[Federal Register Volume 74, Number 89 (Monday, May 11, 2009)]
[Notices]
[Pages 21843-21850]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-10963]


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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.

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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

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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              -$7,500,000
 Deduction..............................................
                                                         ---------------
    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

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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 multi-year 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: <a href="/cdn-cgi/l/email-protection#1b4f727c7e694f7e7a765b7f746f357c746d"><span class="__cf_email__" data-cfemail="c397aaa4a6b197a6a2ae83a7acb7eda4acb5">[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 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

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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.

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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.
[GRAPHIC] [TIFF OMITTED] TN11MY09.000

    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 
Federally-approved 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.

[[Page 21848]]

    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 pre-populated 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?

[[Page 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               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--
 Bowling Green, Room 429, New York, NY    Kansas City, MO, 901 Locust
 10004-1415. Tel. No. 212-668-2170.       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               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 Metropolitan Office,
 1990 K Street, NW., Room 510,
 Washington, DC 20006. Tel. 202-219-
 3562.
------------------------------------------------------------------------
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. 404-865-5600.                Room 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.
------------------------------------------------------------------------


[[Page 21850]]

[FR Doc. E9-10963 Filed 5-8-09; 8:45 am]
BILLING CODE P


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