may also be a
direct recipient, although a direct
recipient may not necessarily be the
designated recipient.
One commenter suggested that
content be added to address the
National Transit Database (NTD) and the
Uniform System of Accounts (USOA).
FTA has accepted and incorporated
those changes in Chapter I, under the
section titled ‘‘Definitions.’’ Another
suggested that administrative costs be
defined and addressed in the Circular,
which FTA has done in Chapter III,
section 6, ‘‘Eligible Capital Projects.’’
One commenter asked FTA to address
force account plans, which FTA has
done in Appendix E, ‘‘Preventive
Maintenance.’’
B. Chapter II—Program Overview
Chapter II of the former circular,
‘‘Applicant Eligibility’’ has been
augmented to contain additional detail
about the Urbanized Area Formula
program. Chapter II addresses the
statutory authority for the Urbanized
Area Formula program, followed by the
goals of the program, recipient
designation, the respective roles of the
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designated recipient and FTA, a
discussion about transportation
management areas, FTA oversight, and
the relationship of the Urbanized Area
Formula Program to other FTA
programs. This format conforms to
Chapter II in the other circulars FTA has
recently updated. In discussions
regarding Transportation Management
Areas in Chapter II and Apportionments
in Chapter III, to conform to revisions of
the joint planning regulation issued in
February 2007, we deleted references to
the expanded planning areas of a
Transportation Management Area when
referring to the Governor authority to
reallocate funds apportioned to the
Governor for urbanized areas under
200,000 in population. The Governor’s
authority is restricted only in the case
of small urbanized areas officially
designated as Transportation
Management Areas.
One commenter, a large metropolitan
transportation agency, objected to FTA’s
attempt to meet GPRA (Government
Performance and Results Act)
requirements by setting performance
targets, using program measures to
determine grant funding levels, or using
those measures in a punitive manner.
The commenter suggested that FTA
provide additional clarification in the
final circular as to the measurement of
fleet condition and specifically
recommends that FTA require recipients
to report ‘‘average fleet age’’ information.
FTA acknowledges the commenter’s
concerns, but ridership and condition
data are long-standing national data
measures and submitted to the National
Transit Database on a regular basis.
With regard to their use as
determinants, formulas such as the fixed
guideway tier of the 5307 formula are
determined by Congress and
implemented by FTA. Finally, FTA
believes that comprehensive fleet age
and condition statistics are necessary for
FTA to estimate fleet condition on a
national level with a reasonable degree
of accuracy.
C. Chapter III—General Program
Information
Chapter III continues to address
eligible capital, operating and planning
activities, as well as advance capital
project authority, reflecting changes
made by Safe, Accountable, Flexible,
Efficient Transportation Equity Act: A
Legacy for users (SAFETEA–LU).
Transportation development credits
(formerly referred to as toll revenue
credits) have been added to Chapter III
to provide a calculation method that is
consistent with the method used by the
Federal Highway Administration
(FHWA). FTA has moved and
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supplemented information about
‘‘Preventive Maintenance’’ into a new
Appendix E due to the length and
complexity of the topic. FTA has moved
pre-award authority and letters of no
prejudice to Chapter IV. Additional
information addressed in Chapter III
includes apportionments, funds
availability, and local and Federal share.
All of these sections have been updated
to be consistent with the law and with
the format of other recently revised FTA
circulars.
One commenter asked FTA to support
a definition of Mobility Management
that included employer-oriented
Transportation Management
Organizations. FTA has included
language in Chapter III, section 6f(5) to
implement this request. The same
commenter asked that FTA revise
Chapter III to address eligibility that
takes into account emissions benefits for
purposes of compliance with the Clean
Air Act. Emissions benefits, while a
factor under the Congestion
Management and Air Quality (CMAQ)
program, are not statutory factors for
consideration under the section 5307
program. Finally the same commenter
asked that the circular include stronger
provisions to include private providers
and operators in the local planning and
programming process. FTA does not get
involved in the details of the local
public participation process, and
instead defers to the local Metropolitan
Planning Organizations (MPOs) to
determine their locally-developed
processes and procedures.
D. Chapter IV—Program Development
The sections of former Chapter IV,
‘‘Apportionments,’’ describing how
funds are apportioned under the
urbanized area formula program and
apportionments are transferred to other
eligible programs, are now in the first
sections of Chapter III. FTA has added
a new Chapter IV, ‘‘Program
Development,’’ to address the role of the
designated recipient and the
metropolitan planning organization
(MPO), applicants other than designated
recipients; pass-through arrangements
(formerly found in Chapter II); subarea
allocation and transfer of funds for
highway projects (formerly found in
Chapter IV); planning requirements
(formerly in Appendix A); program of
projects and public participation
requirements; certifications and
assurances (formerly found in Chapter
V); undertaking projects in advance; a
catch-all section for pre-award
authority; and letters of no prejudice
(formerly found in Chapter III).
FTA has revised each of these
sections to reflect changes in statutes,
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16231
regulations, and FTA policy. We are
also streamlining some sections, such as
planning, while expanding others, such
as certifications and assurances, to
provide more detailed guidance to our
recipients.
One commenter noted that the draft
circular did not account for the various
`
roles of designated recipients vis-a-vis
Metropolitan Planning Organizations
(MPO) throughout the country. Given
the wide variation of these roles among
the various urbanized areas (UZA), the
commenter stated that the circular must
be flexible. The commenter perceived
that Chapter IV of the draft assumes a
Metropolitan Planning Organization
(MPO) is the sole designated recipient
for the UZA. This structure is
impractical in some communities where
the Metropolitan Planning Organization
(MPO) is not staffed sufficiently to
undertake the duties of a designated
recipient or others where the
independence of local governments is
more pronounced and, as a result, a
single Metropolitan Planning
Organization (MPO) function is
primarily to coordinate the activities of
multiple designated recipients. FTA
agrees with this commenter and has
revised Chapter IV accordingly to clarify
the relationship between Metropolitan
Planning Organization (MPO),
Designated Recipient and other
recipients. Chapter IV has also been
revised to clarify that the Metropolitan
Planning Organization (MPO) and the
designated recipient can be two separate
entities.
Another commenter, a large
metropolitan transportation agency
operating across state boundaries, asked
that the circular specifically address
transit agencies that must work with
multi-state Metropolitan Planning
Organization (MPO)s, acknowledging
them as designated recipients.
Consistent with statute, however,
designated recipients are determined by
local officials, not FTA, and FTA
believes language in a circular would
have no effect on that process.
One commenter asked why ‘‘toll
revenue credits’’ had been renamed
‘‘transportation development credits’’ in
the revised circular. FTA is making this
change to reflect statutory changes in
the 2005 reauthorization law.
Several commenters suggested that
the planning justification be removed
from the Transportation Electronic
Award Management (TEAM) system as
redundant, because by virtue of their
inclusion in a Statewide Transportation
Improvement Plan (STIP), they already
have been through the Metropolitan
Planning Organization (MPO) planning
process. FTA does not agree with this
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suggestion, as Transportation Electronic
Award and Management (TEAM) is the
official administrative record for FTAfunded projects and the data must be
included with the Transportation
Electronic Award and Management
(TEAM) file. The justification to be
included with the application is more
project-specific.
Finally, one commenter suggested
that the discussion of joint development
address private investment and provide
additional guidance on how retail space
can qualify as incidental space. FTA
believes that FTA’s publication ‘‘Final
Agency Guidance on the Eligibility of
Joint Development Improvements Under
Federal Transit Law’’ (72 FR 5788, Feb.
7, 2007) provides adequate direction,
but interested parties may contact FTA’s
headquarters or regional offices for
specific questions not addressed by the
Final Agency Guidance document.
E. Chapter V—Coordinated Planning
The revised Chapter V addresses the
coordinated planning process required
under the Section 5310, Elderly
Individuals and Individuals with
Disabilities formula program; the
Section 5316, Job Access and Reverse
Commute (JARC) program; and the
Section 5317, New Freedom program.
Often the designated recipient for the
Urbanized Area Formula program will
also be the designated recipient for one
or more of these human services
transportation programs. The revised
Chapter V contains substantially the
same information as that found in FTA
Circular 9040.1F, Nonurbanized Area
Formula Program Guidance and Grant
Application Instructions.
The information found in the former
Chapter V, ‘‘Requirements Associated
with Urbanized Area Formula Program
Grants’’ has been reorganized into other
chapters. For example, the section,
‘‘National Transit Database Reporting
System’’ has been updated and moved to
the new Chapter VI. We are also
providing a link to the FTA Web site as
well as to the TEAM system, where
applicants can find the instructions.
FTA has moved the section titled
‘‘Certification Procedures’’ to the
rewritten Chapter IV. The section titled
‘‘FTA Oversight’’ has been updated and
moved to the new Chapter II. The
section titled ‘‘Certifications Particular
to the Urbanized Area Formula
Program’’ has been renamed
‘‘Certifications Required by 49 U.S.C.
5307’’ and moved to Chapter IV.
Updated information on program of
projects and public participation
requirements have also been moved to
Chapter IV. Finally, FTA is eliminating
the ‘‘Alphabetical List of Other
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Requirements’’ as the content of that
section is already addressed in other
chapters. Updated information related
to ‘‘Associated Capital Maintenance
Items,’’ ‘‘New Technology Introduction’’
and ‘‘Lease vs. Buy Considerations’’ can
be found in Chapter III under ‘‘Capital
Projects;’’ updated information on
‘‘Buses,’’ ‘‘Bus Facilities,’’ and ‘‘Fixed
Guideway Rolling Stock,’’ has been
consolidated into Chapter IV’s section
titled, ‘‘Requirements Related to Rolling
Stock and Equipment.’’ The section on
‘‘New Starts’’ has been removed because
information on the relationship between
the New Starts program and the
Urbanized Area Formula program is
already addressed in Chapter II. Other
provisions in the former Chapter V can
be found in the revised Chapter VII,
‘‘Other Provisions.’’
F. Chapter VI—Program Management
and Administrative Requirements
The content of the former Chapter VI,
‘‘Application Instructions,’’ has been
updated, streamlined, and moved to
Appendix A. The revised Chapter VI
contains information on the TEAM
system, Electronic Clearing House
Operation (ECHO) system, and, as
previously discussed, information on
the National Transit Database,
requirements related to vehicles and
equipment, and requirements related to
facilities. The information in this
chapter is consistent with that found in
other recently updated FTA circulars.
Several commenters stated that the
estimation of useful service life in
Chapter VI, section 5, for facilities was
impractical, given variations in climate,
geography, and usage. They claimed
that such an exercise would result in
additional investments of time and costs
on transit agencies and FTA alike with
no practical benefit. FTA does not agree
with these commenters—by establishing
a standard useful life for facilities, FTA
can ensure consistency across projects
and regions.
G. Chapter VII—Other Provisions
Chapter VII of the former circular
contained instructions for preparing a
project budget. This information has
been updated and moved to Appendix
B, consistent with other recently revised
FTA circulars. The revised Chapter VII
conforms to the ‘‘Other Provisions’’
chapters in other FTA circulars, and
addresses common Federal
requirements that FTA grantees are held
to in addition to the program-specific
requirements. As previously stated,
some of the information has been
relocated from the former Chapter V’s
‘‘Alphabetical Listing of Other
Requirements.’’ Other sections, such as
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the Presidential Coin Act, are new to
this circular. Recipients should use this
chapter, in conjunction with FTA’s
Master Agreement and the current fiscal
year Certifications and Assurances to
assure that they have met all
requirements. Recipients may contact
FTA HQ or Regional Counsel if they
have additional questions concerning
these requirements.
Once commenter asked FTA to
include explicit language excluding
vanpool drivers from FTA’s drug and
alcohol testing requirements. Consistent
with prior legal opinions from FTA’s
Chief Counsel, FTA has included
specific language in Chapter VII, section
7 of the revised circular.
H. Appendices
The appendices are intended as tools
for developing a grant application.
Appendix A specifically addresses steps
and instructions for preparing a grant
application, including pre-application
and application stages. This information
is comparable to Chapter VI,
‘‘Application Instructions,’’ in the former
circular, although it has been updated
and reorganized. Appendix A also
includes an application checklist.
Appendix B provides budgetary
information, including a sample budget,
replacing the information formerly
found in Chapter VII, ‘‘Instructions for
Preparing a Project Budget.’’ Appendix C
consists of the content of the former
Appendix D, ‘‘Operating Assistance
Projects.’’ Appendix D contains the
content of the former Appendix F,
‘‘Forms and Representative Documents,’’
with the exception of documents we
have removed that are now readily
available online. Appendix E contains a
description of the preventive
maintenance program, and is new to
this circular. Appendix F contains
updated contact information for FTA’s
regional and metropolitan offices, which
was previously contained in Chapter
VIII of the former circular.
Several commenters opined that the
‘‘Engineering Review’’ required in the
revised Appendix A would
unnecessarily add time and costs
without likely improvement of project
management. One commenter claimed
that this proposal raises the bar for new
projects and will increase the cost of
project development, grant
management, and FTA oversight.
Another commenter added that state of
good repair projects and routine
replacement investments should not be
subjected to more extensive oversight.
FTA responds that this is not a new
requirement, but rather, is currently
required under Chapter VI, section 9c,
of the outgoing FTA Circular 9030.1C,
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and remains an effective management
tool. The commenter perhaps
misunderstood that the ‘‘Engineering
Review’’ was performed by FTA in
reviewing the grant application and that
the grantee simply had to provide
sufficient information in the grant
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application about the proposed project
for FTA to review. In the final circular
the review has been renamed
‘‘Engineering/Technical’’ review to
clarify the nature of the review is
relative to the complexity of the project.
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Issued in Washington, DC, this 23rd day of
March 2010.
Peter Rogoff,
FTA Administrator.
[FR Doc. 2010–7083 Filed 3–30–10; 8:45 am]
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]]>Agencies
[Federal Register Volume 75, Number 61 (Wednesday, March 31, 2010)]
[Notices]
[Pages 16229-16233]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-7083]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
Urbanized Area Formula Program: Notice of Final Circular
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice of Availability of Final Circular.
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SUMMARY: The Federal Transit Administration (FTA) is issuing Circular
9030.1D to provide comprehensive assistance to grantees in implementing
the Urbanized Area Formula Program (Section 5307) for capital,
planning, and some operating grants in urbanized areas.
DATES: The effective date of this circular is May 1, 2010.
ADDRESSES: A copy of the circular and comments and material received
from the public, as well as any documents indicated in the preamble as
being available in the docket, are part of docket FTA-2009-0010 and are
available for inspection or copying at the Docket Management Facility,
U.S. Department of Transportation, 1200 New Jersey Ave., SE., West
Building Ground Floor, Room W12-140, Washington, DC between 9 a.m. and
5 p.m., Monday through Friday, except Federal holidays.
You may also review the circular, comments, and supporting
documents online through the Federal Document Management System (FDMS)
at Web site: https://regulations.gov. Enter the docket number FTA-2009-
0010 in the search field. The FDMS is available 24 hours each day, 365
days each year. Electronic submission and retrieval help and guidelines
are available under the help section of the Web site.
This notice does not include the final circular. Electronic
versions of the final circular will be posted on http:/regulations.gov
as well as on the FTA Web site https://www.fta.dot.gov. Paper copies of
the final circular may be obtained by contacting FTA's Administrative
Services Help Desk, at 202-366-4865.
FOR FURTHER INFORMATION CONTACT: Henrika Buchanan-Smith, Office of
Program Management, Federal Transit Administration, 1200 New Jersey
Ave., SE., East Building, Fourth Floor, Washington, DC 20590, phone:
(202) 366-5080, fax: (202) 366-7951, or e-mail, Henrika.Buchanan-Smith@dot.gov; or Richard Wong, Office of Chief Counsel, Federal
Transit Administration, 1200 New Jersey Ave., SE., East Building, Fifth
Floor, Washington, DC 20590, phone: (202) 366-0675, fax: (202) 366-
3809, or e-mail, Richard.Wong@dot.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. Chapter-by-Chapter Analysis
A. Chapter I--Introduction and Background
B. Chapter II--Program Overview
C. Chapter III--General Program Information
D. Chapter IV--Program Development
E. Chapter V--Coordinated Planning
F. Chapter VI--Program Management and Administrative
Requirements
G. Chapter VII--Other Provisions
H. Appendices
I. Overview
This notice provides a summary of changes to FTA Circular 9030.1C,
Urbanized Area Formula Program: Program Guidance and Grant Application
Instructions and addresses comments received in response to FTA's
September 30, 2009 Federal Register publication announcing the
availability of the proposed circular (74 FR 50273). The final Circular
9030.1D supersedes FTA Circular 9030.1C. Readers familiar with the
former FTA Circular 9030.1C will notice that FTA is proposing a
complete reorganization to make this circular consistent with the style
of other circulars FTA has updated. Substantive changes in content are
discussed in the chapter-by-chapter analysis.
Seven commenters responded to the notice of availability, including
a public transportation trade association, a vanpool operator, two
large metropolitan transit agencies, a member of the public, and one
who wished to remain anonymous.
One commenter asked that FTA extend the comment period for an
additional 45 to 60 days. FTA declined this request, as FTA specified
in the Notice of Availability that ``[l]ate-filed comments will be
considered to the extent practicable,'' and FTA has considered all
comments received after the November 20, 2009, deadline. Several
commenters asked that FTA withhold publication of the circular until
new surface transportation reauthorization legislation had been
enacted. FTA believes that such an approach is not feasible, given
uncertainty concerning the reauthorization process and the need to
implement changes mandated by the 2005 reauthorization bill.
One commenter objected to the language in section 6 of the title
page where FTA reserved the right to update the circular to reflect
changes in revised or new guidance or regulation. FTA disagrees with
this objection, noting that FTA is already obligated to include an
opportunity for notice and comment when revising a circular or
regulation, and there is no need to duplicate that effort when updating
each circular affected by that revision.
A. Chapter I--Introduction and Background
Chapter I of the revised circular is the introductory chapter
containing general information about FTA, including contact
information. It briefly addresses the current authorizing legislation
for the Urbanized Area Formula program (a.k.a. ``Section 5307
program''), provides information about Grants.gov, includes definitions
applicable to the program and provides a brief program history. A
``Definitions'' section has been added to this circular, defining
common terms used in the Section 5307 program.
Chapter I contains a number of topics that have been reorganized in
the new circular. The former section ``Other Funds Available for
Transit Projects'' is now renamed ``Relationship to Other Programs'' to
be consistent with other FTA circulars, and moved to Chapter II. We
have also moved the section titled ``Flexible Funds'' to the
``Relationship to Other Programs'' section in Chapter II, and
transferred information on apportionments and local and Federal share
to Chapter III. In addition, we have incorporated the information in
the section titled ``Grant Application Process'' into other sections of
the revised circular.
Several commenters suggested that the term ``direct recipient'' be
deleted in favor of the term ``designated recipient.'' FTA declines to
adopt that change, as the two terms are not identical. A ``designated
recipient'' is an entity officially designated by the Governor through
the planning process to receive and apportion funds. A direct
recipient, in contrast, is any entity that receives funds directly from
FTA. In some cases, the designated recipient may also be a direct
recipient, although a direct recipient may not necessarily be the
designated recipient.
One commenter suggested that content be added to address the
National Transit Database (NTD) and the Uniform System of Accounts
(USOA). FTA has accepted and incorporated those changes in Chapter I,
under the section titled ``Definitions.'' Another suggested that
administrative costs be defined and addressed in the Circular, which
FTA has done in Chapter III, section 6, ``Eligible Capital Projects.''
One commenter asked FTA to address force account plans, which FTA has
done in Appendix E, ``Preventive Maintenance.''
B. Chapter II--Program Overview
Chapter II of the former circular, ``Applicant Eligibility'' has
been augmented to contain additional detail about the Urbanized Area
Formula program. Chapter II addresses the statutory authority for the
Urbanized Area Formula program, followed by the goals of the program,
recipient designation, the respective roles of the
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designated recipient and FTA, a discussion about transportation
management areas, FTA oversight, and the relationship of the Urbanized
Area Formula Program to other FTA programs. This format conforms to
Chapter II in the other circulars FTA has recently updated. In
discussions regarding Transportation Management Areas in Chapter II and
Apportionments in Chapter III, to conform to revisions of the joint
planning regulation issued in February 2007, we deleted references to
the expanded planning areas of a Transportation Management Area when
referring to the Governor authority to reallocate funds apportioned to
the Governor for urbanized areas under 200,000 in population. The
Governor's authority is restricted only in the case of small urbanized
areas officially designated as Transportation Management Areas.
One commenter, a large metropolitan transportation agency, objected
to FTA's attempt to meet GPRA (Government Performance and Results Act)
requirements by setting performance targets, using program measures to
determine grant funding levels, or using those measures in a punitive
manner. The commenter suggested that FTA provide additional
clarification in the final circular as to the measurement of fleet
condition and specifically recommends that FTA require recipients to
report ``average fleet age'' information. FTA acknowledges the
commenter's concerns, but ridership and condition data are long-
standing national data measures and submitted to the National Transit
Database on a regular basis. With regard to their use as determinants,
formulas such as the fixed guideway tier of the 5307 formula are
determined by Congress and implemented by FTA. Finally, FTA believes
that comprehensive fleet age and condition statistics are necessary for
FTA to estimate fleet condition on a national level with a reasonable
degree of accuracy.
C. Chapter III--General Program Information
Chapter III continues to address eligible capital, operating and
planning activities, as well as advance capital project authority,
reflecting changes made by Safe, Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for users (SAFETEA-LU).
Transportation development credits (formerly referred to as toll
revenue credits) have been added to Chapter III to provide a
calculation method that is consistent with the method used by the
Federal Highway Administration (FHWA). FTA has moved and supplemented
information about ``Preventive Maintenance'' into a new Appendix E due
to the length and complexity of the topic. FTA has moved pre-award
authority and letters of no prejudice to Chapter IV. Additional
information addressed in Chapter III includes apportionments, funds
availability, and local and Federal share. All of these sections have
been updated to be consistent with the law and with the format of other
recently revised FTA circulars.
One commenter asked FTA to support a definition of Mobility
Management that included employer-oriented Transportation Management
Organizations. FTA has included language in Chapter III, section 6f(5)
to implement this request. The same commenter asked that FTA revise
Chapter III to address eligibility that takes into account emissions
benefits for purposes of compliance with the Clean Air Act. Emissions
benefits, while a factor under the Congestion Management and Air
Quality (CMAQ) program, are not statutory factors for consideration
under the section 5307 program. Finally the same commenter asked that
the circular include stronger provisions to include private providers
and operators in the local planning and programming process. FTA does
not get involved in the details of the local public participation
process, and instead defers to the local Metropolitan Planning
Organizations (MPOs) to determine their locally-developed processes and
procedures.
D. Chapter IV--Program Development
The sections of former Chapter IV, ``Apportionments,'' describing
how funds are apportioned under the urbanized area formula program and
apportionments are transferred to other eligible programs, are now in
the first sections of Chapter III. FTA has added a new Chapter IV,
``Program Development,'' to address the role of the designated
recipient and the metropolitan planning organization (MPO), applicants
other than designated recipients; pass-through arrangements (formerly
found in Chapter II); subarea allocation and transfer of funds for
highway projects (formerly found in Chapter IV); planning requirements
(formerly in Appendix A); program of projects and public participation
requirements; certifications and assurances (formerly found in Chapter
V); undertaking projects in advance; a catch-all section for pre-award
authority; and letters of no prejudice (formerly found in Chapter III).
FTA has revised each of these sections to reflect changes in
statutes, regulations, and FTA policy. We are also streamlining some
sections, such as planning, while expanding others, such as
certifications and assurances, to provide more detailed guidance to our
recipients.
One commenter noted that the draft circular did not account for the
various roles of designated recipients vis-[agrave]-vis Metropolitan
Planning Organizations (MPO) throughout the country. Given the wide
variation of these roles among the various urbanized areas (UZA), the
commenter stated that the circular must be flexible. The commenter
perceived that Chapter IV of the draft assumes a Metropolitan Planning
Organization (MPO) is the sole designated recipient for the UZA. This
structure is impractical in some communities where the Metropolitan
Planning Organization (MPO) is not staffed sufficiently to undertake
the duties of a designated recipient or others where the independence
of local governments is more pronounced and, as a result, a single
Metropolitan Planning Organization (MPO) function is primarily to
coordinate the activities of multiple designated recipients. FTA agrees
with this commenter and has revised Chapter IV accordingly to clarify
the relationship between Metropolitan Planning Organization (MPO),
Designated Recipient and other recipients. Chapter IV has also been
revised to clarify that the Metropolitan Planning Organization (MPO)
and the designated recipient can be two separate entities.
Another commenter, a large metropolitan transportation agency
operating across state boundaries, asked that the circular specifically
address transit agencies that must work with multi-state Metropolitan
Planning Organization (MPO)s, acknowledging them as designated
recipients. Consistent with statute, however, designated recipients are
determined by local officials, not FTA, and FTA believes language in a
circular would have no effect on that process.
One commenter asked why ``toll revenue credits'' had been renamed
``transportation development credits'' in the revised circular. FTA is
making this change to reflect statutory changes in the 2005
reauthorization law.
Several commenters suggested that the planning justification be
removed from the Transportation Electronic Award Management (TEAM)
system as redundant, because by virtue of their inclusion in a
Statewide Transportation Improvement Plan (STIP), they already have
been through the Metropolitan Planning Organization (MPO) planning
process. FTA does not agree with this
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suggestion, as Transportation Electronic Award and Management (TEAM) is
the official administrative record for FTA-funded projects and the data
must be included with the Transportation Electronic Award and
Management (TEAM) file. The justification to be included with the
application is more project-specific.
Finally, one commenter suggested that the discussion of joint
development address private investment and provide additional guidance
on how retail space can qualify as incidental space. FTA believes that
FTA's publication ``Final Agency Guidance on the Eligibility of Joint
Development Improvements Under Federal Transit Law'' (72 FR 5788, Feb.
7, 2007) provides adequate direction, but interested parties may
contact FTA's headquarters or regional offices for specific questions
not addressed by the Final Agency Guidance document.
E. Chapter V--Coordinated Planning
The revised Chapter V addresses the coordinated planning process
required under the Section 5310, Elderly Individuals and Individuals
with Disabilities formula program; the Section 5316, Job Access and
Reverse Commute (JARC) program; and the Section 5317, New Freedom
program. Often the designated recipient for the Urbanized Area Formula
program will also be the designated recipient for one or more of these
human services transportation programs. The revised Chapter V contains
substantially the same information as that found in FTA Circular
9040.1F, Nonurbanized Area Formula Program Guidance and Grant
Application Instructions.
The information found in the former Chapter V, ``Requirements
Associated with Urbanized Area Formula Program Grants'' has been
reorganized into other chapters. For example, the section, ``National
Transit Database Reporting System'' has been updated and moved to the
new Chapter VI. We are also providing a link to the FTA Web site as
well as to the TEAM system, where applicants can find the instructions.
FTA has moved the section titled ``Certification Procedures'' to the
rewritten Chapter IV. The section titled ``FTA Oversight'' has been
updated and moved to the new Chapter II. The section titled
``Certifications Particular to the Urbanized Area Formula Program'' has
been renamed ``Certifications Required by 49 U.S.C. 5307'' and moved to
Chapter IV. Updated information on program of projects and public
participation requirements have also been moved to Chapter IV. Finally,
FTA is eliminating the ``Alphabetical List of Other Requirements'' as
the content of that section is already addressed in other chapters.
Updated information related to ``Associated Capital Maintenance
Items,'' ``New Technology Introduction'' and ``Lease vs. Buy
Considerations'' can be found in Chapter III under ``Capital
Projects;'' updated information on ``Buses,'' ``Bus Facilities,'' and
``Fixed Guideway Rolling Stock,'' has been consolidated into Chapter
IV's section titled, ``Requirements Related to Rolling Stock and
Equipment.'' The section on ``New Starts'' has been removed because
information on the relationship between the New Starts program and the
Urbanized Area Formula program is already addressed in Chapter II.
Other provisions in the former Chapter V can be found in the revised
Chapter VII, ``Other Provisions.''
F. Chapter VI--Program Management and Administrative Requirements
The content of the former Chapter VI, ``Application Instructions,''
has been updated, streamlined, and moved to Appendix A. The revised
Chapter VI contains information on the TEAM system, Electronic Clearing
House Operation (ECHO) system, and, as previously discussed,
information on the National Transit Database, requirements related to
vehicles and equipment, and requirements related to facilities. The
information in this chapter is consistent with that found in other
recently updated FTA circulars.
Several commenters stated that the estimation of useful service
life in Chapter VI, section 5, for facilities was impractical, given
variations in climate, geography, and usage. They claimed that such an
exercise would result in additional investments of time and costs on
transit agencies and FTA alike with no practical benefit. FTA does not
agree with these commenters--by establishing a standard useful life for
facilities, FTA can ensure consistency across projects and regions.
G. Chapter VII--Other Provisions
Chapter VII of the former circular contained instructions for
preparing a project budget. This information has been updated and moved
to Appendix B, consistent with other recently revised FTA circulars.
The revised Chapter VII conforms to the ``Other Provisions'' chapters
in other FTA circulars, and addresses common Federal requirements that
FTA grantees are held to in addition to the program-specific
requirements. As previously stated, some of the information has been
relocated from the former Chapter V's ``Alphabetical Listing of Other
Requirements.'' Other sections, such as the Presidential Coin Act, are
new to this circular. Recipients should use this chapter, in
conjunction with FTA's Master Agreement and the current fiscal year
Certifications and Assurances to assure that they have met all
requirements. Recipients may contact FTA HQ or Regional Counsel if they
have additional questions concerning these requirements.
Once commenter asked FTA to include explicit language excluding
vanpool drivers from FTA's drug and alcohol testing requirements.
Consistent with prior legal opinions from FTA's Chief Counsel, FTA has
included specific language in Chapter VII, section 7 of the revised
circular.
H. Appendices
The appendices are intended as tools for developing a grant
application. Appendix A specifically addresses steps and instructions
for preparing a grant application, including pre-application and
application stages. This information is comparable to Chapter VI,
``Application Instructions,'' in the former circular, although it has
been updated and reorganized. Appendix A also includes an application
checklist. Appendix B provides budgetary information, including a
sample budget, replacing the information formerly found in Chapter VII,
``Instructions for Preparing a Project Budget.'' Appendix C consists of
the content of the former Appendix D, ``Operating Assistance
Projects.'' Appendix D contains the content of the former Appendix F,
``Forms and Representative Documents,'' with the exception of documents
we have removed that are now readily available online. Appendix E
contains a description of the preventive maintenance program, and is
new to this circular. Appendix F contains updated contact information
for FTA's regional and metropolitan offices, which was previously
contained in Chapter VIII of the former circular.
Several commenters opined that the ``Engineering Review'' required
in the revised Appendix A would unnecessarily add time and costs
without likely improvement of project management. One commenter claimed
that this proposal raises the bar for new projects and will increase
the cost of project development, grant management, and FTA oversight.
Another commenter added that state of good repair projects and routine
replacement investments should not be subjected to more extensive
oversight. FTA responds that this is not a new requirement, but rather,
is currently required under Chapter VI, section 9c, of the outgoing FTA
Circular 9030.1C,
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and remains an effective management tool. The commenter perhaps
misunderstood that the ``Engineering Review'' was performed by FTA in
reviewing the grant application and that the grantee simply had to
provide sufficient information in the grant application about the
proposed project for FTA to review. In the final circular the review
has been renamed ``Engineering/Technical'' review to clarify the nature
of the review is relative to the complexity of the project.
Issued in Washington, DC, this 23rd day of March 2010.
Peter Rogoff,
FTA Administrator.
[FR Doc. 2010-7083 Filed 3-30-10; 8:45 am]
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