Source: https://www.transit.dot.gov/region-9/faq
Timestamp: 2018-06-22 19:14:05
Document Index: 319365020

Matched Legal Cases: ['§5302', 'art 661', 'art 571', 'art 663', 'art 605', 'art 605', 'ART 605']

Region 9 FAQs | FTA
Region 9 FAQs
Is there a list of everything an agency has to do to become a Grantee?
No. Even though I hear a lot about applications, requirements, regulations, changes, and the like, I've never been to a class that could teach someone how to apply for a grant, either. An agency must take a number of steps to become an eligible Grantee, first.
Each step is important:
Call Ms. Renee Marler, at (415) 744-3133, to learn what the legal requirements are for your agency.
Call Mr. Derrin Jourdan, at (415) 744-2729, to learn what the civil rights requirements are for your agency.
Call Ms. Ingrid Libao, at (415) 744-2731, to learn how to register with our finance and computer functions.
Applications must be submitted electronically on FTA's TEAM system.
Call Ms. Philis Yue, at (415) 744-2503, to learn how to get the required software.
Call Ms. Sigrid Jones, at (415) 744-2728, to learn how to get security PIN's for your staff, attorney, etc.
Is there an FTA dictionary?
You have to know which letter, circular, policy, notice, rule, regulation, law, etc., has the definition you need and then be able to retrieve it. You also have to know why you want to know because there are special definitions for special purposes. One example, is OMB's definitions for accounting.
In general, I suggest you use the definitions for National Transit Database reporting, for two reasons. The first, is because NTD definitions lead to money. The second reason is because they're the same for everyone. Others' definitions go in and out of style too often to be useful.
NTD's are at http://www.ntdprogram.gov/ntdprogram/
Here are other FTA sources:
http://www.fhwa.dot.gov/tea21/h2400iii.htm
``Sec. 5302. Definitions
``(a) In General.--In this chapter, the following definitions apply:
``(1) Capital project.--The term `capital project' means a
project for--
``(A) acquiring, constructing, supervising, or
inspecting equipment or a facility for use in mass
transportation, expenses incidental to the acquisition
or construction (including designing, engineering,
location surveying, mapping, and acquiring rights-of-
way), payments for the capital
portions of rail trackage rights agreements, transit-
related intelligent transportation systems, relocation
assistance, acquiring replacement housing sites, and
acquiring, constructing, relocating, and rehabilitating
``(B) rehabilitating a bus;
``(C) remanufacturing a bus;
``(D) overhauling rail rolling stock;
``(E) preventive maintenance;
``(F) leasing equipment or a facility for use in
mass transportation, subject to regulations that the
Secretary prescribes limiting the leasing arrangements
to those that are more cost-effective than purchase or
``(G) a mass transportation improvement that
enhances economic development or incorporates private
investment, including commercial and residential
development, pedestrian and bicycle access to a mass
transportation facility, and the renovation and
improvement of historic transportation facilities,
because the improvement enhances the effectiveness of a
mass transportation project and is related physically or
functionally to that mass transportation project, or
establishes new or enhanced coordination between mass
transportation and other transportation, and provides a
fair share of revenue for mass transportation that will
be used for mass transportation--
``(i) including property acquisition,
demolition of existing structures, site
preparation, utilities, building foundations,
walkways, open space, safety and security
equipment and facilities (including lighting,
surveillance and related intelligent
transportation system applications), facilities
that incorporate community services such as
daycare and health care, and a capital project
for, and improving, equipment or a facility for an
intermodal transfer facility or transportation
mall, except that a person making an agreement to
occupy space in a facility under this subparagraph
shall pay a reasonable share of the costs of the
facility through rental payments and other means;
``(ii) excluding construction of a commercial
revenue-producing facility or a part of a public
facility not related to mass transportation;
``(H) the introduction of new technology, through
innovative and improved products, into mass
``(I) the provision of nonfixed route paratransit
transportation services in accordance with section 223
of the Americans with Disabilities Act of 1990 (42
U.S.C. 12143), but only for grant recipients that are in
compliance with applicable requirements of that Act,
including both fixed route and demand responsive
service, and only for amounts not to exceed 10 percent
of such recipient's annual formula apportionment under
sections 5307 and 5311.
``(2) Chief executive officer of a state.--The term `chief
executive officer of a State' includes the designee of the chief
``(3) Emergency regulation.--The term `emergency regulation'
means a regulation--
``(A) that is effective temporarily before the
expiration of the otherwise specified periods of time
for public notice and comment under section 5334(b); and
``(B) prescribed by the Secretary as the result of a
finding that a delay in the effective date of the
``(i) would injure seriously an important
``(ii) would frustrate substantially
legislative policy and intent; or
``(iii) would damage seriously a person or
class without serving an important public
``(4) Fixed guideway.--The term `fixed guideway' means a
mass transportation facility--
``(A) using and occupying a separate right-of-way or
rail for the exclusive use of mass transportation and
other high occupancy vehicles; or
``(B) using a fixed catenary system and a right-of-
way usable by other forms of transportation.
``(5) Handicapped individual.--The term `handicapped
individual' means an individual who, because of illness, injury,
age, congenital malfunction, or other incapacity or temporary or
permanent disability (including an individual who is a
wheelchair user or has semiambulatory capability), cannot use
effectively, without special facilities, planning, or design,
mass transportation service or a mass transportation facility.
``(6) Local governmental authority.--The term `local
governmental authority' includes--
``(A) a political subdivision of a State;
``(B) an authority of at least 1 State or political
``(C) an Indian tribe; and
``(D) a public corporation, board, or commission
established under the laws of a State.
``(7) Mass transportation.--The term `mass transportation'
means transportation by a conveyance that provides regular and
continuing general or special transportation to the public, but
does not include school bus, charter, or sightseeing
``(8) Net project cost.--The term `net project cost' means
the part of a project that reasonably cannot be financed from
``(9) New bus model.--The term `new bus model' means a bus
model (including a model using alternative fuel)--
``(A) that has not been used in mass transportation
in the United States before the date of production of
the model; or
``(B) used in mass transportation in the United
States, but being produced with a major change in
configuration or components.
``(10) Public transportation.--The term `public
transportation' means mass transportation.
``(11) Regulation.--The term `regulation' means any part of
a statement of general or particular applicability of the
Secretary designed to carry out, interpret, or prescribe law or
policy in carrying out this chapter.
``(13) State.--The term `State' means a State of the United
States, the District of Columbia, Puerto Rico, the Northern
Mariana Islands, Guam, American Samoa, and the Virgin Islands.
``(14) Transit.--The term `transit' means mass
``(15) Transit enhancement.--The term `transit enhancement'
means, with respect to any project or an area to be served by a
project, projects that are designed to enhance mass
transportation service or use and that are physically or
functionally related to transit facilities. Eligible projects
``(A) historic preservation, rehabilitation, and
operation of historic mass transportation buildings,
structures, and facilities (including historic bus and
railroad facilities);
``(B) bus shelters;
``(C) landscaping and other scenic beautification,
including tables, benches, trash receptacles, and street
``(D) public art;
``(E) pedestrian access and walkways;
``(F) bicycle access, including bicycle storage
facilities and installing equipment for transporting
bicycles on mass transportation vehicles;
``(G) transit connections to parks within the
recipient's transit service area;
``(H) signage; and
``(I) enhanced access for persons with disabilities
to mass transportation.
``(16) Urban area.--The term `urban area' means an area that
includes a municipality or other built-up place that the
Secretary, after considering local patterns and trends of urban
growth, decides is appropriate for a local mass transportation
system to serve individuals in the locality.
``(17) Urbanized area.--The term `urbanized area' means an
``(A) encompassing at least an urbanized area within
a State that the Secretary of Commerce designates; and
``(B) designated as an urbanized area within
boundaries fixed by State and local officials and
``(b) Authority To Modify `Handicapped Individual'.--The Secretary
may by regulation modify the definition of the term `handicapped
individual' in subsection (a)(5) as it applies to section
5307(d)(1)(D).''.
http://www.fta.dot.gov/library/policy/tpcr.html
DEFINITIONS. All definitions in 49 U.S.C. §5302 are applicable to this circular. The following definitions are provided:
a. "Grantee" means the public or private entity to which a grant or cooperative agreement is awarded by FTA. The grantee is the entire legal entity even if only a particular component of the entity is designated in the assistance award document.
For the purposes of this circular, "grantee" also includes any subgrantee of the grantee. Furthermore, a grantee is responsible for assuring that its subgrantees comply with the requirements and standards of this circular, and that subgrantees are aware of requirements imposed upon them by Federal statutes and regulations.
b. "State" means any of the several states of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, or any agency or instrumentality of a state exclusive of local governments. "State" does not include a county, municipality, city, town, township, local public authority (which includes any public and Indian housing agency under the United States Housing Act of 1937) school district, council of governments (whether or not incorporated as a nonprofit corporation under state law), any other regional or interstate government entity (such as a regional transit authority), or any agency or instrumentality of a local government.
c. "FTA" refers to the Federal Transit Administration.
d. "Third party contract" refers to any purchase order or contract awarded by a grantee to a vendor or contractor using Federal financial assistance awarded by FTA.
http://www.fta.dot.gov/library/legal/bushandbook/definitions.html
Altered vehicle manufacturer - A manufacturer who alters a previously certified vehicle in such a manner that its stated weight ratings or FMVSS certifications are no longer valid.
Analyst - A representative of the recipient (either working directly for the recipient or contracted by the recipient)-not an employee, or an agent, of the proposed bus manufacturer (in the case of the pre-award review) or the selected bus manufacturer (in the case of the post-delivery review).
Bus - A rubber-tired automotive vehicle used primarily for the purpose of providing mass transportation service.
Buy America Rule - The "Buy America Requirements" Regulation, Title 49 of the Code of Federal Regulations, Part 661.
Chassis-Cab - An incomplete vehicle (with a completed occupant compartment) that requires only the addition of cargo-carrying, work-performing, or load-bearing components to perform its intended function.
Completed vehicle - A vehicle that requires no further manufacturing operations to perform its intended function. This includes vehicles that are altered only by (1) the addition, substitution, or removal of readily attachable components (such as mirrors, or tire and rim assemblies) or (2) minor finishing operations (such as painting) in such a manner that the vehicle's stated weight ratings are still valid.
Component - Any article, material, or supply, that is directly incorporated into an end product at the final assembly location.
DOT - The United States Department of Transportation.
End product - Any item to be acquired by a recipient, such as a bus.
Final assembly - The bringing together of a significant number of individual components, whether manufactured or unmanufactured, for the purpose of creating an end product.
Final-stage manufacturer - A manufacturer who performs manufacturing operations on an incomplete vehicle such that it becomes a completed vehicle.
FMVSS - Federal Motor Vehicle Safety Standards issued by the National Highway Traffic Safety Administration under Title 49 of the Code of Federal Regulations, Part 571.
FTA - Federal Transit Administration, an agency of DOT.
Incomplete vehicle - An assemblage of components consisting of, as a minimum, frame and chassis structure, power train, steering system, suspension system, and braking system - to the extent that those systems are to be part of a completed vehicle.
Intermediate vehicle manufacturer - A manufacturer, other than the incomplete vehicle manufacturer or the final-stage manufacturer, who performs manufacturing operations on an incomplete vehicle.
Manufacture - The transformation of a component or group of subcomponents for the purpose of adding value to, improving, or creating a functionally different component.
Post-delivery - The period during the procurement process beginning with the signing of a formal contract with the selected contractor. It includes the period of bus manufacturing, inspection, testing, and delivery. It ends with bus title transfer or the placement of the buses into revenue service, whichever is first.
Pre-award - The period during the procurement process before the recipient enters into a formal contract with the supplier.
Pre-Award and Post-Delivery Rule - The "Pre-Award and Post-Delivery Audits of Rolling Stock Purchases" Regulation, Title 49 of the Code of Federal Regulations, Part 663.
Purchaser - The recipient or subrecipient.
Recipient - A receiver of Federal financial assistance from the FTA.
Revenue service - The operation of vehicles for the transportation of passengers as anticipated by the recipient.
Review - An analysis conducted by the recipient that will result in a file containing the necessary certifications of compliance, including the Buy America certification, purchaser's requirements certification, and FMVSS certification.
Rolling stock - Transit vehicles, such as buses, vans, cars, railcars, locomotives, trolley cars and buses, ferry boats, and vehicles used on guideways and incline planes.
STAA - The Surface Transportation Assistance Act of 1982 (Public Law 97-424, January 6, 1983).
Subcomponent - Any article, material, or supply that is one step removed from a component.
Unmodified van - A primary manufacturer's standard production van that requires no further manufacturing operations to perform its intended function, other than the addition, substitution, or removal of readily available attachable components (such as mirrors, or tire and rim assemblies), or minor finishing operations (such as painting).
http://www.fta.dot.gov/library/legal/railhandbook/definitions.html
The definitions provided below are provided to assist the reader with terms used in this manual. Some of these terms may be defined differently than those used in the Code of Federal Regulations. This has been done for clarification purposes. However, the reader should note that the definitions provided here are consistent with the intentions of the Pre-Award and Post-Delivery Audits of Rolling Stock Purchases Rule and the Buy America Requirements Rule.
Analyst - A representative of the recipient (either working directly for the recipient or contracted by the recipient)-not an employee, or an agent, of the proposed rail vehicle manufacturer (in the case of the pre-award review) or the selected rail vehicle manufacturer (in the case of the post-delivery review).
End product - Any item to be acquired by a recipient, such as a railcar.
Performance test - An operational test for the rail vehicle when it is tested on actual track to evaluate its performance.
Post-delivery - The period during the procurement process beginning with the signing of a formal contract with the selected contractor. It includes the period of vehicle manufacturing, inspection, testing, and delivery. It ends with title transfer or the placement of the rail vehicles into revenue service, whichever is first.
Purchaser - The recipient.
Rail vehicle - Transit vehicles, such as railcars, locomotives, trolley cars, and light rail vehicles
http://www.fta.dot.gov/library/legal/fr5399.htm
[Federal Register: May 3, 1999 (Volume 64, Number 84)]
[Page 23590-23591]
[DOCID:fr03my99-18]
[Docket No. FTA-99-5082]
RIN (2131 AA67)
SUMMARY: This notice of proposed rulemaking (NPRM) seeks to amend and
clarify the definition of tripper service, set out in the Federal
Transit Administration's (FTA) school bus regulation. In FTA's
experience, the current definition does not sufficiently specify which
student transportation operations are inconsistent with FTA
requirements. This NPRM describes and requests comment on FTA's
proposed amendment of the definition of tripper service.
DATES: Comments must be submitted by July 2, 1999.
ADDRESSES: The public is invited to submit written comments on this
notice. Written comments should refer to the docket number appearing at
the top of this notice and be submitted to the Docket Clerk, U.S. DOT
Dockets, Room PL-401, Nassif Building, 400 Seventh Street, SW
Washington, DC 20590. All comments received will be available for
examination at the above address. Docket hours at the Nassif Building
are Monday through Friday, 10 a.m. to 5 p.m., excluding Federal
holidays. Those desiring notification of receipt of comments must
include a self-addressed, stamped envelope or postcard.
FOR FURTHER INFORMATION CONTACT: Elizabeth S. Martineau, Office of
Chief Counsel, Federal Transit Administration, (202) 366-1936 or (202)
366-3809 (fax).
Internet users can access all comments received by the U.S. DOT
Dockets, Room PL-401, by using the universal resource locator
(URL):http://dms.dot.gov. It is available 24 hours each day, 365 days
each year. Please follow the instructions on-line for more information
An electronic copy of this document may be downloaded using a modem
and suitable communication software from the Government Printing
Office's Electronic Bulletin Board Service at (202) 512-1661. Internet
users may reach the Federal Register's home page at: http://
www.nara.gov/fedreg and the Government Printing Office's database at:
http://www.access.gpo.gov/nars.
II. FTA's Tripper Service Requirements
Under FTA's school bus requirements, set out at 49 U.S.C. 5323(f)
and 49 CFR Part 605, recipients may not engage in school bus operations
exclusively for the transportation of students. These provisions derive
from 49 U.S.C. 5302(a), which authorizes FTA assistance for mass
transportation, but specifically excludes school bus service from such
Section 605.3 of the regulation allows grantees to provide
``tripper'' service, which is mass transit service modified to
accommodate the needs of school students and personnel. Buses used for
tripper service must be clearly marked as open to the public and may
not carry designations such as ``School Bus'' or ``School Special.''
These buses may stop only at a grantee's regular service stop. All
routes traveled by tripper buses must be within a grantee's regular
route service as indicated in their published route schedules. The
purpose of this provision is to ensure that buses acquired with Federal
assistance are clearly perceived by the public as available to their
III. FTA's Proposed Amendment
It has recently come to FTA's attention that certain grantees have
been providing service to school children that is inconsistent with
FTA's tripper service requirements. The results of reviews of grantee
tripper operations have shown that certain grantees are providing
tripper service that creates the public perception that the buses used
are for the exclusive use of school children. One grantee uses swing-
arm signs reading ``Caution Students'' on tripper buses. Another
grantee's tripper buses bear markings indicating that the vehicles are
transporting children certain times of day. Buses operated by other
grantees pick up and discharge students on school property and not at
bus stops that are accessible to the general public. FTA recognizes
that such practices are not specifically proscribed under the tripper
service provision; however, they do undermine its purpose, which is to
ensure that the general public is aware that tripper buses are
In order to make it clear to grantees that any type of signage that
designates vehicles as school buses, and any stops that are not
accessible to the general public, is impermissible exclusive school
service, FTA proposes to amend the tripper service provision. Under the
proposed amendment, buses used in tripper service may not carry
``School Bus,'' ``School Special,'' ``Student,'' or any other markings
indicating that they are carrying school children. Moreover, the buses
may stop only at stops that are clearly marked by the grantee or
operator as available to the public. FTA believes that tripper buses
operated in accordance with this proposal will be clearly perceived by
members of the general public as available for their use. FTA requests
comment on this proposed amendment.
IV. Regulatory Impacts
A. Regulatory Analyses and Notices
FTA has determined that this action is not significant under
Executive Order 12866 or the regulatory policies and procedures of
Department of Transportation regulatory policies and procedures.
Because this rule merely clarifies an existing regulatory provision, it
is anticipated that the impact of this rulemaking will be minimal;
therefore, a full regulatory evaluation is not required. There are not
Federalism Assessment under Executive Order 12612. Because this rule
does not mandate a business process change or require modifications to
computer systems, its issuance will not affect a recipient's ability to
respond to Year 2000 issues.
In accordance with 5 U.S.C. 603(a), as added by the Regulatory
Flexibility Act, Pub. L. 96-354, FTA certifies that this rule will not
have a significant impact on a substantial number of small entities
within the meaning of the Act, because it requires only minor
adjustments to the manner in which certain grantees are providing
tripper service.
requirement for purposes of the Paperwork Reduction Act of 1995.
Mass transit: grants; school bus.
Accordingly, for the reasons described in the preamble, Part 605 of
Title 49 of
PART 605--[AMENDED]
Authority: 49 U.S.C. 5323(f); 49 CFR 1.51.
2. In Sec. 605.3, revise the definition for ``tripper service'' in
605.3 Definitions.
Tripper service means regularly scheduled mass transportation
service that is open to the public and designed or modified to
accommodate the needs of school students and personnel, using various
fare collection or subsidy systems. Buses used in tripper service must
be clearly marked as open to the public and may not carry destination
signs such as ``school bus,'' ``school special,'' ``student,'' or any
other marking indicating that they are carrying school children. These
buses may stop only at stops that are accessible to the public and that
are clearly marked as available to the public. All routes traveled by
tripper buses must be within a grantee's or operator's regular route
service as indicated in their published route schedules.
Issued on: April 28, 1999.
[FR Doc. 99-10996 Filed 4-30-99; 8:45 am]
Every applicant has Civil Rights requirements. They are not part of a Grant Application because they are even more fundamental than the Application itself. They are a pre-requisite, i.e., a requirement for eligibility even to Submit an Application at all.
Where can I find information about FTA's requirements?
Where can I find information about the the common grant rule and any other materials related to procurement procedures for federal projects? Where can I find rules, policies, and circulars related to pre-award, post-award, solicitation, cost analysis, contract negotiations, contractor performance, and assessment practices for federal projects?
For the common grant rule, if you mean the OMB Common Rule, ask your Grant Manager because she or he is responsible for your financial management. If you mean A-102, it's at http://www.whitehouse.gov/omb/circulars/a102/a102.html; if you mean A-110, it's at http://www.whitehouse.gov/omb/circulars/a110/a110.html; etc.
For procurement, ask your Grant Manager, because she or he is responsible for your procurement. The procurement circular Third-party Contracting Requirements Number C 4220.1F, 11/01/08, at http://www.fta.dot.gov/laws/circulars/leg_reg_8641.html is a good place to start.
For FTA requirements in general, you ought to consider classes, but in the meantime, http://www.fta.dot.gov/about/legislation_law.html is a good place to start.
Be sure also to talk to your Grant Manager because she or he is responsible for your agency's Technical Capacity.
For 5307, it's specified in 49USC5307, TITLE 49 -- Transportation, Subtitle III -- General and Intermodal Programs, Chapter 53 -- Mass Transportation, Sec. 5307. Urbanized area formula grants
(d) Grant Recipient Requirements.--A recipient may receive a grant in a fiscal year only if --
(1) the recipient, within the time the Secretary prescribes, submits a final program of projects prepared under subsection (c) of this section and a certification for that fiscal year that the recipient (including a person receiving amounts from a chief executive officer of a State under this section) --
(A) has or will have the legal, financial, and technical capacity to carry out the program ....
For 5309, it's specified in 49USC5307, TITLE 49 -- Transportation, Subtitle III -- General and Intermodal Programs, Chapter 53 -- Mass Transportation, Sec. 5309. Capital investment grants and loans
(d) Project as Part of Approved Program of Projects.--Except as provided in subsections (b)(2) and (e) of this section, the Secretary of Transportation may approve a grant or loan for a project under this section only after finding that the project is part of the approved program of projects required under sections 5303-5306 of this title and that an applicant --
(1) has or will have the legal, financial, and technical capacity to carry out the project, satisfactory continuing control over the use of equipment or facilities, and the capability to maintain the equipment or facilities ....
Where can I take a class to learn how to be an FTA Grantee?
Where can I take a class to learn how to be an FTA Grantee? We will be eligible for the first time for 5307 funding next year.
I don't know of any class like that. But here are two e-mails that come to mind that will be helpful. The requirements for being an FTA grantee are extensive and very thorough because they are designed for FTA's oversight of very large amounts of money.
Invariably, small cities with or without transit agencies, prefer that an already-existing FTA grantee apply for the money on their behalf rather than become a grantee from scratch.
I suggest that you talk first to your MPO, Designated Recipient and county transportation commission to learn what they'll want at the local and UZA levels.