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|        |                                       | **FTA C xxxx.xx**  |
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| **Subj | **THE JOB ACCESS AND REVERSE COMMUTE  |                    |
| ect:** | (JARC) PROGRAM GUIDANCE AND           |                    |
|        | APPLICATION INSTRUCTIONS.**           |                    |
+--------+---------------------------------------+--------------------+
|        |                                       |                    |
+--------+---------------------------------------+--------------------+

1.  [PURPOSE]{.underline}. This Circular issues guidance on the
    administration of the JARC program under 49 U.S.C. 5316, and
    guidance for the preparation of grant applications.

2.  [CANCELLATION]{.underline}. This is a new Circular. It does not
    cancel any existing directive.

3.  [REFERENCES.]{.underline}

    a.  Federal Transit Laws, Title 49**,** United States Code, Chapter
        53.

    b.  Safe, Accountable, Flexible, Efficient Transportation Equity
        Act: A Legacy for Users, (SAFETEA-LU) (Pub. L. 109-59, August
        10, 2005).

    c.  Additional references will be added at the time the Final
        Circular is published.

4.  [WAIVER]{.underline}. FTA reserves the right to waive any
    requirements of this Circular to the extent permitted by law.

[TABLE OF CONTENTS]{.underline}

### [Chapter Page]{.underline}

I. [introduction and background]{.underline}

1\. About FTA

2\. Authorizing Legislation

3\. How to Contact FTA

4\. Grants.gov

5\. Definitions

6\. Program History

II\. [PROGRAM OVERVIEW]{.underline}

1\. Statutory Authority

2\. Program Goal

3\. Recipient Role in Program Administration

4\. FTA Role in Program Administration

5\. Relationship to Other FTA Programs

6\. Coordination with Other Federal Programs

iii\. [gENERAL pROGRAM iNFORMATION]{.underline}

1\. Recipient Designation

> 2\. Designation of Multiple Recipients in Urbanized Areas
>
> 3\. Role of the Designated Recipient
>
> 4\. Eligible Direct Recipients
>
> 5\. Eligible Subrecipients
>
> 6\. Apportionment of JARC Funds
>
> 7\. Funds Availability
>
> 8\. Transfer of Funds
>
> 9\. Consolidation of Grants to Insular Areas
>
> 10\. Recipient Administrative Expenses
>
> 11\. Eligible Activities
>
> 12\. Federal/Local Matching Requirements

IV\. [PROGRAM DEVELOPMENT]{.underline}

> 1\. Coordination Requirements
>
> 2\. Planning Requirements
>
> 3\. Competitive Selection Process
>
> 4\. Fair and Equitable Distribution of Funds
>
> 5\. Program of Projects
>
> 6\. Categories of Approval
>
> 7\. Approval
>
> 8\. Revisions to Program of Projects
>
> 9\. Certification and Assurances
>
> 10\. Costs Incurred Prior to Grant Approval

V. [COORDINATED PLANNING]{.underline}

> 1\. The Coordinated Public Transit-Human Services Transportation Plan
>
> 2\. Development of the Coordinated Public Transit-Human Services
> Transportation Plan
>
> 3\. Participation in the Coordinated Public Transit-Human Services
> Transportation Plan
>
> 4\. Relationship to Other Planning Processes

VI\. [PROGRAM MANAGEMENT AND ADMINISTRATIVE REQUIREMENTS]{.underline}

> 1\. General
>
> 2\. Program Administrative Requirements
>
> 3\. Capital Reserve Accounts
>
> 4\. Equipment Management
>
> 5\. Equipment Use
>
> 6\. Title to Vehicles
>
> 7\. Satisfactory Continuing Control and Responsibility
>
> 8\. Procurement
>
> 9\. Financial Management
>
> 10\. Allowable Costs
>
> 11\. Closeout
>
> 12\. Audit
>
> 13\. Real Property
>
> 14\. Construction Management and Oversight
>
> 15\. Reporting Requirements 16. Management Plan
>
> 17\. Management Review
>
> 18\. Other Reviews

VII. [STATE AND PROGRAM MANAGEMENT PLANS]{.underline}

> 1\. General
>
> 2\. Purpose
>
> 3\. Management Plan Reviews
>
> 4\. Management Plan Content
>
> 5\. Management Plan Revisions

VIII. [OTHER PROVISIONS]{.underline}

> 1\. Introduction
>
> 2\. Project Inclusion in TIP and STIP
>
> 3\. Procurement Restrictions
>
> 4\. Public Hearing Requirements
>
> 5\. Environmental Protections
>
> 6\. Clean Air Act
>
> 7\. Private Sector Participation
>
> 8\. Real Property Acquisition and Relocation Assistance
>
> 9\. Pre-Award and Post-Delivery Review

###  [Page]{.underline}

> 10\. Labor Protections
>
> 11\. Civil Rights
>
> 12\. Buy America
>
> 13\. Charter Service
>
> 14\. Drug and Alcohol Testing
>
> 15\. Drug Free Workplace
>
> 16\. Restrictions on Lobbying
>
> 17\. Pre-Award Authority
>
> 18\. Safety
>
> 19\. Lease Versus Buy Considerations
>
> 20\. School Transportation
>
> 21\. Commercial Drivers License

### [APPENDIX]{.underline} 

A.  [Instructions for Preparing a Grant Application]{.underline}

1\. Pre-application Stage

2\. Application Stage

3\. Application Checklist

4\. ECHO-Web Information

B.  [Sample program of projects]{.underline}

C.  [budget information]{.underline}

D.  [sample approved budget]{.underline}

E.  [FTA REGIONAL OFFICES]{.underline}

F.  [Technical assistance in human service transportation]{.underline}

Page intentionally left blank.

Chapter I

[Introduction And Background]{.underline}

1.  [THE FEDERAL TRANSIT ADMINISTRATION (FTA)]{.underline}. FTA is one
    of 10 operating administrations within the U.S. Department of
    Transportation. Headed by an Administrator who is appointed by the
    President of the United States, FTA functions through a Washington,
    DC, headquarters office and 10 regional offices which assist transit
    agencies in all 50 States, the District of Columbia, Puerto Rico,
    the U.S. Virgin Islands, Guam, Northern Mariana Islands, and
    American Samoa.

Public transportation includes buses, subways, light rail, commuter
rail, monorail, passenger ferry boats, trolleys, inclined railways, and
people movers, as well as vans in demand response service.

The Federal government, through FTA, provides financial assistance to
develop new transit systems and improve, maintain, and operate existing
systems. FTA grant recipients are responsible for managing their
programs in accordance with Federal requirements, and FTA is responsible
for ensuring that grantees follow Federal statutory and administrative
requirements.

5.  [Authorizing Legislation]{.underline}. The Safe, Accountable,
    Flexible, Efficient Transportation Act, a Legacy for Users
    (SAFETEA-LU) (Pub. L. 109-059), enacted on August 10, 2005, provides
    \$286.4 billion in guaranteed funding for Federal surface
    transportation programs over six years through FY 2009, including
    \$52.6 billion for federal transit programs -- a 46% increase over
    transit funding guaranteed in the previous authorization, the
    Transportation Equity Act for the 21^st^ Century (TEA-21).

6.  [How to Contact FTA]{.underline}. FTA's regional and metropolitan
    offices are responsible for the provision of financial assistance to
    FTA grantees and oversight of grant implementation, other than
    specific programs that are the responsibility of headquarters.
    Inquiries should be directed to either the regional or metropolitan
    office responsible for the geographic area in which you are located.
    See Appendix E for additional information.

Visit the FTA Homepage, http://www.fta.dot.gov, or contact FTA
Headquarters at the following address and phone number:

Federal Transit Administration\
400 7th Street, SW\
Washington, DC 20590\
Office of Communications and Congressional Affairs

Phone: (202) 366-4043\
Fax: (202) 366-3472

7.  [Grants.gov]{.underline}. The Grants.gov Web site is one of 24
    Federal cross-agency E-government initiatives designed to improve
    access to government services and simplify the grants management
    process via the internet. Grants.gov enables grant-making agencies
    and the grant community to come together to make grants management
    easier and more efficient for everyone. Led by the U.S. Department
    of Health and Human Services, in partnership with Federal
    grant-makers including 26 agencies, 11 commissions and several
    States, Grants.gov is the one Web site for information on all
    Federal grant opportunities. More information about Grants.gov is
    available at http://www.grants.gov. FTA competitive grant
    opportunities are posted on Grants.gov.

8.  [DEFINITIONS]{.underline}. All definitions in 49 U.S.C. 5302(a)
    apply to this circular, as well as the following definitions:

    a.  [Access to Jobs Project:]{.underline} Refers to a project
        relating to the development and maintenance of transportation
        services designed to transport welfare recipients and eligible
        low-income individuals to and from jobs and activities related
        to their employment.

    b.  [Competitive Selection Process:]{.underline} A process to choose
        which projects will be funded. The process is conducted by the
        designated recipient of FTA funds in cooperation with the
        appropriate metropolitan planning organization (MPO) in
        urbanized areas over 200,000 in population, or the State in
        areas under 200,000 in population. The projects selected must be
        derived from a Locally Developed, Coordinated Public
        Transit-Human Services Transportation Plan.

    c.  [Coordinated Plan:]{.underline} See "Locally Developed,
        Coordinated Public Transit-Human Services Transportation Plan."

    d.  [Designated Recipient]{.underline}: See "Recipient."

    e.  [Eligible Low-income Individual:]{.underline} Refers to an
        individual whose family income is at or below 150% of the
        poverty line (as that term is defined in section 673(2) of the
        Community Services Block Grant Act (42 U.S.C 9902(2)), including
        any revision required by that section) for a family of the size
        involved.

    f.  [Human Service Transportation]{.underline}: Transportation
        services provided by or on behalf of a human service agency to
        provide access to agency services and/or to meet the basic,
        day-to-day mobility needs of transportation-disadvantaged
        populations, especially individuals with disabilities, older
        adults, and people with low incomes.

    g.  [Individual With a Disability]{.underline}: The term 'individual
        with a disability' means an individual who, because of illness,
        injury, age, congenital malfunction, or other incapacity or
        temporary or permanent disability (including an individual who
        is a wheelchair user or has semi-ambulatory capability), cannot
        use effectively, without special facilities, planning, or
        design, public transportation service or a public transportation
        facility. 49 U.S.C. 5302(a)(5).

    h.  [Locally Developed, Coordinated Public Transit-Human Services
        Transportation Plan]{.underline}: A locally developed,
        coordinated, public transit-human services transportation plan
        identifies the transportation needs of individuals with
        disabilities, older adults, and people with low incomes,
        provides strategies for meeting those local needs, and
        prioritizes transportation services for funding and
        implementation.

    i.  [Mobility Management]{.underline}: Eligible capital expenses
        consisting of short-range planning and management activities and
        projects for improving coordination among public transportation
        and other transportation service providers carried out by a
        recipient or subrecipient through an agreement entered into with
        a person, including a government entity, under Chapter 53 (other
        than Section 5309). Mobility management does not include
        operating public transportation services.

    j.  [Non-profit Organization]{.underline}: A non-profit organization
        is a corporation or association determined by the Secretary of
        the Treasury to be an organization described by 26 U.S.C. 501(c)
        which is exempt from taxation under 26 U.S.C. 501(a) or one
        which has been determined under State law to be non-profit and
        for which the designated State agency has received documentation
        certifying the status of the non-profit organization.

    k.  [Program of Projects]{.underline}: A list of projects to be
        funded in a grant application submitted to FTA by a designated
        recipient. The program of projects lists the subrecipients and
        indicates whether they are private non-profit agencies, public
        bodies, or private providers of transportation service,
        designates the areas served (including rural counties), and
        identifies any tribal entities. In addition, the program of
        projects includes a brief description of the projects, total
        project cost and Federal share for each project, and the amount
        of funds used for program administration from the 10% allowed.

    l.  [Reverse Commute Project]{.underline}: Refers to a public
        transportation project designed to transport residents of
        urbanized areas and other than urbanized areas to suburban
        employment opportunities.

    m.  [Recipient]{.underline}: In large urbanized areas over 200,000
        in population, an entity designated, in accordance with the
        planning process under 49 U.S.C. 5303, 5304, and 5306, by the
        chief executive officer of a State, responsible local officials,
        and publicly owned operators of public transportation, to
        receive and apportion amounts under the JARC program that is
        attributable to a transportation management area. In
        nonurbanized areas or small urban areas under 200,000 in
        population, the designated recipient is the State agency
        designated by the chief executive officer of a State to receive
        and apportion amounts under JARC that are attributable to the
        State for small urbanized and nonurbanized areas.

    n.  [Subrecipient:]{.underline} Refers to a State or local
        governmental authority, non-profit organization, or operator of
        public transportation services that receives a grant under JARC
        indirectly through a recipient.

    o.  [Welfare Recipient]{.underline}: Refers to an individual who has
        received assistance under a State or tribal program funded under
        part A of title IV of the Social Security Act at any time during
        the 3-year period before the date on which the applicant applies
        for a grant under JARC.

9.  [PROGRAM HISTORY]{.underline}. The Job Access and Reverse Commute
    (JARC) program has had a dramatic impact on the lives of thousands
    of welfare recipients and low-income families, helping individuals
    successfully transition from welfare to work and reach needed
    employment support services such as childcare and job training
    activities. JARC was established as part of the Transportation
    Equity Act for the 21^st^ Century (TEA-21) to address the unique
    transportation challenges faced by welfare recipients and low-income
    persons seeking to get and keep jobs. With many new entry-level jobs
    located in suburban areas, low-income and/or welfare recipients have
    found it difficult to access these jobs from their inner city, urban
    and rural neighborhoods on a daily basis. Further, many entry-level
    jobs require working late at night or on weekends when conventional
    transit services in many communities are either reduced or
    non-existent. Finally, many employment-related trips are complex for
    low-income persons, often involving multiple destinations, including
    reaching childcare facilities and other services as part of the work
    trip.

Section 3037 of TEA-21 required that JARC project selection be made
through a national competition based on statutorily specified criteria.
FTA conducted competitions and selected projects for funding
appropriated in FY 1999-2002. However, beginning in FY 2000, Congress
also began designating specific projects and recipients to receive JARC
funding in the conference reports accompanying the annual appropriations
acts, and directed FTA to honor those designations with statutory
language specifying that "notwithstanding any other provision of law,
projects and activities designated \[in the conference reports\] shall
be eligible for funding." Each year, more projects were Congressionally
designated until finally all JARC project funding was allocated to
Congressionally designated projects and recipients. Although SAFETEA-LU
repealed Section 3037 of TEA-21 and substituted the new provisions of 49
U.S.C. 5316, those projects designated by Congress under Section 3037
and not yet obligated remain available to the project for obligation
under the terms and conditions of Section 3037.

As required under TEA-21, FTA and the Government Accountability Office
(GAO) undertook a number of special studies and evaluations intended to
provide an overview of the program accomplishments and to identify
challenges the grant recipients faced. FTA required substantial data
reporting from grantees to support the evaluation of what was then
considered a pilot program.

With the passage of SAFETEA-LU, JARC funding is allocated by formula to
States for areas with populations below 200,000 persons, and to
designated recipients for areas with populations of 200,000 persons and
above. The formula is based on the number of eligible low-income and
welfare recipients in urbanized and rural areas.

The formula-based program is intended to provide an equitable funding
distribution to States and communities as well as stable and reliable
funding in order to implement locally developed, coordinated public
transit-human services transportation plans. FTA continues to provide
maximum flexibility to communities in designing plans and projects to
meet the transportation needs of low-income individuals and welfare
recipients.

# Chapter II

# 

# [Program Overview]{.underline}

1.  [STATUTORY AUTHORITY]{.underline}. The JARC program is authorized
    under the provisions set forth in the Safe, Accountable, Flexible,
    Efficient Transportation Equity Act, a Legacy for Users
    (SAFETEA-LU), enacted on August 10, 2005, as codified at 49
    U.S.C 5316. These provisions authorize the Secretary to make grants
    to a recipient for access to jobs and reverse commute projects
    carried out by the recipient or a subrecipient.

The following amounts are available from the Mass Transit Account of the
Highway Trust Fund to carry out the JARC program: \$138,000,000 for
fiscal year 2006, \$144,000,000 for fiscal year 2007, \$156,000,000 for
fiscal year 2008, and \$164,500,000 for fiscal year 2009. These funds
are subject to annual appropriations.

In accordance with 49 U.S.C. 5316(c), JARC funds shall be apportioned as
follows:

a.  60% of the funds shall be distributed among designated recipients in
    urbanized areas with a population of 200,000 or more, in the ratio
    that the number of eligible low-income individuals and welfare
    recipients in each such urbanized area bears to the number of
    eligible low-income individuals and welfare recipients in all such
    urbanized areas;

b.  20% of the funds shall be distributed among the States, in the ratio
    that the number of eligible low-income individuals and welfare
    recipients in urbanized areas with a population of less than 200,000
    in each State bear to the number of eligible low-income individuals
    and welfare recipients in urbanized areas with a population of less
    than 200,000 in all States; and

c.  20% of the funds shall be distributed among the States, in the ratio
    that the number of eligible low-income individuals and welfare
    recipients in other than urbanized areas in each State bears to the
    number of eligible low-income individuals and welfare recipients in
    other than urbanized areas in all States.

The Catalog of Federal Domestic Assistance (CFDA) number for the JARC
program is: 20.516.

10. [PROGRAM GOAL]{.underline}. The goal of the JARC program is to
    improve access to transportation services to employment and
    employment related activities for welfare recipients and eligible
    low-income individuals throughout the country. Toward this goal, FTA
    provides financial assistance for transportation services planned,
    designed, and carried out to meet the transportation needs of
    eligible low-income individuals in all areas -- urbanized, small
    urban, and rural. The program requires coordination of federally
    assisted programs and services in order to make the most efficient
    use of Federal resources.

11. [RECIPIENT ROLE IN PROGRAM ADMINISTRATION]{.underline}. The State
    agency designated by the chief executive officer has the principal
    authority and responsibility for administering the JARC program in
    urbanized areas under 200,000 in population and nonurbanized areas.
    The designated recipient of JARC has the principal authority and
    responsibility for administering the JARC program funds in urbanized
    areas over 200,000 in population.

The recipient's responsibilities include:

a.  notifying eligible local entities of funding availability;

b.  developing project selection criteria;

c.  determining applicant eligibility;

d.  selecting projects for funding;

e.  ensuring that all subrecipients comply with Federal requirements;
    and

f.  presenting the "selected" projects/strategies for inclusion or
    reference in the Metropolitan Transportation Plan (for projects in
    urbanized areas) or the Statewide Long-Range Transportation Plan
    (for projects/strategies in non-urbanized areas). Similarly, in
    accordance with 49 U.S.C. 5303 or 5304, eligibility for funding
    under all FTA programs necessitates that projects/strategies be
    included in the applicable metropolitan Transportation Improvement
    Program (TIP) and Statewide Transportation Improvement Program
    (STIP).

Note: The designated recipient is responsible for conducting the
competitive selection process. However, the designated recipient may
establish alternative arrangements to administer and conduct the
competitive process. For example, the MPO could be the lead agency for
the competitive selection, even if it is not the designated
recipient. Alternatively, the designated recipient may, through
interagency agreement or third party contracts, provide for the
administrative management and oversight of the competitive selection
process.

Eligible subrecipients must apply directly to the recipient for
assistance under this program through the recipient's competitive
selection process (see Chapter IV).

Funds are obligated based on the annual program of projects included in
a grant application. FTA does not conduct project-by-project review and
approval of each project. The recipient ensures that local applicants
and project activities are eligible and in compliance with Federal
requirements and that the program provides for maximum feasible
coordination of transportation services assisted under JARC with
transportation services assisted by other Federal sources. In addition,
the recipient monitors local projects; ensures that all program
activities are included in a STIP; and oversees project audits and
closeouts. The recipient must certify to FTA annually that the recipient
and subrecipients have met or will meet all Federal requirements,
including all metropolitan and statewide planning requirements. Once FTA
has approved the application, funds are available for administration and
for allocation to individual subrecipients.

Under U.S. Department of Transportation regulations, \"Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments,\" 49 CFR Part 18 (sometimes referred to as
the "common grant rule" or "common rule"), the State relies on its own
laws and procedures in the areas of financial management systems,
equipment, and procurement for itself and its public body subrecipients.
For private non-profit agencies, grant management requirements are
contained in 49 CFR Part 19, \"Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education, Hospitals,
and other Non-Profit Organizations.\" States may have uniform
requirements for all of their grantees, both private non-profit agencies
and public bodies, as long as such requirements are not inconsistent
with Part 19. Designated recipients other than States must follow the
provisions of 49 CFR Part 18 and subrecipients follow Part 18 if they
are public entities and Part 19 if they are private non-profit entities.

12. [FTA ROLE IN PROGRAM ADMINISTRATION]{.underline}. FTA's Headquarters
    in Washington, D.C. is responsible for policy and program guidance
    for the JARC program, annual apportionment of funds to the States
    and designated recipients, and national program review and
    evaluation.

FTA regional offices are responsible for the day-to-day administration
of the program. Regional offices:

a.  review and approve State grant applications;

b.  obligate funds;

c.  work with States to implement the annual program;

d.  provide technical assistance;

e.  receive State certifications and amendments to the program of
    projects;

f.  monitor and close grants;

g.  review and approve State Management Plans (SMPs); and

h.  conduct State management reviews every three years or as
    circumstances warrant, and other reviews as necessary.

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13. [RELATIONSHIP TO OTHER FTA PROGRAMS]{.underline}.

    a.  [Section 5307 and Section 5311, the Urbanized Area and
        Nonurbanized Area Formula Programs]{.underline}. The Section
        5307 program makes funds available to designated recipients to
        assist in the development, improvement and use of public
        transportation systems in urbanized areas. The Section 5311
        program makes Federal funds available to the States to assist in
        the development, improvement and use of public transportation
        systems in nonurbanized areas. While the overall objectives of
        the Section 5307, Section 5311 and JARC programs differ (that
        is, that Sections 5307 and 5311 are to provide transportation to
        the general public in urbanized and non-urbanized areas, and
        JARC is to provide employment and employment related
        transportation services to the low-income population in both
        rural and urbanized areas), there are parallels which make it
        desirable for recipients to consider all resources and plan for
        their use in a complementary way. Local transit providers are
        expected to participate in the development of a coordinated
        local public transit-human service transportation plan.

Under Section 5311, the Rural Transit Assistance Program (RTAP) provides
for technical assistance, training, and related support services in
nonurbanized areas. JARC providers may participate in RTAP sponsored
activities, at the State\'s discretion, as long as the activities are
primarily designed and delivered to benefit nonurbanized transit
providers.

b.  [Coordination Provisions, Sections 5310, 5316 and 5317]{.underline}.
    SAFETEA-LU requires that projects funded from the Elderly
    Individuals and Individuals with Disabilities (Section 5310), Job
    Access and Reverse Commute (JARC, Section 5316), and New Freedom
    (Section 5317) Programs be derived from a locally developed
    coordinated public transit-human services transportation plan
    ("coordinated plan"). A coordinated plan should maximize the
    programs' collective coverage by minimizing duplication of services.
    Further, a coordinated plan should be developed through a process
    that includes representatives of public, private and non-profit
    transportation and human services providers, and participation by
    the public. A coordinated plan may incorporate activities offered
    under other programs sponsored by Federal, State, and local agencies
    to greatly strengthen its impact. FTA also encourages participation
    in coordinated service delivery as long as the coordinated services
    will continue to meet the purposes of all programs.

c.  [Flexible Funds]{.underline}. Surface Transportation Program (STP)
    funds, among others, are a source of flexible funds for both highway
    and transit projects. At the State\'s discretion, these flexible
    funds may be used for transit capital projects. This provision
    includes transit capital projects funded through the Section 5307 or
    5311 program that meet the employment related transportation needs
    of low-income individuals.

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14. [COORDINATION WITH OTHER FEDERAL PROGRAMS]{.underline}.

    a.  [The Federal Interagency Coordinating Council on Mobility and
        Access (CCAM).]{.underline} CCAM, comprised of 11 Federal
        departments and agencies, was established by an Executive Order
        on Human Service Transportation Coordination signed by President
        Bush on February 24, 2004. The members consist of the U.S.
        Departments of Transportation, Health and Human Services, Labor,
        Education, Agriculture, Housing and Urban Development, Interior,
        the Commission on Social Security, Veterans Affairs, the
        Attorney General and the National Council on Disabilities. CCAM
        coordinates 62 Federal programs providing transportation funding
        for older Americans, persons with disabilities and low-income
        populations that do not have access to or cannot use automobile
        transportation options.

The Executive Order requires that CCAM members work together to provide
the most appropriate, cost effective services within existing resources,
and reduce duplication to make funds available for more services. CCAM
seeks to simplify access to transportation services for persons with
disabilities, persons with low incomes, and older adults.

To implement the Executive Order, CCAM launched the United We Ride
initiative and website (www.unitedweride.gov) to break down the barriers
between programs and set the stage for local transportation
partnerships. United We Ride works with States and communities to
address gaps and needs related to human service transportation. United
We Ride helps local agencies develop and execute action plans.

b.  [Other Interagency Coordination.]{.underline} FTA encourages State
    DOT participation in other interagency efforts such as the State
    Rural Development Councils. Coordination Councils at the State and
    local levels include participation from public and private
    transportation providers, human service providers, and passengers,
    including individuals with disabilities. These councils are actively
    working on identifying needs, resources, and gaps for individuals
    with disabilities and others who require assistance with
    transportation services.

c.  [Welfare to Work]{.underline}. Recipients are encouraged to take a
    leadership role in providing transportation resources for welfare
    reform initiatives. In addition to FTA and State transit funding,
    funding is available under U.S Department of Labor jobs programs and
    U.S. Department of Health and Human Services Temporary Assistance to
    Needy Families (TANF), as described in joint guidance published by
    DOT, DOL, and DHHS on May 27, 1998. For more information regarding
    Welfare to Work visit http://aspe.hhs.gov/hspwelfare.htm.

# Chapter III

# 

# [General Program Information]{.underline}

1.  [RECIPIENT DESIGNATION]{.underline}. The chief executive officer of
    each State must designate a public body to be the recipient for JARC
    funds. In urbanized areas with populations less than 200,000 and in
    other than urbanized areas, the State is the designated recipient.
    For these areas, the chief executive officer of a State designates a
    State agency responsible for administering the JARC program, and
    officially notifies the appropriate FTA regional office in writing
    of that designation. The chief executive officer of a State may
    designate the State agency that receives Other Than Urbanized area
    (Section 5311) and/or the Elderly Individuals and Individuals with
    Disabilities (Section 5310) funds to be the JARC or New Freedom
    recipient, or the chief executive officer of a State may designate a
    different agency.

In urbanized areas over 200,000 in population, the recipient charged
with administering the JARC Program must be officially designated
through a process consistent with 49 U.S.C. Section 5307(a)(2):

an entity designated in accordance with the planning process under\
sections 5303, 5304, and 5306, by the chief executive officer of a\
State, responsible local officials, and publicly owned operators of\
public transportation, to receive and apportion amounts under\
section 5336 that are attributable to transportation management\
areas identified under section 5303.

The Section 5307 designated recipient provides and coordinates
transportation services for the region and is familiar with FTA's
program oversight requirements; therefore, it is appropriate for the
designated recipient for the JARC program to be the same as for the
Urbanized Area Formula (Section 5307) funds. Alternatively, the MPO
would be another appropriate choice because of its role in coordinating
and programming transportation funding. Based on local circumstances,
other public agencies may also be designated as a recipient of JARC
funding. The designation of recipient should be made by the chief
executive officer of a State in consultation with responsible local
officials and publicly owned operators of public transportation. The
recipient for JARC funds will apply to FTA for these funds on behalf of
subrecipients within the recipient's area.

Designations remain in effect until changed by the chief executive
officer of a State by official notice of re-designation to the
appropriate FTA regional administrator.

15. [DESIGNATION OF MULTIPLE RECIPIENTS IN URBANIZED AREAS]{.underline}.
    FTA encourages the designation of a single designated recipient for
    each urbanized area over 200,000 in population, including
    multi-State urbanized areas. The chief executive officer of a State
    may also designate a single recipient for contiguous large urbanized
    areas. However, nothing precludes the designation of multiple
    designated recipients. For multi-State urbanized areas of less than
    200,000 in population, the chief executive officer of each State
    must designate a State agency for that respective State's portion.
    When more than one recipient is designated for a single large
    urbanized area, the designated recipients must agree on how they
    split the single apportionment to the urbanized areas and notify FTA
    annually of the split and the geographic part of the urbanized area
    each recipient will be responsible for managing.

16. [ROLE OF THE DESIGNATED RECIPIENT]{.underline}. The designated
    recipient is responsible for conducting the competitive selection
    process and awarding grants to subrecipients in cooperation with the
    Metropolitan Planning Organization (MPO) (as mentioned above, in
    some instances the designated recipient may be the MPO).

The designated recipient for JARC funds will apply to FTA for funding
using the Transportation Electronic Awards and Management (TEAM) system
(see Appendix A) on behalf of itself and/or eligible subrecipients for
JARC projects within the recipient's area. The designated recipient is
responsible for the following actions:

a.  Conducting an area- or state-wide competitive selection process;

b.  Certifying a fair and equitable distribution of funds resulting from
    the competitive selection process;

c.  Certifying that each project selected was derived from a locally
    developed coordinated public transit-human services transportation
    plan;

d.  Certifying that local plans are developed through a process that
    included representatives of public, private, and non-profit
    transportation and human services providers and participation by the
    public;

e.  Managing all aspects of grant distribution and oversight for
    subrecipients receiving funds under this program; and

f.  Submitting reports as required by FTA.

Note: The designated recipient is responsible for conducting the
competitive selection process. However, the designated recipient may
establish alternative arrangements to administer and conduct the
competitive process. For example, the MPO could be the lead agency for
the competitive selection, even if it is not the designated recipient.
Alternatively, the designated recipient may, through interagency
agreement or third party contracts, provide for the administrative
management and oversight of the competitive selection process.

The designated recipient is not directly responsible for developing the
coordinated plan, but is responsible for ensuring that the plan from
which a selected project was derived was developed in compliance with
the statutory requirements. An agency or organization other than the
designated recipient may take the lead in developing the coordinated
plan.

17. [ELIGIBLE DIRECT RECIPIENTS]{.underline}. The designated recipient
    may apply directly to FTA for a JARC grant for itself and on behalf
    of sub-recipients. The designated recipient for JARC in an urbanized
    area over 200,000 in population may or may not be the same agency as
    the designated recipient for Section 5307. Additionally, the
    competitive selection process may result in JARC funds being
    allocated to a transit authority that is not the designated
    recipient for the JARC program but typically receives grants
    directly from FTA as a designated recipient for Section 5307.
    Instead of entering into a subrecipient relationship, the agencies
    may decide to request FTA to make the JARC grant for the project
    directly to the transit agency that is the designated recipient
    for 5307. When the Section 5307 designated recipient applies for the
    JARC grant directly, the JARC designated recipient must enter into a
    supplemental agreement with the direct recipient as part of the
    application. This supplemental agreement will release the designated
    recipient from any liability under the grant agreement. Supplemental
    agreements are provided in TEAM and must be electronically executed.

For small urbanized areas under 200,000 in population, the State is the
designated recipient. For projects to be implemented by transit
providers in small urbanized areas, the State, after consultation with
responsible local officials and publicly owned operators of public
transportation, may transfer JARC funds to Section 5307 for
administration of competitively selected JARC projects within a Section
5307 grant to an eligible recipient under that program.

Note that the federally recognized Indian tribes are eligible direct
recipients under the Section 5311 program. A tribe may prefer to apply
directly to FTA for JARC funds rather than receiving the funds as a
subrecipient of the State agency that is the designated recipient for
JARC. The State may transfer JARC funds to Section 5311 so that FTA can
make a direct grant to the tribe under that program.

18. [ELIGIBLE SUBRECIPIENTS]{.underline}. There are three categories of
    eligible subrecipients of JARC funds:

    a.  Private non-profit organizations. A non-profit organization is a
        corporation or association determined by the Secretary of the
        Treasury to be an organization described by 26 U.S.C. 501(c)
        which is exempt from taxation under 26 U.S.C. 501(a) or one
        which has been determined under State law to be non-profit and
        for which the designated State agency or urbanized area
        designated recipient has received documentation certifying the
        status of the non-profit organization;

    b.  State or local governmental authority; and

    c.  Operators of public transportation services, including private
        operators of public transportation services.

19. [APPORTIONMENT OF JARC FUNDS]{.underline}. Of the total JARC funds
    available, 60% is apportioned among designated recipients in large
    urbanized areas; 20% is apportioned to the State for small urbanized
    areas; and 20% is apportioned to the State for rural and small urban
    areas under 50,000 population. JARC funds are apportioned among the
    recipients by formula. The formula is based on the ratio that the
    number of eligible low-income and welfare recipients in each such
    area bears to the number eligible low-income and welfare recipients
    in all such areas. Example: a large urbanized area's apportionment
    is based on the ratio that the number of eligible low-income and
    welfare recipients in that large urbanized area bears to the number
    of eligible low-income and welfare recipients in all large urbanized
    areas. The low-income population is determined according to the
    latest available U.S. census data for individuals whose family
    income is below 150% of the poverty line. Data on welfare recipients
    is used as it becomes available at the necessary levels. The annual
    apportionment for JARC is published in the *Federal Register*
    following the enactment of the annual DOT appropriations act.

20. [FUNDS AVAILABILITY]{.underline}. JARC funds are available to the
    recipients during the fiscal year of apportionment plus two
    additional years. Any funds remaining unobligated at the end of the
    period of availability are added to the next year\'s program
    apportionment and are reapportioned among all areas.

21. [TRANSFER OF FUNDS]{.underline}.

    a.  [Transfer between Funding Categories]{.underline}. A State may
        use funds apportioned for small urban and rural areas for
        projects serving any area of the State, if the chief executive
        officer of the State certifies that all of the objectives of
        JARC are being met in the specified areas. For example, if all
        objectives of the JARC program are being met in rural areas,
        funds designated for rural areas may be transferred to urbanized
        areas of less than 200,000 population. Funds may also be
        transferred for use any where in the State including large
        urbanized areas, if the State has established a statewide
        program for meeting JARC program goals. There is no authority to
        transfer funds apportioned to large urbanized areas to small
        urban or rural areas.

    b.  [Transfer to Other FTA Programs]{.underline}. A State may
        transfer JARC funds apportioned to it for rural or small areas
        to apportionment under Section 5311(c) or 5307, or both. The
        transfer is for administrative ease and allows States to reduce
        the number of FTA grants to administer. Transferred funds must
        be used for JARC projects. A State may make the transfer only
        after consulting with local officials and publicly owned
        operators of public transportation. The period of availability
        for the transferred funds is not changed.

    c.  [Transfer of (FHWA) Flexible Funds]{.underline}. Surface
        Transportation Program (STP) funds, Congestion Mitigation and
        Air Quality (CMAQ) funds, and certain other \"flexible\" funds,
        may be transferred from FHWA to FTA for capital transit
        projects. Flexible funds may be transferred to the Section 5307
        or 5311 programs for use by the recipient for capital projects
        that support the purpose of the JARC program. The funds are
        available for obligation by the recipient based on the period of
        availability applicable to the receiving program.

    d.  [Notification of Transfers]{.underline}. The State must notify
        the FTA regional administrator of the State's intent to have
        funds transferred so that FTA can initiate the transfer. For
        transfers of JARC funds to the Section 5307 program for
        urbanized areas (UZAs) under 200,000 population or Section
        5311(c), and for transfers of flexible funds, the notification
        must indicate the amount of funds transferred and the program to
        which they are being transferred.

22. [Consolidation of Grants to Insular Areas]{.underline}. Certain FTA
    grants to insular areas may be consolidated under the provisions of
    48 U.S.C. 1469a. This provision permits Federal agencies to
    streamline and consolidate certain grant-in-aid programs available
    to the Virgin Islands, Guam, American Samoa, and the Northern
    Mariana Islands. These insular areas receive Section 5311
    apportionments, Rural Transit Assistance Program (RTAP) allocations,
    and Section 5310, JARC, and New Freedom apportionments annually.
    Specifically, 48 U.S.C. 1469a permits:

    a.  Federal agencies to consolidate any or all grants to each of the
        insular areas and to waive requirements for matching funds,
        applications, and reports with respect to the consolidated
        grants; and

    b.  Each insular area to use the consolidated grant funds for any
        purpose or program authorized for any of the consolidated
        grants.

FTA implements this consolidation of Section 5310, Section 5311, RTAP,
JARC and New Freedom funding into a single grant by transferring funds
from one program to another. The insular areas may transfer all or a
portion of the funds apportioned for Section 5310, Section 5311, RTAP,
JARC and New Freedom, for use under any of these programs. This should
improve the efficiency of grant making and grant management for these
areas which have small staff resources and receive small amounts of
funds under each of these programs. In addition, 48 U.S.C. 1469a(d)
allows an agency to waive any local matching share requirements for
grants to insular areas. Those insular areas interested in submitting
applications for consolidated grants and/or local share waivers should
notify the appropriate FTA regional office for application procedures
and consolidation requirements. Among other things, the insular area
should identify the intended use of consolidated funds and should ensure
that the transportation of persons with low incomes will not be
adversely affected. Applications should be submitted in accordance with
the appropriate program circular, as determined by FTA.

23. [RECIPIENT ADMINISTRATIVE EXPENSES]{.underline}. Up to 10% of the
    recipient's total fiscal year apportionment may be used to fund
    program administration costs including administration, planning and
    technical assistance. Program administration costs may be funded at
    100% Federal share.

JARC administrative funds are not specific to one grant or one year, but
may help to pay the ongoing administrative costs of previous JARC
projects that require further staff effort. Recipients may use this
provision internally to "set aside" administrative entitlements for the
anticipated future administrative costs of current projects.

Recipients may not expend administrative funds drawn from future year
apportionments not yet appropriated by Congress. Also, FTA encourages
recipients to identify all the available JARC administrative funds they
intend to use routinely in each annual grant application. However,
recipients may accumulate the \"entitlement\" to JARC administrative
funds within their period of availability to augment the funds available
for a special administrative need in a subsequent year. Recipients may
accumulate JARC administrative funds in the year of apportionment plus
two years.

If a recipient includes program administration expenses in excess of the
10% in its grant application, it must document the unused JARC
administrative funds from prior years available to augment the amount of
JARC administrative funds in the current apportionment.

Allowable administrative costs may include, but are not limited to,
general administrative and overhead costs, staff salaries, office
supplies, and development of specifications for vehicles and equipment.
Guidance on eligible costs is in Office of Management and Budget (OMB)
Circular A-87. The program administration budget line item may also
include technical assistance and planning activities, including
allocations to subrecipients to support the local coordinated planning
process.

These eligible program administrative costs may be used directly by the
designated recipient or may be passed through by the designated
recipient to subrecipients for administration, planning, or technical
assistance purposes. This eligible activity can be awarded prior to the
completion of the competitive selection process.

24. [ELIGIBLE ACTIVITIES]{.underline}. Funds from the JARC program are
    available for capital, planning, and operating expenses that support
    the development and maintenance of transportation services designed
    to transport low-income individuals to and from jobs and activities
    related to their employment.

In the conference report accompanying SAFETEA-LU, the conferees stated
an expectation that FTA would "continue its practice of providing
maximum flexibility to job access projects that are designed to meet the
needs of individuals who are not effectively served by public
transportation, consistent with the use of funds described in the
*Federal Register*, Volume 67 (April 8, 2002)" (H.R.Report 109-203,
Section 3018). Therefore, eligible projects may include, but are not
limited to capital, planning, and operating assistance to support
activities such as:

a.  Late-night and weekend service;

b.  Guaranteed ride home service;

c.  Shuttle service;

d.  Expanding fixed-route public transit routes;

e.  Demand-responsive van service;

f.  Ridesharing and carpooling activities;

g.  Transit related aspects of bicycling (adding bicycle racks to
    vehicles to support individuals that bicycle a portion of their
    commute or providing bicycle storage at transit stations);

h.  Local car loan programs that assist individuals in purchasing and
    maintaining vehicles for shared rides;

i.  Promotion, through marketing efforts, of the:

    1.  use of transit by workers with non-traditional work schedules;

    2.  use of transit voucher programs by appropriate agencies for
        welfare recipients and other low-income individuals;

    3.  development of employer-provided transportation such as
        shuttles, ridesharing, carpooling; or

    4.  use of transit pass programs and benefits under Section 132 of
        the Internal Revenue Code of 1986;

j.  Supporting the administration and expenses related to voucher
    programs. This activity is intended to supplement existing
    transportation services by expanding the number of providers
    available or the number of passengers receiving transportation
    services. Vouchers can be used as an administrative mechanism for
    payment to providers of alternative transportation services. The
    JARC program can provide vouchers to low income individuals to
    purchase rides, including (1) mileage reimbursement as part of a
    volunteer driver program, (2) a taxi trip, or (3) trips provided by
    a human service agency. Providers of transportation can then submit
    the voucher to the JARC project administering agency for payment
    based on pre-determined rates or contractual arrangements. Transit
    passes for use on fixed route or ADA complementary paratransit
    service are not eligible. Vouchers are an operational expense which
    requires a 50/50 (Federal/local) match;

k.  Applying Geographic Information System (GIS) tools;

l.  Implementing Intelligent Transportation Systems (ITS), including
    customer trip information technology;

m.  Integrating automated regional public transit and human service
    transportation information, scheduling and dispatch functions;

n.  Deploying vehicle position-monitoring systems;

o.  Establishing regional mobility managers or transportation brokerage
    activities. This includes supporting new mobility management and
    coordination programs among public transportation providers and
    other human service agencies providing transportation*.* Mobility
    management techniques may enhance transportation access for
    populations beyond those served by one agency or organization within
    a community. For example, a non-profit agency could receive JARC
    funding to share services it provides to its own clientele with
    low-income individuals and coordinate usage of vehicles with other
    non-profits. Mobility management is intended to build coordination
    among existing public transportation providers and other
    transportation service providers with the result of expanding the
    availability of service. Mobility management activities may include:

    1.  The promotion, enhancement, and facilitation of access to
        transportation services, including the integration and
        coordination of services for individuals with disabilities,
        older adults, and low income individuals;

    2.  Support for short term management activities to plan and
        implement coordinated services;

    3.  The support of State and local coordination policy bodies and
        councils;

    4.  The operation of transportation brokerages to coordinate
        providers, funding agencies and customers;

    5.  The provision of coordination services, including
        employer-oriented Transportation Management Organizations' and
        Human Service Organizations' customer-oriented travel navigator
        systems and neighborhood travel coordination activities such as
        coordinating individualized travel training and trip planning
        activities for customers;

    6.  The development and operation of one-stop transportation
        traveler call centers to coordinate transportation information
        on all travel modes and to manage eligibility requirements and
        arrangements for customers among supporting programs; and

    7.  Operational planning for the acquisition of intelligent
        transportation technologies to help plan and operate coordinated
        systems inclusive of Geographic Information Systems (GIS)
        mapping, Global Positioning System technology, coordinated
        vehicle scheduling, dispatching and monitoring technologies as
        well as technologies to track costs and billing in a coordinated
        system and single smart customer payment systems (acquisition of
        technology is also eligible as a stand alone capital expense).

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25. [FEDERAL/LOCAL MATCHING REQUIREMENTS]{.underline}.

    a.  [General]{.underline}. JARC funds may be used to finance
        capital, planning and operating expenses. The Federal share of
        eligible capital and planning costs may not exceed 80% of the
        net cost of the activity. The Federal share of the eligible
        operating costs may not exceed 50% of the net operating costs of
        the activity. Recipients may use up to10% of their apportionment
        to support program administrative costs including
        administration, planning, and technical assistance, which may be
        funded at 100% federal share. The local share of eligible
        capital and planning costs shall be no less than 20% of the net
        cost of the activity, and the local share for eligible operating
        costs shall be no less than 50% of the net operating costs. All
        of the local share must be provided from sources other than
        Federal DOT funds. Some examples of sources of local match which
        may be used for any or all of the local share include: State or
        local appropriations; other non DOT Federal funds; dedicated tax
        revenues; private donations; revenue from human service
        contracts; toll revenue credits; and net income generated from
        advertising and concessions. Non-cash share such as donations,
        volunteered services, or in-kind contributions is eligible to be
        counted toward the local match as long as the value of each is
        documented and supported, and represents a cost which would
        otherwise be eligible under the program.

Income from contracts to provide human service transportation may be
used either to reduce the net project cost (treated as revenue) or to
provide local match for JARC operating assistance. In either case, the
cost of providing the contract service is included in the total project
cost.

a.  [Exceptions]{.underline}. The Federal share is 90% for
    vehicle-related equipment and facilities required by the Clean Air
    Act Amendments of 1990 (CAAA) or the Americans with Disabilities Act
    of 1990 (ADA). It is only the incremental cost of the equipment or
    facility required by the CAAA or ADA that may be funded at 90%, not
    the entire cost of the vehicle or facility, even if the vehicle or
    facility is purchased for use in service required by the ADA or
    CAAA. States wishing to apply for assistance at the higher match
    ratio should consult the FTA regional office for further guidance
    regarding methods of computing the incremental cost before
    submitting an application.

b.  [Use of Other Federal Funds]{.underline}. Local match may be derived
    from other Federal funds derived from Federal programs that are
    eligible to be expended for transportation, other than from the
    Department of Transportation programs. Examples include Temporary
    Assistance for Needy Families, Medicaid, Employment training
    programs, Rehabilitation Services, and Administration on Aging. To
    be eligible for local match for FTA funds, the other Federal funds
    must be used for activities included in the total net project costs
    of the FTA grant. Expenditure of other Federal funds for
    transportation outside of the scope of the project cannot be applied
    as a credit for local match in the FTA grant.

    Chapter IV

[Program Development]{.underline}

1.  [COORDINATION REQUIREMENTS]{.underline}. SAFETEA-LU requires that
    projects selected for funding under the JARC Program be derived from
    a locally developed, coordinated public transit-human services
    transportation plan, and that the plan be developed through a
    process that includes representatives of public, private, and
    non-profit and human services transportation providers and
    participation by the public. Public transit operators, including
    those funded under both the urbanized (Section 5307) and
    non-urbanized formula (Section 5311) programs, are expected to be
    participants in the local planning process for coordinated public
    transit-human service transportation. To the extent feasible other
    transportation providers, advocacy groups, human service agencies,
    and passengers are encouraged to participate and coordinate with
    recipients of FTA assistance for the Elderly Individuals and
    Individuals with Disabilities, Job Access and Reverse Commute and
    New Freedom programs in the planning for and delivery of special
    transportation services. Full explanation of the coordination
    requirements for human service transportation can be found in
    Chapter V of this circular.

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26. [PLANNING REQUIREMENTS]{.underline}. To be eligible for funding,
    JARC projects in urbanized areas must be included in the
    Metropolitan Transportation Plan prepared and adopted by the
    Metropolitan Planning Organization (MPO), the Transportation
    Improvement Program (TIP) approved jointly by the MPO and the chief
    executive officer of a State, and the Statewide Transportation
    Improvement Program (STIP) approved by the chief executive officer
    of a State and jointly approved by FTA and FHWA. Projects outside
    urbanized areas must be included in, or be consistent with the
    Statewide Long-Range Transportation Plan, as approved by the chief
    executive officer of a State, and the STIP. With limited exceptions,
    all federally-funded highway or transit projects must be included in
    the applicable plan and program documents. For purposes of
    convenience, the recipient may group its planned expenditures of
    JARC funds into statewide or metropolitan area-wide projects, such
    as vehicle acquisitions or services contracted for rural and urban
    recipients, and administration costs. All projects must adhere to
    the requirements of 49 U.S.C. Sections 5303 and 5304.

27. [COMPETITIVE SELECTION PROCESS]{.underline}. The JARC program
    requires a recipient of funds to conduct a competitive selection
    process that is separate from the planning process. Recipients may
    not allocate JARC funds without conducting a competitive selection
    process. Title 49 U.S.C. 5316, as amended by SAFETEA-LU, provides
    the following:

\(d\) Competitive Process for Grants to Subrecipients.\-- (1) Areawide
solicitations.\--A recipient of funds apportioned under subsection
(c)(1)(A) \[urbanized areas with a population over 200,000\] shall
conduct, in cooperation with the appropriate metropolitan planning
organization \[MPO\], an area wide solicitation for applications for
grants to the recipient and sub recipients under this Section. (2)
Statewide solicitation.\--A recipient of funds apportioned under
subsection (c)(1)(B) \[urbanized areas with a population of less than
200,000\] or (c)(1)(C) \[Other Than Urbanized areas\] shall conduct a
statewide solicitation for applications for grants to the recipient and
sub recipients under this Section.

Note: The designated recipient is responsible for conducting the
competitive selection process. However, the designated recipient may
establish alternative arrangements to administer and conduct the
competitive process. For example, the MPO could be the lead agency for
the competitive selection, even if it is not the designated
recipient. Alternatively, the designated recipient may, through
interagency agreement or third party contracts, provide for the
administrative management and oversight of the competitive selection
process.

a.  [Role of the Designated Recipient in Competitive
    Selection]{.underline}. The agency identified as the designated
    recipient is responsible for conducting the competitive selection.
    The competitive selection process should be transparent, as
    described below. Further, the designated recipient must certify that
    the distribution of funds is "fair and equitable" as required by 49
    U.S.C. 5316(f)(2) (see Part 4 of this chapter).

b.  [Conducting a Competitive Selection Process]{.underline}. 49 U.S.C.
    5316 requires that selected projects be derived from the locally
    developed coordinated plan and meet the intent of the program. The
    law further requires that the designated recipient conduct the
    competitive selection process. In large urbanized areas, this
    process is conducted in cooperation with the MPO.

    1.  [Frequency of competition]{.underline}. Competitions can be
        conducted annually or at intervals not to exceed two years as
        determined by the designated recipient. There should be
        opportunities to update the coordinated plan to align with the
        competitive selection process. In addition to identified need,
        designated recipients should work with State and/or local
        coordinating bodies to consider funding levels, adequate time
        for implementation, duration of projects, cost of projects, and
        other factors when setting timeframes for competitive cycles.

    2.  [Selection process]{.underline}. The designated recipient may
        conduct a competition using different approaches related to the
        types of activities funded. For example, the designated
        recipient may compete a list of specific projects/activities to
        be funded, or conduct a competition to identify communities
        whose plans will be funded, or a competition to select
        agencies/organizations to provide services to meet specific
        needs that have been identified and prioritized through the
        local planning process. In establishing the process, the
        designated recipient shall determine and publicize the selection
        criteria. The examples below illustrate different ways the
        competitive selection process may be conducted.

Example 1: The State publishes an announcement for JARC project
proposals. The State next evaluates projects submitted from small
urbanized and nonurbanized areas using selection criteria stated in the
announcement. The designated recipient may choose to have separate
competitions for projects in urbanized areas under 200,000 in population
and projects in nonurbanized areas. The designated recipient selects
projects to be funded and announces JARC project selections.

Example 2: The State solicits applications from small urbanized areas or
nonurbanized areas for funding of the FTA eligible activities in their
coordinated plan. The State evaluates the applications based on criteria
such as the quality and effectiveness of the coordinated process, and
identification of needs and solutions that address the needs. The State
then selects areas to receive funding for projects eligible under the
JARC Program. In this example, the specific projects being funded in an
area are determined locally, however, the State competitively selects
areas that will receive JARC funding.

Example 3: The designated recipient in an urbanized area over 200,000 in
population may rely on the priorities identified in the locally
developed, coordinated public transit-human services transportation plan
and publish a solicitation for grant applications from agencies
interested in providing the services identified in the plan. The
designated recipient conducts the competition in cooperation with the
MPO utilizing criteria established by the designated recipient. The
designated recipient may choose to utilize the MPO (if the MPO is not
the designated recipient) to conduct the competitive selection
process. After subrecipients are selected, the designated recipient
announces JARC project selections.

Example 4: The designated recipient publishes an announcement for JARC
project proposals to address a specific need identified and prioritized
in the coordinated plan, such as late night service options. Grant
proposals might include a guaranteed ride home program, van pools, or
extended service hours for an existing service provided by the local
transit agency. The designated recipient evaluates proposals submitted
using the selection criteria stated in the announcement, selects the
project(s) to be funded and announces the project selections.

Example 5: The designated recipient identifies specific projects to meet
the needs described in the coordinated plan, such as late night service
options. The coordinated plan prioritized guaranteed ride home programs
as the most appropriate service to meet that need. The designated
recipient publishes an announcement requesting proposals for guaranteed
ride home programs, evaluates proposals submitted using the selection
criteria stated in the announcement, and selects the project(s) to be
funded and announces the project selections.

The competitive selection process is not the same as third party
contracting, but rather the selection of grants to the recipient and
subrecipients. If it is determined that a recipient or subrecipient will
contract for goods and services, the entity receiving the funds must
follow FTA procurement procedures (FTA Circular 4220.1E) in a separate
process, regardless of how a project is selected.

3.  [Public notification]{.underline}. The designated recipient should
    publicly advertise the availability of funds and selection criteria
    in formats and forums appropriate to the potential recipients and
    subrecipients. Designated recipients should also publish a list of
    selected projects following the competitive selection process.

4.  [Strategies to enhance competition]{.underline}. The following
    strategies are suggested useful practices to ensure fairness and
    maximize the relationship between the coordinated planning process
    and competitive selection:

    a.  Assure greater inclusion at the onset of the coordinated
        planning process to allow private sector participation or
        participation by others who have not been involved in the MPO
        planning process;

    b.  Provide for transparency and documentation in both the
        coordinated planning process and the competitive selection
        process;

    c.  Publish an announcement that lays out program requirements and
        the process for receiving funds, which may help communities
        initiate planning activities as well as lay out the recipient\'s
        timeline for the competitive selection process;

    d.  Rank projects using any of the following approaches: peer
        review; third party review; or a panel of planning partners; and

    e.  If the subrecipient is not the service provider, the
        subrecipient should select providers of services through
        established third party contracting procedures that transit
        agencies utilize for specialized service contracts or
        interagency agreements.

5.  [Evaluation criteria and project selection]{.underline}. Designated
    recipients may consider establishing an external peer review process
    for developing criteria, evaluating proposals, and project
    selection. Examples of potential criteria may include selecting
    projects that: (1) address gaps in current service provisions for
    targeted communities as defined in the local coordinated plan; (2)
    make use of available resources and leverage resources to the extent
    possible; (3) coordinate with other Federal programs (e.g.,
    coordinated services, financial partnership); (4) can be achieved
    with the given technical capacity of the project sponsor; and (5)
    show evidence of broad solicitation for input (coordinated planning
    process).

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28. [FAIR AND EQUITABLE DISTRIBUTION OF FUNDS]{.underline}. Regardless
    of the competitive selection process used, it is important to
    demonstrate that the process is fair and equitable. Fair and
    equitable distribution will be addressed in the State Management
    Review for State administered programs and in the Triennial Review
    in urbanized areas over 200,000 in population and in other FTA
    oversight activities. Designated recipients must document the
    competitive selection process as part of a State/Program Management
    Plan (SMP/PMP) and designated recipients in urbanized areas must
    document the competitive selection process in the PMP (see Chapter
    VI). In addition the designated recipient must certify each year
    that the funds were distributed on a fair and equitable basis.

FTA's guidance for compliance with Title VI of the Civil Rights Act of
1964 applies to the JARC program. To ensure compliance with DOT civil
rights regulations (49 CFR 21.5(2), 49 CFR 21.5(7), and 49 CFR 21.9(b)),
and the DOT Order on Environmental Justice, FTA requires grantees to
document that they distribute FTA funds without regard to race, color,
and national origin. To fulfill this requirement, designated recipients
shall include in their management plan the information required in the
Title VI Circular.

29. [PROGRAM OF PROJECTS (POP)]{.underline}. The program of projects
    submitted to FTA for approval lists the subrecipients and indicates
    whether they are private non-profit agencies, public bodies, or
    private operators of public transportation services, and in the case
    of a State application, designates whether they serve urbanized or
    nonurbanized populations, and identifies any Indian tribal agencies.
    In addition, the program of projects includes a brief description of
    the projects, total project costs and Federal share for each
    project, and the amount of funds required for planning and program
    administration. The total Federal funding level for the program of
    projects cannot exceed the total amount of JARC funds available.
    Upon submission of the annual program of projects and other
    application requirements, FTA will review, approve, and obligate
    funds for the total amount of funds requested. The projects within
    the program of projects should be implemented within the year of
    apportionment plus two years. Grants not fully implemented within
    the year of apportionment plus two years are subject to being
    terminated and closed out by FTA and the remaining funds
    de-obligated.

As stated above, eligibility for funding under most FTA and FHWA
programs requires projects to be listed in the approved TIP and/or STIP.
Therefore, the Program of Projects must be included in the applicable
TIP and/or STIP.

30. [CATEGORIES OF APPROVAL]{.underline}. FTA\'s approval of a program
    of projects does not reflect unconditional approval of all projects
    within the program. Nor does FTA\'s approval of a program of
    projects reflect unconditional approval of all prospective
    subrecipients identified in the program. FTA recognizes that not all
    projects in a program of projects may be at the same stage of
    development, and therefore, not all applications to the designated
    recipient may be complete at the time the State forwards its annual
    program of projects to FTA. FTA also recognizes that all
    subrecipients identified in the program of projects may not yet be
    in compliance with all applicable Federal requirements. To expedite
    grant award, FTA allows designated recipients to separate projects
    and funds included in its program of projects into two different
    categories, depending on how completely Federal requirements have
    been met.

    a.  [Category A]{.underline}. This category includes projects
        certified by the designated recipient as having met all the
        Federal statutory and administrative requirements for project
        approval applicable to both the project activities and
        subrecipient that will carry out those activities. Upon grant
        award, FTA\'s approval of Category A projects is unconditional.
        Upon execution of the grant agreement, the designated recipient
        may start drawing down funds to implement projects in
        Category A. Most, if not all, of the projects included in the
        designated recipient\'s program of projects are expected to be
        in this category.

    b.  [Category B]{.underline}. Projects in Category B are those
        projects the designated recipient anticipates approving during
        the current year, but which have not met all of the Federal
        statutory or administrative requirements or are proposed to be
        implemented by a subrecipient that has not yet met all
        applicable Federal requirements. When the necessary Federal
        requirements have been satisfied for a project, FTA\'s approval
        of that project becomes unconditional, and the project may be
        advanced to Category A. Cash drawdowns for that project may
        commence after the designated recipient advances it to
        Category A. If a designated recipient can list all its projects
        in Category A, it would not list any projects in Category B.

31. [APPROVAL]{.underline}. FTA is committed to promptly processing
    grants upon receipt of a complete and acceptable grant application.
    FTA awards grants and obligates funds for the total amount the
    designated recipient requests for both of these categories. FTA
    grant award constitutes FTA approval of the designated recipient\'s
    annual program of projects; however, FTA approval of the JARC
    program of projects does not constitute unqualified approval of each
    project in the program. Grant award does constitute FTA approval of
    those projects in Category A. Thus the designated recipient may draw
    down Federal funds immediately upon execution of the grant
    agreement. Grant award also constitutes FTA\'s approval of those
    projects in Category B on the condition that all applicable Federal
    requirements will be met. The designated recipient must ensure that
    those requirements are met and advance the projects to Category A
    before funds can be drawn down to support those projects.

32. [REVISIONS TO PROGRAM OF PROJECTS]{.underline}. Prior FTA approval
    is not required to advance projects from Category B to Category A,
    or to reallocate funds among projects included in the approved POP,
    so long as, any single change does not exceed 20% of the affected
    project and is consistent with the competitive selection process and
    the local coordinated plan from which the project was derived. Any
    other changes to the Program of Projects require prior approval by
    FTA. The grantee's request for approval should include documentation
    that the proposed changes in the POP are consistent with the
    competitive selection process and that all projects are derived from
    a locally developed coordinated plan.

If appropriate, revisions to the POP should be accompanied by a budget
revision to the grant in TEAM. The grantee should attach the revised POP
(after approval, if required) to the project management milestones
section in TEAM. In the annual program status report, the grantee should
reference the date that a new POP was attached. The most recently
updated program of projects submitted by the designated recipient to FTA
in its annual report or in the course of making revisions will be
considered the current approved program of projects, incorporated by
reference in the grant agreement.

33. [CERTIFICATION AND ASSURANCES]{.underline}. FTA\'s annual
    Certifications and Assurances include basic program requirements for
    the Elderly Individuals and Individuals with Disabilities (category
    17), JARC (category 19), and New Freedom (category 20) programs. It
    is the designated recipient's responsibility to competitively select
    projects and certify that they are derived from a coordinated plan.
    The certifications and assurances can be found on the FTA Web site
    and in TEAM-Web and must be signed prior to submission of an
    application.

34. [COSTS INCURRED PRIOR TO GRANT APPROVAL]{.underline}. Costs may be
    incurred under the JARC program prior to FTA approval of a grant
    under certain circumstances. Authority to incur any eligible JARC
    program costs in advance of possible future Federal participation
    must comply with all Federal requirements. FTA extends automatic
    pre-award authority to the 10% of funds that can be used for program
    administrative costs including planning, administration and
    technical assistance. In order for other pre-award costs to be
    eligible for subsequent reimbursement, the project must have met all
    FTA statutory, procedural and contractual requirements, including
    being derived from a locally developed coordinated plan and
    competitively selected by the designated recipient. Specific
    information is included in FTA's annual apportionment notice. See
    Chapter VIII, Part 18 for more details.

    CHAPTER V

[CoordinatED Planning]{.underline}

1.  [THE COORDINATED PUBLIC TRANSIT-HUMAN SERVICES TRANSPORTATION
    PLAN]{.underline}. SAFETEA-LU requires that projects selected for
    funding under the Elderly Individuals and Individuals with
    Disabilities (also referred to as Section 5310), JARC, and New
    Freedom programs be "derived from a locally developed, coordinated
    public transit-human services transportation plan" and that the plan
    be "developed through a process that includes representatives of
    public, private, and non-profit transportation and human services
    providers and participation by members of the public." The
    experiences gained from the efforts of the Federal Interagency
    Coordinating Council on Access and Mobility, and specifically the
    United We Ride Initiative, provide a useful starting point for the
    development and implementation of the local public transit-human
    services transportation plan required under the Section 5310, Job
    Access Reverse Commute and New Freedom programs.

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35. [DEVELOPMENT OF THE COORDINATED PUBLIC TRANSIT-HUMAN SERVICES
    TRANSPORTATION PLAN]{.underline}.

    a.  [Overview]{.underline}. A coordinated public transit-human
        services transportation plan (a coordinated plan) identifies the
        transportation needs of individuals with disabilities, older
        adults, and people with low incomes, provides strategies for
        meeting those local needs and prioritizes transportation
        services for funding and implementation. Local plans may be
        developed on a local, regional, or statewide level. The decision
        as to the boundaries of the local planning areas should be made
        in consultation with the State, designated recipient and the
        MPO, where applicable. The agency leading the planning process
        is decided locally and does not have to be the designated
        recipient.

In urbanized areas where there are multiple designated recipients, there
may be multiple plans and each designated recipient will be responsible
for the competitive selection of projects in the designated recipient's
area. A coordinated plan should maximize the programs' collective
coverage by minimizing duplication of services. Further, a coordinated
plan must be developed through a process that includes representatives
of public and private and non-profit transportation and human services
transportation providers, and participation by members of the public.
Members of the public should include representatives of the targeted
population(s) including individuals with disabilities, older adults, and
people with low incomes. While the plan is only required in communities
seeking funding under one or more of the three specified FTA programs, a
coordinated plan should also incorporate activities offered under other
programs sponsored by Federal, State, and local agencies to greatly
strengthen its impact.

b.  [Required Elements]{.underline}. Projects selected for funding must
    be derived from a coordinated plan that minimally includes the
    following elements at a level consistent with available resources
    and the complexity of the local environment:

    1.  An assessment of available services that identifies current
        providers (public, private, and non-profit);

    2.  An assessment of transportation needs for individuals with
        disabilities, older adults, and people with low incomes. This
        assessment can be based on the experiences and perceptions of
        the planning partners or on more sophisticated data collection
        efforts, and gaps in service (Note: If a community does not
        intend to seek funding for a particular program (Section 5310,
        JARC, or New Freedom), then the community is not required to
        include an assessment of the targeted population in its
        coordinated plan);

    3.  Strategies and/or activities to address the identified gaps and
        achieve efficiencies in service delivery; and

    4.  Relative priorities for implementation based on resources, time,
        and feasibility for implementing specific strategies/activities
        identified.

> Note: FTA will consider plans developed before the issuance of final
> program circulars to be an acceptable basis for project selection for
> FY 2007 if they meet minimum criteria. Plans for FY 2007 should
> include 1) an assessment of available services; 2) an assessment of
> needs; and 3) strategies to address gaps for target populations;
> however, FTA recognizes that initial plans may be less complex in one
> or more of these elements than a plan developed after the local
> coordinated planning process is more mature. Addendums to existing
> plans to include these elements will also be sufficient for
> FY07. Plans must be developed in good faith in coordination with
> appropriate planning partners and with opportunities for public
> participation.

c.  [Local Flexibility in the Development of a Local Public
    Transit-Human Services Transportation Plan]{.underline}. The
    decision for determining which agency has the lead for the
    development and coordination of the planning process should be made
    at the State, regional, and local levels. FTA recognizes the
    importance of local flexibility in developing plans for human
    service transportation. Therefore, the lead agency for the
    coordinated planning process may be different from the agency that
    will serve as the designated recipient. Further, FTA recognizes that
    many communities have conducted assessments of transportation needs
    and resources regarding individuals with disabilities, older adults,
    and/or people with low incomes. FTA also recognizes that some
    communities have taken steps to develop a comprehensive,
    coordinated, human service transportation plan either independently
    or through United We Ride efforts. FTA supports communities building
    on existing assessments, plans and action items. As all new Federal
    requirements must be met, however, communities may need to modify
    their plans or processes as necessary to meet these requirements.
    FTA encourages communities to consider inclusion of new partners,
    new outreach strategies, and new activities related to the targeted
    programs and populations.

    Plans will vary based upon the availability of resources and the
    existence of populations served under these programs. A rural
    community may develop its plans based on perceived needs emerging
    from the collaboration of the planning partners, whereas a large
    urbanized community may use existing data sources to conduct a more
    formal analysis to define service gaps and identify strategies for
    addressing the gaps.

This type of planning is also an eligible activity under three other FTA
programs -- the Metropolitan Planning (Section 5303), Statewide Planning
(Section 5304), and Urbanized Area Formula (Section 5307) programs, all
of which may be used to leverage the limited (10%) planning and
administration funding under this program.

d.  [Tools and Strategies for Developing a Coordinated
    Plan]{.underline}. States and communities may approach the
    development of a coordinated plan in different ways. The amount of
    available time, staff, funding, and other resources should be
    considered when deciding on specific approaches. The following is a
    list of potential strategies for consideration.

    1.  [Community planning session]{.underline}. A community may choose
        to conduct a local planning session with a diverse group of
        stakeholders in the community. This session would be intended to
        identify needs based on personal and professional experiences,
        identify strategies to address the needs, and set priorities
        based on time, resources, and feasibility for implementation.
        This process can be done in one meeting or over several sessions
        with the same group. It is often helpful to identify a
        facilitator to lead this process. Also, as a means to leverage
        limited resources and to ensure broad exposure, this could be
        conducted in cooperation, or coordination, with the applicable
        metropolitan or statewide planning process.

    2.  [Self-assessment tool]{.underline}. *The Framework for Action:
        Building the Fully Coordinated Transportation System*, developed
        by FTA and available at www.unitedweride.gov, helps stakeholders
        realize a shared perspective and build a roadmap for moving
        forward together. The self-assessment tool focuses on a series
        of core elements that are represented in categories of simple
        diagnostic questions to help groups in States and communities
        assess their progress toward transportation coordination based
        on standards of excellence. There is also a *Facilitator's
        Guide* that offers detailed advice on how to choose an existing
        group or construct an ad hoc group. In addition, it describes
        how to develop elements of a plan, such as identifying the needs
        of targeted populations, assessing gaps and duplications in
        services, and developing strategies to meet needs and coordinate
        services.

    3.  [Focus groups]{.underline}. A community could choose to conduct
        a series of focus groups within communities that provides
        opportunity for greater input from a greater number of
        representatives, including transportation agencies, human
        service providers, and passengers. This information can be used
        to inform the needs analysis in the community. Focus groups also
        create an opportunity to begin an ongoing dialogue with
        community representatives on key issues, strategies, and plans
        for implementation.

    4.  [Survey]{.underline}. The community may choose to conduct a
        survey to evaluate the unmet transportation needs within a
        community and/or available resources. Surveys can be conducted
        through mail, e-mail, or in--person interviews. Survey design
        should consider sampling, data collection strategies, analysis,
        and projected return rates. Surveys should be designed taking
        accessibility considerations into account, including alternative
        formats, access to the internet, literacy levels, and limited
        English proficiency.

    5.  [Detailed study and analysis]{.underline}. A community may
        decide to conduct a complex analysis using inventories,
        interviews, GIS mapping, and other types of research strategies.
        A decision to conduct this type of analysis should take into
        account the amount of time and funding resources available, and
        communities should consider leveraging State and MPO resources
        for these undertakings.

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36. [PARTICIPATION IN THE COORDINATED PUBLIC TRANSIT-HUMAN SERVICES
    TRANSPORTATION PLANNING PROCESS]{.underline}. SAFETEA-LU requires
    recipients to certify that the coordinated plan was developed
    through a process that included representatives of public, private,
    and non-profit transportation and human services providers, and
    participation by members of the public. Note that the required
    participants include not only transportation providers but also
    providers of human services, and members of the public (e.g.,
    individuals with disabilities, older adults, and individuals with
    low incomes) who can provide insights into local transportation
    needs. It is important that stakeholders be included in the
    development and implementation of the local coordinated public
    transit-human services transportation plan. The following possible
    strategies facilitate appropriate inclusion:

    a.  [Adequate Outreach to Allow for Participation]{.underline}.
        Outreach strategies and potential participants will vary from
        area to area. Potential outreach strategies could include
        notices or flyers in centers of community activity, newspaper or
        radio announcements, e-mail lists, Web postings, and invitation
        letters to other government agencies, transportation providers,
        human services providers, and advocacy groups. Conveners should
        note that not all potential participants have access to the
        Internet and they should not rely exclusively on electronic
        communications. It is useful to allow many ways to participate,
        including in-person testimony, mail, e-mail, and teleconference.
        Any public meetings regarding the plan should be held in a
        location and time where accessible transportation services can
        be made available, and adequately advertised to the general
        public using techniques such as those listed above.
        Additionally, interpreters for individuals with hearing
        impairments and English as a second language and accessible
        formats (e.g., large print, Braille, electronic versions) should
        be provided as required by law.

    b.  [Participants in the Planning Process]{.underline}. A key
        provision of metropolitan and statewide planning under
        SAFETEA-LU is the requirement for consultation with an expansive
        list of stakeholders. There is significant overlap between the
        list of stakeholders identified under those provisions (e.g.
        private providers of transportation, representatives of transit
        users, and representatives of the disabled) and the
        organizations that should be involved in preparation of the
        coordinated plan.

The projects selected for funding under the Elderly Individuals and
Individuals with Disabilities (Section 5310), JARC, and New Freedom
programs must be "derived from a locally developed, coordinated public
transit-human services transportation plan" that was "developed through
a process that includes representatives of public, private, and
non-profit transportation and human services providers and participation
by members of the public." The requirement for developing the local
public transit-human services transportation plan is intended to improve
services for people with disabilities, older adults, and individuals
with low incomes. Therefore, individuals, groups and organizations
representing these target populations should be invited to participate
in the coordinated planning process. Consideration should be given to
including groups and organizations such as the following in the
coordinated planning process if present in the community:

1.  [Transportation partners]{.underline}:

    a.  Area transportation planning agencies, including MPOs, States,
        and local governments;

    b.  Public transportation providers (including ADA paratransit
        providers and agencies administering the projects funded under
        the FTA urbanized and non-urbanized programs);

    c.  Private transportation providers, including private
        transportation brokers, taxi operators, van pool providers, and
        intercity bus operators;

    d.  Non-profit transportation providers;

    e.  Past or current organizations funded under the JARC, the Elderly
        Individuals and Individuals with Disabilities (Section 5310)
        and/or New Freedom programs; and

    f.  Human service agencies funding, operating, and/or providing
        access to transportation services.

2.  [Passengers and advocates]{.underline}:

    a.  Existing and potential riders, including both general and
        targeted population passengers (individuals with disabilities,
        older adults, and people with low incomes);

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    a.  Protection and advocacy organizations;

    b.  Representatives from independent living centers; and

    c.  Advocacy organizations working on behalf of targeted
        populations.

3.  [Human service partners]{.underline}:

    a.  Agencies that administer health, employment, or other support
        programs for targeted populations. Examples of such agencies
        include but are not limited to Departments of Social/Human
        Services, Employment One-Stop Services; Vocational
        Rehabilitation, Medicaid, Community Action Programs (CAP),
        Agency on Aging (AoA); Developmental Disability Council,
        Community Services Board;

    b.  Non-profit human service provider organizations that serve the
        targeted populations;

    c.  Job training and placement agencies;

    d.  Housing agencies;

    e.  Health care facilities; and

    f.  Mental health providers.

4.  [Other]{.underline}:

    a.  Security and emergency management agencies;

    b.  Tribes and tribal representatives;

    c.  Economic development organizations;

    d.  Faith-based and community-based organizations;

    e.  Representatives of the business community (e.g. employers);

    f.  Appropriate local or State officials and elected officials; and

    g.  School districts.

Note: Participation in the planning process will not bar providers
(public or private) from bidding to provide services identified in the
coordinated plan. This planning process differs from the competitive
selection process, and it differs from the development and issuance of
an RFP as described in the Common Grant Rule (49 CFR part 18).

c.  [Levels of Participation]{.underline}. The suggested list of
    participants in part 3.b. above does not limit participation by
    other groups, nor require participation by every group listed.
    Communities will have different types of participants depending on
    population and size of community, geographic location, and services
    provided at the local level. It is expected that planning
    participants will have an active role in the development, adoption,
    and implementation of the plan. Participation may remain low even
    though a good faith effort is made by the lead agency to involve
    passengers, representatives of public, private, and non-profit
    transportation and human services providers, and others. The lead
    agency convening the coordinated planning process should document
    the efforts they utilized, such as those suggested in (a) above, to
    solicit involvement.

In addition, Federal, State, regional, and local policy makers,
providers, and advocates should consistently engage in outreach efforts
that enhance the coordinated process, because it is important that all
stakeholders identify the opportunities that are available in building a
coordinated system. To increase participation at the local levels from
human service partners, State DOT offices are encouraged to work with
their partner agencies at the State level to provide information to
their constituencies about the importance of partnering with human
service transportation programs and the opportunities that are available
through building a coordinated system.

d.  [Adoption of a Plan]{.underline}. As a part of the coordinated
    planning process, participants should identify the process for
    adoption of the plan. A strategy for adopting the plan could also be
    included in the designated recipient's Program Management Plan
    further described in Chapter VII.

FTA will not formally review and approve plans. The designated
recipient's grant application (see Appendix A) will document the plan
from which each project listed is derived, including the lead agency,
the date of adoption of the plan, or other appropriate identifying
information. This may be done by citing the section of the plan or page
references from which the project is derived.

37. [RELATIONSHIP TO OTHER TRANSPORTATION PLANNING
    PROCESSES]{.underline}.

    a.  [Relationship Between the Coordinated Planning Process and the
        Metropolitan and Statewide Transportation Planning
        Processes]{.underline}. The coordinated plan can either be
        developed separately from the metropolitan and statewide
        transportation planning processes and then incorporated into the
        broader plans, or be developed as a part of the metropolitan and
        statewide transportation planning processes. If the coordinated
        plan is not prepared within the broader process, there should be
        consistency between the coordinated planning process and
        metropolitan or statewide planning.

Projects identified in the coordinated planning process, and selected
for FTA funding through the competitive selection process must be
incorporated into both the TIP and STIP by the MPO in urbanized areas
with populations of 50,000 or more; and incorporated into the STIP for
nonurbanized areas under 50,000 in population.

The lead agency developing the coordinated plan should communicate with
the relevant MPOs or State planning agencies at an early stage in plan
development. States with coordination programs may wish to incorporate
the needs and strategies identified in local coordinated plans into
statewide coordination plans.

Depending upon the structure established by local decision-makers, the
coordinated planning process may or may not become an integral part of
the metropolitan or statewide transportation planning processes. State
and local officials should consider the fundamental differences in
scope, time horizon, and level of detail between the coordinated
planning process and the metropolitan and statewide transportation
planning processes. However, there are important areas of overlap
between the planning processes, as well. Areas of overlap represent
opportunities for sharing and leveraging resources between the planning
processes for such activities as: (1) needs assessments based on the
distribution of targeted populations and locations of employment
centers, employment-related activities, community services and
activities, medical centers, housing and other destinations; (2)
inventories of transportation providers/resources, levels of
utilization, duplication of service and unused capacity; (3) gap
analysis; (4) any eligibility restrictions; and (5) opportunities for
increased coordination of transportation services. Local communities may
choose the method for developing plans that best fits their needs and
circumstances.

b.  [Relationship Between the Requirement for Public Participation in
    the Coordinated Plan and the Requirement for Public Participation in
    Metropolitan and Statewide Transportation Planning]{.underline}.
    SAFETEA-LU strengthened the public participation requirements for
    metropolitan and statewide transportation planning. Title 49 USC
    Sections 5303(i)(5) and 5304(f)(3), as amended by SAFETEA-LU,
    require MPOs and States to engage the public and stakeholder groups
    in preparing transportation plans, TIPs, and STIPs. "Interested
    parties" include, among others, affected public agencies, private
    providers of transportation, representatives of users of public
    transportation, and representatives of individuals with low incomes.

MPOs and/or States may coordinate schedules, agendas, and strategies of
the coordinated planning process with metropolitan and statewide
planning in order to minimize additional costs and avoid duplication of
efforts. MPOs and States must still provide opportunities for
participation when planning for transportation related activities beyond
the coordinated public transit-human services transportation plan.

c.  [Cycle and Duration of the Coordinated Plan]{.underline}. At a
    minimum, the coordinated plan should follow the update cycles for
    metropolitan transportation plans (i.e., four years in air quality
    nonattainment and maintenance areas and five years in air quality
    attainment areas). However, communities and States may update the
    coordinated plan to align with the competitive selection process
    based on needs identified at the local levels. States, MPOs,
    designated recipients, and public agencies that administer or
    operate major modes of transportation should set up a cycle that is
    conducive to and coordinated with the metropolitan and statewide
    planning processes, to ensure that selected projects are included in
    the TIP and STIP, to receive funds in a timely manner.

d.  [Role of Transportation Providers that Receive FTA Funding Under the
    Urbanized and Other Than Urbanized Formula Programs in the
    Coordinated Planning Process]{.underline}. Recipients of Section
    5307 and Section 5311 assistance are the "public transit" in the
    public transit-human services transportation plan and their
    participation is assumed and expected. Further, Section 5307(c)(5)
    requires that, "Each recipient of a grant shall ensure that the
    proposed program of projects provides for the coordination of public
    transportation services...with transportation services assisted from
    other United States Government sources." In addition, Section
    5311(b)(2)(C)(ii) requires the Secretary of the U.S. Department of
    Transportation to determine that a State's Section 5311 projects
    "provide the maximum feasible coordination of public transportation
    service...with transportation service assisted by other Federal
    sources." Finally, under the Section 5311 program, States are
    required to expend 15% of the amount available to support intercity
    bus service. FTA expects the coordinated planning process to take
    into account human service needs that require intercity
    transportation.

CHAPTER VI

[PROGRAM MANAGEMENT AND ADMINISTRATIVE REQUIREMENTS]{.underline}

1.  [GENERAL]{.underline}. The basic grant management requirements for
    State and local governments are contained in the DOT regulations,
    \"Uniform Administrative Requirements for Grants and Cooperative
    Agreements to State and Local Governments,\" 49 CFR Part 18. The
    comparable U.S. DOT rule for private non-profit organizations is
    \"Uniform Administrative Requirements for Grants and Agreements with
    Institutions of Higher Education, Hospitals, and Other Non-Profit
    Organizations,\" 49 CFR Part 19. Parts 18 and 19 are collectively
    known as the "common rule," or the "common grant rule." The
    provisions of these rules apply except where inconsistent with
    Federal statutes or authorizing legislation.

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38. [PROGRAM ADMINISTRATIVE REQUIREMENTS]{.underline}. The common rule
    identifies three areas in which the administrative requirements for
    State designated recipients and their subrecipients which are public
    bodies may differ from Federal requirements for local government
    designated recipients: equipment management, procurement, and
    financial management systems. The basic intent in these areas is to
    shift the emphasis from national uniformity to uniformity of
    procedures and requirements within a State, in order to provide
    greater flexibility to the States in standardizing the management of
    related State and Federal programs. The three areas are discussed in
    detail later in this chapter. Part 18 permits States to pass down
    State procedures in these three areas to subrecipients which are
    public bodies. Part 19 does not allow States to pass down State
    procedures to subrecipients which are non-profit organizations.
    However, so long as the State procedures are not inconsistent with
    Part 19, the State may apply the same procedures for all its
    subrecipients. The State may use procedures which are more
    restrictive than Part 19, but State procedures may not be more
    permissive than Part 19. The basic intent of Part 19 is to establish
    nationally uniform procedures and requirements for private
    non-profit organizations that receive funds from multiple Federal
    agencies.

Designated recipients that are not States must follow the provisions in
49 CFR Part 18. Designated recipients must ensure that subrecipients
that are public or private providers of public transportation follow the
requirements of Part 18, and that subrecipients that are private
non-profit organizations follow the requirements of Part 19.

Unless an issue is specifically addressed in this circular or in other
FTA guidance specific to the JARC program, FTA Circular 5010.1C, \"Grant
Management Guidelines,\" including any changes thereto, which provides
guidance for other FTA programs, should be used as guidance for project
management issues not unique to JARC.

The designated recipient must enter into a written agreement with each
subrecipient stating the terms and conditions of assistance by which the
project will be undertaken and completed. If the designated recipient
allows other direct recipients, in small urban areas, to apply directly
to FTA for JARC funds that have been awarded through the competitive
process, the designated recipient will enter into a supplemental
agreement with each direct recipient. The supplemental agreement will be
generated in the direct recipients grant application to FTA and must be
electronically signed off on by the designated recipient.

39. [CAPITAL RESERVE ACCOUNTS]{.underline}. Recipients of JARC funded
    vehicles are permitted to establish capital reserve accounts to
    replace existing equipment as long as no FTA funds or proceeds from
    the sale or lease of FTA assisted property are placed in those
    accounts.

40. [EQUIPMENT MANAGEMENT.]{.underline}

    a.  [General]{.underline}. Under the common grant rule, States use,
        manage, and dispose of equipment acquired under a JARC grant in
        accordance with State laws and procedures. States are free to
        adopt the procedures established for other public body
        subrecipients or use them as a guide in developing State
        procedures for equipment use, management, and disposition, but
        are not required to do so. States may use the same procedures
        for private non-profit subrecipients as for public body
        subrecipients, so long as those procedures are consistent with
        49 CFR Part 19.

        Common grant rule procedures and requirements for designated
        recipients that are not States and their subrecipients are more
        explicit and can be found in 49 CFR 18.32.

    b.  [Vehicle Useful Life and Replacement Standards]{.underline}. In
        keeping with the intent of the common grant rule that States be
        given greater flexibility in managing and disposing of
        equipment, FTA elects not to apply to the State-administered
        Section 5311, 5310, JARC and New Freedom programs its policies
        regarding useful life standards for vehicles, vehicle
        replacement, or the requirement to use the straight line
        depreciation method for determining fair market value and FTA
        reimbursement. Instead, FTA holds States responsible for
        establishing and implementing their own rolling stock
        requirements for all categories of vehicles acquired under the
        5311, 5310, JARC or New Freedom programs. For these programs
        only, FTA permits State designated recipients to do the
        following:

        1.  Establish their own minimum useful life standards for
            vehicles;

        2.  Use their own procedures for determining fair market value;
            and

        3.  Develop their own policies and procedures for maintenance
            and replacement of vehicles. Maintenance requirements and
            insurance coverage must be adequate to protect the Federal
            interest in the vehicle within the useful life determined by
            the State.

            Designated recipients that are not a State must adhere to
            the vehicle useful life criteria that are detailed in FTA's
            Grant Management Circular, FTA. C. 5010.

    c.  [Disposition]{.underline}. States and their subrecipients should
        follow State laws and procedures for disposing of equipment.
        States are not required to return to FTA proceeds from the
        disposition of equipment, regardless of the fair market value at
        the time the equipment is sold, but should follow their own
        procedures regarding the use of proceeds, so long as the
        proceeds remain in use for JARC purposes. This blanket
        disposition instruction satisfies the provision of 49 CFR Part
        19 requiring private non-profit organizations to seek
        disposition instructions from the Federal awarding agency.

        All other designated recipients and their subrecipients must
        follow the disposition procedures established in Part 18 of the
        common rule at Section 18.32(e). Designated recipients are not
        required to return to FTA proceeds from the disposition of
        equipment where the fair market value of the per unit item being
        disposed of is less than \$5000.00 dollars. If the per unit fair
        market value exceeds \$5000.00 dollars, FTA will have the right
        to an amount calculated by multiplying the proceeds from the
        sale by FTA's share in the equipment.

41. [EQUIPMENT USE]{.underline}. FTA encourages maximum use of vehicles
    funded under the JARC program. Consistent with the requirements of
    49 CFR Parts 18 and 19, vehicles are to be used first for program
    related needs for which a JARC grant is made and then to meet other
    transportation needs of other Federal programs or project needs,
    providing that they do not interfere with the project activities
    originally funded. If the equipment is no longer needed for the
    original program or project, the equipment may be used in other
    activities currently or previously supported by a Federal agency.
    Vehicles may be used:

    a.  [For JARC Project and Program Purposes]{.underline}. The
        designated recipient must first use the equipment to deliver the
        JARC Program services or to carryout additional services that
        are a part of the locally developed coordinated plan. The
        recipient shall use the vehicle in the project or program for
        which it was acquired as long as needed, even if the project
        does not continue to receive Federal funding.

    b.  [For other Federal Programs or Project Purposes]{.underline}.
        During the period the vehicle is used to serve the project or
        program needs for which it was acquired, the designated
        recipient or subrecipient shall make it available for use on
        other projects or programs, as long as such other use does not
        interfere with the service for which the vehicle was originally
        acquired. First preference for such other use will be given to
        other projects or programs sponsored by FTA, and second
        preference will be given to projects or programs previously or
        currently sponsored by other Federal agencies.

    c.  [When No Longer Needed for Original Project or Program
        Purposes]{.underline}. If the original subrecipient no longer
        needs the vehicle for the purposes for which it was acquired,
        the designated recipient may choose to keep the vehicle in use
        for JARC program purposes by transferring the vehicle to another
        subrecipient. The transfer may be shown in the program of
        projects for any active grant. It does not have to be in the
        grant under which the equipment or property was originally
        funded. Once the vehicle is no longer needed for JARC program
        purposes, the vehicle may be used first in connection with other
        FTA-sponsored activities, and then for activities sponsored by
        other Federal agencies.

In addition, Section 5334(h), parts (1) through (3), allows facilities
and equipment and other assets (including land) which are no longer
needed for the purposes for which they were acquired to be transferred
to any public body to be used for any public purpose with no further
obligation to the Federal government, if authorized by the Secretary.

42. [TITLE TO VEHICLES]{.underline}. Designated recipients responsible
    for administering JARC funds may hold title to vehicles purchased
    with JARC funds, or title may be held by a subrecipient. If the
    designated recipient holds title, contractual arrangements must be
    made to ensure that the subrecipient maintains continuing control
    over the vehicle to carry out project purposes. In certain cases, it
    may be beneficial for subrecipients to include other State or local
    governmental entities in the title to vehicles in order to take
    advantage of blanket insurance rates or to participate in bulk
    purchases of fuel, maintenance and supplies available to those
    governmental entities. The designated recipient may, in its
    discretion, permit this practice if it results in a direct benefit
    to the recipient in providing special service, provided that the
    subrecipient maintains continuing control over the vehicle and the
    vehicle continues to be used for its authorized purposes. In such
    instances, the parties involved should enter into written agreements
    assuring the requisite safeguards and control. In addition, either
    the designated recipient or the subrecipient must hold title,
    consistent with this paragraph, to any vehicles leased to public
    bodies or to private for-profit organizations.

43. [SATISFACTORY CONTINUING CONTROL AND RESPONSIBILITY]{.underline}.
    When capital equipment or facilities are acquired, built, or
    improved, provisions must be made to assure satisfactory continuing
    control of that capital equipment and facilities. While the
    designated recipient may delegate these responsibilities to a
    subrecipient, the designated recipient is ultimately responsible for
    compliance with this requirement.

44. [PROCUREMENT]{.underline}.

    a.  [General]{.underline}. When procuring property, supplies,
        equipment or services under an FTA grant, the State will follow
        the same policies and procedures it uses for procurements from
        its non-Federal funds, to the extent permitted by Federal
        statutes and regulations. While the Federal threshold for small
        purchases is currently \$100,000, the State may set a lower
        threshold for itself and its subrecipients. All public body
        subrecipients follow State procurement procedures. However,
        because of differences between 49 CFR Part 18 and 49 CFR Part
        19, FTA third party contracting requirements are fewer for
        States and subrecipients that are local or tribal governments
        than for subrecipients that are private non-profit
        organizations. For the sake of consistency, the State may choose
        to use the more detailed FTA requirements included in FTA
        Circular 4220.1E for all subrecipients as part of its State
        procurement procedures.

In some cases, a State may choose to grant JARC assistance to a
subrecipient through an intermediary subrecipient. For example, for
public policy reasons, the State might pass funds to a non-profit
organization through a local public body. The arrangement between the
first tier and second tier subrecipient is not a third party contract if
the ultimate subrecipient would otherwise be eligible under JARC to
receive funds directly from the State and the ultimate subrecipient
intends to use those funds to pursue its own JARC project.

Each recipient of FTA seeking Federal assistance to acquire property or
services in support of its proposed project is requested to certify to
FTA, in accordance with 49 CFR Part 18.36(g)(3)(ii) that its
procurements and procurement system will comply with all applicable
third-party procurement provisions of Federal laws, regulations, and
directives, except to the extent FTA has expressly approved otherwise in
writing. Any applicant that fails to provide this certification may be
determined ineligible for award of Federal assistance if FTA determines
that its procurement practices and procurement system are incapable of
compliance with Federal laws, regulations and directives governing
procurements financed with FTA assistance.

Procurement procedures used by States and their subrecipients, however,
must comply with the following specific Federal procurement
requirements:

1.  [States]{.underline}. State procurement practices must at a minimum
    comply with five specific Federal requirements contained in FTA
    Circular 4220.1E. These include, for rolling stock, a five year
    limitation on contract period of performance, a requirement for full
    and open competition, a prohibition against geographic preferences,
    the use of Brooks Act procedures for procurement of architectural
    and engineering services if the State has not adopted a statute
    governing procurement of such services, and inclusion in contracts
    of all Federal clauses required by Federal statutes and Executive
    Orders and their implementing regulations. These clauses are
    identified in specific Federal regulations cited in FTA\'s Master
    Agreement incorporated by reference into the grant agreement.
    Additional technical assistance for third party contracting is
    available in FTA\'s \"Best Practices Procurement Manual," which can
    be found online at http://www.fta.dot.gov/ftahelpline/index.htm.

    a.  [Subrecipients that are Public Entities]{.underline}.
        Subrecipients that are public entities such as local or Indian
        tribal governments must comply with the same Federal
        requirements governing State procurements. States are
        responsible for ensuring that subrecipients are aware of and
        comply with Federal requirements.

    b.  [Subrecipients that are Private Non-profit
        Organizations]{.underline}. Subrecipients that are private
        non-profit organizations must comply with FTA procurement
        requirements contained in FTA Circular 4220.1E. States are
        responsible for ensuring that private non-profit subrecipients
        are aware of and comply with these additional requirements.

    c.  [Subrecipients that are Private, For-profit
        Organizations]{.underline}. Subrecipients that are private
        for-profit organizations must comply with FTA procurement
        requirements contained in FTA Circular 4220.1E for procurements
        conducted with Federal funds. States are responsible for
        ensuring that private for-profit subrecipients are aware of and
        comply with these additional requirements.

2.  [Designated Recipients That Are Not States]{.underline}. Other
    recipients and their subrecipients must comply with the FTA
    procurement requirements at 49 CFR Part 18 and guidance contained in
    FTA Circular 4220.1E.

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b.  [Pre-Award and Post-Delivery Reviews]{.underline}. Procurements for
    vehicles, other than sedans or unmodified vans, must be audited in
    accordance with FTA regulation, \"Pre-Award and Post-Delivery Audits
    of Rolling Stock Purchases,\" 49 CFR Part 663. Additional guidance
    is available in a manual, \"Conducting Pre-Award and Post-Delivery
    Reviews for Bus Procurement,\" published May 1, 1995. The regulation
    requires any recipient or subrecipient that purchases rolling stock
    for use in revenue service with funds obligated after October 24,
    1991, to conduct a pre-award and post delivery review to assure
    compliance with its bid specifications, Buy America requirements,
    and Federal motor vehicle safety requirements, and to complete
    specific certifications. Purchase of more than 20 vehicles for use
    in areas under 200,000 in population (more than 10, for large urban
    areas), other than unmodified vans or sedans, requires in-plant
    inspection. In the case of consolidated procurements on behalf of
    multiple subrecipients, the in-plant inspection requirement is
    triggered only if any single subrecipient will receive more than 20
    vehicles in a large urban area. See Chapter VIII, Part 9 for more
    details.

c.  [New Model Bus Testing]{.underline}. Any new bus models must be
    tested at the FTA sponsored test facility in Altoona, Pennsylvania,
    before FTA funds can be expended to purchase them (49 CFR Part 665).
    This requirement applies to all buses and modified vans procured
    with FTA funds. It does not apply to unmodified vans, including vans
    with raised roofs or lifts installed in strict conformance with the
    original equipment manufacturer modification guidelines. A new model
    is defined as a model that has not been used in public
    transportation service in the United States before October 1, 1988,
    or a model that has been used in such service but which, after
    September 30, 1988, is being produced with a major change in
    configuration or components. A major change in \"configuration\" is
    defined as a change which may have a significant impact on vehicle
    handling and stability or structural integrity. A major change in
    \"components\" is defined as a change in one or more of the
    vehicle\'s major components such as the engine, transmission,
    suspension, axle, or steering.

Purchasers of new model buses should ensure that the manufacturer has
complied with the testing requirement by requesting a copy of the bus
testing report from the Altoona Bus Research and Testing Center, 2237
Old Route 220 North, Duncansville, PA 16635. The Center's telephone
number is (814) 695-3404. Bus testing reports may also be downloaded
from the Bus Testing Database at www.altoonabustest.com. This Web site
also offers users the ability to search, filter, display, and export
selected data from tested buses. Before expending any FTA funds for a
new model bus, the purchaser must certify that it has obtained a copy of
the official bus testing report. Information in the reports may be
useful to operators throughout the vehicle procurement process,
particularly when writing specifications.

d.  [Buy America]{.underline}. 49 U.S.C. 5323(j) provides that, with
    exceptions, Federal funds may not be obligated for mass
    transportation projects unless steel, iron, and manufactured
    products used in such projects are produced in the United States.
    JARC designated recipients and subrecipients must conform with FTA
    regulations, 49 CFR Part 661, and any amendments thereto. Buy
    America requirements apply to all purchases, including materials or
    supplies funded as operating costs, if the purchase exceeds the
    threshold for small purchases (currently \$100,000).

SAFETEA-LU continued the provision which allows a manufacturer or
supplier to correct an incomplete certification or a certification of
noncompliance after bid opening under certain circumstances if
submission of the incorrect certification was the result of an
inadvertent or clerical error. In addition, SAFETEA-LU added a provision
that allows a party adversely affected by an FTA action the right to
seek review (49 U.S.C. 5323(j)(9)).

e.  [Debarment and Suspension]{.underline}. The purpose of the so-called
    \"integrity\" certification (which is required of the State as
    primary grantee, and the second tier certification required of
    subrecipients and contractors receiving more than \$25,000) is to
    ensure that JARC funds are not given to anyone who has been
    debarred, suspended, ineligible, or voluntarily excluded from
    participation in federally-assisted transactions. The U.S. General
    Services Administration (GSA) issues a document titled, \"Lists of
    Parties Excluded from Federal Procurement or Nonprocurement
    Programs\" monthly. The list is available on the GSA Web site at
    http//www.gsa.gov/index. The burden of disclosure is on those
    debarred or suspended to identify their status. If at any time the
    grantee or other covered entity learns that a certification it made
    or received was erroneous when submitted, or if circumstances have
    changed, disclosure to FTA is required. U.S. DOT has issued
    implementing regulations at 49 CFR part 29.

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45. [FINANCIAL MANAGEMENT]{.underline}.

    a.  [Financial Management Systems]{.underline}.

        1.  [Designated recipients that are States]{.underline}. The
            common grant rule requires a designated recipient that is a
            State to expend and account for grant funds in accordance
            with State laws and procedures for expending and accounting
            for its own funds. Fiscal control and accounting procedures
            of the State, as well as its subrecipients and cost-type
            contractors must be sufficient to:

            a.  Permit preparation of reports described in this circular
                and reports necessary to comply with other program and
                statutory requirements; and

            b.  Permit the tracing of funds to a level of expenditures
                adequate to establish that such funds have not been used
                in violation of the restrictions and prohibitions
                applicable to the program.

Private non-profit subrecipients must comply with the standards for
financial management systems provided in 49 CFR Part 19. If States
purchase vehicles and equipment for subrecipients and subrecipients
receive no cash, this requirement does not apply.

2.  [Designated recipients that are not States]{.underline}. The
    Financial management system for designated recipients that are not
    States must meet the standards set forth in Section 18.20(b) of the
    common grant rule. These standards include:

    a.  [Financial reporting]{.underline}. Accurate, current, and
        complete disclosure of the financial results of
        financially-assisted activities must be made in accordance with
        the financial reporting requirements of the designated recipient
        or subrecipient.

    b.  [Accounting records]{.underline}. Designated recipients and
        subrecipients must maintain records which adequately identify
        the source and application of funds provided for financially
        assisted activities. These records must contain information
        pertaining to designated recipient or subrecipient awards and
        authorizations, obligations, unobligated balances, assets,
        liabilities, outlays or expenditures, and income.

    c.  [Internal control]{.underline}. Effective control and
        accountability must be maintained for all designated recipient
        and subrecipient cash, real and personal property, and other
        assets. Designated recipients and subrecipients must adequately
        safeguard all such property and must assure that it is used
        solely for authorized purposes.

    d.  [Budget control]{.underline}. Actual expenditures or outlays
        must be compared with budgeted amounts for each designated
        recipient or subrecipient. Financial information must be related
        to performance or productivity data, including the development
        of unit cost information whenever appropriate or specifically
        required in the designated recipient or subrecipient agreement.
        If unit cost data are required, estimates based on available
        documentation will be accepted whenever possible.

    e.  [Allowable cost]{.underline}. Applicable OMB cost principles,
        agency program regulations, and the terms of designated
        recipient and subrecipient agreements will be followed in
        determining the reasonableness, allowability, and allocability
        of costs.

    f.  [Source documentation]{.underline}. Accounting records must be
        supported by such source documentation as cancelled checks, paid
        bills, payrolls, time and attendance records, contract and
        subrecipient award documents, etc.

    g.  [Cash management]{.underline}. Procedures for minimizing the
        time elapsing between the transfer of funds from the U.S.
        Treasury and disbursement by designated recipients and
        subrecipients must be followed whenever advance payment
        procedures are used. Designated recipients must establish
        reasonable procedures to ensure the receipt of reports on
        subrecipients\' cash balances and cash disbursements in
        sufficient time to enable them to prepare complete and accurate
        cash transactions reports to the awarding agency. When advances
        are made by letter-of-credit or electronic transfer of funds
        methods, the designated recipient must make drawdowns as close
        as possible to the time of making disbursements. Designated
        recipients must monitor cash drawdowns by their subrecipients to
        assure that they conform substantially to the same standards of
        timing and amount as apply to advances to the designated
        recipients.

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b.  [FTA Payment Procedures]{.underline}. FTA makes all payments by
    electronic funds transfer, regardless of the dollar amount involved.
    Payments are made under the Electronic Clearing House Operation Web
    (ECHO-Web) system, by means of a control number assigned to the
    State. The State agrees to comply with the ECHO-Web requirements
    contained in the Treasury Regulations, 31 CFR Part 205, \"Rules and
    Procedures for Funds Transfers,\" and as established by the
    \"Guidelines for Disbursements\" set forth in FTA\'s ECHO-Web system
    operations manual. Detailed information about ECHO-Web and ECHO-Web
    can be found in Appendix A. In general:

    1.  The designated recipient may initiate cash drawdowns only when
        actually needed for immediate disbursements for project
        purposes. The designated recipient must disburse the funds drawn
        down according to their Treasury-State Agreement or Subpart B of
        31 CFR Part 205. The designated recipient's access to the
        ECHO-Web system may be revoked or suspended, or other remedies
        may be invoked, if the designated recipient fails to expend the
        Federal funds within a reasonable period, to return the funds to
        FTA within a reasonable period, or is unwilling or unable to
        establish procedures that will minimize the time elapsing
        between cash advances and the disbursement.

    2.  Costs incurred and available balances are reported annually on
        an accrual basis, on the Financial Status Report in FTA\'s
        Transportation Electronic Award and Management (TEAM) System.

    3.  The designated recipient agrees to provide for control and
        accountability for all project funds consistent with Federal
        requirements and procedures for use of the ECHO-Web system.

    4.  The designated recipient may not draw down funds for a project
        in an amount that would exceed the sum obligated by FTA or the
        current available balance for that project.

    5.  The designated recipient shall limit drawdowns to eligible
        project costs and ensure that subrecipients also follow
        applicable financial requirements.

c.  [Financial Records]{.underline}. FTA does not maintain detailed
    financial records on individual projects within a program of
    projects. Financial records, supporting documentation, and all other
    records pertinent to a designated recipient must be retained by the
    designated recipient (and its subrecipients) and must be made
    readily available to authorized representatives of the U.S.
    Department of Transportation and the Comptroller General of the
    United States for a period of three years from the date the State
    electronically submits the final Financial Status Report (SF-269A).
    If any litigation, claim or audit is started before the expiration
    of the three-year period, the records must be retained beyond three
    years, until all litigation, claims, or audit findings involving the
    records have been resolved.

The designated recipient's financial records should adequately document
the computation of the Federal share and the provision of the required
local share for each kind of project. The eligibility of any ADA, clean
air, or bicycle projects for which the increased Federal share is
claimed should be adequately documented.

46. [ALLOWABLE COSTS]{.underline}. OMB Circular A-87 provides the
    Federal guidelines for allowable costs for recipients which are
    public bodies. OMB Circular A-122 provides comparable guidance for
    non-profit organizations. Expenses such as indirect costs or
    payments to a self-insurance fund must be documented appropriately.
    The restrictions on advertising and public relations in A-87,
    Attachment B, Section 2 permit advertising and public relations for
    \"specific purposes necessary to meet the requirements of the
    Federal award.\" Similar provisions are also contained in A-122,
    Attachment B, Section 1. Transit marketing and promotion are
    allowable project costs under these provisions, since transit
    ridership is the ultimate purpose of the Federal designated
    recipient.

47. [CLOSEOUT]{.underline}. Designated recipients should initiate
    project closeout with subrecipients within 90 days after all funds
    are expended and all work activities for the project are completed.
    The designated recipient should similarly initiate program of
    project closeout with FTA within 90 days after all work activities
    for the program of projects are completed. A final Financial Status
    Report (SF 269A), final budget and final program of projects are
    required to be submitted electronically via the TEAM system at the
    time of closeout.

FTA expects grants awarded for a specific program of projects to be
completed within a reasonable, specified time frame, generally not to
exceed two to three years. If small amounts of funds remain in an
inactive grant, the designated recipient should request that the funds
be deobligated and the project closed out. If the deobligated funds are
still within their period of availability, FTA can reobligate the funds
in a new grant to the designated recipient along with other currently
available funds. Otherwise the deobligated funds lapse to the designated
recipient and are reapportioned by FTA among all the recipients in the
population category of the designated recipient in a subsequent year.

48. [AUDIT]{.underline}. Designated recipients are responsible for:
    ensuring that audits are performed pursuant to the requirements of
    OMB Circular A-133, \"Audits of State and Local Governments;\"
    resolving audit findings; and bringing problems to FTA\'s attention.
    OMB has issued an audit compliance supplement for JARC grants. FTA
    has not required an annual financial audit of a subrecipient when
    assistance is provided solely in the form of capital equipment
    procured directly by the designated recipient. Even if the amount of
    FTA funds the designated recipient passes to a particular
    subrecipient does not trigger the requirement for an A-133 audit,
    the designated recipient may wish to review A-133 audit reports
    prepared for subrecipients that are required to be audited because
    the total Federal funds from all sources exceed the threshold
    (currently \$500,000). At a minimum designated recipients should
    require subrecipients to bring to the attention of the designated
    recipient any audit findings relevant to their use of FTA funds.

49. [REAL PROPERTY]{.underline}. Real property acquisition standards are
    included in FTA Circular 5010.1C, \"Grant Management Guidelines\"
    and in Chapter VIII, "Other Provisions." Subrecipients of a State
    may use the State\'s staff appraisers to prepare required
    independent appraisals.

50. [CONSTRUCTION MANAGEMENT AND OVERSIGHT]{.underline}. The
    responsibility for construction management and oversight lies with
    the designated recipient. FTA does not approve design plans for
    construction projects by subrecipients.

51. [REPORTING REQUIREMENTS]{.underline}.

    a.  [Annual Program of Projects Status Reports.]{.underline} By
        October 31 each year, the designated recipient in small urban
        and rural areas should submit to FTA a program status report for
        each active grant, covering the 12-month period ending
        September 30. Designated recipients in large urban areas must
        submit quarterly status reports. Status reports are intended to
        meet minimal program information needs at the regional and
        national levels. Reports should include an updated program of
        projects for each approved grant which contains active projects.
        The updated program of projects should reflect project
        descriptions, changes in projects from one category to another,
        and adjustments if applicable. The updated program of projects
        can be attached in the electronic status report. If revisions to
        the program of projects result in changes to the line item
        budget for the grant, these changes should be submitted as
        budget revisions. Significant civil rights compliance issues
        occurring during the year (such as Title VI, EEO, or DBE
        complaints against the State or subrecipients) should be
        addressed in the annual status report. In addition, the
        designated recipient may report notable accomplishments or
        problems involving JARC subrecipients.

    b.  [Milestone Activity Reports]{.underline}. For activity line
        items for which milestones were required at the time of
        designated recipient application (for example, for vehicle
        procurements, construction projects, and program reserve), the
        designated recipient should enter revised milestone dates as
        part of the report. If the estimated completion date for the
        grant has changed, the revised date should be entered, with an
        explanation as to why the date has changed.

    c.  [Financial Status Report]{.underline}. The designated recipient
        must submit electronically an annual Financial Status Report for
        each active grant, for the period ended September 30. For the
        purpose of this report, funds are considered encumbered when
        agreements are signed with subrecipients. Reports should be
        prepared using the accrual method of accounting.

    d.  [Program Measures]{.underline}. FTA is interested in capturing
        overall program measures to be used with the Government
        Performance Results Act and the Performance Assessment Rating
        Tool process for the U.S. Office of Management and Budget. The
        following indicators are targeted to capture program information
        as part of the Annual Report that each grantee submits to
        FTA. Designated recipients should submit both quantitative and
        qualitative information as available on each of the following
        indicators:

        1.  Increase in access to jobs related to geographic coverage
            and/or service times that impact the availability of
            transportation services for low income individuals as a
            result of the JARC projects implemented in the current
            reporting year.

        2.   Number of rides provided for low income individuals as a
            result of the JARC projects implemented in the current
            reporting year.

The designated recipient should ensure that the necessary information is
reported for all subrecipients of JARC funding in projects selected by
the designated recipient, including those that were transferred to
Section 5307 or 5311 for administration. The designated recipient may
consolidate information for all projects in the annual report for any
open JARC grant awarded to the designated recipient. If JARC funds have
been awarded to other direct recipients pursuant to a supplemental
agreement with the designated recipient, that direct grantee may report
on behalf of itself and any subrecipients. 

In addition, FTA will conduct independent evaluations of the program
focused on specific data elements in order to better understand the
implementation strategies and related outcomes associated with the
program.

e.  [Disadvantaged Business Enterprise (DBE) Reports]{.underline}. If
    the recipient receives planning, capital, and/or operating
    assistance and will award prime contracts exceeding \$250,000 in FTA
    funds in a fiscal year, DOT regulations require the recipient have a
    DBE program. All subrecipients that receive planning, capital,
    and/or operating assistance and will award prime contracts exceeding
    \$250,000 in FTA funds in a fiscal year must also have a DBE
    program. FTA recipients who meet the thresholds above must submit a
    DBE program goal to FTA for review by August 1^st^ of each year.
    Detailed requirements are described in Chapter VIII, "Other
    Provisions."

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52. [Management Plan]{.underline}. The State Management Plan (SMP) is a
    document which describes the State\'s policies and procedures in
    administering the JARC program. The SMP required for the JARC, New
    Freedom, Section 5311 and 5310 programs may be included in the same
    document. All States are required to have an approved SMP on file in
    the FTA regional office. Additions or amendments to the SMP must be
    made and submitted to FTA whenever a State significantly changes its
    management of the program, or when new program management
    requirements are imposed by FTA. Changes may be required as the
    result of a State management review by FTA. Guidance on the contents
    of the SMP is included in Chapter VII, State Management Plan.

Designated recipients that are not States must also have a Program
Management Plan (PMP). This plan can be one plan for both the JARC and
New Freedom Programs and should adhere to the "Management Plan"
provisions laid out in Chapter VII below.

53. [Management Review]{.underline}. FTA\'s administration of JARC
    results in relatively little Federal involvement in the day-to-day
    program activities or in the review of individual applications from
    subrecipients. In order to ensure that the program objectives are
    being carried out, the FTA regional office, with contractor
    assistance, conducts periodic State management reviews every three
    years or as circumstances warrant. The review includes an inspection
    of documentation on file at the regional office, a visit to the
    State offices to examine the procedures the State uses in
    administering the program, and local site visits. The review
    assesses the accuracy and adequacy of the SMP, and may result in
    recommendations for changes to the SMP. A draft report with
    preliminary findings is presented at an exit conference. The State
    has an opportunity to comment on the report and to take corrective
    actions before a final report is issued. The regional office follows
    up on corrective actions required in the final report.

FTA periodically conducts State Management Review seminars to help
States understand the Federal requirements being reviewed and to provide
technical assistance. Contact the regional office for a current schedule
of seminars.

FTA management of other designated recipients will occur through the
monitoring of grant progress and activities by FTA regional offices and
from the triennial reviews that are conducted by FTA's Office of
Oversight on designated JARC recipients that also receive Section 5307
funding. Designated recipients that are not a State or a Section 5307
recipient may be subjected to periodic spot reviews that include: an
inspection of documentation on file at the regional office, a visit to
the designated recipients' offices to examine the procedures used in
administering the program, and local site visits. The review assesses
the accuracy and adequacy of the Program Management Plan (PMP), and may
result in recommendations for changes to the PMP. A draft report with
preliminary findings is presented at an exit conference. The designated
recipient has an opportunity to comment on the report and to take
corrective actions before a final report is issued.

54. [Other FTA Reviews]{.underline}. FTA also conducts more specific
    compliance reviews in particular areas, for example financial
    management, procurement, drug and alcohol testing compliance, and
    the various aspects of civil rights compliance, usually in response
    to a risk assessment or other indication of a possible problem.
    Reviews of subrecipients are coordinated with the State or
    designated recipient.

#  {#section-3}

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# Chapter VII

#  {#section-4}

# [State and Program Management Plans]{.underline}

1.  [GENERAL]{.underline}. The State Management Plan (SMP) is a document
    that describes the State's policies and procedures for administering
    FTA's Section 5310 and 5311 programs and the State-managed portions
    of FTA's JARC and New Freedom programs. Section 5310 and 5311 are
    entirely State-managed programs while JARC and New Freedom are
    managed in part by the State and in part by the designated
    recipients in large urbanized areas (over 200,000 in population).
    The Program Management Plan (PMP) is a document that describes the
    designated recipient's policies and procedures for administering
    FTA's JARC and New Freedom programs in a large urbanized area. The
    requirements for the PMP are the same as those for the SMP with the
    exception that the PMP is developed by designated recipients in
    large urbanized areas and pertains only to the JARC and New Freedom
    programs.

Each designated recipient is required to have an approved SMP/PMP on
file with the appropriate FTA regional office and to update it regularly
to incorporate any changes in program management or new requirements.
The designated recipient should seek public comment when it revises the
plan significantly. Certain contents of the SMP/PMP, such as the project
selection criteria, should be coordinated with the statewide
transportation plan. SMPs and PMPs for Section 5310, 5311, JARC and New
Freedom programs may be included in a single document. FTA Order 1365.1,
\"Accessible Format Policy,\" requires that all public documents
developed under a grant from FTA be prepared and submitted in electronic
format. The requirements for the State and/or Program Management Plan
appear below.

55. [PURPOSE]{.underline}. The SMP/PMP is intended to facilitate both
    designated recipient management and FTA oversight by documenting the
    State's and designated recipient\'s procedures and policies for
    administering the Section 5310, JARC and New Freedom programs. The
    SMP/PMP should be a document which is useful to the designated
    recipient and subrecipients, as well as to FTA. At a minimum, this
    document must include the designated recipient\'s program
    objectives, policies, procedures, and administrative requirements,
    in a form readily accessible to potential local subrecipients,
    designated recipient staff, FTA, and the public. The SMP/PMP\'s
    primary purposes are to serve as the basis for FTA to perform
    designated recipient-level management reviews of the program, and to
    provide public information on the designated recipient\'s
    administration of the Section 5310, JARC and New Freedom programs.
    It may also be used internally by the designated recipient as a
    program guide for local project applicants. If the designated
    recipient has relevant documentation that provides the same
    information requested for the SMP/PMP, that documentation may be
    included by reference, as an attachment.

56. [MANAGEMENT PLAN REVIEWS]{.underline}. FTA conducts State management
    reviews to examine each State's management procedures, and the
    relationship of the procedures to the SMP. When a State management
    review is scheduled, FTA and its contractors examine the SMP on file
    as part of a desk review at the regional office to determine whether
    the procedures in the SMP satisfy current requirements. At the site
    visit, the reviewers document whether or not the State is following
    its own stated procedures. Review findings relating to the SMP might
    include recommendations that the State revise the SMP to reflect its
    actual procedures, or that it change its procedures and document
    them in revisions to the SMP. In the case of designated recipients
    that are Section 5307 recipients, the PMP will be reviewed during
    triennial reviews (see Chapter VI, Part 17 for more information).

57. [MANAGEMENT PLAN CONTENT]{.underline}. While there is no prescribed
    format for the SMP/PMP, the plan should address the following topics
    and provide the information as requested for each topic below:

    a.  [Program Goals and Objectives]{.underline}. Describe the
        philosophy and policy underlying the designated recipient\'s
        management of the Section 5310, JARC and New Freedom programs.
        Include a description of any process which exists for
        establishing long-term goals for providing transportation
        service to low income individuals in the designated recipient's
        service area.

    b.  [Roles and Responsibilities]{.underline}. Specify the agency
        designated by the Chief executive officer of the State to
        administer the Section 5310, JARC and New Freedom programs. The
        respective roles and responsibilities of the designated
        recipient agency and its subdivisions, other designated
        recipient agencies or review boards, local governments, private
        providers, local applicants, and other involved parties should
        be clearly explained.

    c.  [Coordination]{.underline}. Describe how the designated
        recipient coordinates with other agencies at the designated
        recipient level and encourages and enhances coordination at all
        levels of service. This could include a description of any
        designated recipient level coordinating mechanisms, legislation,
        review boards, and designated recipient policies that encourage
        or mandate coordination at other levels.

    d.  [Eligible Subrecipients]{.underline}. Describe which entities
        are eligible to apply for funds, and describe any designated
        recipient eligibility requirements that are more restrictive
        than Federal eligibility requirements.

    e.  [Local Share and Local Funding Requirements]{.underline}.
        Describe any designated recipient policies on provision of local
        matching share. Include a description of any programs which
        provide matching funds for FTA programs.

    f.  [Project Selection Criteria and Method of Distributing
        Funds]{.underline}. Describe the designated recipient\'s
        criteria for selecting projects and distributing funds among
        various applicants. Whether the designated recipient imposes its
        own limitations on use of the funds, or uses an entirely
        discretionary selection process, the policy rationale and the
        methods used should be explained. This description should cover
        the designated recipient\'s procedures for (1) assuring equity
        of distribution of benefits among eligible groups, as required
        by Title VI of the Civil Rights Act; (2) assuring that projects
        were selected from a locally developed coordinated plan; and (3)
        documenting evidence that the local coordinated plan was
        developed in cooperation with stakeholders, including
        individuals with low incomes.

    g.  [Annual Program of Projects Development and Approval
        Process]{.underline}. The designated recipient\'s process and
        timetable for soliciting, reviewing, and approving applications
        for local projects to be included in the designated recipient\'s
        annual program of projects should be described. Instructions to
        potential subrecipients on how to prepare local project
        applications may be included.

    h.  [Administration, Planning and Technical Assistance]{.underline}.
        Describe how the designated recipient uses JARC funds within the
        10% limitation for administration, planning, and technical
        assistance. Also describe additional resources including
        planning, technical, management assistance the designated
        recipient makes available to local areas and/or subrecipients.

    i.  [Transfer of Funds]{.underline}. Describe any policy the
        designated recipient has for transfer of JARC funds to Section
        5311 or 5307 programs, and for transfer of flexible funds.

    j.  [Private Sector Participation]{.underline}. Describe the
        designated recipient\'s procedures for providing for maximum
        feasible participation by private providers of public
        transportation.

    k.  [Civil Rights]{.underline}. Describe how the designated
        recipient meets Federal civil rights requirements and monitors
        subrecipients to ensure compliance with the requirements of
        Title VI, EEO, and DBE. The designated recipient management plan
        must include the program-specific Title VI requirements detailed
        in Chapter VIII, 11.b.(1)-(5), including the designated
        recipient\'s efforts to assist minority applicants and to
        include subrecipients serving significant minority populations.
        (Inclusion in the designated recipient management plan may
        satisfy certain requirements for one-time submissions in the
        civil rights areas.)

    l.  [Section 504 and ADA Reporting]{.underline}. Describe the
        designated recipient\'s method for monitoring subrecipients\'
        compliance with Section 504 and ADA regulations and for
        processing the plans, reports and certifications submitted to it
        under the provisions of those regulations.

    m.  [Designated Recipient Program Management]{.underline}. Describe
        how the designated recipient administers its program management
        responsibilities in such areas as procurement, financial
        management, property management, vehicle use, maintenance and
        disposition, accounting systems, audit and close-out. In
        addition, include any designated recipient procedures for
        management or financial reviews and project monitoring or
        on-site reviews. Describe any standards set by the designated
        recipient for matters such as productivity, cost-effectiveness,
        or service standards. Detail any designated recipient reporting
        requirements.

    n.  [Other Provisions]{.underline}. Describe the process by which
        the designated recipient complies with other Federal
        requirements such as environmental protection, Buy America
        provisions, pre-award and post-delivery reviews, restrictions on
        lobbying, prohibition on exclusive school transportation, and
        Drug and Alcohol Testing.

58. [MANAGEMENT PLAN REVISIONS]{.underline}. All designated recipients
    must have an SMP/PMP approved by FTA on file with the FTA regional
    office. An approved SMP/PMP remains valid until FTA approves a later
    plan submitted by the designated recipient, or an FTA designated
    recipient management review results in a specific request for a
    revised SMP/PMP, or when significant new program documentation
    requirements are announced by FTA. The designated recipient is
    strongly encouraged to issue timely revisions to the SMP/PMP,
    particularly when information helpful to minority applicants,
    subrecipients, and third party contractors is involved. When major
    changes to the SMP/PMP are proposed, the designated recipient should
    give an opportunity to comment at the minimum to potential
    subrecipients of assistance, potential service providers, other
    designated recipient agencies and representatives of other funding
    sources, and any relevant designated recipient associations and
    professional organizations.

If revisions are substantive, but not pervasive, the designated
recipient may submit changes and additions in the form of page changes
which can be approved by FTA and incorporated into the SMP/PMP on file.
If the SMP/PMP is changed significantly, however, the designated
recipient should submit the entire revised plan to FTA for approval. The
designated recipient is responsible for ensuring that FTA has a complete
copy of the current SMP/PMP. Minor changes and technical corrections may
be submitted to FTA to update the approved plan, without the need for
additional FTA approval. The designated recipient should ensure that its
SMP/PMP reflects current requirements of this Circular, and revise the
SMP/PMP if necessary. New designated recipients should submit a
management plan to FTA within six months of the effective date of this
Circular.

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Chapter VIII

[Other Provisions]{.underline}

1.  [Introduction]{.underline}. In addition to the program-specific
    requirements and guidance provided in this Circular, FTA grantees
    are held to a number of FTA-specific and other Federal requirements.
    This document attempts to summarize those requirements and provide
    citations to the actual statutory or regulatory text. If there is a
    conflict between the summary information provided in this document
    and the statute or regulation, the language of the statute or
    regulation controls. Readers should use this document in conjunction
    with FTA's "Master Agreement" and the current fiscal year
    "Certifications and Assurances" that grantees must sign annually
    (via the TEAM system) to establish or renew their funding
    relationship with FTA. The Master Agreement and the Certifications
    and Assurances represent the grantees' legal affirmation to abide by
    FTA and other Federal requirements that are applicable to their
    grant programs.

Some of the topics covered in the Master Agreement and the
Certifications and Assurances are summarized below, as a reminder to
grant recipients of their obligations to FTA. More information about
individual requirements can be found in the Master Agreement and the
Certifications and Assurances on the TEAM Web site, and in the
references provided below. Grantees may contact their Regional Counsel
for more detail about these requirements.

59. [PROJECT INCLUSION IN TIP AND STIP]{.underline}. Before FTA may make
    grants to recipients, adequate planning must take place. The project
    proposed must be a product of the metropolitan planning process
    and/or the statewide planning process specified in 49 CFR Part 613
    and 23 CFR Part 450. That is, all transit projects for which Federal
    funds are expected to be used and that are within metropolitan
    planning boundaries must be included in a metropolitan
    Transportation Improvement Program (TIP) approved by the
    Metropolitan Planning Organization (MPO) and the chief executive
    officer of the State and in a Statewide Transportation Improvement
    Program (STIP) that has been approved by FTA and FHWA. Projects not
    within metropolitan planning boundaries are required only to be in
    the STIP. The application should identify the latest approved STIP
    (or amendments) containing the project(s), the appropriate page
    numbers, and a statement identifying the date that FTA and FHWA
    approved the STIP (or STIP amendment) that contains the proposed
    project(s). Projects listed in the TIP and STIP must be derived from
    and consistent with the State's long range plan.

60. [PROCUREMENT RESTRICTIONS]{.underline}. An applicant seeking Federal
    assistance pursuant to the Federal Transit Laws as codified at 49
    U.S.C. 5301 et seq. to acquire property or services in support of a
    proposed project is subject to numerous provisions of law pertaining
    to third-party procurement requirements. "SAFETEA-LU" (Safe,
    Accountable, Flexible, Efficient Transportation Equity Act: A Legacy
    for Users) was enacted into law August 10, 2005 and recodified FTA's
    procurement requirements in 49 U.S.C. 5325. In addition, regulations
    promulgated at 49 CFR part 18 (Uniform Administrative Requirements
    for Grants and Cooperative Agreements to State and Local
    Governments) establish uniform administrative rules for Federal
    grants and cooperative agreements and subawards to State, local and
    Indian tribal governments (private, non-profit organizations are
    regulated by similar statutes in 49 CFR part 19). Provisions of the
    Rule pertaining to procurement requirements for FTA recipients are
    set forth at 49 CFR 18.36. Those requirements, as well as other FTA
    specific provisions, are also set forth in FTA's Master Agreement
    (FTA MA(12) October 1, 2005, as amended) at Section 15. Procurement.
    Finally, FTA has published additional guidance relative to
    recipients' compliance with third-party procurement requirements at
    FTA C. 4220.1E and its "Best Practices Procurement Manual." These
    rules, regulations, and guidance are intended to ensure full and
    open competition and equitable treatment of all potential sources in
    the procurement process including planning, solicitation, award,
    administration and documentation of all federally funded contracts.

Each recipient of FTA seeking Federal assistance to acquire property or
services in support of its proposed project is requested to certify to
FTA, in accordance with 49 CFR Sec. 18.36(g)(3)(ii) that its
procurements and procurement system will comply with all applicable
third-party procurement provisions of Federal laws, regulations, and
directives, except to the extent FTA has expressly approved otherwise in
writing. Any applicant that fails to provide this certification may be
determined ineligible for award of Federal assistance, if FTA determines
that its procurement practices and procurement system are incapable of
compliance with Federal laws, regulations and directives governing
procurements financed with FTA assistance.

61. [PUBLIC HEARING REQUIREMENTS]{.underline}. The public hearing
    requirement in 49 U.S.C. 5323(b) for capital projects was changed by
    SAFETEA-LU. The law now associates more clearly the public
    involvement and hearing requirements for capital projects with the
    environmental review required by the National Environmental Policy
    Act (NEPA) and its implementing regulations. It also broadens the
    requirement to apply to all capital projects (as defined in Section
    5302). Now, the grant applicant must provide an adequate opportunity
    for public review and comment on a capital project, and, after
    providing notice, must hold a public hearing on the project if the
    project affects significant economic, social, or environmental
    interests. These requirements will be satisfied through compliance
    with the NEPA requirements for a public scoping process, public
    review and comment on NEPA documents, and a public hearing on every
    draft environmental impact statement (EIS). FTA will also require a
    public hearing on environmental assessments (EAs) that have a high
    probability of being elevated to EISs.

Under 49 U.S.C. 5323(b), any application for a project that will
"substantially affect a community, or the public transportation service
of a community" shall include a certification to the effect that the
applicant has:

a.  Provided an adequate opportunity for public review and comment on
    the project;

b.  Held that hearing if the project affects significant economic,
    social, or environmental interests;

c.  Considered the economic, social, and environmental effects of the
    project; and

d.  Found that the project is consistent with official plans for
    developing the community.

Section 5323(b)(2) further states, \"Notice of hearings under this
subsection shall include a concise description of the proposed project;
and shall be published in a newspaper of general circulation in the
geographic area the project will serve."

Section 5323(b) must be read in concert with Section 5324(b) which
states that FTA must review the public comments and hearing transcript
to ascertain that an adequate opportunity to present views was given to
all parties having a significant economic, social, or environmental
interest in the project, and that FTA must make a written finding to
this effect.

It should be noted that the public hearing requirements of 49 U.S.C.
5323(b) are separate and apart from the requirements for public
participation in Statewide and Metropolitan Planning. All capital
projects financially supported by FTA are subject to statewide
transportation planning requirements and, in metropolitan areas, to
metropolitan planning requirements. FTA and FHWA have codified
procedures for compliance with the statewide and metropolitan planning
statutory mandates -- including the mandates for public participation in
the development of long-range plans and Transportation Improvement
Programs -- in the two agencies\' joint planning regulations. The
practical effect of these statewide and metropolitan planning
requirements is to expose every FTA-funded capital project to a certain
level of public scrutiny, regardless of whether that project will
\"substantially\" affect a particular community and its mass
transportation service.

62. [ENVIRONMENTAL PROTECTIONS]{.underline}. FTA\'s environmental impact
    regulation requires different levels of analysis and documentation
    for the various types of projects funded through its programs. Most
    projects and activities funded through the JARC program do not
    normally involve significant environmental impacts. Such projects
    are termed \"categorical exclusions\" in FTA\'s procedures because
    they are types of projects which have been categorically excluded
    from the requirement to prepare an environmental document. In the
    annual certifications and assurances, the recipient assures FTA that
    all the projects in the application are categorical exclusions under
    23 CFR 771.117(c) unless otherwise noted. The regulation classifies
    categorically excluded actions and projects into two groups.

The first group, described at 23 CFR 771.117(c), contains activities and
projects which have very limited or no environmental effects at all such
as: planning and technical studies, preliminary design work, program
administration, operating assistance, and transit vehicle purchases.
Because environmental impacts of these activities are either nonexistent
or minimal, no environmental documentation is required.

The second group of projects, described at 23 CFR 771.117(d), which
normally qualify for a categorical exclusion, are projects involving
more construction and greater potential for off-site impacts. Examples
are: new construction or expansion of transit terminals, storage and
maintenance garages, office facilities, and parking facilities.
Experience has shown that these projects can be built and operated
without causing significant impacts if they are carefully sited in areas
with compatible land use where the primary access routes are adequate to
handle the additional transit vehicle traffic. These construction
projects may be designated as categorical exclusions after FTA approval,
but no presumption exists concerning the significance of environmental
effects. It is the applicant\'s responsibility to provide documentation
which clearly demonstrates that the stated conditions or criteria are
met and that no significant adverse effects will result. Such
documentation is usually narrowly focused on one or a limited number of
environmental concerns or questionable areas. Depending on the
circumstances, some technical analysis may be required, such as a noise
impact assessment or a street capacity analysis; but in most cases, the
documentation will focus on consistency with local land-use plans,
zoning and any State or local plans or programs governing the protection
and management of environmental resources, such as air quality, water
quality and noise abatement. The documentation will provide a written
record of coordination with those State and local agencies having
jurisdiction or a special interest in some aspect of the project. There
is no formal public review for these types of environmental studies. FTA
reviews this information and determines if a categorical exclusion is
appropriate. In order to include or advance such a project to Category
A, the recipient must have on file a letter from FTA approving the
categorical exclusion. (see Chapter IV for discussion of the categories
of approval).

For any project which is not found to be a categorical exclusion, the
designated recipient may be required to prepare an environmental
assessment (EA) for public comment and FTA review to determine if a
finding of no significant impact (FONSI) is appropriate. A project which
requires an EA may not be included in Category A before FTA has issued a
FONSI for the project. In the unlikely event that significant
environmental impacts are identified for a JARC project, an
environmental impact statement (EIS) will be required.

There are a number of environmentally related statutes, orders, and
compliance procedures which may apply to a given project even if it is
properly classified as a categorical exclusion. The environmental
requirements which may come into play for JARC projects are: Clean Air
Act conformity provisions; protection of public parkland, wetland and
waterfowl refuges, and historic sites (49 U.S.C. 303); Section 106 of
the National Historic Preservation Act (protection of historic and
archaeological resources); and Section 404 of the Clean Water Act (Corp
of Engineers\' permit requirements for dredge and fill activities in
\"waters of the United States\"). FTA policy is to require compliance
with these environmentally related requirements within the overall
environmental process. The EA or environmental documentation to support
a categorical exclusion must address these related requirements.
Compliance with these requirements must be completed before a
construction project is included in Category A.

FTA\'s procedures categorically exclude most JARC projects. Recipients
should screen potential projects when they are first identified to make
an initial determination as to which projects clearly meet the FHWA/FTA
criteria for categorical exclusions and which projects may require
additional documentation. The latter should be coordinated with the FTA
regional office early in project development so that any necessary
environmental analysis and review will not delay implementation. Any
project involving new construction of a facility or substantial
rehabilitation of an existing facility must be discussed with FTA to
determine the need for information supporting a categorical exclusion
and the applicability of any additional environmental requirements.
Early coordination is also necessary to identify those projects for
which the State must prepare an EA. If an EA is required, further steps
to develop the project will not be authorized (e.g., property
acquisition, final design, and construction) until FTA makes a final
environmental finding for the project. Any Category B project that is
not in the list of categorical exclusions in 23 CFR 771.117(c) requires
environmental clearance from FTA before being advanced to Category A.

63. [CLEAN AIR ACT]{.underline}. The principal Clean Air Act requirement
    with which FTA-funded projects must comply is the transportation
    conformity process. The conformity requirements are contained in an
    Environmental Protection Agency regulation (40 CFR Part 93) and they
    apply in areas that currently violate one or more of the national
    ambient air quality standards (nonattainment areas) and also in
    areas that once violated the standards but have since been
    redesignated to attainment status by EPA (so-called maintenance
    areas). The transportation conformity process applies not only to
    federally-funded projects but also to long-range transportation
    plans and transportation improvement programs (TIPs). Determining
    conformity for transportation plans and TIPs is the responsibility
    of the metropolitan planning organization. Determining conformity
    for individual projects is the project sponsor's responsibility.
    Major transit infrastructure projects, e.g., new fixed guideway
    projects and extensions will be analyzed at both the regional and
    local scales.

The transportation conformity regulation reserves detailed air quality
analysis for large projects which have the potential to create new
violations or make existing violations worse. There is also a list of
exempt highway and transit projects in the regulation that do not
require any analysis. Many transit projects are exempt from the
conformity requirements and can be processed expeditiously. Regardless
of the type of project being considered, early consultation with FTA is
essential in nonattainment and maintenance areas to establish what the
requirements are and how best to satisfy them. The FTA regional office
can also provide information on selected provisions of other laws that
support clean air objectives\--for example, the Federal Highway
Administration's Congestion Mitigation and Air Quality (CMAQ)
Improvement Program. Over the years, local transit agencies have
benefited greatly from this program as a supplementary source of funding
for transit. The CMAQ Program has its own eligibility requirements which
the FTA regional offices are familiar with.

64. [PRIVATE SECTOR PARTICIPATION]{.underline}. Federal statute requires
    the public to be involved in the transportation planning process,
    and specifically requires that private providers be consulted in
    developing transportation plans and programs in both urban and rural
    areas. Public involvement processes must be proactive and provide
    complete information, timely public notice, full public access to
    key decisions, and opportunities for early and continuing
    involvement throughout the transportation planning and programming
    process. 

Under the requirements of 49 USC 5323(a)(1), States or local
governmental authorities may use FTA funds to operate public
transportation service "in competition with or in addition to
transportation service provided by an existing public transportation
company, only if" the grantee "provides for the participation of private
companies engaged in public transportation to the maximum extent
feasible."

The most comprehensive FTA document regarding private enterprise
requirements is a report titled *Private Enterprise Participation in
Transportation Planning and Service Delivery.* The report is available
on FTA's Web site at http://www.fta.dot.gov/legal/16720_ENG_HTML.htm.

65. [REAL PROPERTY ACQUISITION AND RELOCATION ASSISTANCE]{.underline}.
    If a grant applicant intends to use Federal financial assistance in
    a project which will require the acquisition of real property, the
    applicant must provide assurances -- required by Sections 305 and
    210 of the Uniform Relocation Assistance and Real Property
    Acquisition Policies Act of 1970, as amended (Uniform Act) -- that
    it will comply with the Uniform Act and with U.S. DOT implementing
    regulations (49 CFR Part 24).

The 49 CFR Part 24 regulation is a government-wide regulation that
applies to all Federal or federally-assisted activities that involve the
acquisition of real property or the displacement of persons. As such,
the regulation is specific in naming certain actions that must be taken
to achieve uniformity in the treatment of property owners and displaced
persons. Grantees in the process of planning a federally-assisted
project that will require the displacement of persons should be aware of
the regulatory need for relocation planning during the early stages of
project development.

49 CFR Part 24 is available from the Government Printing Office Web site
at: http://www.access.gpo.gov/nara/cfr/waisidx_99/49cfr24_99.html. Upon
request FTA regional offices can provide a copy of the law, itself, in
its amended form. In addition, the grantee should inform itself of State
laws regarding compensation for real property and requirements for
relocation of persons and personal property.

Real property may be contributed as part of the local matching share.
Credit can be allowed only for that portion of the property needed to
carry out the scope of the project. Federal funds must not have been
used to purchase any property proposed as local matching share. The
contribution-in-kind property will be valued at its current market value
and when incorporated into the project will be subject to the same
reporting and disposition requirements required of all project property.

66. [Pre-Award and Post Delivery REVIEWS.]{.underline} FTA requires
    grant recipients purchasing a certain number of revenue passenger
    rolling stock to undertake reviews of the rolling stock prior to the
    award of the contract and following delivery of the vehicles. The
    intention is to improve compliance with Buy America requirements,
    the grantee\'s bid specifications, and Federal Motor Vehicle Safety
    Standards. The requirement to undertake the pre-award and
    post-delivery reviews arises from 49 U.S.C. 5323(m) and is specified
    in FTA regulations at 49 CFR Part 663. Compliance must be certified
    on the Annual List of Certifications and Assurances.

SAFETEA-LU amended this requirement so that procurements of 20 vehicles
or fewer, purchased for serving rural areas and cities of less than
200,000 population, are not subject to the review procedure. In
urbanized areas of greater than 200,000 population, the reviews are not
necessary for a purchase of 10 or fewer vehicles. The procurement of
unmodified vans, in any quantity, is not subject to the review
requirement.

When a designated recipient undertakes a consolidated designated
recipient procurement on behalf of several subrecipients of FTA funds,
the requirement for a resident inspector at the manufacturing site
depends upon the number of buses in a subrecipient\'s order. That is,
for example, although a designated recipient may order 30 vehicles, if
no subrecipient expects to receive 20 or more of the vehicles (10 or
more for a large urban area subrecipient), the designated recipient is
not required to place an inspector on site. If 20 or more vehicles are
ordered for a single subrecipient an on-site inspector is required, and
may be provided by either the designated recipient or the subrecipient.
In addition, if the on-site inspector is used on one subrecipient\'s
order, then this meets the on-site inspection requirement for the
designated recipient procurement even though there are other
subrecipient orders of 20 or more vehicles.

In carrying out the reviews, it may be useful to obtain a copy of the
manual, \"Pre-Award and Post-Delivery Reviews for Bus Vehicles,\" from
the FTA regional offices. Also, for buses that have been tested at the
Altoona Bus Testing Center, the grantee must obtain a copy of the test
report.

67. [LABOR PROTECTIONS]{.underline}.

    a.  [Davis-Bacon Act]{.underline}. For FTA programs, 49 U.S.C.
        5333(a) imposes Davis-Bacon Act prevailing wage requirements.
        This provision applies only to construction projects. In the
        event that a project involves construction, Title 49 U.S.C.
        5333(b) requires the Secretary to take such action as may be
        necessary to ensure that all laborers and mechanics employed by
        contractors or subcontractors in the performance of construction
        work financed with the assistance of loans or grants under this
        Act be paid wages at rates not less than those prevailing on
        similar construction in the locality as determined by the
        Secretary of Labor in accordance with the Davis-Bacon Act, as
        amended. The Secretary may not approve any such loan or grant
        without first obtaining \"adequate assurance\" that required
        labor standards would be maintained upon the construction work.

    b.  [Transit Employee Protection]{.underline}. 49 U.S.C. 5333(b)
        requires that the interests of employees affected by assistance
        under most FTA programs shall be protected under arrangements
        the Secretary of Labor concludes are fair and equitable. 49 USC
        5311 (i) requires that the Department of Labor (DOL) use "a
        special warranty that provides a fair and equitable arrangement
        to protect the interests of employees" in order for the Section
        5311(i) requirements to apply to Section 5311. FTA anticipates
        that DOL will revise the warranty and procedures currently in
        use. Opportunities for public comment will be provided during
        DOL's rulemaking. Employee protections under Section 5333(b)
        [are]{.underline} required for the JARC program.

68. [Civil Rights]{.underline}. The Recipient agrees to comply with all
    applicable civil rights statutes and implementing regulations
    including, but not limited to, the following:

    a\. [Nondiscrimination in Federal Transit Programs]{.underline}. The
    Recipient agrees to comply, and assures the compliance of each third
    party contractor at any tier and each subrecipient at any tier under
    the Project, with the provisions of 49 U.S.C. 5332, which prohibits
    discrimination on the basis of race, color, creed, national origin,
    sex, or age, and prohibits discrimination in employment or business
    opportunity.

    b\. [Nondiscrimination - Title VI]{.underline}. Title VI of the
    Civil Rights Act of 1964, as amended, (42 U.S.C. 2000d *et seq*.),
    which provides that no person in the United States shall, on the
    ground of race, color, or national origin, be excluded from
    participation in, be denied the benefits of, or be subjected to
    discrimination under any program or activity receiving Federal
    financial assistance. The Recipient agrees to comply, and assures
    the compliance of each third party contractor and each subrecipient
    at any tier of the Project, with all of the following requirements
    under Title VI of the Civil Rights Act of 1964:

    1.  [U.S. DOT regulations, \"Nondiscrimination in Federally-Assisted
        Programs of the Department of Transportation\--Effectuation of
        Title VI of the Civil Rights Act,\" 49 CFR Part 21;]{.underline}

    2.  [49 U.S.C. 5332(c).]{.underline} Under this law, the Secretary
        of Transportation is required to take affirmative action to
        ensure that no person on the basis of race, color, creed,
        national origin, sex or age, shall be excluded from
        participation in, be denied the benefits of, or be subject to
        discrimination under any project, program, or activity funded in
        whole or in part by FTA;

    3.  [FTA's Circular 4702.1 "Title VI Program Guidelines for FTA
        Recipients."]{.underline} This document provides information on
        how FTA will enforce Title VI in accordance with its
        responsibilities as set forth by the Title VI regulations issued
        by DOJ (28 CFR Part 42) and DOT (49 CFR Part 21);

    4.  [U.S. Department of Transportation Order to Address
        Environmental Justice in Minority Populations and Low-Income
        Populations]{.underline}. This order describes the process that
        the Office of the Secretary of Transportation and each Operating
        Administration will use to incorporate environmental justice
        principles (as embodied in Executive Order on Environmental
        Justice 12898) into existing programs, policies, and activities;
        and

    5.  [U.S. DOT Policy Guidance Concerning Recipients\'
        Responsibilities to Limited English Proficient (LEP)
        Persons]{.underline}. This guidance clarifies the
        responsibilities of recipients of Federal financial assistance
        from the U.S. Department of Transportation (DOT) and assists
        them in fulfilling their responsibilities to limited English
        proficient (LEP) persons, pursuant to Title VI of the Civil
        Rights Act of 1964 and implementing regulations.

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    a.  [Equal Employment Opportunity]{.underline}. The Recipient agrees
        to comply, and assures the compliance of each third party
        contractor and each subrecipient at any tier of the Project,
        with all equal employment opportunity (EEO) requirements of
        Title VII of the Civil Rights Act of 1964, as amended (42 U.S.C.
        2000e), and 49 U.S.C. 5332 and any implementing requirements FTA
        may issue.

    b.  [Nondiscrimination on the Basis of Sex]{.underline}. The
        Recipient agrees to comply with all applicable requirements of
        Title IX of the Education Amendments of 1972, as amended, (20
        U.S.C. 1681 *et seq*.), with implementing U.S. DOT regulations,
        \"Nondiscrimination on the Basis of Sex in Education Programs or
        Activities Receiving Federal Financial Assistance,\" 49 CFR Part
        25, and with any implementing directives that U.S. DOT or FTA
        may promulgate, which prohibit discrimination on the basis of
        sex.

    c.  [Nondiscrimination on the Basis of Age]{.underline}. The
        Recipient agrees to comply with all applicable requirements of
        the Age Discrimination Act of 1975, as amended, (42 U.S.C. 6101
        *et seq*.), and implementing regulations, which prohibit
        employment and other discrimination against individuals on the
        basis of age.

    d.  [Nondiscrimination on the Basis of Disability]{.underline}. The
        Recipient agrees to comply, and assures the compliance of each
        third party contractor and each subrecipient at any tier of the
        Project, with the applicable laws and regulations, discussed
        below, for nondiscrimination on the basis of disability.

        1.  The Rehabilitation Act of 1973, as amended by the
            Rehabilitation Act of 1993, Section 503, requires firms
            holding Federal contracts or subcontracts of \$10,000 or
            more to take affirmative action to hire and advance in
            employment individuals with disabilities.

        2.  Section 504 of the Rehabilitation Act of 1973, as amended
            (29 U.S.C. 794), prohibits discrimination on the basis of
            disability by recipients of Federal financial assistance.

        3.  The Americans with Disabilities Act of 1990 (ADA), as
            amended (42 U.S.C. 12101 *et seq*.), prohibit discriminating
            against qualified individuals with disabilities in all
            programs, activities, and services of public entities, as
            well as imposes specific requirements on public and private
            providers of transportation.

        4.  U.S. DOT regulations implementing Section 504 and the ADA
            include 49 CFR Parts 27, 37, and 38. Among other provisions,
            the regulations: specify accessibility requirements for the
            design and construction of new transportation facilities;
            require that vehicles acquired be accessible to and usable
            by individuals with disabilities, including individuals
            using wheelchairs (with limited exceptions); require public
            entities providing fixed route service to provide
            complementary paratransit service to people with
            disabilities who cannot use the fixed route service; and
            include service requirements intended to ensure that people
            with disabilities are afforded equal opportunity to use
            transportation vehicles and facilities.

        5.  In addition, recipients of any FTA funds should be aware
            that they also have responsibilities under Titles I, II,
            III, IV and V of the ADA in the areas of employment, public
            services, public accommodations, telecommunications, and
            other provisions, many of which are subject to regulations
            issued by other Federal agencies.

    e.  The Religious Freedom Restoration Act of 1993 requires Federal,
        State, and local governments to demonstrate a compelling
        government interest before substantially burdening an
        individual's exercise of religion.

    f.  Executive Order 11141 prohibits age bias in employment by
        federal contractors.

    g.  Executive Order 11246, as amended by Executive Orders 11375,
        12086, 11478, and 12106, prohibits employment discrimination on
        the basis of race, color, religion, national origin or sex in
        institutions or agencies with Federal contracts of over
        \$10,000.

    h.  Department of Labor regulations (41 CFR part 60 *et seq*.)
        require that when an agency provides Federal non-construction
        contracts of \$50,000 or more and the recipient employs 50 or
        more employees, then the recipient is required to develop
        written affirmative action plan with employment goals. Federal
        agencies entering into construction contracts of \$10,000 or
        more, must comply with the requirements set out in Executive
        Order 11246.

    i.  [Disadvantaged Business Enterprise]{.underline}. To the extent
        required by Federal law, regulation, or directive, the Recipient
        agrees to take the following measures to facilitate
        participation by disadvantaged business enterprises (DBE) in the
        Project:

        1.  The Recipient agrees and assures that it will comply with
            the Safe, Accountable, Flexible, Efficient, Transportation
            Equity Act: A Legacy for Users (SAFETEA-LU) Section 1101(b),
            23 U.S.C. Section 101 note, which requires DOT to ensure
            that not less than 10% of funds authorized for highway and
            transit financial assistance programs be expended through
            small business concerns owned and controlled by socially and
            economically disadvantaged individuals.

        2.  The Recipient agrees and assures that it will comply with
            U.S. DOT regulations, "Participation by Disadvantaged
            Business Enterprises in Department of Transportation
            Financial Assistance Programs," 49 CFR Part 26. Among other
            provisions, this regulation requires recipients of DOT
            Federal financial assistance, namely State and local
            transportation agencies, to establish goals for the
            participation of disadvantaged entrepreneurs and certify the
            eligibility of DBE firms to participate in their
            DOT-assisted contracts.

        3.  The Recipient agrees and assures that it will comply with
            FTA's Circular 4716.1A, "FTA Disadvantaged Business
            Enterprise Requirements for Recipients and Transit Vehicle
            Manufactures" which enumerates the required components of a
            DBE program for vehicle manufacturers.

        4.  The Recipient agrees and assures that it shall not
            discriminate on the basis of race, color, sex, national
            origin or disability in the award and performance of any
            third party contract, or subagreement supported with Federal
            assistance derived from U.S. DOT or in the administration of
            its DBE program and will comply with the requirements of 49
            CFR Part 26. The Recipient agrees to take all necessary and
            reasonable steps set forth in 49 CFR Part 26 to ensure
            nondiscrimination in the award and administration of all
            third party contracts and subagreements supported with
            Federal assistance derived from U.S. DOT. As required by 49
            CFR Part 26 and approved by U.S. DOT, the Recipient's DBE
            program is incorporated by reference and made part of the
            Grant Agreement or Cooperative Agreement. The Recipient
            agrees that implementation of this DBE program is a legal
            obligation, and that failure to carry out its terms shall be
            treated as a violation of the Grant Agreement or Cooperative
            Agreement. Upon notification by U.S. DOT to the Recipient of
            its failure to implement its approved DBE program, U.S. DOT
            may impose sanctions as provided for under 49 CFR Part 26
            and may, in appropriate cases, refer the matter for
            enforcement under 18 U.S.C. 1001, and/or the Program Fraud
            Civil Remedies Act, (31 U.S.C. 3801 *et seq*.).

For further guidance, refer to the Federal laws, regulations, and
executive orders cited in this chapter. FTA\'s regional civil rights
officers or headquarters civil rights staff will also provide current
guidance on request.

69. [BUY AMERICA]{.underline}. 49 U.S.C. 5323(j) provides that, with
    exceptions, Federal funds may not be obligated for public
    transportation projects unless steel, iron, and manufactured
    products used in such projects are produced in the United States.
    JARC recipients and subrecipients must conform to FTA regulations,
    49 CFR Part 661, and any amendments thereto. Buy America
    requirements apply to all purchases, including materials or supplies
    funded as operating costs, if the purchase exceeds the threshold for
    small purchases (currently \$100,000).

SAFETEA-LU continued the provision which allows a manufacturer or
supplier to correct an incomplete certification or a certification of
noncompliance after bid opening under certain circumstances if
submission of the incorrect certification was the result of an
inadvertent or clerical error. In addition, SAFETEA-LU added a provision
that allows a party adversely affected by an FTA action the right to
seek review (49 U.S.C. 5323(j)(9)).

70. [CHARTER SERVICE]{.underline}. 49 U.S.C. 5323(d) places limits on
    the charter services which may be provided by federally funded
    public transportation operators. These limitations are specified in
    the FTA charter service regulation (49 CFR Part 604). The charter
    service regulation (49 CFR Part 604) prohibits FTA recipients from
    providing any charter service using FTA funded equipment or
    facilities if there is at least one private charter operator willing
    and able to provide the charter service that the recipient proposes
    to provide. The regulation applies to both buses and vans. Any JARC
    recipient desiring to provide charter service must publish a notice
    annually and determine whether there are any private charter
    operators willing and able to provide the service. The designated
    recipient may conduct this process for itself and subrecipients or
    delegate this responsibility for the subrecipients to any or all of
    the subrecipients. The designated recipient must sign a charter
    agreement as part of the annual certifications and assurances and
    obtain and retain signed charter agreements from its subrecipients.

The regulation lists seven exceptions to the general prohibition on
providing charter service. One exception allows FTA subrecipients in
nonurbanized areas to petition FTA for an exception if the charter
service that would be provided by willing and able private charter
operators would result in a hardship on the customer because there are
minimum durations pursuant to a State regulatory requirement or because
the private charter operator is located too far from the origin of
charter service. The regulation specifies the process for requesting
this exception, which, if granted, is effective for no more than twelve
months. Section 604.9 of the regulation provides specific guidance
regarding exceptions which permit incidental charter service to meet the
needs of the elderly, persons with disabilities, and persons served by
DHHS funded programs listed in Appendix A of the charter regulation.

Service provided under contract to a social service agency will usually
be public transportation, not charter service, if the service is under
the control of the subrecipient, is open door, and the subrecipient can
put any rider on the vehicle in addition to the agency\'s clients. The
regulation should not discourage JARC subrecipients from using FTA
funded equipment in coordinated systems, or from providing service under
contract to social service agencies, provided the requirements of the
regulations are met.

71. [DRUG AND ALCOHOL TESTING]{.underline}. Recipients or subrecipients
    that receive only JARC, New Freedom, or Section 5310 assistance are
    not subject to FTA's Drug and Alcohol testing rules, but must comply
    with the Federal Motor Carrier Safety Administration (FMCSA) rule
    for employees who hold Commercial Drivers Licenses. JARC recipients
    and subrecipients that also receive funding under one of the covered
    FTA programs should include any employees funded under JARC projects
    in their testing program.

In the interest of safety of transit operations, recipients of funding
from the 5307 Urbanized Area Formula Program, 5309 Capital Program, 5311
Nonurbanized Area Formula Program, and other programs as determined by
the Secretary are required by 49 U.S.C. 5331 to establish drug and
alcohol testing programs. The purpose of the testing program is to help
prevent accidents, fatalities, and injuries resulting from misuse of
alcohol or the use of prohibited drugs by employees who perform
safety-sensitive functions. Grant recipients identified above must also
certify annually that they are in compliance with the FTA/USDOT
regulations concerning drug and alcohol testing (49 CFR Parts 40 and
665). Compliance with the regulations is a condition of FTA funding.
Where applicable as discussed below, recipients of FTA funding are
required to certify to Federal Railroad Administration (FRA) regulations
and to Federal Motor Carrier Safety Administration (FMCSA) and United
States Coast Guard (USCG) regulations concerning drug and alcohol
programs.

To assure compliance with the drug and alcohol testing requirements, FTA
has promulgated a regulation titled, \"Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations.\" The regulation applies to
recipients of funds identified above. The regulation requires that FTA
recipients follow the drug and alcohol testing procedures found in
applicable FTA (49 CFR Part 655) and DOT (49 CFR Part 40) regulations.

The regulation applies to \"employers,\" and the term employer is
defined as \"a recipient \[of FTA funding\] or other entity that
provides public transportation service or which performs a
safety-sensitive function for such recipient or other entity.\" The term
includes sub-recipients, operators, and contractors. The direct
recipient of FTA funding, however, remains responsible to FTA both for
carrying out the regulations and for ensuring that any person or
organization performing a safety-sensitive function on its behalf is in
compliance with the FTA regulations. Applicability to Capital funding is
limited to revenue operations; it does not apply to construction phases
of funded projects.

Section 5307 and Section 5309 recipients have been required to certify
their compliance and test since 1996. States must annually certify on
behalf of their Section 5311 subrecipients. Standard language for
certification of compliance with the regulations appears in 49 CFR Part
655 Subpart I.

The FTA regulations do not apply to a recipient that operates a commuter
railroad; a commuter railroad operator must comply with FRA regulations
with regard to its hours of service employees. An FTA recipient that
operates a commuter railroad must comply with regulations of the FMCSA
for its employees who hold commercial drivers licenses. A recipient that
operates a ferry service must comply with FTA random alcohol testing
rules in addition to all those of the Coast Guard.

The rule requires testing of employees who perform a safety-sensitive
function, which is defined in 49 CFR Part 655.4. The rule requires the
following six types of testing: pre-employment for drugs (including
transfer from a non-safety-sensitive position to a safety-sensitive
position); reasonable suspicion; random; post-accident; return-to-duty;
and follow-up.

The rule requires each employer to establish and implement a substance
abuse prevention program consisting primarily of a testing program but
with elements requiring training, educating, and evaluating
safety-sensitive employees. The rule requires the development of a
detailed policy statement that must be distributed to all
safety-sensitive employees and employee organizations. In addition, the
49 CFR Part 655 Subpart D establishes alcohol concentration levels and
prohibited behavior, and employers are directed to take specific action
on the basis of the level of alcohol concentration. Technical assistance
materials and training information to help grantees implement the rules
are available at the Web site (http://www.fta.dot.gov -- click on
'Safety & Security') or through contacting the FTA Office of Safety and
Security, FTA Headquarters, 400 7th Street, S.W., Washington, D.C.,
20590, Suite 9301.

72. [DRUG-FREE WORKPLACE]{.underline}. In accordance with the Drug-Free
    Workplace Act of 1988 (41 U.S.C. 701 *et seq.),* and 49 CFR Part 32,
    each grantee is required to maintain a drug-free workplace for all
    employees and to have an anti-drug policy and awareness program. The
    grant applicant must agree that it will provide a drug-free
    workplace and comply with all requirements of 49 CFR Part
    32. However, these provisions apply only to FTA's direct grantees
    and do not extend to subrecipients.

The grantee is required to provide a written Drug-Free Workplace policy
statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession, or use of a controlled substance
is prohibited in the workplace and stating specific actions that will be
taken for violations.

The ongoing drug-free awareness program must inform employees about the
dangers of drug abuse; about any available drug counseling,
rehabilitation, and employee assistance programs; about penalties that
may be imposed; and that employees are to be aware that the recipient
operates a drug-free workplace.

An employee of an FTA grantee is required to report in writing any
conviction for a violation of a criminal drug statute occurring in the
workplace, and the grantee/employer is required to provide written
notice to FTA within 10 days of having received the notice. Within 30
days of receiving the notice of a conviction, the grantee/employer must
have taken appropriate action against the employee or have required
participation in a drug abuse assistance or rehabilitation program.

Technical assistance materials and training information to help grantees
implement the Drug-Free Workplace and Drug and Alcohol Testing rules are
available through the FTA Office of Safety and Security, FTA
Headquarters, 400 7th Street, S.W., Washington, D.C. 20590.

73. [RESTRICTIONS ON LOBBYING]{.underline}. Federal financial assistance
    may not be used to influence any Member of Congress or an officer or
    employee of any agency in connection with the making of any Federal
    contract, grant, or cooperative agreement. The designated recipient,
    subrecipients, and third party contractors at any tier awarded FTA
    assistance exceeding \$100,000 must sign a certification so stating
    and must disclose the expenditure of non-Federal funds for such
    purposes (49 CFR Part 20). Other Federal laws also govern lobbying
    activities. For example, Federal funds may not be used for lobbying
    Congressional Representatives or Senators indirectly, such as by
    contributing to a lobbying organization or funding a grass-roots
    campaign to influence legislation (18 U.S.C. 1352). General advocacy
    for transit and providing information to legislators about the
    services a recipient provides in the community are not prohibited,
    nor is using non-Federal funds for lobbying, so long as the required
    disclosures are made.

74. [PRE-AWARD AUTHORITY]{.underline}.

    a\. [General]{.underline}. FTA provides blanket, or automatic,
    pre-award authority in certain program areas described below. This
    pre-award authority allows grantees to incur certain project costs
    prior to grant approval and retain their eligibility 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 automatic pre-award spending authority, when
    triggered, permits a grantee to incur costs on an eligible transit
    capital or planning project without prejudice to possible future
    Federal participation in the cost of the project or projects.
    Pre-award authority for design and environmental work on the project
    is triggered by the authorization of formula funds or appropriation
    of funds for discretionary projects and publication of those
    projects in FTA\'s annual Federal Register notice of apportionments
    and allocations. Following authorization of formula funds or
    appropriation and publication of discretionary projects, pre-award
    authority for other capital projects including property acquisition,
    demolition, construction, and acquisition of vehicles, equipment, or
    construction materials is triggered by completion of the
    environmental review process with FTA\'s signing of an environmental
    Record of Decision (ROD), Finding of No Significant Impact (FONSI),
    or a determination that the project is a categorical exclusion (CE).

All grantees are strongly encouraged to consult with the appropriate FTA
regional office\
regarding the eligibility of the project for future FTA funds and the
applicability of the conditions and Federal requirements.

Pre-award authority for operating and planning projects under the
formula grant programs is not limited to the authorization period, but
there is no pre-award authority for JARC or New Freedom projects prior
to being competitively selected.

b\. [Conditions]{.underline}. In general, all Federal grant requirements
must be met at the appropriate time for the project to remain eligible
for Federal funding. In specific,

1.  Pre-award authority is not a legal or implied commitment that the
    project(s) 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(s).

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1.  All FTA statutory, procedural, and contractual requirements must be
    met.

2.  No action will be taken by the grantee that prejudices the legal and
    administrative findings that the Federal Transit Administrator must
    make in order to approve a project.

3.  Local funds expended by the grantee pursuant to and after the date
    of the pre-award authority will be eligible for credit toward local
    match or reimbursement if FTA later makes a grant for the project(s)
    or project amendment(s). Local funds expended by the grantee prior
    to the date of the pre-award authority will not be eligible for
    credit toward local match or reimbursement. Furthermore, the
    expenditure of local funds on activities such as land acquisition,
    demolition, or construction prior to the date of pre-award authority
    for those activities (i.e., the completion of the NEPA process)
    would compromise FTA\'s ability to comply with Federal environmental
    laws and may render the project ineligible for FTA funding.

4.  The Federal amount of any future FTA assistance awarded to the
    grantee for the project will be determined on the basis of the
    overall scope of activities and the prevailing statutory provisions
    with respect to the Federal/local match ratio at the time the funds
    are obligated.

5.  For funds to which the pre-award authority applies, the authority
    expires with the lapsing of the fiscal year funds.

6.  When a grant for the project is subsequently awarded, the Financial
    Status Report, in TEAM-Web, must indicate the use of pre-award
    authority.

7.  More information regarding Pre-award authority can be found in the
    Federal Register Notice of November 30, 2005, available at FTA's Web
    site. Pre-award authority may be updated in annual apportionment
    notices.

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75. [SAFETY]{.underline}. FTA\'s authority in the area of transit safety
    is set forth in 49 U.S.C. 5329. Under this Section, FTA may conduct
    investigations into safety hazards and security risks associated
    with a condition in equipment, a facility, or an operation financed
    under this chapter, in order to establish the nature and extent of
    the condition and how to eliminate, mitigate, or correct it. FTA may
    also require local jurisdictions to submit a plan for eliminating,
    mitigating, or correcting the deficiency. Finally, FTA may also
    withhold further financial assistance from any grantee that fails to
    correct any safety and security deficiency.

76. [LEASE VERSUS BUY CONSIDERATIONS]{.underline}. A grantee may use
    capital funds to lease capital assets from another party in cases
    where it is determined that leasing would be more cost effective
    than either purchasing or constructing the asset. Grantees should
    refer to regulations at 49 CFR Part 639 for further details on
    conducting the cost effectiveness comparison. For grantees with
    pre-award authority, it is necessary for the grantee to conduct the
    cost comparison before entering into the lease. Grantees should
    submit the cost comparison to their FTA regional office for review
    before entering into the lease or before approval of the grant which
    supports the lease. The cost comparison should be retained on file
    for later review or audit. In cases where a grantee intends to enter
    into a lease of considerable duration (rather than paying for the
    lease in a lump sum at the beginning of the lease period), it is
    necessary for the grantee to be able to complete the acquisition
    with local funds in the event FTA funds are not available in later
    years. Where a grantee has received an earmark for a project and
    proposes to enter into a capital lease for some element of the
    project, the grantee must submit the cost comparison for FTA
    approval as part of the grant application.

77. [SCHOOL TRANSPORTATION]{.underline}. 49 U.S.C. 5323(f) prohibits the
    use of FTA funds for exclusive school bus transportation for school
    students and school personnel. The implementing regulation (49 CFR
    Part 605) does permit regular service to be modified to accommodate
    school students along with the general public. For the purpose of
    FTA\'s school bus regulation, Headstart is a social service, not a
    school program. However, rules for the Headstart program limit the
    types of vehicles which may be used to transport Headstart children.
    FTA recipients may operate vehicles which meet the safety
    requirements for school transportation, but may not provide
    exclusive school service.

78. [COMMERCIAL DRIVER'S LICENSE]{.underline}. All drivers of vehicles
    designed to transport more than 16 persons (including the driver)
    must have a commercial driver's license (CDL). Mechanics that drive
    the vehicles must also have a CDL.

# Appendix A

# [Instructions for Preparing a Grant Application to FTA]{.underline}

1.  [PRE-APPLICATION STAGE]{.underline}.

    a.  [System Acces]{.underline}s. Applications for FTA grant program
        funds must be submitted electronically through the
        Transportation Electronic Award Management System (TEAM).
        Applicants must have access to FTA's TEAM system in order to
        enter a grant. If an applicant does not have access to TEAM, the
        applicant's representative should contact the appropriate FTA
        regional office for assistance. Contact information for FTA's
        regional offices can be found in Appendix E.

    b.  [Planning]{.underline}. Prior to grant application submittal,
        project planning requirements should be complete and properly
        documented. Project activities to be funded should be included
        in a federally-approved State Transportation Improvement Program
        (STIP) for capital and/or operating projects or Unified Planning
        Work Program (UPWP) for planning projects. In addition, all JARC
        grant applications shall be derived from a locally developed,
        coordinated public transit-human service transportation plan,
        which should be integrated into and consistent with the
        metropolitan and statewide planning processes (see Chapter V).

    c.  [Environmental Determination]{.underline}. The impact that a
        proposed FTA assisted project will have on the environment shall
        be evaluated and documented in accordance with the National
        Environmental Policy Act of 1969 (42 U.S.C. 4321 *et seq*.),
        prior to grant application.

    d.  [Annual Submission of Certifications and
        Assurances]{.underline}. A grant applicant applying for
        assistance under the Job Access and Reverse Commute Program, or
        any other FTA grant program, must annually submit certifications
        and assurances that are applicable to the grant applicant's
        grant requests during the fiscal year. The certifications and
        assurances are discussed in Chapter IV, \"Program Development.\"
        The certifications and assurances should be examined annually
        for changes and additions resulting from legislation.

    e.  [Civil Rights Submissions]{.underline}. Civil Rights submissions
        that may be required include a Title VI Plan, EEO Program, DBE
        Program and annual goal, and ADA Paratransit Plan. The FTA
        Regional Civil Rights Officer must verify that all required
        Civil Rights submissions are current at the time that the grant
        application is entered into TEAM. The required documentation
        must be submitted prior to the official submission of the grant.
        A grant applicant should maintain readily available records of
        FTA approvals of civil rights submissions in the event a
        question concerning compliance should arise. (See Chapter VIII,
        "Other Provisions," Section 11, \"Civil Rights.\")

    f.  [Recipient\'s Allocation Letter]{.underline}. The designated
        recipient of JARC funds should submit a letter annually that
        shows the allocation of the recipient's JARC funds for the
        fiscal year and the projects that were competitively selected to
        receive funding. The recipient may submit this information to
        FTA while initiating the grant process in TEAM.

    g.  [Urbanized Area Allocation Split Letter]{.underline}. Submission
        of this information is required when there is more than one
        designated recipient of JARC funds in an urbanized area. FTA
        expects local officials through any process agreeable to the
        designated recipients, to notify FTA of how each year's
        allocation of JARC funds should be divided.

    h.  [Transferred Funds]{.underline}. The request for transfer of
        funds should be made prior to applying for the grant in TEAM, if
        the grant application will fund projects using funds transferred
        from other programs. This includes funds flexed from the Federal
        Highway Administration (FHWA). (See Chapter II Program Overview,
        Section 5, \"Relationships to Other Programs.\")

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79. [APPLICATION STAGE (TEAM INFORMATION)]{.underline}. Applicants for
    Job Access and Reverse Commute program funds should submit their
    grant applications electronically through the Transportation
    Electronic Award Management System, TEAM. TEAM is a database
    accessible via the Internet. The TEAM User Guide provides detailed
    information on how to access and use FTA's TEAM System. The user
    guide covers the creation, submission, award, and execution of a
    grant application; reporting requirements, grant amendments, budget
    revisions, and close-out procedures are also addressed. Information
    that should be entered into TEAM when preparing an application
    includes:

    a.  [Recipient Information]{.underline}. Applicants should enter all
        required information about their organization in the appropriate
        fields in TEAM, including: recipient address, union information,
        UZA ID, Congressional district(s), DUNS number, etc. The
        information shall be current and accurate for each grant and
        periodically updated as changes occur.

    b.  [Project Information]{.underline}. Applicants should identify
        whether the application is a new grant, a grant amendment, or a
        budget revision. The project start/end date, program date, EO
        12372 review date, MPO concurrence date, and grant project costs
        shall be identified.

        1.  [Project description]{.underline}. This information must be
            in sufficient detail for FTA to obtain a general
            understanding of the nature and purpose of the planned
            activities. The Program of Projects (POP) should be included
            in this section. At a minimum, the POP should identify
            subrecipients funded through the grant application and the
            projects being implemented by each subrecipient. There is a
            specific text field for this information associated with
            each activity line item. Project activities shall be
            sufficiently described to assist the reviewer in determining
            eligibility under the program.

        2.  [Program DATE and PAGE (STIP/UPWP)]{.underline}. All
            projects for capital and operating funds in the grant
            application must be included in the current STIP. The STIP
            is jointly approved by FTA and FHWA. FTA funds cannot be
            obligated unless the STIP is approved by FTA. The
            application should note the page(s) in the most recently
            approved STIP on which the project(s) contained in the
            application are listed. The electronic system has a field
            designated "program date" where the date of the most recent
            FTA/FHWA STIP approval should be entered. If the grant
            includes planning activities the UPWP date should be entered
            here, if possible, or in the project details section.

    c.  [Budget]{.underline}. The appropriate scopes and activity line
        items should be used when developing the project budget. All
        sources of funds shall be identified and confirmed. All rolling
        stock procurements shall include vehicle description and fuel
        type; expansion activities shall include discussion on vehicle
        needs. The project budget should reflect the precise activities
        for which the grant funds will be used, and the budget should be
        prepared in accordance with requirements for specific funding
        programs. If the grant contains funding for tribal governments,
        the non-add scope (992-00) should also be added to the budget
        and identify the amount of funding in the application allocated
        to tribes. The non-add scope does not affect the total funds in
        the budget; it simply allows FTA to query the funding amounts
        upon request.

    d.  [Project Milestones]{.underline}. Estimated completion dates for
        all milestones should be provided; revenue vehicles have
        particular milestone requirements. If milestones are not
        prepopulated by the TEAM system for a particular ALI, use the
        add function to add milestones for that ALI to the grant
        application.

    e.  [Environmental Findings]{.underline}. The application should
        include a proposed classification of each activity line item in
        accordance with FHWA/FTA Environmental Impact and Related
        Procedures. (See 23 CFR Parts 771.115 and 771.117.) Grant
        applicants should refer to Part 771.117(c) and (d) for a listing
        of the Class II projects. Most JARC funded projects meet the
        criteria for a categorical exclusion and require no further
        action. However, if a project does not clearly meet the criteria
        for a categorical exclusion, a grant applicant is strongly
        encouraged to contact the FTA regional office for assistance in
        determining the appropriate environmental review process and
        level of documentation necessary.

    f.  [Fleet Status]{.underline}. Fleet status data is not required
        for JARC grant applications.

    g.  [Application Submission]{.underline}. Once FTA deems the
        activities eligible and determines that all pre-application
        requirements have been satisfied, a grant number is assigned. At
        this point, the grant is ready to be pinned and submitted in
        TEAM by the designated recipient/grantee.

    h.  [Certification of Labor Protective Arrangements]{.underline}.
        This certification is obtained by FTA from Department of Labor
        (DOL) and is required in order for FTA to obligate funds for
        capital and/or operating assistance projects. It results from a
        process conducted by DOL in which DOL refers JARC grants for
        areas over 200,000 in population to any existing local unions
        that may be affected by the projects in the program. The unions
        are given an opportunity to make concerns (if any) known to all
        parties. For a grant applicant with labor unions, the terms and
        conditions of their collective bargaining agreements cannot be
        violated as a result of the projects in the program. For areas
        under 200,000 in population, DOL certifies the JARC applications
        based on a standard labor protective arrangement, without
        referral to the unions. Grantees with no union employees
        involved in transit operations are subject only to a standard
        labor protective arrangement without referral to the unions (see
        Chapter VIII, Section 10, \"Labor Protections\").

    i.  [Grant Approval]{.underline}. Once FTA staff determines through
        a final review of the application that FTA program requirements
        have been met, FTA awards and obligates funds requested in the
        grant.

    j.  [Grant Execution]{.underline}. After FTA has approved and
        awarded the grant, the applicant shall execute the award before
        funds can be drawn down from the grant. Grants that include
        pre-award activity require the submission of a financial status
        report prior to grant execution.

80. JARC APPLICATION CHECKLIST.

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+---+---------------------------------+---+---+---+------------------------+
| 1 | Are Annual Certifications &     | 1 | A |   |                        |
| \ | Assurances pinned?              | \ | r |   |                        |
| . |                                 | . | e |   |                        |
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|   |                                 |   | ? |   |                        |
+---+---------------------------------+---+---+---+------------------------+
| 2 | Is the Grantee Contact & Other  | 2 | H |   |                        |
| \ | information Complete?           | \ | a |   |                        |
| . |                                 | . | v |   |                        |
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+---+---------------------------------+---+---+---+------------------------+
| 3 | Is UZA/Congressional District   | 3 | D |   |                        |
| \ | information entered and         | \ | o |   |                        |
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|   |                                 |   | f |   |                        |
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|   |                                 |   | d |   |                        |
|   |                                 |   | ? |   |                        |
+---+---------------------------------+---+---+---+------------------------+
| 4 | Is union contact information    |   | a |   | Federal Funds          |
| \ | entered and accurate?           |   | \ |   |                        |
| . |                                 |   | . |   |                        |
+---+---------------------------------+---+---+---+------------------------+
| 5 | Has Civil Rights Program        |   | b |   | Local Match            |
| \ | Documentation been approved by  |   | \ |   |                        |
| . | FTA?                            |   | . |   |                        |
+---+---------------------------------+---+---+---+------------------------+
| 6 | Has the applicants DUNS Number  | 4 | D |   |                        |
| \ | been entered in the appropriate | \ | o |   |                        |
| . | field?                          | . | e |   |                        |
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+---+---------------------------------+---+---+---+------------------------+
| * |                                 |   | a |   | Description            |
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+---+---------------------------------+---+---+---+------------------------+
| 1 | Does the Project Description    |   | b |   | Fuel Type              |
|   | (including the POP and other    |   | \ |   |                        |
|   | attachments) include adequate   |   | . |   |                        |
|   | descriptive information of      |   |   |   |                        |
|   | funded subrecipients and        |   |   |   |                        |
|   | projects?                       |   |   |   |                        |
+---+---------------------------------+---+---+---+------------------------+
| * |                                 | 5 | D |   |                        |
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+---+---------------------------------+---+---+---+------------------------+
| 1 | New Application or Amendment?   |   | a | H |                        |
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+---+---------------------------------+---+---+---+------------------------+
| 2 | Start/End Date?                 | 6 |   |   |                        |
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+---+---------------------------------+---+---+---+------------------------+
| 3 | Program Date (STIP date)        | * |   |   |                        |
| \ |                                 | * |   |   |                        |
| . | (UPWP if planning activities    | P |   |   |                        |
|   | included)?                      | a |   |   |                        |
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+---+---------------------------------+---+---+---+------------------------+
| 4 | Have control totals been        | 1 | A |   |                        |
| \ | entered by the grantee?         | \ | r |   |                        |
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|   |                                 |   | . |   |                        |
|   |                                 |   | ) |   |                        |
+---+---------------------------------+---+---+---+------------------------+
| 5 | If pre-award authority is       | 2 | H |   |                        |
| \ | applicable, has "yes" been      | \ | a |   |                        |
| . | selected?                       | . | v |   |                        |
|   |                                 |   | e |   |                        |
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|   |                                 |   | e |   |                        |
|   |                                 |   | d |   |                        |
|   |                                 |   | ? |   |                        |
+---+---------------------------------+---+---+---+------------------------+
| 6 | Has the EO 12372 Review been    | * |   |   |                        |
| \ | completed, if applicable?       | * |   |   |                        |
| . |                                 | P |   |   |                        |
|   |                                 | a |   |   |                        |
|   |                                 | r |   |   |                        |
|   |                                 | t |   |   |                        |
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|   |                                 | F |   |   |                        |
|   |                                 | i |   |   |                        |
|   |                                 | n |   |   |                        |
|   |                                 | d |   |   |                        |
|   |                                 | i |   |   |                        |
|   |                                 | n |   |   |                        |
|   |                                 | g |   |   |                        |
|   |                                 | s |   |   |                        |
|   |                                 | ( |   |   |                        |
|   |                                 | N |   |   |                        |
|   |                                 | E |   |   |                        |
|   |                                 | P |   |   |                        |
|   |                                 | A |   |   |                        |
|   |                                 | ) |   |   |                        |
|   |                                 | * |   |   |                        |
|   |                                 | * |   |   |                        |
+---+---------------------------------+---+---+---+------------------------+
|   |                                 | 1 | H |   |                        |
|   |                                 | \ | a |   |                        |
|   |                                 | . | s |   |                        |
|   |                                 |   | a |   |                        |
|   |                                 |   | n |   |                        |
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|   |                                 |   | i |   |                        |
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|   |                                 |   | g |   |                        |
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|   |                                 |   | n |   |                        |
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|   |                                 |   | t |   |                        |
|   |                                 |   | e |   |                        |
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|   |                                 |   | d |   |                        |
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|   |                                 |   | e |   |                        |
|   |                                 |   | a |   |                        |
|   |                                 |   | c |   |                        |
|   |                                 |   | h |   |                        |
|   |                                 |   | A |   |                        |
|   |                                 |   | L |   |                        |
|   |                                 |   | I |   |                        |
+---+---------------------------------+---+---+---+------------------------+

81. [ECHO INFORMATION]{.underline}.

    a.  Office of Management and Budget (OMB) Circulars A-102, A-110 and
        31 (CFR) Part 205, governs payment to recipients for financing
        operations under Federal grant and other programs. These
        regulations require that payment to a grantee be limited to the
        minimum amounts needed and timed so as to be in accord only with
        the actual, immediate cash requirements of the grantee in
        carrying out the approved project. For further information
        regarding cash management procedures, refer to the FTA \"ECHO
        System Users Manual for Grantees.\"

+--------------+---------------+--------------------------------------+
| ECHO Control |               | (For initial ECHO setup agency will  |
| Number       |               | assign ECN Number, for non ECHO      |
| (            |               | payments enter \"N/A\").             |
| ECN)\_\_\_\_ |               |                                      |
| \_\_\_\_\_\_ |               |                                      |
| \_\_\_\_\_\_ |               |                                      |
+--------------+---------------+--------------------------------------+
|              |               |                                      |
+--------------+---------------+--------------------------------------+
| Initial      | Info. Change  | Grantee Information Change           |
| Setup        | ![](medi      | ![](media/image4.wmf)                |
| ![](media    | a/image3.wmf) |                                      |
| /image2.wmf) |               |                                      |
+--------------+---------------+--------------------------------------+
|              |               |                                      |
+--------------+---------------+--------------------------------------+
| Information  |               |                                      |
| from this    |               |                                      |
| form is      |               |                                      |
| required     |               |                                      |
| under the    |               |                                      |
| provision of |               |                                      |
| 31 U.S.C.    |               |                                      |
| 3322 and 31  |               |                                      |
| CFR 210.     |               |                                      |
| Treasury     |               |                                      |
| uses this to |               |                                      |
| transmit     |               |                                      |
| payment data |               |                                      |
| by           |               |                                      |
| electronic   |               |                                      |
| means to a   |               |                                      |
| company\'s   |               |                                      |
| or a         |               |                                      |
| grantee\'s   |               |                                      |
| financial    |               |                                      |
| institution. |               |                                      |
| Failure to   |               |                                      |
| provide the  |               |                                      |
| requested    |               |                                      |
| information  |               |                                      |
| may delay or |               |                                      |
| prevent the  |               |                                      |
| receipt of   |               |                                      |
| payments     |               |                                      |
| through the  |               |                                      |
| Treasury ACH |               |                                      |
| Payment      |               |                                      |
| System.      |               |                                      |
|              |               |                                      |
| Note: See    |               |                                      |
| the bottom   |               |                                      |
| for          |               |                                      |
| instructions |               |                                      |
| on           |               |                                      |
| completing   |               |                                      |
| this form.   |               |                                      |
+--------------+---------------+--------------------------------------+

  ------------------------------- ------------------ --------------------
  **GRANTEE INFORMATION**                            

  **NAME:**                                          

  **ADDRESS:**                                       

  **CITY/STATE/ZIP:**                                **TELEPHONE NUMBER:\
                                                     (      )**

  **CONTACT PERSON NAME:**                           

  **SIGNATURE OF AUTHORIZED                          **TELEFAX NUMBER:**\
  OFFICIAL IN FTA**                                  **(      )**

                                  **DATE:      /     
                                  /           **     
  ------------------------------- ------------------ --------------------

  ------------------------------------------- ---------------------------
  **AGENCY INFORMATION**                      

  **NAME: *Federal Transit Administration***  

  **ADDRESS:** ***400 7th Street SW, Room     
  9422, TBP-24, Washington, D.C. 20590***     

  **CONTACT PERSON NAME:**                    ***(202) 366-9748***
  ------------------------------------------- ---------------------------

+-------------------------------------+--------+----------------------+
| **FINANCIAL INSTITUTION             |        |                      |
| INFORMATION**                       |        |                      |
|                                     |        |                      |
| **(Note: Have Your Bank Complete    |        |                      |
| This Section)**                     |        |                      |
+-------------------------------------+--------+----------------------+
| **NAME:**                           |        |                      |
+-------------------------------------+--------+----------------------+
| **ADDRESS:**                        |        |                      |
+-------------------------------------+--------+----------------------+
| **CITY/STATE/ZIP:**                 |        |                      |
+-------------------------------------+--------+----------------------+
| **CONTACT PERSON NAME:**            |        | **TELEPHONE NUMBER:\ |
|                                     |        | (        )**         |
+-------------------------------------+--------+----------------------+
|                                     |        |                      |
+-------------------------------------+--------+----------------------+
| **NINE DIGIT ROUTING TRANSIT        |        |                      |
| NUMBER:** \_\_ \_\_ \_\_ \_\_ \_\_  |        |                      |
| \_\_ \_\_ \_\_ \_\_                 |        |                      |
+-------------------------------------+--------+----------------------+
| **DEPOSITOR ACCOUNT TITLE:**        |        |                      |
+-------------------------------------+--------+----------------------+
| **DEPOSITORS ACCOUNT NUMBER:**      |        |                      |
+-------------------------------------+--------+----------------------+
| **TYPE OF ACCOUNT: CHECKING         |        |                      |
| SAVING**                            |        |                      |
+-------------------------------------+--------+----------------------+
| **SIGNATURE AND TITLE OF            | **DA   | **FAX NUMBER:**\     |
| REPRESENTATIVE:**                   | TE:**\ | **(       )**        |
|                                     | **     |                      |
|                                     | / /**  |                      |
+-------------------------------------+--------+----------------------+

Revised 7/98

b.  [Instructions for Completing Form]{.underline}:

    1.  Fill in your ECHO Control Number. If this is an Initial ECHO
        Setup, Agency will assign ECHO Control Number.

    2.  Check appropriate box(es).

    3.  Initial Setup.

    4.  Change in Bank Information.

    5.  Change in Grantee Information.

    6.  Fill out information in the appropriate section(s) listed below:

        a.  Grantee Information Section - Print or type the name of the
            grantee and address that will receive ECHO/ACH payments.
            Also include a contact person\'s name, date, telephone and
            fax numbers.

        b.  Financial Institution Information Section - Have your bank
            fill out this section. They should print or type the name
            and address of the financial institution who will receive
            the ECHO/ACH payment. Also included are the ACH
            coordinator\'s name, telephone number, nine-digit routing
            transit number (ABA #), depositor (grantee) account title,
            depositor (grantee) account number, and type of account
            (type can ONLY be designated as Checking or Saving),
            signature an title of representative, date and fax number.

    7.  Mail the form to the name and address shown in the Agency
        Information Section. This section also includes a contact
        person\'s name and telephone number.

    8.  If there are any questions, please call (202) 366-9748 and ask
        for the agency\'s ACH contact.

Appendix B

[Sample JARC (SECTION 5316) Program of Projects]{.underline}

State or Designated Recipient:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5316: FY \_\_\_ Apportionment: \$\_\_\_\_\_\_\_\_;
Carryover:\_\_\_\_\_\_\_\_\_\_\_\_

Total Funds Available:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total number of subrecipients funded in this Program of
Projects:\_\_\_\_\_\_\_\_\_\_\_\_

LIST OF PROJECTS

In the following list, identify with an asterisk (\*) those
subrecipients which are Indian tribal governments or serve Indian tribal
transportation needs.

CAPITAL, OPERATING, AND PROGRAM ADMINISTRATION\
(Projects may include reasonable contingencies)

  --------------------------------------------- ---------------- ------------------------------------------- -------------------- -------------------- --
  Subrecipient                                  Category\        Program Description\                        Net Project\         Federal\             
                                                A or B           (Include Counties served)                   Cost                 Share                

  (1)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\   \_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_     
                                                                 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                                             
                                                                 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                              

  (2)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\   \_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_     
                                                                 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                                             
                                                                 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                              

  (3)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\   \_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_     
                                                                 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                                             
                                                                 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                              

                                                                 SUBTOTAL - OPERATING                        \_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_   

                                                                 SUBTOTAL - CAPITAL                          \_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_   

                                                                 SUBTOTAL - PROGRAM ADMIN                    \_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_   
  --------------------------------------------- ---------------- ------------------------------------------- -------------------- -------------------- --

\[Program of projects may be printed horizontally, with columns added to
show capital, operating, and program administration for each
subrecipient to facilitate subtotaling.\]

PROGRAM ADMINISTRATION, PLANNING AND TECHNICAL ASSISTANCE

\[JARC\]

(Not to exceed 10% of JARC apportionment may be used to provide a 100%
Federal share.)

Subrecipient Category Program Description Net Project Federal

A or B (Counties served) Cost Share

\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_

> Subtotal (projects funded at 100%) \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_

Subtotal Program Administration \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_

Appendix C

[JARC (Section 5316) Budget Information]{.underline}

Use the chart of activity line item (ALI) codes on TEAM Web to prepare a
consolidated budget for the entire program of projects (Appendix B).
Group related line items under appropriate scope codes. The scope is
usually identified by the first three digits of the ALI followed by a
two digit sequence number. A few exceptions for the JARC, 5316 program,
are noted below. The same scope may be used more than once in a complex
budget. If so, the repeated scope is numbered sequentially. For each
ALI, enter the net project cost and the Federal share. The TEAM system
generates standard descriptions for each ALI code, but the text may be
overridden to enter more specific descriptions.

Show both net cost and Federal share for each ALI. The maximum Federal
share for capital and planning is 80% and for operating is 50%. Program
Administration does not require a local share.

[CAPITAL]{.underline}

Use of the correct ALI codes identifies all vehicles as replacement or
expansion, and indicates the size and type of vehicle or equipment.
Enter a quantity for each vehicle ALI. For example, if there are 10
subrecipients in the program of projects and each will receive three
replacement vans and one will get a mid sized bus for new service, the
scope 111 (Bus, revenue rolling stock) would include two ALI codes -
11.12.15, quantity 30, and 11.13.03, quantity 1. The individual
recipients and types of service provided could be identified in extended
text. Through TEAM, FTA is able to use this information to generate
detailed reports electronically on the use of program funds.

Use as many capital scopes and activity codes as necessary to aggregate
capital projects from the program of projects.

[OPERATING]{.underline}

The ALI for operating assistance for all FTA programs is 30.09.00. The
grant project number is sufficient to identify the program as JARC or
Section 5316. Operating assistance should be shown under scope 300.

[OTHER PROGRAM COSTS]{.underline}

Use the scope 600 for program administration (11.80.00).

[PLANNING]{.underline}

Planning ALI codes should be used only for planning project under the
JARC program. Other planning activities under program administration
should not use separate planning codes.

[NON-ADD SCOPES]{.underline}

FTA uses non-add scopes in the project budget to track the use of the
enhanced Federal share for vehicle related equipment and facilities
required for ADA or Clean Air Act compliance, for tribal projects, and
for other special initiatives. Include under these non-add scopes the
portions of ALIs used elsewhere in the project budget for these
purposes. The amounts included in the non-add scopes are not computed in
the budget totals.

[ACCOUNTING CLASSIFICATION CODES]{.underline}

FTA uses accounting classification codes to indicate the source of funds
in a grant. Each digit in the code has a specific meaning. For example,
the accounting classification code 2006.25.37.JL.2 provides the
following information:

The accounting classification codes have the following structure and
meaning:

  Positions 1-4: "Year" -- indicates the year of appropriation or
allocation of the funds.

>  
>
> Positions 5-6: "Appropriations" - indicates which of the several large
> FTA accounts is being used to fund the grant. For example, '25'
> represents the Formula and Bus account funded entirely from the Mass
> Transit Account of the Highway Trust Fund.
>
>  
>
> Positions 7-8: "Section" -- indicates the program under which the
> funds are being awarded. Many of the codes were established before the
> FTA Act was codified and refer to the former section numbers in the
> old statute (e.g. Section 5310 used to be Section 16).
>
>  
>
> Positions 9-10: "Limitation" -- allows us to track set-asides,
> transfers, limits, and special uses. The next two limitation codes
> indicate the specific program source of the funds. Section 5316
> apportionment codes are JL, JM, JS, RL, RM and RS. The (J) represents
> Job Access / the (R) represents Reverse Commute. (L) represents areas
> greater than 200k, (M) represents areas between 50K and 200K and (S)
> represents areas less than 50K. Funds transferred from Section 5316 to
> 5311 are coded (J8) and funds transferred from Section 5316 to 5307
> are coded (J9).
>
>  
>
> Position 11: Indicates whether funds are appropriated general funds
> (1) or contract authority (2). The funds from the Mass Transit Account
> ("trust funds") are coded 2 for contract authority.

[FINANCIAL PURPOSE CODES]{.underline}

When the funds are obligated for a grant, FTA uses a financial purpose
code (FPC) to indicate any broad statutory restrictions on the funds.
All funds obligated for capital use FPC 00, for planning use FPC 02, for
operating use FPC 04 and within the 10% cap for program administration
use FPC 06. When an ECHO drawdown request is made, grantee replace the X
in the project number with an 0 for capital, 2 planning, 4 for operating
and 6 for program administration.

Page intentionally left blank.

Appendix D

[Sample Approved Budget]{.underline}

SAMPLE APPROVED PROJECT BUDGET

GRANTEE: ANY STATE DEPARTMENT OF TRANSPORTATION

CAPITAL, ANY STATE

PROJECT NO.: ST-37-X015-00 BUDGET NO.: 01

+------+------------------------------------------+---------+---------+
|      |                                          | FEDERAL | TOTAL   |
|      |                                          | [AMOUN  | [AMOUN  |
|      |                                          | T]{.und | T]{.und |
|      |                                          | erline} | erline} |
+------+------------------------------------------+---------+---------+
| S    |                                          |         |         |
| COPE |                                          |         |         |
+------+------------------------------------------+---------+---------+
| 11   | BUS ROLLING STOCK\                       | \$1,    | \$2,    |
| 1-01 | QUANTITY 16\...\...                      | 667,220 | 084,025 |
+------+------------------------------------------+---------+---------+
|      | ACTIVITY\                                | \$1,    | \$1,    |
|      | 11.12.01 PURCHASE REPLACEMENT\           | 490,000 | 862,500 |
|      |      \<30 FT. BUSES WITH LIFTS\          |         |         |
|      |           QUANTITY 8                     |         |         |
+------+------------------------------------------+---------+---------+
|      | 11.12.15 PURCHASE REPLACEMENT\           | \$      | \$      |
|      |      VANS WITH LIFTS\                    | 177,220 | 221,525 |
|      |           QUANTITY 8                     |         |         |
+------+------------------------------------------+---------+---------+
|      |                                          |         |         |
+------+------------------------------------------+---------+---------+
| S    | OPERATING ASSISTANCE \...\...            | \$1,    | \$3,    |
| COPE |                                          | 759,408 | 518,816 |
| 30   |                                          |         |         |
| 0-01 |                                          |         |         |
+------+------------------------------------------+---------+---------+
|      | ACTIVITY\                                | \$1,    | \$3,    |
|      | 30.09.00 OPERATING ASSISTANCE            | 759,408 | 518,816 |
+------+------------------------------------------+---------+---------+
|      |                                          |         |         |
+------+------------------------------------------+---------+---------+
| S    | OTHER PROGRAM COSTS \...\...             | \$      | \$      |
| COPE |                                          | 380,736 | 380,736 |
| 60   |                                          |         |         |
| 0-01 |                                          |         |         |
+------+------------------------------------------+---------+---------+
|      | ACTIVITY\                                | \$      | \$      |
|      | 11.80.00 PROGRAM ADMINISTRATION          | 380,736 | 380,736 |
+------+------------------------------------------+---------+---------+
|      |                                          |         |         |
+------+------------------------------------------+---------+---------+
| T    | \...\...\...\...\...\...\...\...\.....   | \$3,    | \$5,    |
| OTAL |                                          | 807,736 | 983,577 |
+------+------------------------------------------+---------+---------+
|      |                                          | \$5,    |         |
|      |                                          | 983,577 |         |
|      | ESTIMATED NET PROJECT COST               |         |         |
+------+------------------------------------------+---------+---------+
|      | FEDERAL SHARE                            | \$3,    |         |
|      |                                          | 807,736 |         |
+------+------------------------------------------+---------+---------+
|      | LOCAL SHARE                              | \$2,    |         |
|      |                                          | 175,841 |         |
+------+------------------------------------------+---------+---------+

SOURCES OF FEDERAL FINANCIAL ASSISTANCE

FUNDING UZA: 250000     FUNDING UZA NAME: ANY STATE

+--------------+---+----------------+---------+---------+---+--------+---+
| ACCOUNTING\  | F | DESCRIPTION    | PREV    | AME     |   | [      |   |
| CL           | P |                | IOUSLY\ | NDMENT\ |   | TOTAL] |   |
| ASSIFICATION | C |                | A       | [AMOUN  |   | {.unde |   |
|              |   |                | PPROVED | T]{.und |   | rline} |   |
|              |   |                |         | erline} |   |        |   |
+--------------+---+----------------+---------+---------+---+--------+---+
| 0            | 0 | FY 2006 SEC    |         | \$1,    |   | \$1,6  |   |
| 6.25.37.JL.2 | 0 | 5316\          |         | 667,220 |   | 67,220 |   |
|              |   | CAPITAL        |         |         |   |        |   |
| 0            | 0 |                |         | \$1,    |   | \$1,7  |   |
| 6.25.37.JL.2 | 4 | OPERATING      |         | 759,408 |   | 59,408 |   |
+--------------+---+----------------+---------+---------+---+--------+---+
| 0            | 0 | FY 2006, SEC   |         | \$      |   | \$3    |   |
| 6.25.37.JL.2 | 6 | 5316\          |         | 380,736 |   | 80,736 |   |
|              |   | PROGRAM ADM.   |         |         |   |        |   |
+--------------+---+----------------+---------+---------+---+--------+---+
|              |   |                | TOTAL   | \$3,    |   | \$3,8  |   |
|              |   |                |         | 807,364 |   | 07,364 |   |
|              |   |                |         |         |   |        |   |
+--------------+---+----------------+---------+---------+---+--------+---+

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Appendix E

[FTA Regional Offices]{.underline}

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

[Region/States Office/Address Telephone No.\_]{.underline}

I. Connecticut, Maine, FTA Regional Administrator, (617) 494-2055

Massachusetts, New Kendall Square, 55

Hampshire, Rhode Island, Broadway, Suite 920,

and Vermont Cambridge, MA 02142-1093

II\. New York, New Jersey, FTA Regional Administrator, (212) 668-2170

and U.S. Virgin Islands One Bowling Green, Room 429,

New York, NY 10014-1415

III\. Delaware, District of FTA Regional Administrator, (215) 656-7100

Columbia, Maryland, 1760 Market Street, Suite 500,

Pennsylvania, Virginia, and Philadelphia, PA 19103-4124

West Virginia

IV\. Alabama, Florida, Georgia, FTA Regional Administrator, (404)
562-3500

Kentucky, Mississippi, North Atlanta Federal Center, Suite

Carolina, Puerto Rico, South 17T50, 61 Forsyth Street, S.W.,

Carolina, and Tennessee Atlanta, GA 30303

V. Illinois, Indiana, FTA Regional Administrator, (312) 353-2789

Minnesota, Michigan, Ohio, 200 West Adams Street,

and Wisconsin Suite 320, Chicago, IL 60606

VI\. Arkansas, Louisiana, New FTA Regional Administrator (817) 978-0550

Mexico, Oklahoma, and Texas 819 Taylor Street, Room 8A36,

Fort Worth, TX, 76102

VII\. Iowa, Kansas, Missouri, FTA Regional Administrator, (816) 329-3920

and Nebraska 901 Locust Street, Suite 404,

Kansas City, MO, 64106

VIII\. Colorado, Montana, FTA Regional Administrator, (720) 963-3300

North Dakota, South Dakota, Dept. of Transportation, FTA,

Utah, and Wyoming 12300 W. Dakota Ave., Suite 310,

Lakewood, CO, 80228-2583

IX\. Arizona, California, FTA Regional Administrator, (415) 744-3133

Hawaii, Nevada, Guam, 201 Mission Street, Suite 1650,

American Samoa, and San Francisco, CA 94105

Northern Mariana Islands

X. Alaska, Idaho, Oregon FTA Regional Administrator, (206) 220-7954

and Washington Jackson Federal Building, 915

Second Avenue, Suite 3142,

Seattle, WA, 98174-1002

Lower Manhattan FTA LMRO Director, (212) 668-1770

Recovery Office One Bowling Green, Room 436,

New York, NY 10004

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Appendix F

[Technical assistance in human service transportation]{.underline}

The U.S. Department of Transportation, Federal Transit Administration
and partners at the U.S. Departments of Health and Human Services,
Labor, and Education support a range of technical assistance initiatives
for coordinating human service transportation. These programs and
centers are charged with providing training, resources, and direct
assistance to communities and states interested in enhancing the
mobility and transportation options for all citizens, including older
adults, individuals with disabilities, and people with low incomes. The
following list includes technical assistance and training resources
available for various aspects of human service transportation:

[National Rural Transit Assistance Program]{.underline}

C/O American Public Works Association

1401 K ST, N.W. 11^th^ Floor

Washington, D.C. 20002

202-408-9542

www.APWA.net

The National Rural Transit Assistance Program (RTAP) was established by
the Federal Transit Administration in 1987 to provide a wide range of
professional services and products. The National RTAP, administered by
the American Public Works Association, provides outreach and training to
each State's RTAP and coordinates with other organizations involved in
rural transit. The National RTAP also works collaboratively with the
Community Transportation Association of America to operate a national
toll-free telephone line, a web page, a national peer-to-peer technical
assistance network and various presentations and publications and
fulfillment services for National RTAP products.

[Project ACTION]{.underline}

1425 K Street, Suite 200

Washington, D.C. 20005

1-800-659-6428

www.projectaction.org

Easter Seals Project ACTION (Accessible Community Transportation in Our
Nation) is a national technical assistance project funded through a
cooperative agreement with FTA. The mission of Easter Seals Project
ACTION is to encourage and facilitate cooperation between the disability
and transportation communities with the goal of achieving universal
access through transportation for persons with disabilities nationwide.

Easter Seals Project ACTION offers various resources, including a
toll-free hotline, Web site, publications clearinghouse, and quarterly
newsletter, as well as training and technical assistance, in an effort
to make the ADA work for everyone, everyday.

[National Job Links Employment Transportation Initiative]{.underline}

341 G St. N.W. 10^th^ Floor

Washington, D.C. 20005

1-800-527-8279

http://www.ctaa.org/ntrc/atj/joblinks/index.asp

The National Joblinks Employment Transportation Initiative, known as
Joblinks, is funded by the U.S. Departments of Transportation and Labor.
Joblinks is a program designed to help communities overcome one of the
most significant barriers preventing individuals with low incomes from
getting and keeping jobs - transportation. Joblinks has a national
peer-to-peer network that links local agencies with experienced
practitioners familiar with the human services and workforce development
environments and knowledgeable about special client transportation
needs.

Through Joblinks, communities can receive access to technical assistance
and training specialists who can provide solid problem-solving technical
support, particularly in the areas of coordinating client transportation
resources and operations, marketing, system start-up and financing,
human resource management, and developing accessible services. Job Links
also supports an on-line information center that connects you with
employment transportation news, resources and ideas. Joblinks is
administered by the Community Transportation Association of America.

[National Technical Assistance Center in Senior
Transportation]{.underline}

1425 K Street, Suite 200

Washington, D.C. 20005

1-800-659-6428

www.projectaction.org

The National TA Center in Senior Transportation focuses on the
transportation needs of older adults. The Center conducts analysis of
technical assistance needs assist local communities and States. Through
analysis and assessment, the national center also provides technical
assistance and training on specific strategies for enhancing senior
mobility. The Center focuses on a family of services that includes
driving transition, travel training for fixed route bus, paratransit
services, and alternative transportation options including door through
door, volunteer, and taxi programs.

[Intelligent Transportation System (ITS) Peer to Peer
Program]{.underline}

Federal Highway Administration

400 7^th^ St. Room 3416 Washington, D.C. 20590

866-367-7487

www.its.dot.gov

The ITS Peer-to-Peer Program provides assistance through its network of
over 120 US DOT approved ITS professionals who have planned, implemented
and operated ITS in urban and rural areas. Most of the Program\'s Peers
are public sector ITS practitioners.

# The Peer to Peer Program delivers short term assistance according to an agency's ITS needs. Assistance may include telephone consultations, off-site document reviews, presentations, and visits to the site. The program continues to assist metropolitan and rural clients to create solutions for a variety of highway, transit, and motor carrier interests. The program offers assistance in virtually all areas of ITS planning, design, deployment and operations.

#  {#section-5}

[National Transit Institute]{.underline}

120 Albany Street 7^th^ Floor

New Brunswick, New Jersey 08901

732 932-1700

www.ntionline.com

The National Transit Institute at Rutgers University was established in
1992 to conduct training and educational programs related to public
transportation. Funded by FTA, NTI's mission is to provide training,
education, and clearinghouse services in support of public
transportation and quality of life in the United States. Training is
available to public transportation agencies, Metropolitan Planning
Organizations, state Department of Transportation and other agencies
providing transportation services.

[Transit Cooperative Research Program]{.underline}

C/O American Public Transportation Association

1666 K Street, 11^th^ Floor, NW

Washington, D.C. 20006

202-496-4800

www.TCRPonline.org

The Transportation Cooperative Research Program (TCRP) is your ticket to
information central. Practical research that yields near term results
can do much to help - by solving operational problems, adoptions useful
technologies from related industries and, in general, finding ways for
public transportation to be innovative. Funded by USDOT and FTA, the
program places primary emphasis on putting the results in the hands of
organizational and individuals that can use them to solve problems. The
information is easily accessible through print, web documents, CD ROMS
and diskettes, and it is free through the American Public Transportation
Association's TCRP Dissemination Center.

[Multi-State Technical Assistance Program]{.underline}\
C/O American Association of Highway and Transportation Officials

444 North Capitol Street NW Suite 249\
Washington, DC 20001\
Tel: (202) 624-3625 Fax: (202) 624-3625

www.mtap.org

#  {#section-6}

The purpose of Multi-State Technical Assistance Program (MTAP) is to
provide a forum through which state-level public transportation agencies
can communicate with each other about federal transit regulations, grant
program management, and technical issues pertaining to everyday
administration of public transportation service. The MTAP program was
developed to benefit the member states as well as their federal program
counterparts and local transit operators. Networking among the states is
conducted through two annual meetings, peer-to-peer assistance,
conference calls, and electronic communication. MTAP is administered by
the American Association of State Highway and Transportation Officials
(AASHTO).

[Community Transportation Assistance Project]{.underline}

341 G St. N.W. 10^th^ Floor

Washington, D.C. 20005

1-800-527-8279

www.CTAA.org

The Community Transportation Assistance Project (CTAP) can help provide
answers to questions about transportation services targeted for older
adults, individuals with low incomes, children and families and persons
with disabilities. Funded by the U.S. Department of Health and Human
Services, these services may include access to health care, childcare,
employment and other social services in urban and rural areas. CTAP
offers technical assistance to organizations and agencies at the state
and local levels working to enhance community mobility and coordination
of transportation services. The Information Station can connect clients
with important community transportation news, publications, resources
and information on Coordination, Employment, Medical, Rural, Senior, and
Accessible Transportation. CTAP is managed by the Community
Transportation Association of America.