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> U.S. Department
>
> of Transportation
>
> **Federal Transit**
>
> **Administration**

Date: May 2007

RE: Becoming a FTA Grantee

Dear Recipient of the FTA's Program Funds:

Congratulations! Your agency has been allocated \$\$\$ in FY 2007 FTA
Section 5309 Bus & Bus Facilities program funds or High Priority earmark
funds, as shown in the Federal Register dated March 23, 2007, titled
"FTA Fiscal Year 2007 Apportionments and Allocations and Program
Information; Notice" under Table 12. Also see:
<http://a257.g.akamaitech.net/7/257/2422/01jan20071800/edocket.access.gpo.gov/2007/pdf/07-1290.pdf>

This letter describes and summarizes the forms and processes that you
need to complete in order to access your FTA funds. Listed below are the
documents that FTA needs to establish your organization as an eligible
grantee, and for you to access FTA's computer systems (Transportation
Electronic Award Management System or **TEAM**) for applying for grants
and drawing down awarded funds. Information is also provided regarding
required planning and environmental documentation that must be included
in a grant application. Links to FTA website containing various
information are also provided throughout this letter.

**PROJECT ELIGIBILITY:** These FTA Section 5309 Bus program funds can be
used for planning, design, and construction of an inter-modal parking
facility, as specified in the Congressional earmark description. The
federal/non-federal match ratio is 80:20. The period of funding
availability for Section 5309 Bus program funds is three years. For
example, FY2007 Section 5309 Bus program funds must be obligated (i.e.
approved in a grant) by September 30, 2009; otherwise, they will lapse.

For High Priority earmark funds, please contact Pat Hendrix of FTA
Region 10 Office. Pat's contact information is listed in Paragraph #2
below.

### **1. Legal -- One-Time Files for government applicants**

> Please provide a letter from your agency attorney covering the points
> below:

1.  For particular agencies or special purpose units of government, copy
    of your statutory authority providing for their formation and
    stating what are your authorized powers.

2.  Letter from the attorney stating that the division, unit of
    government or local government has the authority to apply for and
    receive Federal funds.

> 3\. For local governments or agencies run by councils or boards, a
> letter from their attorney stating whether council or board
> resolutions are needed to apply for and accept Federal grants; and if
> appropriate.
>
> 4\. For local governments or agencies that require council or board
> authorization to apply for and accept Federal grants, a copy of the
> council or board resolution authorizing a delegated representative to
> apply for and accept the Federal grant.
>
> Please send these one-time files to the attention of:
>
> Theodore (Ted) Uyeno
>
> Legal Counsel
>
> Federal Transit Administration -- Region 10
>
> 915 Second Avenue, Suite 3142
>
> Seattle, WA 98174-1002.
>
> (Ted's contact information: Phone: 206-220-7958, fax 206-220-7959;
> e-mail: <ted.uyeno@dot.gov>)

### **2.** **Civil Rights -- Title VI**

> [***Attachment
> A***](../05%20-%20Attachment%20A%20-%20Title%20VI%20assurances%20with%20highlights.doc)
> contains documents required for Title VI Assurances, which need to be
> signed once only, plus a page from the statute describing the
> documentation that needs to be submitted at least once every three
> years. [***Attachment
> B***](../06%20-%20Attachment%20B%20-%20Title%20VI%20data%20&%20reporting%20requirements.doc)
> is the FTA circular/guidance on Title VI data collection and
> requirements.
>
> Please send the completed documents to the attention of:
>
> Debbie Ensor
>
> Administrative Program Assistant
>
> Federal Transit Administration -- Region 10
>
> 915 Second Avenue, Suite 3142
>
> Seattle, WA 98174
>
> (Debbie's contact information: Phone 206-220-7950, FAX 206-220-7959,
> e-mail <deborah.ensor@dot.gov>)
>
> If you have any questions regarding any Civil Rights issues, please
> contact Pat Hendrix using the following contact information. If
> necessary, Pat will coordinate with Rebecca Tanrath, Region 10's
> interim Civil Rights Officer.
>
> Pat Hendrix
>
> Grants Manager
>
> Federal Transit Administration -- Region 10
>
> Phone: 206-220-4465
>
> FAX: 206-220-7959
>
> E-mail: <patricia.hendrix@dot.gov>

#### 3. Civil Rights -- Disadvantaged Business Enterprise (DBE) Plan and Annual Goal

### Grantees who contract out more than \$250,000 in FTA funding (excluding funds for vehicle purchases) must file a DBE plan and annual goal (including description of the methodology used to calculate it) with FTA. Information about DBE plans and goals can be found at <http://www.fta.dot.gov/civilrights/civil_rights_5089.html>, which contains guidance for DBE Program Administrators. 

**4.** **Civil Rights -- Equal Employment Opportunity (EEO)**

> If your agency has more than 50 transit-related employees, you also
> need to submit an Equal Employment Opportunity plan. Please contact
> Pat Hendrix for more information (see above for Pat's contact
> information).

#### 6.  FTA Annual Certifications and Assurances

> [***Attachment
> C***](../07%20-%20Attachment%20C%20-%20FY2007%20Certs%20and%20Assurances.doc)
> is a copy of the [FY 2007 FTA Certifications and
> Assurances]{.underline} (C&A), which must be signed
> [first]{.underline} by an agency official (usually the General Manager
> or equivalent) and [then]{.underline} by the agency attorney. The part
> that has to be filled out and signed is on the last couple of pages.
> FTA strongly prefers that you indicate agreement with the C&A by
> "PINNing" them in FTA's TEAM system -- see Paragraph #4 "FTA TEAM
> computer system" below. When you fill out the C&A form, please check
> only the items that apply to your grant. For example, if you are only
> applying for a planning grant, you would not check the Charter Bus
> item. However, if you are going to be purchasing rolling stock or
> building a bus facility, you would check the Charter Bus item. Also
> attached is a copy of FTA's [Master Agreement for FY
> 2007]{.underline}, which is essentially a "grant contract" with the
> FTA **--** see [***Attachment
> D***](../08%20-%20Attachment%20D%20-%20FFY%202007%20Master%20Agreement.doc).

## **7.** **DUNS number**

> As part of the requirement of becoming an FTA grantee, FTA is required
> to get your agency's DUNS (Data Universal Numbering System) number,
> which is issued by Dun and Bradstreet (D&B). This number must be
> entered in your agency's recipient profile in TEAM. If you do not yet
> have one, please see [***Attachment
> E***](../09%20-%20Attachment%20E%20-%20Dear%20Colleague%20Letter%20for%20DUNS%20Nuumbers.doc),
> which is "Dear Colleague" letter regarding DUNS number, or go to the
> following website to obtain one:
> <http://ftateamweb.fta.dot.gov/teamweb/duns_info.html>

## **8.**  **FTA TEAM computer system**

> The TEAM system is used to apply for grants and to enter and submit
> the required quarterly or annual financial status reports (FSR) and
> milestone progress reports (MPR). This means that persons in your
> agency who will perform these tasks will need access to TEAM. FTA also
> awards grants through TEAM, so the agency official(s) who would
> normally sign grant applications and contracts needs to have a PIN
> (personal identification number), which he or she will use to submit
> grant applications and/or execute grant contracts. The agency attorney
> and general manager will also need access to TEAM and PIN numbers for
> the annual Certifications & Assurances.
>
> TEAM may be accessed on the web at
> [http://ftateamweb.fta.dot.gov](http://ftateamweb.fta.dot.gov/). You
> must have Internet Explorer 5.5 or higher. It helps to have high-speed
> internet access. FTA provides regular training on how to use the
> system via telephone conference. This takes about two hours and is
> helpful. FTA will send you information about the TEAM training
> opportunities after you have submitted your user request forms.
>
> In order to get user accounts set up in TEAM, please use the
> following:
>
> 1\) [***Attachment
> F***](../10%20-%20Attachment%20F%20-%20Request%20for%20addition%20to%20vendor%20file.xls)
> is the "Request for Addition to Vendor File Award (TEAM)" form, which
> is used to request a vendor number for your agency.
>
> 2\) [***Attachment
> G***](../11%20-%20Attachment%20G%20-%20TEAM%20User%20Acces%20Request%20Forms%20&%20Instructions.pdf),
> which is the "TEAM User Request Form & Instructions**".** This form
> must be filled out to set up an account for each person who will be
> using TEAM.
>
> These forms should be accompanied by a letter from the appropriate
> agency official authorizing each of the TEAM users to have access to
> TEAM for the specific functions specified on the form. When completed,
> please mail these forms to Elizabeth (Beth) Sier at the FTA Region 10
> address above. For further information, please contact:
>
> Elizabeth (Beth) Sier
>
> Transportation Program Specialist
>
> Federal Transit Administration -- Region 10
>
> Phone: 206-220-7956
>
> FAX: 206-220-7959
>
> E-mail at <elizabeth.sier@dot.gov>

### 

### **9.** **FTA Electronic Clearing House Operation (ECHO) computer system**

> ECHO is the FTA's web-based application that is used after a grant has
> been awarded to draw down funds for expenses. Below is a list of
> attachments related to the ECHO-Web system:

-   *[**Attachment
    H**](../12%20-%20Attachment%20H%20-%20ECHO-Web%20Registration%20Letter(9-1-04).doc)*
    contains the information regarding the ECHO-Web application.

-   *[**Attachment
    I**](../13%20-%20Attachment%20I%20-%20Instruction%20for%20ECHO%20User%20Setup%20Forms.doc)*
    contains instructions for completing the ECHO-Web User Setup Form.

-   *[**Attachment
    J**](../14%20-%20Attachment%20J%20-%20ECHOWeb%20User%20Auth%20and%20Cert%20Form.doc)*
    contains ECHO-Web User Authorization and Certification Form.

-   *[**Attachment
    K**](../15%20-%20Attachment%20K%20-%20ECHO-Web%20User%20Request%20Form.xls)*
    contains ECHO-Web User Request Form

-   *[**Attachment
    L**](../16%20-%20Attachment%20L%20-%20ECHO-Web%20Rules%20of%20Conduct%20Form.pdf)*
    contains ECHO-Web Rules of Conduct certification form.

-   *[**Attachment
    M**](../17%20-%20Attachment%20M%20-%20ECHOWeb%20User%20Manual%20Oct2005.pdf)*
    contains ECHO-Web User Manual

-   [***Attachment
    N***](../18%20-%20Attachment%20N%20-%20Payment%20Information%20Form%20&%20Instructions.doc)
    contains "Payment Instruction Form" and instructions for drawing
    down funds using ECHO/ACH systems.

### 

### **10.**  **Grant Application**

> Typically, basic information needed for a grant application include:

-   Recipient information

-   Project description

-   Project budget

-   Project milestone/schedule

-   Fleet Status

-   Documentation of environmental review approval by FTA, if applicable

**11. PLANNING**

> FTA requires that the project and FTA funding must be included in your
> state's State Transportation Improvement Program (STIP). The
> application must include the date that the STIP (or STIP amendment)
> containing the project/funding was [approved by FTA.]{.underline}
> Note: if the project is for a planning study (not PE), the project
> must also be in the Unified Planning Work Program (UPWP) and you'll
> need the approval date of that document. If you have any questions in
> this area, please contact:
>
> Ned Conroy
>
> Community Planner
>
> Federal Transit Administration -- Region 10
>
> Phone: 206-220-4318
>
> FAX: 206-220-7959
>
> E-mail: <ned.conroy@dot.gov>

**12. ENVIRONMENT**

> FTA must consider the environmental impacts of your project under the
> National Environmental Policy Act (NEPA). You will need to provide
> environmental analysis and review documentation for any project
> involving construction.
>
> [***Attachment
> O***](../19%20-%20Attachment%20O%20-%20DCE%20Worksheet%20Apr05.doc) is
> Documented Categorical Exclusion (DCE) Checklist that FTA Region 10
> has prepared for your use as a screening tool for the level of
> environmental analysis. [***Attachment
> P***](../20%20-%20Attachment%20P%20-%20ESA%20Screening%20Checklist%20(incl.%20PBA%20list).doc)
> is the Endangered Species Act (ESA) Screening Checklist, which is also
> included if the project might have impacts to the endangered species
> listing. For more information about NEPA requirements for your
> specific project, please contact:
>
> Dan Drais
>
> Environmental Manager
>
> Federal Transit Administration -- Region 10
>
> Phone: 206-220-4307
>
> FAX: 206-220-7959
>
> E-mail: daniel.drais@dot.gov

**13. DEPARTMENT OF LABOR INFORMATION**

> Almost all FTA grant applications have to be reviewed and certified by
> the U.S. Department of Labor (DOL) for employee protection
> certification as required under Section 5333 of the Transit Law.
> [***Attachment
> Q***](../21%20-%20Attachment%20Q%20-%20DOL%20Application%20Checklist.doc)
> is a checklist of the information required by DOL to be included in
> the grant application.

**14. Procurement**

> In order for grantees to be reimbursed for project costs incurred as a
> result of procurement of equipment or professional services, the
> grantee must comply with the procurement requirements set forth by the
> FTA. [***Attachment
> R***](../22%20-%20Attachment%20R%20-%20Procurement%20Requirements%20&%20Sources%20of%20Info.doc)
> is a list of FTA website links containing information in this area. If
> you have any information, please contact:
>
> Pat Hendrix
>
> Grants Manager
>
> Federal Transit Administration, Region 10
>
> Phone: 206-220-4465
>
> E-mail: <patricia.hendrix@dot.gov>

**15. Timeline for Grant Approval**

> You may start drafting the grant application as soon as you have
> access to TEAM. You cannot officially "PIN to Submit" the grant
> application in TEAM until FTA determines that you have completed all
> the required documentation. Once the application has been officially
> submitted, grant review and approval generally takes about 36 days.
> For more information, please contact Pat Hendrix. (See above for Pat's
> contact information.)

**16. Program Guidance Circulars**

> For the complete program guidance document for FTA Section 5309 Bus &
> Bus Facilities program, please use the following link to access FTA's
> website: <http://www.fta.dot.gov/laws/circulars/leg_reg_4128.html>
> (Capital Program - Grant Application Instructions, FTA Circular
> 9300.1C).
>
> For High Priority earmarks, please contact Pat Hendrix (see above for
> Pat's contact information). For FTA's Grants Management Guideline,
> please use the following link:
> <http://www.fta.dot.gov/laws/circulars/leg_reg_4114.html>

If you have any questions about any requirement described in this
letter, please don't hesitate to contact Pat Hendrix at 206.220.4465 or
by e-mail at <patricia.hendrix@dot.gov>.

Attachments:

A.  [Title VI Assurances with
    Highlights](../05%20-%20Attachment%20A%20-%20Title%20VI%20assurances%20with%20highlights.doc)

B.  [Title VI Data & Reporting
    Requirements](../06%20-%20Attachment%20B%20-%20Title%20VI%20data%20&%20reporting%20requirements.doc)

C.  [FY 2007 Certifications &
    Assurances](../07%20-%20Attachment%20C%20-%20FY2007%20Certs%20and%20Assurances.doc)

D.  [FY 2007 FTA Master
    Agreement](../08%20-%20Attachment%20D%20-%20FFY%202007%20Master%20Agreement.doc)

E.  ["Dear Colleague" Letter on DUNS
    Number](../09%20-%20Attachment%20E%20-%20Dear%20Colleague%20Letter%20for%20DUNS%20Nuumbers.doc)

F.  [Request for Addition To Vendor File Award
    (TEAM)](../10%20-%20Attachment%20F%20-%20Request%20for%20addition%20to%20vendor%20file.xls)

G.  [TEAM New User Request
    Form](../11%20-%20Attachment%20G%20-%20TEAM%20User%20Acces%20Request%20Forms%20&%20Instructions.pdf)

H.  [ECHO-Web Registration
    Letter](../12%20-%20Attachment%20H%20-%20ECHO-Web%20Registration%20Letter(9-1-04).doc)

I.  [ECHO-Web User Setup
    Instructions](../13%20-%20Attachment%20I%20-%20Instruction%20for%20ECHO%20User%20Setup%20Forms.doc)

J.  [ECHO-Web User Authorization and Certification
    Form](../14%20-%20Attachment%20J%20-%20ECHOWeb%20User%20Auth%20and%20Cert%20Form.doc)

K.  [ECHO-Web User Request
    Form](../15%20-%20Attachment%20K%20-%20ECHO-Web%20User%20Request%20Form.xls)

L.  [ECHO-Web Rules of Conduct Certification
    Form](../16%20-%20Attachment%20L%20-%20ECHO-Web%20Rules%20of%20Conduct%20Form.pdf)

M.  [ECHO-Web User
    Manual](../17%20-%20Attachment%20M%20-%20ECHOWeb%20User%20Manual%20Oct2005.pdf)

N.  [ECHO/ACH Payment Information
    Form](../18%20-%20Attachment%20N%20-%20Payment%20Information%20Form%20&%20Instructions.doc)

O.  [Documented Categorical Exclusion (DCE)
    Worksheet](../19%20-%20Attachment%20O%20-%20DCE%20Worksheet%20Apr05.doc)

P.  [Endangered Species Act (ESA) Screening
    Checklist](../20%20-%20Attachment%20P%20-%20ESA%20Screening%20Checklist%20(incl.%20PBA%20list).doc)

Q.  [Department of Labor (DOL) Application
    Checklist](../21%20-%20Attachment%20Q%20-%20DOL%20Application%20Checklist.doc)

R.  [Procurement Requirements & Sources of
    Information](../22%20-%20Attachment%20R%20-%20Procurement%20Requirements%20&%20Sources%20of%20Info.doc)