FTA Fiscal Year 2011 Apportionments, Allocations, and Program Information, 6958-7079 [2011-2592]

Agencies

• Federal Transit Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 76, Number 26 (Tuesday, February 8, 2011)]
[Notices]
[Pages 6958-7079]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-2592]



[[Page 6957]]

Vol. 76

Tuesday,

No. 26

February 8, 2011

Part IV





Department of Transportation





-----------------------------------------------------------------------



Federal Transit Administration



FTA Fiscal Year 2011 Apportionments, Allocations, and Program 
Information; Notice

Federal Register / Vol. 76 , No. 26 / Tuesday, February 8, 2011 / 
Notices

[[Page 6958]]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


FTA Fiscal Year 2011 Apportionments, Allocations, and Program 
Information

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: The Federal Transit Administration (FTA) annually publishes 
one or more notices apportioning funds appropriated by law. In some 
cases, if less than a full year of funding is available, FTA publishes 
multiple partial apportionment notices. This notice is the first notice 
announcing partial apportionment of Fiscal Year (FY) 2011 formula 
funds. It also provides program guidance and requirements; and provides 
information on several program issues important in the current fiscal 
year. The notice also includes tables that show certain unobligated 
(carryover) funding discretionary programs from previous years that 
will be available for obligation during FY 2011.

FOR FURTHER INFORMATION CONTACT: For general information about this 
notice contact Kimberly Sledge, Team Leader, Transit Program Management 
Team, at (202) 366-2053. Please contact the appropriate FTA regional 
office for any specific requests for information or technical 
assistance. The Appendix at the end of this notice includes contact 
information for FTA regional offices. An FTA headquarters contact for 
each major program area is included in the discussion of that program 
in the text of the notice.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Overview
II. FY 2011 Available Funding for FTA Programs
    A. Available Funding Based on Continuing Appropriations and 
Surface Transportation Extension Act, 2011, and Safe, Accountable, 
Flexible, Efficient Transportation Equity Act: A Legacy for Users 
(SAFETEA-LU).
    B. Program Funds Set-aside for Oversight
III. 2011 FTA Programs
    A. Metropolitan Planning Program (49 U.S.C. 5305)
    B. Statewide Planning and Research Program (49 U.S.C. 5305)
    C. Urbanized Area Formula Program (49 U.S.C. 5307)
    D. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway 
Modernization
    E. Special Needs of Elderly Individuals and Individuals With 
Disabilities Program (49 U.S.C. 5310)
    F. Nonurbanized Area Formula Program (49 U.S.C. 5311)
    G. Rural Transportation Assistance Program (49 U.S.C. 
5311(b)(3))
    H. Job Access and Reverse Commute Program (49 U.S.C. 5316)
    I. New Freedom Program (49 U.S.C. 5317)
    J. Growing States and High Density States Formula (49 U.S.C. 
5340)
IV. FTA Policy and Procedures for FY 2011 Grants Requirements
    A. Automatic Pre-Award Authority to Incur Project Costs
    B. Letter of No Prejudice (LONP) Policy
    C. FTA FY 2011 Annual List of Certifications and Assurances
    D. FHWA Funds Used for Transit Purposes
    E. Technical Assistance
Tables
    1. FTA FY 2011 Appropriations and Apportionments for Grant 
Programs
    2. FTA FY 2011 Metropolitan Planning Program and Statewide 
Planning and Research Program Apportionments
    3. FTA FY 2011 Section 5307 and Section 5340 Urbanized Area 
Apportionments
    3-A. 2000 Census Urbanized Areas 200,000 or More in Population 
Eligible to Use Section 5307 Funds for Operating Assistance
    4. FTA FY 2011 Section 5307 Apportionment Formula
    5. FTA FY 2011 Formula Programs Apportionments Data Unit Values
    6. FTA FY 2011 Small Transit Intensive Cities Performance Data 
and Apportionments
    7. FTA Prior Year Unobligated Section 5308 Clean Fuels 
Allocations
    8. FTA FY 2011 Section 5309 Fixed Guideway Modernization 
Apportionments
    9. FTA FY 2011 Fixed Guideway Modernization Program 
Apportionment Formula
    10. FTA Prior Year Unobligated Section 5309 Buses and Bus 
Related Equipment and Facilities Allocations
    11. FTA Prior Year Unobligated Section 5309 New Starts 
Allocations
    12. FTA FY 2011 Special Needs for Elderly Individuals and 
Individuals with Disabilities Apportionments
    13. FTA FY 2011 Section 5311 and Section 5340 Nonurbanized Area 
Formula Apportionments, and Rural Transportation Assistance Program 
(RTAP) Allocations
    14. FTA Prior Unobligated Tribal Transit Discretionary 
Allocations
    15. FTA FY 2011 Section 5316 Job Access and Reverse Commute 
(JARC) Apportionments
    16. FTA FY 2011 Section 5317 New Freedom Apportionments
    17. 2011 FTA Prior Year Unobligated Section 5339 Alternatives 
Analysis Allocations
    Appendix

I. Overview

    FTA's current authorization, the Safe, Accountable, Flexible, 
Efficient, Transportation Equity Act: A Legacy for Users (SAFETEA-LU), 
expired September 30, 2009. Since that time, Congress has enacted 
short-term extensions allowing FTA to continue its current programs. 
Most recently, the Continuing Appropriations and Surface Transportation 
Extensions Act, 2011, as amended, (Pub. L. 111-322, Div. C), continues 
the authorization of the Federal transit programs of the U.S. 
Department of Transportation (DOT) through March 4, 2011. It extends 
contract authority for programs in the Formula and Bus Grants account 
provided in the previous authorization extension Hiring Incentives to 
Restore Employment Act (Pub. L. 111-147) until March 4, 2011, i.e., 
approximately 5/12th of the contract authority available in FY 2010.
    This document apportions approximately $3 billion in FY 2011 funds 
made available under the Continuing Appropriations and Surface 
Transportation Extensions of Act 2011, as amended, hereinafter, (``CR, 
2011'') among potential program recipients according to statutory 
formulas in 49 U.S.C. Chapter 53. This is in addition to over $4.2 
billion existing in unobligated formula funds available from prior 
years. The notice includes FY 2011 formula funds that are currently 
available, which is approximately 5/12 or 42.47% of the amounts that 
were available under the Consolidated Appropriations Act, 2010 (Pub. L. 
111-117). The notice does not include any extension or reprogramming of 
any discretionary funds that lapsed to the designated project as of 
September 30, 2010. FTA will issue a supplemental notice at a later 
date for any additional increments of formula and discretionary funds 
that become available.
    For each FTA program included in this notice, we have provided 
relevant information on the FY 2011 funding currently available, 
program requirements, period of availability, and other related program 
information and highlights, as appropriate. A separate section of the 
document provides information on program requirements and guidance that 
are applicable to all FTA programs.

II. FY 2011 Available Funding for FTA Programs

A. Funding Based on the Continuing Appropriations and Surface 
Transportation Extensions Act, 2011 (Pub. L. 111-322)

    The CR 2011 makes available approximately 5/12ths of the contract 
authority levels authorized in FY 2010 for the Formula programs. Table 
1 of this document shows the funding that is currently available for 
the FTA programs. This Federal Register notice includes tables of 
apportionments and

[[Page 6959]]

allocations for FTA formula programs based on CR, 2011 and carryover 
discretionary funds.

B. Program Funds Set-aside for Project Management Oversight

    As background, Section 5327 of title 49 U.S.C. authorizes the 
takedown of funds from FTA programs for project management oversight. 
Section 5327 provides oversight takedowns at the following levels: 0.5 
percent of Planning funds, 0.75 percent of Urbanized Area Formula 
funds, 1 percent of Capital Investment funds, 0.5 percent of Special 
Needs of Elderly Individuals and Individuals with Disabilities formula 
funds, 0.5 percent of Non-urbanized Area Formula funds, and 0.5 percent 
of the Paul S. Sarbanes Transit in the Parks Program funds (formerly 
the Alternative Transportation in the Parks and Public Lands Program).
    The funds are used to provide necessary oversight activities, 
including oversight of the construction of any major capital project 
under these statutory programs; 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 grantee specific problems and issues; and to provide 
technical assistance to correct deficiencies identified in compliance 
reviews and audits.

III. 2011 FTA Programs

    This section of the notice provides the available FY 2011 funding 
through March 4, 2011, and/or other important program-related 
information for eleven FTA formula programs that are contained in this 
notice. Funding and/or other important information for each of the 
formula programs is presented immediately below. This includes program 
apportionments, certain program requirements, length of time FY 2011 
funding is available for obligation and other significant program 
information pertaining to FY 2011.

A. Metropolitan Planning Program (49 U.S.C. 5305(d))

    Section 5305(d) authorizes Federal funding to support a 
cooperative, continuous, and comprehensive planning program for 
transportation investment decision-making at the metropolitan area 
level. The specific requirements of metropolitan transportation 
planning are set forth in 49 U.S.C. 5303 and further explained in 23 
CFR Part 450, as incorporated by reference in 49 CFR Part 613, 
Statewide Transportation Planning; Metropolitan Transportation 
Planning; Final Rule. State Departments of Transportation are direct 
recipients of funds allocated by FTA, which are then suballocated to 
Metropolitan Planning Organizations (MPOs) by formula, for planning 
activities that support the economic vitality of the metropolitan area, 
especially by enabling global competitiveness, productivity, and 
efficiency; increasing the safety and security of the transportation 
system for motorized and non-motorized users; increasing the 
accessibility and mobility options available to people and for freight; 
protecting and enhancing the environment, promoting energy 
conservation, and improving quality of life; enhancing the integration 
and connectivity of the transportation system, across and between 
modes, for people and freight; promoting efficient transportation 
system management and operation; and emphasizing the preservation of 
the existing transportation system. This funding must support work 
elements and activities resulting in balanced and comprehensive 
intermodal transportation planning for the movement of people and goods 
in the metropolitan area. Comprehensive transportation planning is not 
limited to transit planning or surface transportation planning, but 
also encompasses the relationships among land use and all 
transportation modes, without regard to the programmatic source of 
Federal assistance. Eligible work elements or activities include, but 
are not limited to studies relating to management, mobility management, 
planning, operations, capital requirements, and economic feasibility; 
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; work elements and related activities 
preliminary to and in preparation for constructing, acquiring, or 
improving the operation of facilities and equipment; development of 
coordinated public transit human services transportation plans. An 
exhaustive list of eligible work activities is provided in FTA Circular 
8100.1C, Program Guidance for Metropolitan Planning and State Planning 
and Research Program Grants, dated September 1, 2008. For more about 
the Metropolitan Planning Program and the FTA Circular 8100.1C, contact 
Victor Austin, Office of Planning and Environment at (202) 366-2996.
1. FY 2011 Funding Availability
    CR 2011 provides $39,790,936 to the Metropolitan Planning Program 
(49 U.S.C. 5305(d) to support metropolitan transportation planning 
activities set forth in 49 U.S.C. 5303. The total amount apportioned 
for the Metropolitan Planning Program to States for MPOs' use in 
urbanized areas (UZAs) is $39,591,981, as shown in the table below, 
after the deduction for oversight.

                      Metropolitan Planning Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation...................................       $39,790,936
Oversight Deduction...................................          -198,955
                                                       -----------------
    Total Apportioned.................................        39,591,981
------------------------------------------------------------------------

    States' apportionments for this program are displayed in Table 2.
2. Basis for Formula Apportionments
    As specified in law, 82.72 percent of the amounts authorized for 
Section 5305 are allocated to the Metropolitan Planning program. FTA 
allocates Metropolitan Planning funds to the States according to a 
statutory formula. Eighty percent of the funds are distributed to the 
States as a basic allocation based on each State's UZA population, 
based on the most recent decennial Census. The remaining 20 percent is 
provided to the States as a supplemental allocation based on an FTA 
administrative formula to address planning needs in the larger, more 
complex UZAs. The amount published for each State is a combined total 
of both the basic and supplemental allocation.
3. Program Requirements
    The State allocates Metropolitan Planning funds to MPOs in UZAs or 
portions thereof to provide funds for projects included in an annual 
work program (the Unified Planning Work Program, or UPWP) that includes 
both highway and transit planning projects. Each State has either 
reaffirmed or developed, in consultation with their MPOs, an allocation 
formula, based on the 2000 Census. The State allocation formula 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 8100.1C, Program Guidance for 
Metropolitan Planning and State Planning and Research Program Grants, 
dated September 1, 2008. For more about the Metropolitan Planning 
Program and the FTA Circular 8100.1C, contact Victor Austin, Office of

[[Page 6960]]

Planning and Environment at (202) 366-2996.
4. Period of Availability
    The funds apportioned under the Metropolitan Planning program to 
each State remain available for obligation by FTA to recipients for 
four fiscal years--which includes the year of apportionment plus three 
additional years. Any apportioned funds that remain unobligated at the 
close of business on September 30, 2014, will revert to FTA for 
reapportionment under the Metropolitan Planning Program.
5. Consolidated Planning Grants
    FTA and FHWA planning funds under both the Metropolitan Planning 
and State Planning and Research Programs can be consolidated into a 
single consolidated planning grant (CPG), 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. Unlike ``flex funds'' for capital programs, 
planning funds from FHWA may be combined with FTA planning funds in a 
single grant. Alternatively, FTA planning funds may be transferred to 
FHWA to be administered as combined grants.
    Under the CPG, States can report metropolitan planning program 
expenditures (to comply with the Single Audit Act) 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. Current guidelines are included in Federal 
Highway Administration Memorandum dated July 12, 2007, ``Information: 
Final Transfers to Other Agencies that Administer Title 23 Programs.''
    For further information on CPGs, contact Nancy Grubb, Office of 
Budget and Policy, FTA, at (202)366-1635.

B. Statewide Planning and Research Program (49 U.S.C. 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 
further explained in 23 CFR Part 450 as referenced in 49 CFR Part 613, 
Statewide Transportation Planning; Metropolitan Transportation 
Planning; Final Rule. This funding must support work elements and 
activities resulting in balanced and comprehensive intermodal 
transportation planning for the movement of people and goods. 
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.
1. FY 2011 Funding Availability
    CR 2011 provides $8,312,227 to the State Planning and Research 
Program (49 U.S.C. 5305). The total amount apportioned for the State 
Planning and Research Program (SPRP) is $8,270,666 as shown in the 
table below, after the deduction for oversight (authorized by 49 U.S.C. 
5327).

                   State Planning and Research Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation...................................        $8,312,227
Oversight Deduction...................................           -41,561
                                                       -----------------
    Total Apportioned.................................         8,270,666
------------------------------------------------------------------------

    State apportionments for this program are displayed in Table 2.
2. Basis for Apportionment Formula
    As specified in law, 17.28 percent of the amounts authorized for 
Section 5305 are 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, and the State's UZA population as 
compared to the UZA population of all States.
3. 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 8100.1C. This funding must support work elements and 
activities resulting in balanced and comprehensive intermodal 
transportation planning for the movement of people and goods. 
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, planning, operations, capital requirements, and economic 
feasibility; evaluation of previously funded projects; peer reviews and 
exchanges of technical data, information, assistance, and related 
activities in support of planning and environmental analysis; work 
elements and related activities preliminary to and in preparation for 
constructing, acquiring, or improving the operation of facilities and 
equipment. An exhaustive list of eligible work activities is provided 
in FTA Circular 8100.1C, Program Guidance for Metropolitan Planning and 
State Planning and Research Program Grants, dated September 1, 2008. 
For more information, contact Victor Austin, Office of Planning and 
Environment at (202) 366-2996.
4. Period of Availability
    The funds apportioned under the State Planning and Research program 
to each State remain available for obligation for four fiscal years, 
which include the year of apportionment plus three additional fiscal 
years. Any apportioned funds that remain unobligated at the close of 
business on September 30, 2014, will revert to FTA for reapportionment 
under the State Planning and Research Program.

C. Urbanized Area Formula Program (49 U.S.C. 5307)

    Section 5307 authorizes Federal capital assistance, and in some 
cases, operating assistance for public transportation in UZAs. A UZA is 
an area with a population of 50,000 or more that has been defined and 
designated as such in the 2000 Census by the U.S. Census Bureau. The

[[Page 6961]]

Urbanized Area Formula Program funds may also be used to support 
planning activities, and may supplement planning projects funded under 
the Metropolitan Planning program. Urbanized Areas Formula Program 
funds used for planning must be shown in the Unified Planning Work 
Program (UPWP) for MPO(s) with responsibility for that area. Funding is 
apportioned directly to each UZA with a population of 200,000 or more, 
and to the State Governors for UZAs with populations between 50,000 and 
200,000. Eligible applicants are limited to entities designated as 
recipients in accordance with 49 U.S.C. 5307(a)(2) and other public 
entities with the consent of the Designated Recipient. Generally, 
operating assistance is not an eligible expense for UZAs with 
populations of 200,000 or more. However, there are several exceptions 
to this restriction. The exceptions are described in section 3(d)(5) 
below.
    For more information about the Urbanized Area Formula Program 
contact Kimberly Sledge, Office of Transit Programs, at (202) 366-2053.
1. FY 2011 Funding Availability
    CR 2011 provides $1,763,230,999 to the Urbanized Area Formula 
Program (49 U.S.C. 5307). The total amount apportioned for the 
Urbanized Area Formula Program is $1,916,008,252 as shown in the table 
below, after the 0.75 percent deduction for oversight (authorized by 49 
U.S.C. 5327) and including funds apportioned to UZAs from the 
appropriation for Section 5340 for Growing States and High Density 
States.

                     Urbanized Area Formula Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation..................................                \a\
                                                          $1,763,230,999
Oversight Deduction..................................        -13,224,232
Section 5340 Funds Added.............................        166,001,486
                                                      ------------------
    Total Apportioned................................      1,916,008,252
------------------------------------------------------------------------
\a\ One percent set-aside for Small Transit Intensive Cities Formula.

    Table 3 displays the amounts apportioned under the Urbanized Area 
Formula Program.
2. Basis for Formula Apportionment
    FTA apportions Urbanized Area Formula Program funds based on 
legislative formulas. Different formulas apply to UZAs with populations 
of 200,000 or more and to UZAs with populations less than 200,000. For 
UZAs with 50,000 to 199,999 in population, the formula is based solely 
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, fixed guideway revenue vehicle 
miles, and fixed guideway route miles, as well as population and 
population density. Table 4 includes detailed information about the 
formulas.
    To calculate a UZA's FY 2011 apportionment, FTA used population and 
population density statistics from the 2000 Census and (when 
applicable) validated mileage and transit service data from transit 
providers' 2009 National Transit Database (NTD) Report Year. Consistent 
with 49 U.S.C. 5336(b), FTA used 60 percent of the directional route 
miles attributable to the Alaska Railroad passenger operations system 
to calculate the apportionment for the Anchorage, Alaska UZA.
    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. The dollar unit 
values for FY 2011 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).
    In FY 2011, one percent of funds appropriated for Section 5307, or 
$17,632,310 based on CR 2011 is set aside for Small Transit Intensive 
Cities (STIC). FTA apportions these funds to UZAs under 200,000 in 
population that operate at a level of service equal to or above the 
industry average level of service for all UZAs with a population of at 
least 200,000, but not more than 999,999, in 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 for these categories for the purpose of FY 2011 
apportionments comes from the NTD reports for the 2009 reporting year. 
This data is used to determine a UZA's eligibility under the STIC 
formula, and is also used in the STIC apportionment calculations. 
Because these performance data change with each year's NTD reports, the 
UZAs eligible for STIC funds and the amount each receives may vary each 
year. In FY 2011, FTA apportioned $55,976 for each performance factor/
category for which the urbanized area exceeded the national average for 
UZAs with a population of at least 200,000 but not more than 999,999.
    In addition to the funds apportioned to UZAs, according to the 
Section 5307 formula factors contained in 49 U.S.C. 5336, FTA also 
apportions funds to urbanized areas under Section 5340 Growing States 
and High Density States formula factors. In FY 2011, FTA apportions 
$67,464,168 to UZAs in growing States and $98,537,318 to UZAs in High 
Density States. Half of the funds appropriated for Section 5340 are 
available to Growing States and half to High Density States. FTA 
apportions Growing States funds by a formula based on State population 
forecasts for 15 years beyond the most recent Census. FTA distributes 
the amounts apportioned for each State between UZAs and nonurbanized 
areas based on the ratio of urbanized/nonurbanized population within 
each State in the 2000 census, and to UZAs proportionately based on UZA 
population in the 2000 census (because population estimates are not 
available at the UZA level). FTA apportions the High Density States 
funds to States with population densities in excess of 370 persons per 
square mile. These funds are apportioned only to UZAs within those 
States. FTA pro-rates each UZA's share of the High Density funds based 
on the population of the UZAs in the State in the 2000 census.
    FTA cannot provide unit values for the Growing States or High 
Density formulas because the allocations to individual States and 
urbanized areas are based on their relative population data, rather 
than on a national per capita basis.
    Based on language in the conference report accompanying SAFETEA-LU, 
FTA is to show a single apportionment amount for Section 5307, STIC and 
Section 5340. FTA shows a single Section 5307 apportionment amount for 
each UZA in Table 3, the Urbanized Area Formula apportionments. The 
amount includes funds apportioned based on the Section 5307 formula 
factors, any STIC funds, and any Growing States and High Density States 
funding allocated to the area. FTA uses separate formulas to calculate 
and generate the respective apportionment amounts for the Section 5307, 
STIC and Section 5340. For technical assistance purposes, the UZAs that 
received STIC funds are listed in Table 6. FTA will make available 
breakouts of the funding allocated to each UZA under these

[[Page 6962]]

formulas, upon request to the regional office.
3. Program Requirements
    Program guidance for the Urbanized Area Formula Program is 
currently found in FTA Circular 9030.1D, Urbanized Area Formula 
Program: Grant Application Instructions, dated May 1, 2010, and 
supplemented by additional information or changes provided in this 
document.
a. Urbanized Area Formula Apportionments to Governors
    For small UZAs, those with a population of less than 200,000, FTA 
apportions funds to the Governor of each State for distribution. A 
single total Governor's apportionment amount for the Urbanized Area 
Formula, STIC, and Growing States and High Density States is shown in 
the Urbanized Area Formula Apportionment Table 3. The table also shows 
the apportionment amount attributable by formula to each small UZA 
within the State for information purposes only unless the small UZA is 
located within the planning boundaries of a Transportation Management 
Area (TMA). The Governor is not bound by the small UZA amounts 
published in this notice and shall determine the sub-allocation of 
funds among the small UZAs. The Governor's sub-allocation should be 
sent to the appropriate FTA Regional Office before grants are awarded. 
In the case of a small UZA that is located within the planning 
boundaries of TMA, the Governor must allocate to that small UZA, as 
discussed in subsection f below.
b. Transit Enhancements
    Section 5307(d)(1)(K) requires that one percent of Section 5307 
funds apportioned to UZAs with populations of 200,000 or more be spent 
on eligible transit enhancement activities or projects. This 
requirement is now treated as a certification, rather than as a set-
aside as was the case under the Transportation Equity Act for the 21st 
Century (TEA-21). Designated recipients in UZAs with populations of 
200,000 or more certify they are spending no less than one percent of 
Section 5307 funds for transit enhancements. In addition, Designated 
Recipients must submit an annual report on how they spent the money 
with the Federal fiscal year's final quarterly progress report in TEAM-
Web. The report should include the following elements: (1) Grantee 
name; (2) UZA name and number; (3) FTA project number; (4) transit 
enhancement category; (5) brief description of enhancement and progress 
towards project implementation; (6) activity line item code from the 
approved budget; and (7) amount awarded by FTA for the enhancement. The 
list of transit enhancement categories and Activity Line Item (ALI) 
codes may be found in the table of Scope and ALI codes on TEAM-Web, 
which can be accessed at https://FTATEAMWeb.fta.dot.gov.
    The term ``transit enhancement'' includes projects or project 
elements that are designed to enhance public transportation service or 
use and are physically or functionally related to transit facilities. 
Eligible enhancements include the following: (1) Historic preservation, 
rehabilitation, and operation of historic mass transportation 
buildings, structures, and facilities (including historic bus and 
railroad facilities); (2) bus shelters; (3) landscaping and other 
scenic beautification, including tables, benches, trash receptacles, 
and street lights; (4) public art; (5) pedestrian access and walkways; 
(6) bicycle access, including bicycle storage facilities and installing 
equipment for transporting bicycles on mass transportation vehicles; 
(7) transit connections to parks within the recipient's transit service 
area; (8) signage; and (9) enhanced access for persons with 
disabilities to mass transportation.
    It is the responsibility of the MPO to determine how the one-
percent for transit enhancements will be allotted to transit projects. 
The one percent minimum requirement does not preclude more than one 
percent from being expended in a UZA for transit enhancements. However, 
activities that are only eligible as enhancements--in particular, 
operating costs for historic facilities--may be assisted only within 
the one-percent funding level.
c. Transit Security Projects
    Consistent with section 5307(d)(1)(J), each recipient of Urbanized 
Area Formula funds must certify that of the amount received each fiscal 
year, it will expend at least one percent on ``public transportation 
security projects'' or must certify that it has decided the expenditure 
is not necessary. For applicants not eligible to receive Section 5307 
funds for operating assistance, only capital security projects may be 
funded with the one percent. SAFETEA-LU, however, expanded the 
definition of eligible ``capital'' projects to include specific crime 
prevention and security activities, including: (1) Projects to refine 
and develop security and emergency response plans; (2) projects aimed 
at detecting chemical and biological agents in public transportation; 
(3) the conduct of emergency response drills with public transportation 
agencies and local first response agencies; and (4) security training 
for public transportation employees, but excluding all expenses related 
to operations, other than such expenses incurred in conducting 
emergency drills and training. Activity Line Item (ALI) codes have been 
established for these four new capital activities and will be used to 
track the use of this provision. The one percent may also include 
security expenditures included within other capital activities, and, 
where the recipient is eligible, operating assistance.
    FTA is often called upon to report to Congress and others on how 
grantees are expending Federal funds for security enhancements. To 
facilitate tracking of grantees' security expenditures, which are not 
always evident when included within larger capital or operating ALI 
items in the grant budget, we have established a non-additive (``non-
add'') scope code for security expenditures--Scope 991. The non-add 
scope is to be used to aggregate activities included in other scopes, 
and it does not increase the budget total. Section 5307 grantees should 
include this non-add scope in the project budget for each new Section 
5307 grant application or amendment. Under this non-add scope, the 
applicant should repeat the full amount of any of the line items in the 
budget that are exclusively for security and include the portion of any 
other line item in the project budget that is attributable to security, 
using under the non-add scope the same line item used in the project 
budget. The grantee can modify the ALI description or use the extended 
text feature, if necessary, to describe the security expenditures.
    The grantee must provide information regarding its use of the one 
percent for security as part of each Section 5307 grant application, 
using a special screen in TEAM-Web. If the grantee has certified that 
it is not necessary to expend one percent for security, the Section 
5307 grant application must include information to support that 
certification. FTA will not process an application for a Section 5307 
grant until the security information is complete.
d. FY 2011 Operating Assistance
    UZAs under 200,000 in population may use Section 5307 funds for 
operating assistance. In addition, Section 5307, as amended, allows 
some UZAs with a population of 200,000 or more to use Urbanized Area 
Formula funds for operating assistance under certain conditions. CR, 
2011 extends

[[Page 6963]]

that eligibility until March 4, 2011. The specific provisions allowing 
the limited use of operating assistance in large UZAs follow:
    (1) Section 5307(b)(1)(E) provides for grants for the operating 
costs of equipment and facilities for use in public transportation in 
the Evansville, IN-KY urbanized area, for a portion or portions of the 
UZA if ``the portion'' of the UZA includes only one State, the 
population of ``the portion'' is less than 30,000, and the grants will 
not be used to provide public transportation outside of ``the portion'' 
of the UZA.
    (2) Section 5307(b)(1)(F) provides operating costs of equipment and 
facilities for use in public transportation for local governmental 
authorities in areas which adopted transit operating and financing 
plans that became a part of the Houston, Texas, UZA as a result of the 
2000 decennial census of population, but lie outside the service area 
of the principal public transportation agency that serves the Houston 
UZA.
    (3) Section 5336(a)(2) prescribes the formula to be used to 
apportion Section 5307 funds to UZAs with population of 200,000 or 
more. SAFETEA-LU amended 5336(a)(2) to add language that stated, `` * * 
* except that the amount apportioned to the Anchorage urbanized area 
under subsection (b) shall be available to the Alaska Railroad for any 
costs related to its passenger operations.'' This language has the 
effect of directing that funds apportioned to the Anchorage urbanized 
area, under the fixed guideway tiers of the Section 5307 apportionment 
formula, be made available to the Alaska Railroad, and that these funds 
may be used for any capital or operating costs related to its passenger 
operations.
    (4) Section 3027(c)(3) of TEA-21, as amended (49 U.S.C. 5307 note), 
provides an exception to the restriction on the use of operating 
assistance in a UZA with a population of 200,000 or more, by allowing 
transit providers/grantees that provide service exclusively to elderly 
persons and persons with disabilities and that operate 20 or fewer 
vehicles to use Section 5307 funds apportioned to the UZA for operating 
assistance. The total amount of funding made available for this purpose 
under Section 3027(c)(3) is $1.4 million. Transit providers/grantees 
eligible under this provision have already been identified and 
notified.
    (5) Consistent with the SAFETEA-LU Technical Corrections Act, 2008, 
in FY 2009, section 5307(b)(2) allowed: (1) UZAs that grew in 
population from under 200,000 to over 200,000 or that were under 
200,000 but merged into another urbanized area and the population is 
over 200,000, as a result of the 2000 Census to use Section 5307 funds 
for operating assistance in an amount up to 50 percent of the 
grandfathered amount for FY 2002 funds; (2) Areas that were 
nonurbanized under the 1990 Census and became urbanized, as a result of 
the 2000 Census, to use no more than 50 percent of the amount 
apportioned to the area for FY 2003 for operating assistance; and (3) 
nonurbanized areas under the 1990 Census that merged into urbanized 
areas over 200,000, as a result of the 2000 Census, to use 50 percent 
of the amount the area received in FY 2002 Section 5311 funding for 
operating assistance. CR 2011 continued these special rules for the 
period October 1, 2009 through March 4, 2011.
e. Sources of Local Match
    Consistent with Section 5307(e), the Federal share of an urbanized 
area formula grant is 80 percent of net project cost for a capital 
project and 50 percent of net project cost for operating assistance 
unless the recipient indicates a greater local share. The remainder of 
the net project cost (i.e., 20 percent and 50 percent, respectively) 
shall be provided from the following sources:
    (1) From non-Government sources other than revenues from providing 
public transportation services;
    (2) From revenues derived from the sale of advertising and 
concessions;
    (3) From an undistributed cash surplus, a replacement or 
depreciation cash fund or reserve, or new capital;
    (4) From amounts received under a service agreement with a State or 
local social service agency or private social service organization; and
    (5) Proceeds from the issuance of revenue bonds.
    (6) Funds from Section 403(a)(5)(C)(vii) of the Social Security Act 
(42 U.S.C. 603(a)(5)(C)(vii)) can be used to match Urbanized Area 
Formula funds.
f. Designated Transportation Management Areas (TMA)
    Guidance for setting the boundaries of TMAs is in the joint 
transportation planning regulations codified at 23 CFR Part 450 as 
referenced in 49 CFR Part 613. In some cases, the TMA planning 
boundaries established by the MPO for the designated TMA includes one 
or more small UZAs. In addition, one small UZA (Santa Barbara, CA) has 
been designated as a TMA. In either of these situations, the Governor 
cannot allocate ``Governor's Apportionment'' funds attributed to the 
small UZAs to other areas; that is, the Governor only has discretion to 
allocate Governor's Apportionment funds attributable to areas that are 
outside of designated TMA planning boundaries.
    The list of small UZAs included within the planning boundaries of 
designated TMAs is provided in the table below:

------------------------------------------------------------------------
                                    Small urbanized area included in TMA
          Designated TMA                      planning boundary
------------------------------------------------------------------------
Albany, NY........................  Saratoga Springs, NY.
Houston, TX.......................  Galveston, TX; Lake Jackson-
                                     Angleton, TX; Texas City, TX; The
                                     Woodlands, TX.
Jacksonville, FL..................  St. Augustine, FL.
Orlando, FL.......................  Kissimmee, FL.
Palm Bay-Melbourne, FL............  Titusville, FL.
Philadelphia, PA-NJ-DE-MD.........  Pottstown, PA.
Pittsburg, PA.....................  Monessen, PA; Weirton, WV-
                                     Steubenville, OH-PA (PA portion);
                                     Uniontown-Connellsville, PA.
Seattle, WA.......................  Bremerton, WA.
Washington, DC-VA-MD..............  Frederick, MD.
------------------------------------------------------------------------

    The MPO must notify the Associate Administrator for Program 
Management, Federal Transit Administration, 1200 New Jersey Avenue, 
SE., Washington, DC 20590, in writing, no later than July 1 of each 
year of the identity of any small UZA within the planning boundaries of 
a TMA.
g. Urbanized Area Formula Funds Used for Highway Purposes
    Funds apportioned to a TMA are eligible for transfer to FHWA for 
highway projects, if the Designated Recipient has allocated a portion 
of the

[[Page 6964]]

area's Section 5307 funding for such use. However, before funds can be 
transferred, the following conditions must be met: (1) Approval by the 
MPO in writing, after appropriate notice and opportunity for comment 
and appeal are provided to affected transit providers; (2) a 
determination of the Secretary that funds are not needed for 
investments required by the Americans with Disabilities Act of 1990 
(ADA); and (3) the MPO determines that local transit needs are being 
addressed.
    The MPO should notify the appropriate FTA Regional Administrator of 
its intent to use FTA funds for highway purposes. Urbanized Area 
Formula funds that are designated by the MPO for highway projects and 
meet the conditions cited in the previous paragraph will be transferred 
to and administered by FHWA.
4. Period of Availability
    The Urbanized Area Formula Program funds apportioned in this notice 
are available for obligation during the year of appropriation plus 
three additional years. Accordingly, these funds must be obligated in 
grants by September 30, 2014. Any apportioned funds that remain 
unobligated at the close of business on September 30, 2014, will revert 
to FTA for reapportionment under the Urbanized Area Formula Program.
5. Other Program or Apportionment Related Information and Highlights
    In each UZA with a population of 200,000 or more, the Governor, in 
consultation with responsible local officials and publicly owned 
operators of public transportation, has designated one or more entities 
to be the Designated Recipient for Section 5307 funds apportioned to 
the UZA. The same entity(s) may or may not be the Designated Recipient 
for the Job Access and Reverse Commute (JARC) and New Freedom program 
funds apportioned to the UZA. In UZAs under 200,000 in population, the 
State is the Designated Recipient for Section 5307 as well as JARC and 
New Freedom programs. The Designated Recipient for Section 5307 may 
authorize other entities to apply directly to FTA for Section 5307 
grants pursuant to a supplemental agreement. While the requirement that 
projects selected for funding be included in a locally developed 
coordinated public transit/human service transportation plan is not 
included in Section 5307 as it is in Sections 5310, 5316 (JARC) and 
5317 (New Freedom), FTA expects that in their role as public transit 
providers, recipients of Section 5307 funds will be participants in the 
local planning process for these programs.

D. Capital Investment Program (49 U.S.C. 5309)--Fixed Guideway 
Modernization

    This program provides capital assistance for the maintenance, 
recapitalization, and modernization of existing fixed guideway systems. 
Funds are apportioned by a statutory formula to UZAs with fixed 
guideway systems that have been in operation for at least seven years. 
A ``fixed guideway'' refers to any transit service that uses exclusive 
or controlled rights-of-way or rails, entirely or in part. The term 
includes heavy rail, commuter rail, light rail, monorail, trolleybus, 
aerial tramway, inclined plane, cable car, automated guideway transit, 
ferryboats, that portion of motor bus service operated on exclusive or 
controlled rights-of-way, and high-occupancy-vehicle (HOV) lanes. 
Eligible applicants are the public transit authorities in those 
urbanized areas to which the funds are apportioned. For more 
information about Fixed Guideway Modernization contact Kimberly Sledge, 
Office of Transit Programs, at (202) 366-2053.
1. FY 2011 Funding Availability
    CR 2011 provides $706,290,063 to the Fixed Guideway Modernization 
Program. The total amount apportioned for the Fixed Guideway 
Modernization Program is $699,227,162, after the deduction for 
oversight, as shown in the table below.

                  Fixed Guideway Modernization Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation.....................................    $706,290,063
Oversight Deduction.....................................      -7,062,901
                                                         ---------------
    Total Apportioned...................................     699,227,162
------------------------------------------------------------------------

    The FY 2011 Fixed Guideway Modernization Program apportionments to 
eligible areas are displayed in Table 8.
2. Basis for Formula Apportionment
    The formula for allocating the Fixed Guideway Modernization funds 
includes seven tiers. The apportionment of funding under the first four 
tiers is based on amounts specified in law and NTD data used to 
apportion funds in FY 1997. Funding under the last three tiers is 
apportioned based on the latest available data on route miles and 
revenue vehicle miles on segments at least seven years old, as reported 
to the NTD. Section 5337(f) of title 49, U.S.C. provides for the 
inclusion of Morgantown, West Virginia (population 55,997) as an 
eligible UZA for purposes of apportioning Fixed Guideway Modernization 
funds. Also, consistent to 49 U.S.C. 5336(b), FTA uses 60 percent of 
the directional route miles attributable to the Alaska Railroad 
passenger operations system to calculate the apportionment for the 
Anchorage, Alaska UZA under the Section 5309 Fixed Guideway 
Modernization formula.
    FY 2011 Formula apportionments are based on data grantees provided 
to the NTD for the 2009 report year. Table 9 provides additional 
information and details on the formula. Dollar unit values for the 
formula factors used in the Fixed Guideway Modernization Program are 
displayed in Table 5. To replicate an area's apportionment, multiply 
the dollar unit value by the appropriate formula factor, i.e., route 
miles and revenue vehicle miles.
3. Program Requirements
    Fixed Guideway Modernization funds must be used for capital 
projects to maintain, modernize, or improve fixed guideway systems. 
Eligible UZAs (those with a population of 200,000 or more) with fixed 
guideway systems that are at least seven years old are entitled to 
receive Fixed Guideway Modernization funds. A threshold level of more 
than one mile of fixed guideway is required in order to receive Fixed 
Guideway Modernization funds. Therefore, UZAs reporting one mile or 
less of fixed guideway mileage to the NTD are not included. However, 
funds apportioned to an urbanized area may be used on any fixed 
guideway segment in the UZA. Program guidance for Fixed Guideway 
Modernization is presently found in FTA Circular C9300.1B, Capital 
Facilities and Formula Grant Programs, dated November 1, 2008.
4. Period of Availability
    The funds apportioned in this notice under the Fixed Guideway 
Modernization Program remain available to recipients to be obligated in 
a grant during the year of appropriation plus three additional years. 
FY 2011 Fixed Guideway Modernization funds that remain unobligated at 
the close of business on September 30, 2014, will revert to FTA for 
reapportionment under the Fixed Guideway Modernization Program.

E. Special Needs of Elderly Individuals and Individuals With 
Disabilities Program (49 U.S.C. 5310)

    This program provides formula funding to States for capital 
projects to assist private nonprofit groups in meeting the 
transportation needs of the

[[Page 6965]]

elderly and individuals with disabilities when the public 
transportation service provided in the area is unavailable, 
insufficient, or inappropriate to meet these needs. A State agency 
designated by the Governor administers the Section 5310 program. The 
State's responsibilities include: notifying eligible local entities of 
funding availability; developing project selection criteria; 
determining applicant eligibility; selecting projects for funding; and 
ensuring that all subrecipients comply with Federal requirements. 
Eligible nonprofit organizations or public bodies must apply directly 
to the designated State agency for assistance under this program. For 
more information about the Elderly and Individuals with Disabilities 
Program contact Gil Williams, Office of Transit Programs, at (202) 366-
2053.
1. FY 2011 Funding Availability
    CR 2011 provides $56,579,492 to the Elderly and Individuals with 
Disabilities Program (49 U.S.C. 5310). After deduction of 0.5 percent 
for oversight, and the addition of reapportioned prior year funds, 
$56,296,595 remains available for allocation to the States.

            Elderly and Individuals With Disabilities Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation...................................       $56,579,492
Oversight Deduction...................................          -282,897
                                                       -----------------
    Total Apportioned.................................        56,296,595
------------------------------------------------------------------------

    The FY 2011 Elderly and Individuals with Disabilities Program 
apportionments to the States are displayed in Table 12.
2. Basis for Apportionment
    FTA allocates funds to States by an administrative formula 
consisting of a $125,000 floor for each State ($50,000 for smaller 
territories) with the balance allocated based on 2000 Census population 
data for persons aged 65 and over and for persons with disabilities.
3. Requirements
    Funds are available to support the capital costs of transportation 
services for older adults and people with disabilities. Uniquely under 
this program, eligible capital costs include the acquisition of 
service. Seven specified States (Alaska, Louisiana, Minnesota, North 
Carolina, Oregon, South Carolina, and Wisconsin) may use up to 33 
percent of their apportionment for operating assistance under the terms 
of the SAFETEA-LU Section 3012(b) pilot program.
    Capital assistance is provided on an 80 percent Federal, 20 percent 
local matching basis except that Section 5310(c) allows States eligible 
for a higher match under the sliding scale for FHWA programs to use 
that match ratio for Section 5310 capital projects. Operating 
assistance is 50 percent Federal, 50 percent local. Funds provided 
under other Federal programs (other than those of the U.S. DOT, with 
the exception of the Federal Lands Highway Program established by 23 
U.S.C. 204) may be used as match. Revenue from service contracts may 
also be used as local match.
    While the assistance is intended primarily for private non-profit 
organizations, public bodies approved by the State to coordinate 
services for the elderly and individuals with disabilities, or any 
public body that certifies to the State that there are no non-profit 
organizations in the area that are readily available to carry out the 
service, may receive these funds.
    States may use up to ten percent of their annual apportionment to 
administer, plan, and provide technical assistance for a funded 
project. No local share is required for these program administrative 
funds. Funds used under this program for planning must be shown in the 
United Planning Work Program (UPWP) for MPO(s) with responsibility for 
that area.
    The State recipient must certify that: the projects selected were 
derived from a locally developed, coordinated public transit-human 
services transportation plan; and, the plan was developed through a 
process that included representatives of public, private, and nonprofit 
transportation and human services providers and participation by the 
public. The locally developed, coordinated public transit-human 
services transportation planning process must be coordinated and 
consistent with the metropolitan and statewide planning processes and 
funding for the program must be included in the metropolitan and 
statewide Transportation Improvement Program (TIP and STIP) at a level 
of specificity or aggregation consistent with State and local policies 
and procedures. Finally, the State must certify that allocations to 
subrecipients are made on a fair and equitable basis.
    The coordinated planning requirement is a requirement in two 
additional programs. Projects selected for funding under the Job Access 
Reverse Commute program and the New Freedom program also are required 
to be derived from a locally developed coordinated public transit/human 
service transportation plan. FTA anticipates that most areas will 
develop one consolidated plan for all the programs, which may include 
separate elements and other human service transportation programs.
    The Section 5310 program is subject to the requirements of Section 
5307 formula program to the extent the Secretary determines 
appropriate. Program guidance is found in FTA Circular 9070.1F, dated 
May 1, 2007. The circular is posted on the FTA Web site at https://www.fta.dot.gov.
4. Period of Availability
    FTA has administratively established a three-year period of 
availability for Section 5310 funds. Funds allocated to States under 
the Elderly and Individuals with Disabilities Program in this notice 
must be obligated by September 30, 2013. Any funding that remains 
unobligated as of that date will revert to FTA for reapportionment 
among the States under the Elderly and Individuals with Disabilities 
Program.
5. Other Program or Apportionment Related Information and Highlights
    States may transfer Section 5310 funds to Section 5307 or Section 
5311, but only for projects selected under the Section 5310 program, 
not as a general supplement for those programs. FTA anticipates that 
the States would use this flexibility primarily for projects to be 
implemented by a Section 5307 recipient in a small urbanized area, or 
for Federally recognized Indian Tribes that elect to receive funds as a 
direct recipient from FTA under Section 5311. A State that transfers 
Section 5310 funds to Section 5307 must certify that each project for 
which the funds are transferred has been coordinated with private 
nonprofit providers of services. FTA has established a scope code (641) 
in the TEAM grant system to track Section 5310 projects included within 
a Section 5307 or 5311 grant. Transfer to Section 5307 or 5311 is 
permitted, but not required. FTA expects primarily to award stand-alone 
Section 5310 grants to the State for any and all subrecipients.
6. Performance Measure
    To support the evaluation of the program, FTA has established 
performance measures for the Section 5310 program, which should be 
submitted with the State's annual program of projects status report on 
October 31, 2011. States should submit performance measures on behalf 
of their subrecipients. Information on the Section 5310 performance 
measures can be found at https://www.fta.dot.gov/laws/circulars/leg_reg_6622.html.

[[Page 6966]]

F. Nonurbanized Area Formula Program (49 U.S.C. 5311)

    This 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, State administration, and project administration expenses. 
Eligible subrecipients include State and local governmental authority, 
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 selected to 
be funded with funds set aside for a separate Tribal Transit Program.
    For more information about the Nonurbanized Area Formula Program 
contact Lorna Wilson, Office of Transit Programs, at (202) 366-2053.
1. FY 2011 Funding Availability
    CR 2011 provides $197,074,635 to the Nonurbanized Area Formula 
Program (49 U.S.C. 5311). The total amount apportioned for the 
Nonurbanized Area Formula Program is $216,863,673 after take-downs of 
two percent for the Rural Transportation Assistance Program (RTAP), 0.5 
percent for oversight, and $6,357,246 for the Tribal Transit Program, 
and the addition of Section 5340 funding for Growing States, as shown 
in the table below:

                    Nonurbanized Area Formula Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total appropriation.....................................    $197,074,635
------------------------------------------------------------------------
Oversight deduction.....................................        -985,373
Tribal takedown.........................................      -6,357,246
RTAP takedown...........................................      -3,941,493
Section 5340 funds added................................      31,073,150
                                                         ---------------
    Total apportioned...................................     216,863,673
------------------------------------------------------------------------

    The FY 2011 Nonurbanized Area Formula apportionments to the States 
are displayed in Table 13.
2. Basis for Apportionments
    FTA apportions the funds after take-down for oversight, the Tribal 
Transit Program, and RTAP according to a statutory formula. FTA 
apportions the first twenty percent to the States based on land area in 
nonurbanized areas with no state receiving more than 5 percent of the 
amount apportioned. FTA apportions the remaining eighty percent based 
on nonurbanized population of each State relative to the national 
nonurbanized population. FTA does not apportion Section 5311 funds to 
the Virgin Islands, which by a statutory exception are treated as an 
urbanized area for purposes of the Section 5307 formula program.
    FTA is allocating $31,073,150 to the States and territories for 
nonurbanized areas from the Growing States portion of Section 5340. FTA 
apportions Growing States funds by a formula based on State population 
forecasts for 15 years beyond the most recent census. FTA distributes 
the amounts apportioned for each State between UZAs and nonurbanized 
areas based on the ratio of urbanized/nonurbanized population within 
each State in the 2000 census.
3. Program Requirements
    The Nonurbanized Area Formula Program provides capital, operating 
and administrative assistance for public transit service in 
nonurbanized areas under 50,000 in population.
    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.
    Each State must spend no less than 15 percent of its FY 2011 
Nonurbanized Area Formula apportionment for the development and support 
of intercity bus transportation, unless the State certifies, after 
consultation with affected intercity bus service providers, that the 
intercity bus service needs of the State are being adequately met. FTA 
also encourages consultation with other stakeholders, such as 
communities affected by loss of intercity service.
    Each State prepares an annual program of projects, which must 
provide for fair and equitable distribution of funds within the States, 
including Indian reservations, and must provide for maximum feasible 
coordination with transportation services assisted by other Federal 
sources.
    To retain eligibility for funding, recipients of Section 5311 
funding must report data annually to the NTD. Additional information on 
NTD reporting is contained in paragraph 5 of this section, below.
    Program guidance for the Nonurbanized Area Formula Program is found 
in FTA Circular 9040.1F, ``Nonurbanized Area Formula Program Guidance 
and Grant Application Instructions,'' dated April 1, 2007. The circular 
is posted at https://www.fta.dot.gov.
4. Period of Availability
    It was administratively determined that funds apportioned to 
nonurbanized areas under the Nonurbanized Area Formula Program during 
FY 2011 will remain available for obligation for two additional fiscal 
years after the year of apportionment. Any funds that remain 
unobligated at the close of business on September 30, 2013, will revert 
to FTA for reapportionment among the States under the Nonurbanized Area 
Formula Program.
5. Other Program or Apportionment Related Information and Highlights
    a. NTD Reporting. By law, FTA requires that each recipient under 
the Section 5311