FTA Fiscal Year 2020 Apportionments, Allocations and Program Information, 34285-34303 [2020-11946]

Agencies

• Federal Transit Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 85, Number 107 (Wednesday, June 3, 2020)]
[Notices]
[Pages 34285-34303]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-11946]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


FTA Fiscal Year 2020 Apportionments, Allocations and Program 
Information

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice.

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SUMMARY: This notice provides priorities for programs in Fiscal Year 
(FY) 2020, 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, Deputy Associate Administrator, Office 
of Program Management, 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 2020 Funding for FTA Programs
    A. Funding Available Under the Further Consolidated 
Appropriations Act, 2020
    B. Oversight Takedown
    C. FY 2020 Formula Apportionments: Data and Methodology
III. FY 2020 Program Highlights
    A. Emergency Relief Docket
    B. Policy Priorities
    1. Accelerating Innovative Mobility (AIM)
    2. Public Transportation Agency Safety Plans
    3. Value Capture
    4. Coordinating Council on Access and Mobility

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    5. Rural Opportunities to Use Transportation for Economic 
Success (ROUTES)
    6. Opportunity Zones
    C. FY 2020 Competitive Program Funding
    D. National Defense Authorization Act for FY 2020
IV. FY 2020 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. Public Transportation on Indian Reservations Program (49 
U.S.C. 5311(c)(1))
    J. Public Transportation Innovation (49 U.S.C. 5312)
    K. Technical Assistance and Workforce Development (49 U.S.C. 
5314)
    L. Public Transportation Emergency Relief Program (49 U.S.C. 
5324)
    M. State Safety Oversight Formula Program (49 U.S.C. 5329)
    N. State of Good Repair Grants Program (49 U.S.C. 5337)
    O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
    P. Growing States and High-Density States Formula Factors (49 
U.S.C. 5340)
    Q. Washington Metropolitan Area Transit Authority Grants
V. FY 2020 Grants
    A. Automatic Pre-Award Authority to Incur Project Costs
    B. Letter of No Prejudice (LONP) Policy
    C. FY 2020 Annual List of Certifications and Assurances
    D. Civil Rights Requirements
    E. Consolidated Planning Grants
    F. Grant Application Procedures

I. Overview

    This document provides notice to stakeholders that FTA is 
apportioning the full Fiscal Year (FY) 2020 authorized contract 
authority through September 30, 2020 for FTA formula and competitive 
programs pursuant to Division H of the Further Consolidated 
Appropriations Act, 2020 (Pub. L. 116-94). In addition, this document 
contains important information about FTA programs, statutory 
requirements, and policy priorities.
    For each FTA program, FTA has provided information on the FY 2020 
authorized funding levels, funding availability and the period of 
availability of funds. A separate section provides information on pre-
award authority as well as other requirements applicable to FTA 
programs and grant administration. Finally, the notice includes a 
reference to tables on FTA's website that show new contract authority 
apportioned and made available through September 30, 2020.
    Information in this document includes references to existing FTA 
program guidance and circulars. Some information in FTA's guidance 
documents and circulars may have been superseded by new provisions in 
the Fixing America's Surface Transportation (FAST) Act (Pub. L. 114-
94), but these guidance documents and circulars remain a resource for 
program management in most areas.

II. FY 2020 Funding for FTA Programs

A. Funding Available Under the Further Consolidated Appropriations Act, 
2020

    Division H of the Further Consolidated Appropriations Act, 2020 
(Pub. L. 116-94) (``Further Consolidated Appropriations Act, 2020'') 
makes $12.8 billion in funding available for FTA programs in FY 2020. 
The Further Consolidated Appropriations Act, 2020 provides $10.15 
billion in funding from the Mass Transit Account of the Highway Trust 
Fund at the amounts authorized by the FAST Act for FY 2020, along with 
$2.64 billion in general funds including $1.978 billion for Capital 
Investment Grants, $150 million in additional general contract 
authority for the Washington Metropolitan Area Transit Authority 
(WMATA) and $510 million for transit infrastructure grants including: 
$168 million for Grants for Buses and Bus Facilities formula grants, 
$170 million for Buses and Bus Facilities competitive grants, $75 
million for Low or No Emissions Grants, $40 million for Formula Grants 
for Rural Areas, $40 million for the Section 5340 High Density States 
Apportionments, $5.5 million for Section 5312 Public Transportation 
Innovation, and $3 million for low and no emission vehicle testing 
facilities. Also included is $8.5 million for new competitive grants in 
areas of persistent poverty. Current funding availability for each 
program is identified in section IV of this notice and in Table 1 
located on FTA's FY 2020 Apportionment web page: www.transit.dot.gov/funding/apportionments.

B. Oversight Takedown

    Section 5338(f) of title 49, United States Code (all subsequent 
statutory references are to title 49, United States Code unless 
otherwise noted) provides for the following oversight takedowns of FTA 
programs: 0.5 percent of Metropolitan and Statewide Planning funds, 
0.75 percent of Urbanized Area Formula Grant funds, 1 percent of Fixed 
Guideway Capital Investment Grants funds, 0.5 percent of Formula Grants 
for the Enhanced Mobility of Seniors and Individuals with Disabilities 
funds, 0.5 percent of Formula Grants for Rural Areas funds, 1 percent 
of State of Good Repair Formula Grants funds, 0.75 percent of Grants 
for Buses and Bus Facilities funds, and 1 percent of funds for Capital 
and Preventive Maintenance Projects for grants to the Washington 
Metropolitan Area Transit Authority. FTA uses the funds to provide 
necessary oversight activities, such as oversight of the construction 
of any major capital project receiving Federal public transportation 
assistance; to conduct State Safety Oversight, drug and alcohol, civil 
rights, procurement systems, management, planning certification, and 
financial management reviews and audits; evaluations and analyses of 
grantee-specific problems and issues; and to generally provide 
technical assistance and correct deficiencies identified in compliance 
reviews and audits.

C. FY 2020 Formula Apportionments: Data and Methodology

1. Apportionment Tables
    FTA publishes apportionment tables on its website for each program 
that reflects the funding level in the full-year appropriations act 
less oversight take-downs, as applicable. FTA has posted tables 
displaying the funds available to eligible states, tribes, and 
urbanized areas to www.transit.dot.gov/funding/apportionments. This 
website contains a page listing the apportionment and allocation tables 
for FY 2020, links to prior year formula apportionment notices and 
tables, and the National Transit Database (NTD) and Census data used to 
calculate the FY 2020 apportionments.
2. National Transit Database (NTD) and Census Data Used in the FY 2020 
Apportionments
    Consistent with past practices, the apportionments calculations for 
Sections 5307, 5311 (including 5311(c)(1)), 5329, 5337, and 5339 rely 
on the most-recent transit service data reported to the NTD, which for 
FY 2020 is the 2018 report year. In some cases, where an apportionment 
is based on the age of the system, the age is calculated as of 
September 30, 2019, the last day before FY 2020 began. Recipients or 
beneficiaries of either Section 5307 or 5311 funds are required to 
report to the NTD. Additionally, several transit

[[Page 34287]]

operators report to the FTA's NTD on a voluntary basis. For the 2018 
report year, the NTD includes data from 941 reporters in urbanized 
areas, 925 of which reported operating transit service. The NTD also 
includes data from 1,475 providers of rural transit service, which 
includes 134 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(c)(1) 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 2020 apportionments use data on low-income persons, persons 
with disabilities, and older adults from the 2013-2017 ACS five-year 
data set, which was published in December 2018. 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.''
    The Bureau of the Census will carry out the next decennial census 
in 2020. Data collected during the decennial census impacts the type 
and amount of funding that FTA recipients are eligible to receive. The 
Bureau of the Census will issue a list of Urbanized Areas and 
population statistics based on 2020 Census data. Changes to an area's 
designation as an urban or rural area will change the grant programs 
for which recipients in that area are eligible. Changes to the size and 
population of an area may mean that the area will receive more or less 
formula funding than it received based on 2010 Census data, or may 
change whether a recipient receives funding directly from FTA or 
indirectly from a pass-through entity. It is expected that 2020 Census 
data will be utilized for FTA funding beginning in FY 2023, after 
careful processing of the data by the Bureau of the Census, followed by 
review and evaluation of the data by FTA.

III. FY 2020 Program Highlights

A. Emergency Relief Docket

    Pursuant to 49 CFR 601.42, on January 15, 2020 FTA announced the 
establishment of an Emergency Relief Docket for calendar year 2020. See 
https://federalregister.gov/d/2020-00539 for more information. After an 
emergency or major disaster, if FTA requirements impede a recipient's 
or subrecipient's ability to respond to the emergency or major 
disaster, a recipient or subrecipient may submit a request for 
temporary relief from FTA administrative and statutory requirements. A 
recipient or subrecipient seeking relief must submit a petition for 
waiver of FTA requirements at www.regulations.gov for posting in the 
docket (FTA-2020-0001). For additional information on the Emergency 
Relief Docket, please contact the appropriate FTA Regional Office.

B. Policy Priorities

    As FTA implements its programs, it is particularly focused on the 
following policy priority areas in FY 2020.
1. Accelerating Innovative Mobility
    FTA is launching the Accelerating Innovative Mobility (AIM) 
Initiative to significantly advance the adoption of innovative 
technologies, practices or service models to improve mobility and the 
customer experience. Furthermore, the AIM initiative seeks to ensure 
these new technologies or practices permit interoperability across 
transit systems.
    On March 18, 2020, FTA announced an $11 million Notice of Funding 
Opportunity under the AIM Initiative to support and advance innovation 
in the transit industry. AIM challenge grants will help transit 
agencies explore new service models that provide more efficient and 
frequent service, which will help retain riders. As a funding partner, 
FTA will help alleviate the potential risks involved in adopting new 
technologies and practices.
    FTA's Fiscal Year 2020 competitive capital grant programs, which 
total $615 million, will highlight innovation as part of their 
selection criteria. This will provide applicants with an opportunity to 
showcase how they can incorporate new approaches to improve the rider 
experience. FTA's Technical Assistance Centers will provide targeted 
technical assistance to deploy successful innovative models and develop 
case studies and hands-on resources. The centers will hold workshops 
focused on bringing together transit agencies to discuss best 
practices, identify barriers, and advance the adoption of new 
technologies and practices while ensuring safety for riders. More 
information on the AIM initiative is available at: www.transit.dot.gov/AIM.
2. Public Transportation Agency Safety Plans
    The Public Transportation Agency Safety Plan (PTASP) regulation at 
49 CFR part 673 requires certain operators of public transportation 
systems that receive Federal financial assistance under 49 U.S.C. 
Chapter 53 to draft and certify a Public Transportation Agency Safety 
Plan (ASP) by July 20, 2020. On April 22, 2020, FTA issued a Notice of 
Enforcement Discretion to alert transit agencies that, until December 
31, 2020, FTA will refrain from taking enforcement action against any 
FTA recipient or subrecipient subject to the PTASP regulation that is 
unable to certify that it has established an Agency Safety Plan that 
complies with the regulation by the July 20 compliance deadline. During 
this time, the PTASP Technical Assistance Center will remain available 
to meet grantees' PTASP technical assistance needs.
a. Applicability
    The PTASP regulation applies to all operators of public 
transportation systems that are recipients and sub-recipients of 
federal financial assistance under the Urbanized Area Formula Program 
(49 U.S.C. 5307) and rail transit agencies that are subject to FTA's 
State Safety Oversight Program. FTA has deferred applicability of Part 
673 for operators that only receive funds through FTA's Formula Grants 
for the Enhanced Mobility of Seniors and Individuals with Disabilities 
Program under 49 U.S.C. 5310 and/or Formula Grants for Rural Areas 
Program under 49 U.S.C. 5311. In addition, Part 673 does not apply to 
certain modes of transit service that are subject to the safety 
jurisdiction of another Federal agency, including passenger ferry 
operations that are regulated by the United States Coast Guard and 
commuter rail operations that are regulated by the Federal Railroad 
Administration.
    In addition, States must draft and certify ASPs on behalf of small 
public transportation providers within a State, unless a small provider 
opts to draft and certify their own ASP and notifies the

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State that they will do so. A small public transportation provider is a 
transit operator that meets all of the following requirements:
     Is a recipient or sub-recipient of FTA's Urbanized Area 
Formula Program,
     Operates 100 or fewer vehicles in peak revenue service 
across all fixed route modes and any each non-fixed route mode, and
     Does not operate rail fixed-guideway public 
transportation.
    Regardless of who drafts and certifies an ASP, each transit 
operator is required to carry out and implement its own ASP.
    State Safety Oversight Agencies must review and approve the ASP of 
each rail transit agency that they oversee.
b. Certifications and Assurances
    Applicants for Urbanized Area Formula Program funds, rail transit 
agencies that are subject to FTA's State Safety Oversight Program, and 
States that are required to draft and certify an ASP on behalf of a 
small public transportation provider must certify that they have met 
the requirements of the PTASP regulation no later than July 20, 2020. 
The certification requirement does not apply to any applicant that 
receives financial assistance from FTA exclusively under the Formula 
Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. 5310), 
the Formula Grants for Rural Areas Program (49 U.S.C. 5311), or 
combination of these two programs.
    Applicants that receive awards prior to fulfilling their 
requirements under the PTASP regulation and prior to July 20, 2020, 
will execute all other relevant certifications and then execute the 
PTASP certification after the requirements are met, but no later than 
July 20, 2020. After July 20, 2020, FTA will not process a grant 
application without the PTASP certification.
    For more information on the requirements, please visit the PTASP 
Technical Assistance Center at https://www.transit.dot.gov/PTASP-TAC.
3. Value Capture
    FTA encourages grantees to consider options to utilize value 
capture in planning and financing capital projects. Per 49 U.S.C. 
5302(24), value capture is the process by which a public agency 
leverages or recovers a portion of the increased value of properties 
located near public transportation. Extensive research has shown that 
public transportation investments can lead to significant increases in 
land values located close to transit systems due to the increased 
access to that location. While these increased values typically accrue 
to private landowners, the public investment leading to these increases 
may depend upon the return of a portion of that value to finance the 
project or fund the continuing upkeep and maintenance of the associated 
transit system infrastructure. This recaptured revenue may reduce the 
amount of public funding required from Federal, state and local 
government sources and increase the amount of total funding available 
for urgent infrastructure projects.
    There are many mechanisms available for transit agencies and local 
governments to recover or leverage the increased value that transit 
creates to generate revenues to fund current transit operations or 
future capital investments. Examples include tax increment financing, 
impact fees, joint development, sale of air rights or naming rights, 
special assessment districts, and others. Value capture revenues are 
also eligible to be used as local match for Federal grants (49 U.S.C. 
5323(s)).
    Recognizing that value capture can help to promote transit-
supportive land uses and can optimize the benefits of transit 
investments, FTA intends to solicit comment from transit agencies, 
local governments, land developers and other stakeholders on how FTA 
can support and better assess the use of value capture for public 
transportation projects. The upcoming call for public comment will 
include several questions regarding how FTA identifies, supports and 
assesses value capture through its funding programs and related 
policies.
4. Coordinating Council on Access and Mobility
    The Coordinating Council on Access and Mobility (CCAM) is an 
interagency partnership established by Executive Order 13330 to 
coordinate the efforts of the Federal agencies that fund transportation 
services for transportation disadvantaged populations. The CCAM met on 
October 29, 2019 and adopted a new Strategic Plan. To facilitate 
coordination the CCAM has clarified the ability to use federal funds as 
match and the applicability of FTA's Charter Service Regulations.
a. Federal Braiding of Funds
    Federal fund braiding refers to funding arrangements in which funds 
from one federal program are used to meet the local match requirements 
of another. FTA Urbanized Area Formula Grants (49 U.S.C. 5307), 
Enhanced Mobility of Seniors and Individuals with Disabilities Formula 
Grants (49 U.S.C. 5310), Formula Grants for Rural Areas (49 U.S.C. 
5311) and Tribal Transit Program Formula Grants (49 U.S.C. 
5311(c)(1)(B)) allow federal funds from outside the Department of 
Transportation (DOT) to be used as local match. In 2019, the 
Coordinating Council on Access and Mobility (CCAM) partner agencies 
developed the CCAM Program Inventory which identifies 130 Federal 
programs that may fund transportation services for people with 
disabilities, older adults, and/or individuals of low income. For 
instance, sixty-six programs from the U.S. Department of Health and 
Human Services (HHS) are eligible to be used as local match for Section 
5307, 5310, 5311 and 5311(c)(1)(B) grants.
b. Coordination and FTA's Charter Service Regulations
    FTA's Charter Service Regulations (49 CFR part 604), which 
implement 49 U.S.C. 5323(d), have limited exceptions when an FTA 
grantee may provide charter service, including services provided by 
Qualified Human Service Organizations (QHSO) serving elderly, persons 
with disabilities, and low-income individuals. The Charter Rule 
exception for QHSOs applies to organizations that are either registered 
on the FTA website on a bi-annual basis, or receive funding from one of 
the sources listed in Charter Rule Appendix A published on January 14, 
2008. In addition, individual demand response service is excluded from 
the definition of Charter service. To learn more, visit FTA's Charter 
service website: https://www.transit.dot.gov/regulations-and-guidance/access/charter-bus-service/charter-bus-service-regulations-0.
5. Rural Opportunities To Use Transportation for Economic Success 
(ROUTES)
    Rural transportation infrastructure faces significant challenges. 
Over 70 percent of America's road miles are in rural areas. While one-
fifth of Americans live in rural areas, rural America's traffic 
fatalities are disproportionately high, totaling 46 percent of 
fatalities in 2018. Further, of the nation's bridges that are posted 
for weight limits, 90 percent are in rural areas.
    The new ROUTES Initiative will address these challenges by 
assisting rural stakeholders in understanding how to access DOT grants 
and financing products, and developing data-driven approaches to better 
assess needs and benefits of rural transportation projects. This builds 
on DOT's Transportation Infrastructure Finance and Innovation Act Loan 
Program's Rural Project

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Initiative, which offers lower project-cost thresholds for loan 
eligibility, low subsidized interest rates, and the coverage of fees to 
encourage use of the credit program for infrastructure projects in 
rural areas. DOT will engage rural transportation stakeholders at 
events over the coming year to educate project sponsors about the 
funding and finance opportunities at DOT, as well as to receive their 
feedback.
    Consistent with the ROUTES Initiative, FTA will encourage 
applicants to FY 2020 competitive funding opportunities to consider how 
their proposed projects will address the challenges faced by rural 
areas.
    DOT also formed a rural transportation infrastructure council, the 
ROUTES Council, to lead the way on this initiative. This new internal 
deliberative body at DOT will identify critical rural transportation 
concerns and coordinate efforts among DOT's different modal 
administrations. The Council will initially review public comments and 
create a rural resources handbook. The first meeting was held in 
November 2019. To learn more, visit the ROUTES Initiative website: 
https://www.transportation.gov/rural.
6. Opportunity Zones
    Despite the growing national economy, economically distressed 
communities are located in every corner of the United States and its 
territories. These communities have high levels of poverty, failing 
schools, job scarcity, and a lack of investment. A new tax incentive, 
Opportunity Zones, was created by the 2017 Tax Cuts and Jobs Act to 
spur economic development and job creation by encouraging long-term 
investment in low-income communities nationwide.
    The Opportunity Zone designation encourages investment in 
communities by granting investors extensive Federal tax advantages for 
using their capital gains to finance new projects and enterprises. 
There are more than 8,700 designated Qualified Opportunity Zones 
located in all 50 States, the District of Columbia, and five United 
States territories. Of the Qualified Opportunity Zones 40 percent are 
in rural census tracts, 38 percent are in urban tracts, and 22 percent 
are in suburban tracts.
    In determining the allocation of competitive program funds, FTA may 
prioritize projects located in or that support public transportation 
service in a qualified Opportunity Zone.

C. FY 2020 Competitive Program Funding

    FTA's competitive grants programs and the FY 2020 appropriated 
funding levels are identified in the chart below. FTA selects projects 
for funding after issuance of a Notice of Funding Opportunity. 
Additional information about each competitive program is in Section III 
of this notice.

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                                                          2020 amount
   FY 2020 competitive programs     Statute 49 U.S.C.        ($M)          NOFO published      Applications due
----------------------------------------------------------------------------------------------------------------
Pilot Program for Innovative       FAST Section                  $3.50  Nov 1, 2019........  Jan 6, 2020.
 Coordinated Access and Mobility.   3006(b).
Low or No Emission Grants          5339(c)............          130.00  Jan 17, 2020.......  Mar 17, 2020.
 Competitive Program.
Grants for Buses and Bus           5339(b)............          454.63  Jan 30, 2020.......  April 29, 2020.
 Facilities Competitive Program.
Passenger Ferry Grant Program....  5307(h)............           30.00  Jan 30, 2020.......  April 29, 2020.
Redesign of Transit Bus Operator   5312...............            2.00  Feb 11, 2020.......  Mar 24, 2020.
 Compartment.
Safety Research Demonstrations...  5312...............            7.30  Feb 13, 2020.......  Mar 24, 2020.
Helping Provide Prosperity for     ...................            8.50  Mar 3, 2020........  June 3, 2020.
 Everyone (HOPE) Grants.
Accelerating Innovative Mobility   5312...............           11.00  Mar 18, 2020.......  May 18, 2020.
 Challenge Grants.
Tribal Transit...................  5311(c)(1)(A)......            5.00  May 2020...........  August 2020.
Real-Time Infrastructure and       5312...............            1.25  TBD................  TBD.
 Rolling Stock Condition
 Assessment Demonstrations.
Transit Oriented Development       MAP-21 20005(b)....             TBD  TBD................  TBD.
 Planning Grants.
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D. National Defense Authorization Act for FY 2020

    Section 7613 of the National Defense Authorization Act for FY 2020 
(NDAA) amends 49 U.S.C. 5323 to add subsections (u) Limitation on 
Certain Rail Rolling Stock Procurements and (v) Cybersecurity 
Certification for Rail Rolling Stock and Operations. FTA issued 
guidance to help transit agencies and transit vehicle manufacturers 
understand and comply with the prohibitions on FTA-funded rolling stock 
procurements contained in the FY2020 NDAA found at https://www.congress.gov/116/bills/s1790/BILLS-116s1790enr.pdf. The NDAA 
frequently asked questions are based on inquiries from grantees and 
transit vehicle manufacture and can be found at https://www.transit.dot.gov/funding/procurement/frequently-asked-questions-regarding-section-7613-national-defense.

IV. FY 2020 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 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

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land use and all transportation modes, without regard to the 
programmatic source of Federal assistance. MPP funds may be used for 
studies relating to management, mobility management, planning, 
operations, capital requirements, economic feasibility, performance-
based planning, safety, and transit asset management. Funds may be used 
to develop or update the metropolitan planning agreements, and to 
evaluate previously funded projects or to conduct peer reviews and 
exchanges of technical data, information, or assistance, among MPOs and 
other transportation planners. Funds may be used for planning for 
multimodal transportation access to transit facilities; system 
planning; scenario planning; corridor-level alternative analysis; 
development of federally required documents, including the Transit 
Asset Management Plan and Public Transportation Agency Safety Plan; 
safety, security and emergency transportation planning; coordinated 
public transit human services transportation planning; transportation 
and air quality planning and conformity analysis; and public 
participation in the transportation planning, including the development 
of the Public Participation Plan. An exhaustive list of eligible work 
activities is provided in FTA Circular 8100.1D, Program Guidance for 
Metropolitan Planning and State Planning and Research Program Grants, 
dated September 10, 2018.
    For more information about the Metropolitan Planning program, 
please contact Victor Austin at (202) 366-2996 or 
[email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $142,036,417 to carry 
out section 5305. Of the amounts authorized for Section 5305, 82.72 
percent, or $117,492,524, is made available to the Metropolitan 
Planning Program in FY 2020 to provide financial assistance for 
metropolitan planning needs under Section 5303.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$117,492,524 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 $123,181,798 as shown in the table below, after the 
deduction for oversight (authorized by Section 5338) and the addition 
of reapportioned funds.

                      Metropolitan Planning Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................    $117,492,524
Oversight Deduction.....................................       (587,463)
Reapportioned Funds.....................................       6,276,737
                                                         ---------------
    Total Apportioned...................................     123,181,798
------------------------------------------------------------------------

3. Period of Availability
    The Metropolitan Planning program funds apportioned in this notice 
are available for obligation during FY 2020 plus three additional 
fiscal years. Funds apportioned in FY 2020 must be obligated in grants 
by September 30, 2023. Any FY 2020 apportioned funds that remain 
unobligated at the close of business on September 30, 2023, will revert 
to FTA for reapportionment under the Metropolitan Planning Program.

B. State Planning and Research Program (49 U.S.C. 5304 and 5305(e))

    This program provides financial assistance to States for statewide 
transportation planning and other technical assistance activities, 
including supplementing the technical assistance program provided 
through the Metropolitan Planning program and planning support for non-
urbanized areas. The specific requirements of Statewide transportation 
planning are set forth in 49 U.S.C. 5304 and further explained in 23 
CFR part 450 as referenced in 49 CFR part 613, Planning Assistance and 
Standards. State DOTs are required to reference performance measures 
and performance targets within the Statewide Planning process. This 
funding must support work resulting in balanced and comprehensive 
intermodal transportation planning for the movement of people and goods 
and has the same eligibilities as MPP funds.
    For more information about the State Planning and Research program, 
please contact Victor Austin at (202) 366-2996 or 
[email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $24,543,893 in FY 
2020, 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 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$24,543,893 is available for the State Planning and Research Program 
(Section 5305(e)). The total amount apportioned for the State Planning 
and Research Program (SPRP) is $24,421,174 as shown in the table below, 
after the deduction for oversight (authorized by Section 5338).

                Statewide Transportation Planning Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................     $24,543,893
Oversight Deduction.....................................       (122,719)
                                                         ---------------
    Total Apportioned...................................      24,421,174
------------------------------------------------------------------------
States' apportionments for this program are displayed in Table 2.

3. Period of Availability
    The State Planning and Research program funds apportioned in this 
notice are available for obligation during FY 2020 plus three 
additional fiscal years. Accordingly, funds apportioned in FY 2020 must 
be obligated in grants by September 30, 2023. Any FY 2020 apportioned 
funds that remain

[[Page 34291]]

unobligated at the close of business on September 30, 2023 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 about the Urbanized Area Formula Program, 
Contact John Bodnar at (202) 366-9091 or [email protected]. For more 
information about the Ferry program, contact Vanessa Williams at (202) 
366-4818 or [email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $4,929,452,499 in FY 
2020 to provide financial assistance for urbanized areas under Section 
5307.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$4,929,452,499 is available for the Urbanized Area Formula program. The 
total amount apportioned is $5,371,536,821, which includes the addition 
of reapportioned funds and amounts apportioned to UZAs pursuant to the 
Section 5340 Growing States and High-Density States Formula factors. 
This amount to UZAs excludes the set-aside of $30 million for the Ferry 
program, apportionments under the State Safety Oversight Program, and 
oversight (authorized by Section 5338), as shown in the table below:

                     Urbanized Area Formula Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available..........       \a\ $4,929,452,499
Oversight Deduction............................             (36,970,894)
State Safety Oversight Program.................             (24,647,263)
Ferry Discretionary Program....................             (30,000,000)
5340 High Density States.......................              309,364,074
5340 Growing States............................              215,020,586
Reapportioned Funds............................                9,317,819
                                                ------------------------
    Total Apportioned..........................            5,371,536,821
------------------------------------------------------------------------
\a\ Includes 1.5 percent set-aside for Small Transit Intensive Cities
  Formula Table 3 displays the amounts apportioned under the Urbanized
  Area Formula Program.

3. 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 2020 must be 
obligated by September 30, 2025. Any FY 2020 apportioned funds that 
remain unobligated at the close of business on September 30, 2025 will 
revert to FTA for reapportionment under the Urbanized Area Formula 
Program.
    Funds allocated under the Ferry program have the same period of 
availability as Section 5307. Accordingly, funds allocated in FY 2020 
must be obligated by September 30, 2025. Any of the funds allocated in 
FY 2020 that remain unobligated at the close of business on September 
30, 2025 will revert to FTA for reallocation under the Ferry program. 
Competitive Ferry program funds are available for obligation during the 
FY in which funds are allocated/awarded to projects plus five 
additional years.

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

    The Capital Investment Grants (CIG) Program includes four types of 
eligible projects: New Starts projects, Small Starts projects, Core 
Capacity Improvement projects, and Programs of Inter-related Projects. 
Funding is provided for construction of: (1) New fixed guideway systems 
or extensions to existing fixed guideway systems such as rapid rail 
(heavy rail), commuter rail, light rail, trolleybus (using overhead 
catenary), cable car, passenger ferries, and bus rapid transit 
operating on an exclusive transit lane for the majority of the corridor 
length during peak periods that also includes features that emulate the 
services provided by rail fixed guideway, including defined stations, 
traffic signal priority for public transit vehicles, and short headway 
bi-directional service for a substantial part of weekdays and weekends; 
(2) corridor-based bus rapid transit service that does not operate on 
an exclusive transit lane but includes features that emulate the 
services provided by rail fixed guideway, including defined stations, 
traffic signal priority for public transit vehicles, and short headway 
bi-directional services for a substantial part of weekdays; (3) 
projects that expand the capacity by at least 10 percent in an existing 
fixed guideway corridor that is at capacity today or will be in five 
years; and (4) programs of two or more interrelated projects as 
described above that have logical connectivity with one another and 
will all begin construction in a reasonable timeframe. FAST Act Section 
3005(b) authorizes an Expedited Project Delivery for the CIG Pilot 
Program.
    For more information about the Capital Investment Grant program 
contact Elizabeth Day, Office of Capital Project Development, at (202) 
366-5159 or [email protected]. For information about published 
allocations contact Eric Hu, Office of Transit Programs, at (202) 366-
0870 or [email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $2,301,785,760 in FY 
2020, to provide financial assistance for Capital Investment Grants 
under Section 5309 and Section 3005(b) of the FAST Act.

[[Page 34292]]

2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$1,978,000,000 is available for Capital Investment Grants for the Fixed 
Guideway Capital Investment Grants Program and the FAST Act Section 
3005(b) Expedited Project Delivery for CIG Pilot Program. The Further 
Consolidated Appropriations Act, 2020 requires that $1,681,300,000 of 
the amount available must be allocated by December 31, 2021. The funds 
are available to be allocated in the following amounts: $1,458,000,000 
for New Starts projects; $300,000,000 for Core Capacity projects; 
$100,000,000 for Small Starts projects; $100,000,000 for FAST Act 
Section 3005(b) Expedited Project Delivery for CIG Pilot Program 
projects and $19,780,000 for Oversight. The total amount available for 
projects is $1,958,220,000 as shown in the table below, after the 
deduction for oversight (authorized by Section 5338).

                    Capital Investment Grants Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available..........       \a\ $1,978,000,000
Oversight Deduction............................             (19,780,000)
                                                ------------------------
    Total Apportioned..........................            1,958,220,000
------------------------------------------------------------------------
\a\ Includes $220,000 in unallocated funds.

3. Period of Availability
    Capital Investment Grant program funds apportioned in this notice 
are available for obligation during FY 2020 plus three additional 
fiscal years. Accordingly, funds apportioned in FY 2020 must be 
obligated in grants by September 30, 2023.
    Section 143 of the Further Consolidated Appropriations Act, 2020, 
Public Law 116-94, eliminated the requirement for a portion of FY 2018 
CIG funds to be obligated by December 31, 2019 and a portion of FY 2019 
funds to be obligated by December 31, 2020. All FY 2018 CIG funds must 
now be obligated by September 30, 2021 and must be disbursed by the 
recipient by September 30, 2026. All FY 2019 CIG funds must now be 
obligated by September 30, 2022 and must be disbursed by the recipient 
by September 30, 2027.

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 about the Enhanced Mobility of Seniors and 
Individuals with Disabilities program, please contact Amy Fong at (202) 
366-0876 or [email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $285,574,688 in FY 
2020 to provide formula funding to designated recipients and states for 
meeting the transportation needs of older adults and people with 
disabilities. The law also authorizes $3.50 million for the competitive 
Innovative Coordinated Access and Mobility Pilot Program.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$285,574,688 is available for the Section 5310 formula program. The 
total amount apportioned is $288,155,908 after the oversight deduction 
and the addition of reapportioned funds as shown in the table below. A 
total of $3,500,000 is available for the competitive Pilot Program.

Formula Grants for the Enhanced Mobility of Seniors and Individuals With
                          Disabilities Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................    $285,574,688
Oversight Deduction.....................................     (1,427,873)
Reapportioned Funds.....................................       4,009,093
                                                         ---------------
    Total Apportioned...................................     288,155,908
------------------------------------------------------------------------

3. Period of Availability
    The Enhanced Mobility of Seniors and Individuals with Disabilities 
program funds apportioned in this notice are available for obligation 
during FY 2020 plus two additional fiscal years. Accordingly, funds 
apportioned in FY 2020 must be obligated in grants by September 30, 
2022. Any FY 2020 apportioned funds that remain unobligated at the 
close of business on September 30, 2022, will revert to FTA for 
reapportionment among the States and urbanized areas.

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

[[Page 34293]]

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 
competitively selected to be funded with funds set aside from the 
Tribal Transit Program.
    For more information about the Formula Grants for Rural Areas 
program, please contact [Eacute]lan Flippin at (202) 366-3800 or 
[email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $673,299,658 for FY 
2020 to provide financial assistance for rural areas under the Formula 
Grants for Rural Areas Program. This amount includes $35 million for 
the Tribal Transit Program; $20 million for the Appalachian Program; 
$13,465,993 for the Rural Transit Assistance Program; and $604,833,664 
for the Rural Formula Program.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$644,033,664 is available for the Rural Area Formula Program. The total 
amount apportioned to the program is $727,197,332 as shown in the table 
below, after the addition of reapportioned funds, the addition of 
Section 5340(c) Growing States funds, and the oversight deduction 
authorized by Section 5338.

                 Grants for Rural Areas Formula Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................    $644,033,664
Oversight Deduction.....................................     (3,566,498)
5340 Growing States.....................................      85,648,257
Reapportioned Funds.....................................       1,081,909
                                                         ---------------
    Total Apportioned...................................     727,197,333
------------------------------------------------------------------------

3. Period of Availability
    The Formula Grants for Rural Areas Program funds apportioned in 
this notice are available for obligation during FY 2020 plus two 
additional fiscal years. Accordingly, funds apportioned in FY 2020 must 
be obligated in grants by September 30, 2022. Any FY 2020 apportioned 
funds that remain unobligated at the close of business on September 30, 
2022, will revert to FTA for reapportionment under the Formula Grants 
for Rural Areas Program.

G. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))

    This program provides funding to assist in the design and 
implementation of training and technical assistance projects, research, 
and other support services tailored to meet the needs of transit 
operators in rural areas.
    For more information about Rural Transportation Assistance Program 
(RTAP), please contact [Eacute]lan Flippin at (202) 366-3800 or 
[email protected].
1. Authorized Amounts
    Federal public transportation law authorized $13,465,993, or two 
percent of the funds made available for the Formula Grants for Rural 
Areas Program, to be made available for the Rural Transportation 
Assistance Program (RTAP). Of the two percent takedown, 15 percent is 
reserved for the National Rural Transit Assistance Program (NRTAP). The 
remainder is available for allocation to the States.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$14,265,993 is available for the RTAP. The total amount apportioned for 
RTAP is $12,126,094 as shown in the table below, after the deduction 
for NRTAP.

             Rural Transportation Assistance Program (RTAP)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................     $14,265,993
National RTAP...........................................     (2,139,899)
                                                         ---------------
    Total Apportioned...................................      12,126,094
------------------------------------------------------------------------

3. Period of Availability
    The RTAP funds apportioned in this notice are available for 
obligation during FY 2020 plus two additional fiscal years. 
Accordingly, funds apportioned in FY 2020 must be obligated in grants 
by September 30, 2022.

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 thirteen 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 2020 Apportionments page.
    For more information about the Appalachian Development Public 
Transportation Assistance Program, please contact [Eacute]lan Flippin 
at (202) 366-3800 or [email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $20 million in FY 2020 
as a take-down under the Formula Grants for Rural Areas program to 
support public transportation in the Appalachian region.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, $20 
million is available.

[[Page 34294]]



    Appalachian Development Public Transportation Assistance Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................     $20,000,000
                                                         ---------------
    Total Apportioned...................................      20,000,000
------------------------------------------------------------------------

3. Period of Availability
    The Appalachian program funds apportioned in this notice are 
available for obligation during FY 2020 plus two additional fiscal 
years, consistent with that established for the Formula Grants for 
Rural Areas Program.

I. Public Transportation on Indian Reservations Program (49 U.S.C. 
5311(c)(1))

    The Public Transportation on Indian Reservations Program, or Tribal 
Transit Program (TTP), totals $35 million, of which $30 million is for 
a formula program and $5 million is for a competitive grant program. It 
is funded as a takedown from funds made available for the Formula 
Grants for Rural Areas program. Formula factors include vehicle revenue 
miles and the number of low-income individuals residing on tribal lands 
(defined as American Indian Areas and Alaska Native Areas). 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 Amy 
Fong, Office of Transit Programs at (202) 366-0876 or [email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $35 million in FY 2020 
to provide assistance to tribes through the Public Transportation on 
Indian Reservations formula and competitive programs.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, $30 
million is available for the formula program and $5 million for the 
competitive program. The total apportioned for the formula program is 
$32,604,193 after the addition of reapportioned funds.

   Public Transportation on Indian Reservations Program Formula Grants
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................     $30,000,000
Reapportioned Funds.....................................       2,604,193
                                                         ---------------
    Total Apportioned...................................      32,604,193
------------------------------------------------------------------------


 Public Transportation on Indian Reservations Program Competitive Grants
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................      $5,000,000
                                                         ---------------
    Total Apportioned...................................       5,000,000
------------------------------------------------------------------------

3. Period of Availability
    The TTP formula program funds apportioned in this notice are 
available for obligation during FY 2020 plus two additional fiscal 
years. Accordingly, funds apportioned in FY 2020 must be obligated in 
grants by September 30, 2022. Any FY 2020 apportioned funds that remain 
unobligated at the close of business on September 30, 2022, will revert 
to FTA for reapportionment under the TTP formula program. Competitive 
TTP funds are available for obligation during the FY in which funds are 
awarded to projects plus two additional years.

J. Public Transportation Innovation (49 U.S.C. 5312)

    Public Transportation Innovation is FTA's research program with the 
overarching statutory goal to improve public transportation. The law 
specifies research focus areas, including providing more effective and 
efficient public transportation service; mobility management; system 
capacity; advanced vehicle design; asset maintenance; construction and 
project management; environment and energy efficiency; and safety 
improvements. FTA may make grants, enter into contracts, cooperative 
agreements, and other agreements to carry out the research, 
development, demonstration, and deployment projects, including research 
and technology of national significance to public transportation.
    Within this section are three distinct programs: (a) A Research, 
Development, Demonstration, Deployment, and Evaluation program (49 
U.S.C. 5312(b-e)); (b) a Low or No Emission Vehicle Component 
Assessment Program (LoNo-CAP) (49 U.S.C. 5312(h)); and (c) a Transit 
Cooperative Research Program (49 U.S.C. 5312(i)). Eligible recipients 
can be departments, agencies, and governmental agencies, including 
Federal Laboratories; state and local entities; providers of public 
transportation; private or non-profit organizations; institutions of 
higher education; and technical community colleges. Each program area 
has specific requirements relating to the type of organization that may 
receive a grant or enter an agreement.
    The types of research eligible for funding are broad and include: 
Opportunities to enhance public transportation operational 
effectiveness and efficiency; improve services; leverage new types of 
vehicle technologies; utilize transformative technologies to improve 
public transportation; field new mobility models; and support increased 
safety.
    For more information about the Public Transportation Innovation 
program (Sections 5312(b-e) and 5312(i)), contact Edwin Rodriguez, 
Office of Research, Demonstration and Innovation at (202) 366-0671 or 
[email protected].
    For more information about the LoNo-CAP program (Section 5312(h)), 
please contact Sam Yimer at (202) 366-1321 or [email protected].

[[Page 34295]]

1. Authorized Amounts
    Federal public transportation law authorizes $28 million in FY 2020 
funding for the Public Transportation Innovation program.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$36,500,000 is available for the Public Transportation Innovation 
program. The total amounts apportioned to each subcomponent of the 
program is shown below in the table.

                Public Transportation Innovation Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Research, Development, Demonstration, Deployment, &          $25,500,000
 Evaluation.............................................
Low or No Emission Vehicle Component Testing............       3,000,000
Transit Cooperative Research Program (TCRP).............       5,000,000
Low or No Emission Bus Testing..........................       3,000,000
                                                         ---------------
    Total Apportioned...................................      36,500,000
------------------------------------------------------------------------

3. Period of Availability
    Funding is available until expended.

K. Technical Assistance and Workforce Development (49 U.S.C. 5314)

1. Authorized Amounts
    Federal public transportation law authorizes $9 million in contract 
authority for the Technical Assistance and Workforce Development 
Program, of which $5 million is authorized for NTI. An additional $5 
million is authorized to be appropriated from the general fund.
2. FY 2020 Funding Availability
    In FY 2020 under the Further Consolidated Appropriations Act, 2020, 
$14 million is available for the Technical Assistance and Workforce 
Development program, as shown in the table below. Of the available 
amounts $5 million is available for the NTI.

             Technical Assistance and Workforce Development
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................     $14,000,000
                                                         ---------------
    Total Apportioned...................................      14,000,000
------------------------------------------------------------------------

3. 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.

L. Public Transportation Emergency Relief Program (49 U.S.C. 5324)

    For more information about the Emergency Relief Program, please 
contact Thomas Wilson at (202) 366-5279 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.
    For more information about the State Safety Oversight Program, 
please contact Kimberly Burtch at (202) 366-0816 or 
[email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $24,647,263 in FY 2020 
to provide funding to support States in developing and carrying out the 
SSO Program.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$24,647,263 is available for the State Safety Oversight (SSO) Formula 
program as shown in the table below.

                 State Safety Oversight Formula Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available...................     $24,647,263
                                                         ---------------
    Total Apportioned...................................      24,647,263
------------------------------------------------------------------------

3. Period of Availability
    SSO Formula Grant Program funds are available for the year of 
apportionment plus, two additional years. Any FY 2020 funds that remain 
unobligated at the close of business on September 30, 2022 will revert 
to FTA for reapportionment under the SSO Formula Grant Program.

N. State of Good Repair Program (49 U.S.C. 5337)

    The State of Good Repair Program provides financial assistance to 
designated recipients in Urbanized Areas (UZAs) with fixed guideway and 
high-intensity motorbus systems for capital investments that maintain, 
rehabilitate, and replace aging transit assets and bring fixed guideway 
and high intensity motorbus systems into a state of good repair. FTA 
apportions funds for this program through a statutory formula using 
data reported to the National Transit Database (NTD).
    For more information about the State of Good Repair program, please 
contact Eric Hu at (202) 366-0870 or [email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $2,683,798,369 in FY 
2020 for the State of Good Repair Program.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$2,683,798,369 is available for the State of Good Repair Program. The 
total amount apportioned is $2,656,960,385

[[Page 34296]]

after the deduction for oversight as shown in the table below. Of the 
total amount apportioned, $2,581,237,014 is apportioned to the High 
Intensity Fixed Guideway Formula and $75,723,371 is apportioned to the 
High Intensity Motorbus Formula.

                      State of Good Repair Program
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total FY 2020 Appropriation Available..................   $2,683,798,369
Oversight Deduction....................................     (26,837,984)
                                                        ----------------
  Total Apportioned....................................    2,656,960,385
------------------------------------------------------------------------
High Intensity Fixed Guideway Formula..................    2,581,237,014
High Intensity Motorbus Formula........................       75,723,371
                                                        ----------------
  Total Apportioned....................................    2,656,960,385
------------------------------------------------------------------------

3. Period of Availability
    The State of Good Repair Program funds apportioned in this notice 
are available for obligation during FY 2020 plus three additional 
years. Accordingly, funds apportioned in FY 2020 must be obligated in 
grants by September 30, 2023. Any FY 2020 apportioned funds that remain 
unobligated at the close of business on September 30, 2023 will revert 
to FTA for reappointment under the State of Good Repair Program.

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, Section 5339(b) competitive 
grants, and Section 5339(c) low or no emission grants.
    For more information about the Grants for Buses and Bus Facilities 
Formula Program, please contact John Bodnar at (202) 366-9091 or 
[email protected]. For more information about the competitive Low or 
No Emissions Grant Program, please contact Victor Waldron at (202) 366-
5183 or [email protected]. For more information about the Grants 
for Buses and Bus Facilities Competitive Program please contact Mark G. 
Bathrick at (202) 366-9955 or [email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $808,653,915 in FY 
2020 to provide financial assistance for Grants for Buses and Bus 
Facilities. Of this amount, $464,609,736 is authorized for the Grants 
for Buses and Bus Facilities Formula program and $344,044,179 for the 
Grants for Buses and Bus Facilities Competitive program, of which 
$55,000,000 is available for the Low or No Emissions program.
2. Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$1,221,653,915 is available for Grants for Buses and Bus Facilities. Of 
this amount $627,865,163 is available for the Grants for Buses and Bus 
Facilities Formula Program, $454,626,348 is available for the Grants 
for Buses and Bus Facilities Competitive Program, and $130,000,000 is 
available for the Low or No Emission Grants Program after the takedown 
for oversight.

------------------------------------------------------------------------
 
------------------------------------------------------------------------
               Formula Grants for Buses and Bus Facilities
------------------------------------------------------------------------
Total FY 2020 Appropriation Available..................     $632,609,736
Oversight Deduction....................................      (4,744,573)
                                                        ----------------
    Total Apportioned..................................      627,865,163
------------------------------------------------------------------------
             Competitive Grants for Buses and Bus Facilities
------------------------------------------------------------------------
Total FY 2020 Appropriation Available..................      589,044,179
Oversight Deduction....................................      (4,417,831)
Less Section 5339(c) Low or No Emission Grants             (130,000,000)
 (Competitive).........................................
                                                        ----------------
    Total Apportioned..................................      454,626,348
------------------------------------------------------------------------
         Section 5339(c) Low or No Emission Grants (Competitive)
------------------------------------------------------------------------
Total FY 2020 Appropriation Available..................      130,000,000
                                                        ----------------
    Total Apportioned..................................      130,000,000
------------------------------------------------------------------------

3. Period of Availability
    The Buses and Bus Facilities Program formula funds apportioned in 
this notice are available for obligation during FY 2020 plus three 
additional years. Accordingly, funds apportioned in FY 2020 must be 
obligated in grants by September 30, 2023. Any FY 2020 apportioned 
funds that remain unobligated at the close of business on September 30, 
2023 will revert to FTA for reapportionment under the Buses and Bus 
Facilities Formula Program. Competitive 5339(b) and 5339(c) funds are 
available for obligation during the

[[Page 34297]]

FY in which funds are allocated/awarded to projects plus three 
additional years.

P. Growing States and High-Density States Formula Factors (49 U.S.C. 
5340)

    Federal public transportation law authorizes the use of formula 
factors to distribute additional funds to the Section 5307 Urbanized 
Area Formula program and Section 5311 Formula Grants for Rural Areas 
program for growing states and high-density states. FTA will continue 
to publish single urbanized and rural apportionments that show the 
total amount for Section 5307 and 5311 programs that includes Section 
5340 apportionments for these programs.
    For more information about this program, please contact John Bodnar 
at (202) 366-9091 or [email protected].
1. Authorized Amounts
    Federal public transportation law authorizes $570,032,917 for 
apportionment in FY 2020 for the Growing States and High-Density States 
Formula factors.
2. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$610,032,917 is available for the Growing States and High-Density 
States formula.

         Growing States and High-Density States Formula Factors
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Growing States..........................................    $300,668,843
High-Density States.....................................     309,364,074
                                                         ---------------
    Total Apportioned...................................     610,032,917
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    Under the Growing States portion of the Section 5340 formula, FTA 
projects each State's 2025 population by comparing each State's 
apportionment year population (as determined by the Census Bureau) to 
the State's 2010 Census population and extrapolating to 2025 based on 
each State's rate of population growth between 2010 and the 
apportionment year. Each State receives a share of Growing States funds 
based on its projected 2025 population relative to the nationwide 
projected 2025 population.
    Once each State's share is calculated, funds attributable to that 
State are divided into an urbanized area allocation and a non-urbanized 
area allocation based on the percentage of each State's 2010 Census 
population that resides in urbanized and non-urbanized areas. Urbanized 
Areas receive portions of their State's urbanized area allocation based 
on the 2010 Census population in that urbanized area relative to the 
total 2010 Census population in all urbanized areas in the State. These 
amounts are added to the Urbanized Area's Section 5307 apportionment. 
The States' rural area allocation is added to the allocation that each 
State receives under the Formula Grants for Rural Areas program.
    The High-Density States portion of the Section 5340 formula are 
allocated to urbanized areas in States with a population density equal 
to or greater than 370 persons per square mile. Based on this threshold 
and 2010 Census data, the States that qualify are Maryland, Delaware, 
Massachusetts, Connecticut, Rhode Island, New York, and New Jersey. The 
amount of funds provided to each of these seven States is allocated 
based on the population density of the individual State relative to the 
population density of all seven States. Once funds are allocated to 
each State, funds are then allocated to urbanized areas within the 
States based on an individual urbanized area's population relative to 
the population of all urbanized areas in that State.

Q. Washington Metropolitan Area Transit Authority Grants

    Section 601 of the Passenger Rail Investment and Improvement Act of 
2008 (PRIIA) authorized an aggregate amount of $1.5 billion to be 
available in increments over 10 fiscal years beginning in fiscal year 
2009 to assist the Washington Metropolitan Transit Authority (WMATA) in 
implementing its Capital Improvement Program and preventive maintenance 
projects. The funds authorized under PRIIA were fully appropriated 
after FY 2019. The Further Consolidated Appropriations Act, 2020 
provides funding for Washington Metropolitan Area Transit Authority 
Grants for an additional year in the amount of $150,000,000.
    For more information about the Washington Metropolitan Area Transit 
Authority Grants program, please contact Eric Hu, Office of Transit 
Programs, at (202) 366-0870 or [email protected] or Daniel Koening, 
Region III Office, at (202) 366-8224 or [email protected].
1. FY 2020 Funding Availability
    Under the Further Consolidated Appropriations Act, 2020, 
$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 FY 2020 Appropriation Available...................    $150,000,000
Oversight Deduction.....................................     (1,500,000)
                                                         ---------------
    Total Apportioned...................................     148,500,000
------------------------------------------------------------------------

2. Period of Availability
    Funds appropriated for WMATA under the Further Consolidated 
Appropriations Act, 2020 shall remain available until expended.

V. FY 2020 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

[[Page 34298]]

conditions and be unaware of all the applicable FTA requirements that 
must be met in order to be reimbursed for project expenditures incurred 
in advance of grant award. FTA programs have specific statutory 
requirements that are often different from those for other Federal 
grant programs with which new grantees may be familiar. If funds are 
expended for an ineligible project or activity, or for an eligible 
activity but at an inappropriate time (e.g., prior to NEPA completion), 
FTA will be unable to reimburse the project sponsor and, in certain 
cases, the entire project may be rendered ineligible for FTA 
assistance.
2. Policy
    FTA provides pre-award authority to incur expenses before grant 
award for certain program areas described below. This pre-award 
authority allows grantees to incur certain project costs before grant 
approval and retain the eligibility of those costs for subsequent 
reimbursement after grant approval. The grantee assumes all risk and is 
responsible for ensuring that all conditions are met to retain 
eligibility. This pre-award spending authority permits an eligible 
grantee to incur costs on an eligible transit capital, operating, 
planning, or administrative project without prejudice to possible 
future Federal participation in the cost of the project.
    In this notice, FTA provides pre-award authority through the 
authorization period of the FAST Act, plus an additional year (October 
1, 2015 through September 30, 2021) 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: The actual items of cost associated with the use 
of pre-award authority are documented in the initial FFR that is 
required to be completed prior to the recipient executing the award.
    For projects funded out of competitive programs, pre-award 
authority may be granted at the time of project selection.
a. Operating, Planning, or Administrative Assistance
    FTA does not impose additional conditions on pre-award authority 
for operating, planning, or administrative assistance under the formula 
grant programs. Grantees may be reimbursed for expenses incurred before 
grant award so long as funds have been expended in accordance with all 
Federal requirements, would have been allowable if incurred after the 
date of award, and the grantee is otherwise eligible to receive the 
funding. In addition to cross-cutting Federal grant requirements, 
program specific requirements must be met. 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 Other Than Capital Investment Grants
    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.
c. Public Transportation Innovation, Technical Assistance and Workforce 
Development
    Unless provided for in an announcement of project selections, pre-
award authority does not apply to Section 5312 Public Transportation 
Innovation projects or Section 5314 Technical Assistance and Workforce 
Development projects. Before an applicant may incur costs for 
activities under these programs, it must first obtain a written LONP 
from FTA. Information about LONP procedures may be obtained from the 
appropriate headquarters office.
3. Conditions
    The conditions under which pre-award authority may be utilized are 
specified below:
    a. Pre-award authority is not a legal or implied commitment that 
the subject project will be approved for FTA assistance or that FTA 
will obligate Federal funds. Furthermore, it is not a legal or implied 
commitment that all items undertaken by the applicant will be eligible 
for inclusion in the project.
    b. All FTA statutory, procedural, and contractual requirements must 
be met.
    c. No action will be taken by the grantee that prejudices the legal 
and administrative findings that FTA must make in order to approve a 
project.
    d. Local funds expended by the grantee after the date of the pre-
award authority will be eligible for credit toward local match or 
reimbursement if FTA later makes a grant or grant amendment for the 
project. Local funds expended by the grantee before the date of the 
pre-award authority will not be eligible for credit toward local match 
or reimbursement. Furthermore, the expenditure of local funds or the 
undertaking of certain activities that would compromise FTA's ability 
to comply with Federal environmental laws (e.g., project implementation 
activities such as land acquisition, demolition, or construction before 
the date of pre-award authority) may render the project ineligible for 
FTA funding.
    e. The Federal amount of any future FTA assistance awarded to the 
grantee for the project will be determined based on the overall scope 
of activities and the prevailing statutory provisions with respect to 
the Federal/local match ratio at the time the funds are obligated.
    f. For funds to which the pre-award authority applies, the 
authority expires with the lapsing of the fiscal year funds.
    g. When a grant for the project is subsequently awarded, the grant 
must indicate the use of pre-award authority and an initial Federal 
Financial Report must be submitted in TrAMS.
    h. Environmental Requirements.
    All Federal environmental requirements must be met at the 
appropriate time for a project to remain eligible for Federal funding. 
Designated recipients may incur costs for design and environmental 
review activities for all formula funded projects from the date of the 
authorization of the formula funds or for discretionary funded projects 
other than those funded by the Capital Investment Grants (CIG) program 
from the date of the announcement of the competitive allocation of 
funds for the project.
    For projects that qualify for a categorical exclusion (CE) pursuant 
to 23 CFR 771.118(c), designated recipients may start activities and 
incur costs under pre-award authority for property acquisition, 
demolition, construction, and acquisition of vehicles, equipment, or 
construction materials from the date of the authorization of formula 
funds or the date of the announcement of competitive allocations for 
the project.
    FTA recommends that a grant applicant considering a CE pursuant to 
23 CFR 771.118(c) contact FTA's Regional Office for assistance in 
determining the appropriate environmental review process and level of 
documentation necessary before incurring the above-mentioned costs, 
especially when the grant applicant believes a c-list CE with 
construction activities, such as 23 CFR 771.118(c)(8), (9), (10), (12), 
or (13), applies to its project. If FTA subsequently finds that a 
project does not qualify for a CE under 23 CFR 771.118(c) and the 
sponsor has already undertaken activities under pre-award authority, 
the project will be ineligible for FTA assistance.

[[Page 34299]]

    For all other non-CIG projects that do not qualify for a CE under 
23 CFR 771.118(c), grant applicants may take action and incur costs for 
property acquisition, demolition, construction, and acquisition of 
vehicles, equipment, or construction materials from the date that FTA 
completes the environmental review process required by NEPA and its 
implementing regulations, 23 U.S.C. 139, and other environmental laws, 
by its issuance of a 23 CFR 771.118(d) CE determination, a finding of 
no significant impact (FONSI), a combined final environmental impact 
statement (FEIS)/record of decision (ROD), or a ROD.
    i. Planning and other requirements.
    Formula funds must be authorized or appropriated and competitive 
project allocations published or announced before pre-award authority 
can be considered. The requirements that a capital project be included 
in a locally adopted Metropolitan Transportation Plan, the metropolitan 
transportation improvement program, and the federally approved 
statewide transportation improvement program (23 CFR part 450) must be 
satisfied before the grantee may advance the project beyond planning 
and preliminary design with non-federal funds under pre-award 
authority. If the project is located within an EPA-designated non-
attainment or maintenance area for air quality, the conformity 
requirements of the Clean Air Act, 40 CFR part 93, must also be met 
before the project may be advanced into implementation-related 
activities under pre-award authority triggered by the completion of the 
NEPA process. For a planning project to have pre-award authority, the 
planning project must be included in a MPO-approved UPWP that has been 
coordinated with the State.
    j. Federal procurement procedures, as well as the whole range of 
applicable Federal requirements (e.g., Buy America, Davis-Bacon Act, 
and Disadvantaged Business Enterprise) must be followed for projects in 
which Federal funding will be sought in the future. Failure to follow 
any such requirements could make the project ineligible for Federal 
funding. In short, the administrative flexibility allowed by pre-award 
authority requires a grantee to make certain that no Federal 
requirements are circumvented.
    k. All program specific requirements must be met. For example, 
projects under Section 5310 must comply with specific program 
requirements, including coordinated planning. Before incurring costs, 
grantees are strongly encouraged to consult with the appropriate FTA 
Regional Office regarding the eligibility of the project for future FTA 
funds and for questions on environmental requirements, or any other 
Federal requirements that must be met.
4. Pre-Award Authority for the Fixed Guideway Capital Investment Grants 
Program
    Projects proposed for Section 5309 CIG program funds are required 
to follow a multi-step, multi-year process defined in law. For New 
Starts and Core Capacity projects, this process includes three phases: 
Project development (PD), engineering, and construction. For Small 
Starts projects, this process includes two phases: PD and construction. 
After receiving a letter from the project sponsor requesting entry into 
the PD phase, FTA must respond in writing within 45 days whether the 
information was sufficient for entry. If FTA's correspondence indicates 
the information was sufficient and the New Starts, Small Starts or Core 
Capacity project enters PD, FTA extends pre-award authority at that 
time to the project sponsor to incur costs for PD activities. PD 
activities include the work necessary to complete the environmental 
review process and as much engineering and design activities as the 
project sponsor believes are necessary to support the environmental 
review process. Upon completion of the environmental review process 
with a combined FEIS/ROD, ROD, FONSI, or CE determination by FTA for a 
New Starts, Small Starts, or Core Capacity Improvement project, FTA 
extends pre-award authority to the project sponsor to incur costs for 
as much engineering and design as needed to develop a reasonable cost 
estimate and financial plan for the project, utility relocation, and 
real property acquisition and associated relocations for any property 
acquisitions not already accomplished as a separate project for 
hardship or protective purposes or right-of-way under 49 U.S.C. 
5323(q).
    For Small Starts projects, upon completion of the environmental 
review process and confirmation from FTA that the overall project 
rating is at least a Medium, FTA extends pre-award authority for 
vehicle purchases. Upon receipt of a letter notifying a New Starts or 
Core Capacity project sponsor of the project's approval into the 
engineering phase, FTA extends pre-award authority for vehicle 
purchases as well as any remaining engineering and design, demolition, 
and procurement of long lead items for which market conditions play a 
significant role in the acquisition price. The long lead items include, 
but are not limited to, procurement of rails, ties, and other 
specialized equipment, and commodities.
    Please contact the FTA Regional Office for a determination of 
activities not listed here, but which meet the intent described above. 
FTA provides this pre-award authority in recognition of the long-lead 
time and complexity involved with purchasing vehicles as well as their 
relationship to the ``critical path'' project schedule. FTA cautions 
grantees that do not currently operate the type of vehicle proposed in 
the project about exercising this pre-award authority. FTA encourages 
these sponsors to wait until later in the process when project plans 
are more fully developed. FTA reminds project sponsors that the 
procurement of vehicles must comply with all Federal requirements, 
including, but not limited to, competitive procurement practices, the 
Americans with Disabilities Act, Disadvantaged Business Enterprise 
program requirements and Buy America. FTA encourages project sponsors 
to discuss the procurement of vehicles with FTA in regard to Federal 
requirements before exercising pre-award authority. Because there is 
not a formal engineering phase for Small Starts projects, FTA does not 
extend pre-award authority for demolition and procurement of long lead 
items. Instead, this work must await receipt of a construction grant 
award or an expedited grant agreement.
a. Real Property Acquisition
    As stated above, FTA extends pre-award authority for the 
acquisition of real property and real property rights for CIG projects 
(New or Small Starts or Core Capacity) upon completion of the 
environmental review process for that project. The environmental review 
process is completed when FTA signs a combined FEIS/ROD, ROD, FONSI, or 
makes a CE determination. With the limitations and caveats described 
below, real estate acquisition may commence, at the project sponsor's 
risk. To maintain eligibility for a possible future FTA grant award, 
any acquisition of real property or real property rights must be 
conducted in accordance with the requirements of the Uniform Relocation 
Assistance and Real Property Acquisition Policies Act (URA) and its 
implementing regulations, 49 CFR part 24. This pre-award authority is 
strictly limited to costs incurred: (i) To acquire real property and 
real property rights in accordance with the URA regulation; and (ii) to 
provide relocation assistance in accordance with the URA regulation. 
This pre-award authority is limited to the acquisition of real property 
and real property rights that are explicitly

[[Page 34300]]

identified in the draft environmental impact statement (DEIS), FEIS, 
environmental assessment (EA), or CE documentation, as needed for the 
selected alternative that is the subject of the FTA-signed combined 
FEIS/ROD, ROD, FONSI, or CE determination. This pre-award authority 
regarding property acquisition that is granted at the completion of the 
environmental review process does not cover site preparation, 
demolition, or any other activity that is not strictly necessary to 
comply with the URA, with one exception--namely when a building that 
has been acquired, vacated, and awaits demolition poses a potential 
fire safety hazard or other hazard to the community in which it is 
located, or is susceptible to unauthorized occupants. Demolition of the 
building is also covered by this pre-award authority upon FTA's written 
agreement that the adverse condition exists. Pre-award authority for 
property acquisition is also provided when FTA makes a CE determination 
for a protective buy or hardship acquisition in accordance with 23 CFR 
771.118(d)(3). Pre-award authority for property acquisition is also 
provided when FTA completes the environmental review process for the 
acquisition of right-of-way as a separate project in accordance with 49 
U.S.C. 5323(q). When a tiered environmental review in accordance with 
23 CFR 771.111(g) is used, pre-award authority is NOT provided upon 
completion of the first-tier environmental document except when the 
Tier-1 ROD or FONSI signed by FTA explicitly provides such pre-award 
authority for a particular, identified acquisition. Project sponsors 
should use pre-award authority for real property acquisition relocation 
assistance with a clear understanding that it does not constitute a 
funding commitment by FTA. FTA provides pre-award authority upon 
completion of the environmental review process for real property 
acquisition and relocation assistance for displaced persons and 
businesses in accordance with the requirements of the URA.
b. Reimbursement of Costs Incurred Under Pre-Award Authority
    Although FTA provides pre-award authority for property acquisition, 
long lead items, demolition, utility relocation, and vehicle purchases 
upon completion of the environmental review process, FTA does not award 
Federal funding for these activities conducted under pre-award 
authority until the project receives a CIG program construction grant. 
This is to ensure that Federal funds are not risked on a project whose 
advancement into construction is not yet assured.
c. National Environmental Policy Act (NEPA) Activities
    NEPA requires that certain projects proposed for FTA funding 
assistance be subjected to a public and interagency review of the need 
for the project, its environmental and community impacts, and 
alternatives to avoid and reduce adverse impacts. Projects of more 
limited scope also need a level of environmental review to determine 
whether there are significant environmental impacts or confirmation 
that a CE applies. FTA's regulation titled ``Environmental Impact and 
Related Procedures,'' at 23 CFR part 771 states that the costs incurred 
by a grant applicant for the preparation of environmental documents 
requested by FTA are eligible for FTA financial assistance (23 CFR 
771.105(f)). Accordingly, FTA extends pre-award authority for costs 
incurred to comply with NEPA regulations and to conduct NEPA-related 
activities, effective as of the earlier of the following two dates: (1) 
The date of the Federal approval of the relevant STIP or STIP amendment 
that includes the project or any phase of the project, or that includes 
a project grouping under 23 CFR 450.216(j) that includes the project; 
or (2) the date that FTA approves the project into the project 
development phase of the CIG program. The grant applicant must notify 
the FTA Regional Office to initiate the Federal environmental review 
process consistent with 23 CFR 771.111. NEPA-related activities 
include, but are not limited to, public involvement activities, 
historic preservation reviews, Section 4(f) evaluations, wetlands 
evaluations, and endangered species consultations. This pre-award 
authority is strictly limited to costs incurred to conduct the NEPA 
process and associated engineering, and to prepare environmental, 
historic preservation and related documents. When a New Starts, Small 
Starts, or Core Capacity project is granted pre-award authority for the 
environmental review process, the reimbursement for NEPA activities 
conducted under pre-award authority may be sought at any time through 
Section 5307 (Urbanized Area Formula Program) or the flexible highway 
programs (e.g., Surface Transportation Program or Congestion Mitigation 
and Air Quality Improvement Program). Reimbursement from the Section 
5309 CIG program for NEPA activities conducted under pre-award 
authority is provided only for expenses incurred after entry into the 
project development phase and only once a construction grant agreement 
is signed. As with any pre-award authority, FTA reimbursement for costs 
incurred is not guaranteed and recipients may not start activities and 
incur costs under pre-award authority for property acquisition, 
demolition, construction, and acquisition of vehicles, equipment, or 
construction materials until the environmental review process is 
complete.
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.
    For more information about the Fixed Guideway Capital Investment 
Grants program, including LONP policy, real property acquisition, and 
reimbursement of costs incurred under Pre-Award Authority, contact 
Elizabeth Day, Office of Capital Project Development, at (202) 366-5159 
or [email protected].
    For more information about the Fixed Guideway Capital Investment 
Grants program, including National Environmental Policy Act (NEPA) 
activities, contact Megan Blum, Office of Environmental Programs, at 
(202) 366-0463 or [email protected].

B. Letter of No Prejudice (LONP) Policy

1. Policy
    LONP authority allows an applicant to incur costs on a project 
utilizing non-Federal resources, with the understanding that the costs 
incurred subsequent to the issuance of the LONP may be reimbursable as 
eligible expenses or eligible for credit toward the local match should 
FTA approve the project for a grant award at a later date. LONPs are 
applicable to projects and project activities not covered by automatic 
pre-award authority. The majority of LONPs will be for Section 5309 CIG 
program projects undertaking activities not covered under automatic 
pre-award authority. LONPs may be issued for formula funds beyond the 
life of the current authorization or FTA's extension of automatic pre-
award authority; however, the LONP is limited to a five-year period, 
unless otherwise authorized in the LONP. Receipt of Federal funding 
under any program is not implied or guaranteed by an LONP.

[[Page 34301]]

2. Conditions and Federal Requirements
    The conditions and requirements for pre-award authority specified 
in section V.4ii and V.4.iii above apply to all LONPs. Because project 
implementation activities may not be initiated before completion of the 
environmental review process, FTA will not issue an LONP for such 
activities until the environmental review process has been completed 
with a combined FEIS/ROD, ROD, FONSI, or CE determination.
3. Request for LONP
    Before incurring costs for project activities not covered by 
automatic pre-award authority, the project sponsor must first submit a 
written request for an LONP, accompanied by adequate information and 
justification, to the appropriate regional office and obtain written 
approval from FTA. FTA approval of an LONP is determined on a case-by-
case basis. Federal funding under the CIG program is not implied or 
guaranteed by an LONP. Specifically, when requesting an LONP, the 
applicant shall provide the following items:
    a. Description of the activities to be covered by the LONP.
    b. Justification for advancing the identified activities. The 
justification should include an accurate assessment of the consequences 
to the project scope, schedule, and budget should the LONP not be 
approved.
    c. Allocated level of risk and contingency for the activity 
requested.

C. FY 2020 Annual List of Certifications and Assurances

    Section 5323(n) requires FTA to publish annually a list of all 
certifications required under Chapter 53 concurrently with the 
publication of this annual apportionment notice. The 2020 version of 
FTA's Certifications and Assurances is available on FTA's website. FTA 
cannot make an award or an amendment to an award unless the recipient 
has executed the latest version of FTA's Certifications and Assurances. 
FTA encourages Recipients of formula funding to execute the new 
Certifications and Assurances within 90 days of this notice, to prevent 
any delay to application processing.

D. Civil Rights Requirements

1. Civil Rights Overview
    Recipients must carry out provisions of the Americans with 
Disabilities Act (ADA) of 1990, Section 504 of the Rehabilitation Act 
of 1973, as amended, and the Department of Transportation's 
implementing regulations at 49 CFR parts 27, 37, 38, and 39. FTA's ADA 
Circular (4710.1) provides guidance for carrying out the regulatory 
requirements of the ADA. In addition, recipients must regularly prepare 
and submit civil rights program plans and reports to establish 
voluntary compliance and document policies and practices in the areas 
of Title VI, Disadvantaged Business Enterprise (DBE) and Equal 
Employment Opportunity (EEO). The current status of civil rights 
programs can be found on each recipient's Civil Rights Information page 
of TrAMS. New program plans and program updates must be submitted there 
as well. Before submitting an application for funding, recipients 
should consult with FTA Circulars and guidance and submit the following 
programs, as applicable:
    a. Title VI of the Civil Rights Act of 1964: The Department of 
Transportation's Title VI implementing regulations are found in 49 CFR 
part 21. FTA's Title VI Circular (4702.1B) provides guidance for 
carrying out the regulatory requirements.
    b. Disadvantaged Business Enterprise (DBE) program and triennial 
goal: The Department of Transportation's DBE implementing regulations 
are found in 49 CFR part 26 and provide guidance for carrying out the 
regulatory requirements and developing the triennial DBE goal.
    c. Title VII of the Civil Rights Act of 1964, Equal Employment 
Opportunity (EEO): The Department of Transportation's EEO implementing 
regulations are found in 49 CFR part 21. FTA's EEO Circular (4704.1A) 
provides guidance for carrying out the regulatory requirements.
2. Disadvantaged Business Enterprise Program--Transit Vehicle 
Manufacturers (TVM)
    Recipients exercising pre-award authority are expected to comply 
with the DBE regulations. The Department of Transportation's DBE 
program helps small businesses owned by socially and economically 
disadvantaged individuals to compete in the marketplace, and is 
designed to support the people who create jobs--our nation's 
entrepreneurs. Pursuant to 49 CFR 26.49, transit vehicle manufacturers 
(TVMs) ``must establish and submit for FTA's approval an annual overall 
percentage goal''; only those TVMs ``listed on FTA's certified list of 
transit vehicle manufacturers, or that have submitted a goal 
methodology to FTA that has been approved or has not been disapproved, 
at the time of solicitation are eligible to bid.'' Recipients may, with 
prior FTA approval, establish project-specific goals for DBE 
participation in the procurement of transit vehicles in lieu of using a 
certified TVM.
    Prior to accepting bids, it is the recipient's responsibility to 
ensure that the TVM has submitted a goal to FTA and FTA has either 
approved it or not disapproved it. A recipient may verify a TVM has 
submitted a DBE goal to FTA for its review by checking the FTA Eligible 
TVMs List located on FTA's website at www.transit.dot.gov/tvm. A 
recipient may request from FTA verification of the eligibility of a TVM 
not included on FTA's website. Please email your request to 
[email protected], and FTA will respond via email within five 
business days. Failure by a recipient to verify a TVM's eligibility to 
bid on an FTA-assisted contract prior to award cannot be cured after 
award of the contract and will likely result in FTA declining to 
provide federal funding for the vehicle procurement.
    Furthermore, recipients are also reminded of the requirement in 49 
CFR 26.49(a)(4), which states, ``FTA recipients are required to submit 
within 30 days of making an award, the name of the successful bidder, 
and the total dollar value of the contract in the manner prescribed in 
the grant agreement.'' Recipients are to report to FTA all vehicle 
purchases, post-production alterations, and retrofit procurements 
within the 30 days of award using the electronic Transit Vehicle Award 
Reporting form found at www.transit.dot.gov/dbe. Vehicles purchased 
solely for personal use and/or purchased ``off the lot'' do not need to 
be reported. Recipients that receive the funds directly from FTA must 
report on behalf of their subrecipients as well. Only the subrecipients 
that received the federal funds directly from FTA are responsible for 
reporting the vehicle awards to FTA.

E. Consolidated Planning Grants

    FTA and FHWA planning funds under both the Metropolitan Planning 
and State Planning and Research Programs can be consolidated into a 
single consolidated planning grant, awarded by either FTA or FHWA. The 
Consolidated Planning Grants (CPG) eliminate the need to monitor 
individual fund sources, if several have been used, and ensures that 
the oldest funds will always be used first.
    Under the CPG, States can report metropolitan planning program 
expenditures, to comply with the Uniform Guidance 2 CFR 200, subpart F, 
for both FTA and FHWA under the Catalogue of Federal Domestic 
Assistance number for FTA's Metropolitan Planning Program (20.505). 
Additionally, for States with an FHWA Metropolitan Planning (PL)

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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 more information on Consolidated Planning Grants, 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 Office. All applications are filed electronically. FTA 
continues to award and manage grants and cooperative agreements using 
the Transit Award Management System (TrAMS). To access TrAMS, contact 
your FTA Office. Resources on using TrAMS 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:
    a. Recipient has registered in the System for Award Management 
(SAM) and its registration is current with an active status. To 
register an entity or check the status and renew registration, visit 
the SAM website at https://www.sam.gov/SAM/.
    b. Recipient's contact information, including Dun and Bradstreet 
Data Universal Numbering System (DUNS), is correct. To request a DUNS 
number, call Dun & Bradstreet at 1-866-705-5711 or visit the website at 
https://fedgov.dnb.com/webform.
    c. Recipient has properly submitted its annual certifications and 
assurances.
    d. Recipient's Civil Rights submissions are current.
    e. 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.
    f. Documentation is on file to support recipient's status as either 
a designated recipient for the program and area or a direct recipient.
    g. Funding is available, including any flexible funds included in 
the budget, and split letters or suballocation letters on file, where 
applicable, to support the amount requested in the grant application.
    h. The activity is listed in a currently approved Transportation 
Improvement Program (TIP); Statewide Transportation Improvement Program 
(STIP), or Unified Planning Work Program (UPWP).
    i. All eligibility issues are resolved.
    j. Required environmental findings are made.
    k. The application contains a well-defined scope of work, including 
at least one project with accompanying project narratives, at least one 
budget scope code and one activity line item, Federal and non-Federal 
funding amounts, and milestones.
    l. 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.
    m. Milestone information is complete. FTA will also review status 
of other open award reports to confirm financial and milestone 
information is current on other open awards.
    FTA must also provide Congressional notification before awarding 
competitive grants.
    Other important issues that impact FTA grant processing activities 
in addition to the list above are discussed below.
a. Award Budgets--Scope Codes and Activity Line Items (ALI) Codes; 
Financial Purpose Codes
    FTA uses Scope and ALI Codes in the award budgets to track 
disbursements, monitor program trends, report to Congress, and to 
respond to requests from the Inspector General and the Government 
Accountability Office, as well as to manage grants. The accuracy of the 
data is dependent on the careful and correct use of codes.
b. Designated and Direct Recipients Documentation
    For its formula programs, FTA primarily apportions funds to the 
designated recipient in the large UZAs (areas over 200,000), or for 
areas under 200,000 (small UZAs and rural areas), it apportions the 
funds to the Governor, or its designee (e.g., State DOT). Depending on 
the program, as described in the individual program sections found in 
Section IV of this notice, further suballocation of funds may be 
permitted to eligible recipients who may then apply directly to FTA for 
the funding as direct recipients.
    For the programs in which FTA may make grants to eligible direct 
recipients, other than the designated recipient(s), recipients are 
reminded that documentation must be on file to support: (1) The status 
of the recipient either as a designated recipient or direct recipient; 
and (2) the allocation of funds to the direct recipient.
    Documentation to support existing designated recipients for the UZA 
must also be on file at the time of the first application in FY 2020. 
Split letters and/or suballocation letters (Governor's Apportionment 
letters), must also be on file to support grant applications for direct 
recipients. Once suballocation letters for FY 2020 funding are 
finalized, they should be uploaded as part of the application into 
TrAMS.
    The Direct Recipient is required to upload to TrAMS a copy of the 
suballocation letter (Letter) indicating their allocation of funding, 
for the appropriate fund program, when the applicant transmits their 
application for initial review. The Letter must be signed by the 
Designated Recipient, or as applicable in accordance with their 
planning requirements. If there are two Designated Recipients, both 
entities must sign the Letter. The Letter must: (1) Indicate the 
allocations to the respective Direct Recipients listed in the letter; 
(2) incorporate language above the signatories to reflect this 
agreement; and (3) make clear that the Direct Recipient will assume 
any/all responsibility associated with the award for the funds. When 
drafting the Letter, Designated Recipients may use the template 
language below:

    ``As identified in this Letter, the Designated Recipient(s) 
authorize the reassignment/reallocation of [enter fund source; e.g. 
Section 5307 funds] to the Direct Recipient(s) named herein. The 
undersigned agree to the amounts allocated/reassigned to each direct 
Recipient. Each Direct Recipient is responsible for its application 
to the Federal Transit Administration to receive such funds and 
assumes the responsibilities associated with any award for these 
funds.''

    The contents of this document do not have the force and effect of 
law and are not meant to bind the public in any way. This document is 
intended only to provide clarity to the public regarding existing 
requirements under the law or agency policies. Grantees should refer to

[[Page 34303]]

applicable regulations and statutes referenced in this document.

K. Jane Williams,
Acting Administrator.
[FR Doc. 2020-11946 Filed 6-2-20; 8:45 am]
 BILLING CODE 4910-57-P