FTA Fiscal Year 2018 Apportionments, Allocations, Program Information and Guidance, 33018-33043 [2018-14989]
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Federal Register / Vol. 83, No. 136 / Monday, July 16, 2018 / Notices
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2018 Apportionments,
Allocations, Program Information and
Guidance
Federal Transit Administration
(FTA), DOT.
ACTION: Notice.
AGENCY:
This notice provides priorities
for programs in fiscal year (FY) 2018,
announces the full-year apportionments
and allocations for grant programs,
provides contract authority, and
describes plans for several competitive
programs.
FOR FURTHER INFORMATION CONTACT: For
general information about this notice
contact Kimberly Sledge, Director,
Office of Transit Programs, at (202) 366–
2053. Please contact the appropriate
FTA Regional Office for any specific
requests for information or technical
assistance. FTA Regional Office contact
information is available on FTA’s
website: www.transit.dot.gov. An FTA
headquarters contact for each major
program area is included in the
discussion of that program in the text of
this notice. FTA recommends
stakeholders subscribe on FTA’s website
www.transit.dot.gov to receive email
notifications when new information is
available.
SUMMARY:
SUPPLEMENTARY INFORMATION:
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Table of Contents
I. Overview
II. FY 2018 Funding for FTA Programs
A. Funding Based on the Transportation,
Housing and Urban Development, and
Related Agencies Appropriations Act,
2018 (Pub L. 115–141)
B. Oversight Takedown
C. FY 2018 Formula Apportionments: Data
and Methodology
III. FY 2018 Program Highlights
A. Streamlining Activities
1. Risk-Based Federal Financial and
Milestone Progress Reporting and
Review
2. Real Estate Appraisal and Review
Appraisal Submissions
3. Updates to Triennial Review and State
Management Reviews
4. Online Dialogue on Definition of a
‘‘Federal Project’’
5. Emergency Relief Docket
6. Cancellation of Circulars
B. Policy Priorities
1. Safety
2. Positive Train Control (PTC)
3. Automation
4. Value Capture
5. Transit Asset Management Plans
6. Bus Testing (49 U.S.C. 5318)
C. FY 2018 Competitive Program Funding
IV. FY 2018 Program-Specific Information
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A. Metropolitan Planning Program (49
U.S.C. 5303 and 5305(d))
B. State Planning and Research Program
(49 U.S.C. 5304 and 5305(e))
C. Urbanized Area Formula Program (49
U.S.C. 5307)
D. Fixed Guideway Capital Investment
Grants Program (49 U.S.C. 5309)
E. Formula Grants for the Enhanced
Mobility of Seniors and Individuals With
Disabilities Program (49 U.S.C. 5310)
F. Formula Grants for Rural Areas Program
(49 U.S.C. 5311)
G. Rural Transportation Assistance
Program (49 U.S.C. 5311(b)(3))
H. Appalachian Development Public
Transportation Assistance Program (49
U.S.C. 5311(c)(2))
I. Formula Grants for Public Transportation
on Indian Reservations Program (49
U.S.C. 5311(j))
J. Public Transportation Innovation (49
U.S.C. 5312)
K. Technical Assistance and Workforce
Development (49 U.S.C. 5314)
L. Public Transportation Emergency Relief
Program (49 U.S.C. 5324)
M. State Safety Oversight Formula Program
(49 U.S.C. 5329)
N. State of Good Repair Grants Program (49
U.S.C. 5337)
O. Grants for Buses and Bus Facilities
Program (49 U.S.C. 5339)
P. Apportionments Based on Growing
States and High-Density States Formula
Factors (49 U.S.C. 5340)
Q. Washington Metropolitan Area Transit
Authority Grants
V. FTA Policy and Procedures for FY 2018
Grants
A. Automatic Pre-Award Authority to
Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FY 2018 Annual List of Certifications
and Assurances
D. Civil Rights Requirements
E. Consolidated Planning Grants
F. Grant Application Procedures
G. Grant Management
I. Overview
This document contains important
information about FTA programs,
statutes (49 U.S.C. 5301, et seq.) and
policy priorities. In addition, this
document provides notice to
stakeholders that FTA is apportioning
the full Fiscal Year (FY) 2018
authorized contract authority through
September 30, 2018 for FTA formula
and competitive programs pursuant to
Division L-Transportation, Housing and
Urban Development, and Related
Agencies Appropriations Act (Pub. L.
115–141).
For each FTA program, FTA has
provided information on the FY 2018
authorized funding levels, the basis for
apportionment or allocation of funds,
requirements specific to the program,
the period of availability of funds, and
other program information. A separate
section provides information on pre-
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award authority as well as other
requirements and guidance applicable
to FTA programs and grant
administration. Finally, the notice
includes a reference to tables on FTA’s
website that show new contract
authority apportioned and made
available through September 30, 2018.
Information in this document
includes references to the existing FTA
program guidance and circulars. Some
information in FTA’s guidance
documents and circulars may have been
superseded by new provisions in the
Fixing America’s Surface Transportation
(FAST) Act, but these guidance
documents and circulars remain a
resource for program management in
most areas. FTA intends to revise the
guidance and circulars, as appropriate.
II. FY 2018 Funding for FTA Programs
A. Funding Based on Division
L-Transportation, Housing and Urban
Development, and Related Agencies
Appropriations Act, 2018
Division L-Transportation, Housing
and Urban Development, and Related
Agencies Appropriations Act, 2018
(Pub. L. 115–141) (‘‘Consolidated
Appropriations Act, 2018’’) makes
funding available through September
30, 2018. Current funding availability
for each program is identified in section
IV of this notice and in Table 1 located
on FTA’s FY 2018 Apportionment web
page: www.transit.dot.gov/funding/
apportionments.
B. Oversight Takedown
49 U.S.C. 5338(f) (all subsequent
statutory references are to title 49,
United States Code) provides for the
following oversight takedowns of FTA
programs: 0.5 percent of Metropolitan
and Statewide Planning funds, 0.75
percent of Urbanized Area Formula
Grant funds, 1 percent of Fixed
Guideway Capital Investment Grants
funds, 0.5 percent of Formula Grants for
the Enhanced Mobility of Seniors and
Individuals with Disabilities funds, 0.5
percent of Formula Grants for Rural
Areas funds, 1 percent of State of Good
Repair Formula Grants funds, 0.75
percent for Grants for Buses and Bus
Facilities funds, and 1 percent of Capital
and Preventive Maintenance Projects for
grants to the Washington Metropolitan
Area Transit Authority. The funds are
used to provide necessary oversight
activities, such as oversight of the
construction of any major capital project
receiving Federal transit assistance; to
conduct State Safety Oversight, drug
and alcohol, civil rights, procurement
systems, management, planning
certification, and financial management
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reviews and audits; evaluations and
analyses of grantee-specific problems
and issues; for salaries and benefits of
FTA employees performing certain
oversight activities; and to generally
provide technical assistance and correct
deficiencies identified in compliance
reviews and audits.
C. FY 2018 Formula Apportionments:
Data and Methodology
1. Apportionment Tables
FTA publishes apportionment tables
on its website for each program that
reflect the funding level in the full-year
appropriations act less oversight takedowns, as applicable. Tables displaying
the funds available to eligible states,
tribes, and urbanized areas have been
posted to https://www.transit.dot.gov/
funding/apportionments. This website
contains a page listing the
apportionment and allocation tables for
FY 2018, links to prior year formula
apportionment notices and tables, and
the National Transit Database (NTD) and
Census data used to calculate the FY
2018 apportionments.
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2. National Transit Database (NTD) and
Census Data Used in the FY 2018
Apportionments
Consistent with past practices, the
calculations for Sections 5307, 5311,
including 5311(j) (Tribal Transit), 5329,
5337, and 5339 rely on the most-recent
transit service data reported to the NTD,
which for FY 2018 is the 2016 report
year. In some cases, where an
apportionment is based on the age of the
system, the age is calculated as of
September 30, 2017, the last day before
FY 2018 began. Recipients or
beneficiaries of either Section 5307 or
5311 funds are required to report to the
NTD. Additionally, several transit
operators report to the FTA’s NTD on a
voluntary basis. For the 2016 report
year, the NTD includes data from 953
reporters in urbanized areas, 925 of
which reported operating transit service.
The NTD also includes data from 1,478
providers of rural transit service, which
includes 126 Indian Tribes providing
transit service.
The 2010 Census data is used to
determine population and population
density for Sections 5303, 5305, 5307
and 5339 as well as rural population
and rural land area for the 5311
program. The formulas for Sections
5307, 5311, and 5311(j) include tiers
where funding is allocated based on the
number of persons living in poverty,
and the Section 5310 formula program
allocates funding based on the
population of older adults and people
with disabilities. The Census Bureau no
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longer publishes decennial census data
on persons living in poverty and
persons with disabilities. As a result,
since FY 2013, FTA has used the data
for these populations available via the
Census’ American Community Survey
(ACS). The NTD and Census data that
FTA used to calculate the
apportionments associated with this
notice can be found on FTA’s website:
www.transit.dot.gov/funding/
apportionments.
The FY 2018 apportionments use data
on low-income persons, persons with
disabilities, and older adults from the
2011–2015 ACS five-year data set,
which was published in December 2016.
This data represents the most recent
five-year ACS estimates that are
available as of October 1 for the year
being apportioned. As was the case in
prior years, data on low-income persons
comes from ACS Table B17024, ‘‘Age by
Ratio of Income to Poverty in the Last
Twelve Months,’’ and data on people
with disabilities under 65 years old
comes from ACS Table S1810,
‘‘Disability Characteristics.’’ Data on
older adults (over 65 years old) comes
from ACS Table B01001, ‘‘Sex by Age.’’
III. FY 2018 Program Highlights and
Changes
A. Streamlining Activities
This past year FTA has reviewed its
existing regulations and guidance and
other agency actions to evaluate their
continued necessity and determine
whether they are crafted effectively to
solve current problems. FTA’s review
was based on the principle that there
should be no more requirements than
necessary, and those requirements
should be straightforward, clear, and
designed to minimize burdens. Once
issued, these requirements should be
reviewed periodically and revised to
ensure that they continue to meet the
needs for which they originally were
designed, remain cost-effective, and
remain cost-justified. As a part of this
review, FTA also considered input from
external stakeholders that was provided
in response to the Department’s Notice
of Review of Policy, Guidance and
Regulation (82 FR 26734 (June 8, 2017))
and Notification of Regulatory Review
(82 FR 45750 (Oct. 2, 2017)). Because of
these reviews and external input, FTA
has implemented the following:
1. Risk-Based Federal Financial and
Milestone Progress Reporting and
Review
Beginning on October 1, 2017, FTA
implemented a risk-based policy on
how frequently recipients must submit
milestone progress reports (MPRs) and
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Federal Financial Reports (FFRs) for
awarded grants. Under the new policy,
all grants of $2 million or less that are
awarded to recipients located in
urbanized areas over 200,000 in
population should be reported annually
rather than quarterly unless a specific
risk is identified for that grant. FTA has
identified the awards that meet this
criterion and has switched them from a
quarterly to an annual reporting cycle.
As FTA reviews new draft applications
in FY 2018, we will assign a quarterly
or an annual reporting cycle for the
award based on this criterion. This
policy change will reduce the grant
reporting burden by approximately
13,000 reports for FTA recipients while
allowing FTA to prioritize reviewing
MPRs and FFRs for higher risk grants.
2. Real Estate Appraisal and Review
Appraisal Submissions
All real property transactions must be
undertaken in accordance with the
Uniform Relocation Assistance and Real
Property Acquisition Policies Act of
1970, as amended (Uniform Act or
URA), 42 U.S.C. 4601 et seq., and 49
CFR part 24, the implementing
regulation. This includes requirements
for appraisals and review appraisals as
described in FTA 5010.1E Award
Management Requirements.
Additionally, Circular 5010.1E requires
recipients to provide appraisals and
review appraisals to FTA for review and
concurrence for acquisitions and
dispositions or property condemnation
of more than $500,000, or in-kind
contributions and land exchanges of any
value before federal assistance is
expended, or when the value is used as
non-federal share. To reduce the burden
on FTA recipients, FTA has increased
the threshold to $1,000,000 for which
appraisals and review appraisals for
acquisition, disposition or property
condemnations must be submitted to
FTA for review. In-kind contributions
and land exchanges of any value must
still be submitted to FTA for review and
concurrence. This change will reduce
required submissions to FTA by 20
percent, saving about 50 total weeks of
review time. FTA will make page-edits
to Circular 5010.1E circular subsequent
to this notice to document this change.
FTA notes that all appraisals regardless
of value must be compliant with 49 CFR
24.103. FTA may choose to review any
appraisal or review appraisal used in an
FTA assisted award when
circumstances warrant or as part of a
periodic review. The recipient must
maintain documentation that supports
valuation decisions in the parcel files.
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3. Updates to Triennial Review and
State Management Reviews
For FY 2018, FTA has made updates
and process changes to its Triennial and
State Management Reviews. These
changes are based on feedback received
from our recipients, review contractors,
and colleagues and are also part of
FTA’s ongoing commitment to improve
consistency and transparency in its
oversight reviews. We anticipate that
these changes will result in a more
efficient review process that provides
our recipients with a clearer
understanding of what is expected
during a Triennial or State Management
Review, how FTA reviewers determine
compliance, and why a finding of
deficiency is made.
The Grantee Information Request
(GIR) package is now called the
Recipient Information Request (RIR)
package. The FTA has redesigned the
RIR to significantly reduce the level of
effort required for completion by the
recipient. The updated RIR package
consists of:
Recipient Profile Information: Basic
information about the recipient that
FTA uses to better understand the
recipient’s institutional and operating
structure, and to help determine
applicability of oversight requirements.
Recipient Information Request: A list
of documents and answers to specific
questions that the FTA needs to begin
assessing a recipient’s compliance with
the basic requirements identified in the
Comprehensive Review Guide. The FTA
is moving away from the narrative
responses required in previous years.
Once FTA’s contractors begin reviewing
the requested documentation, the
recipient may be asked to provide
answers to additional targeted questions
on a case-by-case basis.
Changes to the Comprehensive
Review Guide:
The FTA undertook a ‘‘back to basics’’
exercise with the Triennial and State
Management Review Guide, known as
the Comprehensive Review Guide, to
identify the minimum compliance
requirements and the optimal methods
for assessing compliance. The key to
this effort was ensuring that all
questions were directly related to
specific, citable, written requirements.
This new guide clearly articulates what
is expected of recipients and exactly
how FTA will determine compliance.
The guide can be accessed at https://
www.transit.dot.gov/oversight-policyareas/fy18-comprehensive-review-guide.
4. Online Dialogue on Definition of
Federal Project
The current definition of a ‘‘Federal’’
project is defined in the FAST Act,
Public Law 114–94 as, ‘‘any highway
project, public transportation capital
project, or multimodal project that, if
implemented as proposed by the project
sponsor, would require approval by any
operating administration or secretarial
office within the Department of
Transportation.’’ The FTA is now
examining how it defines ‘‘Federal’’
project and the effects of that definition
on project implementation. To learn
more, the FTA is conducting an online
dialogue to help identify potential
opportunities to expedite investments in
transit infrastructure through the
exclusion of certain projects or project
elements from potentially burdensome
Federal requirements. FTA intends to
review the relevant thresholds for
defining whether a project or project
element qualifies as federally funded,
which determines whether it is subject
to various Federal requirements,
reviews, and oversight.
Through this online dialogue, the
FTA will pose a series of questions and
invite States, transit agencies, transit
operators, and other stakeholders to
submit comments and responses on this
topic.
The online dialogue will be open
through August 15, 2018. FTA will
provide a link to the online dialogue
through email, social media, and its
website.
5. Emergency Relief Docket
On February 2, 2018 FTA announced
the establishment of an Emergency
Relief Docket for calendar year 2018.
See https://www.gpo.gov/fdsys/pkg/FR2018-02-02/pdf/2018-02083.pdf for
more information. After an emergency
or major disaster, if FTA requirements
impede a grantee or subgrantee’s ability
to respond to the emergency or major
disaster, a grantee or subgrantee may
submit a request for temporary relief
from FTA administrative and statutory
requirements. A grantee or subgrantee
seeking relief must submit a petition for
waiver of FTA requirements at
www.regulations.gov for posting in the
docket (FTA–2018–0001). For
additional information on the
Emergency Relief Docket, please contact
the appropriate FTA Regional Office.
6. Cancellation of Circulars
As part of FTA’s ongoing review of
requirements, FTA has identified
several circulars that should be
cancelled. Information in these circulars
is either no longer applicable or found
in other guidance documents.
Circular name
2710.6 ................................................................
2710.7 ................................................................
4715.1A ..............................................................
7008.1A ..............................................................
7020.1 ................................................................
9045.1 ................................................................
9050.1 ................................................................
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Circular No.
Section 15 Accounting and Reporting Release Number 1.
Section 15 Accounting and Reporting Release Number 2.
Human Resource Programs (Section 20) Application and Project Management Guidelines.
Financial Capacity Policy.
Cross-Border Leasing Guidelines.
New Freedom Program Guidance and Application Instructions.
The Job Access and Reverse Commute (JARC) Program Guidance and Application Instructions.
Under the Administrative Procedure
Act (APA) (5 U.S.C. 553(b)), an agency
may waive the normal notice and
comment procedure if it finds, for good
cause, that it would be impracticable,
unnecessary, or contrary to the public
interest. Additionally, 5 U.S.C. 553(d)
provides that an agency may waive the
30-day delayed effective date upon
finding of good cause.
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Circulars 2710.6 and 2710.7 are
interpretations of the uniform system of
accounts and records and reporting
system required by Section 15 of the
Urban Mass Transportation Act of 1964
(UMTA Act), as amended, that was
replaced by the Uniform Systems of
Accounts (USOA). FTA finds, for good
cause, that notice and comment for
cancelling this guidance is unnecessary
because the USOA was subject to notice
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and comment at 81 FR 70260. Further,
the delayed effective date is
unnecessary because the cancellation
was already made effective by the
adoption of the USOA.
Circular 4715.1A provides guidance
on applying for Federal financial
assistance and managing projects
awarded under Section 20 of the UMTA
Act, which was codified under the
FAST Act at 49 U.S.C. 5314. FTA is
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cancelling this circular because human
resource grants are now covered under
Circular 6100.1E, Research, Technical
Assistance, and Training Programs:
Application Instructions and Program
Management Guidelines, which was
published in the Federal Register (78
FR 47514) on August 13, 2014 with a
request for public comment. FTA finds,
for good cause, that notice and comment
for cancelling this circular is
unnecessary because it was replaced by
guidance that was subject to notice and
comment. Further, the delayed effective
date is unnecessary because the
cancellation was already made effective
by the notice of availability of the
Circular 6100.1E at 80 FR 19396.
Circular 7008.1A defines the basis
upon which FTA will make the
determination of financial capacity of
grantees required under 49 U.S.C. 5309
and in reviewing Transportation
Improvement Plans (TIPs). Additionally,
the circular provides guidance for
grantees making the required selfcertifications of financial capacity under
49 U.S.C. 5307. FTA is cancelling this
circular because these programs are now
covered under Circular 9030.1E,
Urbanized Area Formula Program:
Program Guidance and Application
Instructions, which was published on
January 16, 2014 (79 FR 2930) and
addressed comments received during
the development of the circular. FTA
finds, for good cause, that notice and
comment for cancelling this circular is
unnecessary because it was replaced by
guidance that was subject to notice and
comment. Further, the delayed effective
date is unnecessary because the
cancellation was already made effective
by the publication of the notice of
availability in the Federal Register.
Circular 7020.1 sets forth cross-border
leasing guidelines, which allow grantees
to lease FTA-funded transit equipment
from a foreign entity. However, the
American Jobs Creation Act of 2004
eliminated the tax benefits associated
with such transactions, thereby
rendering the vast majority of crossborder leases unprofitable. Thus, FTA is
cancelling this circular, which is no
longer utilized. FTA finds, for good
cause, that notice and comment for
cancelling this circular is unnecessary
because it is outdated and unutilized.
Similarly, the delayed effective date is
unnecessary because the circular is no
longer in use.
Circulars 9045.1 and 9050.1 include
guidance and application instructions
for the New Freedom Program and the
Job Access and Reverse Commute
Program. Both programs were repealed
by MAP–21. Therefore, FTA is
cancelling the corresponding circulars.
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FTA finds, for good cause, that notice
and comment for cancelling these
circulars is unnecessary because these
programs are no longer authorized. The
statutory language does not require
interpretation to carry out its intent, and
comments cannot alter the guidance
given the explicit mandate. Further, the
delayed effective date is unnecessary
because the cancelation of the circulars
was already made effective by statute.
Accordingly, FTA finds good cause
under 5 U.S.C. 553(b)(3)(B) and (d)(3) to
waive notice and opportunity for
comment and the delayed effective date
for all cancelled circulars.
B. Policy Priorities
As FTA implements its programs, it is
particularly focused on the following
policy priority areas.
1. Safety
Federal transit law requires States
with rail transit systems operating
within their jurisdictions to establish a
State Safety Oversight (SSO) program
that must be certified by the FTA by
April 15, 2019 (49 U.S.C. 5329(e)). The
FTA is prohibited by law (49 U.S.C.
5329(e)(3)) from obligating any funds to
any transit agency within a State that
fails to obtain certification by the
deadline. The FTA recommends that
States submit their complete SSO
program certification applications no
later than September 30, 2018. For more
information on the certification
requirements, please visit the FTA
website: www.transit.dot.gov/
regulations-and-guidance/safety/transitsafety-oversight-tso.
2. Positive Train Control (PTC)
On May 31, 2017, FTA and the
Federal Railroad Administration (FRA)
jointly announced the allocation of $197
million for projects to install positive
train control (PTC) systems on
commuter railroads and other
passenger-rail related facilities. As
authorized under Section 3028 of the
Fixing America’s Surface Transportation
(FAST) Act, these funds are available to
assist in financing the installation of
PTC systems required under 49 U.S.C.
20157. All funding allocated under this
program has been obligated ahead of the
September 30, 2018 statutory deadline.
Costs associated with the installation of
PTC are also eligible under FTA’s
formula programs, including the
Urbanized Area Formula Program (49
U.S.C. 5307) and the State of Good
Repair Program (49 U.S.C. 5337).
3. Automation
Transit automation is a critical area of
emerging technology with the capability
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to enhance and transform public
transportation. FTA is developing a
transit automation research initiative as
one of the mobility innovation projects
to explore the value and challenges of
transit automation innovative
technologies. FTA is currently exploring
the use of automation technologies in
transit bus operations. Key research
activities include developing a transit
automation strategic plan; growing
stakeholder partnerships/engagements
to increase understanding of transit
automation use cases; fielding
demonstrations to identify promising
solutions; and exploring the human
factors associated with adoption of
transit automation approaches. Potential
benefits of transit bus automation may
include: Increased passenger/operator
safety; operational efficiencies;
expanded transit capacity; fuel
efficiencies; service effectiveness; and
rider satisfaction. More information on
Shared Mobility can be found at:
https://www.transit.dot.gov/regulationsand-guidance/shared-mobility-faqseligibility-under-fta-grant-programs.
4. Value Capture
Current law includes a definition of
‘‘value capture’’ to mean ‘‘recovering the
increased property value to property
located near public transportation
resulting from investments in public
transportation.’’ (49 U.S.C. 5302(24)).
Value capture financing strategies
include, but are not limited to, land
value taxes, tax increment financing,
special assessment districts,
transportation utility fees, development
impact fees, negotiated extractions,
transit-oriented development, air rights,
and joint development. FTA encourages
the use of value capture strategies that
contribute to the operation,
maintenance, or expansion of public
transportation services. Revenue
generated by value capture is
considered by FTA as local funding and
can be used as the local share towards
the funding of capital projects and
operating costs eligible under Chapter
53 of title 49, United States Code. FTA
is updating its program circulars and
website to include additional guidance
on the use of value capture financing
strategies.
5. Transit Asset Management Plans
A transit provider’s initial Transit
Asset Management (TAM) plan must be
completed no later than October 1,
2018. A provider may submit in writing
to FTA a request to extend this
deadline. FTA must receive a request to
extend the deadline before the deadline
occurs and will consider all requests on
a case-by-case basis. See 49 CFR part
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625 for more information about the
requirements for TAM plans.
6. Bus Testing (49 U.S.C. 5318)
The Federal Transit Administration
(FTA) is required to maintain a bus
testing facility to test bus models
purchased with Federal funding
assistance. Any new model of a vehicle/
bus to be used in public transportation
revenue service and purchased with
FTA funds must be tested at this bus
testing facility. Fees for bus testing are
shared: FTA funds 80 percent of the fees
and the entity having the vehicle tested
pays 20 percent of the fees.
In 2016, FTA issued a regulation to
implement minimum performance
standards, a scoring system, and a pass/
fail threshold for new model transit
buses procured with FTA financial
assistance authorized under 49 U.S.C.
Chapter 53 (49 CFR part 655). The
standards and scoring system address
the following categories: Structural
integrity, safety, maintainability,
reliability, fuel economy, emissions,
noise, and performance. Buses must
meet a minimum performance standard
in each of these categories to receive an
overall passing score and be eligible for
purchase using FTA financial
assistance. Buses can achieve higher
scores with higher performance in each
category, and the final rule establishes
a numerical scoring system based on a
100-point scale so that buyers can more
effectively compare vehicles.
The Consolidated Appropriations Act,
2018 provides $5 million for the
operation and maintenance of the bus
testing facility authorized under 49
U.S.C. 5318. This is a $2 million
increase over previous annual
appropriation amounts. Additionally,
the Act provides an additional $2
million for certain grantees receiving
funds under 49 U.S.C. 5312(h) to
operate and maintain a facility to
conduct the testing of low or no
emission vehicle new bus models using
the standards established pursuant to
section 5318.
FTA’s website has additional
information, resources, and a link to
sign up for email notices about the Bus
Testing Program at:
www.transit.dot.gov/researchinnovation/bus-testing.
C. FY 2018 Competitive Program
Funding
FTA’s competitive grants programs
and the FY 2018 authorized funding
levels are identified in the chart below.
FTA selects projects for funding after
issuance of a Notice of Funding
Opportunity. Additional information
about each competitive program is in
Section III of this notice.
FY 2018 competitive programs
Statute 49 U.S.C.
Innovative Coordinated Access and Mobility Grants ...................................................
Tribal Transit ................................................................................................................
Grants for Buses and Bus Facilities Competitive Program .........................................
Low or No Emission Grants Competitive Program ......................................................
Pilot Program TOD Planning ........................................................................................
FAST Section 3006(b) ..............................
5311(c)(1)(A) .............................................
5339 ..........................................................
5339 ..........................................................
MAP–21 Section 2005(b) .........................
2018
authorized
funding level
(in millions)
$3.25
5.0
366.29
84.45
10.00
Note: The Grants for Buses and Bus Facilities and Low or No Emission Grants programs received funding in addition to the authorized levels;
$161,446,000 and $29,450,000, respectively.
IV. FY 2018 Program-Specific
Information
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A. Metropolitan Planning Program (49
U.S.C. 5303 and 5305(d))
Section 5305(d) authorizes Federal
funding to support a cooperative,
continuous, and comprehensive
planning program for transportation
investment decision-making at the
metropolitan area level. The specific
requirements of metropolitan
transportation planning are set forth in
49 U.S.C. 5303 and further explained in
23 CFR part 450, as incorporated by
reference in 49 CFR part 613, Planning
Assistance and Standards. The State
DOTs are the designated recipients of
Metropolitan Planning Programs (MPP)
and State Planning and Research
Program (SPRP) funds allocated by FTA,
which are then sub-allocated to
Metropolitan Planning Organizations
(MPOs) for planning activities that
support the economic vitality of the
metropolitan area. The Secretary has the
discretion to award MPP and SPRP
assistance to States, authorities of
States, (MPOs), and local governmental
authorities.
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Each MPO must establish specific
performance targets against system
performance measures issued by U.S.
DOT), and use these in tracking progress
towards attaining critical outcomes. The
MPO must coordinate with States and
transit providers in setting these targets.
MPOs must provide a system
performance report that evaluates
progress in meeting the performance
targets in comparison with the system
performance identified in prior reports.
MPP funding must support work
resulting in balanced and
comprehensive intermodal
transportation planning for the
movement of people and goods in the
metropolitan area. Comprehensive
transportation planning is not limited to
transit planning or surface
transportation planning, but also
encompasses the relationships among
land use and all transportation modes,
without regard to the programmatic
source of Federal assistance. MPP funds
may be used for studies relating to
management, mobility management,
planning, operations, capital
requirements, economic feasibility,
performance-based planning, safety, and
transit asset management. Funds may
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also be used to develop or update the
metropolitan planning agreements.
Funds may also be used to evaluate
previously funded projects or to
conduct peer reviews and exchanges of
technical data, information, or
assistance, among MPOs and other
transportation planners. Funds may be
also used for planning for multimodal
transportation access to transit facilities;
system planning: Scenario planning;
corridor-level alternative analysis;
development of federally required
documents; safety, security and
emergency transportation planning;
coordinated public transit human
services transportation planning; and
public participation in the
transportation planning, including the
development of the Public Participation
Plan. An exhaustive list of eligible work
activities is provided in FTA Circular
8100.1C, Program Guidance for
Metropolitan Planning and State
Planning and Research Program Grants,
dated September 1, 2008.
For more information or questions on
the Metropolitan Planning program,
please contact Victor Austin at (202)
366–2996 or victor.austin@dot.gov.
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Planning and Research Program Grants,
dated September 1, 2008.
1. Authorized Amounts
Federal transit law authorizes
$112,664,897 in FY 2018 to provide
financial assistance for metropolitan
planning needs under Section 5305.
2. FY 2018 Funding Availability
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In FY 2018 under the Consolidated
Appropriations Act, 2018, $112,664,897
is available to the Metropolitan
Planning Program (Section 5305(d)) to
support metropolitan transportation
planning activities set forth in Section
5303. The total amount apportioned for
the Metropolitan Planning Program to
States for use by MPOs in urbanized
areas (UZAs) is $112,101,573 as shown
in the table below, after the deduction
for oversight (authorized by Section
5338).
5. Period of Availability
The Metropolitan Planning program
funds apportioned in this notice are
available for obligation during FY 2018
plus three additional fiscal years. Funds
apportioned in FY 2018 must be
obligated in grants by September 30,
2021. Any FY 2018 apportioned funds
that remain unobligated at the close of
business on September 30, 2021, will
revert to FTA for reapportionment
under the Metropolitan Planning
Program.
6. Other Program Information
The planning programs provide
funding and procedural requirements to
metropolitan areas and States for
multimodal transportation planning that
METROPOLITAN PLANNING PROGRAM is cooperative, continuous, and
comprehensive, resulting in long-range
Total Appropriation available
$112,664,897 plans and short-range programs of
Oversight Deductions ...........
(563,324) projects that reflect transportation
investment priorities. The planning
Total Apportioned ..............
112,101,573
programs are jointly administered by
FTA and the Federal Highway
3. Basis for Formula Apportionment
Administration (FHWA), which
Of the amounts authorized in Section provides additional funding. Several
5305, 82.72 percent is made available to changes established by the FAST Act to
the Metropolitan Planning Program. As
Sections 5303 and 5304 are noted
a subset of the Metropolitan Planning
below:
Program funds, FTA apportions eighty
New emphasis is placed on intercity
percent to the states by statutory
transportation, including intercity buses
formula based on the most recent
and intermodal facilities that support
decennial Census for each State’s UZA
intercity transportation, and commuter
population. The remaining 20 percent is vanpool providers. The selection and
provided to the States based on an FTA
role of the transit representation on
administrative formula to address
MPO policy boards in large urbanized
planning needs in larger, more complex areas is clarified. MPOs in urbanized
UZAs. The amount published for each
areas designated as transportation
State includes this supplemental
management areas must include
allocation.
officials of agencies that administer or
operate major modes of transportation,
4. Requirements
as well as representatives of public
The States allocate Metropolitan
transit operators, on MPO policy boards.
Planning funds to MPOs in UZAs or
The representative of public transit
portions thereof to provide funds for
shall be selected per the bylaws or
planning projects included in a one or
enabling legislation of the MPO, and the
two-year program of planning work
representative of public transit may also
activities (the Unified Planning Work
serve as a representative of a local
Program, or UPWP) that includes
municipality on the MPO board. For
multimodal systems planning activities
additional information please reference
spanning both highway and transit
the Final Rule on Statewide and
planning topics. Each State has either
Nonmetropolitan Transportation
reaffirmed or developed, in consultation Planning and Metropolitan
with its MPOs, an allocation formula
Transportation Planning (81 FR 34050,
among MPOs within the State, based on May 27, 2016).
the 2010 Census. The allocation formula
The scope of the planning process
among MPOs in each State may be
adds two new planning factors, in
changed annually, but any change
addition to the eight pre-existing factors
requires approval by the FTA Regional
established under prior law. The two
Office before grant approval. Program
new factors are: (1) Improve the
guidance for the Metropolitan Planning
resiliency and reliability of the
Program is found in FTA Circular
transportation system, and reduce the
8100.1C, Program Guidance for
vulnerability of the existing
Metropolitan Planning and State
transportation infrastructure to natural
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33023
disasters, and (2) enhance travel and
tourism. MPOs and State DOTs should
provide public ports, intercity bus
operators and employer-based
commuting programs with a reasonable
opportunity to comment on
transportation plans. Plans must place
greater emphasis on the congestion
management process. MPOs that serve a
Transportation Management Areas
(TMAs) with a population of 1 million
or more must prepare a congestion
management performance plan, while
TMAs with a population less than 1
million may prepare a congestion
management plan. MPOs that serve
transportation management areas must
address congestion management
through a process that provides for safe
and effective integrated management
and operation of the multimodal
transportation system based on
cooperatively developed metropolitanwide strategies.
The long-range statewide
transportation plan and metropolitan
transportation plan must include a
description of the performance
measures and performance targets. State
DOTs and MPOs are also required to
provide a system performance report
evaluating the condition and
performance of the transportation
system.
In the Final Rule on Statewide and
Nonmetropolitan Transportation
Planning and Metropolitan
Transportation Planning (81 FR 34050),
FHWA and FTA make the statewide,
metropolitan, and nonmetropolitan
transportation planning regulations
consistent with current statutory
requirements. The final rule establishes
the following: (1) A new mandate for
States and MPOs to take a performancebased approach to planning and
programming; (2) a new emphasis on
the nonmetropolitan transportation
planning process, by requiring States to
have a higher level of involvement with
nonmetropolitan local officials and
providing a process for the creation of
Regional Transportation Planning
Organizations (RTPOs); (3)
implementation of the aforementioned
statutory requirement for a structural
change to the membership of the larger
MPOs; (4) a new framework for
voluntary scenario planning; (5) a new
authority for the integration of the
planning and environmental review
processes; and (6) a process for
programmatic mitigation plans.
Among the most significant changes is
the new mandate for a performancebased planning process: MPOs and State
DOTs must establish performance
targets that address forthcoming U.S.
DOT-issued national performance
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measures that are based on the goals
outlined in the legislation—safety,
infrastructure condition, congestion
reduction, system reliability, economic
vitality, environmental sustainability,
reduced project delivery delays, transit
safety, and transit asset management.
MPOs also must coordinate their
performance targets, to the maximum
extent practicable, with performance
targets set by FTA grantees under the
new performance measure requirements
for safety and state of good repair.
Transportation Improvement Programs
(TIPs) must include a description of the
anticipated progress toward achieving
the performance targets resulting from
implementation of the TIP. After May
27, 2018, a State’s and MPO’s long-range
plans, STIPs, and TIPs must reflect
performance targets and plans per the
provisions of the final rule.
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B. State Planning and Research Program
(49 U.S.C. 5304 and 5305(e))
This program provides financial
assistance to States for statewide
transportation planning and other
technical assistance activities, including
supplementing the technical assistance
program provided through the
Metropolitan Planning program and
planning support for non-urbanized
areas. The specific requirements of
Statewide transportation planning are
set forth in 49 U.S.C. 5304 and further
explained in 23 CFR part 450 as
referenced in 49 CFR part 613, Planning
Assistance and Standards. State DOTs
are required to reference performance
measures and performance targets
within the Statewide Planning process.
This funding must support work
resulting in balanced and
comprehensive intermodal
transportation planning for the
movement of people and goods and has
the same eligibilities as MPP funds.
For more information or questions on
the State Planning and Research
program, please contact Victor Austin at
(202) 366–2996 or victor.austin@dot.gov.
1. Authorized Amounts
Federal transit law authorizes
$23,535,414 in FY 2018, to provide
financial assistance for statewide
planning and other technical assistance
activities under Section 5305. As
specified in law, this represents the
17.28 percent of the amounts available
for Section 5305 that are allocated to the
Statewide Planning and Research
program.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated
Appropriations Act, 2018, $23,535,414
is for the State Planning and Research
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Program (Section 5305(e)). The total
amount apportioned for the State
Planning and Research Program (SPRP)
is $23,417,737 as shown in the table
below, after the deduction for oversight
(authorized by Section 5338).
(UZAs) for capital investments in public
transportation systems, planning, job
access and reverse commute projects,
and, in some cases, operating assistance.
FTA apportions funds for this program
through a statutory formula. Of the
amount authorized for Section 5307
each year, $30 million is set aside for
STATEWIDE TRANSPORTATION
the competitive Passenger Ferry Grant
PLANNING PROGRAM
Program (Ferry program), as authorized
Total Appropriation available
$23,535,414 under 49 U.S.C. 5307(h). The Ferry
Oversight Deductions ...........
(117,677) program offers financial assistance to
public ferry systems in urbanized areas
Total Apportioned ..............
23,417,737 for capital projects. Projects are selected
annually through a funding
States’ apportionments for this
competition. Additionally, 0.5 percent
program are displayed in Table 2.
will be apportioned to eligible States for
State Safety Oversight (SSO) Program
3. Basis for Formula Apportionment
grants, and 0.75 percent will be set aside
Of the amount authorized for Section
for program oversight. Further
5305, 17.28 percent is allocated to the
information on the 0.5 percent
State Planning and Research program.
apportionment to States for the State
FTA apportions funds to States by a
Safety Oversight Program is provided in
statutory formula that is based on the
section IV.M. of this notice.
most recent decennial Census data
For more information or questions on
available, specifically, the State’s UZA
the Urbanized Area Formula Program,
population as compared to the UZA
contact Tara Clark at (202) 366–2623 or
population of all States.
tara.clark@dot.gov. For more
4. Requirements
information on the Ferry Program,
contact Vanessa Williams at (202) 366–
Funds are provided to States for
4818 or vanessa.williams@dot.gov.
Statewide transportation planning
programs. These funds may be used for
1. Authorized Amounts
a variety of purposes such as planning,
Federal transit law authorizes
technical studies and assistance,
$5,279,690,721 in FY 2018 to provide
performance-based planning,
financial assistance for urbanized areas
demonstrations, and management
under Section 5307.
training. In addition, a State may
authorize a portion of these funds to be
2. FY 2018 Funding Availability
used to supplement Metropolitan
In FY 2018 under the Consolidated
Planning funds allocated by the State to
Appropriations Act, 2018,
its UZAs, as the State deems
$5,279,690,721 is available for the
appropriate. Program guidance for the
State Planning and Research program is Urbanized Area Formula program. The
total amount apportioned to urbanized
found in FTA Circular 8100.1C,
areas (UZAs) is $5,228,378,222, which
Program Guidance for Metropolitan
includes the addition of amounts
Planning and State Planning and
apportioned to UZAs pursuant to the
Research Program Grants, dated
Section 5340 Growing States and HighSeptember 1, 2008.
Density States Formula factors. This
5. Period of Availability
amount to UZAs excludes the set-aside
of $30 million for the Ferry program,
The State Planning and Research
apportionments under the State Safety
program funds apportioned in this
notice are available for obligation during Oversight Program, and oversight
(authorized by Section 5338), as shown
FY 2018 plus three additional fiscal
in the table below:
years. Accordingly, funds apportioned
in FY 2018 must be obligated in grants
URBANIZED AREA FORMULA PROGRAM
by September 30, 2021. Any FY 2018
apportioned funds that remain
Total Appropriation availunobligated at the close of business on
able ............................... a $4,726,907,174
September 30, 2021 will revert to FTA
Oversight Deduction .........
¥35,451,804
for reapportionment under the State
State Safety Oversight
Planning and Research program.
C. Urbanized Area Formula Program (49
U.S.C. 5307)
The Urbanized Area Formula Program
provides financial assistance to
designated recipients in urbanized areas
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Program ........................
Ferry Discretionary Program ..............................
5340 High Density States
5340 Growing States ........
Reapportioned Funds .......
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¥30,000,000
b 282,825,570
b 214,714,305
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Federal Register / Vol. 83, No. 136 / Monday, July 16, 2018 / Notices
revenue miles, and fixed guideway
route miles, either within the UZA or
attributable to the UZA. The Urbanized
Total Apportioned ..........
5,137,177,613 Area Formula is defined in 49 U.S.C.
5336. Consistent with Section 5336(b),
a Includes 1.5 percent set-aside for Small
Transit Intensive Cities Formula Table 3 dis- FTA has included 27 percent of the
plays the amounts apportioned under the Ur- fixed guideway directional route miles
banized Area Formula Program.
and vehicle revenue miles from eligible
b Includes technical corrections to fix FY
urbanized area transit systems, but
2017 errors.
which were attributable to rural areas
3. Basis for Formula Apportionment
outside of the urbanized areas from
which the system receives funds.
FTA apportions Urbanized Area
Formula Program funds based on
b. Small Transit Intensive Cities (STIC)
statutory formulas. Congress established Formula
four separate formulas to apportion
Under the STIC formula, FTA
available funding: The Section 5307
apportions 1.5 percent of the funds
Urbanized Area Formula Program
made available for Section 5307 to
formula, the Small Transit Intensive
UZAs that are under 200,000 in
Cities (STIC) formula, the Growing
population and have public
States and High Density States formula,
transportation service that operates at a
and a formula based on low-income
level equal to or above the industry
population.
average for UZAs with a population of
Consistent with prior apportionment
at least 200,000, but not more than
notices, Table 3 shows a total Section
999,999. STIC funds are apportioned
5307 apportionment for each UZA,
based on six performance categories:
which includes amounts apportioned
Passenger miles traveled per vehicle
under each of these formulas. Detailed
revenue mile, passenger miles traveled
information about the formulas is
per vehicle revenue hour, vehicle
provided in Table 4. For technical
revenue miles per capita, vehicle
assistance purposes, the UZAs that
receive STIC funds are listed in Table 6. revenue hours per capita, passenger
miles traveled per capita, and
FTA will provide breakouts of the
passengers per capita. In FY 2019, the
funding allocated to each UZA under
these formulas upon request to the FTA STIC set aside will increase from 1.5
percent to 2 percent.
Regional Office.
The data used to determine a UZA’s
FTA has calculated dollar unit values
eligibility under the STIC formula and
for the formula factors used in the
to calculate the STIC apportionments
Urbanized Area Formula Program
was obtained from the NTD for the 2016
apportionment calculations. These
reporting year. Because performance
values represent the amount of money
data change with each year’s NTD
each unit of a factor is worth in this
reports, the UZAs eligible for STIC
year’s apportionment. The unit values
change each year, based on all data used funds and the amount each receives
to calculate the apportionments, as well may vary each year. UZAs that received
as the amount appropriated by Congress funding through the STIC formula for
for the apportionment. The dollar unit
FY 2018 are listed in Table 6.
values for FY 2018 are displayed in
c. Section 5340—Growing States and
Table 5. To replicate the basic formula
High Density States Formula
component of a UZA’s apportionment,
FTA also apportions funds to
multiply the dollar unit value by the
qualifying UZAs and States according to
appropriate formula factor (i.e., the
the Section 5340 Growing States and
population, population x population
High Density States formula, as shown
density), and when applicable, data
in Table 3. More information on this
from the NTD (i.e., route miles, vehicle
program and its formula is found in
revenue miles, passenger miles, and
Section IV.P. of this notice.
operating cost).
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URBANIZED AREA FORMULA
PROGRAM—Continued
a. Section 5307—Urbanized Area
Formula
For UZAs between 50,000 and
199,999 in population, the Urbanized
Area Formula is primarily based on
population and population density. For
UZAs with populations of 200,000 or
more, the formula is based on
population and population density, as
well as a combination of bus revenue
vehicle miles, bus passenger miles, bus
operating costs, fixed guideway vehicle
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d. Low-Income Population
Of the amount authorized and
appropriated for the Urbanized Area
Formula Program in each year, 3.07
percent is apportioned based on low
income population. As specified in
statute, FTA apportions 75 percent of
the available funds to UZAs with a
population of 200,000 or more. Funds
are apportioned based on the ratio of the
number of low income individuals in
each UZA to the total number of low
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33025
income individuals in all urbanized
areas of that size. FTA apportions the
remainder of the funds (25 percent) to
UZAs with populations of less than
200,000, per an equivalent formula. The
low-income populations used for this
calculation were based on the American
Community Survey (ACS) data set for
2011–2015. This information is updated
by the Census Bureau annually.
4. Requirements
To comply with or maintain
compliance with the Clean Air Act
(CAA) or the Americans with
Disabilities Act (ADA) of 1990, the
maximum Federal share for the
Urbanized Area Formula Program,
including the Passenger Ferry Program,
is 85 percent for the net project cost of
acquiring vehicles (including clean-fuel
or alternative fuel). The maximum
Federal share is 90 percent of the net
project cost for acquiring vehicle-related
equipment or facilities (including cleanfuel or alternative-fuel vehicle-related
equipment or facilities) for complying
with or maintaining compliance with
the CAA or ADA.
Program guidance for the Urbanized
Area Formula Program is found in FTA
Circular 9030.1E, Urbanized Area
Formula Program: Program Guidance
and Application Instructions, dated
January 16, 2014, and is supplemented
by additional information and changes
provided in this notice and that may be
posted to the Urbanized Area Formula
Grants program web page. FTA is in the
process of updating the program circular
to incorporate changes resulting from
FAST Act amendments to 49 U.S.C.
5307.
5. Period of Availability
Funds made available under the
Urbanized Area Formula Program are
available for obligation during the year
of apportionment plus five additional
years. Accordingly, funds apportioned
in FY 2018 must be obligated by
September 30, 2023. Any FY 2018
apportioned funds that remain
unobligated at the close of business on
September 30, 2023 will revert to FTA
for reapportionment under the
Urbanized Area Formula Program.
Funds allocated under the Passenger
Ferry program follow the same period of
availability as Section 5307.
Accordingly, funds allocated in FY 2018
must be obligated by September 30,
2023. Any of the funds allocated in FY
2018 that remain unobligated at the
close of business on September 30, 2023
will revert to FTA for reallocation under
the Passenger Ferry program.
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D. Fixed Guideway Capital Investment
Grants Program (49 U.S.C. 5309)
The Capital Investment Grants (CIG)
Program includes four types of eligible
projects: New Starts projects, Small
Starts projects, Core Capacity
Improvement projects, and Programs of
Inter-related Projects. Funding is
provided for construction of: (1) New
fixed guideway systems or extensions to
existing fixed guideway systems such as
rapid rail (heavy rail), commuter rail,
light rail, trolleybus (using overhead
catenary), cable car, passenger ferries,
and bus rapid transit operating on an
exclusive transit lane for the majority of
the corridor length during peak periods
that also includes features that emulate
the services provided by rail fixed
guideway, including defined stations,
traffic signal priority for public transit
vehicles, and short headway bidirectional service for a substantial part
of weekdays and weekends; (2) corridorbased bus rapid transit service that does
not operate on an exclusive transit lane
but includes features that emulate the
services provided by rail fixed
guideway, including defined stations,
traffic signal priority for public transit
vehicles, and short headway bidirectional services for a substantial part
of weekdays; (3) projects that expand
the capacity by at least 10 percent in an
existing fixed guideway corridor that is
at capacity today or will be in five years;
and (4) programs of two or more
interrelated projects as described above
that have logical connectivity with one
another and will all begin construction
in a reasonable timeframe.
For more information about the
Capital Investment Grant program
contact Elizabeth Day, Office of Capital
Project Development, at (202) 366–5159
or elizabeth.day@dot.gov. For
information about published allocations
contact Eric Hu, Office of Transit
Programs, at (202) 366–0870 or eric.hu@
dot.gov.
1. Authorized Amounts
Federal transit law authorizes
$2,301,785,760 in FY 2018, to provide
financial assistance under Section 5309.
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2. FY 2018 Funding Availability
In FY 2018 under the Consolidated
Appropriations Act, 2018,
$2,650,010,000 is available to the Fixed
Guideway Capital Investment Grants
Program. The Consolidated
Appropriations Act, 2018 requires of the
amounts made available, $2,252,508,586
to be obligated by December 31, 2019.
The funds are allocated in the following
manner: $1,506,910,000 for New Starts
projects; $715,700,000 for Core Capacity
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projects; $400,900,000 for Small Starts
projects; and $26,500,000 for Oversight.
These amounts are based on allocating
the $2.64 billion in new budget
authority and $5.05 million from
recovered and unobligated Section 5309
Bus and Bus Facilities funds that were
appropriated from FY 2000 thru FY
2005. The total amount available for
projects is $2,623,509,990 as shown in
the table below, after the deduction for
oversight (authorized by Section 5338).
older adults and people with disabilities
when the public transportation service
provided is unavailable, insufficient, or
inappropriate to meet these needs. The
program aims to improve mobility for
seniors and individuals with disabilities
by removing barriers to transportation
service and expanding transportation
mobility options. The Pilot Program for
Innovative Coordinated Access and
Mobility Program (Pilot Program)—was
established by Section 3006(b) of the
FAST Act. The purpose of the program
FIXED GUIDEWAY CAPITAL INVESTMENT is to assist in financing innovative
projects for the transportation
GRANTS PROGRAM
disadvantaged that improve the
coordination of transportation services
Total Appropriation available ................................. $2,650,010,000 and non-emergency medical
Oversight Deduction ...........
(26,500,000) transportation (NEMT) services,
including, for example, the deployment
Total Apportioned * ..........
2,623,510,000 of coordination technology, and projects
* Of
the
total
amount
apportioned, that create or increase access to
$2,252,508,586 shall be obligated by Decem- community One-Call/One-Click Centers.
ber 31, 2019.
For more information or questions on
the Enhanced Mobility of Seniors and
3. Basis for Allocation
Individuals with Disabilities program,
Funds are allocated on a competitive
please contact Kelly Tyler at (202) 366–
basis and subject to program evaluation. 3102 or kelly.tyler@dot.gov.
4. Requirements
1. Authorized Amounts
Projects become candidates for
funding under the Capital Investment
Grant Program by successfully
completing steps in the process defined
in Section 5309 and obtaining a
satisfactory rating under the statutorilydefined criteria. For New Starts and
Core Capacity Improvement projects,
the steps in the process include project
development, engineering, and
construction. For Small Starts projects,
the steps in the process include project
development and construction. For
programs of interrelated projects, the
steps in the process depend on the
combination of project types included.
5. Period of Availability
The Fixed Guideway Capital
Investment Grant program funds
apportioned in this notice are available
for obligation during FY 2018 plus three
additional fiscal years. Accordingly,
funds apportioned in FY 2018 must be
obligated in grants by September 30,
2021, except $2,252,508,586 that must
be obligated by December 31, 2019. All
funds must be disbursed by the
recipient by September 30, 2026.
E. Formula Grants for the Enhanced
Mobility of Seniors and Individuals
With Disabilities Program (49 U.S.C.
5310)
The Section 5310 Enhanced Mobility
of Seniors and Individuals with
Disabilities Program provides formula
funding to states and urbanized areas for
meeting the transportation needs of
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Federal transit law authorizes
$273,840,764 in FY 2018 to provide
formula funding to states for meeting
the transportation needs of older adults
and people with disabilities. The law
also authorizes $3.25 million for the
competitive Pilot Program.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated
Appropriations Act, 2018, $127,772,132
is available for projects under the
Section 5310 formula program after the
oversight deduction as shown in the
table below.
FORMULA GRANTS FOR THE ENHANCED
MOBILITY OF SENIORS AND INDIVIDUALS WITH DISABILITIES PROGRAM
Total Appropriation available
Oversight Deduction .............
$273,840,764
(1,369,204)
Total Apportioned (Formula)
Innovative Coordinated Access and Mobility Pilot
Program ............................
272,471,560
Total Apportioned ..............
275,721,560
3,250,000
3. Basis for Formula Apportionment
Sixty percent of the funds are
apportioned among designated
recipients for urbanized areas with a
population of 200,000 or more
individuals. Twenty percent of the
funds are apportioned among the States
for urbanized areas with a population of
at least 50,000 but less than 200,000.
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Twenty percent of the funds are
apportioned among the States for rural
areas, defined as areas with a
population less than 50,000. Census
Data on Older Adults and People with
Disabilities is used for the Section 5310
program apportionments. FY 2018
Apportionments Table 8 displays the
amounts apportioned under the
Enhanced Mobility of Seniors and
Individuals with Disabilities Program.
Under the Section 5310 formula,
funds are allocated using Census data
on older adults (i.e., persons 65 and
older) and people with disabilities.
However, beginning in 2010, the Census
Bureau stopped collecting this
demographic information as part of its
decennial census. Data on seniors and
people with disabilities is now only
available from the American
Community Survey (ACS), which is
conducted and published on a rolling
basis. FTA’s FY 2018 Section 5310
apportionments incorporate ACS data
published in December 2016. Data on
seniors comes from the ACS 20111–
2015 five-year data set, Table B01001,
‘‘Sex by Age.’’ Data on persons with
disabilities comes from the ACS 2011
2015 five-year data set, Table S.1810,
‘‘Disability Characteristics.’’
sradovich on DSK3GMQ082PROD with NOTICES2
4. Requirements
At least 55 percent of program funds
must be used on traditional Section
5310 projects such as buses and vans;
wheelchair lifts, ramps, and securement
devices; or transit-related information
technology systems including
scheduling/routing/one-call systems.
Mobility management programs are also
defined as capital projects for purposes
of this provision. The acquisition of
transportation services under a contract,
lease, or other arrangement is also
eligible; both the capital and operating
costs associated with contracted service
are eligible capital expenses for
purposes of this provision. The capital
eligibility of acquisition of services is
limited to the Section 5310 program.
The remaining 45 percent of a
recipient’s 5310 funds may be used for
capital expenses or operating assistance.
a. Eligible Recipients
Eligible recipients include States for
rural and small urban areas and
designated recipients chosen by the
Governor of the State for large urban
areas; or a State or local governmental
entity that operates a public
transportation service. For urbanized
areas less than 200,000 in population
and in the rural areas, the State is the
designated recipient for Section 5310.
Current Section 5310 designations
remain in effect until changed by the
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33027
Governor of a State by officially
notifying the appropriate FTA Regional
Administrator of re-designation. A State
or local governmental entity that
operates a public transportation service
may be a direct recipient for Section
5310 funds.
For urbanized areas over 200,000 in
population, the recipient charged with
administering the Section 5310 Program
must be officially designated in
accordance with the planning process,
by the Governor of a State, responsible
local officials, and publicly owned
operators of public transportation prior
to grant award (See the definition of
designated recipient, 49 U.S.C. 5302(4)).
Designated recipients are responsible for
administering the program. Eligible
subrecipients include State or local
governmental authorities, private
nonprofit agencies, and operators of
public transportation that receive a
grant indirectly through a recipient. For
the 55 percent of funds that must be
used for capital projects, eligible
subrecipients include private nonprofit
organizations as well as State or local
governmental authorities that are either
approved by the State to coordinate
services for seniors and people with
disabilities, or which certify to the
Governor that no nonprofit
organizations are readily available in the
area to provide the service.
serve as the basis for FTA management
reviews of the program, and provide
public information on the
administration of the programs.
b. Local Match
Capital assistance is provided at 80
percent Federal share; 20 percent local
share. Operating assistance requires a 50
percent local match. Funds provided
under other Federal programs (other
than those of the DOT, except for the
Federal Lands Transportation Program)
may be used as local match for funds
provided under Section 5310, and
revenue from service contracts may be
used as local match.
6. Other Program Information
A State may transfer apportioned
funds between small urbanized areas
and rural areas if it can certify that the
needs are being met in the area to which
the funds were originally apportioned.
The State can transfer the funds (rural
and small urbanized area) to any area
within the state if a statewide program
for Section 5310 is established. Section
5310 funds may not be transferred to
other FTA programs. However, Section
5310 funds apportioned to large
urbanized areas may not be transferred
to other areas. Section 5310 program
recipients may partner with meal
delivery programs such as the Older
Americans Act (OAA)-funded meal
programs (to find local programs, visit:
www.Eldercare.gov) and the USDA
Summer Food Service Program https://
www.fns.usda.gov/sfsp/summer-foodservice-program-sfsp. Transit service
providers receiving 5310 funds may
coordinate and assist in providing meal
delivery services on a regular basis if
this does not conflict with the provision
of transit services.
Program Guidance is found in FTA
Circular 9070.1G, Enhanced Mobility of
Seniors and Individuals with
Disabilities Program Guidance and
Application Instructions, dated July 7,
c. Planning and Consultation
The coordinated planning provision
requires that all projects be included in
the local coordinated human servicepublic transportation plan. The plan
must be developed and adopted with
representation from seniors, individuals
with disabilities, representatives of
public, private, nonprofit transportation
and human services providers, and
other members of the public.
d. State and Project Management Plans
States, designated recipients, and
State or local governmental entities that
operate a public transportation service
that are responsible for implementing
the Section 5310 program are required
to document their approach to managing
the program. The Management Plans
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e. Program of Projects (POP)
Designated recipients are required to
develop a Program of Projects (POP)
with the grant application and submit it
to the FTA Regional Office. The POP
should be developed with respect to the
coordinated plan, long range plan, and
the transportation improvement plan.
For additional guidance in developing
the required POP, see Chapter IV of the
FTA Circular 9070.1G, Enhanced
Mobility of Seniors and Individuals with
Disabilities Program Guidance and
Application Instructions, dated July 7,
2014.
5. Period of Availability
The Enhanced Mobility of Seniors
and Individuals with Disabilities
program funds apportioned in this
notice are available for obligation during
FY 2018 plus two additional fiscal
years. Accordingly, funds apportioned
in FY 2018 must be obligated in grants
by September 30, 2020. Any FY 2018
apportioned funds that remain
unobligated at the close of business on
September 30, 2020, will revert to FTA
for reapportionment among the States
and urbanized areas.
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2014. Section 3006(b) of the FAST Act
created a new competitive pilot program
for innovative coordinated access and
mobility that is discussed above. The
Federal share is 80 percent for capital
projects. Local Match of 20 percent can
come from other Federal (non-DOT)
funds.
F. Formula Grants for Rural Areas
Program (49 U.S.C. 5311)
The Formula Grants for Rural Areas
program provides formula funding to
States and Indian tribes for supporting
public transportation in areas with a
population of less than 50,000. Funding
may be used for capital, operating,
planning, job access and reverse
commute projects, and State
administration expenses. Eligible subrecipients include State and local
governmental authorities, Indian Tribes,
private non-profit organizations, and
private intercity bus companies. Indian
Tribes are also eligible direct recipients
under the Formula Grants for Rural
Areas program, both for funds
apportioned to the States and for
projects apportioned or selected to be
funded with funds set aside from the
Tribal Transit Program.
For more information about the
Formula Grants for Rural Areas
´
program, please contact Elan Flippin at
(202) 366–3800 or elan.flippin@dot.gov.
1. Authorized Amounts
Federal transit law authorizes
$577,721,886 in FY 2018 to provide
financial assistance for rural areas under
the Formula Grants for Rural Areas
program, including funds for Section
5340 Growing States.
sradovich on DSK3GMQ082PROD with NOTICES2
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated
Appropriations Act, 2018, $577,721,886
is for the Rural Area Programs. The total
amount apportioned to the program is
$659,737,385 as shown in the table
below, after the additional
appropriation of $85,243,672 for the
Section 5340 Growing States and
oversight deduction (authorized by
Section 5338).
available U.S. decennial census data.
Most of the Formula Grants for Formula
Grants for Rural Areas program funds
(83.15 percent) are apportioned based
on land area and population factors. In
the first tier, no state may receive more
than 5 percent of the amount
apportioned based on land area. The
remaining funds (16.85 percent) are
apportioned based on land area, vehicle
revenue miles, and low-income
individual factors. In the second tier, no
state may receive more than 5 percent
of the amount apportioned based on
land area, or more than 5 percent of the
amounts apportioned for vehicle
revenue miles. In addition to funds
made available under Section 5311,
FTA adds amounts apportioned based
on rural population per the growing
states formula factors of 49 U.S.C. 5340
to the amounts apportioned to the states
under the Section 5311 formula. Before
FTA apportions Section 5311 funds to
the states, FTA subtracts funding from
the total available amounts for the
Appalachian Development
Transportation Assistance Program, the
Tribal Transit Program, the Rural
Transportation Assistance Program
(RTAP), and FTA oversight activities.
Data from the National Transit
Database (NTD) 2016 Report Year was
used for this apportionment, including
data from directly-reporting Indian
tribes. Data from public transportation
systems that reported as urbanized area
systems, but that was not attributable to
an urbanized area, was also included.
The Formula Grants for Rural Areas
program includes three takedowns: The
Appalachian Development Public
Transportation Assistance Program; the
Rural Transit Assistance Program
(RTAP); and the Tribal Transit Program.
These separate programs are described
in the sections that follow.
4. Requirements
The Formula Grants for Rural Areas
program provides funding for capital,
operating, planning, job access and
reverse commute projects, and
administration expenses for public
transit service in rural areas under
50,000 in population. The planning
GRANTS FOR RURAL AREAS FORMULA activities undertaken with Formula
PROGRAM
Grants for Rural Areas program funds
are in addition to those awarded to the
Total Appropriation available
$577,721,886 State under Section 5305 and must be
Oversight Deduction .............
(3,228,173) used specifically for the needs of rural
5340 Growing States ............
85,243,672 areas.
Total Apportioned ..............
659,737,385
3. Basis for Formula Apportionment
FTA apportions the Formula Grants
for Rural Areas program funds to states
by a statutory formula using the latest
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a. Intercity Bus Transportation
Each State must spend no less than 15
percent of its annual Formula Grants for
Rural Areas program apportionment for
the development and support of
intercity bus transportation, unless it
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can certify, after consultation with
affected intercity bus service providers,
that the intercity bus service needs of
the State are adequately met. FTA
encourages consultation with other
stakeholders, such as communities
affected by loss of intercity service. The
cost of an unsubsidized portion of
privately provided intercity bus service
that connects feeder service, including
all operating and capital costs of such
service whether offset by revenue from
such service may be used as in-kind
local match for the intercity bus
projects. FTA is updating the Formula
Grants for Rural Areas program circular
to include this change.
b. State Administration
States may elect to use up to 10
percent of their apportionment at 100
percent Federal share to administer the
Formula Grants for Rural Areas program
and provide technical assistance to
subrecipients. Technical assistance
includes project planning, program and
management development, public
transportation coordination activities,
and research the State considers
appropriate to promote effective
delivery of public transportation to rural
areas.
c. Other Requirements
The Federal share for capital
assistance is 80 percent and for
operating assistance is 50 percent,
except that States eligible for the sliding
scale match under FHWA programs may
use that match ratio for Formula Grants
for Rural Areas program capital projects
and 62.5 percent of the sliding scale
capital match ratio for operating
projects.
Each State prepares an annual
program of projects, which must
provide for fair and equitable
distribution of funds within the States,
including Indian reservations, and must
provide for maximum feasible
coordination with transportation
services assisted by other Federal
sources.
Additional program guidance for the
Formula Grants for Rural Areas program
is found in FTA Circular 9040.1G,
Formula Grants for Rural Areas:
Program Guidance and Application
Instructions, dated November 24, 2014,
and is supplemented by additional
information that may be posted to FTA’s
web page.
5. Period of Availability
The Formula Grants for Rural Areas
program funds apportioned in this
notice are available for obligation during
FY 2018 plus two additional fiscal
years. Accordingly, funds apportioned
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in FY 2018 must be obligated in grants
by September 30, 2020. Any FY 2018
apportioned funds that remain
unobligated at the close of business on
September 30, 2020, will revert to FTA
for reapportionment under the Formula
Grants for Rural Areas program.
6. Other Program Information
Revenue from the sale of advertising
and concessions may be used as local
match.
G. Rural Transportation Assistance
Program (49 U.S.C. 5311(b)(3))
This program provides funding to
assist in the design and implementation
of training and technical assistance
projects, research, and other support
services tailored to meet the needs of
transit operators in rural areas.
For more information about Rural
Transportation Assistance Program
´
(RTAP), please contact Elan Flippin at
(202) 366–3800 or elan.flippin@dot.gov.
1. Authorized Amounts
There is a two percent takedown from
the funds made available for RTAP. Of
the two percent takedown, 15 percent is
reserved for the National RTAP
program. The remainder is available for
allocation to the States.
Federal Transit Law authorizes
$12,912,692 in FY 2018 to provide
technical assistance.
sradovich on DSK3GMQ082PROD with NOTICES2
2. FY 2018 Funding Availability
Under the Consolidated
Appropriations Act, 2018 $12,912,692 is
available for the RTAP Program. The
total amount apportioned for RTAP is
$10,975,788 as shown in the table
below, after the deduction for National
RTAP.
the funds to undertake research,
training, technical assistance, and other
support services to meet the needs of
transit operators in rural areas. These
funds are to be used in conjunction with
a State’s administration of the Formula
Grants for Rural Areas program, but also
may support the rural components of
the Section 5310 program.
2. FY 2018 Funding Availability
Under the Consolidated
Appropriations Act, 2018, $20 million is
available.
5. Period of Availability
Total Appropriation available
The RTAP funds apportioned in this
notice are available for obligation during
FY 2018 plus two additional fiscal
years. Accordingly, funds apportioned
in FY 2018 must be obligated in grants
by September 30, 2020.
6. Other Program Information
The National RTAP project is
administered by cooperative agreement
and re-competed at five-year intervals.
In July of 2014, FTA awarded a
cooperative agreement to the Neponset
Valley Transportation Management
Association to administer the National
RTAP Program. The National RTAP
projects are guided by a project review
board that consists of managers of rural
transit systems and State DOT RTAP
programs. National RTAP resources also
support the biennial Transportation
Research Board National Conference on
Rural Public and Intercity Bus
Transportation and other research and
technical assistance projects of a
national scope.
H. Appalachian Development Public
Transportation Assistance Program (49
U.S.C. 5311(c)(2))
This program is a take-down under
the Formula Grants for Rural Areas
program to provide additional funding
RURAL TRANSIT ASSISTANCE
to support public transportation in the
PROGRAM (RTAP)
Appalachian region. There are sixteen
Total Appropriation available
$12,912,692 eligible States that receive an allocation
National RTAP ......................
(1,936,904) under this provision. The State
allocations are shown in the Formula
Total Apportioned ..............
10,975,788 Grants for Rural Areas program table
posted on FTA’s website on the FY 2018
3. Basis for Formula Apportionment
Apportionments page.
FTA allocates RTAP funds to the
For more information about the
States by an administrative formula.
Appalachian Development Public
First, FTA allocates $65,000 to each
Transportation Assistance Program,
State ($10,000 to each territory), and
´
please contact Elan Flippin at (202)
then allocates the balance based on rural 366–3800 or elan.flippin@dot.gov.
population in the 2010 census.
1. Authorized Amounts
4. Requirements
Federal transit law authorizes $20
Eligible RTAP expenses include the
million in each of FY 2016 through FY
design and implementation of training
2020 as a take-down under the Formula
and technical assistance projects,
Grants for Rural Areas program to
research, and other support services
tailored to meet the needs of transit
support public transportation in the
operators in rural areas. States may use
Appalachian region.
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APPALACHIAN DEVELOPMENT PUBLIC
TRANSPORTATION ASSISTANCE PROGRAM
Total Apportioned ..............
$20,000,000
20,000,000
3. Basis for Formula Apportionment
FTA apportions the funds using
percentages established under Section
9.5(b) of the Appalachian Regional
Commission Code (subtitle IV of title
40). Allocations are based in general on
each State’s remaining estimated need
to complete eligible sections of the
Appalachian Development Highway
System as determined from the latest
percentages of available cost estimates
for completion of the System. Such cost
estimates are produced at approximate
five-year intervals. Allocations contain
upper and lower limits in amounts
determined by the Commission and are
made in accordance with legislative
instructions.
4. Requirements
Funds apportioned under this
program may be used for purposes
consistent with the Formula Grants for
Rural Areas program to support public
transportation in the Appalachian
region. Funds can be applied for in the
State’s annual Formula Grants for Rural
Areas program grant.
Appalachian program funds that
cannot be used for operating may be
used for a highway project under certain
circumstances. States should contact
their regional office if they intend to
request a transfer. Additional
information about the requirements for
this section can be found in Chapter VII
of FTA Circular 9040.1G, Formula
Grants for Rural Areas: Program
Guidance and Application Instructions,
dated November 24, 2014.
5. Period of Availability
The Appalachian program funds
apportioned in this notice are available
for obligation during FY 2018 plus two
additional fiscal years, consistent with
that established for the Formula Grants
for Rural Areas program.
I. Formula Grants for Public
Transportation on Indian Reservations
Program (49 U.S.C. 5311(j))
The Public Transportation on Indian
Reservations Program, or Tribal Transit
Program (TTP), totals $35 million, of
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which $30 million is for a formula
program and $5 million is for a
competitive grant program. It is funded
as a takedown from funds made
available for the Formula Grants for
Rural Areas program. Formula factors
include vehicle revenue miles and the
number of low-income individuals
residing on tribal lands (defined as
American Indian Areas, Alaska Native
Areas, and Hawaiian Home Lands).
Eligible direct recipients are Federally
recognized Indian tribes and Alaskan
Native Villages providing public
transportation in rural areas. The TTP
funds are allocated for grants to eligible
recipients for any purpose eligible
under Formula Grants for Rural Areas
program, which includes capital,
operating, planning, and job access and
reverse commute projects.
For more information about the Tribal
Transit Program contact Douglas Moore,
Office of Transit Programs at (202) 366–
0876 or douglas.moore@dot.gov.
1. Authorized Amounts
Federal transit law authorizes $35
million in FY 2018 ($30 million for
formula and $5 million for the
competitive program) to provide
assistance to the tribes. Under the
Consolidated Appropriations Act, 2018,
$30 million is available through
September 30, 2018 for the formula
program and $5 million for the
competitive program.
2. FY 2018 Funding Availability
In FY 2018, $30 million is for the
formula program as shown below.
FORMULA GRANTS FOR PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS PROGRAM
Total Appropriation available
$30,000,000
Total Apportioned .................
30,000,000
PUBLIC TRANSPORTATION ON INDIAN
RESERVATIONS PROGRAM COMPETITIVE GRANTS
$5,000,000
Total Apportioned .................
sradovich on DSK3GMQ082PROD with NOTICES2
Total Appropriation available
5,000,000
3. Basis for Formula Apportionment
Funding is allocated by formula and
distributed to eligible Indian tribes
providing public transportation on tribal
lands. The formula apportionment
shown in Table 10 is based on a
statutory formula which includes three
tiers. Tiers 1 and 2 are based on data
reported to NTD by Indian tribes; Tier
3 is based on 2010–2014 American
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Jkt 244001
Community Survey data. The three tiers
for the formula are: Tier 1—50 percent
based on vehicle revenue miles reported
to the NTD; Tier 2—25 percent provided
in equal shares to Indian tribes reporting
at least 200,000 vehicle revenue miles to
the NTD; Tier 3—25 percent based on
Indian tribes providing public
transportation on tribal lands (American
Indian Areas, Alaska Native Areas, and
Hawaiian Home Lands) on which more
than 1,000 low income individuals
reside. If more than one eligible tribe
provides public transportation services
on tribal lands in a single Tribal
Statistical Area, and the tribes cannot
determine how to allocate Tier 3 funds,
FTA will allocate the funds based on the
relative portion of transit (as defined by
unlinked passenger trips) operated by
each tribe, as reported to the National
Transit Database.
4. Requirements
Formula funds apportioned under this
program can be used for purposes
consistent with the Formula Grants for
Rural Areas program to support public
transportation on Indian Reservations in
rural areas. Funds allocated under the
competitive program must be used
consistent with the tribe’s proposal and
the allocation notice published in the
Federal Register, which is used to
announce the selected projects. Eligible
recipients under both the competitive
and formula program include federallyrecognized Indian tribes or Alaska
native villages, groups, or communities
as identified by the U.S. Department of
the Interior Bureau of Indian Affairs
(BIA). A tribe must have the legal,
financial and technical capabilities to
receive and administer Federal funds.
Section 5335 requires NTD reporting
for all recipients of Section 5311 funds.
This reporting requirement continues to
apply to the Tribal Transit Program.
Tribes that provide public
transportation in rural areas are
reminded to report annually so they are
included in the TTP formula
apportionments. To be considered in the
FY 2018 formula apportionments, tribes
should have submitted their reports to
the NTD no later than April 30, 2016;
voluntary reporting to the NTD is also
encouraged. Additionally, to be
considered for the FY 2019 formula
apportionment funds, tribes need to
submit their reports to the NTD no later
than April 30, 2017. Tribes needing
assistance with reporting to the NTD
should contact the NTD Helpline at 1–
888–252–0936 or NTDHelp@dot.gov.
5. Period of Availability
The TTP program funds apportioned
in this notice are available for obligation
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during FY 2018 plus two additional
fiscal years. Accordingly, funds
apportioned in FY 2018 must be
obligated in grants by September 30,
2020. Any FY 2018 apportioned funds
that remain unobligated at the close of
business on September 30, 2020, will
revert to FTA for reapportionment
under the TTP program.
6. Other Program Information
Section 207 of title 23, United States
Code establishes a Tribal Transportation
Self-Governance Program (Self
Governance Program). The Self
Governance Program will establish
specific criteria for determining
eligibility for a tribe to participate in the
program. A Negotiated Rulemaking to
implement this program in consultation
with tribal representatives and other
interested stakeholders is under
development.
The funds set aside for the TTP are
not meant to replace or reduce funds
that Indian tribes receive from States
through the Formula Grants for Rural
Areas program but are to be used to
enhance public transportation on Indian
reservations and transit serving tribal
communities. Funds allocated to Indian
tribes by the States may be included in
the State’s Formula Grants for Rural
Areas program application or maybe
awarded by FTA in a grant directly to
the Indian tribe. FTA encourages Indian
tribes intending to apply to FTA as
direct recipients to contact the
appropriate FTA Regional Office at the
earliest opportunity.
All TTP grantees must comply with
all applicable Federal statutes,
regulations, executive orders, FTA
circulars, and other Federal
requirements in carrying out the project
supported by the FTA grant. To assist
tribes with understanding these
requirements, FTA regularly conducts
Tribal Transit Technical Assistance
Workshops. FTA has also expanded its
technical assistance to tribes receiving
funds under this program. In FY 2015,
FTA implemented the Tribal Transit
Technical Assistance Assessments
initiative. Through these assessments,
FTA collaborates with tribal transit
leaders to review processes and identify
areas in need of improvement and then
assist with solutions to address these
needs—all in a supportive and mutually
beneficial manner. These assessments
include discussions of compliance areas
pursuant to the Master Agreement, a site
visit, promising practices reviews, and
technical assistance from FTA and its
contractors. FTA will post information
about upcoming workshops to its
website and will disseminate
information about the reviews through
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Fall 2016. Awards were made to Auburn
University and The Ohio State
University in September 2017 for $1.5
1. Authorized Amounts
million each. Both facilities expect to
Federal transit law authorizes $28
begin testing in the late December 2018/
million in contract authority for FY
January 2019 timeframe.
2018 for the Public Transportation
Per the statute, FTA only considered
Innovation program and an $20 million
proposals from ‘‘institutions of higher
J. Public Transportation Innovation (49
subject to congressional additional
education’’ as defined in section 1002 of
U.S.C. 5312)
appropriations.
title 20, U.S.C., the Higher Education
Public Transportation Innovation is
Act of 1965. Eligible institution(s) of
2. FY 2018 Funding Availability
FTA’s research program with the
higher education must have capacity to
In FY 2018 under the Consolidated
overarching statutory goal to improve
carry out transportation-related
public transportation. The law specifies Appropriations Act, 2018, $28,000,000
advanced component testing and
is for the Public Transportation
research focus areas, including
evaluation, with laboratories capable of
Innovation program. The total amounts
providing more effective and efficient
testing and evaluation, and direct access
apportioned to each subcomponent of
public transportation service; mobility
to or a partnership with a testing facility
management; system capacity; advanced the program is shown below in the
capable of emulating real-world
table.
vehicle design; asset maintenance;
circumstances to test low or no emission
construction and project management;
components.
environment and energy efficiency; and
PUBLIC TRANSPORTATION INNOVATION
LoNo-CAP differs from the Bus
safety improvements. FTA may make
PROGRAM
Testing Program (Section 5318) in that
grants, enter contracts, cooperative
LoNo-CAP testing is voluntary with a
agreements, and other agreements to
Research, Development,
50/50 shared fee structure (FTA pays 50
carry out the research, development,
Demonstration, Deployment, & Evaluation ............
$20,000,000 percent of the testing fees, the entity
demonstration, and deployment
requesting the testing pays 50 percent of
Low or No Emission Vehicle
projects, including research and
Component Testing ...........
3,000,000 the fees). Additionally, LoNo-CAP will
technology of national significance to
only test components, and it will not
Transit Cooperative Republic transportation.
search Program (TCRP) ...
5,000,000 assign passing or failing scores. The
Within this section are three distinct
LONO component testing performed
programs: (a) A Research, Development,
Total Apportioned ..............
28,000,000 under LoNo-CAP complements the
Demonstration, Deployment, &
Section 5318 Bus Testing Program,
Evaluation program (49 U.S.C. 5312(b3. Basis for Allocation
under which FTA will continue to test
e)); (b) a Low or No Emission Vehicle
complete buses as a condition of
Public Transportation Innovation
Component Assessment Program (LoNoeligibility for FTA grant funding.
funds are allocated according to the
CAP) (49 U.S.C. 5312(h)); and (c) a
Eligible activities under LoNo-CAP
authorized purposes and amounts
Transit Cooperative Research Program
include testing and assessing
described above, and then remaining
(49 U.S.C. 5312(i)). Eligible recipients
voluntarily submitted LoNo components
amounts are subject to competitive
can be departments, agencies, and
for transit buses, publishing the results
allocations where not specifically
governmental agencies, including
of these LoNo component assessments,
authorized. The Secretary may make
Federal Laboratories; state and local
and preparing an annual report to
grants and enter contracts, cooperative
entities; providers of public
Congress summarizing the results of the
agreements, and other agreements for
transportation; private or non-profit
component assessments. For more
research, development, demonstration,
organizations; institutions of higher
information on the LoNo-CAP program,
and deployment projects, and
education; and technical community
evaluation of research and technology of visit https://www.transit.dot.gov/
colleges—each program area has
research-innovation/lonocap.
national significance to public
specific requirements relating to the
transportation, that the Secretary
type of organization that may receive a
Requirements
determines will improve public
grant or enter an agreement.
Eligible expenses include activities
transportation. For FY 2018, FTA
The types of research eligible for
involving (a) research, innovation,
intends to fund projects and activities
funding are broad, and include
consistent with its research priorities of development, demonstration,
opportunities to enhance public
mobility innovation, infrastructure, and deployment, evaluation; (b) low or no
transportation operational effectiveness
safety. Projects may be selected through emission vehicle component testing;
and efficiency; improve services;
and (c) transit cooperative research.
Notices of Funding Opportunity
leverage new types of vehicle
The Federal share of the cost of a
(NOFO), or Requests for Proposals
technologies; utilize transformative
project carried out under FTA’s
(RFPs), or sole-sourced. FTA awards to
technologies to improve public
Research, Innovation, Development,
a diverse set of recipients and issues
transportation; field new mobility
Deployment, and Demonstration
different types of research agreements,
models; and support increased safety.
program shall not exceed 80 percent; the
For more information about the Public including grants, cooperative
remaining 20 percent of the costs can be
agreements, contracts, or interagency
Transportation Innovation program,
met with in-kind resources. In some
agreements. Potential recipients can
contact Edwin Rodriguez, Office of
cases, FTA may require a higher nonregister to receive notification of
Research, Demonstration and
Federal share if FTA determines a
funding availability under this program
Innovation at (202) 366–0671 or
recipient would obtain a clear and
on Grants.gov.
edwin.rodriguez@dot.gov.
FTA awards an annual cooperative
direct financial benefit from the project,
For more information on the LoNoagreement to the National Academies of or if the non-Federal share is an
CAP program, please contact Sam
Science to administer the TCRP. FTA
evaluation factor under a competitive
Yimer at (202) 366–1321 or
solicited proposals for the LoNo-CAP in selection process.
samuel.yimer@dot.gov or visit: https://
its Regional offices. FTA has regional
tribal transit liaisons in each of the FTA
Regional Offices that are available to
assist tribes with applying for and
managing FTA grants. Tribes are
encouraged to work directly with their
regional tribal transit liaison.
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However, for the LoNo-CAP, the
Government share is 50 percent; the
remaining 50 percent of the costs will be
paid by amounts recovered through the
fees established by the testing facilities.
There is no match requirement for the
TCRP.
Application instructions and program
management guidelines are set forth in
FTA Circular C 6100.1E, Technology
Development and Deployment,
‘‘Research, Technical Assistance and
Training Program: Application
Instructions and Program Management
Guidelines’’ dated May 11, 2015.
All research recipients are required to
work with FTA to develop approved
Statements of Work. FTA will be
updating the Circular for the Research
Program.
sradovich on DSK3GMQ082PROD with NOTICES2
4. Period of Availability
FTA establishes the period in which
the funds must be obligated to each
project. If the funds are not obligated
within that period of time, they revert
to FTA for reallocation under the
program.
5. Other Program Information
FTA publishes an annual Research
Report on projects, evaluations, and
benefits of its research portfolio. The
FY2017 report can be accessed on FTA’s
website at https://www.transit.dot.gov/
research-innovation/fta-reports-andpublications. Section 6019(b) of the
FAST Act establishes new requirements
for annual modal research plans in 49
U.S.C. 6501.
For the new LoNo-CAP (5312(h)),
FTA solicited proposals in Fall 2016,
finalized selections, and made two
awards in 2017. LoNo-CAP differs from
the Bus Testing Program (Section 5318)
in that LoNo-CAP testing is voluntary; it
will only test components, and it will
not assign passing or failing scores. The
LoNo component testing performed
under LoNo-CAP complements the
Section 5318 Bus Testing Program,
under which FTA will continue to test
complete buses as a condition of
eligibility for FTA grant funding.
Eligible activities under LoNo-CAP
include testing and assessing
voluntarily submitted Lo-No
components for transit buses,
publishing the results of these LoNo
component assessments, and preparing
an annual report to Congress
summarizing the results of the
component assessments.
TCRP is a cooperative effort of three
organizations: FTA; the National
Academies, acting through the
Transportation Research Board (TRB);
and the Transit Development
Corporation, Inc. (TDC), a nonprofit
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educational and research organization
established by the American Public
Transportation Association (APTA).
FTA funds the TCRP through a
cooperative agreement. The TCRP is
governed by an independent board, the
TCRP Oversight and Project Selection
(TOPS) Committee. The TOPS
Committee sets priorities to decide what
research studies will be undertaken and
annually selects projects. The FY 2018
selected projects can be found at https://
onlinepubs.trb.org/onlinepubs/tcrp/
docs/TCRP_AnnounceFY2018.pdf.
For more information about TCRP,
please contact Faith Hall at (202) 366–
9055 or faith.hall@dot.gov.
Pursuant to the Small Business
Innovation Development Act, a portion
of the 5312 funds must be set aside for
the Department’s Small Business
Innovation Research Program (SBIR) to
address high priority research that will
demonstrate innovative, economic,
accurate, and durable technologies,
devices, applications, or solutions to
significantly improve current transitrelated service, including transit vehicle
operation, safety, infrastructure and
environmental sustainability, mobility,
rider experience, or broadband
communication. Information on current
and past SBIR projects can be found on
the DOT SBIR website: https://
www.volpe.dot.gov/work-with-us/smallbusiness-innovation-research.
K. Technical Assistance and Workforce
Development (49 U.S.C. 5314)
The Technical Assistance and
Workforce Development program, 49
U.S.C. 5314, has three types of
programs: Technical assistance and
standards development; human
resources and training; and the National
Transit Institute. FTA funds projects
across these areas to achieve statutory
goals to assist the public transportation
industry to more effectively and
efficiently provide public transportation
service; development standards and best
practices; provide specific technical
assistance in several areas, including
complying with the Americans with
Disabilities Act and human services
transportation coordination as well as
meeting the transportation needs of
older adults. Key focus areas for human
resources and training are employment
training; outreach to aid in recruiting
public transportation workers,
especially to increase employment for
certain targeted groups; frontline
workforce development; and advanced
training for new and emerging
technology areas such as low and no
emission bus maintenance. The
National Transit Institute’s goal is to
develop and conduct training and
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educational programs for Federal, State,
and local transportation employees and
others engaged in public transportation
work.
For more information or questions
about the Technical Assistance and
Workforce Development programs,
please contact Edwin Rodriguez, Office
of Research, Demonstration, and
Innovation at (202) 366–0671 or
edwin.rodriguez@dot.gov.
1. Authorized Amounts
Federal Transit law authorizes $9
million in contract authority for the
Technical Assistance and Workforce
Development Program and an additional
$5 million subject to congressional
appropriations.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated
Appropriations Act, 2018, $14 million is
for the Technical Assistance and
Workforce Development program as
shown in the table below.
TECHNICAL ASSISTANCE AND
WORKFORCE DEVELOPMENT
Total Appropriation available
$14,000,000
Total Appropriated ................
14,000,000
3. Basis for Allocation
Under the Technical Assistance and
Workforce Development Program, funds
are available for the NTI and to support
the FTA and USDOT strategic plan for
technical assistance, standards
development, and workforce
development. Projects may be selected
through sole source, Notices of Funding
Opportunity (NOFO) or Requests for
Proposals (RFPs). Potential recipients
can register to receive notification of
funding availability under this program
on Grants.gov. Once selected, FTA
enters cooperative agreements, grants,
contracts, or other agreements to award
funds and manage the projects carried
out under this section.
4. Requirements
Eligible expenses include activities
involving: (a) Technical assistance; (b)
standards development; and (c) human
resources and training, including
workforce development programs and
activities. Eligible technical assistance
activities may include activities to
support: (a) Compliance with the ADA;
(b) compliance with coordinating
planning and human services
transportation; (c) meeting the
transportation needs of elderly
individuals; (d) increasing transit
ridership in coordination with MPOs
and other entities, particularly around
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transit-oriented development; (e)
addressing transportation equity with
regard to the effect that transportation
planning, investment, and operations
have for low-income and minority
individuals; (f) facilitating best practices
to promote bus driver safety; (g)
compliance with Buy America
requirements and pre- and post-award
audits; (h) assisting with the
development and deployment of low
and no emission vehicles or
components for vehicles; (i) and other
technical assistance activities that are
necessary to advance the interests of
public transportation.
Eligible standards development
activities include the development of
voluntary and consensus-based
standards and best practices by the
industry including those needed for
safety, fare collection, intelligent
transportation systems, accessibility,
procurement, security, asset
management, operations, maintenance,
vehicle propulsion, communications,
and vehicle electronics.
Eligible human resources and training
activities include (a) employment
training programs; (b) outreach
programs to increase employment for
veterans, females, individuals with
disabilities, and minorities in public
transportation; (c) research on public
transportation personnel and training
needs; (d) training and assistance for
veteran and minority business
opportunities; and (e) consensus-based
national training standards and
certifications in partnership with
industry stakeholders. FTA funding
directly allocated for these eligible
purposes must be done through a
competitive frontline workforce
development program as required by
Section 5314. Should FTA allocate
funds for these purposes, it will
advertise the available funding in a
Notice of Funding Opportunity (NOFO)
on Grants.gov and on its website. In the
meantime, recipients of funds under
Sections 5307, 5337, and 5339 may use
0.5 percent of their available funds to
pay for workforce development
activities (up to an 80 percent Federal
share). There is a separate eligibility to
use 0.5 percent of available funds under
the sections above for training at the
National Transit Institute.
The Government’s share of the cost of
a project carried out using a grant under
this section shall not exceed 80 percent.
However, for the human resources and
training, including the Innovative
Public Transportation Frontline
Workforce Development Program, the
Government’s share cannot exceed 50
percent. The Federal share for other
types of awards will be stated in the
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agreement. In some cases, FTA may
require a higher non-Federal share if
FTA determines a recipient would
obtain a clear and direct financial
benefit from the project, or if the nonFederal share is an evaluation factor
under a competitive selection process.
The non-Government share of the cost
of a project carried out under these
sections (Technical Assistance and
Standards and Technical Assistance and
Training) may be derived from in-kind
contributions as defined in the most
current version of FTA Circular 5010,
‘‘Award Management Guidelines’’ found
on FTA’s Circular web page at https://
www.fta.dot.gov/circulars. Application
instructions and program management
guidelines are set forth in FTA Circular
6100.1E, ‘‘Research, Technical
Assistance and Training Programs:
Application Instructions and Program
Management Guidelines’’ dated May 11,
2015.
All recipients of Section 5314 funds
are required to work with FTA to
develop approved statements of work.
There is no match requirement for the
National Transit Institute.
5. Period of Availability
FTA establishes the period in which
the funds must be obligated to each
project. If the funds are not obligated
within that time, they revert to FTA for
reallocation under the program.
However, the $5 million of general
funds for technical assistance and
training funds appropriated by congress
in the consolidated appropriations Act,
2018 must be obligated by September
30, 2018 or no longer available and
returned to the U.S. Treasury.
6. Other Program Information
FTA publishes an annual report to
Congress on the technical assistance and
standards activities that receive
assistance under this section.
Additionally, FTA must report annually
on the Frontline Workforce
Development Program. FTA reports can
be found on FTA’s web page at
www.transit.dot.gov.
L. Public Transportation Emergency
Relief Program (49 U.S.C. 5324)
FTA’s Emergency Relief (ER) Program
is authorized to provide funding for
public transportation expenses incurred
because of an emergency or major
disaster. The Further Additional
Supplemental Appropriations for
Disaster Relief Requirements Act, 2018
(Division B, Subdivision 1 of Pub. L.
115–123) provides $330 million for this
program for transit systems affected by
Hurricanes Harvey, Irma, and Maria in
2017. FTA will provide more
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33033
information about the allocation of these
funds under a separate Federal Register
notice.
Funds appropriated for this program
are used to assist in responding to a
publicly declared emergency or disaster.
Eligible expenses include emergency
operating expenses, such as
evacuations, rescue operations, and
expenses incurred to protect assets in
advance of a disaster, as well as capital
projects to protect, repair, reconstruct,
or replace equipment and facilities of a
public transportation system that the
Secretary determines is in danger of
suffering serious damage or has suffered
serious damage because of an
emergency. Additionally, transit
agencies in the affected areas may
request relief from certain FTA
administrative and regulatory
requirements for costs incurred in
support of evacuations, rescue efforts,
and the efficient shut down and
resumption of transit services during
and after the storm. Requests for relief
from these requirements may be
submitted to FTA’s Emergency Relief
Docket at https://www.regulations.gov/.
The docket number for calendar year
2018 is FTA–2018–0001.
FTA also encourages transit agencies
in affected areas to become familiar with
FTA’s Emergency Relief Program
Manual, available at transit.dot.gov/
emergencyrelief. When funding is made
available by Congress through FTA’s
Emergency Relief Program, or at FEMA’s
direction, FTA will work with agencies
to assess the impacts of the storm,
including emergency operations and
any potential damages to transit rolling
stock or facilities.
Recipients of FTA funding affected by
a declared emergency or disaster are
also authorized to use funds
apportioned under Sections 5307 and
5311 for emergency purposes under the
provisions of FTA’s Emergency Relief
Program. Recipients are advised that
formula funds disbursed to a grantee for
emergency purposes will not be
replaced or restored if funding is
subsequently made available through
FTA under the ER Program or by the
Federal Emergency Management Agency
(FEMA).
In the event of a disaster affecting a
public transportation system, the
affected recipient should contact its
FTA Regional Office as soon as
practicable to determine whether
Emergency Relief Program funds are
available, and to notify FTA that it plans
to seek reimbursement for emergency
operations and/or repairs that have
already taken place or are in process. If
Emergency Relief funds are unavailable,
the recipient may seek reimbursement
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from FEMA. Properly documented costs
for which the grantee has not received
reimbursement from FEMA may later be
reimbursed by grants made either from
Emergency Relief Program funding (if
appropriated) or from Sections 5307 and
5311 program funding, once the eligible
recipient formally applies to FTA for
reimbursement and FTA determines
that the expenses are eligible for
emergency relief.
More information on the Emergency
Relief Program and FTA’s response to
Hurricane Sandy is available on the
FTA website at https://
www.transit.dot.gov/funding/grantprograms/emergency-relief-program/
emergency-relief-program. For more
information or questions on this
program, please contact John Bodnar at
(202) 366–9091 or john.bodnar@dot.gov.
M. State Safety Oversight Formula
Program (49 U.S.C. 5329)
The State Safety Oversight Formula
Program provides funding to support
States with rail fixed guideway public
transportation systems (rail transit
systems) to develop and carry out State
Safety Oversight (SSO) Programs
consistent with the requirements of 49
U.S.C. 5329. Federal transit law requires
States with rail transit systems operating
within their jurisdictions to establish a
State Safety Oversight (SSO) program
that must be certified by the Federal
Transit Administration (FTA) by April
15, 2019. The FTA is prohibited by law
from awarding any funds to any transit
agency within a State that fails to obtain
certification by the deadline. The FTA
recommends that States submit their
complete SSO program certification
applications no later than September 30,
2018. For more information on the
certification requirements, please visit
the FTA Web: www.transit.dot.gov/
regulations-and-guidance/safety/transitsafety-oversight-tso.
For more information or questions on
the Public Transportation Safety
program, please contact Maria Wright at
(202) 366–5922 or maria1.wright@
dot.gov.
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1. Authorized Amounts
Federal transit law authorizes
$23,634,536 in FY 2018 to provide
funding to support States in developing
and carrying out the SSO Program.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated
Appropriations Act, 2018, $23,634,536
is available for the State Safety
Oversight (SSO) Formula program as
shown in the table below.
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such funds are used for any other
purpose, or (2) withhold up to 25
percent of funds apportioned under 49
Total Appropriation available
$23,634,536 U.S.C. 5307 from a recipient when the
Administrator has evidence that the
Total Appropriated ................
23,634,536 recipient has engaged in a pattern or
practice of serious safety violations, or
3. Basis for Formula Apportionment
has otherwise refused to comply with
FTA will continue to allocate funds to the Public Transportation Safety
the States by an administrative formula, Program, or any regulation or directive
issued under those laws for which the
which is detailed in the Federal
Administrator exercises enforcement
Register notice apportioning SSO
Formula Grant Program FY 2013 and FY authority for safety.
2014 funds (Mar. 10, 2014). Grant funds N. State of Good Repair Program (49
for the SSO program are apportioned to
U.S.C. 5337)
eligible States using a three-tier formula
The State of Good Repair Program
based on statutory requirements, which
provides financial assistance to
apportion sixty percent (60 percent) of
designated recipients in Urbanized
available funds based on rail transit
Areas (UZAs) with fixed guideway and
system passenger miles (PMT), vehicle
high intensity motorbus systems for
revenue miles (VRM), and directional
capital investments that maintain,
route miles (DRM), twenty percent (20
rehabilitate, and replace aging transit
percent) of available funds equally to
assets and bring fixed guideway and
each eligible State, and twenty percent
(20 percent) based on the number of rail high intensity motorbus systems into a
state of good repair. FTA apportions
transit systems in each state.
funds for this program through a
4. Requirements
statutory formula using data reported to
the National Transit Database (NTD).
FTA requires each applicant to
For more information or questions on
demonstrate in its grant application that
the State of Good Repair program,
its proposed grant activities will
please contact Eric Hu at (202) 366–
develop, lead to, or carry out a State
Safety Oversight program that meets the 0870 or eric.hu@dot.gov.
requirements under 49 U.S.C. 5329(e).
1. Authorized Amounts
Grant funds may be used for program
Federal transit law authorizes
operational and administrative
$2,593,703,558 in FY 2018 for the State
expenses, including employee training
of Good Repair Program.
activities. Please see the Federal
Register notice which apportioned SSO 2. FY 2018 Funding Availability
Formula Grant Program FY 2013 and FY
In FY 2018 under the Consolidated
2014 funds (79 FR 13380, Mar. 10, 2014)
Appropriations Act, 2018,
for more information.
$2,993,703,558 is for the State of Good
5. Period of Availability
Repair Program. This amount includes
SSO Formula Grant Program funds are additional funds appropriated in the
amount of $400 million. The total
available for the year of apportionment
plus two additional years. Any FY 2018 amount apportioned is $2,963,766,522
after the deduction for oversight as
funds that remain unobligated at the
close of business on September 30, 2020 shown in the table below.
will revert to FTA for reapportionment
STATE OF GOOD REPAIR PROGRAM
under the SSO Formula Grant Program.
STATE SAFETY OVERSIGHT FORMULA
PROGRAM
6. Other Program Information
Section 5329 authorizes FTA to
temporarily assume oversight of a rail
transit safety system, under certain
circumstances. FTA also has the
authority to issue restrictions and
prohibitions to address unsafe
conditions or practices. On August 11,
2016, FTA published a final rule to set
procedures for FTA’s administration of
the Public Transportation Safety
Program. The final rule provides
procedures whereby FTA may: (1)
Require a recipient to use Chapter 53
funds to correct safety violations
identified by the Administrator or a
State Safety Oversight Agency before
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Total Appropriation available .................................
Oversight Deduction ...........
$2,993,703,558
(29,937,036)
Total Apportioned ............
2,963,766,522
3. Basis for Formula Apportionment
FTA apportions State of Good Repair
Program funds per a statutory formula.
Funds are apportioned to urbanized
areas with fixed guideway or high
intensity motorbus systems that have
been in operation for at least seven
years. This means that only segments of
fixed guideway and high intensity
motorbus systems that entered revenue
service on or before September 30, 2010
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are included in the formula, as
identified in the NTD. Funds
apportioned to urbanized areas with
fixed guideway are determined by two
equal elements: (1) A fixed proportion,
based on the proportion an urbanized
area would have received in FY 2011 to
the total amount apportioned to all
urbanized areas in the FY 2011 Fixed
Guideway Modernization program using
the fixed guideway definition defined in
prior law; and (2) a variable proportion,
based on the proportion of vehicle
revenue miles and directional route
miles attributed to an urbanized area
relative to all urbanized areas, with
revenue miles weighted for 60 percent
of this element and directional miles
weighted for 40 percent of this element.
Funds apportioned to urbanized areas
with motorbus systems are 60 percent
based on revenue miles and 40 percent
based on route miles that attributed to
an urbanized area relative to all
urbanized areas. The fixed guideway
tier is apportioned 97.15 percent of the
total appropriation, and the remaining
2.85 percent is apportioned to the highintensity motorbus tier.
4. Requirements
In addition to the program guidance
found in the FTA Circular 5300.1,
‘‘State of Good Repair Grants Program:
Guidance and application Instructions,’’
all recipients must comply with the
regulation at 49 CFR part 625, issued
under the authority of Section 5326 for
the Transit Asset Management plan
(TAM).
5. Period of Availability
The State of Good Repair Program
funds apportioned in this notice are
available for obligation during FY 2018
plus three additional years.
Accordingly, funds apportioned in FY
2018 must be obligated in grants by
September 30, 2021. Any FY 2018
apportioned funds that remain
unobligated at the close of business on
September 30, 2021 will revert to FTA
for reappointment under the State of
Good Repair Program.
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6. Other Program Information
In July 2016, FTA published a Final
Rule (49 CFR part 625) for Transit Asset
Management (81 FR 48890, July 26,
2016). Grantees must have a TAM plan
in place by October 1, 2018. Beginning
in FY 2019 all projects funded under the
State of Good Repair Program must
appear in the investment prioritization
of the grantee’s TAM plan.
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O. Grants for Buses and Bus Facilities
Program (49 U.S.C. 5339)
The Grants for Buses and Bus
Facilities Program provides financial
assistance to states, local governmental
entities that operate fixed route bus
service, and designated recipients for
capital investments in public
transportation systems to replace,
rehabilitate, lease, and purchase buses
and related equipment and to construct
bus-related facilities, including
technological changes or innovations to
modify low or no emission vehicles or
facilities. Funding is provided through
Section 5339(a) formula allocations and
Section 5339(b) competitive grants. A
sub-program, the Section 5339(c) Lowor No-Emission Vehicle Program,
provides competitive grants for bus and
bus facility projects that support low
and zero-emission vehicles.
For more information or questions on
the Grants for Buses and Bus Facilities
Formula Program, please contact John
Bodnar at (202) 366–9091 or
john.bodnar@dot.gov. For information
or questions regarding the competitive
Buses and Bus Facilities Infrastructure
Investment Program please contact
Mark G. Bathrick at (202) 366–9955 or
mark.bathrick@dot.gov. For information
or questions regarding the competitive
Low or No Emissions Grant Program,
contact Tara Clark at (202) 366–2623 or
tara.clark@dot.gov.
1. Authorized Amounts
Federal transit law authorizes,
$445,519,476 for the formula program,
$246,514,000 for the Bus competitive
program, and $55,000,000 for the Low
or No Emissions program in FY 2018 to
provide financial assistance for the
Grants for Buses and Bus Facilities
Program.
2. Funding Availability
In FY 2018 under the Consolidated
Appropriations Act, 2018, $654,623,476
is available for the Grants for Buses and
Bus Facilities Formula Program,
$84,450,000 for the Low or No Emission
Grants (competitive) Program, and
$407,960,000 for the Grants for Buses
and Bus Facilities (competitive)
Program. These amounts represent
additional funds appropriated in the
amount of $209,104,000; $29,450,000;
and $161,446,000, respectively. The
amounts apportioned after the 0.75
percent take-down for oversight are
shown in the table below.
33035
Oversight Deduction .............
(4,909,676)
Total Apportioned (Formula) ..............................
$649,713,800
Grants for Buses and Bus Facilities
(Low or No Emission (Competitive))
Total Appropriation (Low or
No Emission) available .....
Total to be Allocated (Low or
No Emission) .....................
$84,450,000
$84,450,000
Grants for Buses and Bus Facilities
(Bus Competitive)
Total Appropriation (Bus
Competitive) available .......
Oversight Deduction .............
Low or No Emission Grants
(Competitive) .....................
Allocation to Projects under
FY 2017 Competition (April
5, 2018) .............................
Total to be Allocated (Bus
Competition) ..................
492,410,000
(3,693,075)
(84,450,000)
(37,973,775)
$366,293,150
3. Basis for Formula Apportionment
Section 5339(a) Buses and Bus
Facilities Program formula funds are
apportioned to States, territories, and
designated recipients based on a
statutory formula. Under the National
Distribution, each State is allocated $3.5
million and each territory is allocated
$1 million for use anywhere in the State
or territory for fiscal years 2018. The
remainder of the available funding is
then apportioned to UZAs based on
population, vehicle revenue miles, and
passenger miles using the same
apportionment formula and allocation
process as the Urbanized Area Formula
Program. Funds for UZAs under 200,000
in population are apportioned to the
State for allocation to eligible recipients
within such areas of the State at the
Governor’s discretion. Funds for UZAs
with populations of 200,000 or more are
apportioned directly to one or more
designated recipient(s) within each UZA
for allocation to eligible projects and
recipients within the UZA.
FTA allocates funds under the
competitive Section 5339(b) and 5339(c)
programs on an annual basis based on
a notice of funding opportunity, which
contains detailed guidance on applicant
eligibility, project eligibility, evaluation
criteria, and application requirements.
4. Requirements
Eligible recipients for Section 5339(a)
formula grants include: (1) designated
recipients that allocate funds to fixed
route bus operators, and (2) States and
Grants for Buses and Bus Facilities
local governmental entities that operate
(Formula)
fixed route bus service. Eligible
subrecipients include public agencies or
Total Appropriation (Formula)
available ............................
$654,623,476 private nonprofit organizations engaged
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in public transportation, including those
providing services open to a segment of
the general public as defined by age,
disability, or low income. The definition
of eligible recipients applies to funding
apportioned in previous fiscal years that
remain available for obligation. The
requirements of the Urbanized Area
Formula Program apply to recipients of
Section 5339 funds within an urbanized
area. The requirements of Formula
Grants for Rural Areas program apply to
recipients of Section 5339 funds within
rural areas.
Under prior law, only designated
recipients were eligible direct recipients
of Section 5339(a) funds. Given that
State and local government entities that
operate fixed route service are now
eligible direct recipients of Section
5339(a) funds, FTA does not require
designated recipients to maintain
program management plans (PMPs) if
they do not manage any sub-awards of
Section 5339 funds.
For additional program requirements,
refer to FTA Circular 5100, ‘‘Buses and
Bus Facilities Formula Program:
Guidance and Application
Instructions.’’
sradovich on DSK3GMQ082PROD with NOTICES2
5. Period of Availability
The Bus and Bus Facilities Program
formula funds apportioned in this
notice are available for obligation during
FY 2018 plus three additional years.
Accordingly, funds apportioned in FY
2018 must be obligated in grants by
September 30, 2021. Any FY 2018
apportioned funds that remain
unobligated at the close of business on
September 30, 2021 will revert to FTA
for reapportionment under the Buses
and Bus Facilities Formula Program.
Competitive program funds authorized
under Sections 5339(b) and 5339(c)
follow the same period of availability
and reapportionment policy.
6. Other Program Information
Although it does not provide
additional funding, as authorized under
Section 5339(a)(9), FTA has established
a pilot program to allow designated
recipients in urbanized areas between
200,000 and 1 million in population to
elect to pool their Buses and Bus
Facilities Program formula allocations
with other designated recipients within
their respective states. The purpose of
this provision is to allow for the transfer
of formula funding within a State in a
manner that supports the transit asset
management plans of the participating
designated recipients. A State that
intends to participate in this pilot
program beginning in FY 2019 (October
1, 2018) must submit a request to
establish a State Pool to its FTA
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Regional Office by August 31, 2018. The
request must identify the urbanized
areas that will participate in the pool for
FY 2019, and must include a letter from
each urbanized area’s participating
designated recipient, and from any
affected eligible recipients of Section
5339(a) funds within the urbanized area,
indicating their intention to participate
in this pooling provision for FY 2019.
An urbanized area that participates in a
State Pool must contribute its entire
Section 5339(a) apportionment for the
fiscal years in which it participates in
the pool. For a multi-state area,
designated recipient for a multistate
area may participate in only one State
Pool. FY 2019 is the last year that a
State may establish a State Pool. For FY
2019, the request must specify the
proposed distribution of the pooled
funding and must provide a detailed
explanation of how this distribution
will support the transit asset
management plans of each participating
designated recipient, including any
eligible recipients to which the
designated recipient will allocate
funding. Upon approval, FTA will make
the requested amounts of program
funding available to the urbanized areas
as directed in the request. A State that
elects to participate in this pilot
program will be required to develop an
allocation plan for the period of fiscal
years 2019 and 2020 that ensures that a
designated recipient participating in the
State’s pool receives under the program
an amount of funds that equals the
amount of funds that would have
otherwise been available to the
designated recipient for that period
pursuant to the formulas provided. The
amounts in the State Pool will be
apportioned separately from funds
apportioned to the State under the
Governor’s Apportionment for
urbanized areas under 200,000 in
population, and will be made available
directly by FTA to the participating
urbanized areas, as directed in the
approved allocation plan. An allocation
plan may be revised for future fiscal
years, if it remains compliant with the
requirement to ensure equity over the
period the pool is in effect. Approved
requests to establish a State Pool for the
specified UZAs will remain in effect
until cancelled at the request of the
State or one or more designated
recipients. If a State or designated
recipient elects to end its participation
in this pooling provision in any future
fiscal year, FTA will adjust the formula
allocations so that the total amount that
each affected urbanized area has
received over the fiscal years in which
it participated, plus the following
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apportionment, equals the amount it
would have received over this period
had it not participated in the State pool.
Adjustments will be made using the
formula apportionment factors used for
each of the affected fiscal years. After
the pools are determined, FTA will
publish a supplementary table showing
the participating UZAs, the State total,
and the amounts for each UZA for FY
2019. In future years, the States must
provide the amounts determined by
August 31 (in an updated allocation
plan), so that FTA can publish the
breakdowns and make the funds
available in the Apportionment Notice.
P. Growing States and High Density
States Formula Factors (49 U.S.C. 5340)
Federal transit law authorizes the use
of formula factors to distribute
additional funds to the Section 5307
Urbanized Area Formula program and
Section 5311 Formula Grants for Rural
Areas program programs for growing
states and high density states. FTA will
continue to publish single urbanized
and rural apportionments that show the
total amount for Section 5307 and 5311
programs that includes Section 5340
apportionments for these programs.
For more information or questions on
this program, please contact Tara Clark
at (202) 366–2623 or tara.clark@dot.gov.
1. Authorized Amounts
Federal transit law authorizes
$552,783,547 for apportionment in FY
2018 for the Growing States and High
Density States Formula factors.
2. FY 2018 Funding Availability
Under the Consolidated
Appropriations Act, 2018, $582,783,547
is for the Growing States and High
Density States formula. This amount
represents additional appropriated
funds in the amount of $30 million.
GROWING STATES AND HIGH DENSITY
STATES FORMULA FACTORS
Growing States .....................
High Density States ..............
$286,132,747
296,650,800
Total Apportioned ..............
582,783,547
3. Basis for Formula Apportionment
Under the Growing States portion of
the Section 5340 formula, FTA projects
each State’s 2025 population by
comparing each State’s apportionment
year population (as determined by the
Census Bureau) to the State’s 2010
Census population and extrapolating to
2025 based on each State’s rate of
population growth between 2010 and
the apportionment year. Each State
receives a share of Growing States funds
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based on its projected 2025 population
relative to the nationwide projected
2025 population.
Once each State’s share is calculated,
funds attributable to that State are
divided into an urbanized area
allocation and a non-urbanized area
allocation on the basis of the percentage
of each State’s 2010 Census population
that resides in urbanized and nonurbanized areas. Urbanized Areas
receive portions of their State’s
urbanized area allocation based on the
2010 Census population in that
urbanized area relative to the total 2010
Census population in all urbanized
areas in the State. These amounts are
added to the Urbanized Area’s Section
5307 apportionment.
The States’ rural area allocation is
added to the allocation that each State
receives under the Formula Grants for
Rural Areas program.
The High Density States portion of the
Section 5340 formula are allocated to
urbanized areas in States with a
population density equal to or greater
than 370 persons per square mile. Based
on this threshold and 2010 Census data,
the States that qualify are Maryland,
Delaware, Massachusetts, Connecticut,
Rhode Island, New York and New
Jersey. The amount of funds provided to
each of these seven States is allocated
on the basis of the population density of
the individual State relative to the
population density of all seven States.
Once funds are allocated to each State,
funds are then allocated to urbanized
areas within the States based on an
individual urbanized area’s population
relative to the population of all
urbanized areas in that State.
sradovich on DSK3GMQ082PROD with NOTICES2
Q. Washington Metropolitan Area
Transit Authority Grants
Section 601 of the Passenger Rail
Investment and Improvement Act of
2008 (PRIIA) authorized an aggregate
amount of $1.5 billion to be available in
increments over 10 fiscal years
beginning in fiscal year 2009 to assist
the Washington Metropolitan Transit
Authority (WMATA) in implementing
its Capital Improvement Program and
preventive maintenance projects.
For more information or questions on
the Washington Metropolitan Area
Transit Authority Grants program,
please contact Eric Hu at (202) 366–
0870 or eric.hu@dot.gov or Corey
Walker at (202) 219–3562 or
corey.walker@dot.gov.
1. Authorized Amounts
Section 601 of PRIIA authorizes
$150,000,000 in FY 2018.
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2. FY 2107 Funding Availability
33037
Office that all pre-requisite
requirements have been met.
Under the Consolidated
Appropriations Act, 2018, $150,000,000 Commonly, a new grantee may
misunderstand pre-award authority
is available. The total amount available
conditions and be unaware of all of the
is $ 148,500,000 after the deduction for
applicable FTA requirements that must
oversight as shown in the table below.
be met in order to be reimbursed for
project expenditures incurred in
WASHINGTON METROPOLITAN AREA
advance of grant award. FTA programs
TRANSIT AUTHORITY GRANTS
have specific statutory requirements
that are often different from those for
Total Appropriation available
$150,000,000
other Federal grant programs with
Oversight Deduction .............
(1,500,000)
which new grantees may be familiar. If
Total Apportioned ..............
148,500,000 funds are expended for an ineligible
project or activity, or for an eligible
activity but at an inappropriate time
3. Basis for Allocation
(e.g., prior to NEPA completion), FTA
The funding is authorized under
will be unable to reimburse the project
Section 601, Authorization for Capital
sponsor and, in certain cases, the entire
and Preventive Maintenance Projects for project may be rendered ineligible for
Washington Metropolitan Area Transit
FTA assistance.
Authority, of the Passenger Rail
2. Policy
Investment and Improvement Act of
2008, (Pub. L. 110–432) Division B, Title
FTA provides pre-award authority to
VI.
incur expenses before grant award for
certain program areas described below.
4. Requirements
This pre-award authority allows
Grants may be provided for capital
grantees to incur certain project costs
and preventive maintenance
before grant approval and retain the
expenditures for WMATA after it has
eligibility of those costs for subsequent
been determined that WMATA has
reimbursement after grant approval. The
placed the highest priority on
grantee assumes all risk and is
investments that will improve the safety responsible for ensuring that all
of the system, including, but not
conditions are met to retain eligibility.
limited, to fixing the track signal
This pre-award spending authority
system, replacing 1000 series railcars,
permits an eligible grantee to incur costs
installing guarded turnouts, buying
on an eligible transit capital, operating,
equipment for wayside worker
planning, or administrative project
protection, and installing rollback
without prejudice to possible future
protection on cars that are not equipped Federal participation in the cost of the
with the safety feature. FTA will
project. In this notice, FTA provides
communicate further program
pre-award authority through the
requirements directly to WMATA. The
authorization period of the FAST Act
maximum Federal share for each project (October 1, 2015 through September 30,
shall be for 50 percent of the net project 2020) for capital assistance under all
cost of the project, and matching funds
formula programs, so long as the
shall be provided in cash from sources
conditions described below are met.
other than Federal funds or revenues
FTA provides pre-award authority for
from the operation of public
planning and operating assistance under
transportation systems.
the formula programs without regard to
the period of the authorization. All pre5. Period of Availability
award authority is subject to conditions
Funds appropriated for WMATA
and triggers stated below:
under Section 601 PRIIA shall remain
a. Operating, Planning, or
available until expended.
Administrative Assistance
V. FTA Policy and Procedures for FY
FTA does not impose additional
2018 Grants
conditions on pre-award authority for
operating, planning, or administrative
A. Automatic Pre-Award Authority To
assistance under the formula grant
Incur Project Costs
programs. Grantees may be reimbursed
1. Caution to New Grantees
for expenses incurred before grant
While FTA provides pre-award
award so long as funds have been
authority to incur expenses before grant expended in accordance with all
award for formula programs, it
Federal requirements, would have been
recommends that first-time grant
allowable if incurred after the date of
recipients NOT utilize this automatic
award, and the grantee is otherwise
pre-award authority without verifying
eligible to receive the funding. In
with the appropriate FTA Regional
addition to cross-cutting Federal grant
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requirements, program specific
requirements must be met. For example,
a State of Good Repair Formula Grants
project on or after October 1, 2018 must
be included in the grantee’s certified
TAM Plan, a planning project must be
included in a Unified Planning Work
Program (UPWP); a Section 5310 project
be included in a coordinated public
transit-human services transportation
plan (coordinated plan) and selected by
the designated recipient before
incurring expenses and expenditures on
State Administration expenses under
State Administered programs must be
consistent with the State Management
Plan (as defined in FTA Circular
9040.1G, Chapter 6). Designated
recipients for Section 5310 have preaward authority for the ten percent of
the apportionment they may use for
program administration.
sradovich on DSK3GMQ082PROD with NOTICES2
b. Transit Capital Projects
For transit capital projects, the date
that costs may be incurred varies
depending on the type of activity and its
potential to have a significant impact on
the human and natural environment as
described under conditions in section 3
below. Before an applicant may incur
costs when pre-award authority has not
been granted, it must first obtain a
written Letter of No Prejudice (LONP)
from FTA. To obtain an LONP, a grantee
must submit a written request
accompanied by adequate information
and justification to the appropriate FTA
regional office, as described in section 4
below.
c. Public Transportation Innovation,
Technical Assistance and Workforce
Development
Unless provided for in an
announcement of project selections, preaward authority does not apply to
Public Transportation Innovation
projects or Section 5314 Technical
Assistance and Workforce Development
projects. Before an applicant may incur
costs for activities under these
programs, it must first obtain a written
Letter of No Prejudice (LONP) from
FTA. To obtain an LONP, a grantee must
submit a written request accompanied
by adequate information and
justification to the appropriate FTA
headquarters office. Information about
LONP procedures may be obtained from
the appropriate headquarters office.
3. Conditions
The conditions under which preaward authority may be utilized are
specified below:
a. Pre-award authority is not a legal or
implied commitment that the subject
project will be approved for FTA
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assistance or that FTA will obligate
Federal funds. Furthermore, it is not a
legal or implied commitment that all
items undertaken by the applicant will
be eligible for inclusion in the project.
b. All FTA statutory, procedural, and
contractual requirements must be met.
c. No action will be taken by the
grantee that prejudices the legal and
administrative findings that the Federal
Transit Administration must make in
order to approve a project.
d. Local funds expended by the
grantee after the date of the pre-award
authority will be eligible for credit
toward local match or reimbursement if
FTA later makes a grant or grant
amendment for the project. Local funds
expended by the grantee before the date
of the pre-award authority will not be
eligible for credit toward local match or
reimbursement. Furthermore, the
expenditure of local funds or the
undertaking of certain activities that
would compromise FTA’s ability to
comply with Federal environmental
laws (e.g., project implementation
activities such as land acquisition,
demolition, or construction before the
date of pre-award authority) may render
the project ineligible for FTA funding.
e. The Federal amount of any future
FTA assistance awarded to the grantee
for the project will be determined based
on the overall scope of activities and the
prevailing statutory provisions with
respect to the Federal/local match ratio
at the time the funds are obligated.
f. For funds to which the pre-award
authority applies, the authority expires
with the lapsing of the fiscal year funds.
g. When a grant for the project is
subsequently awarded, the grant and the
Federal Financial Report in TrAMS
must indicate the use of pre-award
authority.
h. Environmental Requirements.
All Federal environmental grant
requirements must be met at the
appropriate time for the project to
remain eligible for Federal funding.
Designated recipients may incur costs
for design and environmental review
activities for all projects from the date
of the authorization of formula funds or
the date of the announcement of the
competitive allocations of funds for the
project.
For projects that qualify for a
categorical exclusion (CE) pursuant to
23 CFR 771.118(c), designated
recipients may start activities and incur
costs for property acquisition,
demolition, construction, and
acquisition of vehicles, equipment, or
construction materials from the date of
the authorization of formula funds or
the date of the announcement of the
competitive allocation of funds for the
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project. FTA recommends that a grant
applicant considering a (CE) pursuant to
23 CFR 771.118(c) contact FTA’s
Regional Office for assistance in
determining the appropriate
environmental review process and level
of documentation necessary before
incurring costs for property acquisition,
demolition, construction, and
acquisition of vehicles, equipment, or
construction materials. If FTA
subsequently finds that a project does
not qualify for this CE, it will be
ineligible for FTA assistance. FTA
encourages grant applicants to contact
FTA’s Regional Office before exercising
pre-award authority for projects to
which it believes a CE at 23 CFR
771.118(c)(8), (9), (10), (12), or (13)
applies.
For all other non-Capital Investment
Grant projects that do not qualify for a
CE under 23 CFR 771.118(c), grant
applicants may take action and incur
costs for property acquisition,
demolition, construction, and
acquisition of vehicles, equipment, or
construction materials from the date
that FTA completes the environmental
review process required by NEPA and
its implementing regulations, 23 U.S.C.
139, and other environmental laws by
its issuance of a Section 771.118(d)
categorical exclusion determination, a
Finding of No Significant Impact
(FONSI), or a Record of Decision (ROD).
i. Planning and other requirements.
Formula funds must be authorized or
appropriated and earmarked project
allocations published or announced
before pre-award authority can be
considered.
The requirement that a project be
included in a locally-adopted
Metropolitan Transportation Plan, the
metropolitan transportation
improvement program and federallyapproved statewide transportation
improvement program (23 CFR part 450)
must be satisfied before the grantee may
advance the project beyond planning
and preliminary design with non-federal
funds under pre-award authority. If the
project is located within an EPAdesignated non-attainment or
maintenance area for air quality, the
conformity requirements of the Clean
Air Act, 40 CFR part 93, must also be
met before the project may be advanced
into implementation-related activities
under pre-award authority triggered by
the completion of the NEPA process.
For a planning project to have preaward authority, the planning project
must be included in a MPO-approved
Unified Planning Work Program
(UPWP) that has been coordinated with
the State.
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j. Federal procurement procedures, as
well as the whole range of applicable
Federal requirements (e.g., Buy
America, Davis-Bacon Act, and
Disadvantaged Business Enterprise)
must be followed for projects in which
Federal funding will be sought in the
future. Failure to follow any such
requirements could make the project
ineligible for Federal funding. In short,
this increased administrative flexibility
requires a grantee to make certain that
no Federal requirements are
circumvented through the use of preaward authority.
k. All program specific requirements
must be met. For example, projects
under Section 5310 must comply with
specific program requirements,
including coordinated planning.
Before incurring costs, grantees are
strongly encouraged to consult with the
appropriate FTA Regional office
regarding the eligibility of the project for
future FTA funds and for questions on
environmental requirements, or any
other Federal requirements that must be
met.
4. Pre-Award Authority for the Fixed
Guideway Capital Investment Grants
Program
Projects proposed for Section 5309
Capital Investment Grant (CIG) program
funds are required to follow a multistep, multi-year process defined in law.
For New Starts and Core Capacity
projects, this process includes three
phases: project development (PD),
engineering, and construction. For
Small Starts projects, this process
includes two phases: PD and
construction. After receiving a letter
from the project sponsor requesting
entry into the PD phase, FTA must
respond in writing within 45 days
whether the information was sufficient
for entry. If FTA’s correspondence
indicates the information was sufficient
and the New Starts, Small Starts or Core
Capacity project enters PD, FTA extends
pre-award authority to the project
sponsor to incur costs for PD activities.
PD activities include the work necessary
to complete the environmental review
process and as much engineering and
design activities as the project sponsor
believes are necessary to support the
environmental review process. Upon
completion of the environmental review
process with a ROD, FONSI, or CE
determination by FTA for a New Starts,
Small Starts, or Core Capacity
Improvement project, FTA extends preaward authority to project sponsors to
incur costs for as much engineering and
design as needed to develop a
reasonable cost estimate and financial
plan for the project, utility relocation,
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and real property acquisition and
associated relocations for any property
acquisitions not already accomplished
as a separate project for hardship or
protective purposes or right-of-way
under 49 U.S.C. 5323(q).
For Small Starts projects, upon
completion of the environmental review
process and confirmation from FTA that
the overall project rating is at least a
Medium, FTA extends pre-award
authority for vehicle purchases. Upon
receipt of a letter notifying a New Starts
or Core Capacity project sponsor of the
project’s approval into the engineering
phase, FTA extends pre-award authority
for vehicle purchases as well as any
remaining engineering and design,
demolition, and procurement of long
lead items for which market conditions
play a significant role in the acquisition
price. The long lead items include, but
are not limited to, procurement of rails,
ties, and other specialized equipment,
and commodities.
Please contact the FTA Regional
Office for a determination of activities
not listed here, but which meet the
intent described above. FTA provides
this pre-award authority in recognition
of the long-lead time and complexity
involved with purchasing vehicles as
well as their relationship to the ‘‘critical
path’’ project schedule. FTA cautions
grantees that do not currently operate
the type of vehicle proposed in the
project about exercising this pre-award
authority. FTA encourages these
sponsors to wait until later in the
process when project plans are more
fully developed. FTA reminds project
sponsors that the procurement of
vehicles must comply with all Federal
requirements, including, but not limited
to, competitive procurement practices,
the Americans with Disabilities Act,
Disadvantaged Business Enterprise
program requirements and Buy
America. FTA encourages project
sponsors to discuss the procurement of
vehicles with FTA in regard to Federal
requirements before exercising preaward authority. Because there is not a
formal engineering phase for Small
Starts projects, FTA does not extend
pre-award authority for demolition and
procurement of long lead items. Instead,
this work must await receipt of a
construction grant award or an
expedited grant agreement.
a. Real Property Acquisition
As noticed above, FTA extends preaward authority for the acquisition of
real property and real property rights for
fixed Guideway Capital Investment
Grant projects (New or Small Starts or
Core Capacity) upon completion of the
environmental review process for that
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project. The environmental review
process is completed when FTA signs
an environmental Record of Decision
(ROD) or Finding of No Significant
Impact (FONSI), or makes a Categorical
Exclusion (CE) determination. With the
limitations and caveats described below,
real estate acquisition may commence,
at the project sponsor’s risk. For FTAassisted projects, any acquisition of real
property or real property rights must be
conducted in accordance with the
requirements of the Uniform Relocation
Assistance and Real Property
Acquisition Policies Act (URA) and its
implementing regulations, 49 CFR part
24. This pre-award authority is strictly
limited to costs incurred: (i) To acquire
real property and real property rights in
accordance with the URA regulation;
and (ii) to provide relocation assistance
in accordance with the URA regulation.
This pre-award authority is limited to
the acquisition of real property and real
property rights that are explicitly
identified in the final environmental
impact statement (FEIS), environmental
assessment (EA), or CE document, as
needed for the selected alternative that
is the subject of the FTA-signed ROD or
FONSI, or CE determination. This preaward authority regarding property
acquisition that is granted at the
completion of the environmental review
process does not cover site preparation,
demolition, or any other activity that is
not strictly necessary to comply with
the URA, with one exception—namely
when a building that has been acquired,
has been emptied of its occupants, and
awaits demolition poses a potential fire
safety hazard or other hazard to the
community in which it is located, or is
susceptible to reoccupation by vagrants.
Demolition of the building is also
covered by this pre-award authority
upon FTA’s written agreement that the
adverse condition exists. Pre-award
authority for property acquisition is also
provided when FTA makes a CE
determination for a protective buy or
hardship acquisition in accordance with
23 CFR 771.117(d)(12). Pre-award
authority for property acquisition is also
provided when FTA completes the
environmental review process for the
acquisition of right-of-way as a separate
project in accordance with 49 U.S.C.
5323(q). When a tiered environmental
review in accordance with 23 CFR
771.111(g) is used, pre-award authority
is NOT provided upon completion of
the first-tier environmental document
except when the Tier-1 ROD or FONSI
signed by FTA explicitly provides such
pre-award authority for a particular
identified acquisition. Project sponsors
should use pre-award authority for real
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property acquisition relocation
assistance with a clear understanding
that it does not constitute a funding
commitment by FTA. FTA provides preaward authority upon completion of the
environmental review process for real
property acquisition and relocation
assistance to maximize the time
available to project sponsors to move
people out of their homes and places of
business, in accordance with the
requirements of the URA, but also with
maximum sensitivity to the
circumstances of the people so affected.
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b. Reimbursement of Costs Incurred
Under Pre-Award Authority
Although FTA provides pre-award
authority for property acquisition, long
lead items, demolition, utility
relocation, and vehicle purchases upon
completion of the environmental review
process, FTA does not award Federal
funding for these activities conducted
under pre-award authority until the
project receives a Capital Investment
Grants program construction grant. This
is to ensure that Federal funds are not
risked on a project whose advancement
into construction is not yet assured.
c. National Environmental Policy Act
(NEPA) Activities
NEPA requires that certain projects
proposed for FTA funding assistance be
subjected to a public and interagency
review of the need for the project, its
environmental and community impacts,
and alternatives to avoid and reduce
adverse impacts. Projects of more
limited scope also need a level of
environmental review (to determine
whether there are significant
environmental impacts) or confirmation
that a categorical exclusion (CE) applies.
FTA’s regulation titled ‘‘Environmental
Impact and Related Procedures,’’ at 23
CFR part 771 states that the costs
incurred by a grant applicant for the
preparation of environmental
documents requested by FTA are
eligible for FTA financial assistance (23
CFR 771.105(e)). Accordingly, FTA
extends pre-award authority for costs
incurred to comply with NEPA
regulations and to conduct NEPArelated activities, effective as of the
earlier of the following two dates: (1)
The date of the Federal approval of the
relevant STIP or STIP amendment that
includes the project or any phase of the
project, or that includes a project
grouping under 23 CFR 450.216(j) that
includes the project; or (2) the date that
FTA approves the project into the
project development phase of the CIG
program. The grant applicant must
notify the FTA Regional Office to
initiate the Federal environmental
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review process in accordance with the
‘‘Dear Colleague’’ letter from the FTA
Administrator dated February 24, 2011.
NEPA-related activities include, but are
not limited to, public involvement
activities, historic preservation reviews,
Section 4(f) evaluations, wetlands
evaluations, endangered species
consultations, and biological
assessments. This pre-award authority is
strictly limited to costs incurred to
conduct the NEPA process and
associated engineering, and to prepare
environmental, historic preservation
and related documents. When a New
Starts, Small Starts, or Core Capacity
project is granted pre-award authority
for the environmental review process,
the reimbursement for NEPA activities
conducted under pre-award authority
may be sought at any time through
Section 5307 (Urbanized Area Formula
Program) or the flexible highway
programs (STP and CMAQ).
Reimbursement from the Section 5309
CIG program for NEPA activities
conducted under pre-award authority is
provided only for expenses incurred
after entry into the project development
phase and only once a construction
grant agreement is signed. As with any
pre-award authority, FTA
reimbursement for costs incurred is not
guaranteed.
d. Other Activities Requiring Letter of
No Prejudice (LONP)
Except as discussed in paragraphs i
through iii above, a CIG project sponsor
must obtain a written LONP from FTA
before incurring costs for any activity
not covered by pre-award authority. To
obtain an LONP, an applicant must
submit a written request accompanied
by adequate information and
justification to the appropriate FTA
Regional Office, as described in B
below.
B. Letter of No Prejudice (LONP) Policy
1. Policy
LONP authority allows an applicant
to incur costs on a project utilizing nonFederal resources, with the
understanding that the costs incurred
subsequent to the issuance of the LONP
may be reimbursable as eligible
expenses or eligible for credit toward
the local match should FTA approve the
project at a later date. LONPs are
applicable to projects and project
activities not covered by automatic preaward authority. The majority of LONPs
will be for Section 5309 Capital
Investment Grants program projects
undertaking activities not covered under
automatic pre-award authority. LONPs
may be issued for formula funds beyond
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the life of the current authorization or
FTA’s extension of automatic pre-award
authority; however, the LONP is limited
to a five-year period, unless otherwise
authorized in the LONP. Receipt of
Federal funding under any program is
not implied or guaranteed by an LONP.
2. Conditions and Federal Requirements
The conditions and requirements for
pre-award authority specified in section
V.4.ii and V.4.iii above apply to all
LONPs. Because project implementation
activities may not be initiated before
completion of the environmental review
process, FTA will not issue an LONP for
such activities until the environmental
review process has been completed with
a ROD, FONSI, or CE determination.
3. Request for LONP
Before incurring costs for project
activities not covered by automatic preaward authority, the project sponsor
must first submit a written request for
an LONP, accompanied by adequate
information and justification, to the
appropriate regional office and obtain
written approval from FTA. FTA
approval of an LONP is determined on
a case-by-case basis. Federal funding
under the Fixed Guideway Capital
Investment Grants program is not
implied or guaranteed by an LONP.
Specifically, when requesting an LONP,
the applicant shall provide the
following items:
a. Description of the activities to be
covered by the LONP.
b. Justification for advancing the
identified activities. The justification
should include an accurate assessment
of the consequences to the project
scope, schedule, and budget should the
LONP not be approved.
c. Allocated level of risk and
contingency for the activity requested.
C. FY 2018 Annual List of Certifications
and Assurances
The FY 2018 Certifications and
Assurances and Master Agreement must
be used for all grants and cooperative
agreements awarded in FY 2018. All
recipients with active projects are
required to sign the FY 2018
Certifications and Assurances within 90
days of publication.
D. Civil Rights Requirements
1. Civil Rights Overview
Recipients must carry out provisions
of the Americans with Disabilities act
(ADA) of 1990, Section 504 of the
Rehabilitation Act of 1973, as amended,
and the U.S. DOT’s implementing
regulations at 49 CFR parts 27, 37, 38,
and 39. FTA’s ADA Circular (4710.1)
provides guidance for carrying out the
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regulatory requirements of the ADA. In
addition, recipients must regularly
prepare and submit civil rights program
plans and reports to establish voluntary
compliance and document policies and
practices in the areas of Title VI, DBE
and EEO. The current status of civil
rights programs can be found on each
recipient’s Civil Rights Information page
of TrAMS. New program plans and
program updates can be submitted there
as well. Prior to submitting an
application for funding, recipients
should consult with FTA Circulars and
guidance and submit the following
programs, as applicable:
a. Title VI of the Civil Rights Act of
1964: The U.S. DOT’s Title VI
implementing regulations are found in
49 CFR part 21. FTA’s Title VI Circular
(4702.1B) provides guidance for
carrying out the regulatory
requirements.
b. Disadvantaged Business Enterprise
(DBE) program and triennial goal: The
U.S. DOT’s DBE implementing
regulations are found in 49 CFR part 26
and provide guidance for carrying out
the regulatory requirements and
developing the triennial DBE goal.
c. Title VII of the Civil Rights Act of
1964, Equal Employment Opportunity
(EEO): The U.S. DOT’s EEO
implementing regulations are found in
49 CFR part 21. FTA’s EEO Circular
(4704.1A) provides guidance for
carrying out the regulatory
requirements.
2. Title VI of the Civil Rights Act of
1964
Recipients in urbanized areas of
200,000 or more in population and with
50 or more fixed-route vehicles in peak
service must conduct a service equity
analysis for all service changes that
meet the recipient’s definition of ‘‘major
service change’’ prior to implementing
the service change. A service equity
analysis is also required for all New
Start, Small Start, or other new fixed
guideway capital projects, and must be
completed six months prior to
implementing revenue service.
Recipients also must conduct a fare
equity analysis for all fare increases or
decreases prior to implementing a fare
change and for changes to fare media,
such as a transition to a cashless fare
system. Recipients that do not meet the
abovementioned threshold of 200,000 or
more in population and 50 fixed route
vehicles in peak service (i.e., small
transit providers) are not required to
conduct a service or fare equity analysis
but should review their policies and
practices to ensure their service and fare
changes do not result in disparate
impacts on the basis of race, color, or
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national origin. For guidance, see Title
VI Circular 4702.1B at https://
www.transit.dot.gov/title6. Should you
have any questions, please contact your
Regional Civil Rights Officer.
3. Disadvantaged Business Enterprise
Program—Transit Vehicle
Manufacturers
Recipients exercising pre-award
authority are expected to comply with
the Disadvantaged Business Enterprise
(DBE) regulations. The Department of
Transportation’s DBE program helps
small businesses owned by socially and
economically disadvantaged individuals
to compete in the marketplace, and is
designed to support the people who
create jobs—our nation’s entrepreneurs.
When procuring vehicles, 49 CFR
26.49(a) requires that transit vehicle
manufacturers ‘‘must establish and
submit for FTA’s approval an annual
overall percentage goal’’ and ‘‘may make
the certification required by this section
if you have submitted the goal this
section requires and FTA has approved
it or not disapproved it.’’
Recipients are advised that it is not
sufficient to accept a certification stating
that ‘‘FTA has not disapproved’’ of a
TVMs DBE goal. Rather, Recipients
must ensure that the TVM has
submitted a goal to FTA and FTA has
either approved it or not disapproved it.
A recipient may request from FTA
verification that a TVM has submitted a
DBE goal to FTA for its review. Please
email your Regional Civil Rights Officer
regarding your request and FTA will
respond via email within five business
days. Furthermore, to assist with TVM
certification compliance, FTA maintains
a web posting of all certified TVMs
located at https://www.transit.dot.gov/
TVM.
Finally, FTA takes the position that
failure by a Recipient to verify a TVM’s
eligibility to bid on an FTA-assisted
contract prior to award cannot be cured
after award of the contract and will
likely result in FTA declining to provide
Federal funding for the vehicle
procurement.
Furthermore, recipients are also
reminded of the requirement in 49 CFR
26.49(a)(4), which states that ‘‘FTA
recipients are required to submit within
30 days of making an award, the name
of the successful bidder, and the total
dollar value of the contract in the
manner prescribed in the grant
agreement.’’ Recipients are to report to
FTA all vehicle purchases, postproduction alterations, and retrofit
procurements within the 30 days of
award. Vehicles purchased solely for
personal use and/or purchased ‘‘off the
lot’’ do not need to be reported.
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33041
E. Consolidated Planning Grants
FTA and FHWA planning funds
under both the Metropolitan Planning
and State Planning and Research
Programs can be consolidated into a
single consolidated planning grant,
awarded by either FTA or FHWA. The
Consolidated Planning Grants (CPG)
eliminate the need to monitor
individual fund sources, if several have
been used, and ensures that the oldest
funds will always be used first.
Under the CPG, States can report
metropolitan planning program
expenditures (to comply with the
Uniformed Guidance 2 CFR 200, subpart
F) for both FTA and FHWA under the
Catalogue of Federal Domestic
Assistance number for FTA’s
Metropolitan Planning Program
(20.505). Additionally, for States with
an FHWA Metropolitan Planning (PL)
fund-matching ratio greater than 80
percent, the State can waive the 20
percent local share requirement, with
FTA’s concurrence, to allow FTA funds
used for metropolitan planning in a CPG
to be granted at the higher FHWA rate.
For some States, this Federal match rate
can exceed 90 percent.
States interested in transferring
planning funds between FTA and
FHWA should contact the FTA Regional
Office or FHWA Division Office for
more detailed procedures. The FHWA
Order 4551.1 dated August 12, 2013, on
‘‘Funding Transfers to Other Agencies
and Among Title 23 Programs’’ provides
guidance and more detailed
information.
For further information on CPGs,
contact Ann Souvandara, Office of
Budget and Policy, FTA, at (202) 366–
0649 or ann.souvandara@dot.gov.
F. Grant Application Procedures
All applications for FTA funds should
be submitted to the appropriate FTA
Regional Office. All applications are
filed electronically. FTA continues to
award and manage grants and
cooperative agreements using the
Transit Award Management System
(TrAMS). Information on accessing and
using TrAMS, including a list of FTA
points of contact for the system, can be
found on FTA’s website at https://
www.transit.dot.gov/TrAMS.
FTA regional staff are responsible for
working with grantees to review and
process grant applications. For an
application to be considered complete
and ready for FTA to assign a Federal
Award Identification Number (FAIN),
enabling submission in TrAMS, and
submission to the Department of Labor
(when applicable), the following
requirements must be met:
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1. Recipient has registered in the
System for Award Management (SAM)
and its registration is current. If your
agency is not registered or needs to
ensure it is current, visit the SAM
website at (https://www.sam.gov).
2. Recipient’s contact information,
including Dun and Bradstreet Data
Universal Numbering System (DUNS), is
correct and up-to-date. If requested by
phone (1–866–705–5711), DUNS is
provided immediately. If your
organization does not have a DUNS,
please visit the Dun & Bradstreet
website at https://fedgov.dnb.com/
webform to obtain the number.
3. Recipient has properly submitted
its annual certifications and assurances.
4. Recipient’s Civil Rights
submissions are current.
After October 1, 2018, the grantee has
a Transit Asset Management plan in
place that meets the requirements of 49
CFR part 625, or is covered by a
compliant Group Plan.
5. Documentation is on file to support
recipient’s status as either a designated
recipient (for the program and area) or
a direct recipient.
6. Funding is available, including any
flexible funds included in the budget,
and split letters or suballocation letters
on file (where applicable) to support
amount being applied for in grant
application.
7. The project is listed in a currently
approved Transportation Improvement
Program (TIP); Statewide Transportation
Improvement Program (STIP), or
Unified Planning Work Program
(UPWP).
8. All eligibility issues are resolved.
9. Required environmental findings
are made.
10. The application contains a welldefined scope of work, including at least
one project with accompanying project
narratives, budget scope and activity
line item information, Federal and nonFederal funding amounts, and
milestones.
11. Major Capital Projects as defined
by 49 CFR part 633 ‘‘Project
Management Oversight’’ must document
FTA has reviewed the project
management plan and provided
approval.
12. Milestone information is
complete, or FTA determines that
milestone information can be finalized
before the grant is ready for award. FTA
will also review status of other open
grants’ reports to confirm financial and
milestone information is current on
other open grants and projects.
Before FTA can award grants for
competitive projects and activities,
notification must be provided to the
House and Senate authorizing and
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appropriations committees. Other
important issues that impact FTA grant
processing activities are discussed
below.
a. System for Award Management
(SAM) Registration and Dun and
Bradstreet Universal Numbering System
(DUNS) Number.
Each applicant or recipient of Federal
Funds is required to: (1) Be registered in
SAM before submitting its application;
(2) have a valid DUNS number; and (3)
continue to maintain an active SAM
registration with current information at
all times during which it has an active
award or an application or plan under
consideration by the Federal Transit
Administration (FTA). FTA will not
make an award to an applicant until the
applicant has complied with all
applicable DUNS and SAM
requirements and, if an applicant has
not fully complied with the
requirements by the time the FTA is
ready to make a Federal award, FTA
may determine that the applicant is not
qualified to receive a Federal award and
use that determination as a basis for
making a Federal award to another
applicant.
The System for Award Management
(SAM) https://www.sam.gov/portal/
SAM/ is the Official U.S. Government
system that consolidated the capabilities
of many systems. There is no fee to
register or use this site. Entities may
register and update their information at
no cost directly from the above site.
SAM registration (formerly CCR
registration) needs to be renewed at
least annually.
b. Award Budgets—Scope Codes and
Activity Line Items (ALI) Codes;
Financial Purpose Codes.
FTA uses the Scope and Activity Line
Item (ALI) Codes in the award budgets
to track disbursements, monitor
program trends, report to Congress, and
to respond to requests from the
Inspector General and the Government
Accountability Office (GAO), as well as
to manage grants. The accuracy of the
data is dependent on the careful and
correct use of codes.
c. Designated and Direct Recipients
Documentation
For its formula programs, FTA
primarily apportions funds to the
designated recipient in the large UZAs
(areas over 200,000), or for areas under
200,000 (small UZAs and rural areas), it
apportions the funds to the Governor, or
its designee (e.g., State DOT).
Depending on the program and as
described in the individual program
sections found in Section IV of this
notice, further suballocation of funds
may be permitted to eligible recipients
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who may then apply directly to FTA for
the funding (direct recipients), so long
as the required documentation is on file.
For the programs in which FTA may
make grants to eligible direct recipients,
other than the designated recipient(s),
recipients are reminded that
documentation must be on file to
support: (1) The status of the recipient
either as a designated recipient or direct
recipient; and (2) the allocation of funds
to the direct recipient.
Documentation to support existing
designated recipients for the UZA must
also be on file at the time of the first
application in FY 2018. Further, split
letters and/or suballocation letters
(Governor’s Apportionment letters),
must also be on file to support grant
applications from direct recipients.
Once suballocation letters for FY 2018
funding are finalized they should be
uploaded into TrAMS.
The Direct Recipient is required to
upload to TrAMS a copy of the
suballocation letter (Letter) indicating
their allocation of funding [for the
appropriate fund program] when the
applicant transmits their application for
initial review. The letter must be signed
by the Designated Recipient, or as
applicable in accordance with their
planning requirements. If there are two
Designated Recipients, both entities
must sign the Letter. The Letter must:
(1) Indicate the allocations to the
respective Direct Recipients listed in the
letter; (2) incorporate language above
the signatories to reflect this agreement;
and (3) make clear that the Direct
Recipient will assume any/all
responsibility associated with the award
for the funds. When drafting the letter,
Designated Recipients may use the
template language below:
‘‘As identified in this Letter, the
Designated Recipient(s) authorize the
reassignment/reallocation of [enter fund
source; e.g. Section 5307 funds] to the
Direct Recipient(s) named herein. The
undersigned agree to the amounts
allocated/reassigned to each direct
Recipient. Each Direct Recipient is
responsible for its application to the
Federal Transit Administration to
receive such funds and assumes the
responsibilities associated with any
award for these funds.’’
2. Payments
Once a grant has been awarded and
executed, requests for payment can be
processed. To process payments, FTA
uses ECHO-Web, an internet accessible
system that provides grantees the
capability to submit payment requests
on-line, as well as receive user-IDs and
passwords via email. New applicants
should contact the appropriate FTA
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Federal Register / Vol. 83, No. 136 / Monday, July 16, 2018 / Notices
Regional Office to obtain and submit the
registration package necessary for set-up
under ECHO-Web.
3. Oversight
FTA is responsible for conducting
oversight activities to help ensure that
grants recipients use FTA Federal
financial assistance in a manner
consistent with its intended purpose
and in compliance with regulatory and
statutory requirements. FTA conducts
periodic oversight reviews to assess
grantee compliance with applicable
Federal requirements. Each Urbanized
Area Formula Program recipient is
reviewed every three years, (also known
as FTA’s Triennial Review); and States
and state-wide public transportation
agencies are reviewed periodically to
assess the management practices and
program implementation of FTA statewide programs (e.g., Planning, Rural
Areas, Enhanced Mobility of Seniors
and Individuals with Disabilities
Programs). Other more detailed reviews
are scheduled based on an annual
grantee oversight assessment. Important
objectives of FTA’s oversight program
include, but are not limited to:
Determining grantee compliance with
Federal requirements; identifying
technical assistance needs, and
delivering technical assistance to meet
those needs; spotting emerging issues
with grantees in a forward-looking
fashion; recognizing when there is a
need for more in-depth reviews in the
areas of procurement, financial
management, and civil rights; and
identifying grantees with recurring or
systemic issues.
4. Technical Assistance
sradovich on DSK3GMQ082PROD with NOTICES2
As noted throughout the notice, FTA
continues to rely on several of the
existing program circulars for general
program guidance. FTA is continuing to
update the program circulars, with an
opportunity for notice and comment
(where warranted), to reflect
amendments to chapter 53 of title 49,
VerDate Sep<11>2014
19:05 Jul 13, 2018
Jkt 244001
U.S.C. made by the FAST Act. In the
meantime, if you have any questions,
please do not hesitate to contact FTA.
FTA headquarters and regional staff will
be pleased to answer your questions and
provide any technical assistance you
may need to apply for FTA program
funds and manage the grants you
receive. At its discretion, FTA may also
use program oversight consultants to
provide technical assistance to grantees
on a case by case basis. This notice and
the program guidance circulars
previously identified in this document
may be accessed via the FTA website at
www.fta.dot.gov.
G. Grant Management
1. Grant Reporting
Recipients of FTA funds are reminded
that all FTA grantees are required to
report on their grants. It is critical to
ensure reports demonstrate that
reasonable progress is being made on
projects. At a minimum, all awards
require a Federal Financial Report (FFR)
and a Milestone Progress Report (MPR)
on an annual basis. Some reports are
required quarterly depending on the
recipient and the type of projects
funded under the grant and FTA’s riskbased reporting policy that went into
effect on October 1, 2017. The
requirements for these reports and other
reporting requirements can be found in
the latest version of FTA Circular 5010.
FTA staff, auditors, and contractors rely
on the information provided in the FFR
and MPR to review and report on the
status of both financial and project-level
activities contained in the grant. It is
critical that recipients provide accurate
and complete information in these
reports and submit them by the required
due date. Failure to report and/or
demonstrate reasonable progress on
projects can result in suspension or
premature close-out of a grant.
2. Inactive Grants and Grant Closeout
In FY 2018 FTA will continue to
focus on identifying and working with
PO 00000
Frm 00027
Fmt 4701
Sfmt 9990
33043
recipients to close inactive grants. If
appropriate, FTA will act to close out
and deobligate funds from these grants
if reasonable progress is not made. The
efficient use of funds will further FTA’s
fulfillment of its mission to provide
efficient and effective public
transportation systems for the nation. As
inactive grants continue to be an audit
finding within the DOT, FTA must act
to ensure its grants do not prevent the
DOT from receiving a ‘‘clean audit’’
opinion on its annual financial
statements.
In October 2017, FTA identified a list
of grants that were awarded on or prior
to September 30, 2014 and have had no
funds disbursed since September 30,
2016 or have never had a disbursement.
FTA Regional Offices will be contacting
grant recipients with grants that meet
these criteria to notify them that FTA
intends to close the grant and deobligate
any remaining funds unless the grantee
can provide information that
demonstrates that the projects funded
by the grant remain active and the
grantee has a realistic schedule to
expedite completion of the projects
funded in the grant.
In addition, FTA will work to identify
any grants that may be subject to Grants
Oversight and New Efficiency (GONE)
Act reporting in October 2018. The
GONE Act requires Federal agencies to
report active awards whose period of
performance end date is two or more
years prior to the end of the fiscal year.
For FY 2018, this means any active
award with a period of performance end
date on September 30, 2016 or prior.
FTA plans to work with recipients
whose awards are in this category to
close the awards or modify the award to
extend the period of performance, as
necessary.
Issued in Washington, DC.
K. Jane Williams,
Acting Administrator.
[FR Doc. 2018–14989 Filed 7–13–18; 8:45 am]
BILLING CODE P
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]]>Agencies
[Federal Register Volume 83, Number 136 (Monday, July 16, 2018)]
[Notices]
[Pages 33018-33043]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-14989]
[[Page 33017]]
Vol. 83
Monday,
No. 136
July 16, 2018
Part III
Department of Transportation
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Federal Transit Administration
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FTA Fiscal Year 2018 Apportionments, Allocations, Program Information
and Guidance; Notice
Federal Register / Vol. 83 , No. 136 / Monday, July 16, 2018 /
Notices
[[Page 33018]]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2018 Apportionments, Allocations, Program
Information and Guidance
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
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SUMMARY: This notice provides priorities for programs in fiscal year
(FY) 2018, announces the full-year apportionments and allocations for
grant programs, provides contract authority, and describes plans for
several competitive programs.
FOR FURTHER INFORMATION CONTACT: For general information about this
notice contact Kimberly Sledge, Director, Office of Transit Programs,
at (202) 366-2053. Please contact the appropriate FTA Regional Office
for any specific requests for information or technical assistance. FTA
Regional Office contact information is available on FTA's website:
www.transit.dot.gov. An FTA headquarters contact for each major program
area is included in the discussion of that program in the text of this
notice. FTA recommends stakeholders subscribe on FTA's website
www.transit.dot.gov to receive email notifications when new information
is available.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Overview
II. FY 2018 Funding for FTA Programs
A. Funding Based on the Transportation, Housing and Urban
Development, and Related Agencies Appropriations Act, 2018 (Pub L.
115-141)
B. Oversight Takedown
C. FY 2018 Formula Apportionments: Data and Methodology
III. FY 2018 Program Highlights
A. Streamlining Activities
1. Risk-Based Federal Financial and Milestone Progress Reporting
and Review
2. Real Estate Appraisal and Review Appraisal Submissions
3. Updates to Triennial Review and State Management Reviews
4. Online Dialogue on Definition of a ``Federal Project''
5. Emergency Relief Docket
6. Cancellation of Circulars
B. Policy Priorities
1. Safety
2. Positive Train Control (PTC)
3. Automation
4. Value Capture
5. Transit Asset Management Plans
6. Bus Testing (49 U.S.C. 5318)
C. FY 2018 Competitive Program Funding
IV. FY 2018 Program-Specific Information
A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
B. State Planning and Research Program (49 U.S.C. 5304 and
5305(e))
C. Urbanized Area Formula Program (49 U.S.C. 5307)
D. Fixed Guideway Capital Investment Grants Program (49 U.S.C.
5309)
E. Formula Grants for the Enhanced Mobility of Seniors and
Individuals With Disabilities Program (49 U.S.C. 5310)
F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
G. Rural Transportation Assistance Program (49 U.S.C.
5311(b)(3))
H. Appalachian Development Public Transportation Assistance
Program (49 U.S.C. 5311(c)(2))
I. Formula Grants for Public Transportation on Indian
Reservations Program (49 U.S.C. 5311(j))
J. Public Transportation Innovation (49 U.S.C. 5312)
K. Technical Assistance and Workforce Development (49 U.S.C.
5314)
L. Public Transportation Emergency Relief Program (49 U.S.C.
5324)
M. State Safety Oversight Formula Program (49 U.S.C. 5329)
N. State of Good Repair Grants Program (49 U.S.C. 5337)
O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
P. Apportionments Based on Growing States and High-Density
States Formula Factors (49 U.S.C. 5340)
Q. Washington Metropolitan Area Transit Authority Grants
V. FTA Policy and Procedures for FY 2018 Grants
A. Automatic Pre-Award Authority to Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FY 2018 Annual List of Certifications and Assurances
D. Civil Rights Requirements
E. Consolidated Planning Grants
F. Grant Application Procedures
G. Grant Management
I. Overview
This document contains important information about FTA programs,
statutes (49 U.S.C. 5301, et seq.) and policy priorities. In addition,
this document provides notice to stakeholders that FTA is apportioning
the full Fiscal Year (FY) 2018 authorized contract authority through
September 30, 2018 for FTA formula and competitive programs pursuant to
Division L-Transportation, Housing and Urban Development, and Related
Agencies Appropriations Act (Pub. L. 115-141).
For each FTA program, FTA has provided information on the FY 2018
authorized funding levels, the basis for apportionment or allocation of
funds, requirements specific to the program, the period of availability
of funds, and other program information. A separate section provides
information on pre-award authority as well as other requirements and
guidance applicable to FTA programs and grant administration. Finally,
the notice includes a reference to tables on FTA's website that show
new contract authority apportioned and made available through September
30, 2018.
Information in this document includes references to the existing
FTA program guidance and circulars. Some information in FTA's guidance
documents and circulars may have been superseded by new provisions in
the Fixing America's Surface Transportation (FAST) Act, but these
guidance documents and circulars remain a resource for program
management in most areas. FTA intends to revise the guidance and
circulars, as appropriate.
II. FY 2018 Funding for FTA Programs
A. Funding Based on Division L-Transportation, Housing and Urban
Development, and Related Agencies Appropriations Act, 2018
Division L-Transportation, Housing and Urban Development, and
Related Agencies Appropriations Act, 2018 (Pub. L. 115-141)
(``Consolidated Appropriations Act, 2018'') makes funding available
through September 30, 2018. Current funding availability for each
program is identified in section IV of this notice and in Table 1
located on FTA's FY 2018 Apportionment web page: www.transit.dot.gov/funding/apportionments.
B. Oversight Takedown
49 U.S.C. 5338(f) (all subsequent statutory references are to title
49, United States Code) provides for the following oversight takedowns
of FTA programs: 0.5 percent of Metropolitan and Statewide Planning
funds, 0.75 percent of Urbanized Area Formula Grant funds, 1 percent of
Fixed Guideway Capital Investment Grants funds, 0.5 percent of Formula
Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities funds, 0.5 percent of Formula Grants for Rural Areas
funds, 1 percent of State of Good Repair Formula Grants funds, 0.75
percent for Grants for Buses and Bus Facilities funds, and 1 percent of
Capital and Preventive Maintenance Projects for grants to the
Washington Metropolitan Area Transit Authority. The funds are used to
provide necessary oversight activities, such as oversight of the
construction of any major capital project receiving Federal transit
assistance; to conduct State Safety Oversight, drug and alcohol, civil
rights, procurement systems, management, planning certification, and
financial management
[[Page 33019]]
reviews and audits; evaluations and analyses of grantee-specific
problems and issues; for salaries and benefits of FTA employees
performing certain oversight activities; and to generally provide
technical assistance and correct deficiencies identified in compliance
reviews and audits.
C. FY 2018 Formula Apportionments: Data and Methodology
1. Apportionment Tables
FTA publishes apportionment tables on its website for each program
that reflect the funding level in the full-year appropriations act less
oversight take-downs, as applicable. Tables displaying the funds
available to eligible states, tribes, and urbanized areas have been
posted to https://www.transit.dot.gov/funding/apportionments. This
website contains a page listing the apportionment and allocation tables
for FY 2018, links to prior year formula apportionment notices and
tables, and the National Transit Database (NTD) and Census data used to
calculate the FY 2018 apportionments.
2. National Transit Database (NTD) and Census Data Used in the FY 2018
Apportionments
Consistent with past practices, the calculations for Sections 5307,
5311, including 5311(j) (Tribal Transit), 5329, 5337, and 5339 rely on
the most-recent transit service data reported to the NTD, which for FY
2018 is the 2016 report year. In some cases, where an apportionment is
based on the age of the system, the age is calculated as of September
30, 2017, the last day before FY 2018 began. Recipients or
beneficiaries of either Section 5307 or 5311 funds are required to
report to the NTD. Additionally, several transit operators report to
the FTA's NTD on a voluntary basis. For the 2016 report year, the NTD
includes data from 953 reporters in urbanized areas, 925 of which
reported operating transit service. The NTD also includes data from
1,478 providers of rural transit service, which includes 126 Indian
Tribes providing transit service.
The 2010 Census data is used to determine population and population
density for Sections 5303, 5305, 5307 and 5339 as well as rural
population and rural land area for the 5311 program. The formulas for
Sections 5307, 5311, and 5311(j) include tiers where funding is
allocated based on the number of persons living in poverty, and the
Section 5310 formula program allocates funding based on the population
of older adults and people with disabilities. The Census Bureau no
longer publishes decennial census data on persons living in poverty and
persons with disabilities. As a result, since FY 2013, FTA has used the
data for these populations available via the Census' American Community
Survey (ACS). The NTD and Census data that FTA used to calculate the
apportionments associated with this notice can be found on FTA's
website: www.transit.dot.gov/funding/apportionments.
The FY 2018 apportionments use data on low-income persons, persons
with disabilities, and older adults from the 2011-2015 ACS five-year
data set, which was published in December 2016. This data represents
the most recent five-year ACS estimates that are available as of
October 1 for the year being apportioned. As was the case in prior
years, data on low-income persons comes from ACS Table B17024, ``Age by
Ratio of Income to Poverty in the Last Twelve Months,'' and data on
people with disabilities under 65 years old comes from ACS Table S1810,
``Disability Characteristics.'' Data on older adults (over 65 years
old) comes from ACS Table B01001, ``Sex by Age.''
III. FY 2018 Program Highlights and Changes
A. Streamlining Activities
This past year FTA has reviewed its existing regulations and
guidance and other agency actions to evaluate their continued necessity
and determine whether they are crafted effectively to solve current
problems. FTA's review was based on the principle that there should be
no more requirements than necessary, and those requirements should be
straightforward, clear, and designed to minimize burdens. Once issued,
these requirements should be reviewed periodically and revised to
ensure that they continue to meet the needs for which they originally
were designed, remain cost-effective, and remain cost-justified. As a
part of this review, FTA also considered input from external
stakeholders that was provided in response to the Department's Notice
of Review of Policy, Guidance and Regulation (82 FR 26734 (June 8,
2017)) and Notification of Regulatory Review (82 FR 45750 (Oct. 2,
2017)). Because of these reviews and external input, FTA has
implemented the following:
1. Risk-Based Federal Financial and Milestone Progress Reporting and
Review
Beginning on October 1, 2017, FTA implemented a risk-based policy
on how frequently recipients must submit milestone progress reports
(MPRs) and Federal Financial Reports (FFRs) for awarded grants. Under
the new policy, all grants of $2 million or less that are awarded to
recipients located in urbanized areas over 200,000 in population should
be reported annually rather than quarterly unless a specific risk is
identified for that grant. FTA has identified the awards that meet this
criterion and has switched them from a quarterly to an annual reporting
cycle. As FTA reviews new draft applications in FY 2018, we will assign
a quarterly or an annual reporting cycle for the award based on this
criterion. This policy change will reduce the grant reporting burden by
approximately 13,000 reports for FTA recipients while allowing FTA to
prioritize reviewing MPRs and FFRs for higher risk grants.
2. Real Estate Appraisal and Review Appraisal Submissions
All real property transactions must be undertaken in accordance
with the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended (Uniform Act or URA), 42 U.S.C. 4601
et seq., and 49 CFR part 24, the implementing regulation. This includes
requirements for appraisals and review appraisals as described in FTA
5010.1E Award Management Requirements. Additionally, Circular 5010.1E
requires recipients to provide appraisals and review appraisals to FTA
for review and concurrence for acquisitions and dispositions or
property condemnation of more than $500,000, or in-kind contributions
and land exchanges of any value before federal assistance is expended,
or when the value is used as non-federal share. To reduce the burden on
FTA recipients, FTA has increased the threshold to $1,000,000 for which
appraisals and review appraisals for acquisition, disposition or
property condemnations must be submitted to FTA for review. In-kind
contributions and land exchanges of any value must still be submitted
to FTA for review and concurrence. This change will reduce required
submissions to FTA by 20 percent, saving about 50 total weeks of review
time. FTA will make page-edits to Circular 5010.1E circular subsequent
to this notice to document this change. FTA notes that all appraisals
regardless of value must be compliant with 49 CFR 24.103. FTA may
choose to review any appraisal or review appraisal used in an FTA
assisted award when circumstances warrant or as part of a periodic
review. The recipient must maintain documentation that supports
valuation decisions in the parcel files.
[[Page 33020]]
3. Updates to Triennial Review and State Management Reviews
For FY 2018, FTA has made updates and process changes to its
Triennial and State Management Reviews. These changes are based on
feedback received from our recipients, review contractors, and
colleagues and are also part of FTA's ongoing commitment to improve
consistency and transparency in its oversight reviews. We anticipate
that these changes will result in a more efficient review process that
provides our recipients with a clearer understanding of what is
expected during a Triennial or State Management Review, how FTA
reviewers determine compliance, and why a finding of deficiency is
made.
The Grantee Information Request (GIR) package is now called the
Recipient Information Request (RIR) package. The FTA has redesigned the
RIR to significantly reduce the level of effort required for completion
by the recipient. The updated RIR package consists of:
Recipient Profile Information: Basic information about the
recipient that FTA uses to better understand the recipient's
institutional and operating structure, and to help determine
applicability of oversight requirements.
Recipient Information Request: A list of documents and answers to
specific questions that the FTA needs to begin assessing a recipient's
compliance with the basic requirements identified in the Comprehensive
Review Guide. The FTA is moving away from the narrative responses
required in previous years. Once FTA's contractors begin reviewing the
requested documentation, the recipient may be asked to provide answers
to additional targeted questions on a case-by-case basis.
Changes to the Comprehensive Review Guide:
The FTA undertook a ``back to basics'' exercise with the Triennial
and State Management Review Guide, known as the Comprehensive Review
Guide, to identify the minimum compliance requirements and the optimal
methods for assessing compliance. The key to this effort was ensuring
that all questions were directly related to specific, citable, written
requirements. This new guide clearly articulates what is expected of
recipients and exactly how FTA will determine compliance. The guide can
be accessed at https://www.transit.dot.gov/oversight-policy-areas/fy18-comprehensive-review-guide.
4. Online Dialogue on Definition of Federal Project
The current definition of a ``Federal'' project is defined in the
FAST Act, Public Law 114-94 as, ``any highway project, public
transportation capital project, or multimodal project that, if
implemented as proposed by the project sponsor, would require approval
by any operating administration or secretarial office within the
Department of Transportation.'' The FTA is now examining how it defines
``Federal'' project and the effects of that definition on project
implementation. To learn more, the FTA is conducting an online dialogue
to help identify potential opportunities to expedite investments in
transit infrastructure through the exclusion of certain projects or
project elements from potentially burdensome Federal requirements. FTA
intends to review the relevant thresholds for defining whether a
project or project element qualifies as federally funded, which
determines whether it is subject to various Federal requirements,
reviews, and oversight.
Through this online dialogue, the FTA will pose a series of
questions and invite States, transit agencies, transit operators, and
other stakeholders to submit comments and responses on this topic.
The online dialogue will be open through August 15, 2018. FTA will
provide a link to the online dialogue through email, social media, and
its website.
5. Emergency Relief Docket
On February 2, 2018 FTA announced the establishment of an Emergency
Relief Docket for calendar year 2018. See https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02083.pdf for more information. After an
emergency or major disaster, if FTA requirements impede a grantee or
subgrantee's ability to respond to the emergency or major disaster, a
grantee or subgrantee may submit a request for temporary relief from
FTA administrative and statutory requirements. A grantee or subgrantee
seeking relief must submit a petition for waiver of FTA requirements at
www.regulations.gov for posting in the docket (FTA-2018-0001). For
additional information on the Emergency Relief Docket, please contact
the appropriate FTA Regional Office.
6. Cancellation of Circulars
As part of FTA's ongoing review of requirements, FTA has identified
several circulars that should be cancelled. Information in these
circulars is either no longer applicable or found in other guidance
documents.
----------------------------------------------------------------------------------------------------------------
Circular No. Circular name
----------------------------------------------------------------------------------------------------------------
2710.6.............................................................. Section 15 Accounting and Reporting
Release Number 1.
2710.7.............................................................. Section 15 Accounting and Reporting
Release Number 2.
4715.1A............................................................. Human Resource Programs (Section 20)
Application and Project Management
Guidelines.
7008.1A............................................................. Financial Capacity Policy.
7020.1.............................................................. Cross-Border Leasing Guidelines.
9045.1.............................................................. New Freedom Program Guidance and
Application Instructions.
9050.1.............................................................. The Job Access and Reverse Commute (JARC)
Program Guidance and Application
Instructions.
----------------------------------------------------------------------------------------------------------------
Under the Administrative Procedure Act (APA) (5 U.S.C. 553(b)), an
agency may waive the normal notice and comment procedure if it finds,
for good cause, that it would be impracticable, unnecessary, or
contrary to the public interest. Additionally, 5 U.S.C. 553(d) provides
that an agency may waive the 30-day delayed effective date upon finding
of good cause.
Circulars 2710.6 and 2710.7 are interpretations of the uniform
system of accounts and records and reporting system required by Section
15 of the Urban Mass Transportation Act of 1964 (UMTA Act), as amended,
that was replaced by the Uniform Systems of Accounts (USOA). FTA finds,
for good cause, that notice and comment for cancelling this guidance is
unnecessary because the USOA was subject to notice and comment at 81 FR
70260. Further, the delayed effective date is unnecessary because the
cancellation was already made effective by the adoption of the USOA.
Circular 4715.1A provides guidance on applying for Federal
financial assistance and managing projects awarded under Section 20 of
the UMTA Act, which was codified under the FAST Act at 49 U.S.C. 5314.
FTA is
[[Page 33021]]
cancelling this circular because human resource grants are now covered
under Circular 6100.1E, Research, Technical Assistance, and Training
Programs: Application Instructions and Program Management Guidelines,
which was published in the Federal Register (78 FR 47514) on August 13,
2014 with a request for public comment. FTA finds, for good cause, that
notice and comment for cancelling this circular is unnecessary because
it was replaced by guidance that was subject to notice and comment.
Further, the delayed effective date is unnecessary because the
cancellation was already made effective by the notice of availability
of the Circular 6100.1E at 80 FR 19396.
Circular 7008.1A defines the basis upon which FTA will make the
determination of financial capacity of grantees required under 49
U.S.C. 5309 and in reviewing Transportation Improvement Plans (TIPs).
Additionally, the circular provides guidance for grantees making the
required self-certifications of financial capacity under 49 U.S.C.
5307. FTA is cancelling this circular because these programs are now
covered under Circular 9030.1E, Urbanized Area Formula Program: Program
Guidance and Application Instructions, which was published on January
16, 2014 (79 FR 2930) and addressed comments received during the
development of the circular. FTA finds, for good cause, that notice and
comment for cancelling this circular is unnecessary because it was
replaced by guidance that was subject to notice and comment. Further,
the delayed effective date is unnecessary because the cancellation was
already made effective by the publication of the notice of availability
in the Federal Register.
Circular 7020.1 sets forth cross-border leasing guidelines, which
allow grantees to lease FTA-funded transit equipment from a foreign
entity. However, the American Jobs Creation Act of 2004 eliminated the
tax benefits associated with such transactions, thereby rendering the
vast majority of cross-border leases unprofitable. Thus, FTA is
cancelling this circular, which is no longer utilized. FTA finds, for
good cause, that notice and comment for cancelling this circular is
unnecessary because it is outdated and unutilized. Similarly, the
delayed effective date is unnecessary because the circular is no longer
in use.
Circulars 9045.1 and 9050.1 include guidance and application
instructions for the New Freedom Program and the Job Access and Reverse
Commute Program. Both programs were repealed by MAP-21. Therefore, FTA
is cancelling the corresponding circulars. FTA finds, for good cause,
that notice and comment for cancelling these circulars is unnecessary
because these programs are no longer authorized. The statutory language
does not require interpretation to carry out its intent, and comments
cannot alter the guidance given the explicit mandate. Further, the
delayed effective date is unnecessary because the cancelation of the
circulars was already made effective by statute.
Accordingly, FTA finds good cause under 5 U.S.C. 553(b)(3)(B) and
(d)(3) to waive notice and opportunity for comment and the delayed
effective date for all cancelled circulars.
B. Policy Priorities
As FTA implements its programs, it is particularly focused on the
following policy priority areas.
1. Safety
Federal transit law requires States with rail transit systems
operating within their jurisdictions to establish a State Safety
Oversight (SSO) program that must be certified by the FTA by April 15,
2019 (49 U.S.C. 5329(e)). The FTA is prohibited by law (49 U.S.C.
5329(e)(3)) from obligating any funds to any transit agency within a
State that fails to obtain certification by the deadline. The FTA
recommends that States submit their complete SSO program certification
applications no later than September 30, 2018. For more information on
the certification requirements, please visit the FTA website:
www.transit.dot.gov/regulations-and-guidance/safety/transit-safety-oversight-tso.
2. Positive Train Control (PTC)
On May 31, 2017, FTA and the Federal Railroad Administration (FRA)
jointly announced the allocation of $197 million for projects to
install positive train control (PTC) systems on commuter railroads and
other passenger-rail related facilities. As authorized under Section
3028 of the Fixing America's Surface Transportation (FAST) Act, these
funds are available to assist in financing the installation of PTC
systems required under 49 U.S.C. 20157. All funding allocated under
this program has been obligated ahead of the September 30, 2018
statutory deadline. Costs associated with the installation of PTC are
also eligible under FTA's formula programs, including the Urbanized
Area Formula Program (49 U.S.C. 5307) and the State of Good Repair
Program (49 U.S.C. 5337).
3. Automation
Transit automation is a critical area of emerging technology with
the capability to enhance and transform public transportation. FTA is
developing a transit automation research initiative as one of the
mobility innovation projects to explore the value and challenges of
transit automation innovative technologies. FTA is currently exploring
the use of automation technologies in transit bus operations. Key
research activities include developing a transit automation strategic
plan; growing stakeholder partnerships/engagements to increase
understanding of transit automation use cases; fielding demonstrations
to identify promising solutions; and exploring the human factors
associated with adoption of transit automation approaches. Potential
benefits of transit bus automation may include: Increased passenger/
operator safety; operational efficiencies; expanded transit capacity;
fuel efficiencies; service effectiveness; and rider satisfaction. More
information on Shared Mobility can be found at: https://www.transit.dot.gov/regulations-and-guidance/shared-mobility-faqs-eligibility-under-fta-grant-programs.
4. Value Capture
Current law includes a definition of ``value capture'' to mean
``recovering the increased property value to property located near
public transportation resulting from investments in public
transportation.'' (49 U.S.C. 5302(24)). Value capture financing
strategies include, but are not limited to, land value taxes, tax
increment financing, special assessment districts, transportation
utility fees, development impact fees, negotiated extractions, transit-
oriented development, air rights, and joint development. FTA encourages
the use of value capture strategies that contribute to the operation,
maintenance, or expansion of public transportation services. Revenue
generated by value capture is considered by FTA as local funding and
can be used as the local share towards the funding of capital projects
and operating costs eligible under Chapter 53 of title 49, United
States Code. FTA is updating its program circulars and website to
include additional guidance on the use of value capture financing
strategies.
5. Transit Asset Management Plans
A transit provider's initial Transit Asset Management (TAM) plan
must be completed no later than October 1, 2018. A provider may submit
in writing to FTA a request to extend this deadline. FTA must receive a
request to extend the deadline before the deadline occurs and will
consider all requests on a case-by-case basis. See 49 CFR part
[[Page 33022]]
625 for more information about the requirements for TAM plans.
6. Bus Testing (49 U.S.C. 5318)
The Federal Transit Administration (FTA) is required to maintain a
bus testing facility to test bus models purchased with Federal funding
assistance. Any new model of a vehicle/bus to be used in public
transportation revenue service and purchased with FTA funds must be
tested at this bus testing facility. Fees for bus testing are shared:
FTA funds 80 percent of the fees and the entity having the vehicle
tested pays 20 percent of the fees.
In 2016, FTA issued a regulation to implement minimum performance
standards, a scoring system, and a pass/fail threshold for new model
transit buses procured with FTA financial assistance authorized under
49 U.S.C. Chapter 53 (49 CFR part 655). The standards and scoring
system address the following categories: Structural integrity, safety,
maintainability, reliability, fuel economy, emissions, noise, and
performance. Buses must meet a minimum performance standard in each of
these categories to receive an overall passing score and be eligible
for purchase using FTA financial assistance. Buses can achieve higher
scores with higher performance in each category, and the final rule
establishes a numerical scoring system based on a 100-point scale so
that buyers can more effectively compare vehicles.
The Consolidated Appropriations Act, 2018 provides $5 million for
the operation and maintenance of the bus testing facility authorized
under 49 U.S.C. 5318. This is a $2 million increase over previous
annual appropriation amounts. Additionally, the Act provides an
additional $2 million for certain grantees receiving funds under 49
U.S.C. 5312(h) to operate and maintain a facility to conduct the
testing of low or no emission vehicle new bus models using the
standards established pursuant to section 5318.
FTA's website has additional information, resources, and a link to
sign up for email notices about the Bus Testing Program at:
www.transit.dot.gov/research-innovation/bus-testing.
C. FY 2018 Competitive Program Funding
FTA's competitive grants programs and the FY 2018 authorized
funding levels are identified in the chart below. FTA selects projects
for funding after issuance of a Notice of Funding Opportunity.
Additional information about each competitive program is in Section III
of this notice.
------------------------------------------------------------------------
2018
authorized
FY 2018 competitive programs Statute 49 U.S.C. funding level
(in millions)
------------------------------------------------------------------------
Innovative Coordinated Access and FAST Section 3006(b) $3.25
Mobility Grants.
Tribal Transit.................... 5311(c)(1)(A)....... 5.0
Grants for Buses and Bus 5339................ 366.29
Facilities Competitive Program.
Low or No Emission Grants 5339................ 84.45
Competitive Program.
Pilot Program TOD Planning........ MAP-21 Section 10.00
2005(b).
------------------------------------------------------------------------
Note: The Grants for Buses and Bus Facilities and Low or No Emission
Grants programs received funding in addition to the authorized levels;
$161,446,000 and $29,450,000, respectively.
IV. FY 2018 Program-Specific Information
A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
Section 5305(d) authorizes Federal funding to support a
cooperative, continuous, and comprehensive planning program for
transportation investment decision-making at the metropolitan area
level. The specific requirements of metropolitan transportation
planning are set forth in 49 U.S.C. 5303 and further explained in 23
CFR part 450, as incorporated by reference in 49 CFR part 613, Planning
Assistance and Standards. The State DOTs are the designated recipients
of Metropolitan Planning Programs (MPP) and State Planning and Research
Program (SPRP) funds allocated by FTA, which are then sub-allocated to
Metropolitan Planning Organizations (MPOs) for planning activities that
support the economic vitality of the metropolitan area. The Secretary
has the discretion to award MPP and SPRP assistance to States,
authorities of States, (MPOs), and local governmental authorities.
Each MPO must establish specific performance targets against system
performance measures issued by U.S. DOT), and use these in tracking
progress towards attaining critical outcomes. The MPO must coordinate
with States and transit providers in setting these targets. MPOs must
provide a system performance report that evaluates progress in meeting
the performance targets in comparison with the system performance
identified in prior reports.
MPP funding must support work resulting in balanced and
comprehensive intermodal transportation planning for the movement of
people and goods in the metropolitan area. Comprehensive transportation
planning is not limited to transit planning or surface transportation
planning, but also encompasses the relationships among land use and all
transportation modes, without regard to the programmatic source of
Federal assistance. MPP funds may be used for studies relating to
management, mobility management, planning, operations, capital
requirements, economic feasibility, performance-based planning, safety,
and transit asset management. Funds may also be used to develop or
update the metropolitan planning agreements. Funds may also be used to
evaluate previously funded projects or to conduct peer reviews and
exchanges of technical data, information, or assistance, among MPOs and
other transportation planners. Funds may be also used for planning for
multimodal transportation access to transit facilities; system
planning: Scenario planning; corridor-level alternative analysis;
development of federally required documents; safety, security and
emergency transportation planning; coordinated public transit human
services transportation planning; and public participation in the
transportation planning, including the development of the Public
Participation Plan. An exhaustive list of eligible work activities is
provided in FTA Circular 8100.1C, Program Guidance for Metropolitan
Planning and State Planning and Research Program Grants, dated
September 1, 2008.
For more information or questions on the Metropolitan Planning
program, please contact Victor Austin at (202) 366-2996 or
[email protected].
[[Page 33023]]
1. Authorized Amounts
Federal transit law authorizes $112,664,897 in FY 2018 to provide
financial assistance for metropolitan planning needs under Section
5305.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$112,664,897 is available to the Metropolitan Planning Program (Section
5305(d)) to support metropolitan transportation planning activities set
forth in Section 5303. The total amount apportioned for the
Metropolitan Planning Program to States for use by MPOs in urbanized
areas (UZAs) is $112,101,573 as shown in the table below, after the
deduction for oversight (authorized by Section 5338).
Metropolitan Planning Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $112,664,897
Oversight Deductions.................................... (563,324)
---------------
Total Apportioned..................................... 112,101,573
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Of the amounts authorized in Section 5305, 82.72 percent is made
available to the Metropolitan Planning Program. As a subset of the
Metropolitan Planning Program funds, FTA apportions eighty percent to
the states by statutory formula based on the most recent decennial
Census for each State's UZA population. The remaining 20 percent is
provided to the States based on an FTA administrative formula to
address planning needs in larger, more complex UZAs. The amount
published for each State includes this supplemental allocation.
4. Requirements
The States allocate Metropolitan Planning funds to MPOs in UZAs or
portions thereof to provide funds for planning projects included in a
one or two-year program of planning work activities (the Unified
Planning Work Program, or UPWP) that includes multimodal systems
planning activities spanning both highway and transit planning topics.
Each State has either reaffirmed or developed, in consultation with its
MPOs, an allocation formula among MPOs within the State, based on the
2010 Census. The allocation formula among MPOs in each State may be
changed annually, but any change requires approval by the FTA Regional
Office before grant approval. Program guidance for the Metropolitan
Planning Program is found in FTA Circular 8100.1C, Program Guidance for
Metropolitan Planning and State Planning and Research Program Grants,
dated September 1, 2008.
5. Period of Availability
The Metropolitan Planning program funds apportioned in this notice
are available for obligation during FY 2018 plus three additional
fiscal years. Funds apportioned in FY 2018 must be obligated in grants
by September 30, 2021. Any FY 2018 apportioned funds that remain
unobligated at the close of business on September 30, 2021, will revert
to FTA for reapportionment under the Metropolitan Planning Program.
6. Other Program Information
The planning programs provide funding and procedural requirements
to metropolitan areas and States for multimodal transportation planning
that is cooperative, continuous, and comprehensive, resulting in long-
range plans and short-range programs of projects that reflect
transportation investment priorities. The planning programs are jointly
administered by FTA and the Federal Highway Administration (FHWA),
which provides additional funding. Several changes established by the
FAST Act to Sections 5303 and 5304 are noted below:
New emphasis is placed on intercity transportation, including
intercity buses and intermodal facilities that support intercity
transportation, and commuter vanpool providers. The selection and role
of the transit representation on MPO policy boards in large urbanized
areas is clarified. MPOs in urbanized areas designated as
transportation management areas must include officials of agencies that
administer or operate major modes of transportation, as well as
representatives of public transit operators, on MPO policy boards.
The representative of public transit shall be selected per the
bylaws or enabling legislation of the MPO, and the representative of
public transit may also serve as a representative of a local
municipality on the MPO board. For additional information please
reference the Final Rule on Statewide and Nonmetropolitan
Transportation Planning and Metropolitan Transportation Planning (81 FR
34050, May 27, 2016).
The scope of the planning process adds two new planning factors, in
addition to the eight pre-existing factors established under prior law.
The two new factors are: (1) Improve the resiliency and reliability of
the transportation system, and reduce the vulnerability of the existing
transportation infrastructure to natural disasters, and (2) enhance
travel and tourism. MPOs and State DOTs should provide public ports,
intercity bus operators and employer-based commuting programs with a
reasonable opportunity to comment on transportation plans. Plans must
place greater emphasis on the congestion management process. MPOs that
serve a Transportation Management Areas (TMAs) with a population of 1
million or more must prepare a congestion management performance plan,
while TMAs with a population less than 1 million may prepare a
congestion management plan. MPOs that serve transportation management
areas must address congestion management through a process that
provides for safe and effective integrated management and operation of
the multimodal transportation system based on cooperatively developed
metropolitan-wide strategies.
The long-range statewide transportation plan and metropolitan
transportation plan must include a description of the performance
measures and performance targets. State DOTs and MPOs are also required
to provide a system performance report evaluating the condition and
performance of the transportation system.
In the Final Rule on Statewide and Nonmetropolitan Transportation
Planning and Metropolitan Transportation Planning (81 FR 34050), FHWA
and FTA make the statewide, metropolitan, and nonmetropolitan
transportation planning regulations consistent with current statutory
requirements. The final rule establishes the following: (1) A new
mandate for States and MPOs to take a performance-based approach to
planning and programming; (2) a new emphasis on the nonmetropolitan
transportation planning process, by requiring States to have a higher
level of involvement with nonmetropolitan local officials and providing
a process for the creation of Regional Transportation Planning
Organizations (RTPOs); (3) implementation of the aforementioned
statutory requirement for a structural change to the membership of the
larger MPOs; (4) a new framework for voluntary scenario planning; (5) a
new authority for the integration of the planning and environmental
review processes; and (6) a process for programmatic mitigation plans.
Among the most significant changes is the new mandate for a
performance-based planning process: MPOs and State DOTs must establish
performance targets that address forthcoming U.S. DOT-issued national
performance
[[Page 33024]]
measures that are based on the goals outlined in the legislation--
safety, infrastructure condition, congestion reduction, system
reliability, economic vitality, environmental sustainability, reduced
project delivery delays, transit safety, and transit asset management.
MPOs also must coordinate their performance targets, to the maximum
extent practicable, with performance targets set by FTA grantees under
the new performance measure requirements for safety and state of good
repair. Transportation Improvement Programs (TIPs) must include a
description of the anticipated progress toward achieving the
performance targets resulting from implementation of the TIP. After May
27, 2018, a State's and MPO's long-range plans, STIPs, and TIPs must
reflect performance targets and plans per the provisions of the final
rule.
B. State Planning and Research Program (49 U.S.C. 5304 and 5305(e))
This program provides financial assistance to States for statewide
transportation planning and other technical assistance activities,
including supplementing the technical assistance program provided
through the Metropolitan Planning program and planning support for non-
urbanized areas. The specific requirements of Statewide transportation
planning are set forth in 49 U.S.C. 5304 and further explained in 23
CFR part 450 as referenced in 49 CFR part 613, Planning Assistance and
Standards. State DOTs are required to reference performance measures
and performance targets within the Statewide Planning process. This
funding must support work resulting in balanced and comprehensive
intermodal transportation planning for the movement of people and goods
and has the same eligibilities as MPP funds.
For more information or questions on the State Planning and
Research program, please contact Victor Austin at (202) 366-2996 or
[email protected].
1. Authorized Amounts
Federal transit law authorizes $23,535,414 in FY 2018, to provide
financial assistance for statewide planning and other technical
assistance activities under Section 5305. As specified in law, this
represents the 17.28 percent of the amounts available for Section 5305
that are allocated to the Statewide Planning and Research program.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$23,535,414 is for the State Planning and Research Program (Section
5305(e)). The total amount apportioned for the State Planning and
Research Program (SPRP) is $23,417,737 as shown in the table below,
after the deduction for oversight (authorized by Section 5338).
Statewide Transportation Planning Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $23,535,414
Oversight Deductions.................................... (117,677)
---------------
Total Apportioned..................................... 23,417,737
------------------------------------------------------------------------
States' apportionments for this program are displayed in Table 2.
3. Basis for Formula Apportionment
Of the amount authorized for Section 5305, 17.28 percent is
allocated to the State Planning and Research program. FTA apportions
funds to States by a statutory formula that is based on the most recent
decennial Census data available, specifically, the State's UZA
population as compared to the UZA population of all States.
4. Requirements
Funds are provided to States for Statewide transportation planning
programs. These funds may be used for a variety of purposes such as
planning, technical studies and assistance, performance-based planning,
demonstrations, and management training. In addition, a State may
authorize a portion of these funds to be used to supplement
Metropolitan Planning funds allocated by the State to its UZAs, as the
State deems appropriate. Program guidance for the State Planning and
Research program is found in FTA Circular 8100.1C, Program Guidance for
Metropolitan Planning and State Planning and Research Program Grants,
dated September 1, 2008.
5. Period of Availability
The State Planning and Research program funds apportioned in this
notice are available for obligation during FY 2018 plus three
additional fiscal years. Accordingly, funds apportioned in FY 2018 must
be obligated in grants by September 30, 2021. Any FY 2018 apportioned
funds that remain unobligated at the close of business on September 30,
2021 will revert to FTA for reapportionment under the State Planning
and Research program.
C. Urbanized Area Formula Program (49 U.S.C. 5307)
The Urbanized Area Formula Program provides financial assistance to
designated recipients in urbanized areas (UZAs) for capital investments
in public transportation systems, planning, job access and reverse
commute projects, and, in some cases, operating assistance. FTA
apportions funds for this program through a statutory formula. Of the
amount authorized for Section 5307 each year, $30 million is set aside
for the competitive Passenger Ferry Grant Program (Ferry program), as
authorized under 49 U.S.C. 5307(h). The Ferry program offers financial
assistance to public ferry systems in urbanized areas for capital
projects. Projects are selected annually through a funding competition.
Additionally, 0.5 percent will be apportioned to eligible States for
State Safety Oversight (SSO) Program grants, and 0.75 percent will be
set aside for program oversight. Further information on the 0.5 percent
apportionment to States for the State Safety Oversight Program is
provided in section IV.M. of this notice.
For more information or questions on the Urbanized Area Formula
Program, contact Tara Clark at (202) 366-2623 or [email protected].
For more information on the Ferry Program, contact Vanessa Williams at
(202) 366-4818 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $5,279,690,721 in FY 2018 to provide
financial assistance for urbanized areas under Section 5307.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$5,279,690,721 is available for the Urbanized Area Formula program. The
total amount apportioned to urbanized areas (UZAs) is $5,228,378,222,
which includes the addition of amounts apportioned to UZAs pursuant to
the Section 5340 Growing States and High-Density States Formula
factors. This amount to UZAs excludes the set-aside of $30 million for
the Ferry program, apportionments under the State Safety Oversight
Program, and oversight (authorized by Section 5338), as shown in the
table below:
Urbanized Area Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available......................... a $4,726,907,174
Oversight Deduction................................... -35,451,804
State Safety Oversight Program........................ -23,634,536
Ferry Discretionary Program........................... -30,000,000
5340 High Density States.............................. b 282,825,570
5340 Growing States................................... b 214,714,305
Reapportioned Funds................................... 1,816,904
-----------------
[[Page 33025]]
Total Apportioned................................... 5,137,177,613
------------------------------------------------------------------------
a Includes 1.5 percent set-aside for Small Transit Intensive Cities
Formula Table 3 displays the amounts apportioned under the Urbanized
Area Formula Program.
b Includes technical corrections to fix FY 2017 errors.
3. Basis for Formula Apportionment
FTA apportions Urbanized Area Formula Program funds based on
statutory formulas. Congress established four separate formulas to
apportion available funding: The Section 5307 Urbanized Area Formula
Program formula, the Small Transit Intensive Cities (STIC) formula, the
Growing States and High Density States formula, and a formula based on
low-income population.
Consistent with prior apportionment notices, Table 3 shows a total
Section 5307 apportionment for each UZA, which includes amounts
apportioned under each of these formulas. Detailed information about
the formulas is provided in Table 4. For technical assistance purposes,
the UZAs that receive STIC funds are listed in Table 6. FTA will
provide breakouts of the funding allocated to each UZA under these
formulas upon request to the FTA Regional Office.
FTA has calculated dollar unit values for the formula factors used
in the Urbanized Area Formula Program apportionment calculations. These
values represent the amount of money each unit of a factor is worth in
this year's apportionment. The unit values change each year, based on
all data used to calculate the apportionments, as well as the amount
appropriated by Congress for the apportionment. The dollar unit values
for FY 2018 are displayed in Table 5. To replicate the basic formula
component of a UZA's apportionment, multiply the dollar unit value by
the appropriate formula factor (i.e., the population, population x
population density), and when applicable, data from the NTD (i.e.,
route miles, vehicle revenue miles, passenger miles, and operating
cost).
a. Section 5307--Urbanized Area Formula
For UZAs between 50,000 and 199,999 in population, the Urbanized
Area Formula is primarily based on population and population density.
For UZAs with populations of 200,000 or more, the formula is based on
population and population density, as well as a combination of bus
revenue vehicle miles, bus passenger miles, bus operating costs, fixed
guideway vehicle revenue miles, and fixed guideway route miles, either
within the UZA or attributable to the UZA. The Urbanized Area Formula
is defined in 49 U.S.C. 5336. Consistent with Section 5336(b), FTA has
included 27 percent of the fixed guideway directional route miles and
vehicle revenue miles from eligible urbanized area transit systems, but
which were attributable to rural areas outside of the urbanized areas
from which the system receives funds.
b. Small Transit Intensive Cities (STIC) Formula
Under the STIC formula, FTA apportions 1.5 percent of the funds
made available for Section 5307 to UZAs that are under 200,000 in
population and have public transportation service that operates at a
level equal to or above the industry average for UZAs with a population
of at least 200,000, but not more than 999,999. STIC funds are
apportioned based on six performance categories: Passenger miles
traveled per vehicle revenue mile, passenger miles traveled per vehicle
revenue hour, vehicle revenue miles per capita, vehicle revenue hours
per capita, passenger miles traveled per capita, and passengers per
capita. In FY 2019, the STIC set aside will increase from 1.5 percent
to 2 percent.
The data used to determine a UZA's eligibility under the STIC
formula and to calculate the STIC apportionments was obtained from the
NTD for the 2016 reporting year. Because performance data change with
each year's NTD reports, the UZAs eligible for STIC funds and the
amount each receives may vary each year. UZAs that received funding
through the STIC formula for FY 2018 are listed in Table 6.
c. Section 5340--Growing States and High Density States Formula
FTA also apportions funds to qualifying UZAs and States according
to the Section 5340 Growing States and High Density States formula, as
shown in Table 3. More information on this program and its formula is
found in Section IV.P. of this notice.
d. Low-Income Population
Of the amount authorized and appropriated for the Urbanized Area
Formula Program in each year, 3.07 percent is apportioned based on low
income population. As specified in statute, FTA apportions 75 percent
of the available funds to UZAs with a population of 200,000 or more.
Funds are apportioned based on the ratio of the number of low income
individuals in each UZA to the total number of low income individuals
in all urbanized areas of that size. FTA apportions the remainder of
the funds (25 percent) to UZAs with populations of less than 200,000,
per an equivalent formula. The low-income populations used for this
calculation were based on the American Community Survey (ACS) data set
for 2011-2015. This information is updated by the Census Bureau
annually.
4. Requirements
To comply with or maintain compliance with the Clean Air Act (CAA)
or the Americans with Disabilities Act (ADA) of 1990, the maximum
Federal share for the Urbanized Area Formula Program, including the
Passenger Ferry Program, is 85 percent for the net project cost of
acquiring vehicles (including clean-fuel or alternative fuel). The
maximum Federal share is 90 percent of the net project cost for
acquiring vehicle-related equipment or facilities (including clean-fuel
or alternative-fuel vehicle-related equipment or facilities) for
complying with or maintaining compliance with the CAA or ADA.
Program guidance for the Urbanized Area Formula Program is found in
FTA Circular 9030.1E, Urbanized Area Formula Program: Program Guidance
and Application Instructions, dated January 16, 2014, and is
supplemented by additional information and changes provided in this
notice and that may be posted to the Urbanized Area Formula Grants
program web page. FTA is in the process of updating the program
circular to incorporate changes resulting from FAST Act amendments to
49 U.S.C. 5307.
5. Period of Availability
Funds made available under the Urbanized Area Formula Program are
available for obligation during the year of apportionment plus five
additional years. Accordingly, funds apportioned in FY 2018 must be
obligated by September 30, 2023. Any FY 2018 apportioned funds that
remain unobligated at the close of business on September 30, 2023 will
revert to FTA for reapportionment under the Urbanized Area Formula
Program.
Funds allocated under the Passenger Ferry program follow the same
period of availability as Section 5307. Accordingly, funds allocated in
FY 2018 must be obligated by September 30, 2023. Any of the funds
allocated in FY 2018 that remain unobligated at the close of business
on September 30, 2023 will revert to FTA for reallocation under the
Passenger Ferry program.
[[Page 33026]]
D. Fixed Guideway Capital Investment Grants Program (49 U.S.C. 5309)
The Capital Investment Grants (CIG) Program includes four types of
eligible projects: New Starts projects, Small Starts projects, Core
Capacity Improvement projects, and Programs of Inter-related Projects.
Funding is provided for construction of: (1) New fixed guideway systems
or extensions to existing fixed guideway systems such as rapid rail
(heavy rail), commuter rail, light rail, trolleybus (using overhead
catenary), cable car, passenger ferries, and bus rapid transit
operating on an exclusive transit lane for the majority of the corridor
length during peak periods that also includes features that emulate the
services provided by rail fixed guideway, including defined stations,
traffic signal priority for public transit vehicles, and short headway
bi-directional service for a substantial part of weekdays and weekends;
(2) corridor-based bus rapid transit service that does not operate on
an exclusive transit lane but includes features that emulate the
services provided by rail fixed guideway, including defined stations,
traffic signal priority for public transit vehicles, and short headway
bi-directional services for a substantial part of weekdays; (3)
projects that expand the capacity by at least 10 percent in an existing
fixed guideway corridor that is at capacity today or will be in five
years; and (4) programs of two or more interrelated projects as
described above that have logical connectivity with one another and
will all begin construction in a reasonable timeframe.
For more information about the Capital Investment Grant program
contact Elizabeth Day, Office of Capital Project Development, at (202)
366-5159 or [email protected]. For information about published
allocations contact Eric Hu, Office of Transit Programs, at (202) 366-
0870 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $2,301,785,760 in FY 2018, to
provide financial assistance under Section 5309.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$2,650,010,000 is available to the Fixed Guideway Capital Investment
Grants Program. The Consolidated Appropriations Act, 2018 requires of
the amounts made available, $2,252,508,586 to be obligated by December
31, 2019. The funds are allocated in the following manner:
$1,506,910,000 for New Starts projects; $715,700,000 for Core Capacity
projects; $400,900,000 for Small Starts projects; and $26,500,000 for
Oversight. These amounts are based on allocating the $2.64 billion in
new budget authority and $5.05 million from recovered and unobligated
Section 5309 Bus and Bus Facilities funds that were appropriated from
FY 2000 thru FY 2005. The total amount available for projects is
$2,623,509,990 as shown in the table below, after the deduction for
oversight (authorized by Section 5338).
Fixed Guideway Capital Investment Grants Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available.......................... $2,650,010,000
Oversight Deduction.................................... (26,500,000)
----------------
Total Apportioned *.................................. 2,623,510,000
------------------------------------------------------------------------
* Of the total amount apportioned, $2,252,508,586 shall be obligated by
December 31, 2019.
3. Basis for Allocation
Funds are allocated on a competitive basis and subject to program
evaluation.
4. Requirements
Projects become candidates for funding under the Capital Investment
Grant Program by successfully completing steps in the process defined
in Section 5309 and obtaining a satisfactory rating under the
statutorily-defined criteria. For New Starts and Core Capacity
Improvement projects, the steps in the process include project
development, engineering, and construction. For Small Starts projects,
the steps in the process include project development and construction.
For programs of interrelated projects, the steps in the process depend
on the combination of project types included.
5. Period of Availability
The Fixed Guideway Capital Investment Grant program funds
apportioned in this notice are available for obligation during FY 2018
plus three additional fiscal years. Accordingly, funds apportioned in
FY 2018 must be obligated in grants by September 30, 2021, except
$2,252,508,586 that must be obligated by December 31, 2019. All funds
must be disbursed by the recipient by September 30, 2026.
E. Formula Grants for the Enhanced Mobility of Seniors and Individuals
With Disabilities Program (49 U.S.C. 5310)
The Section 5310 Enhanced Mobility of Seniors and Individuals with
Disabilities Program provides formula funding to states and urbanized
areas for meeting the transportation needs of older adults and people
with disabilities when the public transportation service provided is
unavailable, insufficient, or inappropriate to meet these needs. The
program aims to improve mobility for seniors and individuals with
disabilities by removing barriers to transportation service and
expanding transportation mobility options. The Pilot Program for
Innovative Coordinated Access and Mobility Program (Pilot Program)--was
established by Section 3006(b) of the FAST Act. The purpose of the
program is to assist in financing innovative projects for the
transportation disadvantaged that improve the coordination of
transportation services and non-emergency medical transportation (NEMT)
services, including, for example, the deployment of coordination
technology, and projects that create or increase access to community
One-Call/One-Click Centers.
For more information or questions on the Enhanced Mobility of
Seniors and Individuals with Disabilities program, please contact Kelly
Tyler at (202) 366-3102 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $273,840,764 in FY 2018 to provide
formula funding to states for meeting the transportation needs of older
adults and people with disabilities. The law also authorizes $3.25
million for the competitive Pilot Program.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$127,772,132 is available for projects under the Section 5310 formula
program after the oversight deduction as shown in the table below.
Formula Grants for the Enhanced Mobility of Seniors and Individuals With
Disabilities Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $273,840,764
Oversight Deduction..................................... (1,369,204)
---------------
Total Apportioned (Formula)............................. 272,471,560
Innovative Coordinated Access and Mobility Pilot Program 3,250,000
---------------
Total Apportioned..................................... 275,721,560
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Sixty percent of the funds are apportioned among designated
recipients for urbanized areas with a population of 200,000 or more
individuals. Twenty percent of the funds are apportioned among the
States for urbanized areas with a population of at least 50,000 but
less than 200,000.
[[Page 33027]]
Twenty percent of the funds are apportioned among the States for rural
areas, defined as areas with a population less than 50,000. Census Data
on Older Adults and People with Disabilities is used for the Section
5310 program apportionments. FY 2018 Apportionments Table 8 displays
the amounts apportioned under the Enhanced Mobility of Seniors and
Individuals with Disabilities Program.
Under the Section 5310 formula, funds are allocated using Census
data on older adults (i.e., persons 65 and older) and people with
disabilities. However, beginning in 2010, the Census Bureau stopped
collecting this demographic information as part of its decennial
census. Data on seniors and people with disabilities is now only
available from the American Community Survey (ACS), which is conducted
and published on a rolling basis. FTA's FY 2018 Section 5310
apportionments incorporate ACS data published in December 2016. Data on
seniors comes from the ACS 20111-2015 five-year data set, Table B01001,
``Sex by Age.'' Data on persons with disabilities comes from the ACS
2011 2015 five-year data set, Table S.1810, ``Disability
Characteristics.''
4. Requirements
At least 55 percent of program funds must be used on traditional
Section 5310 projects such as buses and vans; wheelchair lifts, ramps,
and securement devices; or transit-related information technology
systems including scheduling/routing/one-call systems. Mobility
management programs are also defined as capital projects for purposes
of this provision. The acquisition of transportation services under a
contract, lease, or other arrangement is also eligible; both the
capital and operating costs associated with contracted service are
eligible capital expenses for purposes of this provision. The capital
eligibility of acquisition of services is limited to the Section 5310
program. The remaining 45 percent of a recipient's 5310 funds may be
used for capital expenses or operating assistance.
a. Eligible Recipients
Eligible recipients include States for rural and small urban areas
and designated recipients chosen by the Governor of the State for large
urban areas; or a State or local governmental entity that operates a
public transportation service. For urbanized areas less than 200,000 in
population and in the rural areas, the State is the designated
recipient for Section 5310. Current Section 5310 designations remain in
effect until changed by the Governor of a State by officially notifying
the appropriate FTA Regional Administrator of re-designation. A State
or local governmental entity that operates a public transportation
service may be a direct recipient for Section 5310 funds.
For urbanized areas over 200,000 in population, the recipient
charged with administering the Section 5310 Program must be officially
designated in accordance with the planning process, by the Governor of
a State, responsible local officials, and publicly owned operators of
public transportation prior to grant award (See the definition of
designated recipient, 49 U.S.C. 5302(4)). Designated recipients are
responsible for administering the program. Eligible subrecipients
include State or local governmental authorities, private nonprofit
agencies, and operators of public transportation that receive a grant
indirectly through a recipient. For the 55 percent of funds that must
be used for capital projects, eligible subrecipients include private
nonprofit organizations as well as State or local governmental
authorities that are either approved by the State to coordinate
services for seniors and people with disabilities, or which certify to
the Governor that no nonprofit organizations are readily available in
the area to provide the service.
b. Local Match
Capital assistance is provided at 80 percent Federal share; 20
percent local share. Operating assistance requires a 50 percent local
match. Funds provided under other Federal programs (other than those of
the DOT, except for the Federal Lands Transportation Program) may be
used as local match for funds provided under Section 5310, and revenue
from service contracts may be used as local match.
c. Planning and Consultation
The coordinated planning provision requires that all projects be
included in the local coordinated human service-public transportation
plan. The plan must be developed and adopted with representation from
seniors, individuals with disabilities, representatives of public,
private, nonprofit transportation and human services providers, and
other members of the public.
d. State and Project Management Plans
States, designated recipients, and State or local governmental
entities that operate a public transportation service that are
responsible for implementing the Section 5310 program are required to
document their approach to managing the program. The Management Plans
serve as the basis for FTA management reviews of the program, and
provide public information on the administration of the programs.
e. Program of Projects (POP)
Designated recipients are required to develop a Program of Projects
(POP) with the grant application and submit it to the FTA Regional
Office. The POP should be developed with respect to the coordinated
plan, long range plan, and the transportation improvement plan. For
additional guidance in developing the required POP, see Chapter IV of
the FTA Circular 9070.1G, Enhanced Mobility of Seniors and Individuals
with Disabilities Program Guidance and Application Instructions, dated
July 7, 2014.
5. Period of Availability
The Enhanced Mobility of Seniors and Individuals with Disabilities
program funds apportioned in this notice are available for obligation
during FY 2018 plus two additional fiscal years. Accordingly, funds
apportioned in FY 2018 must be obligated in grants by September 30,
2020. Any FY 2018 apportioned funds that remain unobligated at the
close of business on September 30, 2020, will revert to FTA for
reapportionment among the States and urbanized areas.
6. Other Program Information
A State may transfer apportioned funds between small urbanized
areas and rural areas if it can certify that the needs are being met in
the area to which the funds were originally apportioned. The State can
transfer the funds (rural and small urbanized area) to any area within
the state if a statewide program for Section 5310 is established.
Section 5310 funds may not be transferred to other FTA programs.
However, Section 5310 funds apportioned to large urbanized areas may
not be transferred to other areas. Section 5310 program recipients may
partner with meal delivery programs such as the Older Americans Act
(OAA)-funded meal programs (to find local programs, visit:
www.Eldercare.gov) and the USDA Summer Food Service Program https://www.fns.usda.gov/sfsp/summer-food-service-program-sfsp. Transit service
providers receiving 5310 funds may coordinate and assist in providing
meal delivery services on a regular basis if this does not conflict
with the provision of transit services.
Program Guidance is found in FTA Circular 9070.1G, Enhanced
Mobility of Seniors and Individuals with Disabilities Program Guidance
and Application Instructions, dated July 7,
[[Page 33028]]
2014. Section 3006(b) of the FAST Act created a new competitive pilot
program for innovative coordinated access and mobility that is
discussed above. The Federal share is 80 percent for capital projects.
Local Match of 20 percent can come from other Federal (non-DOT) funds.
F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
The Formula Grants for Rural Areas program provides formula funding
to States and Indian tribes for supporting public transportation in
areas with a population of less than 50,000. Funding may be used for
capital, operating, planning, job access and reverse commute projects,
and State administration expenses. Eligible sub-recipients include
State and local governmental authorities, Indian Tribes, private non-
profit organizations, and private intercity bus companies. Indian
Tribes are also eligible direct recipients under the Formula Grants for
Rural Areas program, both for funds apportioned to the States and for
projects apportioned or selected to be funded with funds set aside from
the Tribal Transit Program.
For more information about the Formula Grants for Rural Areas
program, please contact [Eacute]lan Flippin at (202) 366-3800 or
[email protected].
1. Authorized Amounts
Federal transit law authorizes $577,721,886 in FY 2018 to provide
financial assistance for rural areas under the Formula Grants for Rural
Areas program, including funds for Section 5340 Growing States.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$577,721,886 is for the Rural Area Programs. The total amount
apportioned to the program is $659,737,385 as shown in the table below,
after the additional appropriation of $85,243,672 for the Section 5340
Growing States and oversight deduction (authorized by Section 5338).
Grants for Rural Areas Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $577,721,886
Oversight Deduction..................................... (3,228,173)
5340 Growing States..................................... 85,243,672
---------------
Total Apportioned..................................... 659,737,385
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions the Formula Grants for Rural Areas program funds to
states by a statutory formula using the latest available U.S. decennial
census data. Most of the Formula Grants for Formula Grants for Rural
Areas program funds (83.15 percent) are apportioned based on land area
and population factors. In the first tier, no state may receive more
than 5 percent of the amount apportioned based on land area. The
remaining funds (16.85 percent) are apportioned based on land area,
vehicle revenue miles, and low-income individual factors. In the second
tier, no state may receive more than 5 percent of the amount
apportioned based on land area, or more than 5 percent of the amounts
apportioned for vehicle revenue miles. In addition to funds made
available under Section 5311, FTA adds amounts apportioned based on
rural population per the growing states formula factors of 49 U.S.C.
5340 to the amounts apportioned to the states under the Section 5311
formula. Before FTA apportions Section 5311 funds to the states, FTA
subtracts funding from the total available amounts for the Appalachian
Development Transportation Assistance Program, the Tribal Transit
Program, the Rural Transportation Assistance Program (RTAP), and FTA
oversight activities.
Data from the National Transit Database (NTD) 2016 Report Year was
used for this apportionment, including data from directly-reporting
Indian tribes. Data from public transportation systems that reported as
urbanized area systems, but that was not attributable to an urbanized
area, was also included. The Formula Grants for Rural Areas program
includes three takedowns: The Appalachian Development Public
Transportation Assistance Program; the Rural Transit Assistance Program
(RTAP); and the Tribal Transit Program. These separate programs are
described in the sections that follow.
4. Requirements
The Formula Grants for Rural Areas program provides funding for
capital, operating, planning, job access and reverse commute projects,
and administration expenses for public transit service in rural areas
under 50,000 in population. The planning activities undertaken with
Formula Grants for Rural Areas program funds are in addition to those
awarded to the State under Section 5305 and must be used specifically
for the needs of rural areas.
a. Intercity Bus Transportation
Each State must spend no less than 15 percent of its annual Formula
Grants for Rural Areas program apportionment for the development and
support of intercity bus transportation, unless it can certify, after
consultation with affected intercity bus service providers, that the
intercity bus service needs of the State are adequately met. FTA
encourages consultation with other stakeholders, such as communities
affected by loss of intercity service. The cost of an unsubsidized
portion of privately provided intercity bus service that connects
feeder service, including all operating and capital costs of such
service whether offset by revenue from such service may be used as in-
kind local match for the intercity bus projects. FTA is updating the
Formula Grants for Rural Areas program circular to include this change.
b. State Administration
States may elect to use up to 10 percent of their apportionment at
100 percent Federal share to administer the Formula Grants for Rural
Areas program and provide technical assistance to subrecipients.
Technical assistance includes project planning, program and management
development, public transportation coordination activities, and
research the State considers appropriate to promote effective delivery
of public transportation to rural areas.
c. Other Requirements
The Federal share for capital assistance is 80 percent and for
operating assistance is 50 percent, except that States eligible for the
sliding scale match under FHWA programs may use that match ratio for
Formula Grants for Rural Areas program capital projects and 62.5
percent of the sliding scale capital match ratio for operating
projects.
Each State prepares an annual program of projects, which must
provide for fair and equitable distribution of funds within the States,
including Indian reservations, and must provide for maximum feasible
coordination with transportation services assisted by other Federal
sources.
Additional program guidance for the Formula Grants for Rural Areas
program is found in FTA Circular 9040.1G, Formula Grants for Rural
Areas: Program Guidance and Application Instructions, dated November
24, 2014, and is supplemented by additional information that may be
posted to FTA's web page.
5. Period of Availability
The Formula Grants for Rural Areas program funds apportioned in
this notice are available for obligation during FY 2018 plus two
additional fiscal years. Accordingly, funds apportioned
[[Page 33029]]
in FY 2018 must be obligated in grants by September 30, 2020. Any FY
2018 apportioned funds that remain unobligated at the close of business
on September 30, 2020, will revert to FTA for reapportionment under the
Formula Grants for Rural Areas program.
6. Other Program Information
Revenue from the sale of advertising and concessions may be used as
local match.
G. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))
This program provides funding to assist in the design and
implementation of training and technical assistance projects, research,
and other support services tailored to meet the needs of transit
operators in rural areas.
For more information about Rural Transportation Assistance Program
(RTAP), please contact [Eacute]lan Flippin at (202) 366-3800 or
[email protected].
1. Authorized Amounts
There is a two percent takedown from the funds made available for
RTAP. Of the two percent takedown, 15 percent is reserved for the
National RTAP program. The remainder is available for allocation to the
States.
Federal Transit Law authorizes $12,912,692 in FY 2018 to provide
technical assistance.
2. FY 2018 Funding Availability
Under the Consolidated Appropriations Act, 2018 $12,912,692 is
available for the RTAP Program. The total amount apportioned for RTAP
is $10,975,788 as shown in the table below, after the deduction for
National RTAP.
Rural Transit Assistance Program (RTAP)
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $12,912,692
National RTAP........................................... (1,936,904)
---------------
Total Apportioned..................................... 10,975,788
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA allocates RTAP funds to the States by an administrative
formula. First, FTA allocates $65,000 to each State ($10,000 to each
territory), and then allocates the balance based on rural population in
the 2010 census.
4. Requirements
Eligible RTAP expenses include the design and implementation of
training and technical assistance projects, research, and other support
services tailored to meet the needs of transit operators in rural
areas. States may use the funds to undertake research, training,
technical assistance, and other support services to meet the needs of
transit operators in rural areas. These funds are to be used in
conjunction with a State's administration of the Formula Grants for
Rural Areas program, but also may support the rural components of the
Section 5310 program.
5. Period of Availability
The RTAP funds apportioned in this notice are available for
obligation during FY 2018 plus two additional fiscal years.
Accordingly, funds apportioned in FY 2018 must be obligated in grants
by September 30, 2020.
6. Other Program Information
The National RTAP project is administered by cooperative agreement
and re-competed at five-year intervals. In July of 2014, FTA awarded a
cooperative agreement to the Neponset Valley Transportation Management
Association to administer the National RTAP Program. The National RTAP
projects are guided by a project review board that consists of managers
of rural transit systems and State DOT RTAP programs. National RTAP
resources also support the biennial Transportation Research Board
National Conference on Rural Public and Intercity Bus Transportation
and other research and technical assistance projects of a national
scope.
H. Appalachian Development Public Transportation Assistance Program (49
U.S.C. 5311(c)(2))
This program is a take-down under the Formula Grants for Rural
Areas program to provide additional funding to support public
transportation in the Appalachian region. There are sixteen eligible
States that receive an allocation under this provision. The State
allocations are shown in the Formula Grants for Rural Areas program
table posted on FTA's website on the FY 2018 Apportionments page.
For more information about the Appalachian Development Public
Transportation Assistance Program, please contact [Eacute]lan Flippin
at (202) 366-3800 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $20 million in each of FY 2016
through FY 2020 as a take-down under the Formula Grants for Rural Areas
program to support public transportation in the Appalachian region.
2. FY 2018 Funding Availability
Under the Consolidated Appropriations Act, 2018, $20 million is
available.
Appalachian Development Public Transportation Assistance Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $20,000,000
---------------
Total Apportioned..................................... 20,000,000
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions the funds using percentages established under
Section 9.5(b) of the Appalachian Regional Commission Code (subtitle IV
of title 40). Allocations are based in general on each State's
remaining estimated need to complete eligible sections of the
Appalachian Development Highway System as determined from the latest
percentages of available cost estimates for completion of the System.
Such cost estimates are produced at approximate five-year intervals.
Allocations contain upper and lower limits in amounts determined by the
Commission and are made in accordance with legislative instructions.
4. Requirements
Funds apportioned under this program may be used for purposes
consistent with the Formula Grants for Rural Areas program to support
public transportation in the Appalachian region. Funds can be applied
for in the State's annual Formula Grants for Rural Areas program grant.
Appalachian program funds that cannot be used for operating may be
used for a highway project under certain circumstances. States should
contact their regional office if they intend to request a transfer.
Additional information about the requirements for this section can be
found in Chapter VII of FTA Circular 9040.1G, Formula Grants for Rural
Areas: Program Guidance and Application Instructions, dated November
24, 2014.
5. Period of Availability
The Appalachian program funds apportioned in this notice are
available for obligation during FY 2018 plus two additional fiscal
years, consistent with that established for the Formula Grants for
Rural Areas program.
I. Formula Grants for Public Transportation on Indian Reservations
Program (49 U.S.C. 5311(j))
The Public Transportation on Indian Reservations Program, or Tribal
Transit Program (TTP), totals $35 million, of
[[Page 33030]]
which $30 million is for a formula program and $5 million is for a
competitive grant program. It is funded as a takedown from funds made
available for the Formula Grants for Rural Areas program. Formula
factors include vehicle revenue miles and the number of low-income
individuals residing on tribal lands (defined as American Indian Areas,
Alaska Native Areas, and Hawaiian Home Lands). Eligible direct
recipients are Federally recognized Indian tribes and Alaskan Native
Villages providing public transportation in rural areas. The TTP funds
are allocated for grants to eligible recipients for any purpose
eligible under Formula Grants for Rural Areas program, which includes
capital, operating, planning, and job access and reverse commute
projects.
For more information about the Tribal Transit Program contact
Douglas Moore, Office of Transit Programs at (202) 366-0876 or
[email protected].
1. Authorized Amounts
Federal transit law authorizes $35 million in FY 2018 ($30 million
for formula and $5 million for the competitive program) to provide
assistance to the tribes. Under the Consolidated Appropriations Act,
2018, $30 million is available through September 30, 2018 for the
formula program and $5 million for the competitive program.
2. FY 2018 Funding Availability
In FY 2018, $30 million is for the formula program as shown below.
Formula Grants for Public Transportation on Indian Reservations Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $30,000,000
---------------
Total Apportioned....................................... 30,000,000
------------------------------------------------------------------------
Public Transportation on Indian Reservations Program Competitive Grants
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $5,000,000
---------------
Total Apportioned....................................... 5,000,000
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Funding is allocated by formula and distributed to eligible Indian
tribes providing public transportation on tribal lands. The formula
apportionment shown in Table 10 is based on a statutory formula which
includes three tiers. Tiers 1 and 2 are based on data reported to NTD
by Indian tribes; Tier 3 is based on 2010-2014 American Community
Survey data. The three tiers for the formula are: Tier 1--50 percent
based on vehicle revenue miles reported to the NTD; Tier 2--25 percent
provided in equal shares to Indian tribes reporting at least 200,000
vehicle revenue miles to the NTD; Tier 3--25 percent based on Indian
tribes providing public transportation on tribal lands (American Indian
Areas, Alaska Native Areas, and Hawaiian Home Lands) on which more than
1,000 low income individuals reside. If more than one eligible tribe
provides public transportation services on tribal lands in a single
Tribal Statistical Area, and the tribes cannot determine how to
allocate Tier 3 funds, FTA will allocate the funds based on the
relative portion of transit (as defined by unlinked passenger trips)
operated by each tribe, as reported to the National Transit Database.
4. Requirements
Formula funds apportioned under this program can be used for
purposes consistent with the Formula Grants for Rural Areas program to
support public transportation on Indian Reservations in rural areas.
Funds allocated under the competitive program must be used consistent
with the tribe's proposal and the allocation notice published in the
Federal Register, which is used to announce the selected projects.
Eligible recipients under both the competitive and formula program
include federally-recognized Indian tribes or Alaska native villages,
groups, or communities as identified by the U.S. Department of the
Interior Bureau of Indian Affairs (BIA). A tribe must have the legal,
financial and technical capabilities to receive and administer Federal
funds.
Section 5335 requires NTD reporting for all recipients of Section
5311 funds. This reporting requirement continues to apply to the Tribal
Transit Program. Tribes that provide public transportation in rural
areas are reminded to report annually so they are included in the TTP
formula apportionments. To be considered in the FY 2018 formula
apportionments, tribes should have submitted their reports to the NTD
no later than April 30, 2016; voluntary reporting to the NTD is also
encouraged. Additionally, to be considered for the FY 2019 formula
apportionment funds, tribes need to submit their reports to the NTD no
later than April 30, 2017. Tribes needing assistance with reporting to
the NTD should contact the NTD Helpline at 1-888-252-0936 or
[email protected].
5. Period of Availability
The TTP program funds apportioned in this notice are available for
obligation during FY 2018 plus two additional fiscal years.
Accordingly, funds apportioned in FY 2018 must be obligated in grants
by September 30, 2020. Any FY 2018 apportioned funds that remain
unobligated at the close of business on September 30, 2020, will revert
to FTA for reapportionment under the TTP program.
6. Other Program Information
Section 207 of title 23, United States Code establishes a Tribal
Transportation Self-Governance Program (Self Governance Program). The
Self Governance Program will establish specific criteria for
determining eligibility for a tribe to participate in the program. A
Negotiated Rulemaking to implement this program in consultation with
tribal representatives and other interested stakeholders is under
development.
The funds set aside for the TTP are not meant to replace or reduce
funds that Indian tribes receive from States through the Formula Grants
for Rural Areas program but are to be used to enhance public
transportation on Indian reservations and transit serving tribal
communities. Funds allocated to Indian tribes by the States may be
included in the State's Formula Grants for Rural Areas program
application or maybe awarded by FTA in a grant directly to the Indian
tribe. FTA encourages Indian tribes intending to apply to FTA as direct
recipients to contact the appropriate FTA Regional Office at the
earliest opportunity.
All TTP grantees must comply with all applicable Federal statutes,
regulations, executive orders, FTA circulars, and other Federal
requirements in carrying out the project supported by the FTA grant. To
assist tribes with understanding these requirements, FTA regularly
conducts Tribal Transit Technical Assistance Workshops. FTA has also
expanded its technical assistance to tribes receiving funds under this
program. In FY 2015, FTA implemented the Tribal Transit Technical
Assistance Assessments initiative. Through these assessments, FTA
collaborates with tribal transit leaders to review processes and
identify areas in need of improvement and then assist with solutions to
address these needs--all in a supportive and mutually beneficial
manner. These assessments include discussions of compliance areas
pursuant to the Master Agreement, a site visit, promising practices
reviews, and technical assistance from FTA and its contractors. FTA
will post information about upcoming workshops to its website and will
disseminate information about the reviews through
[[Page 33031]]
its Regional offices. FTA has regional tribal transit liaisons in each
of the FTA Regional Offices that are available to assist tribes with
applying for and managing FTA grants. Tribes are encouraged to work
directly with their regional tribal transit liaison.
J. Public Transportation Innovation (49 U.S.C. 5312)
Public Transportation Innovation is FTA's research program with the
overarching statutory goal to improve public transportation. The law
specifies research focus areas, including providing more effective and
efficient public transportation service; mobility management; system
capacity; advanced vehicle design; asset maintenance; construction and
project management; environment and energy efficiency; and safety
improvements. FTA may make grants, enter contracts, cooperative
agreements, and other agreements to carry out the research,
development, demonstration, and deployment projects, including research
and technology of national significance to public transportation.
Within this section are three distinct programs: (a) A Research,
Development, Demonstration, Deployment, & Evaluation program (49 U.S.C.
5312(b-e)); (b) a Low or No Emission Vehicle Component Assessment
Program (LoNo-CAP) (49 U.S.C. 5312(h)); and (c) a Transit Cooperative
Research Program (49 U.S.C. 5312(i)). Eligible recipients can be
departments, agencies, and governmental agencies, including Federal
Laboratories; state and local entities; providers of public
transportation; private or non-profit organizations; institutions of
higher education; and technical community colleges--each program area
has specific requirements relating to the type of organization that may
receive a grant or enter an agreement.
The types of research eligible for funding are broad, and include
opportunities to enhance public transportation operational
effectiveness and efficiency; improve services; leverage new types of
vehicle technologies; utilize transformative technologies to improve
public transportation; field new mobility models; and support increased
safety.
For more information about the Public Transportation Innovation
program, contact Edwin Rodriguez, Office of Research, Demonstration and
Innovation at (202) 366-0671 or [email protected].
For more information on the LoNo-CAP program, please contact Sam
Yimer at (202) 366-1321 or [email protected] or visit: https://www.transit.dot.gov/research-innovation/lonocap.
1. Authorized Amounts
Federal transit law authorizes $28 million in contract authority
for FY 2018 for the Public Transportation Innovation program and an $20
million subject to congressional additional appropriations.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$28,000,000 is for the Public Transportation Innovation program. The
total amounts apportioned to each subcomponent of the program is shown
below in the table.
Public Transportation Innovation Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Research, Development, Demonstration, Deployment, & $20,000,000
Evaluation.............................................
Low or No Emission Vehicle Component Testing............ 3,000,000
Transit Cooperative Research Program (TCRP)............. 5,000,000
---------------
Total Apportioned..................................... 28,000,000
------------------------------------------------------------------------
3. Basis for Allocation
Public Transportation Innovation funds are allocated according to
the authorized purposes and amounts described above, and then remaining
amounts are subject to competitive allocations where not specifically
authorized. The Secretary may make grants and enter contracts,
cooperative agreements, and other agreements for research, development,
demonstration, and deployment projects, and evaluation of research and
technology of national significance to public transportation, that the
Secretary determines will improve public transportation. For FY 2018,
FTA intends to fund projects and activities consistent with its
research priorities of mobility innovation, infrastructure, and safety.
Projects may be selected through Notices of Funding Opportunity (NOFO),
or Requests for Proposals (RFPs), or sole-sourced. FTA awards to a
diverse set of recipients and issues different types of research
agreements, including grants, cooperative agreements, contracts, or
interagency agreements. Potential recipients can register to receive
notification of funding availability under this program on Grants.gov.
FTA awards an annual cooperative agreement to the National
Academies of Science to administer the TCRP. FTA solicited proposals
for the LoNo-CAP in Fall 2016. Awards were made to Auburn University
and The Ohio State University in September 2017 for $1.5 million each.
Both facilities expect to begin testing in the late December 2018/
January 2019 timeframe.
Per the statute, FTA only considered proposals from ``institutions
of higher education'' as defined in section 1002 of title 20, U.S.C.,
the Higher Education Act of 1965. Eligible institution(s) of higher
education must have capacity to carry out transportation-related
advanced component testing and evaluation, with laboratories capable of
testing and evaluation, and direct access to or a partnership with a
testing facility capable of emulating real-world circumstances to test
low or no emission components.
LoNo-CAP differs from the Bus Testing Program (Section 5318) in
that LoNo-CAP testing is voluntary with a 50/50 shared fee structure
(FTA pays 50 percent of the testing fees, the entity requesting the
testing pays 50 percent of the fees). Additionally, LoNo-CAP will only
test components, and it will not assign passing or failing scores. The
LONO component testing performed under LoNo-CAP complements the Section
5318 Bus Testing Program, under which FTA will continue to test
complete buses as a condition of eligibility for FTA grant funding.
Eligible activities under LoNo-CAP include testing and assessing
voluntarily submitted LoNo components for transit buses, publishing the
results of these LoNo component assessments, and preparing an annual
report to Congress summarizing the results of the component
assessments. For more information on the LoNo-CAP program, visit
https://www.transit.dot.gov/research-innovation/lonocap.
Requirements
Eligible expenses include activities involving (a) research,
innovation, development, demonstration, deployment, evaluation; (b) low
or no emission vehicle component testing; and (c) transit cooperative
research.
The Federal share of the cost of a project carried out under FTA's
Research, Innovation, Development, Deployment, and Demonstration
program shall not exceed 80 percent; the remaining 20 percent of the
costs can be met with in-kind resources. In some cases, FTA may require
a higher non-Federal share if FTA determines a recipient would obtain a
clear and direct financial benefit from the project, or if the non-
Federal share is an evaluation factor under a competitive selection
process.
[[Page 33032]]
However, for the LoNo-CAP, the Government share is 50 percent; the
remaining 50 percent of the costs will be paid by amounts recovered
through the fees established by the testing facilities. There is no
match requirement for the TCRP.
Application instructions and program management guidelines are set
forth in FTA Circular C 6100.1E, Technology Development and Deployment,
``Research, Technical Assistance and Training Program: Application
Instructions and Program Management Guidelines'' dated May 11, 2015.
All research recipients are required to work with FTA to develop
approved Statements of Work. FTA will be updating the Circular for the
Research Program.
4. Period of Availability
FTA establishes the period in which the funds must be obligated to
each project. If the funds are not obligated within that period of
time, they revert to FTA for reallocation under the program.
5. Other Program Information
FTA publishes an annual Research Report on projects, evaluations,
and benefits of its research portfolio. The FY2017 report can be
accessed on FTA's website at https://www.transit.dot.gov/research-innovation/fta-reports-and-publications. Section 6019(b) of the FAST
Act establishes new requirements for annual modal research plans in 49
U.S.C. 6501.
For the new LoNo-CAP (5312(h)), FTA solicited proposals in Fall
2016, finalized selections, and made two awards in 2017. LoNo-CAP
differs from the Bus Testing Program (Section 5318) in that LoNo-CAP
testing is voluntary; it will only test components, and it will not
assign passing or failing scores. The LoNo component testing performed
under LoNo-CAP complements the Section 5318 Bus Testing Program, under
which FTA will continue to test complete buses as a condition of
eligibility for FTA grant funding. Eligible activities under LoNo-CAP
include testing and assessing voluntarily submitted Lo-No components
for transit buses, publishing the results of these LoNo component
assessments, and preparing an annual report to Congress summarizing the
results of the component assessments.
TCRP is a cooperative effort of three organizations: FTA; the
National Academies, acting through the Transportation Research Board
(TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit
educational and research organization established by the American
Public Transportation Association (APTA). FTA funds the TCRP through a
cooperative agreement. The TCRP is governed by an independent board,
the TCRP Oversight and Project Selection (TOPS) Committee. The TOPS
Committee sets priorities to decide what research studies will be
undertaken and annually selects projects. The FY 2018 selected projects
can be found at https://onlinepubs.trb.org/onlinepubs/tcrp/docs/TCRP_AnnounceFY2018.pdf.
For more information about TCRP, please contact Faith Hall at (202)
366-9055 or [email protected].
Pursuant to the Small Business Innovation Development Act, a
portion of the 5312 funds must be set aside for the Department's Small
Business Innovation Research Program (SBIR) to address high priority
research that will demonstrate innovative, economic, accurate, and
durable technologies, devices, applications, or solutions to
significantly improve current transit-related service, including
transit vehicle operation, safety, infrastructure and environmental
sustainability, mobility, rider experience, or broadband communication.
Information on current and past SBIR projects can be found on the DOT
SBIR website: https://www.volpe.dot.gov/work-with-us/small-business-innovation-research.
K. Technical Assistance and Workforce Development (49 U.S.C. 5314)
The Technical Assistance and Workforce Development program, 49
U.S.C. 5314, has three types of programs: Technical assistance and
standards development; human resources and training; and the National
Transit Institute. FTA funds projects across these areas to achieve
statutory goals to assist the public transportation industry to more
effectively and efficiently provide public transportation service;
development standards and best practices; provide specific technical
assistance in several areas, including complying with the Americans
with Disabilities Act and human services transportation coordination as
well as meeting the transportation needs of older adults. Key focus
areas for human resources and training are employment training;
outreach to aid in recruiting public transportation workers, especially
to increase employment for certain targeted groups; frontline workforce
development; and advanced training for new and emerging technology
areas such as low and no emission bus maintenance. The National Transit
Institute's goal is to develop and conduct training and educational
programs for Federal, State, and local transportation employees and
others engaged in public transportation work.
For more information or questions about the Technical Assistance
and Workforce Development programs, please contact Edwin Rodriguez,
Office of Research, Demonstration, and Innovation at (202) 366-0671 or
[email protected].
1. Authorized Amounts
Federal Transit law authorizes $9 million in contract authority for
the Technical Assistance and Workforce Development Program and an
additional $5 million subject to congressional appropriations.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018, $14
million is for the Technical Assistance and Workforce Development
program as shown in the table below.
Technical Assistance and Workforce Development
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $14,000,000
---------------
Total Appropriated...................................... 14,000,000
------------------------------------------------------------------------
3. Basis for Allocation
Under the Technical Assistance and Workforce Development Program,
funds are available for the NTI and to support the FTA and USDOT
strategic plan for technical assistance, standards development, and
workforce development. Projects may be selected through sole source,
Notices of Funding Opportunity (NOFO) or Requests for Proposals (RFPs).
Potential recipients can register to receive notification of funding
availability under this program on Grants.gov. Once selected, FTA
enters cooperative agreements, grants, contracts, or other agreements
to award funds and manage the projects carried out under this section.
4. Requirements
Eligible expenses include activities involving: (a) Technical
assistance; (b) standards development; and (c) human resources and
training, including workforce development programs and activities.
Eligible technical assistance activities may include activities to
support: (a) Compliance with the ADA; (b) compliance with coordinating
planning and human services transportation; (c) meeting the
transportation needs of elderly individuals; (d) increasing transit
ridership in coordination with MPOs and other entities, particularly
around
[[Page 33033]]
transit-oriented development; (e) addressing transportation equity with
regard to the effect that transportation planning, investment, and
operations have for low-income and minority individuals; (f)
facilitating best practices to promote bus driver safety; (g)
compliance with Buy America requirements and pre- and post-award
audits; (h) assisting with the development and deployment of low and no
emission vehicles or components for vehicles; (i) and other technical
assistance activities that are necessary to advance the interests of
public transportation.
Eligible standards development activities include the development
of voluntary and consensus-based standards and best practices by the
industry including those needed for safety, fare collection,
intelligent transportation systems, accessibility, procurement,
security, asset management, operations, maintenance, vehicle
propulsion, communications, and vehicle electronics.
Eligible human resources and training activities include (a)
employment training programs; (b) outreach programs to increase
employment for veterans, females, individuals with disabilities, and
minorities in public transportation; (c) research on public
transportation personnel and training needs; (d) training and
assistance for veteran and minority business opportunities; and (e)
consensus-based national training standards and certifications in
partnership with industry stakeholders. FTA funding directly allocated
for these eligible purposes must be done through a competitive
frontline workforce development program as required by Section 5314.
Should FTA allocate funds for these purposes, it will advertise the
available funding in a Notice of Funding Opportunity (NOFO) on
Grants.gov and on its website. In the meantime, recipients of funds
under Sections 5307, 5337, and 5339 may use 0.5 percent of their
available funds to pay for workforce development activities (up to an
80 percent Federal share). There is a separate eligibility to use 0.5
percent of available funds under the sections above for training at the
National Transit Institute.
The Government's share of the cost of a project carried out using a
grant under this section shall not exceed 80 percent. However, for the
human resources and training, including the Innovative Public
Transportation Frontline Workforce Development Program, the
Government's share cannot exceed 50 percent. The Federal share for
other types of awards will be stated in the agreement. In some cases,
FTA may require a higher non-Federal share if FTA determines a
recipient would obtain a clear and direct financial benefit from the
project, or if the non-Federal share is an evaluation factor under a
competitive selection process.
The non-Government share of the cost of a project carried out under
these sections (Technical Assistance and Standards and Technical
Assistance and Training) may be derived from in-kind contributions as
defined in the most current version of FTA Circular 5010, ``Award
Management Guidelines'' found on FTA's Circular web page at https://www.fta.dot.gov/circulars. Application instructions and program
management guidelines are set forth in FTA Circular 6100.1E,
``Research, Technical Assistance and Training Programs: Application
Instructions and Program Management Guidelines'' dated May 11, 2015.
All recipients of Section 5314 funds are required to work with FTA
to develop approved statements of work. There is no match requirement
for the National Transit Institute.
5. Period of Availability
FTA establishes the period in which the funds must be obligated to
each project. If the funds are not obligated within that time, they
revert to FTA for reallocation under the program. However, the $5
million of general funds for technical assistance and training funds
appropriated by congress in the consolidated appropriations Act, 2018
must be obligated by September 30, 2018 or no longer available and
returned to the U.S. Treasury.
6. Other Program Information
FTA publishes an annual report to Congress on the technical
assistance and standards activities that receive assistance under this
section. Additionally, FTA must report annually on the Frontline
Workforce Development Program. FTA reports can be found on FTA's web
page at www.transit.dot.gov.
L. Public Transportation Emergency Relief Program (49 U.S.C. 5324)
FTA's Emergency Relief (ER) Program is authorized to provide
funding for public transportation expenses incurred because of an
emergency or major disaster. The Further Additional Supplemental
Appropriations for Disaster Relief Requirements Act, 2018 (Division B,
Subdivision 1 of Pub. L. 115-123) provides $330 million for this
program for transit systems affected by Hurricanes Harvey, Irma, and
Maria in 2017. FTA will provide more information about the allocation
of these funds under a separate Federal Register notice.
Funds appropriated for this program are used to assist in
responding to a publicly declared emergency or disaster. Eligible
expenses include emergency operating expenses, such as evacuations,
rescue operations, and expenses incurred to protect assets in advance
of a disaster, as well as capital projects to protect, repair,
reconstruct, or replace equipment and facilities of a public
transportation system that the Secretary determines is in danger of
suffering serious damage or has suffered serious damage because of an
emergency. Additionally, transit agencies in the affected areas may
request relief from certain FTA administrative and regulatory
requirements for costs incurred in support of evacuations, rescue
efforts, and the efficient shut down and resumption of transit services
during and after the storm. Requests for relief from these requirements
may be submitted to FTA's Emergency Relief Docket at https://www.regulations.gov/. The docket number for calendar year 2018 is FTA-
2018-0001.
FTA also encourages transit agencies in affected areas to become
familiar with FTA's Emergency Relief Program Manual, available at
transit.dot.gov/emergencyrelief. When funding is made available by
Congress through FTA's Emergency Relief Program, or at FEMA's
direction, FTA will work with agencies to assess the impacts of the
storm, including emergency operations and any potential damages to
transit rolling stock or facilities.
Recipients of FTA funding affected by a declared emergency or
disaster are also authorized to use funds apportioned under Sections
5307 and 5311 for emergency purposes under the provisions of FTA's
Emergency Relief Program. Recipients are advised that formula funds
disbursed to a grantee for emergency purposes will not be replaced or
restored if funding is subsequently made available through FTA under
the ER Program or by the Federal Emergency Management Agency (FEMA).
In the event of a disaster affecting a public transportation
system, the affected recipient should contact its FTA Regional Office
as soon as practicable to determine whether Emergency Relief Program
funds are available, and to notify FTA that it plans to seek
reimbursement for emergency operations and/or repairs that have already
taken place or are in process. If Emergency Relief funds are
unavailable, the recipient may seek reimbursement
[[Page 33034]]
from FEMA. Properly documented costs for which the grantee has not
received reimbursement from FEMA may later be reimbursed by grants made
either from Emergency Relief Program funding (if appropriated) or from
Sections 5307 and 5311 program funding, once the eligible recipient
formally applies to FTA for reimbursement and FTA determines that the
expenses are eligible for emergency relief.
More information on the Emergency Relief Program and FTA's response
to Hurricane Sandy is available on the FTA website at https://www.transit.dot.gov/funding/grant-programs/emergency-relief-program/emergency-relief-program. For more information or questions on this
program, please contact John Bodnar at (202) 366-9091 or
[email protected].
M. State Safety Oversight Formula Program (49 U.S.C. 5329)
The State Safety Oversight Formula Program provides funding to
support States with rail fixed guideway public transportation systems
(rail transit systems) to develop and carry out State Safety Oversight
(SSO) Programs consistent with the requirements of 49 U.S.C. 5329.
Federal transit law requires States with rail transit systems operating
within their jurisdictions to establish a State Safety Oversight (SSO)
program that must be certified by the Federal Transit Administration
(FTA) by April 15, 2019. The FTA is prohibited by law from awarding any
funds to any transit agency within a State that fails to obtain
certification by the deadline. The FTA recommends that States submit
their complete SSO program certification applications no later than
September 30, 2018. For more information on the certification
requirements, please visit the FTA Web: www.transit.dot.gov/regulations-and-guidance/safety/transit-safety-oversight-tso.
For more information or questions on the Public Transportation
Safety program, please contact Maria Wright at (202) 366-5922 or
[email protected].
1. Authorized Amounts
Federal transit law authorizes $23,634,536 in FY 2018 to provide
funding to support States in developing and carrying out the SSO
Program.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$23,634,536 is available for the State Safety Oversight (SSO) Formula
program as shown in the table below.
State Safety Oversight Formula Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $23,634,536
---------------
Total Appropriated...................................... 23,634,536
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA will continue to allocate funds to the States by an
administrative formula, which is detailed in the Federal Register
notice apportioning SSO Formula Grant Program FY 2013 and FY 2014 funds
(Mar. 10, 2014). Grant funds for the SSO program are apportioned to
eligible States using a three-tier formula based on statutory
requirements, which apportion sixty percent (60 percent) of available
funds based on rail transit system passenger miles (PMT), vehicle
revenue miles (VRM), and directional route miles (DRM), twenty percent
(20 percent) of available funds equally to each eligible State, and
twenty percent (20 percent) based on the number of rail transit systems
in each state.
4. Requirements
FTA requires each applicant to demonstrate in its grant application
that its proposed grant activities will develop, lead to, or carry out
a State Safety Oversight program that meets the requirements under 49
U.S.C. 5329(e). Grant funds may be used for program operational and
administrative expenses, including employee training activities. Please
see the Federal Register notice which apportioned SSO Formula Grant
Program FY 2013 and FY 2014 funds (79 FR 13380, Mar. 10, 2014) for more
information.
5. Period of Availability
SSO Formula Grant Program funds are available for the year of
apportionment plus two additional years. Any FY 2018 funds that remain
unobligated at the close of business on September 30, 2020 will revert
to FTA for reapportionment under the SSO Formula Grant Program.
6. Other Program Information
Section 5329 authorizes FTA to temporarily assume oversight of a
rail transit safety system, under certain circumstances. FTA also has
the authority to issue restrictions and prohibitions to address unsafe
conditions or practices. On August 11, 2016, FTA published a final rule
to set procedures for FTA's administration of the Public Transportation
Safety Program. The final rule provides procedures whereby FTA may: (1)
Require a recipient to use Chapter 53 funds to correct safety
violations identified by the Administrator or a State Safety Oversight
Agency before such funds are used for any other purpose, or (2)
withhold up to 25 percent of funds apportioned under 49 U.S.C. 5307
from a recipient when the Administrator has evidence that the recipient
has engaged in a pattern or practice of serious safety violations, or
has otherwise refused to comply with the Public Transportation Safety
Program, or any regulation or directive issued under those laws for
which the Administrator exercises enforcement authority for safety.
N. State of Good Repair Program (49 U.S.C. 5337)
The State of Good Repair Program provides financial assistance to
designated recipients in Urbanized Areas (UZAs) with fixed guideway and
high intensity motorbus systems for capital investments that maintain,
rehabilitate, and replace aging transit assets and bring fixed guideway
and high intensity motorbus systems into a state of good repair. FTA
apportions funds for this program through a statutory formula using
data reported to the National Transit Database (NTD).
For more information or questions on the State of Good Repair
program, please contact Eric Hu at (202) 366-0870 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $2,593,703,558 in FY 2018 for the
State of Good Repair Program.
2. FY 2018 Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$2,993,703,558 is for the State of Good Repair Program. This amount
includes additional funds appropriated in the amount of $400 million.
The total amount apportioned is $2,963,766,522 after the deduction for
oversight as shown in the table below.
State of Good Repair Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available.......................... $2,993,703,558
Oversight Deduction.................................... (29,937,036)
----------------
Total Apportioned.................................... 2,963,766,522
------------------------------------------------------------------------
3. Basis for Formula Apportionment
FTA apportions State of Good Repair Program funds per a statutory
formula. Funds are apportioned to urbanized areas with fixed guideway
or high intensity motorbus systems that have been in operation for at
least seven years. This means that only segments of fixed guideway and
high intensity motorbus systems that entered revenue service on or
before September 30, 2010
[[Page 33035]]
are included in the formula, as identified in the NTD. Funds
apportioned to urbanized areas with fixed guideway are determined by
two equal elements: (1) A fixed proportion, based on the proportion an
urbanized area would have received in FY 2011 to the total amount
apportioned to all urbanized areas in the FY 2011 Fixed Guideway
Modernization program using the fixed guideway definition defined in
prior law; and (2) a variable proportion, based on the proportion of
vehicle revenue miles and directional route miles attributed to an
urbanized area relative to all urbanized areas, with revenue miles
weighted for 60 percent of this element and directional miles weighted
for 40 percent of this element. Funds apportioned to urbanized areas
with motorbus systems are 60 percent based on revenue miles and 40
percent based on route miles that attributed to an urbanized area
relative to all urbanized areas. The fixed guideway tier is apportioned
97.15 percent of the total appropriation, and the remaining 2.85
percent is apportioned to the high-intensity motorbus tier.
4. Requirements
In addition to the program guidance found in the FTA Circular
5300.1, ``State of Good Repair Grants Program: Guidance and application
Instructions,'' all recipients must comply with the regulation at 49
CFR part 625, issued under the authority of Section 5326 for the
Transit Asset Management plan (TAM).
5. Period of Availability
The State of Good Repair Program funds apportioned in this notice
are available for obligation during FY 2018 plus three additional
years. Accordingly, funds apportioned in FY 2018 must be obligated in
grants by September 30, 2021. Any FY 2018 apportioned funds that remain
unobligated at the close of business on September 30, 2021 will revert
to FTA for reappointment under the State of Good Repair Program.
6. Other Program Information
In July 2016, FTA published a Final Rule (49 CFR part 625) for
Transit Asset Management (81 FR 48890, July 26, 2016). Grantees must
have a TAM plan in place by October 1, 2018. Beginning in FY 2019 all
projects funded under the State of Good Repair Program must appear in
the investment prioritization of the grantee's TAM plan.
O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
The Grants for Buses and Bus Facilities Program provides financial
assistance to states, local governmental entities that operate fixed
route bus service, and designated recipients for capital investments in
public transportation systems to replace, rehabilitate, lease, and
purchase buses and related equipment and to construct bus-related
facilities, including technological changes or innovations to modify
low or no emission vehicles or facilities. Funding is provided through
Section 5339(a) formula allocations and Section 5339(b) competitive
grants. A sub-program, the Section 5339(c) Low- or No-Emission Vehicle
Program, provides competitive grants for bus and bus facility projects
that support low and zero-emission vehicles.
For more information or questions on the Grants for Buses and Bus
Facilities Formula Program, please contact John Bodnar at (202) 366-
9091 or [email protected]. For information or questions regarding the
competitive Buses and Bus Facilities Infrastructure Investment Program
please contact Mark G. Bathrick at (202) 366-9955 or
[email protected]. For information or questions regarding the
competitive Low or No Emissions Grant Program, contact Tara Clark at
(202) 366-2623 or [email protected].
1. Authorized Amounts
Federal transit law authorizes, $445,519,476 for the formula
program, $246,514,000 for the Bus competitive program, and $55,000,000
for the Low or No Emissions program in FY 2018 to provide financial
assistance for the Grants for Buses and Bus Facilities Program.
2. Funding Availability
In FY 2018 under the Consolidated Appropriations Act, 2018,
$654,623,476 is available for the Grants for Buses and Bus Facilities
Formula Program, $84,450,000 for the Low or No Emission Grants
(competitive) Program, and $407,960,000 for the Grants for Buses and
Bus Facilities (competitive) Program. These amounts represent
additional funds appropriated in the amount of $209,104,000;
$29,450,000; and $161,446,000, respectively. The amounts apportioned
after the 0.75 percent take-down for oversight are shown in the table
below.
------------------------------------------------------------------------
------------------------------------------------------------------------
Grants for Buses and Bus Facilities (Formula)
------------------------------------------------------------------------
Total Appropriation (Formula) available................. $654,623,476
Oversight Deduction..................................... (4,909,676)
---------------
Total Apportioned (Formula)........................... $649,713,800
------------------------------------------------------------------------
Grants for Buses and Bus Facilities (Low or No Emission (Competitive))
------------------------------------------------------------------------
Total Appropriation (Low or No Emission) available...... $84,450,000
Total to be Allocated (Low or No Emission).............. $84,450,000
------------------------------------------------------------------------
Grants for Buses and Bus Facilities (Bus Competitive)
------------------------------------------------------------------------
Total Appropriation (Bus Competitive) available......... 492,410,000
Oversight Deduction..................................... (3,693,075)
Low or No Emission Grants (Competitive)................. (84,450,000)
Allocation to Projects under FY 2017 Competition (April (37,973,775)
5, 2018)...............................................
---------------
Total to be Allocated (Bus Competition)............... $366,293,150
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Section 5339(a) Buses and Bus Facilities Program formula funds are
apportioned to States, territories, and designated recipients based on
a statutory formula. Under the National Distribution, each State is
allocated $3.5 million and each territory is allocated $1 million for
use anywhere in the State or territory for fiscal years 2018. The
remainder of the available funding is then apportioned to UZAs based on
population, vehicle revenue miles, and passenger miles using the same
apportionment formula and allocation process as the Urbanized Area
Formula Program. Funds for UZAs under 200,000 in population are
apportioned to the State for allocation to eligible recipients within
such areas of the State at the Governor's discretion. Funds for UZAs
with populations of 200,000 or more are apportioned directly to one or
more designated recipient(s) within each UZA for allocation to eligible
projects and recipients within the UZA.
FTA allocates funds under the competitive Section 5339(b) and
5339(c) programs on an annual basis based on a notice of funding
opportunity, which contains detailed guidance on applicant eligibility,
project eligibility, evaluation criteria, and application requirements.
4. Requirements
Eligible recipients for Section 5339(a) formula grants include: (1)
designated recipients that allocate funds to fixed route bus operators,
and (2) States and local governmental entities that operate fixed route
bus service. Eligible subrecipients include public agencies or private
nonprofit organizations engaged
[[Page 33036]]
in public transportation, including those providing services open to a
segment of the general public as defined by age, disability, or low
income. The definition of eligible recipients applies to funding
apportioned in previous fiscal years that remain available for
obligation. The requirements of the Urbanized Area Formula Program
apply to recipients of Section 5339 funds within an urbanized area. The
requirements of Formula Grants for Rural Areas program apply to
recipients of Section 5339 funds within rural areas.
Under prior law, only designated recipients were eligible direct
recipients of Section 5339(a) funds. Given that State and local
government entities that operate fixed route service are now eligible
direct recipients of Section 5339(a) funds, FTA does not require
designated recipients to maintain program management plans (PMPs) if
they do not manage any sub-awards of Section 5339 funds.
For additional program requirements, refer to FTA Circular 5100,
``Buses and Bus Facilities Formula Program: Guidance and Application
Instructions.''
5. Period of Availability
The Bus and Bus Facilities Program formula funds apportioned in
this notice are available for obligation during FY 2018 plus three
additional years. Accordingly, funds apportioned in FY 2018 must be
obligated in grants by September 30, 2021. Any FY 2018 apportioned
funds that remain unobligated at the close of business on September 30,
2021 will revert to FTA for reapportionment under the Buses and Bus
Facilities Formula Program. Competitive program funds authorized under
Sections 5339(b) and 5339(c) follow the same period of availability and
reapportionment policy.
6. Other Program Information
Although it does not provide additional funding, as authorized
under Section 5339(a)(9), FTA has established a pilot program to allow
designated recipients in urbanized areas between 200,000 and 1 million
in population to elect to pool their Buses and Bus Facilities Program
formula allocations with other designated recipients within their
respective states. The purpose of this provision is to allow for the
transfer of formula funding within a State in a manner that supports
the transit asset management plans of the participating designated
recipients. A State that intends to participate in this pilot program
beginning in FY 2019 (October 1, 2018) must submit a request to
establish a State Pool to its FTA Regional Office by August 31, 2018.
The request must identify the urbanized areas that will participate in
the pool for FY 2019, and must include a letter from each urbanized
area's participating designated recipient, and from any affected
eligible recipients of Section 5339(a) funds within the urbanized area,
indicating their intention to participate in this pooling provision for
FY 2019. An urbanized area that participates in a State Pool must
contribute its entire Section 5339(a) apportionment for the fiscal
years in which it participates in the pool. For a multi-state area,
designated recipient for a multistate area may participate in only one
State Pool. FY 2019 is the last year that a State may establish a State
Pool. For FY 2019, the request must specify the proposed distribution
of the pooled funding and must provide a detailed explanation of how
this distribution will support the transit asset management plans of
each participating designated recipient, including any eligible
recipients to which the designated recipient will allocate funding.
Upon approval, FTA will make the requested amounts of program funding
available to the urbanized areas as directed in the request. A State
that elects to participate in this pilot program will be required to
develop an allocation plan for the period of fiscal years 2019 and 2020
that ensures that a designated recipient participating in the State's
pool receives under the program an amount of funds that equals the
amount of funds that would have otherwise been available to the
designated recipient for that period pursuant to the formulas provided.
The amounts in the State Pool will be apportioned separately from funds
apportioned to the State under the Governor's Apportionment for
urbanized areas under 200,000 in population, and will be made available
directly by FTA to the participating urbanized areas, as directed in
the approved allocation plan. An allocation plan may be revised for
future fiscal years, if it remains compliant with the requirement to
ensure equity over the period the pool is in effect. Approved requests
to establish a State Pool for the specified UZAs will remain in effect
until cancelled at the request of the State or one or more designated
recipients. If a State or designated recipient elects to end its
participation in this pooling provision in any future fiscal year, FTA
will adjust the formula allocations so that the total amount that each
affected urbanized area has received over the fiscal years in which it
participated, plus the following apportionment, equals the amount it
would have received over this period had it not participated in the
State pool. Adjustments will be made using the formula apportionment
factors used for each of the affected fiscal years. After the pools are
determined, FTA will publish a supplementary table showing the
participating UZAs, the State total, and the amounts for each UZA for
FY 2019. In future years, the States must provide the amounts
determined by August 31 (in an updated allocation plan), so that FTA
can publish the breakdowns and make the funds available in the
Apportionment Notice.
P. Growing States and High Density States Formula Factors (49 U.S.C.
5340)
Federal transit law authorizes the use of formula factors to
distribute additional funds to the Section 5307 Urbanized Area Formula
program and Section 5311 Formula Grants for Rural Areas program
programs for growing states and high density states. FTA will continue
to publish single urbanized and rural apportionments that show the
total amount for Section 5307 and 5311 programs that includes Section
5340 apportionments for these programs.
For more information or questions on this program, please contact
Tara Clark at (202) 366-2623 or [email protected].
1. Authorized Amounts
Federal transit law authorizes $552,783,547 for apportionment in FY
2018 for the Growing States and High Density States Formula factors.
2. FY 2018 Funding Availability
Under the Consolidated Appropriations Act, 2018, $582,783,547 is
for the Growing States and High Density States formula. This amount
represents additional appropriated funds in the amount of $30 million.
Growing States And High Density States Formula Factors
------------------------------------------------------------------------
------------------------------------------------------------------------
Growing States.......................................... $286,132,747
High Density States..................................... 296,650,800
---------------
Total Apportioned..................................... 582,783,547
------------------------------------------------------------------------
3. Basis for Formula Apportionment
Under the Growing States portion of the Section 5340 formula, FTA
projects each State's 2025 population by comparing each State's
apportionment year population (as determined by the Census Bureau) to
the State's 2010 Census population and extrapolating to 2025 based on
each State's rate of population growth between 2010 and the
apportionment year. Each State receives a share of Growing States funds
[[Page 33037]]
based on its projected 2025 population relative to the nationwide
projected 2025 population.
Once each State's share is calculated, funds attributable to that
State are divided into an urbanized area allocation and a non-urbanized
area allocation on the basis of the percentage of each State's 2010
Census population that resides in urbanized and non-urbanized areas.
Urbanized Areas receive portions of their State's urbanized area
allocation based on the 2010 Census population in that urbanized area
relative to the total 2010 Census population in all urbanized areas in
the State. These amounts are added to the Urbanized Area's Section 5307
apportionment.
The States' rural area allocation is added to the allocation that
each State receives under the Formula Grants for Rural Areas program.
The High Density States portion of the Section 5340 formula are
allocated to urbanized areas in States with a population density equal
to or greater than 370 persons per square mile. Based on this threshold
and 2010 Census data, the States that qualify are Maryland, Delaware,
Massachusetts, Connecticut, Rhode Island, New York and New Jersey. The
amount of funds provided to each of these seven States is allocated on
the basis of the population density of the individual State relative to
the population density of all seven States. Once funds are allocated to
each State, funds are then allocated to urbanized areas within the
States based on an individual urbanized area's population relative to
the population of all urbanized areas in that State.
Q. Washington Metropolitan Area Transit Authority Grants
Section 601 of the Passenger Rail Investment and Improvement Act of
2008 (PRIIA) authorized an aggregate amount of $1.5 billion to be
available in increments over 10 fiscal years beginning in fiscal year
2009 to assist the Washington Metropolitan Transit Authority (WMATA) in
implementing its Capital Improvement Program and preventive maintenance
projects.
For more information or questions on the Washington Metropolitan
Area Transit Authority Grants program, please contact Eric Hu at (202)
366-0870 or [email protected] or Corey Walker at (202) 219-3562 or
[email protected].
1. Authorized Amounts
Section 601 of PRIIA authorizes $150,000,000 in FY 2018.
2. FY 2107 Funding Availability
Under the Consolidated Appropriations Act, 2018, $150,000,000 is
available. The total amount available is $ 148,500,000 after the
deduction for oversight as shown in the table below.
Washington Metropolitan Area Transit Authority Grants
------------------------------------------------------------------------
------------------------------------------------------------------------
Total Appropriation available........................... $150,000,000
Oversight Deduction..................................... (1,500,000)
---------------
Total Apportioned..................................... 148,500,000
------------------------------------------------------------------------
3. Basis for Allocation
The funding is authorized under Section 601, Authorization for
Capital and Preventive Maintenance Projects for Washington Metropolitan
Area Transit Authority, of the Passenger Rail Investment and
Improvement Act of 2008, (Pub. L. 110-432) Division B, Title VI.
4. Requirements
Grants may be provided for capital and preventive maintenance
expenditures for WMATA after it has been determined that WMATA has
placed the highest priority on investments that will improve the safety
of the system, including, but not limited, to fixing the track signal
system, replacing 1000 series railcars, installing guarded turnouts,
buying equipment for wayside worker protection, and installing rollback
protection on cars that are not equipped with the safety feature. FTA
will communicate further program requirements directly to WMATA. The
maximum Federal share for each project shall be for 50 percent of the
net project cost of the project, and matching funds shall be provided
in cash from sources other than Federal funds or revenues from the
operation of public transportation systems.
5. Period of Availability
Funds appropriated for WMATA under Section 601 PRIIA shall remain
available until expended.
V. FTA Policy and Procedures for FY 2018 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
1. Caution to New Grantees
While FTA provides pre-award authority to incur expenses before
grant award for formula programs, it recommends that first-time grant
recipients NOT utilize this automatic pre-award authority without
verifying with the appropriate FTA Regional Office that all pre-
requisite requirements have been met. Commonly, a new grantee may
misunderstand pre-award authority conditions and be unaware of all of
the applicable FTA requirements that must be met in order to be
reimbursed for project expenditures incurred in advance of grant award.
FTA programs have specific statutory requirements that are often
different from those for other Federal grant programs with which new
grantees may be familiar. If funds are expended for an ineligible
project or activity, or for an eligible activity but at an
inappropriate time (e.g., prior to NEPA completion), FTA will be unable
to reimburse the project sponsor and, in certain cases, the entire
project may be rendered ineligible for FTA assistance.
2. Policy
FTA provides pre-award authority to incur expenses before grant
award for certain program areas described below. This pre-award
authority allows grantees to incur certain project costs before grant
approval and retain the eligibility of those costs for subsequent
reimbursement after grant approval. The grantee assumes all risk and is
responsible for ensuring that all conditions are met to retain
eligibility. This pre-award spending authority permits an eligible
grantee to incur costs on an eligible transit capital, operating,
planning, or administrative project without prejudice to possible
future Federal participation in the cost of the project. In this
notice, FTA provides pre-award authority through the authorization
period of the FAST Act (October 1, 2015 through September 30, 2020) for
capital assistance under all formula programs, so long as the
conditions described below are met. FTA provides pre-award authority
for planning and operating assistance under the formula programs
without regard to the period of the authorization. All pre-award
authority is subject to conditions and triggers stated below:
a. Operating, Planning, or Administrative Assistance
FTA does not impose additional conditions on pre-award authority
for operating, planning, or administrative assistance under the formula
grant programs. Grantees may be reimbursed for expenses incurred before
grant award so long as funds have been expended in accordance with all
Federal requirements, would have been allowable if incurred after the
date of award, and the grantee is otherwise eligible to receive the
funding. In addition to cross-cutting Federal grant
[[Page 33038]]
requirements, program specific requirements must be met. For example, a
State of Good Repair Formula Grants project on or after October 1, 2018
must be included in the grantee's certified TAM Plan, a planning
project must be included in a Unified Planning Work Program (UPWP); a
Section 5310 project be included in a coordinated public transit-human
services transportation plan (coordinated plan) and selected by the
designated recipient before incurring expenses and expenditures on
State Administration expenses under State Administered programs must be
consistent with the State Management Plan (as defined in FTA Circular
9040.1G, Chapter 6). Designated recipients for Section 5310 have pre-
award authority for the ten percent of the apportionment they may use
for program administration.
b. Transit Capital Projects
For transit capital projects, the date that costs may be incurred
varies depending on the type of activity and its potential to have a
significant impact on the human and natural environment as described
under conditions in section 3 below. Before an applicant may incur
costs when pre-award authority has not been granted, it must first
obtain a written Letter of No Prejudice (LONP) from FTA. To obtain an
LONP, a grantee must submit a written request accompanied by adequate
information and justification to the appropriate FTA regional office,
as described in section 4 below.
c. Public Transportation Innovation, Technical Assistance and Workforce
Development
Unless provided for in an announcement of project selections, pre-
award authority does not apply to Public Transportation Innovation
projects or Section 5314 Technical Assistance and Workforce Development
projects. Before an applicant may incur costs for activities under
these programs, it must first obtain a written Letter of No Prejudice
(LONP) from FTA. To obtain an LONP, a grantee must submit a written
request accompanied by adequate information and justification to the
appropriate FTA headquarters office. Information about LONP procedures
may be obtained from the appropriate headquarters office.
3. Conditions
The conditions under which pre-award authority may be utilized are
specified below:
a. Pre-award authority is not a legal or implied commitment that
the subject project will be approved for FTA assistance or that FTA
will obligate Federal funds. Furthermore, it is not a legal or implied
commitment that all items undertaken by the applicant will be eligible
for inclusion in the project.
b. All FTA statutory, procedural, and contractual requirements must
be met.
c. No action will be taken by the grantee that prejudices the legal
and administrative findings that the Federal Transit Administration
must make in order to approve a project.
d. Local funds expended by the grantee after the date of the pre-
award authority will be eligible for credit toward local match or
reimbursement if FTA later makes a grant or grant amendment for the
project. Local funds expended by the grantee before the date of the
pre-award authority will not be eligible for credit toward local match
or reimbursement. Furthermore, the expenditure of local funds or the
undertaking of certain activities that would compromise FTA's ability
to comply with Federal environmental laws (e.g., project implementation
activities such as land acquisition, demolition, or construction before
the date of pre-award authority) may render the project ineligible for
FTA funding.
e. The Federal amount of any future FTA assistance awarded to the
grantee for the project will be determined based on the overall scope
of activities and the prevailing statutory provisions with respect to
the Federal/local match ratio at the time the funds are obligated.
f. For funds to which the pre-award authority applies, the
authority expires with the lapsing of the fiscal year funds.
g. When a grant for the project is subsequently awarded, the grant
and the Federal Financial Report in TrAMS must indicate the use of pre-
award authority.
h. Environmental Requirements.
All Federal environmental grant requirements must be met at the
appropriate time for the project to remain eligible for Federal
funding. Designated recipients may incur costs for design and
environmental review activities for all projects from the date of the
authorization of formula funds or the date of the announcement of the
competitive allocations of funds for the project.
For projects that qualify for a categorical exclusion (CE) pursuant
to 23 CFR 771.118(c), designated recipients may start activities and
incur costs for property acquisition, demolition, construction, and
acquisition of vehicles, equipment, or construction materials from the
date of the authorization of formula funds or the date of the
announcement of the competitive allocation of funds for the project.
FTA recommends that a grant applicant considering a (CE) pursuant to 23
CFR 771.118(c) contact FTA's Regional Office for assistance in
determining the appropriate environmental review process and level of
documentation necessary before incurring costs for property
acquisition, demolition, construction, and acquisition of vehicles,
equipment, or construction materials. If FTA subsequently finds that a
project does not qualify for this CE, it will be ineligible for FTA
assistance. FTA encourages grant applicants to contact FTA's Regional
Office before exercising pre-award authority for projects to which it
believes a CE at 23 CFR 771.118(c)(8), (9), (10), (12), or (13)
applies.
For all other non-Capital Investment Grant projects that do not
qualify for a CE under 23 CFR 771.118(c), grant applicants may take
action and incur costs for property acquisition, demolition,
construction, and acquisition of vehicles, equipment, or construction
materials from the date that FTA completes the environmental review
process required by NEPA and its implementing regulations, 23 U.S.C.
139, and other environmental laws by its issuance of a Section
771.118(d) categorical exclusion determination, a Finding of No
Significant Impact (FONSI), or a Record of Decision (ROD).
i. Planning and other requirements.
Formula funds must be authorized or appropriated and earmarked
project allocations published or announced before pre-award authority
can be considered.
The requirement that a project be included in a locally-adopted
Metropolitan Transportation Plan, the metropolitan transportation
improvement program and federally-approved statewide transportation
improvement program (23 CFR part 450) must be satisfied before the
grantee may advance the project beyond planning and preliminary design
with non-federal funds under pre-award authority. If the project is
located within an EPA-designated non-attainment or maintenance area for
air quality, the conformity requirements of the Clean Air Act, 40 CFR
part 93, must also be met before the project may be advanced into
implementation-related activities under pre-award authority triggered
by the completion of the NEPA process. For a planning project to have
pre-award authority, the planning project must be included in a MPO-
approved Unified Planning Work Program (UPWP) that has been coordinated
with the State.
[[Page 33039]]
j. Federal procurement procedures, as well as the whole range of
applicable Federal requirements (e.g., Buy America, Davis-Bacon Act,
and Disadvantaged Business Enterprise) must be followed for projects in
which Federal funding will be sought in the future. Failure to follow
any such requirements could make the project ineligible for Federal
funding. In short, this increased administrative flexibility requires a
grantee to make certain that no Federal requirements are circumvented
through the use of pre-award authority.
k. All program specific requirements must be met. For example,
projects under Section 5310 must comply with specific program
requirements, including coordinated planning.
Before incurring costs, grantees are strongly encouraged to consult
with the appropriate FTA Regional office regarding the eligibility of
the project for future FTA funds and for questions on environmental
requirements, or any other Federal requirements that must be met.
4. Pre-Award Authority for the Fixed Guideway Capital Investment Grants
Program
Projects proposed for Section 5309 Capital Investment Grant (CIG)
program funds are required to follow a multi-step, multi-year process
defined in law. For New Starts and Core Capacity projects, this process
includes three phases: project development (PD), engineering, and
construction. For Small Starts projects, this process includes two
phases: PD and construction. After receiving a letter from the project
sponsor requesting entry into the PD phase, FTA must respond in writing
within 45 days whether the information was sufficient for entry. If
FTA's correspondence indicates the information was sufficient and the
New Starts, Small Starts or Core Capacity project enters PD, FTA
extends pre-award authority to the project sponsor to incur costs for
PD activities. PD activities include the work necessary to complete the
environmental review process and as much engineering and design
activities as the project sponsor believes are necessary to support the
environmental review process. Upon completion of the environmental
review process with a ROD, FONSI, or CE determination by FTA for a New
Starts, Small Starts, or Core Capacity Improvement project, FTA extends
pre-award authority to project sponsors to incur costs for as much
engineering and design as needed to develop a reasonable cost estimate
and financial plan for the project, utility relocation, and real
property acquisition and associated relocations for any property
acquisitions not already accomplished as a separate project for
hardship or protective purposes or right-of-way under 49 U.S.C.
5323(q).
For Small Starts projects, upon completion of the environmental
review process and confirmation from FTA that the overall project
rating is at least a Medium, FTA extends pre-award authority for
vehicle purchases. Upon receipt of a letter notifying a New Starts or
Core Capacity project sponsor of the project's approval into the
engineering phase, FTA extends pre-award authority for vehicle
purchases as well as any remaining engineering and design, demolition,
and procurement of long lead items for which market conditions play a
significant role in the acquisition price. The long lead items include,
but are not limited to, procurement of rails, ties, and other
specialized equipment, and commodities.
Please contact the FTA Regional Office for a determination of
activities not listed here, but which meet the intent described above.
FTA provides this pre-award authority in recognition of the long-lead
time and complexity involved with purchasing vehicles as well as their
relationship to the ``critical path'' project schedule. FTA cautions
grantees that do not currently operate the type of vehicle proposed in
the project about exercising this pre-award authority. FTA encourages
these sponsors to wait until later in the process when project plans
are more fully developed. FTA reminds project sponsors that the
procurement of vehicles must comply with all Federal requirements,
including, but not limited to, competitive procurement practices, the
Americans with Disabilities Act, Disadvantaged Business Enterprise
program requirements and Buy America. FTA encourages project sponsors
to discuss the procurement of vehicles with FTA in regard to Federal
requirements before exercising pre-award authority. Because there is
not a formal engineering phase for Small Starts projects, FTA does not
extend pre-award authority for demolition and procurement of long lead
items. Instead, this work must await receipt of a construction grant
award or an expedited grant agreement.
a. Real Property Acquisition
As noticed above, FTA extends pre-award authority for the
acquisition of real property and real property rights for fixed
Guideway Capital Investment Grant projects (New or Small Starts or Core
Capacity) upon completion of the environmental review process for that
project. The environmental review process is completed when FTA signs
an environmental Record of Decision (ROD) or Finding of No Significant
Impact (FONSI), or makes a Categorical Exclusion (CE) determination.
With the limitations and caveats described below, real estate
acquisition may commence, at the project sponsor's risk. For FTA-
assisted projects, any acquisition of real property or real property
rights must be conducted in accordance with the requirements of the
Uniform Relocation Assistance and Real Property Acquisition Policies
Act (URA) and its implementing regulations, 49 CFR part 24. This pre-
award authority is strictly limited to costs incurred: (i) To acquire
real property and real property rights in accordance with the URA
regulation; and (ii) to provide relocation assistance in accordance
with the URA regulation. This pre-award authority is limited to the
acquisition of real property and real property rights that are
explicitly identified in the final environmental impact statement
(FEIS), environmental assessment (EA), or CE document, as needed for
the selected alternative that is the subject of the FTA-signed ROD or
FONSI, or CE determination. This pre-award authority regarding property
acquisition that is granted at the completion of the environmental
review process does not cover site preparation, demolition, or any
other activity that is not strictly necessary to comply with the URA,
with one exception--namely when a building that has been acquired, has
been emptied of its occupants, and awaits demolition poses a potential
fire safety hazard or other hazard to the community in which it is
located, or is susceptible to reoccupation by vagrants. Demolition of
the building is also covered by this pre-award authority upon FTA's
written agreement that the adverse condition exists. Pre-award
authority for property acquisition is also provided when FTA makes a CE
determination for a protective buy or hardship acquisition in
accordance with 23 CFR 771.117(d)(12). Pre-award authority for property
acquisition is also provided when FTA completes the environmental
review process for the acquisition of right-of-way as a separate
project in accordance with 49 U.S.C. 5323(q). When a tiered
environmental review in accordance with 23 CFR 771.111(g) is used, pre-
award authority is NOT provided upon completion of the first-tier
environmental document except when the Tier-1 ROD or FONSI signed by
FTA explicitly provides such pre-award authority for a particular
identified acquisition. Project sponsors should use pre-award authority
for real
[[Page 33040]]
property acquisition relocation assistance with a clear understanding
that it does not constitute a funding commitment by FTA. FTA provides
pre-award authority upon completion of the environmental review process
for real property acquisition and relocation assistance to maximize the
time available to project sponsors to move people out of their homes
and places of business, in accordance with the requirements of the URA,
but also with maximum sensitivity to the circumstances of the people so
affected.
b. Reimbursement of Costs Incurred Under Pre-Award Authority
Although FTA provides pre-award authority for property acquisition,
long lead items, demolition, utility relocation, and vehicle purchases
upon completion of the environmental review process, FTA does not award
Federal funding for these activities conducted under pre-award
authority until the project receives a Capital Investment Grants
program construction grant. This is to ensure that Federal funds are
not risked on a project whose advancement into construction is not yet
assured.
c. National Environmental Policy Act (NEPA) Activities
NEPA requires that certain projects proposed for FTA funding
assistance be subjected to a public and interagency review of the need
for the project, its environmental and community impacts, and
alternatives to avoid and reduce adverse impacts. Projects of more
limited scope also need a level of environmental review (to determine
whether there are significant environmental impacts) or confirmation
that a categorical exclusion (CE) applies. FTA's regulation titled
``Environmental Impact and Related Procedures,'' at 23 CFR part 771
states that the costs incurred by a grant applicant for the preparation
of environmental documents requested by FTA are eligible for FTA
financial assistance (23 CFR 771.105(e)). Accordingly, FTA extends pre-
award authority for costs incurred to comply with NEPA regulations and
to conduct NEPA-related activities, effective as of the earlier of the
following two dates: (1) The date of the Federal approval of the
relevant STIP or STIP amendment that includes the project or any phase
of the project, or that includes a project grouping under 23 CFR
450.216(j) that includes the project; or (2) the date that FTA approves
the project into the project development phase of the CIG program. The
grant applicant must notify the FTA Regional Office to initiate the
Federal environmental review process in accordance with the ``Dear
Colleague'' letter from the FTA Administrator dated February 24, 2011.
NEPA-related activities include, but are not limited to, public
involvement activities, historic preservation reviews, Section 4(f)
evaluations, wetlands evaluations, endangered species consultations,
and biological assessments. This pre-award authority is strictly
limited to costs incurred to conduct the NEPA process and associated
engineering, and to prepare environmental, historic preservation and
related documents. When a New Starts, Small Starts, or Core Capacity
project is granted pre-award authority for the environmental review
process, the reimbursement for NEPA activities conducted under pre-
award authority may be sought at any time through Section 5307
(Urbanized Area Formula Program) or the flexible highway programs (STP
and CMAQ). Reimbursement from the Section 5309 CIG program for NEPA
activities conducted under pre-award authority is provided only for
expenses incurred after entry into the project development phase and
only once a construction grant agreement is signed. As with any pre-
award authority, FTA reimbursement for costs incurred is not
guaranteed.
d. Other Activities Requiring Letter of No Prejudice (LONP)
Except as discussed in paragraphs i through iii above, a CIG
project sponsor must obtain a written LONP from FTA before incurring
costs for any activity not covered by pre-award authority. To obtain an
LONP, an applicant must submit a written request accompanied by
adequate information and justification to the appropriate FTA Regional
Office, as described in B below.
B. Letter of No Prejudice (LONP) Policy
1. Policy
LONP authority allows an applicant to incur costs on a project
utilizing non-Federal resources, with the understanding that the costs
incurred subsequent to the issuance of the LONP may be reimbursable as
eligible expenses or eligible for credit toward the local match should
FTA approve the project at a later date. LONPs are applicable to
projects and project activities not covered by automatic pre-award
authority. The majority of LONPs will be for Section 5309 Capital
Investment Grants program projects undertaking activities not covered
under automatic pre-award authority. LONPs may be issued for formula
funds beyond the life of the current authorization or FTA's extension
of automatic pre-award authority; however, the LONP is limited to a
five-year period, unless otherwise authorized in the LONP. Receipt of
Federal funding under any program is not implied or guaranteed by an
LONP.
2. Conditions and Federal Requirements
The conditions and requirements for pre-award authority specified
in section V.4.ii and V.4.iii above apply to all LONPs. Because project
implementation activities may not be initiated before completion of the
environmental review process, FTA will not issue an LONP for such
activities until the environmental review process has been completed
with a ROD, FONSI, or CE determination.
3. Request for LONP
Before incurring costs for project activities not covered by
automatic pre-award authority, the project sponsor must first submit a
written request for an LONP, accompanied by adequate information and
justification, to the appropriate regional office and obtain written
approval from FTA. FTA approval of an LONP is determined on a case-by-
case basis. Federal funding under the Fixed Guideway Capital Investment
Grants program is not implied or guaranteed by an LONP. Specifically,
when requesting an LONP, the applicant shall provide the following
items:
a. Description of the activities to be covered by the LONP.
b. Justification for advancing the identified activities. The
justification should include an accurate assessment of the consequences
to the project scope, schedule, and budget should the LONP not be
approved.
c. Allocated level of risk and contingency for the activity
requested.
C. FY 2018 Annual List of Certifications and Assurances
The FY 2018 Certifications and Assurances and Master Agreement must
be used for all grants and cooperative agreements awarded in FY 2018.
All recipients with active projects are required to sign the FY 2018
Certifications and Assurances within 90 days of publication.
D. Civil Rights Requirements
1. Civil Rights Overview
Recipients must carry out provisions of the Americans with
Disabilities act (ADA) of 1990, Section 504 of the Rehabilitation Act
of 1973, as amended, and the U.S. DOT's implementing regulations at 49
CFR parts 27, 37, 38, and 39. FTA's ADA Circular (4710.1) provides
guidance for carrying out the
[[Page 33041]]
regulatory requirements of the ADA. In addition, recipients must
regularly prepare and submit civil rights program plans and reports to
establish voluntary compliance and document policies and practices in
the areas of Title VI, DBE and EEO. The current status of civil rights
programs can be found on each recipient's Civil Rights Information page
of TrAMS. New program plans and program updates can be submitted there
as well. Prior to submitting an application for funding, recipients
should consult with FTA Circulars and guidance and submit the following
programs, as applicable:
a. Title VI of the Civil Rights Act of 1964: The U.S. DOT's Title
VI implementing regulations are found in 49 CFR part 21. FTA's Title VI
Circular (4702.1B) provides guidance for carrying out the regulatory
requirements.
b. Disadvantaged Business Enterprise (DBE) program and triennial
goal: The U.S. DOT's DBE implementing regulations are found in 49 CFR
part 26 and provide guidance for carrying out the regulatory
requirements and developing the triennial DBE goal.
c. Title VII of the Civil Rights Act of 1964, Equal Employment
Opportunity (EEO): The U.S. DOT's EEO implementing regulations are
found in 49 CFR part 21. FTA's EEO Circular (4704.1A) provides guidance
for carrying out the regulatory requirements.
2. Title VI of the Civil Rights Act of 1964
Recipients in urbanized areas of 200,000 or more in population and
with 50 or more fixed-route vehicles in peak service must conduct a
service equity analysis for all service changes that meet the
recipient's definition of ``major service change'' prior to
implementing the service change. A service equity analysis is also
required for all New Start, Small Start, or other new fixed guideway
capital projects, and must be completed six months prior to
implementing revenue service. Recipients also must conduct a fare
equity analysis for all fare increases or decreases prior to
implementing a fare change and for changes to fare media, such as a
transition to a cashless fare system. Recipients that do not meet the
abovementioned threshold of 200,000 or more in population and 50 fixed
route vehicles in peak service (i.e., small transit providers) are not
required to conduct a service or fare equity analysis but should review
their policies and practices to ensure their service and fare changes
do not result in disparate impacts on the basis of race, color, or
national origin. For guidance, see Title VI Circular 4702.1B at https://www.transit.dot.gov/title6. Should you have any questions, please
contact your Regional Civil Rights Officer.
3. Disadvantaged Business Enterprise Program--Transit Vehicle
Manufacturers
Recipients exercising pre-award authority are expected to comply
with the Disadvantaged Business Enterprise (DBE) regulations. The
Department of Transportation's DBE program helps small businesses owned
by socially and economically disadvantaged individuals to compete in
the marketplace, and is designed to support the people who create
jobs--our nation's entrepreneurs. When procuring vehicles, 49 CFR
26.49(a) requires that transit vehicle manufacturers ``must establish
and submit for FTA's approval an annual overall percentage goal'' and
``may make the certification required by this section if you have
submitted the goal this section requires and FTA has approved it or not
disapproved it.''
Recipients are advised that it is not sufficient to accept a
certification stating that ``FTA has not disapproved'' of a TVMs DBE
goal. Rather, Recipients must ensure that the TVM has submitted a goal
to FTA and FTA has either approved it or not disapproved it. A
recipient may request from FTA verification that a TVM has submitted a
DBE goal to FTA for its review. Please email your Regional Civil Rights
Officer regarding your request and FTA will respond via email within
five business days. Furthermore, to assist with TVM certification
compliance, FTA maintains a web posting of all certified TVMs located
at https://www.transit.dot.gov/TVM.
Finally, FTA takes the position that failure by a Recipient to
verify a TVM's eligibility to bid on an FTA-assisted contract prior to
award cannot be cured after award of the contract and will likely
result in FTA declining to provide Federal funding for the vehicle
procurement.
Furthermore, recipients are also reminded of the requirement in 49
CFR 26.49(a)(4), which states that ``FTA recipients are required to
submit within 30 days of making an award, the name of the successful
bidder, and the total dollar value of the contract in the manner
prescribed in the grant agreement.'' Recipients are to report to FTA
all vehicle purchases, post-production alterations, and retrofit
procurements within the 30 days of award. Vehicles purchased solely for
personal use and/or purchased ``off the lot'' do not need to be
reported.
E. Consolidated Planning Grants
FTA and FHWA planning funds under both the Metropolitan Planning
and State Planning and Research Programs can be consolidated into a
single consolidated planning grant, awarded by either FTA or FHWA. The
Consolidated Planning Grants (CPG) eliminate the need to monitor
individual fund sources, if several have been used, and ensures that
the oldest funds will always be used first.
Under the CPG, States can report metropolitan planning program
expenditures (to comply with the Uniformed Guidance 2 CFR 200, subpart
F) for both FTA and FHWA under the Catalogue of Federal Domestic
Assistance number for FTA's Metropolitan Planning Program (20.505).
Additionally, for States with an FHWA Metropolitan Planning (PL) fund-
matching ratio greater than 80 percent, the State can waive the 20
percent local share requirement, with FTA's concurrence, to allow FTA
funds used for metropolitan planning in a CPG to be granted at the
higher FHWA rate. For some States, this Federal match rate can exceed
90 percent.
States interested in transferring planning funds between FTA and
FHWA should contact the FTA Regional Office or FHWA Division Office for
more detailed procedures. The FHWA Order 4551.1 dated August 12, 2013,
on ``Funding Transfers to Other Agencies and Among Title 23 Programs''
provides guidance and more detailed information.
For further information on CPGs, contact Ann Souvandara, Office of
Budget and Policy, FTA, at (202) 366-0649 or [email protected].
F. Grant Application Procedures
All applications for FTA funds should be submitted to the
appropriate FTA Regional Office. All applications are filed
electronically. FTA continues to award and manage grants and
cooperative agreements using the Transit Award Management System
(TrAMS). Information on accessing and using TrAMS, including a list of
FTA points of contact for the system, can be found on FTA's website at
https://www.transit.dot.gov/TrAMS.
FTA regional staff are responsible for working with grantees to
review and process grant applications. For an application to be
considered complete and ready for FTA to assign a Federal Award
Identification Number (FAIN), enabling submission in TrAMS, and
submission to the Department of Labor (when applicable), the following
requirements must be met:
[[Page 33042]]
1. Recipient has registered in the System for Award Management
(SAM) and its registration is current. If your agency is not registered
or needs to ensure it is current, visit the SAM website at (https://www.sam.gov).
2. Recipient's contact information, including Dun and Bradstreet
Data Universal Numbering System (DUNS), is correct and up-to-date. If
requested by phone (1-866-705-5711), DUNS is provided immediately. If
your organization does not have a DUNS, please visit the Dun &
Bradstreet website at https://fedgov.dnb.com/webform to obtain the
number.
3. Recipient has properly submitted its annual certifications and
assurances.
4. Recipient's Civil Rights submissions are current.
After October 1, 2018, the grantee has a Transit Asset Management
plan in place that meets the requirements of 49 CFR part 625, or is
covered by a compliant Group Plan.
5. Documentation is on file to support recipient's status as either
a designated recipient (for the program and area) or a direct
recipient.
6. Funding is available, including any flexible funds included in
the budget, and split letters or suballocation letters on file (where
applicable) to support amount being applied for in grant application.
7. The project is listed in a currently approved Transportation
Improvement Program (TIP); Statewide Transportation Improvement Program
(STIP), or Unified Planning Work Program (UPWP).
8. All eligibility issues are resolved.
9. Required environmental findings are made.
10. The application contains a well-defined scope of work,
including at least one project with accompanying project narratives,
budget scope and activity line item information, Federal and non-
Federal funding amounts, and milestones.
11. Major Capital Projects as defined by 49 CFR part 633 ``Project
Management Oversight'' must document FTA has reviewed the project
management plan and provided approval.
12. Milestone information is complete, or FTA determines that
milestone information can be finalized before the grant is ready for
award. FTA will also review status of other open grants' reports to
confirm financial and milestone information is current on other open
grants and projects.
Before FTA can award grants for competitive projects and
activities, notification must be provided to the House and Senate
authorizing and appropriations committees. Other important issues that
impact FTA grant processing activities are discussed below.
a. System for Award Management (SAM) Registration and Dun and
Bradstreet Universal Numbering System (DUNS) Number.
Each applicant or recipient of Federal Funds is required to: (1) Be
registered in SAM before submitting its application; (2) have a valid
DUNS number; and (3) continue to maintain an active SAM registration
with current information at all times during which it has an active
award or an application or plan under consideration by the Federal
Transit Administration (FTA). FTA will not make an award to an
applicant until the applicant has complied with all applicable DUNS and
SAM requirements and, if an applicant has not fully complied with the
requirements by the time the FTA is ready to make a Federal award, FTA
may determine that the applicant is not qualified to receive a Federal
award and use that determination as a basis for making a Federal award
to another applicant.
The System for Award Management (SAM) https://www.sam.gov/portal/SAM/ is the Official U.S. Government system that consolidated the
capabilities of many systems. There is no fee to register or use this
site. Entities may register and update their information at no cost
directly from the above site. SAM registration (formerly CCR
registration) needs to be renewed at least annually.
b. Award Budgets--Scope Codes and Activity Line Items (ALI) Codes;
Financial Purpose Codes.
FTA uses the Scope and Activity Line Item (ALI) Codes in the award
budgets to track disbursements, monitor program trends, report to
Congress, and to respond to requests from the Inspector General and the
Government Accountability Office (GAO), as well as to manage grants.
The accuracy of the data is dependent on the careful and correct use of
codes.
c. Designated and Direct Recipients Documentation
For its formula programs, FTA primarily apportions funds to the
designated recipient in the large UZAs (areas over 200,000), or for
areas under 200,000 (small UZAs and rural areas), it apportions the
funds to the Governor, or its designee (e.g., State DOT). Depending on
the program and as described in the individual program sections found
in Section IV of this notice, further suballocation of funds may be
permitted to eligible recipients who may then apply directly to FTA for
the funding (direct recipients), so long as the required documentation
is on file.
For the programs in which FTA may make grants to eligible direct
recipients, other than the designated recipient(s), recipients are
reminded that documentation must be on file to support: (1) The status
of the recipient either as a designated recipient or direct recipient;
and (2) the allocation of funds to the direct recipient.
Documentation to support existing designated recipients for the UZA
must also be on file at the time of the first application in FY 2018.
Further, split letters and/or suballocation letters (Governor's
Apportionment letters), must also be on file to support grant
applications from direct recipients. Once suballocation letters for FY
2018 funding are finalized they should be uploaded into TrAMS.
The Direct Recipient is required to upload to TrAMS a copy of the
suballocation letter (Letter) indicating their allocation of funding
[for the appropriate fund program] when the applicant transmits their
application for initial review. The letter must be signed by the
Designated Recipient, or as applicable in accordance with their
planning requirements. If there are two Designated Recipients, both
entities must sign the Letter. The Letter must: (1) Indicate the
allocations to the respective Direct Recipients listed in the letter;
(2) incorporate language above the signatories to reflect this
agreement; and (3) make clear that the Direct Recipient will assume
any/all responsibility associated with the award for the funds. When
drafting the letter, Designated Recipients may use the template
language below:
``As identified in this Letter, the Designated Recipient(s)
authorize the reassignment/reallocation of [enter fund source; e.g.
Section 5307 funds] to the Direct Recipient(s) named herein. The
undersigned agree to the amounts allocated/reassigned to each direct
Recipient. Each Direct Recipient is responsible for its application to
the Federal Transit Administration to receive such funds and assumes
the responsibilities associated with any award for these funds.''
2. Payments
Once a grant has been awarded and executed, requests for payment
can be processed. To process payments, FTA uses ECHO-Web, an internet
accessible system that provides grantees the capability to submit
payment requests on-line, as well as receive user-IDs and passwords via
email. New applicants should contact the appropriate FTA
[[Page 33043]]
Regional Office to obtain and submit the registration package necessary
for set-up under ECHO-Web.
3. Oversight
FTA is responsible for conducting oversight activities to help
ensure that grants recipients use FTA Federal financial assistance in a
manner consistent with its intended purpose and in compliance with
regulatory and statutory requirements. FTA conducts periodic oversight
reviews to assess grantee compliance with applicable Federal
requirements. Each Urbanized Area Formula Program recipient is reviewed
every three years, (also known as FTA's Triennial Review); and States
and state-wide public transportation agencies are reviewed periodically
to assess the management practices and program implementation of FTA
state-wide programs (e.g., Planning, Rural Areas, Enhanced Mobility of
Seniors and Individuals with Disabilities Programs). Other more
detailed reviews are scheduled based on an annual grantee oversight
assessment. Important objectives of FTA's oversight program include,
but are not limited to: Determining grantee compliance with Federal
requirements; identifying technical assistance needs, and delivering
technical assistance to meet those needs; spotting emerging issues with
grantees in a forward-looking fashion; recognizing when there is a need
for more in-depth reviews in the areas of procurement, financial
management, and civil rights; and identifying grantees with recurring
or systemic issues.
4. Technical Assistance
As noted throughout the notice, FTA continues to rely on several of
the existing program circulars for general program guidance. FTA is
continuing to update the program circulars, with an opportunity for
notice and comment (where warranted), to reflect amendments to chapter
53 of title 49, U.S.C. made by the FAST Act. In the meantime, if you
have any questions, please do not hesitate to contact FTA. FTA
headquarters and regional staff will be pleased to answer your
questions and provide any technical assistance you may need to apply
for FTA program funds and manage the grants you receive. At its
discretion, FTA may also use program oversight consultants to provide
technical assistance to grantees on a case by case basis. This notice
and the program guidance circulars previously identified in this
document may be accessed via the FTA website at www.fta.dot.gov.
G. Grant Management
1. Grant Reporting
Recipients of FTA funds are reminded that all FTA grantees are
required to report on their grants. It is critical to ensure reports
demonstrate that reasonable progress is being made on projects. At a
minimum, all awards require a Federal Financial Report (FFR) and a
Milestone Progress Report (MPR) on an annual basis. Some reports are
required quarterly depending on the recipient and the type of projects
funded under the grant and FTA's risk-based reporting policy that went
into effect on October 1, 2017. The requirements for these reports and
other reporting requirements can be found in the latest version of FTA
Circular 5010. FTA staff, auditors, and contractors rely on the
information provided in the FFR and MPR to review and report on the
status of both financial and project-level activities contained in the
grant. It is critical that recipients provide accurate and complete
information in these reports and submit them by the required due date.
Failure to report and/or demonstrate reasonable progress on projects
can result in suspension or premature close-out of a grant.
2. Inactive Grants and Grant Closeout
In FY 2018 FTA will continue to focus on identifying and working
with recipients to close inactive grants. If appropriate, FTA will act
to close out and deobligate funds from these grants if reasonable
progress is not made. The efficient use of funds will further FTA's
fulfillment of its mission to provide efficient and effective public
transportation systems for the nation. As inactive grants continue to
be an audit finding within the DOT, FTA must act to ensure its grants
do not prevent the DOT from receiving a ``clean audit'' opinion on its
annual financial statements.
In October 2017, FTA identified a list of grants that were awarded
on or prior to September 30, 2014 and have had no funds disbursed since
September 30, 2016 or have never had a disbursement. FTA Regional
Offices will be contacting grant recipients with grants that meet these
criteria to notify them that FTA intends to close the grant and
deobligate any remaining funds unless the grantee can provide
information that demonstrates that the projects funded by the grant
remain active and the grantee has a realistic schedule to expedite
completion of the projects funded in the grant.
In addition, FTA will work to identify any grants that may be
subject to Grants Oversight and New Efficiency (GONE) Act reporting in
October 2018. The GONE Act requires Federal agencies to report active
awards whose period of performance end date is two or more years prior
to the end of the fiscal year. For FY 2018, this means any active award
with a period of performance end date on September 30, 2016 or prior.
FTA plans to work with recipients whose awards are in this category to
close the awards or modify the award to extend the period of
performance, as necessary.
Issued in Washington, DC.
K. Jane Williams,
Acting Administrator.
[FR Doc. 2018-14989 Filed 7-13-18; 8:45 am]
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