[Federal Register Volume 74, Number 55 (Tuesday, March 24, 2009)]
[Notices]
[Pages 12447-12455]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-6420]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Solicitation of Comments and Notice of Availability of Fiscal 
Year 2009 Funding for Transit Investments for Greenhouse Gas and Energy 
Reduction Grants

AGENCY: Federal Transit Administration, DOT.

ACTION: Interim notice of funding availability, request for comments.

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SUMMARY: The American Recovery and Reinvestment Act of 2009 (ARRA) 
appropriated $100 million for a new discretionary grant program for 
public transportation projects that reduce a transit system's 
greenhouse gas emissions or result in a decrease in a transit system's 
energy use. Because of time limitations in ARRA funding, this notice 
announces the availability of the new grant program, application 
requirements, and deadlines for submitting grant proposals for funding. 
However, because the Transit Investments for Greenhouse Gas and Energy 
Reduction (TIGGER) program is a new grant program, FTA also is 
accepting comments on the program's provisions and may alter some of 
the requirements in response to comments.

DATES: Comments must be received by April 7, 2009. Late-filed comments 
will be considered to the extent practicable. Complete proposals for 
the TIGGER Grant Program must be submitted by May 22, 2009.

[[Page 12448]]


ADDRESSES: For Comments: You must include the agency name (Federal 
Transit Administration) and the docket number (FTA-2009-0013) with your 
comments. To ensure your comments are not entered into the docket more 
than once, please submit comments, identified by the docket number 
(FTA-2009-0013) by only one of the following methods:
    1. Web site: The U.S. Government electronic docket site is 
www.regulations.gov. Go to this Web site and follow the instructions 
for submitting comments into docket number FTA-2009-0013;
    2. Fax: Telefax comments to 202-493-2251;
    3. Mail: Mail your comments to U.S. Department of Transportation, 
1200 New Jersey Avenue SE., Docket Operations, M-30, Room W12-140, 
Washington, DC 20590; or
    4. Hand Delivery: Bring your comments to the U.S. Department of 
Transportation, 1200 New Jersey Avenue SE., Docket Operations, M-30, 
West Building Ground Floor, Room W12-140, Washington, DC 20590, between 
9 a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    Instructions for submitting comments: You must include the agency 
name (Federal Transit Administration) and Docket number (FTA-2009-0013) 
for this notice at the beginning of your comments. You should submit 
two copies of your comments if you submit them by mail or courier. For 
confirmation that FTA has received your comments, you must include a 
self-addressed stamped postcard. Note that all comments received will 
be posted without change to www.regulations.gov, including any personal 
information provided, and will be available to Internet users. You may 
review DOT's complete Privacy Act Statement in the Federal Register 
published April 11, 2000, (65 FR 19477), or you may visit 
www.regulations.gov.
    For Proposals: Proposals must be submitted electronically via e-
mail at <a href="/cdn-cgi/l/email-protection#ce889a8fe39a8789898b9c8eaaa1bae0a9a1b8"><span class="__cf_email__" data-cfemail="2a6c7e6b077e636d6d6f786a4e455e044d455c">[email protected]</span></a>. FTA will announce grant selections in the 
Federal Register when the selection process is complete.
    This announcement is available on the Internet on the FTA Web site 
at: http://www.fta.dot.gov. FTA will take all comments into 
consideration and may publish a follow up document revising some 
elements of the proposal. If FTA determines that no substantive changes 
need be made in the Notice of Funding Availability, then all comments 
will be responded to when FTA publishes a Federal Register notice 
announcing the successful proposals. Proposals must be submitted to FTA 
electronically at <a href="/cdn-cgi/l/email-protection#9ddbc9dcb0c9d4dadad8cfddf9f2e9b3faf2eb"><span class="__cf_email__" data-cfemail="86c0d2c7abd2cfc1c1c3d4c6e2e9f2a8e1e9f0">[email protected]</span></a> and applicants should receive a 
confirmation e-mail within 2 business days. A synopsis of this 
announcement will be posted in the FIND module of the government-wide 
electronic grants Web site at http://www.grants.gov. However, 
applicants will not be able to apply through the APPLY module of that 
site. Mail and fax submissions will not be accepted.

FOR FURTHER INFORMATION CONTACT: Contact the appropriate FTA Regional 
Office (see Appendix A) for application-specific information and 
issues. For general program information, contact Walter Kulyk, Office 
of Mobility Innovation, (202)366-4995, e-mail: <a href="/cdn-cgi/l/email-protection#81f6e0edf5e4f3afeaf4edf8eac1e5eef5afe6eef7"><span class="__cf_email__" data-cfemail="d8afb9b4acbdaaf6b3adb4a1b398bcb7acf6bfb7ae">[email protected]</span></a>. A 
TDD is available at 1-800-877-8339 (TDD/FIRS). A TDD is available at 1-
800-877-8339 (TDD/FIRS).

SUPPLEMENTARY INFORMATION: FTA invites interested parties to comment on 
the TIGGER program elements as outlined below. FTA intends to respond 
and provide any revisions to the notice of funding availability in a 
subsequent notice.

Table of Contents

I. Overview of this Notice
II. Eligibility Information
III. Proposal and Submission Information
IV. How Proposals Will Be Evaluated
V. Award Administration Information
VI. Technical Assistance
Appendix A--FTA Regional and Metropolitan Offices
Appendix B--Glossary of Terms
Appendix C--Proposal Outline
Appendix D--Project Measurement Guidelines
Appendix E--Tables

I. Overview of This Notice

    The American Recovery and Reinvestment Act (ARRA) was enacted on 
February 17, 2009. While the total amount in ARRA is $787 billion, $8.4 
billion was appropriated to FTA for transit capital improvements and 
reinvestment. Of this $8.4 billion, $100 million is appropriated for a 
new program to provide direct funding to public transit agencies for 
``capital investments that will assist in reducing the energy 
consumption or greenhouse gas emissions of their public transportation 
systems * * * .''
    The program will take place in phases. Today's Federal Register 
notice requests proposals be submitted by May 22, 2009. In addition, 
because this is a new program, we are requesting comments on the 
proposed program outline, structure, and requirements. FTA will take 
all comments into consideration and may publish a follow up document 
revising some elements of its proposal. If FTA determines that no 
substantive changes need to be made in this Notice of Funding 
Availability (NOFA), all comments will be responded to when FTA 
publishes a Federal Register notice announcing the successful 
proposals. If substantive changes are necessary, FTA may publish a 
supplemental Federal Register notice and request for applications. 
Depending on the nature of the comments and the number of initial 
proposals received, FTA may award funds based on the initial proposals.
    The ARRA authorizes two purposes for these new grants: first, for 
capital investments that will assist in reducing the energy consumption 
of a transit system; or, second, for capital investments that will 
reduce greenhouse gas emissions of a public transportation system. 
Proposals for projects may be submitted under either or both 
categories. To ensure that the purposes of the ARRA are met, FTA has 
established a range of funding that will be considered for approval. 
Each submitted proposal must request a minimum of $2,000,000. FTA will 
allow consolidated proposals from transit agencies to reach this 
$2,000,000 threshold, thus, individual projects within a proposal may 
receive less than $2,000,000. Conversely, to ensure a variety of 
projects are funded, FTA has established a maximum grant amount of 
$25,000,000.

II. Eligibility Information

A. Eligible Recipients

    Eligible recipients under this program are public transportation 
agencies.

B. Eligible Applicants

    Any public transportation agency may apply. Since the minimum 
proposal that will be accepted is $2,000,000, eligible applicants may 
submit a consolidated proposal either directly, through a designated 
recipient, a Metropolitan Planning Organization (MPO), State Transit 
Association, Transportation Management Association (TMA), or through a 
State Department of Transportation. Grant awards will be made for 
particular projects directly to public transportation agencies.

C. Eligible Expenses

    Eligible expenses must meet the following criteria: (1) The expense 
must be an eligible capital expense as defined under 49 U.S.C. 
5302(a)(1); and (2) The project will assist in the reduction of the 
energy consumption of a public transportation system or the reduction 
of greenhouse gas emissions of a public

[[Page 12449]]

transportation system. This excludes some elements of the statutory 
definition of a capital project, such as fleet expansion or fixed 
guideway extensions because these types of projects would increase 
transit agency energy consumption.

D. Cost Sharing or Matching

    The Federal share for TIGGER grants is 100 percent, although 
applicants may request a lower Federal share.

III. Proposal and Submission Information

A. Proposal Submission Process

    Proposals must be submitted by e-mail to <a href="/cdn-cgi/l/email-protection#aaecfeeb87fee3ededeff8eacec5de84cdc5dc"><span class="__cf_email__" data-cfemail="430517026e170a0404061103272c376d242c35">[email protected]</span></a>. A 
synopsis of this announcement will be posted in the ``FIND'' module of 
the government-wide electronic grants Web site at http://www.grants.gov. However, applicants will not be able to apply through 
the ``APPLY'' module of that site. Mail and fax submissions will not be 
accepted.
    Because funding in the ARRA programs is intended to sustain or 
create jobs and promote economic recovery, each proposed project should 
be ready to implement once the grant is awarded and should be completed 
in a reasonable period of time.
    Successful applicants will apply for funds through FTA's TEAM 
system. FTA may require revisions, such as a reduction in project 
budget, before a grant award is submitted in TEAM.

B. Proposal Content

    Proposals may contain one project from one transit agency, projects 
from multiple public transit agencies, or multiple projects from one 
public transit agency. Combined proposals must contain applicant 
information for each agency. Proposals with multiple projects must 
contain project information for each project. See Appendix C for an 
outline of proposal requirements.
(1) Proposal Summary
    A proposal should include a list of each project and sponsoring 
applicant.
(2) Applicant Information
    This addresses basic identifying information, including:
    a. Applicant name;
    b. Contact information (including contact name, address, e-mail 
address, phone number and fax number;
    c. Description of services provided by the agency, including areas 
served;
    d. If proposal includes vehicles, include existing fleet 
information, such as a current rail or bus fleet management plan, if 
not already on file with the FTA Regional Office, and
    e. A description of your technical capacity to implement the 
proposed project.
(3) Project Information
    For each project, every proposal must: (a) Identify whether the 
project is to be evaluated under energy reduction or greenhouse gas 
reduction criteria or both criteria; (b) Describe the scope of the 
project, including the proposed capital investment as well as the 
existing system, subsystem, facility, vehicle, or component that the 
investment will replace or be applied to. The project scope determines 
where measurement of energy reductions or greenhouse gas emissions 
reductions will take place and must be directly related to the actual 
capital investment. It should be determined in a manner that permits 
measurement before and after the investment to determine either the 
energy savings or greenhouse gas reductions. For example, a project 
could consist of replacing 10 buses in a 100 vehicle bus fleet with 
more energy-efficient buses. In this case, measurement would focus on 
the 10 vehicles, not the entire fleet. As another example, a project 
could consist of including wayside energy storage for a rail system to 
capture regenerated energy. In this case, the measurement could focus 
on the energy use of the rail lines where the investment takes place, 
not the entire rail system. As a third example, a project could consist 
of multiple investments (e.g., compact fluorescents, solar panels) to 
reduce the energy use of a bus maintenance facility. In that case, the 
measurement could be the energy use of the entire facility; (c) Provide 
a line item budget for the project and its total cost and for scalable 
projects include the minimum amount necessary to implement the project 
if FTA were not to fund the total cost; (d) Identify the expected 
useful life of the investment; and (e) Provide brief project time-line 
outlining steps from project development through completion, including 
significant milestones such as date of contract awards and dates of 
project implementation (e.g. when vehicles will begin revenue service).
(4) Project Measurement Information
    A proposal must provide narrative information for each project 
describing how the estimates provided in the summary tables were 
calculated. See Appendix D--Project Measurement Guidelines provides 
information on the step-by-step process agencies should follow in 
developing their calculations. The proposals should provide information 
for each step described in Appendix D. Proposals also should identify 
the process the agency will use to determine the actual energy savings 
or greenhouse gas emission reductions realized once the investment is 
implemented.
    (5) A proposal should include a project measurement summary for 
either or both the energy consumption reduction or greenhouse gas 
emission reduction programs. (See Appendix E--Tables.) FTA will post on 
its Web site: www.fta.dot.gov a Microsoft Excel spreadsheet that may be 
used to develop these tables.
    (6) A proposal should address each of the evaluation criteria 
separately.

C. Funding Restrictions

    Only proposals from eligible recipients for eligible activities 
will be considered for funding (see Section III of this Notice). FTA 
may decide to provide only partial funding for certain proposals to 
maximize the impact of this program.

IV. How Proposals Will Be Evaluated

    Energy consumption reduction and greenhouse gas reduction projects 
will be evaluated separately. An applicant may request evaluation under 
both criteria if it provides the necessary project measurement 
information. Two criteria are specific to energy consumption reduction 
projects and one criterion is specific to greenhouse gas reduction 
projects. The remaining criteria apply to all projects.

A. Project Evaluation Criteria for Energy Consumption Reduction 
Projects

    FTA will evaluate projects on total energy consumption savings 
projected to result from the project, and projected energy savings of 
the project as a percentage of the total energy usage of the public 
transit agency. Refer to Appendix B for definitions.

B. Project Evaluation Criterion for Greenhouse Gas Emission Reduction 
Projects

    FTA will evaluate projects based on the total amount of greenhouse 
gas reductions projected to result from the project.

C. Project Evaluation Criteria for All Projects

    In addition, FTA will evaluate all projects on the following 
criteria:
    (1) Return on Investment. This includes the ratio of energy savings 
or greenhouse gas reductions per dollar of Federal TIGGER funds 
invested.
    (2) Project Readiness. The Project Is Ready To Implement.
    a. Any required environmental work has been initiated for 
construction

[[Page 12450]]

projects requiring an Environmental Finding.
    b. Implementation plans are ready, including initial design of 
facilities projects.
    c. the Metropolitan Transportation Improvement Program/State 
Transportation Improvement Program (TIP/STIP) can be amended.
    d. Project can be obligated and implemented quickly, if selected.
    (3) The applicant demonstrates the capacity to carry out the 
project.
    a. The applicant is in fundable status for the FTA grant program
    b. The applicant demonstrates the technical capacity to carry out 
the project including the project approach or project management plan.
    c. The applicant has systems and internal controls in place that 
allow it to separately track and report ARRA funds even used to fund an 
existing project/activity.
    d. The applicant has the ability to collect information and 
demonstrate the results of the project for at least one year following 
project implementation.(But note that useful life criteria apply for 
FTA funded assets.)
    (4) Project Innovation. The project identifies a unique, 
significant, or innovative approach to reducing energy consumption or 
greenhouse gas emissions not currently in widespread practice within 
the transit industry or an approach distinct from the other proposals 
received by FTA.
    (5) The national applicability of the project as an example of 
energy savings or greenhouse gas reductions including whether the 
project could be replicated by other transit agencies regionally or 
nationally.

D. Review and Selection Process

    Proposals first will be screened by FTA program staff. After 
evaluating proposals based on the established technical criteria, the 
FTA review team will provide recommendations to the FTA Administrator. 
FTA will publish the list of all selected projects and funding levels 
in the Federal Register.

V. Award Administration Information

A. Award Notices

    FTA will screen all proposals to determine whether all required 
eligibility elements, as described in III. ``Eligibility Information'' 
are provided. Once proposals have been reviewed and projects have been 
selected, FTA will award funds to the public transit agency to 
implement the project. FTA will award funding to successful applicants 
through a grant in FTA's TEAM grant management system. These grants 
will be administered and managed by FTA regional offices in accordance 
with the federal requirements of 49 U.S.C. Chapter 53.

B. Administrative and National Policy Requirements

    Information about general requirements for FTA grant programs 
funded by ARRA can be found in the Federal Register Notice American 
Recovery and Reinvestment Act of 2009 Public Transportation 
Apportionments, Allocations and Grant Program Information, (74 FR 9656, 
March 5, 2009) and posted on our Web site (www.fta.dot.gov).
    (1) Grant Requirements. If selected, project sponsors will apply 
for a grant through TEAM and adhere to the customary FTA grant 
requirements of 49 U.S.C. Chapter 53, including those identified in FTA 
Circular 5010.1D and the FTA Master Agreement. Technical assistance 
regarding these requirements is available from each FTA regional 
office.
    All recipients and their sub-awardees are required to have a DUNS 
number (www.dnb.com) and a current registration in the Central 
Contractor Registration (www.ccr.gov).
    Recipients of ARRA funds must have systems and internal controls 
that allow them to separately track and report ARRA funds even if the 
funds are being used to fund an existing project/activity.
    Applicants must sign and submit current Certifications and 
Assurances before receiving a grant. Annual certifications and 
assurances filed by a grantee for Fiscal Year 2009 under FTA's regular 
program meet this requirement. The Applicant assures that it will 
comply with all applicable Federal statutes, regulations, executive 
orders, FTA circulars, and other Federal administrative requirements in 
carrying out any project supported by the FTA grant. The Applicant 
acknowledges that it is under a continuing obligation to comply with 
the terms and conditions of the grant agreement issued for its project 
with FTA. The Applicant understands that Federal laws, regulations, 
policies, and administrative practices might be modified from time to 
time and may affect the implementation of the project. The Applicant 
agrees that the most recent Federal requirements will apply to the 
project, unless FTA issues a written determination otherwise.
    FTA will not amend its standard grant agreement for the purposes of 
the ARRA. However, to the extent the ARRA imposes additional 
requirements they will be reflected as special conditions in individual 
grant documents.
    (2) Planning. Applicants are encouraged to notify the appropriate 
State DOT and MPO in areas likely to be served by the project funds 
made available under this program. Incorporation of funded projects in 
the long range plans and transportation improvement programs of States 
and metropolitan areas is required of all funded projects. FTA cannot 
obligate grant funds unless the project is contained in a federally 
approved STIP.
    Similarly, all environmental requirements must be complete before 
FTA can obligate and award a grant in TEAM.

C. Reporting Requirements

    FTA reporting requirements include standard reporting requirements 
identified in FTA Circular 5010.1D, and the Master Grant Agreement. In 
addition under ARRA, the TIGGER program has additional reporting 
requirements. A recipient of TIGGER funds must report on an annual 
basis:
    (1) Actual annual energy consumed within the project scope 
attributable to the investment, for energy consumption reduction 
projects;
    (2) Actual greenhouse gas emissions within the project scope 
attributable to the investment, for greenhouse gas reduction projects;
    (3) Actual annual reductions or increases in operating costs 
attributable to the investment, for all projects.
    As a condition of award, grantees receiving ARRA funds will be 
required to report on grant activities on a routine basis. FTA grantees 
will be responsible for reporting up-to-date and accurate information 
in a milestone status report and financial status report on a quarterly 
basis, as well as additional data elements that are required to be 
reported in www.recovery.gov. Additionally, special certifications and 
grant conditions also will be required of ARRA grant recipients, such 
as:
    a. One-Time Funding. The Recipient acknowledges that receipt of 
ARRA funds is a ``one-time'' disbursement that does not create any 
future obligation by the FTA to advance similar funding amounts.
    b. Integrity. The Recipient agrees that all data it submits to FTA 
in compliance with ARRA requirements will be accurate, objective, and 
of the highest integrity.
    c. Violations of Law. The Recipient agrees that it and its 
subrecipients shall report any credible evidence that a principal, 
employee, agent, contractor, subrecipient, subcontractor, or other 
person has submitted a false claim

[[Page 12451]]

under the False Claims Act or has committed a criminal or civil 
violation of law pertaining to fraud, conflict of interest, bribery, 
gratuity, or similar misconduct involving ARRA funds.
    d. Maintenance of Effort. A Recipient that is a State agrees to 
comply with the maintenance of effort certification it has made in 
compliance with Section 1201 of ARRA.
    e. Emblems. The Recipient agrees to identify projects supported by 
FTA by attaching the appropriate emblems as the Federal Government may 
require.
    f. Reporting Requirements. In addition to other Federal reporting 
requirements applicable to the type of project undertaken, the 
Recipient agrees to
    (1) Comply with the reporting requirements of ARRA, Section 1201(c) 
and (f).
    (2) Comply with reporting requirements and deadlines of ARRA, 
Section 1512. Therefore, the Recipient reports on the use of the funds 
and on the status of compliance with the National Environmental Policy 
Act by submitting the Standard Form-Performance Progress Report-
Recovery form not later than 10 days after the end of each calendar 
quarter to FTA. The Recipients agree to obtain a Dun and Bradstreet 
Universal Numbering System (DUNS) number (www.dnb.com) for any first 
tier subrecipient that does not have a DUNS number, and agrees to 
maintain, and require its first tier subrecipients to maintain, active 
and current profiles in the Central Contractor Registration database 
(www.ccr.gov).
    g. Further Requirements. The Recipient agrees to comply with any 
applicable future Federal requirements that may be imposed on the use 
of ARRA funds.
    FTA will issue additional specific guidance on reporting 
requirements in the near future for your information. The ARRA 
statutory reporting requirements and certifications are identified 
below:
(1) Section 1511: Certifications
    For covered funds made available to State or local governments for 
infrastructure investments, the Governor, mayor, or other chief 
executive, as appropriate, is required to certify that the 
infrastructure investment has received the full review and vetting 
required by law and that the chief executive accepts responsibility 
that the infrastructure investment is an appropriate use of taxpayer 
dollars. Such certification must include a description of the 
investment, the estimated total cost, and the amount of covered funds 
to be used, and must be posted on a specified Web site. A State or 
local agency may not receive infrastructure funds made available under 
ARRA unless this certification is made and posted.
    On February 27, 2009, USDOT Secretary LaHood sent letters to all 
Governors providing guidance and a template for this certification and 
instructing them to send the Section 1511 certification and the other 
two certifications by the Governor described below to the Department at 
the following address: <a href="/cdn-cgi/l/email-protection#d084b9b7b5a284b5b1bd90b4bfa4feb7bfa6"><span class="__cf_email__" data-cfemail="5d09343a382f09383c301d393229733a322b">[email protected]</span></a>. A single certification by the 
Governor, based on the established planning process, and including a 
link to a Web site posting of the Statewide Transportation Improvement 
Program, which must contain the required section 1511 information for 
each investment, will satisfy the requirement for certification by the 
Governor for both FHWA and FTA projects. FTA will provide further 
guidance in the near future about any additional certifications that 
may be required by local officials to ensure that all ARRA projects 
have been properly vetted.
(2) Section 1512: Reports on Use of Funds
    Recipient Reports.--Not later than 10 days after the end of each 
calendar quarter, each recipient of ARRA funds from a Federal agency 
shall submit a report to that agency that contains--
    (A) The total amount of recovery funds received from that agency;
    (B) The amount of recovery funds received that were expended or 
obligated to projects or activities; and
    (C) A detailed list of all projects or activities for which 
recovery funds were expended or obligated, including--
    (i) The name of the project or activity;
    (ii) A description of the project or activity;
    (iii) An evaluation of the completion status of the project or 
activity;
    (iv) An estimate of the number of jobs created and the number of 
jobs retained by the project or activity; and
    (v) For infrastructure investments made by State and local 
governments, the purpose, total cost, and rationale of the agency for 
funding the infrastructure investment with funds made available under 
ARRA, and name of the person to contact at the agency if there are 
concerns with the infrastructure investment.
    (D) detailed information on any subcontracts or subgrants awarded 
by the recipient to include the data elements required to comply with 
the Federal Funding Accountability and Transparency Act of 2006 (Pub. 
L. 109-282), allowing aggregate reporting on awards below $25,000 or to 
individuals, as prescribed by the Director of the Office of Management 
and Budget.
    The data elements required to comply with Public Law 109-282 are: 
name of entity receiving the award; the amount of the award; 
information on the award including transaction type, funding agency, 
the North American Industry Classification System Code or Catalog of 
Federal Domestic Assistance number (where applicable); program source; 
and an award title descriptive of the purpose of each funding action.
    FTA will extract as much as possible of this information from grant 
information and standard reports provided through its TEAM electronic 
grants award and management system. Supplemental reporting may be 
required, however, to provide the project and contract level 
information. FTA will provide further reporting instructions at a later 
date. FTA is working with other modal administrations within the United 
States Department of Transportation (USDOT) to standardize the 
information required from all USDOT recipients.
    Additional frequency of reporting may be required to be responsive 
to Congressional oversight requirements.
(3) Section 1512(h): Registration
    Recipients of ARRA funds that are required to report information 
per section 1512(c) (4) must register with Central Contractor 
Registration database (CCR) or complete other registration requirements 
as determined by the Director of the Office of Management and Budget 
(OMB).
    The reporting and registration requirements are effective September 
1 2009. OMB has not yet determined whether to use the CCR or some other 
registration database. However, OMB has issued guidance requiring FTA 
and other Federal agencies to ensure that grantees and first tier 
subawardees (subrecipients and contractors) obtain a DUNS number, or 
update their DUNS record if necessary. OMB has not yet issued a final 
determination on the extent to which subawardees will be required to 
register in CCR.
(4) Section 1201(a): Maintenance of Effort
    Not later than March 19, 2009, for each amount that is distributed 
to a State or its agency from an appropriation in ARRA for a covered 
program, the Governor of that State is required to certify to the 
Secretary of Transportation that the State will maintain its effort 
with regard to State funding for the types of projects that are funded 
by the appropriation. As part of

[[Page 12452]]

this certification, the Governor is required to submit to the Secretary 
of Transportation a statement identifying the amount of funds the State 
planned to expend from State sources as of February 17, 2009, during 
the period of February 17, 2009 through September 30, 2010, for the 
types of projects that are funded by the appropriation.
    This requirement applies only to State funding for transportation 
projects eligible for ARRA funding. USDOT will treat this maintenance 
of effort requirement through one consolidated certification from the 
Governor to the Secretary, which must include State funding for transit 
projects, as well as highway and other transportation modal projects.
(5) Section 1201(2)(c): Periodic Reports
    For amounts received under each covered program by a grant 
recipient under ARRA, the grant recipient shall include in the periodic 
reports information tracking:
    (A) The amount of Federal funds appropriated, allocated, obligated, 
and outlaid under the appropriation;
    (B) the number of projects that have been put out to bid under the 
appropriation;
    (C) the number of projects for which contracts have been awarded 
under the appropriation and the amount of Federal funds associated with 
such contracts;
    (D) the number of projects for which work has begun under such 
contracts and the amount of Federal funds associated with such 
contracts;
    (E) the number of projects for which work has been completed under 
such contracts and the amount of Federal funds associated with such 
contracts;
    (F) the number of direct, on-project jobs created or sustained by 
the Federal funds provided for projects under the appropriation and, to 
the extent possible, the estimated indirect jobs created or sustained 
in the associated supplying industries, including the number of job-
years created and the total increase in employment since February 17, 
2009 and
    (G) the actual aggregate expenditures by each grant recipient from 
State sources for projects eligible for funding under the program 
during the period of February 17, 2009 through September 30, 2010, as 
compared to the level of such expenditures that were planned to occur 
during such period as of the date of enactment of the ARRA.
    Each grant recipient is required to submit the first of the 
periodic reports required not later than 90 days from February 17, 
2009.
    FTA will extract as much of this information as possible from grant 
information and standard reports provided through the TEAM electronic 
grants award and management system. Supplemental reporting may be 
required, however, to provide the project and contract level 
information. FTA will provide further reporting instructions at a later 
date. FTA is working with other modal administrations within DOT to 
standardize the information required from all DOT recipients, including 
the possibility of generating the required jobs data through the use of 
economic models and factors applied to the data provided in the grant 
awards and other information reported by the grantee.
(6) Section 1607
    Section 1607 requires that the Governor certify within 45 days of 
enactment (April 3, 2009) that, for funds provided, the state will 
request and use funds provided by this Act and the funds will be used 
to create jobs and promote economic growth. If the Governor does not 
provide this certification, then the state legislature may act to 
accept the funds.
(7) Section 1609
    Under section 1609(c), FTA is required to report to certain 
congressional committees every 90 days following enactment on the 
status and progress of projects funded or proposed for funding under 
the ARRA with respect to compliance with the National Environmental 
Policy Act (NEPA) and its implementing regulations. FTA will request 
assistance from grant recipients in compiling this quarterly report.
(8) Other Reporting
    To satisfy the needs for transparency and accountability related to 
funding appropriated under the ARRA, grantees may be required to 
provide additional information not yet specified in response to 
requests from the Office of Management and Budget (OMB), the 
Congressional Budget Office (CBO), the Government Accountability Office 
(GAO), or the USDOT Inspector General (IG) or the Recovery 
Accountability and Transparency Board. FTA will inform grantees if and 
when such additional reports are required.

VI. Technical Assistance

    FTA will post answers to common questions about the program as well 
as a Microsoft Excel spreadsheet for assistance in calculations at 
www.fta.dot.gov. Technical assistance regarding these requirements is 
available from each FTA regional office. The regional offices will 
contact those applicants selected for funding regarding general and 
ARRA-specific grants and reporting requirements and will provide 
assistance in preparing the documentation necessary for the grant 
award.
    Contact the appropriate FTA Regional or Metropolitan Office (see 
Appendix A) for application-specific information and issues. For 
general program information, contact Walter Kulyk, Office of Mobility 
Innovation, (202) 366-4995, e-mail: <a href="/cdn-cgi/l/email-protection#1661777a627364387d637a6f7d5672796238717960"><span class="__cf_email__" data-cfemail="f4839598809186da9f81988d9fb4909b80da939b82">[email protected]</span></a>. A TDD is 
available at 1-800-877-8339 (TDD/FIRS).

    Issued in Washington, DC, this 19th day of March, 2009.
Matthew J. Welbes,
Acting Deputy Administrator.

            Appendix A--FTA Regional and Metropolitan Offices
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Richard H. Doyle, Regional               Robert C. Patrick, Regional
 Administrator, Region 1-Boston,          Administrator, Region 6-Ft.
 Kendall Square, 55 Broadway, Suite       Worth, 819 Taylor Street, Room
 920, Cambridge, MA 02142-1093, Tel.      8A36, Ft. Worth, TX 76102,
 617 494-2055.                            Tel. 817 978-0550.
States served: Connecticut, Maine,       States served: Arkansas,
 Massachusetts, New Hampshire, Rhode      Louisiana, Oklahoma, New
 Island, and Vermont.                     Mexico and Texas.
                                        --------------------------------
Brigid Hynes-Cherin, Regional            Mokhtee Ahmad, Regional
 Administrator, Region 2-New York, One    Administrator, Region 7-Kansas
 Bowling Green, Room 429, New York, NY    City, MO 901 Locust Street,
 10004-1415, Tel. No. 212 668-2170.       Room 404, Kansas City, MO
                                          64106, Tel. 816 329-3920.
States served: New Jersey, New York,     States served: Iowa, Kansas,
 New York Metropolitan Office, Region 2-  Missouri, and Nebraska.
 New York, One Bowling Green, Room 428,
 New York, NY 10004-1415, Tel. 212-668-
 2202.

[[Page 12453]]

 
Letitia Thompson, Regional               Terry Rosapep, Regional
 Administrator, Region 3-Philadelphia,    Administrator, Region 8-
 1760 Market Street, Suite 500,           Denver, 12300 West Dakota
 Philadelphia, PA 19103-4124, Tel. 215    Ave., Suite 310, Lakewood, CO
 656-7100.                                80228-2583, Tel. 720-963-3300.
States served: Delaware, Maryland,       States served: Colorado,
 Pennsylvania, Virginia, West Virginia,   Montana, North Dakota, South
 and District of Columbia.                Dakota, Utah, and Wyoming.
Philadelphia Metropolitan Office,        ...............................
 Region 3-Philadelphia, 1760 Market
 Street, Suite 500, Philadelphia, PA
 19103-4124, Tel. 215-656-7070.
Washington, DC Office, 1990 K St NW.,    ...............................
 Suite 510, Washington, DC 20006.
Phone: (202) 219-3562 or (202) 219-      ...............................
 3565, Fax: (202) 219-3545.
                                        --------------------------------
Yvette Taylor, Regional Administrator,   Leslie T. Rogers, Regional
 Region 4-Atlanta, 230 Peachtree          Administrator, Region 9-San
 Street, NW., Suite 800, Atlanta, GA      Francisco, 201 Mission Street,
 30303, Tel. 404 562-3500.                Suite 1650, San Francisco, CA
                                          94105-1926, Tel. 415 744-3133.
States served: Alabama, Florida,         States served: American Samoa,
 Georgia, Kentucky, Mississippi, North    Arizona, California, Guam,
 Carolina, Puerto Rico, South Carolina,   Hawaii, Nevada, and the
 Tennessee, and Virgin Islands.           Northern Mariana Islands.
                                         Los Angeles Metropolitan
                                          Office, Region 9-Los Angeles,
                                          888 S. Figueroa Street, Suite
                                          1850, Los Angeles, CA 90017-
                                          1850, Tel. 213-202-3952.
                                        --------------------------------
Marisol Simon, Regional Administrator,   Rick Krochalis, Regional
 Region 5-Chicago, 200 West Adams         Administrator, Region 10-
 Street, Suite 320, Chicago, IL 60606,    Seattle, Jackson Federal
 Tel. 312 353-2789.                       Building, 915 Second Avenue,
                                          Suite 3142, Seattle, WA 98174-
                                          1002, Tel. 206 220-7954.
States served: Illinois, Indiana,        States served: Alaska, Idaho,
 Michigan, Minnesota, Ohio, and           Oregon, and Washington.
 Wisconsin, Chicago Metropolitan
 Office, Region 5-Chicago, 200 West
 Adams Street, Suite 320, Chicago, IL
 60606, Tel. 312-353-2789.
------------------------------------------------------------------------

Appendix B--Glossary of Terms

    Energy Use of the Public Transportation System is energy 
expressed in British Thermal Units (BTUs) (e.g., fuel, electricity, 
steam) using the lower (net) heating value purchased directly by the 
public transportation system. It includes both revenue and non 
revenue operations directly operated by the agency, but not energy 
used for purchased services. It includes fuel used by an agency to 
generate energy, but not energy generated by an agency. As an 
example, a diesel generator operated by an agency would count the 
diesel used by the generator but not the electricity produced by the 
generator. Energy produced on-site using solar or wind power is also 
not counted as part of consumption.
    Greenhouse Gases are gases that trap heat in the atmosphere 
expressed in metric tons of CO<INF>2</INF> equivalent. The principal 
greenhouse gases that enter the atmosphere because of human 
activities are: Carbon Dioxide (CO<INF>2</INF>); Methane 
(CH<INF>4</INF>); Nitrous Oxide (N<INF>2</INF>O); and Fluorinated 
Gases (Hydrofluorocarbons, perfluorocarbons, and sulfur 
hexafluoride)
    Greenhouse Gas Emissions of the Public Transportation Agency are 
greenhouse gas emissions from public transportation systems vehicles 
or facilities, otherwise known as direct emissions. It does not 
include indirect emissions (e.g., from third-party power plants) or 
displaced emissions (e.g., emissions from manufacturing transit 
equipment, waste disposal, emissions released outside the transit 
agency service area, etc.)
    Project is the proposed capital investment as well as the 
existing system, subsystem, facility, vehicle, or component that the 
investment will replace or be applied to. The project scope 
determines where measurement of energy reductions or emissions 
reductions will take place and must be directly related to the 
actual capital investment.
    Total Project Energy Savings is the estimated annual project 
energy savings multiplied by the expected useful life of the 
investment.
    Total Project Greenhouse Gas Emission Reductions is the 
estimated annual project greenhouse gas emission reductions 
multiplied by the expected useful life of the investment.

Appendix C--Proposal Outline

    Each proposal must contain the following information.
    1. A list of each project, and sponsoring applicant
    2. Applicant information: For each transit agency included in 
the proposal, the information should include:
    a. Applicant name,
    b. Contact information
    c. Description of services provided by the agency and areas 
served
    d. If proposal includes vehicles, include existing fleet 
information, such as a current rail or bus fleet management plan, if 
not already on file with the FTA Regional Office, and
    e. A description of their technical, legal, and financial 
capacity to implement the proposed project.
    3. Project Information: For each project proposed, the 
information should include:
    a. Whether the project is to be evaluated under energy 
reduction, greenhouse gas reduction criteria, or both.
    b. A description of the scope of the project.
    c. Provide a line item budget for the project and its total cost 
and for scalable projects include the minimum amount necessary to 
implement the project if FTA were not to fund the total cost.
    d. Identify the expected useful life of the investment
    e. Provide brief project time-line outlining steps from project 
development through completion, including significant milestones 
such as date of contract awards and dates of project implementation 
(e.g. when vehicles will begin revenue service).
    4. Project Measurement Criteria for Energy Reduction projects: 
Proposals should identify the process the agency will use to 
determine the actual energy savings once the investment is 
implemented. For each project proposed to reduce energy consumption 
the proposal should include:
    a. Project's Current Annual Energy Use
    b. Project's Estimated Annual Energy Use
    c. Project's Estimated Annual Energy Savings
    d. Project's Total Energy Savings
    e. Project's Total Energy Savings as a Percentage of the 
Agency's Total Energy Use. This can be reported as less than one 
percent or the proposal must include:
    i. Total reported Energy Consumption
    ii. Total non-reported Energy Consumption
    iii. Total Energy Consumption of the Public Transportation 
Agency
    iv. The Project's Total Energy Savings as a percentage of the 
Total Energy Consumption of the Public Transportation Agency
    5. Project Measurement Criteria for Greenhouse Gas Emission 
Reduction projects: Proposals should identify the process the agency 
will use to determine the greenhouse gas emission reductions once 
the investment is implemented. For each project proposed to reduce 
greenhouse gas emissions the proposal should include:
    a. Project's Current Annual Greenhouse Gas Emissions
    b. Project's Estimated Annual Greenhouse Gas Emissions

[[Page 12454]]

    c. Project's Estimated Annual Greenhouse Gas Savings
    d. Project's Total Greenhouse Gas Savings
    6. Project Measurement Summaries (Tables 1 and or 2 in Appendix 
C). FTA will post on its Web site: www.fta.dot.gov a Microsoft Excel 
spreadsheet that may be used to develop these tables.
    7. Address each of the evaluation criteria separately.
    a. Return on Investment--no additional information is required
    b. The Project Is Ready To Implement--the proposal should 
address whether:
    i. Any required environmental work has been initiated for 
construction projects requiring an Environmental Finding.
    ii. Implementation plans are ready, including initial design of 
facilities projects.
    iii. TIP/STIP can be amended.
    iv. Project can be obligated and implemented quickly, if 
selected.
    c. The applicant demonstrates the capacity to carryout the 
project--the proposal should address whether:
    i. The applicant is in fundable status for the FTA grant program
    ii. The applicant demonstrates the technical capacity to carry 
out the project, including the project approach or project 
management plan.
    iii. The applicant has systems and internal controls that allow 
them to separately track and report Recovery Act funds even if the 
funds are being used to funds an existing project/activity.
    iv. The applicant has the ability to collect information on the 
results of the project for one year following the project's 
implementation.
    d. The degree of innovation in a project--the proposal should 
address whether the project identifies a unique or significant 
approach to reducing energy consumption or greenhouse gas emissions 
not currently in widespread practice within the industry or an 
approach distinct from the other proposals received.
    e. The national applicability of the project as an example of 
energy savings or greenhouse gas reductions--the proposal should 
address whether the project identified could be replicated by other 
transit agencies regionally or nationally.

Appendix D--Project Measurement Guidelines

I. Projects Measured Under The Energy Consumption Reduction Focus of 
ARRA

    Energy consumption is the total annual energy (e.g., fuel, 
electricity, steam) purchased directly by the public transportation 
system. It includes both revenue and non revenue operations directly 
operated by the agency, but not energy used for purchased services. 
It includes fuel used by an agency to generate energy, but not 
energy generated by an agency. As an example, a diesel generator 
operated by an agency would count the diesel used by the generator 
but not the electricity produced by the generator. Energy produced 
on-site using solar or wind power is also not counted as part of 
consumption.
    When calculating energy consumption, all initial figures should 
be expressed in both the typical units for that energy source (e.g. 
gallons or kWh) and in British Thermal Units (BTUs), using the lower 
(net) heating value. The Center for Transportation Analysis of 
Oakridge National Laboratory of the Department of Energy provides 
information and links on how to convert typical energy units to BTUs 
in the Transportation Energy Data Book at http://cta.ornl.gov/data/tedb27/Edition27_Appendix_B.pdf. All final calculations should be 
performed in BTUs. Agency's annual data should be based on the most 
recent year for which 12 continuous months of data is available, but 
no earlier than 2007 data.

A. Total Project Energy Savings

    (i) Project's Current Annual Energy Use. The proposal must 
identify the current annual energy use of the project scope that the 
proposed investment is to be applied to or replace and describe how 
this was calculated.
    (ii) Project's Estimated Annual Energy Use. The proposal must 
identify the estimated annual energy use of the same project scope 
for when the project is implemented.
    (iii) Project's Annual Energy Savings. The proposal must 
subtract the project's estimated annual energy use from the 
project's current annual energy use. This is the estimated annual 
project energy savings.
    (iv) Total Project Energy Savings. The proposal must multiply 
the estimated annual project energy savings by the expected useful 
life of the investment.

B. Total Project Energy Savings as a Percentage of the Total Energy 
Use of the Public Transportation Agency

    (i) For some projects, the estimated total project energy 
savings as a percentage of the total energy use of the public 
transportation system will be less than one percent. In those cases 
the proposal may identify the total savings as less than one percent 
without further calculations provided.
    (ii) If the agency estimates that the total project energy 
savings as a percentage of the total energy use of the public 
transportation system will be greater than one percent, the proposal 
must include the following:
    (1) Reported Energy Consumption. The proposal must identify 
directly operated annual bus and rail propulsion energy consumption. 
This is normally reported to the National Transit Database (see 
``Table 17: Energy Consumption by Public Transit Entity''). However, 
the proposal should use data from the same time period as being used 
for the rest of the calculations, which is not necessarily the data 
reported in NTD.
    (2) Non-reported Energy Consumption. The proposal must estimate 
energy consumption for all energy consumed by the agency not 
reported in Table 17. The estimate should include a listing of what 
related vehicles, facilities, systems, and equipment are included 
and how the total energy consumption for each was calculated. This 
will need to be supported by the applicant's own data.
    (3) Total Energy Use of the Public Transportation Agency. The 
proposal must add reported energy consumption with non-reported 
energy consumption.
    (4) For each project, the proposal must divide the estimated 
total project energy savings by the total energy use of the public 
transportation agency.

II. Projects To Be Evaluated Under Greenhouse Gas Reduction Focus of 
the ARRA

    Only projects that will reduce greenhouse gas emissions of the 
public transportation system, otherwise known as direct emissions 
(e.g. emissions from their vehicles or facilities) are eligible 
under this program. Projects intended to reduce indirect emissions 
(e.g., from third-party power plants) or displaced emissions (e.g., 
emissions from manufacturing transit equipment, waste disposal, 
emissions released outside the transit agency service area, etc.) 
are ineligible. As an example, an electric heavy-rail system 
consuming electricity purchased from a third-party power plant would 
be considered to have zero greenhouse gas emissions, irrespective of 
the type of power plant or the greenhouse gases emitted in the 
production and construction of the system and equipment.
    The most common greenhouse gas emitted by public transportation 
agencies is carbon dioxide (CO<INF>2</INF>). If the proposal 
estimates reductions to other greenhouse gases they must be 
converted to their CO<INF>2</INF> equivalent. Agency's annual data 
should be based on the most recent year they for which a full year's 
worth of data is available, but no earlier than 2007 data.
    In most cases, CO<INF>2</INF> emissions should be calculated by 
multiplying energy use by an appropriate emission factor (e.g., 
approximately 9.17 kg of CO<INF>2</INF> are emitted per gallon of 
diesel fuel burned) outlined below. The Environmental Protection 
Agency provides information and a calculator on greenhouse gas 
conversions at: http://www.epa.gov/solar/energy-resources/calculator.html.
    Data should be reported in metric tons of CO<INF>2</INF> 
equivalent. If an agency uses another procedure, it should clearly 
justify and describe its calculations.

A. Project's Total Estimated Greenhouse Gas Reduction

    (i) Project's Current Annual Greenhouse Gas Emissions. The 
proposal must identify the current greenhouse gas emissions of the 
project scope that the proposed investment is to be applied to or 
replace.
    (1) The proposal should identify the energy source, the 
project's current annual energy use (as calculated above), and 
multiply the project's current annual energy use by the appropriate 
emission factor.
    (2) Project's Estimated Annual Greenhouse Gas Emissions. The 
proposal must identify the estimated annual greenhouse gas emissions 
of the same project scope when the project is implemented.
    (a) The proposal should identify the project's new energy source 
(if applicable), the project's estimated annual energy use (as 
calculated above), and multiply the project's estimated annual 
energy use by the appropriate emission factor.

[[Page 12455]]

    (b) Project's Estimated Annual Greenhouse Gas Reduction. The 
proposal must subtract the project's estimated annual greenhouse gas 
emissions from the project's current annual greenhouse gas 
emissions.
    (c) Project's Estimated Total Greenhouse Gas Reduction. The 
proposal must multiply the project's estimated annual greenhouse gas 
reduction by the estimated useful life of the investment.

Appendix E--Tables

    FTA will post on its Web site: www.fta.dot.gov a Microsoft Excel 
spreadsheet that may be used to develop these tables.

                                                                       Table 1--For Energy Consumption Reduction Projects
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
 
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
A1. Agency......................  A2. Total Agency    A3. Total Agency    A4. Total Agency    Note: For some projects, the estimated total project energy savings as a percentage of the total
                                   Reported Energy     Non-Reported        Energy Use.         energy use of the public transportation system will be less than one percent. In those cases the
                                   Use.                Energy Use.                             proposal may identify the total savings as less than one percent for E8 and need not fill in A2-
                                                                                               A4.
-----------------------------------------------------
Agency X........................  xx................  xx................  xx................
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
E1. Project Scope (Title)...........................  E2. Cost..........  E3. Estimated       E4. Project's       E5. Project's       E6. Project's       E7. Total Project   E8. Total Savings
                                                                           Project Useful      Current Annual      Estimated Annual    Annual Energy       Energy Savings.     as % of Total Use
                                                                           Life.               Energy Use.         Energy Use.         Savings.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Project 1...........................................  Project Cost......  xx................  xx................  xx................  E4-E5.............  E5 X E3...........  E7/A4
Project 2...........................................  Project Cost......  xx................  xx................  xx................  E4-E5.............  E5 X E3...........  E7/A4
Project 3...........................................  Project Cost......  xx................  xx................  xx................  E4-E5.............  E5 X E3...........  E7/A4
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------


                                                 Table 2--For Greenhouse Gas Emission Reduction Projects
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                      Agency name:
---------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                             G4. Project's       G5. Project's       G6. Project's
                                                         G3. Estimated    current annual CO2   estimated annual    estimated annual    E7. Total project
    G1. Project scope (Title)          G2. Cost         project useful        equivalent        CO2 equivalent       CO2 emission        CO2 emission
                                                             life              emissions           emissions          reductions          reductions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Project 1.......................  Project Cost......  xx................  xx................  xx................  G4-G5.............  G6 X G3
Project 2.......................  Project Cost......  xx................  xx................  xx................  G4-G5.............  G6 X G3
--------------------------------------------------------------------------------------------------------------------------------------------------------

[FR Doc. E9-6420 Filed 3-23-09; 8:45 am]
BILLING CODE 4910-57-P


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