Federal Register / Vol. 74, No. 89 / Monday, May 11, 2009 / Notices 21843 

substantially similar to the requirements applicable 

to Index-Linked Securities. See NYSE Arca Equities 

Rule 5.2(j)(6)(A). 

24 15 U.S.C. 78s(b)(2). 

25See Securities Exchange Release Nos. 59051 

(December 4, 2008), 73 FR 75155 (December 10, 

2008) (SR–NYSEArca–2008–123) (approving the 

listing and trading of 14 issues of Trust Certificates 

under NYSE Arca Equities Rule 5.2(j)(7)); and 

59747 (April 10, 2009), 74 FR 18012 (April 20, 

2009) (SR–NYSEArca–2009–20) (approving the 

listing and trading of Trust Certificates linked to the 

S&P 500 Index). 

26 15 U.S.C. 78s(b)(2). 

27 17 CFR 200.30–3(a)(12). 

Further, the Exchange represents that 

the Certificates are equity securities 

subject to the Exchange’s rules 

governing the trading of equity 

securities, including the Exchange’s 

equity margin rules. In support of this 

proposal, the Exchange has made 

representations, including: 

(1) The Exchange’s surveillance 

procedures are adequate to properly 

monitor Exchange trading of the 

Certificates in all trading sessions and to 

deter and detect violations of Exchange 

rules and applicable federal securities 

laws. The Exchange may obtain 

information via the Intermarket 

Surveillance Group (‘‘ISG’’) from other 

exchanges who are members of the ISG. 

(2) Prior to the commencement of 

trading, the Exchange will inform its 

ETP Holders in an Information Bulletin 

of the special characteristics and risks 

associated with trading the Certificates. 

Specifically, the Information Bulletin 

will discuss the following: (a) The 

procedures for purchases and exchanges 

of Trust Certificates; (b) NYSE Arca 

Equities Rule 9.2(a), which imposes a 

duty of due diligence on its ETP Holders 

to learn the essential facts relating to 

every customer prior to trading an issue 

of Trust Certificates; (c) trading hours; 

and (d) trading information. In addition, 

the Information Bulletin will reference 

that an issue of Trust Certificates is 

subject to various fees and expenses 

described in the applicable prospectus. 

This approval order is based on the 

Exchange’s representations. 

The Commission finds good cause, 

pursuant to Section 19(b)(2) of the 

Act,24 for approving the proposed rule 

change prior to the 30th day after the 

date of publication of notice in the 

Federal Register. The Commission notes 

that it has previously approved for 

listing and trading on the Exchange 

other issues of Trust Certificates issued 

by Citigroup Funding, Inc. based on the 

Index and other indexes that have 

similar characteristics and payout 

provisions to the Certificates.25 The 

Commission believes that the 

Exchange’s proposal to list and trade the 

Certificates does not present any novel 

or significant regulatory issues. The 

Commission believes that accelerating 

approval of this proposal should benefit 

investors by creating, without undue 

delay, additional competition in the 

market for Trust Certificates. 

V. Conclusion 

It is therefore ordered, pursuant to 

Section 19(b)(2) of the Act,26 that the 

proposed rule change (SR–NYSEArca– 

2009–33) be, and it hereby is, approved 

on an accelerated basis. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.27

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–10863 Filed 5–8–09; 8:45 am] 

BILLING CODE 8010–01–P 

DEPARTMENT OF STATE 

[Public Notice 6608] 

Secretary of State’s Determination 

Under the International Religious 

Freedom Act of 1998 

SUMMARY: The Secretary of State 

designation of ‘‘countries of particular 

concern’’ for religious freedom 

violations. 

Pursuant to Section 408(a) of the 

International Religious Freedom Act of 

1998 (Pub. L. 105–292), as amended (the 

Act), notice is hereby given that, on 

January 16, 2009, the Secretary of State, 

under authority delegated by the 

President, has designated each of the 

following as a ‘‘country of particular 

concern’’ (CPC) under section 402(b) of 

the Act, for having engaged in or 

tolerated particularly severe violations 

of religious freedom: Burma, China, 

Eritrea, Iran, North Korea, Saudi Arabia, 

Sudan, and Uzbekistan. 

The Secretary simultaneously 

designated the following Presidential 

actions for these CPCs: 

For Burma, the existing ongoing arms 

embargo referenced in 22 CFR 126.1(a), 

pursuant to section 402(c)(5) of the Act; 

For China, the existing ongoing 

restrictions on exports to China of crime 

control and detection instruments and 

equipment, under Public Law 101–246 

and the Foreign Relations Authorization 

Act of 1990 and 1991, pursuant to 

section 402(c)(5) of the Act; 

For Eritrea, the existing ongoing arms 

embargo referenced in 22 CFR 126.1(a), 

pursuant to section 402(c)(5) of the Act; 

For Iran, the existing ongoing 

restrictions on United States security 

assistance in accordance with section 40 

of the Arms Export Control Act, 

pursuant to section 402(c)(5) of the Act; 

For North Korea, the existing ongoing 

restrictions to which North Korea is 

subject pursuant to sections 402 and 409 

of the Trade Act of 1974 (the JacksonVanik Amendment), pursuant to section 

402(c)(5) of the Act; 

For Saudi Arabia, a waiver to ‘‘further 

the purposes of the Act,’’ pursuant to 

section 407 of the Act; 

For Sudan, the use of the voice and 

vote of the United States to oppose any 

loan or other use of the funds of 

international financial institutions to or 

for Sudan, consistent with section 1621 

of the International Financial 

Institutions Act, pursuant to section 

402(c)(5) of the Act; and 

For Uzbekistan, a 180-day waiver to 

‘‘further the purposes of the Act,’’ 

pursuant to section 407 of the Act. 

Dated: May 5, 2009. 

Kurt D. Donnelly, 

Office Director, Office of International 

Religious Freedom, Department of State. 

[FR Doc. E9–10970 Filed 5–8–09; 8:45 am] 

BILLING CODE 4710–18–P 

DEPARTMENT OF TRANSPORTATION 

Federal Transit Administration 

American Recovery and Reinvestment 

Act of 2009 Public Transportation 

Capital Investment Grants Program 

Appropriation and Allocations 

AGENCY: Federal Transit Administration 

(FTA), DOT. 

ACTION: Notice. 

SUMMARY: The ‘‘American Recovery and 

Reinvestment Act, 2009’’ (Pub. L. 111– 

5; ‘‘ARRA’’), signed into law by 

President Barack Obama on February 

17, 2009, includes $8.4 billion for 

transit capital improvements. The 

Federal Transit Administration (FTA) 

published in the Federal Register the 

transit formula program-related 

provisions of the ARRA, as well as 

program and grant application 

requirements for these funds, on March 

5, 2009. This notice implements the 

Capital Investment Grants Program 

provisions of the ARRA and provides 

program and grant application 

requirements for these funds, for FTA’s 

New Starts and Small Starts programs. 

DATES: FTA may de-obligate and 

reallocate certain undisbursed funds by 

May 11, 2010. 

FOR FURTHER INFORMATION CONTACT: For 

general information about this notice 

contact Henrika Buchanan-Smith, 

Director, Office of Transit Programs, at 

(202) 366–2053. Please contact the 

appropriate FTA regional or 

21844 Federal Register / Vol. 74, No. 89 / Monday, May 11, 2009 / Notices 

metropolitan office (Appendix B) for 

any specific requests for information or 

technical assistance. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Overview of This Notice 

II. Capital Investment Grants Program 

A. FY 2009 ARRA Funding Availability 

B. Basis for Allocation 

C. Program Requirements and Period of 

Availability 

D. Reporting Requirements and 

Certifications Applicable to Recipients of 

ARRA Funds 

E. Technical Assistance 

Allocation Table for ARRA Capital 

Investment Grants Program 

Appendix A: Grant Application Instructions 

Appendix B: Regional Contact Information 

I. Overview of This Notice 

The American Recovery and 

Reinvestment Act of 2009 (ARRA) 

includes appropriations and tax law 

changes totaling approximately $787 

billion to support multi-pronged efforts 

to stimulate the economy. Goals of the 

statute include the preservation and 

creation of jobs and promotion of 

economic recovery, as well as the 

investment in transportation, 

environmental protection and other 

infrastructure providing long-term 

economic benefits to the Nation. 

ARRA provides $8.4 billion for public 

transportation. ARRA’s formula transit 

programs—the Capital Transit 

Assistance program and the Fixed 

Guideway Infrastructure Investment 

program—were the subject of FTA’s 

March 5, 2009 Federal Register notice. 

The March 5 notice further provided an 

overview of the ARRA’s transit 

provisions and established the 

principles, policies, and procedures that 

would apply to all ARRA formula 

transit programs. Readers interested in 

how FTA intends to implement ARRA’s 

formula transit program resources 

should refer to the March 5 notice for 

more information. Published separately 

are two discretionary program Federal 

Register notices under the ARRA 

Transit Capital Assistance Program: $17 

million for the Tribal Transit Program 

(published March 23, 2009) and $100 

million for a new Transit Investments 

for Greenhouse Gas and Energy 

Reduction (TIGGER) Program 

(published March 24, 2009). 

This Federal Register notice provides 

allocations of ARRA’s third and largest 

discretionary transit capital program. 

The Capital Investment Grants Program 

makes available $750 million for FTA’s 

discretionary New and Small Starts 

Programs. The basis for FTA’s allocation 

of this funding is described within this 

notice, as are program grant and 

reporting requirements and the period 

of availability of Capital Investment 

Grants funding. This notice also 

includes contact information for FTA 

regional and metropolitan offices. 

II. Capital Investment Grants 

Program—New Starts/Small Starts 

The Capital Investment Grants 

Program authorizes the Secretary of 

Transportation to make discretionary 

grants as authorized under 49 U.S.C. 

5309(d) and (e). This program will be 

implemented consistent with the 

requirements of the New Starts and 

Small Starts Programs, which provide 

funds for construction of major capital 

investments in new fixed guideway 

systems, extensions to existing fixed 

guideway systems, or, in the case of 

Small Starts, certain corridor-based bus 

projects. The $750 million provided for 

the program is estimated to support over 

20,000 direct and indirect jobs and will 

expedite the delivery of new major 

capital rail and bus investments in 

several cities across the Nation. For 

more information about New or Small 

Starts project development contact 

Elizabeth Day, Director of the Office of 

Project Planning, at (202) 366–5159, or 

for information about published 

allocations contact Aaron C. James, Sr., 

Director of the Office of Engineering, at 

(202) 493–0107. 

A. FY 2009 ARRA Funding Availability 

The ARRA provides $750,000,000 to 

New Starts and Small Starts projects 

under the Capital Investment Grants 

Program. The total amount apportioned 

for projects is $742,500,000, after a one 

percent takedown for oversight and 

administrative expenses provided in 

ARRA as shown in the table below. 

CAPITAL INVESTMENT GRANTS

Total Appropriation ............... $750,000,000 

Administrative and Program 

Management Oversight 

Deduction .......................... ¥$7,500,000 

Total Apportioned .......... $742,500,000 

B. Basis for Allocation 

This notice allocates all ARRA 

funding for the Capital Investment 

Grants Program. In making these 

allocations, FTA considered both the 

specific direction provided in the 

legislation as well as Congress’ and the 

Administration’s general objectives for 

accountability and transparency in the 

administration of ARRA funds. These 

objectives include the prompt and fair 

distribution of funding, the assurance 

that funds are being used for authorized 

purposes, and that instances of waste, 

fraud, and abuse are avoided. FTA also 

wanted to ensure that projects funded 

with ARRA discretionary resources 

demonstrated merit by meeting the 

statutory project justification and local 

financial commitment criteria of the 

New Starts and Small Starts Programs. 

ARRA provides that when FTA is 

selecting projects to be funded, ‘‘priority 

shall be given to projects that are 

currently in construction or are able to 

obligate funds within 150 days of 

enactment’’ of ARRA on February 17, 

2009. The provisions of 49 U.S.C. 

5309(d) and (e) are not waived by 

ARRA. Accordingly, FTA analyzed the 

schedules and construction cash flow 

needs of ten New Starts projects and one 

Small Starts project under construction 

or with Federal pay-out schedules 

established in their Full Funding Grant 

Agreements (FFGAs) or Project 

Construction Grant Agreement (PCGA) 

extending beyond Fiscal Year (FY) 2009. 

FTA also reviewed the capacity of these 

projects’ existing contracts and of new 

contracts expected to be awarded by 

July 2009. The analysis showed that 

most of the eleven projects considered 

for ARRA Capital Investment Grants 

funding demonstrated some contract 

capacity to absorb additional revenues, 

but that projects differed in their 

assessed ability (based on current 

construction and debt payoff schedules) 

to rapidly make use of ARRA funding. 

As the contract capacity of the eleven 

projects combined exceeded the amount 

of available ARRA Capital Investment 

Grants resources—and because FTA 

could not be assured that any other 

project in the New Starts or Small Starts 

pipeline not in construction could 

obligate a significant amount of funding 

within 150 days of ARRA enactment— 

FTA limited its allocation of 

discretionary funding to this set of 

eleven major capital investments. 

Consequently, a two-step funding 

allocation approach was used. In the 

first step, each of the eleven New Starts 

projects was allocated an amount equal 

to 40 percent of its FY 2010 scheduled 

pay-out, while the Pioneer Parkway 

EmX Bus Rapid Transit Small Starts 

project in Springfield, Oregon was 

allocated an amount equal to its entire 

FY 2010 pay-out of $2,940,000, thus 

completing the Federal funding 

commitment to the project. The step-one 

allocation totaled $457,680,000 of the 

available $742,500,000. In the second 

step, the remaining $284,820,000 was 

distributed proportionally among five 

New Starts investments in construction 

with projected contract expenditures in 

calendar year 2009 that are higher than 

their FY 2009 scheduled New Starts 

pay-out. FTA believes that by 

Federal Register / Vol. 74, No. 89 / Monday, May 11, 2009 / Notices 21845 

accelerating Federal funding to these 

eleven projects, their sponsors will 

achieve one or more possible positive 

outcomes, including an acceleration of 

the schedule of construction for a 

project, a reduction in project finance 

costs, and/or the re-distribution of 

planned project resources to other local 

transit priorities. 

The allocation of Capital Investment 

Grants Program funding is presented in 

the Allocation Table of this notice. The 

total Federal funding commitment for 

each project will not change. However, 

each FFGA’s final scheduled New Starts 

pay-out will be reduced by the amounts 

allocated in this Federal Register notice. 

The allocation of ARRA Capital 

Investment Grants funding to liquidate 

New Starts and Small Starts 

commitments will make available anew 

previously committed Federal New or 

Small Starts commitment authority. The 

additional commitment authority 

created by this $750 million allocation 

totals $1.5 billion due to the statutory 

method for calculating commitment 

authority. This allocation has the benefit 

of maximizing commitment authority. 

This will allow FTA to make additional 

New or Small Starts commitments in the 

coming months and contribute to the 

creation of jobs associated with 

additional construction of new major 

capital transit projects. In the absence of 

ARRA resources and this allocation 

approach, the additional commitment 

authority to initiate new major capital 

transit projects would not exist. 

C. Program Requirements and Period of 

Availability 

Providing additional funding to major 

capital projects under the Recovery 

program will help New Starts and Small 

Starts project delivery, as well as 

National economy and local economies. 

To maximize the effectiveness of these 

funding decisions, FTA is requiring that 

all ARRA Capital Investment Grants 

funds be drawn down (outlayed) by May 

11, 2010. FTA may de-obligate any 

ARRA Capital Investment Grants 

Program funding not drawn down by 

recipients within the one-year period. 

FTA encourages project sponsors 

identified in this notice to apply for 

ARRA funds as soon as possible. This 

will ensure the ability to incur costs and 

draw funds from the Treasury within 

the year, thereby sustaining and creating 

public transportation construction jobs. 

In recognition of the difficulty that 

some recipients may experience in 

accelerating local matching resources, 

and to ensure the timely expenditure of 

ARRA funds, FTA will permit, as a 

condition of the grant, a deferral of the 

non-Federal match. Grantees may defer 

provision of this local match 

simultaneously with the Federal funds’ 

draw down rate for up to three years 

after the date of the FTA ARRA grant 

award, with a possible extension at 

FTA’s discretion. However, local match 

to all ARRA Capital Investment Grants 

funding must be available by the end of 

the project’s New Starts/Small Starts 

pay-out period, even if this is less than 

three years from the date of the ARRA 

grant. Each grantee should work with its 

FTA regional office on specific wording 

of this condition if interested in using 

the deferral provision. 

Since ARRA Capital Investment 

Grants Program funding is being 

administered through existing multiyear full funding grant agreements, 

additional information can be found in 

FTA Circular (5200.1A, Full Funding 

Grant Agreements Guidance, December 

5, 2002). 

D. Reporting Requirements and 

Certifications Applicable to Recipients 

of ARRA Funds 

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 the milestone status 

report and financial status report on a 

quarterly basis, as well as additional 

data elements that are required to be 

reported in http://www.recovery.gov. 

Additionally, special certifications and 

grant conditions also will be required of 

ARRA grant recipients. 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 investment funding from 

funds made available under ARRA 

unless this certification is made and 

posted. 

On February 27, 2009, the United 

States Department of Transportation 

(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: TigerTeam@dot.gov. 

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 

Federal Highway Administration 

(FHWA) and FTA projects. If the 1511 

certification previously submitted to 

DOT by the Governor does not include 

the project for which this funding is 

allocated, the mayor or other local 

official, as appropriate, may submit a 

new certification specific to the Capital 

Investments Grant project. 

2. Section 1512. Reports on Use of 

Funds 

Recipient Reports.—Not later than 10 

days after the end of each calendar 

quarter, starting in October 10, 2009, 

each recipient that received ARRA 

funds from a Federal agency shall 

submit a report to that agency that 

contains— 

(i) The total amount of ARRA funds 

received from that agency; 

(ii) The amount of ARRA funds 

received that were expended or 

obligated to projects or activities; and 

(iii) A detailed list of all projects or 

activities for which ARRA funds were 

expended or obligated, including— 

(A) The name of the project or 

activity; 

(B) A description of the project or 

activity; 

(C) An evaluation of the completion 

status of the project or activity; 

(D) An estimate of the number of jobs 

created and the number of jobs retained 

by the project or activity; and 

(E) 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. 

(iv) 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 

21846 Federal Register / Vol. 74, No. 89 / Monday, May 11, 2009 / Notices 

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; an 

award title descriptive of the purpose of 

each funding action; and employee 

compensation information for certain 

contracts under limited conditions. 

The Office of Management and Budget 

(OMB) will collect these reports through 

a central Web-based reporting system 

and will provide further reporting 

instructions at a later date. 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 

subsection (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 with the 

quarter ending September 30, 2009. 

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 also indicated that first tier 

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 was 

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 

this certification, the Governor was 

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. DOT 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. As of March 19, 2009, all States 

and the District of Columbia had 

submitted the required maintenance of 

effort certification. The Department is 

currently reviewing these certifications 

for adequacy. 

5. Section 1201(c)(2): 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 

outlayed 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 ARRA. 

Each grant recipient is required to 

submit the first of the periodic reports 

including the Section 1201(c)(2) data 

required above by May 18, 2009 and is 

required to submit updated reports not 

later than August 16, 2009; February 17, 

2010; February 17, 2011; and February 

17, 2012. 

DOT had developed a standard 

reporting form for these reports. FTA 

will provide further reporting 

instructions before the reports are due. 

Grantees will be required to report 

direct jobs, but the department will 

generate data on indirect and indirect 

jobs through the use of economic 

models and factors applied to the data 

provided in the grant awards and other 

information reported by the grantee. All 

States have acted to accept 

transportation funds. 

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 health. If the 

Governor does not provide this 

certification, then the state legislature 

may act to accept the funds. All states 

have acted to accept transportation 

funds. 

7. Section 1609 

Under section 1609(c), FTA is 

required to report to certain 

congressional committees every 90 days 

following enactment of ARRA on the 

status and progress of projects funded or 

proposed for funding under the Act 

with respect to compliance with the 

National Environmental Policy Act 

(NEPA) and its implementing 

regulations. FTA may 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 DOT Inspector General 

(IG). FTA will inform grantees if and 

when such additional reports are 

required. 

E. Technical Assistance 

FTA headquarters and regional staff 

are pleased to answer your questions 

and provide any technical assistance 

you may need to apply for FTA ARRA 

funds and to manage the grants you 

receive. In addition to this notice, 

Questions and Answers regarding FTA’s 

implementation of the ARRA, and 

additional resources may be viewed via 

the FTA Web site http:// 

www.fta.dot.gov/economicrecovery. 

Federal Register / Vol. 74, No. 89 / Monday, May 11, 2009 / Notices 21847 

Further, all FTA circulars are posted on 

our Web site, including: C4220.1F, 

Third Party Contracting Requirements, 

dated November 1, 2008; and C5010.1D, 

Grant Management Guidelines 

(November 1, 2008). In addition, FTA 

has developed a toll-free hotline for 

civil rights-related ARRA inquiries. The 

number is 866–525–5561 and is 

available at http://www.fta.dot.gov/ 

civil_rights.html. You may also contact 

the regional civil rights officer at the 

Regional Office listed in Appendix B. 

Issued in Washington, DC, this 6th day of 

May, 2009. 

Matthew J. Welbes, 

Acting Deputy Administrator. 

Appendix A 

Instructions for Preparing a Grant 

Application Using ARRA Funds 

1. Pre-Application Stage 

Note: To streamline the grant development 

process, ARRA grants may receive official 

grant numbers and be submitted before all 

traditional pre-application requirements are 

complete. However, ARRA grants may not be 

awarded until all pre-application 

requirements have been satisfied. 

a. Planning. Project activities to be 

funded must be included in a Federallyapproved Statewide Transportation 

Improvement Program (STIP) for capital 

and/or operating projects. Unified 

Planning Work Program (UPWP) FTA 

will not require that planning 

requirements be completed before the 

submission of grant applications for 

ARRA funding. However, project 

planning requirements must be 

complete and properly documented 

before grant award. 

b. Environmental Determination. 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. section 4321 et seq.). All projects 

allocated Capital Investment (New 

Starts) funding under the ARRA should 

have a ROD or FONSI on file. 

c. Annual Submission of 

Certifications and Assurances. A grant 

applicant applying for assistance under 

Federal Transit Programs including 

ARRA programs must submit 

certifications and assurances that are 

applicable to the grant applicant’s active 

and new grants during the fiscal year. A 

grantee that has already submitted a FY 

2009 Certifications and Assurances does 

not need to resubmit these assurances. 

d. Civil Rights Submissions. Civil 

Rights submissions that may be required 

include a Title VI Plan, Equal 

Employment Opportunity (EEO) 

Program, Disadvantaged Business 

Enterprise (DBE) Program, and ADA 

Paratransit Plan. Typically, FTA’s 

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. For ARRA funds, the grant 

number will be assigned before civil 

rights reviews are complete, but the 

grant will not be awarded with pending 

civil rights requirements. In addition, it 

may be necessary to verify compliance 

with specific Title VI, EEO, DBE and 

ADA requirements as part of the grant 

review and approval process. Please 

work closely with your Regional Civil 

Rights officer to ensure no delays in the 

award of a grant. 

2. Application Stage (Team Information) 

Applications for ARRA New Starts 

funds must be submitted electronically 

through the Transportation Electronic 

Award Management (TEAM) System. 

Each ARRA program funding request 

must be applied for in its own grant (i.e., 

ARRA Capital Assistance Formula funds 

may not be applied for in the same grant 

as ARRA Fixed Guideway 

Modernization funds or ARRA Capital 

Investment funds). Further, ARRA funds 

cannot be commingled in a grant 

application with New Starts funds 

apportioned under SAFETEA–LU. 


EN11MY09.000</GPH>
21848 Federal Register / Vol. 74, No. 89 / Monday, May 11, 2009 / Notices 

ARRA Capital Investment grants 

should be developed using the newly 

created Section code in TEAM. ARRA 

program codes appear in the color red 

in the TEAM dropdown menu. The red 

is only to distinguish the ARRA section 

codes from other FTA program codes. A 

Capital Investment (New Starts) ARRA 

grant should be developed using the 

following section code: 

36—New Start-Economic Recovery. 

Information that should be entered 

into TEAM when preparing an 

application includes: 

a. Recipient Information. Applicants 

should enter or update all required 

information about the organization in 

the appropriate fields in TEAM, 

including recipient address, contact 

information, union information, 

urbanized area identification number 

(UZA), 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. Applicants 

should identify the project start/end 

date, program date, Executive Order 

12372 review date, metropolitan 

planning organization (MPO) 

concurrence date (if applicable), and 

grant project costs. The ‘‘brief project 

description’’ field should include 

information that can be used to report 

the type of infrastructure investment 

such as: Construction of Light Rail 

System. 

(1) Project Description. This 

information must be in sufficient detail 

for FTA to obtain a general 

understanding of the nature and 

purpose of the planned activities. There 

is a project description field as well as 

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 of STIP or 

Unified Planning Work Program 

(UPWP). All projects 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. 

In the case of ARRA grants, FTA 

regional offices will continue to process 

grants while awaiting STIP amendment 

actions. Grant numbers will be assigned 

before the inclusion of the STIP date in 

the grant application if the grantee is 

awaiting formal STIP action or approval. 

c. Budget. The appropriate scopes and 

activity line items (ALI) 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 a brief 

discussion of the expanded service. The 

project budget should reflect the precise 

activities for which the grant funds will 

be used. As a streamlining measure, 

FTA is not requiring that grantees 

include any non-add scopes in the 

project budget when purchasing 

activities that are categorized as ITS, 

ADA, or security. 

d. Project Milestones. Estimated 

completion dates for all milestones 

should be provided and updated 

quarterly. If milestones are not prepopulated by the TEAM system for a 

particular activity line item (ALI) , use 

the add function to add milestones for 

that ALI to the grant application. At a 

minimum, activities that will require a 

contract award should have milestones 

tracking (1) the date the RFP is issued; 

(2) the anticipated date of contract 

award; and (3) the date the contract will 

be completed. Activity line items that 

are not contracted out should minimally 

include (1) the date the activity is 

initiated and (2) the anticipated 

completion date. 

It is critical that milestones for ARRA 

grant activities are updated and 

monitored quarterly. Quarterly reports 

must be submitted 10 days after the end 

of each quarter. 

e. Environmental Findings. The 

application must include a proposed 

classification of each ALI that is an 

independent project with discrete 

transit utility, in accordance with the 

FTA/FHWA environmental impact 

procedures. (See 23 CFR 771.115 and 

771.117.) The date of the ROD or FONSI 

for the New Start project should be 

listed in the Environmental Findings. 

f. Fleet Status. A fleet status report 

does not need to be included in the 

ARRA Capital Investment grant 

application. Fleet information should be 

contained in the fleet management plan. 

g. Application Submission. Once FTA 

deems (1) the TEAM application 

template completed, (2) the activities 

eligible, and (3) the budget complete 

and firm, FTA will assign a grant 

number. At this point, the grant is ready 

to be pinned and submitted in TEAM by 

the designated recipient/grantee. As 

previously stated, ARRA grants may be 

submitted prior to the completion of all 

pre-application requirements such as: 

Civil Rights documentation, Planning, 

ARRA required certifications. This 

concurrent review process is a departure 

from FTA’s standard operating 

procedures and only applies to grants 

for ARRA program funds. 

Note: Although ARRA program grants can 

be officially submitted to FTA for review and 

approval, grant funds can not be awarded or 

obligated until all applicable federal 

requirements including the Section 1511 

certification required under ARRA have been 

met. 

h. Certification of Labor Protective 

Arrangements. ARRA Capital 

Investment grants will be sent to DOL, 

as soon as the budget is confirmed, 

budget details are included in the grant, 

and the application is officially 

submitted for processing. DOL 

procedures have minimum wait times 

built in for replies or objections by 

management and unions. Accordingly, a 

grantee’s prompt response to DOL 

communications regarding the grant 

before the expiration of the minimum 

wait period could result in the grant 

being certified before the end of the 

allowable processing period. 

i. Grant Approval. Once FTA staff 

determines through a final review of the 

application that FTA program 

requirements have been met and that 

the ARRA section 1511 certification is 

made and submitted to DOT for posting 

to the DOT Recovery Web site, FTA will 

reserve the funds and obligate the grant. 

j. Grant Execution. After FTA has 

awarded the grant, the applicant must 

execute the award before funds can be 

drawn down from the grant. Before 

executing ARRA grants, the grantee will 

be prompted to select both the rationale 

for the investment and the purpose of 

the investment from menus that have 

been established in the reservation 

screen. ARRA grants that include 

activities funded using pre-award 

authority will require the submission of 

a Financial Status Report before grant 

execution. 

Application Checklist 

Part I—Recipient Information 

1. Is the Grantee Contact & Other 

Information current and complete? 

2. Are Annual Certifications & 

Assurances pinned? 

3. Is UZA/Congressional District 

information entered and accurate? 

4. Is Union Contact information 

entered and accurate? 

5. Has Civil Rights Program 

Documentation been approved by FTA? 

6. Has the applicants DUNS Number 

been entered in the appropriate field? 

Federal Register / Vol. 74, No. 89 / Monday, May 11, 2009 / Notices 21849 

Part II—Project Details 

1. Does the Project Description 

include adequate descriptive 

information of funded projects? 

2. Are the project activities included 

in the grant eligible to be funded using 

ARRA Capital Investment Program 

funds? 

Part III—Project Information 

1. Has the grant been identified as a 

new application or amendment? 

2. Start/End date entered? 

3. Has the Program Date (STIP or 

UPWP date) been entered? 

4. Have Control Totals been entered? 

5. Does the brief project description 

field adequately articulate what is being 

funded (Example: Construction of Light 

Rail System, Bus Rapid Transit 

Vehicles, and etc.)? 

6. If pre-award authority is applicable, 

has ‘‘yes’’ been selected? 

7. Has the EO 12372 Review field 

been completed, if applicable? 

Part IV—Budget 

1. Are ALI codes entered under the 

appropriate scope codes? 

2. Is grant for up to 80% Federal 

funds? 

3. Does the funding amount entered in 

the budget match financial information 

entered in the control totals in the 

‘‘Project Information’’ field? 

4. Does the rolling stock (vehicle) line 

item contain accurate information such 

as? 

a. Description of vehicles purchased. 

b. Fuel Type. 

5. Have details been entered into the 

‘‘Extended Budget Descriptions?’’ 

a. Has descriptive information been 

added in the details section of each ALI 

that identifies the items being funded 

using the line item? 

Part V—Project Milestones 

1. Are milestones listed for each ALI? 

(If an ALI does not have milestones, 

they should be added.) 

2. Have estimated completion dates 

been entered? 

Part VI—Environmental Findings 

(NEPA) 

1. Has an environmental finding been 

entered for each ALI? 

Appendix B 

FTA Regional and Metropolitan Offices 

Richard H. Doyle, Regional Administrator, Region 1—Boston, Kendall 

Square, 55 Broadway, Suite 920, Cambridge, MA 02142–1093. Tel. 

617–494–2055.

Robert C. Patrick, Regional Administrator, Region 6—Ft. Worth, 819 

Taylor Street, Room 8A36, Ft. Worth, TX 76102. Tel. 817–978–0550. 

States served: Connecticut, Maine, Massachusetts, New Hampshire, 

Rhode Island, and Vermont.

States served: Arkansas, Louisiana, Oklahoma, New Mexico and 

Texas. 

Brigid Hynes-Cherin, Regional Administrator, Region 2—New York, 

One Bowling Green, Room 429, New York, NY 10004–1415. Tel. 

No. 212–668–2170.

Mokhtee Ahmad, Regional Administrator, Region 7—Kansas City, MO, 

901 Locust Street, Room 404, Kansas City, MO 64106. Tel. 816– 

329–3920. 

States served: New Jersey, New York .................................................... States served: Iowa, Kansas, Missouri, and Nebraska. 

New York Metropolitan Office, Region 2—New York, One Bowling 

Green, Room 428, New York, NY 10004–1415. Tel. 212–668–2202.

Letitia Thompson, Regional Administrator, Region 3—Philadelphia, 

1760 Market Street, Suite 500, Philadelphia, PA 19103–4124. Tel. 

215–656–7100.

Terry Rosapep, Regional Administrator, Region 8—Denver, 12300 

West Dakota Ave., Suite 310, Lakewood, CO 80228–2583. Tel. 720– 

963–3300. 

States served: Delaware, Maryland, Pennsylvania, Virginia, West Virginia, and District of Columbia.States served: Colorado, Montana, North Dakota, South 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 Metropolitan Office, 1990 K Street, NW., Room 510, 

Washington, DC 20006. Tel. 202–219–3562.

Yvette Taylor, Regional Administrator, Region 4—Atlanta, 230 Peachtree Street, NW., Suite 800, Atlanta, GA 30303. Tel. 404–865–5600.Leslie T. Rogers, Regional Administrator, Region 9—San Francisco, 

201 Mission Street, Room 1650, San Francisco, CA 94105–1926. 

Tel. 415–744–3133. 

States served: Alabama, Florida, Georgia, Kentucky, Mississippi, North 

Carolina, Puerto Rico, South Carolina, Tennessee, and Virgin Islands.

States served: American Samoa, Arizona, California, Guam, Hawaii, 

Nevada, and the 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, Region 5—Chicago, 200 West 

Adams Street, Suite 320, Chicago, IL 60606. Tel. 312–353–2789.

Rick Krochalis, Regional Administrator, Region 10–Seattle, Jackson 

Federal Building, 915 Second Avenue, Suite 3142, Seattle, WA 

98174–1002. Tel. 206–220–7954. 

States served: Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin.States served: Alaska, Idaho, Oregon, and Washington. 

Chicago Metropolitan Office, Region 5—Chicago, 200 West Adams 

Street, Suite 320, Chicago, IL 60606. Tel. 312–353–2789.

21850 Federal Register / Vol. 74, No. 89 / Monday, May 11, 2009 / Notices 

[FR Doc. E9–10963 Filed 5–8–09; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF TRANSPORTATION 

National Highway Traffic Safety 

Administration 

[Docket No. NHTSA–2009–0095] 

Technical Report on the Effectiveness 

of Amber Rear Turn Signals for 

Reducing Rear Impacts 

AGENCY: National Highway Traffic 

Safety Administration (NHTSA), 

Department of Transportation. 

ACTION: Request for comments on 

technical report. 

SUMMARY: This purpose of this report is 

to determine the effect of rear turn 

signal color on the likelihood of being 

involved in a rear-end crash. Federal 

Motor Vehicle Safety Standard No. 108 

allows rear turn signals to be either red 

or amber in color. The primary 

conclusion is that amber rear turn 

signals are 5.3% more effective than red 

rear turn signals at preventing 

involvement in crashes where a careful 

driver would typically use the turn 

signals. The result is shown to be 

statistically significant and consistent 

with other published analyses on the 

influence of rear turn signal color. 

DATES: Comments must be received no 

later than September 6, 2009 

ADDRESSES:

Report: The technical report is 

available on the Internet for viewing in 

PDF format at http://wwwnrd.nhtsa.dot.gov/Pubs/811115.PDF. 

You may obtain a copy of the report free 

of charge by sending a self-addressed 

mailing label to Kirk Allen (NVS–431), 

National Highway Traffic Safety 

Administration, 1200 New Jersey 

Avenue, SE., Washington, DC 20590. 

Comments: You may submit 

comments [identified by Docket Number 

NHTSA–2009–0095] by any of the 

following methods: 

• Federal eRulemaking Portal: Go to 

http://www.regulations.gov. Follow the 

online instructions for submitting 

comments. 

• Fax: 1–202–493–2251. 

• Mail: Docket Management Facility, 

M–30, U.S. Department of 

Transportation, West Building, Ground 

Floor, Rm. W12–140, 1200 New Jersey 

Avenue, SE., Washington, DC 20590. 

• Hand Delivery: West Building 

Ground Floor, Room W12–140, 1200 

New Jersey Avenue, SE., between 9 a.m. 

and 5 p.m. Eastern Time, Monday 

through Friday, except Federal holidays. 

You may call Docket Management at 

202–366–9826. 

Instructions: For detailed instructions 

on submitting comments, see the 

Procedural Matters section of this 

document. Note that all comments 

received will be posted without change 

to http://www.regulations.gov, including 

any personal information provided. 

FOR FURTHER INFORMATION CONTACT: Kirk 

Allen, Statistician, Evaluation Division, 

NVS–431, National Center for Statistics 

and Analysis, National Highway Traffic 

Safety Administration, Room W53–457, 

1200 New Jersey Avenue, SE, 

Washington, DC 20590. Telephone: 

202–366–9308. E-mail: 

kirk.allen@dot.gov. 

For information about NHTSA’s 

evaluations of the effectiveness of 

existing regulations and programs: Visit 

the NHTSA Web site at http:// 

www.nhtsa.dot.gov and click ‘‘NCSA’’ 

near the upper right corner on the home 

page; then click ‘‘Regulatory 

Evaluation’’ under ‘‘Browse Topics’’ on 

the ‘‘NCSA’’ page. 

SUPPLEMENTARY INFORMATION: Federal 

Motor Vehicle Safety Standard No. 108 

allows rear turn signals to be either red 

or amber in color. Previous work on this 

subject includes laboratory experiments 

and analyses of crash data that suggest 

amber rear turn signals are beneficial. 

The present study was designed around 

the concept of ‘‘switch pairs’’—makemodels of passenger vehicles were 

identified that had switched rear turn 

signal color, and crash involvement 

rates were computed before and after 

the switch. This method should control 

for extraneous factors related to vehicle 

and driver characteristics. Crash data 

from NHTSA’s State Data System was 

used in the analysis. The principal 

finding of the report is that amber 

signals show a 5.3% effectiveness in 

reducing involvement in two-vehicle 

crashes where a lead vehicle is rearstruck in the act of turning left, turning 

right, merging into traffic, changing 

lanes, or entering/leaving a parking 

space. The advantage of amber rear turn 

signals is shown to be statistically 

significant. 

Procedural Matters 

How can I influence NHTSA’s thinking 

on this subject? 

NHTSA welcomes public review of 

the technical report. NHTSA will 

submit to the Docket a response to the 

comments and, if appropriate, will 

supplement or revise the report. 

How do I prepare and submit 

comments? 

Your comments must be written and 

in English. To ensure that your 

comments are correctly filed in the 

Docket, please include the Docket 

number of this document (NHTSA– 

2009–0095) in your comments. 

Your primary comments must not be 

more than 15 pages long (49 CFR 

553.21). However, you may attach 

additional documents to your primary 

comments. There is no limit on the 

length of the attachments. 

Anyone is able to search the 

electronic form of all comments 

received into any of our dockets by the 

name of the individual submitting the 

comment (or signing the comment, if 

submitted on behalf of an association, 

business, labor union, etc.). You may 

review DOT’s complete Privacy Act 

Statement in the Federal Register 

published on April 11, 2000 (65 FR 

19477) or you may visit http:// 

regulations.gov. 

Please send two paper copies of your 

comments to Docket Management, fax 

them, or use the Federal eRulemaking 

Portal. The mailing address is U. S. 

Department of Transportation, Docket 

Management Facility, M–30, West 

Building, Ground Floor, Rm. W12–140, 

1200 New Jersey Avenue, SE., 

Washington, DC 20590. The fax number 

is 1–202–493–2251. To use the Federal 

eRulemaking Portal, go to http:// 

www.regulations.gov and follow the 

online instructions for submitting 

comments. 

We also request, but do not require 

you to send a copy to Kirk Allen, 

Statistician, Evaluation Division, NVS– 

431, National Highway Traffic Safety 

Administration, Room W53–312, 1200 

New Jersey Avenue, SE., Washington, 

DC 20590 (or e-mail them to 

kirk.allen@dot.gov). He can check if 

your comments have been received at 

the Docket and he can expedite their 

review by NHTSA. 

How can I be sure that my comments 

were received? 

If you wish Docket Management to 

notify you upon its receipt of your 

comments, enclose a self-addressed, 

stamped postcard in the envelope 

containing your comments. Upon 

receiving your comments, Docket 

Management will return the postcard by 

mail. 

How do I submit confidential business 

information? 

If you wish to submit any information 

under a claim of confidentiality, send 

three copies of your complete