Source: https://www.federalregister.gov/documents/2004/12/29/04-28408/fta-fiscal-year-2005-apportionments-allocations-and-program-information
Timestamp: 2017-09-23 03:07:26
Document Index: 526949220

Matched Legal Cases: ['arts\n3', 'art 450', 'art 613', 'art 37', 'art 611', 'art 771', 'art26']

Federal Register :: FTA Fiscal Year 2005 Apportionments, Allocations and Program Information
A Notice by the Federal Transit Administration on 12/29/2004
78203-78277 (75 pages)
B. Transportation Coordination—United We Ride
D. Capital Investment Program (49 U.S.C. 5309)—Fixed Guideway Modernization
E. Capital Investment Program (49 U.S.C. 5309)—Bus and Bus-Related Facilities
F. Capital Investment Program (49 U.S.C. 5309)—New Starts
3. Environmental, Planning, and Other Federal Requirements
C. FTA FY 2005 Annual List of Certifications and Assurances
B. Local Match Waiver for Specified Planning Activities
https://www.federalregister.gov/d/04-28408 https://www.federalregister.gov/d/04-28408
Start Preamble Start Printed Page 78204
The “Consolidated Appropriations Act, 2005”, (Public Law 108-447), signed into law by President Bush on December 8, 2004, appropriates funds for all of the surface transportation programs of the Department of Transportation for the fiscal year ending September 30, 2005. This notice provides information on the FY 2005 transit appropriations for the FTA assistance programs, program guidance and requirements, and information on several program issues important in the coming year.
For general information about this notice contact Mary Martha Churchman, Director, Office of Resource Management and State Programs, (202) 366-2053. Please contact the appropriate FTA regional office for any specific requests for information or technical assistance. The Appendix at the end of this notice includes contact information for FTA regional offices and key headquarters program staff.
C. Clean Fuels Formula Program (49 U.S.C. 5308)
L. Job Access and Reverse Commute Program (Public Law 105-85, Section 3037)
M. Over-the-Road Bus Accessibility Program (Public Law 105-85, Section 3038)
B. Local Match Waiver for Specific Planning Activities
1. FTA FY 2005 Appropriations, Apportionments, and Available Funding for Grant Programs
2. FTA FY 2005 Metropolitan Planning Program and Statewide Planning and Research Program Apportionments
3. FTA FY 2005 Urbanized Area Formula Apportionments
4. FTA FY 2005 Apportionment Formula for Urbanized Area Formula Program
5. FTA FY 2005 Formula Programs Apportionments Data Unit Values
6. 2000 Census Urbanized Areas With Populations 200,000 or Greater Eligible To Use FY 2005 Section 5307 Funds for Operating Assistance
7. FTA FY 2005 Fixed Guideway Modernization Apportionments
8. FTA FY 2005 Fixed Guideway Modernization Program Apportionment Formula
9. FTA FY 2005 Bus and Bus-Related Allocations
10. FTA Prior Year Unobligated Bus and Bus-Related Allocations
11. FTA FY 2005 New Starts Allocations
12. FTA Prior Year Unobligated New Starts Allocations
13. FTA FY 2005 Elderly and Persons With Disabilities Apportionments
14. FTA FY 2005 Nonurbanized Area Formula Apportionments, and Rural Transit Assistance Program (RTAP) Allocations
15. FTA FY 2005 National Planning and Research Program Allocations
16. FTA FY 2005 Job Access and Reverse Commute (JARC) Allocations
17. FTA Prior Year Unobligated JARC Allocations
This document apportions or allocates annual appropriations among potential program recipients. Although the agency has received its annual appropriation, our authorizing legislation is scheduled to expire May 31, 2005. Because of this, we will show two amounts—one reflecting the annual appropriation amount and one showing the amount currently available, as limited by the 8-month authorization. In addition, the document contains important information about FTA programs and areas of emphasis for the fiscal year, including FTA's Strategic Business Plan Initiative. For each FTA program included, we have provided relevant information on its total fiscal year (FY) 2005 apportionments/allocations, requirements, period of availability, and other related information and highlights, as appropriate. A separate section of the document provides information on requirements and guidance that are applicable to all FTA programs. The document also includes a section that delineates various requirements and guidance specific to the FTA planning programs that grantees should be aware of for FY 2005.
The Consolidated Appropriations Act, 2005 (Pub. L. 108-447, December 8, 2004; hereafter called the 2005 Appropriations Act) provides a combination of trust and general funds that total $7.708 billion for FTA programs. This amount is reduced to $7.646 billion by a government-wide across-the-board 0.80 percent rescission, as directed by Section 122 of Division J of the 2005 Appropriations Act. Table 1 of this document shows the funding for the FTA programs for the entire fiscal year, as provided for in the 2005 Appropriations Act. However, because our current program authorization, the Surface Transportation Extension Act of 2004, Part V (Pub. L. 108-310, September 30, 2004), only provides contract authority for the trust funds through May 31, 2005, we also show in Table 1 the amount of FY 2005 funds currently available for obligation for each program based on the extension of TEA-21 through May 31, 2005. The amount currently available includes all of the general funds but only a portion of the trust funds included in the total obligation limitation for FTA programs in the 2005 Appropriations Act. The percentage of the annual amount currently available varies slightly from program to program, depending on the mix of general and trust funds appropriated for the program and the Start Printed Page 78205reallocation of any prior year funds to the program.
FTA is publishing tables for each program that contain both the apportionments and allocations based on the full program levels in the 2005 Appropriations Act; and the apportionments and allocations based on FY 2005 funds currently available for the FTA program. The column labeled “Apportionment” or “Allocation” includes both trust funds (contract authority) and general funds, and reflects the total dollar amount of obligation limitation and appropriations in the 2005 Appropriations Act, once a full-year contract authority is made available. This amount is not the amount that is actually available for obligation at this time. The amount shown in the column labeled “Available Apportionment” or “Available Allocation” is available for obligation. All apportionments and allocations reflect the 0.80 percent rescission, which has been proportionately applied to the discretionary budget authority and obligation limitation, and to each program, project and activity.
One of the four “core-accountabilities” under FTA's SBP is to reduce grant processing time. This is the third year FTA will track grant processing time, and, as in last year's SBP, the goal is to achieve an average processing time of 36 days from the date a complete application is submitted in TEAM-Web, our electronic grant-making system. Reduced grant processing time has been adopted as a core accountability for several reasons. First, it requires FTA to continually examine how we review and approve grants, and to find ways to improve our internal processes. More importantly, it reduces the amount of time a grantee must wait from the date of submission of a grant until final approval, responding to the needs of grantees to receive funds on a timely basis in order to maintain their programs.
1. The project is listed in a currently approved Transportation Improvement Program (TIP); Statewide Transportation Improvement Program (STIP), or Unified Planning Work Program (UPWP).
2. All eligibility issues have been resolved.
3. Required environmental findings have been made.
4. The project budget's Activity Line Items (ALI), scope, and project description meet FTA requirements.
5. Local share funding source(s) have been identified.
6. The grantee's required Civil Rights submissions are current.
7. Certifications and assurances are properly submitted.
8. Funding is available, including any flexible funds included in the budget.
9. For projects involving new construction (using New Starts or formula funds), FTA engineering staff has reviewed the project management plan and given approval.
10. When required for grants related to New Starts projects, preliminary engineering (PE) and/or final design (FD) has been approved.
11. Milestone information is complete, or FTA determines that milestone information can be finalized before the grant is ready for award.
In every appropriations act, several FTA programs include Congressional project designations. Congress earmarked over 500 transit projects for FY 2005. A significant number of project sponsors that have received Congressional designations for FY 2005 Bus and Bus-Related Facilities and JARC projects and activities and unobligated prior year designations will be first-time (new) FTA grantees or sub-recipients. With respect to new grantees, historically, the following issues have presented the most significant hurdles to successful and timely implementation of earmarked projects: (1) Grantee inability to identify eligible project activities within the scope of the earmark; (2) misunderstanding and/or lack of awareness of applicable requirements; and (3) difficulty generating the required local match.
While we provide “pre-award authority” (see section V. A of this document for a complete explanation), we do not recommend that first-time grant recipients utilize the automatic Start Printed Page 78206pre-award authority to incur expenses before the grant is actually awarded by FTA. As a new grantee, it is easy to misunderstand pre-award authority conditions and not be aware of all of the applicable FTA requirements that must be met in order to be reimbursed for project expenditures incurred in advance of grant award. FTA programs have specific statutory requirements that are often different from those for other Federal grant programs with which new grantees may be familiar. If funds are expended for an ineligible project or activity, FTA will be unable to reimburse the project sponsor.
Transportation is an essential link to employment, health, and educational services. Without adequate transportation services, many older Americans, persons with disabilities, and individuals with low-incomes are often unable to access work, medical services, educational resources or recreation opportunities.
In February 2004, President Bush issued Executive Order (EO) 13330 on Human Service Transportation Coordination to improve transportation for those who are transportation disadvantaged, by improving the coordination of transportation services provided under programs in ten Federal Departments. The goals of the Executive Order are to simplify access to transportation services, reduce duplication and overlap, and improve the effectiveness of the transportation services provided. In response to the EO, the Department of Transportation, with its partners at the Department of Health and Human Services, Labor, Education, and elsewhere, launched the United We Ride (UWR) initiative. To assist States and communities in moving forward, FTA and our Federal partners introduced an initiative that includes a Framework for Action, a self-assessment tool for States and communities; the National Leadership Forum on Human Service Transportation Coordination; State Coordination Grants; and Technical Assistance.
A recent audit of the FY 2004 Highway Trust Fund financial statements found that provisions of the Single Audit Act (SAA), and the related Office of Management and Budget (OMB) Circular No. A-133 had not been effectively implemented. In order to correct this weakness, FTA has determined that it is critical that key information from the grantee's audit report be reviewed on an annual basis. Therefore, we are implementing the new reporting requirements described in the June 17, 2004, Dear Colleague letter from Administrator Dorn, which is posted on the FTA Web site at: http://www.fta.dot.gov/​legal/​guidance/​dear_​colleague/​2004/​12128_​15811_​ENG_​HTML.htm.
At the same time, grant recipients should send a copy of the Federal Clearinghouse transmittal sheet to the appropriate FTA regional office, and if there are FTA program findings or if FTA is your point-of-contact for all DBE program issues, send FTA a copy of the entire audit report.
Section 5303 authorizes a cooperative, continuous, and comprehensive planning program for transportation investment decision-making at the metropolitan area level. State Departments of Transportation (DOTs) and Metropolitan Planning Organizations (MPOs) may receive funds for planning projects that support the economic vitality of the metropolitan area, especially by enabling global competitiveness, productivity, and efficiency; increasing the safety and security of the transportation system for motorized and non-motorized users; increasing the accessibility and mobility options available to people and for freight; protecting and enhancing the environment, promoting energy conservation, and improving quality of life; enhancing the integration and connectivity of the transportation system, across and between modes, for people and freight; promoting efficient system management and operation; and emphasizing the preservation of the existing transportation system. For more about the Metropolitan Planning Program contact Candace Noonan, Program Manager, at (202) 366-1648.
The 2005 Appropriations Act provides $59,902,515 to the Metropolitan Planning Program (49 Start Printed Page 78207U.S.C. 5303) after the across-the-board 0.80 percent rescission. The total amount apportioned for the Metropolitan Planning Program (to States for MPOs' use in urbanized areas (UZAs)) is $60,628,846, as shown in the table below.
Appropriation $60,385,600
Rescission (483,085)
Prior Year Funds Added 726,331
Total Apportioned 60,628,846
The 2005 Appropriations Act provides $3,593,195,773 to the Urbanized Area Formula Program (49 U.S.C. 5307) after the across-the-board 0.80 percent rescission. The total amount apportioned for the Urbanized Area Formula Program is $3,575,229,794, as shown in the table below, after the deduction for oversight (authorized by 49 U.S.C. 5327).
Appropriation $3,622,173,158
Rescission (28,977,385)
Oversight Deduction (17,965,979)
Total Apportioned 3,575,229,794
Table 3 displays the amounts apportioned under the Urbanized Area Formula Program.[1] Also displayed in Table 3 is the amount currently available for obligation, in accordance with the Surface Transportation Extension Act of 2004, Part V. Table 4 contains the apportionment formula for the Urbanized Area Formula Program.
Appropriation $4,849,950
Rescission (38,800)
Oversight Deduction (24,056)
Total Allocated 4,787,094
Urbanized Area Formula Program funds are apportioned based on legislative formulas. Different formulas are used for UZAs with populations of 200,000 or more and UZAs with populations less than 200,000. For UZAs 50,000 to 199,999 in population, the formula is based simply on population and population density. For UZAs with populations of 200,000 and more, the formula is based on a combination of bus revenue vehicle miles, bus passenger miles, fixed guideway revenue vehicle miles, and fixed guideway route miles, as well as population and population density. See Table 4 for more detailed information about the formulas. Program guidance for the Urbanized Area Formula Program is found in FTA Circular C9030.1C, Urbanized Area Formula Program: Grant Application Instructions, dated October 1, 1998. There are several important program requirements we highlight below. Start Printed Page 78208
It is the responsibility of the MPO to determine how the one-percent for transit enhancements will be allotted to transit projects. The one percent minimum requirement does not preclude more than one percent being expended in a UZA for transit enhancements. However, items that are only eligible as enhancements—in particular, operating costs for historic facilities—may be assisted only within the one-percent funding level.
The recipient must submit a report to the appropriate FTA regional office listing the projects or elements of projects carried out with those funds during the previous fiscal year and the amount awarded. The report must be submitted with the Federal fiscal year's final quarterly progress report in TEAM-Web. The report should include the following elements: (a) Grantee name, (b) UZA name and number, (c) FTA project number, (d) transit enhancement category, (e) brief description of enhancement and progress towards project implementation, (f) activity line item code from the approved budget, and (g) amount awarded by FTA for the enhancement. The list of transit enhancement categories and activity line item codes may be found in FTA Circular 9030.1C, Urbanized Area Formula Program: Grant Application Instructions, dated October 1, 1998, and on TEAM-Web, which can be accessed at http://FTATEAMWeb.fta.dot.gov.
All recipients of Urbanized Area Formula funds are required to expend at least one percent of the amount the grantee receives each fiscal year on “mass transit security projects.” For applicants serving a UZA with a population of 200,000 or more, only capital security projects may be funded with the one percent.
There are three transit provisions that allow FY 2005 Urbanized Area Formula funds to be used for operating assistance in a UZA with a population of 200,000 or more: (1) Language in Section 3027(c) of TEA-21, as amended, which allows the use of funds for operating assistance to certain recipients of section 5307 funds that provide service exclusively for elderly persons and persons with disabilities and operate 20 or fewer vehicles; (2) the provision of 5307(b), as amended, and extended by Section 8(n) of the Surface Transportation Extension Act of 2004, Part V, which allows transit systems in UZAs that crossed the 200,000 population threshold for the first time as a result of the 2000 Census, the flexibility to use section 5307 funds for operating assistance; and (3) the provision of 5307(b), as amended, and extended by Section 8(n) of the Surface Transportation Extension Act of 2004, Part V, which allows funds apportioned to a 2000 Census UZA with a population of 200,000 or more to be used for operating assistance in that portion of the UZA that was nonurbanized under the 1990 Census. Each provision has its own requirements, which are described separately below.
(3) In addition, the Surface Transportation Extension Act of 2004, Part V, permits the continued use of Urbanized Area Formula Program (section 5307) funds for operating assistance in certain UZAs with a population of at least 200,000 when the qualifying UZA includes a portion that was not designated as a UZA under the 1990 Census and received assistance under section 5311 in FY 2002. The provision further stipulates that the portion not designated a UZA under the 1990 Census shall receive an amount of funds under section 5307 that is not less than the amount the portion received under section 5311 in FY 2002. Affected areas are not identified in Table 6. A grant applicant for an area eligible to receive operating assistance under this Start Printed Page 78209provision that wants to make use of this provision must so indicate in the grant application. The application must identify the previously nonurbanized portion of the UZA that qualifies (i.e., that portion of the area that was not designated as urbanized under the 1990 Census and received assistance under section 5311). Contact the appropriate FTA regional office for additional information and guidance if you intend to make use of this provision.
Guidance for setting the boundaries of TMAs is contained in the joint transportation planning regulations codified at 23 CFR part 450 and 49 CFR part 613. In some cases, the TMA planning boundaries established by the MPO for the designated TMA includes one or more small UZAs. In addition, one small UZA (Santa Barbara, CA) has been designated as a TMA. In either of these situations, the Governor cannot allocate “Governor's Apportionment” funds attributed to the small UZAs to other areas; that is the Governor only has discretion to allocate Governor's Apportionment funds attributable to areas that are outside of designated TMA planning boundaries.
Albany, NY Saratoga Springs, NY.
Houston, TX Galveston, TX; Lake Jackson-Angleton, TX; Texas City, TX; The Woodlands, TX.
Jacksonville, FL St. Augustine, FL.
Orlando, FL Kissimmee, FL.
Palm Bay-Melbourne, FL Titusville, FL.
Philadelphia, PA-NJ-DE-MD Pottstown, PA.
Pittsburgh, PA Monessen, PA; Weirton, WV-Steubenville, OH-PA (PA portion); Uniontown-Connellsville, PA.
Seattle, WA Bremerton, WA.
Washington, DC-VA-MD Frederick, MD.
We have calculated dollar unit values for the formula factors used in the Urbanized Area Formula Program apportionment calculations. These values represent the amount of money each unit of a factor is worth in this year's apportionment. The unit values change each year, based on all of the data used to calculate the apportionments. The dollar unit values for FY 2005 are displayed in Table 5. To replicate a UZA's apportionment, multiply the dollar unit value by the appropriate formula factor, i.e., the population, population × (times) population density, and (when applicable) data from the NTD (i.e., route miles, vehicle revenue miles, passenger miles, and operating cost.)
This program provides capital assistance for the modernization of existing fixed guideway systems. Funds are allocated by a statutory formula to UZAs with fixed guideway systems that have been in operation for at least seven years. A “fixed guideway” refers to any transit service that uses exclusive or controlled rights-of-way or rails, entirely or in part. The term includes heavy rail, commuter rail, light rail, monorail, trolleybus, aerial tramway, inclined plane, cable car, automated guideway Start Printed Page 78210transit, ferryboats, that portion of motor bus service operated on exclusive or controlled rights-of-way, and high-occupancy-vehicle (HOV) lanes. For more information about Fixed Guideway Modernization contact Ken Johnson, Office of Resource Management and State Programs, at (202) 366-2053.
Appropriation $1,214,400,000
Rescission (9,715,200)
Oversight Deduction (12,046,848)
Total Apportioned 1,192,637,952
Appropriation $725,000,000
Rescission (5,800,000)
Oversight Deduction (7,192,000)
Total Allocation 712,008,000
* Includes $50 million transferred from Clean Fuels.
The Conference Report to FTA's 2005 Appropriation Act lists 440 discrete projects for funding under Bus and Bus-Related Facilities. The 2005 Appropriations Act includes Section 125 that contains language making these designated projects eligible under the program “notwithstanding any other provision of law.” The Consolidated Appropriations Act 2004, included a similar provision in Section 547. This Start Printed Page 78211language makes the bus projects designated in FYs 2005 and 2004 eligible for the designated purpose. However, if you want to apply to use funds designated under the bus program in any year for project activities outside the scope of the project designation included in report language, you must submit your request for reprogramming to the House and Senate Committees on Appropriations for resolution. FTA will not reprogram Congressionally-designated projects without direction from the Appropriations Committees.
Unless the law provides otherwise, projects designated prior to FY 2004 must conform to the eligibility requirements of the Bus and Bus-Related Facilities program. Requests for reprogramming of funding for projects designated prior to FY 2004 that are found not to be consistent with the statutory intent of the program should also be directed to the House and Senate Committees on Appropriations. Program guidance for Bus and Bus-Related Facilities is found in FTA Circular C9300.1A, Capital Program: Grant Application Instructions, dated October 1, 1998.
The New Starts program provides funds for construction of new fixed guideway systems or extensions to existing fixed guideway systems. Eligible purposes are light rail, rapid rail (heavy rail), commuter rail, monorail, automated fixed guideway system (such as a “people mover”), or a busway/high occupancy vehicle (HOV) facility, Bus Rapid Transit that is fixed guideway, or an extension of any of these. Projects become candidates for funding under this program by successfully completing the appropriate steps in the major capital investment planning and project development process. Major new fixed guideway projects, or extensions to existing systems, financed with New Starts funds typically receive these funds through a full funding grant agreement (FFGA) that defines the scope of the project and specifies the total multi-year Federal commitment to the project. For more information about New Starts contact Sean Libberton, Office of Planning and Environment, at (202) 366-4033.
Appropriation $1,449,425,000
Rescission (11,595,400)
Oversight Deduction (14,378,296)
Reallocated Prior Year Funds a/ 26,145,692
Total Allocation 1,449,596,996
a/ Includes reallocated prior year New Starts and Bus funds.
The amount reallocated to New Starts includes $3,591,548 in FY 2001 funds and $22,554,144 in FY 2002 funds under the Capital Investment Grants account, in accordance with language in the 2005 Appropriations Act. FTA is in the process of clarifying with Congress the projects from which these funds are to be derived and we will publish the complete list as soon as possible.
The final allocation for each New Starts project is listed in Table 11. Each project allocation has been adjusted proportionally from the amount designated in the 2005 Appropriations Act to account for the across-the-board rescission and the amount deducted for oversight. Table 11 also shows $11,016,268 as unallocated. Following notification to Congress, FTA will reallocate these funds among certain projects on the list. Also displayed in Table 11 is the amount of each New Starts project allocation that is currently available for obligation, in accordance with the Surface Transportation Extension Act of 2004, Part V.
Prior year unobligated allocations for New Starts in the amount of $479,244,898 remain available for obligation in FY 2005. This amount includes $408,126,399 in fiscal years 2003 and 2004 unobligated allocations, and $71,118,499 for fiscal years 2000, 2001 and 2002 unobligated allocations that are extended in the FY 2005 Conference Report. These unobligated amounts are displayed in Table 12. Information on pre-award authority for Start Printed Page 78212New Starts projects is detailed in section V below.
The 2005 Appropriations Act provides $94,526,689 to the Elderly and Persons with Disabilities Program (49 U.S.C. 5310) after the across-the-board 0.80 percent rescission, which is the total amount apportioned for the program, as shown in the table below.
Rescission (762,312)
Total Apportioned 94,526,689
This program provides formula funding to States for the purpose of supporting public transportation in areas of less than 50,000 population. Funding may be used for capital, operating, State administration, and project administration expenses. Each State prepares an annual program of projects, which must provide for fair and equitable distribution of funds within the States, including Indian reservations, and must provide for maximum feasible coordination with transportation services assisted by other Federal sources. For more information about the Nonurbanized Area Formula Program contact Lorna Wilson, Office of Resource Management and State Programs, at (202) 366-2053.
The 2005 Appropriations Act provides $250,889,588 to the Nonurbanized Area Formula Program (49 U.S.C. 5311) after across-the-board 0.80 percent rescission. The total amount apportioned for the Nonurbanized Area Formula Program is $249,635,140, after the deduction for oversight, as shown in the table below.
Appropriation 252,912,891
Rescission (2,023,303)
Oversight Deduction (1,254,448)
Total Apportioned 249,635,140
Funds apportioned to nonurbanized areas under the Nonurbanized Area Formula Program will remain available for two fiscal years following FY 2005. Any funds that remain unobligated at the close of business on September 30, 2007, will revert to FTA for allocation among the States under the Nonurbanized Area Formula Program. Start Printed Page 78213
Appropriation 5,250,000
Rescission (42,000)
Total Apportioned 5,208,000
Appropriation 12,614,400
Rescission (100,915)
Prior Year Funds Added 146,114
Total Apportioned 12,659,599
Through funding under this program, FTA seeks to deliver solutions that improve public transportation. FTA's Strategic Research Goals are to increase transit ridership, improve capital and operating efficiencies, improve safety and emergency preparedness, and to protect the environment and promote energy independence. For more about the National Planning and Research Program contact Bruce Robinson, Office Start Printed Page 78214of Research, Demonstration and Innovation, at (202) 366-4209.
Appropriation 37,500,000
Rescission (300,000)
Total Apportioned 37,200,000
Appropriation $125,000,000
Rescission (1,000,000)
Tech. Asst. Takedown (297,600)
The Over-the-Road Bus Accessibility (OTRB) Program authorizes FTA to make grants to operators of over-the-road buses to help finance the incremental capital and training costs of complying with the DOT over-the-road bus accessibility final rule, 49 CFR Part 37, published on September 28, 1998 (63 FR 51670). FTA conducts a national solicitation of applications, and grantees are selected on a competitive basis. For more information about the OTRB program contact Blenda Younger, Office of Resource Management and States Program, at (202) 366-2053.
The 2005 Appropriations Act provides $6,894,400 for the Over-the-Road Bus Accessibility (OTRB) Program after the across-the-board 0.80 percent rescission, which is the total amount allocable for OTRB, as shown in the table below.
Appropriation $6,950,000
Rescission (55,600)
Total Allocation 6,894,400
Of this amount, $5,239,744 is allocable to providers of intercity fixed-Start Printed Page 78215route service, and $1,654,666 to other providers of over-the-road bus services, including local fixed-route service, commuter service, and charter and tour service. The total amount of $4,656,832 is currently available for obligation in accordance with the Surface Transportation Extension Act of 2004, Part V. This includes $3,539,192 for intercity fixed-route service and $1,117,640 for other over-the-road bus services.
Projects are competitively selected. The Federal share of the project is 90 percent of net project cost. Program guidance is provided in the Federal Register notice soliciting applications. The FY 2004 notice was published November 24, 2003, and is available at http://www.fta.dot.gov/​legal/​federal_​register/​2004/​12174_​12199_​ENG_​HTML.htm. Assistance is available to operators of buses used substantially or exclusively in intercity, fixed route, over-the-road bus service. Capital projects eligible for funding include projects to add lifts and other accessibility components to new vehicle purchases and to purchase lifts to retrofit existing vehicles. Eligible training costs include developing training materials or providing training for local providers of over-the-road bus services.
A Federal Register notice providing program guidance and application procedures for FY 2005 will be published at a later date and synopsized at www.grants.gov. A Federal Register notice of FY 2004 project selections was published November 16, 2004, and is available at http://www.fta.dot.gov/​legal/​federal_​register/​2004/​12174_​16182_​ENG_​HTML.htm.
This information incorporates and elaborates on guidance previously provided in the FTA Fiscal Years 2002—2004 Apportionments and Allocations Notices, which can be found on the FTA Web site at http://www.fta.dot.gov/​25_​ENG_​HTML.htm.
In the June 24, 1998 Federal Register Notice on TEA-21, pre-award authority was extended to all formula funds and flexible funds that would be apportioned during the authorization period of TEA-21, 1998-2003. In the February 11, 2004 Federal Register Notice of FY 2004 Apportionments and Allocations, FTA extended pre-award authority to grantees for project costs to be reimbursed by formula funds and flexible funds to be appropriated in FY 2005. In this notice, FTA is extending this pre-award authority for formula funds and flexible funds that will be appropriated in FY 2006. Pre-award authority for operating and planning projects under the formula grant programs is not limited to the authorization period. In addition, automatic pre-award authority for section 5303 and 5313(b) has been granted through FY 2006. Pre-award authority also applies to section 5309 Capital Investment Bus and Bus-Related allocations and JARC allocations identified in this and previous notices. For such section 5309 Capital Investment Bus and Bus-Related and JARC projects, the date that costs may be incurred is the date that the appropriation bill in which they are contained was enacted. In the February 11, 2004 notice FTA extended pre-award authority to Section 330 projects, and, in this notice, FTA is also extending comparable pre-award authority to those surface transportation projects commonly referred to as Section 115 projects administered by FTA, for which amounts were provided in the Consolidated Appropriations Act, 2004 and Section 117 projects in the 2005 Appropriations Act. We strongly encourage any prospective applicant that does not have a relationship with FTA to review Federal grant requirements with the FTA regional office before incurring costs.
d. Local funds expended by the grantee pursuant to and after the date of the pre-award authority will be eligible for credit toward local match or reimbursement if FTA later makes a Start Printed Page 78216grant for the project(s) or project amendment(s).
e. The Federal amount of any future FTA assistance awarded to the grantee for the project will be determined on the basis of the overall scope of activities and the prevailing statutory provisions with respect to the Federal/local match ratio at the time the funds are obligated.
g. When a grant for the project is subsequently awarded, the Financial Status Report, in TEAM-Web, must indicate the use of pre-award authority.
In addition, Federal procurement procedures, as well as the whole range of applicable Federal requirements (e.g., Buy America, Davis-Bacon Act), must be followed for projects in which Federal funding will be sought in the future. Failure to follow any such requirements could make the project ineligible for Federal funding. In short, this increased administrative flexibility requires a grantee to make certain that no Federal requirements are circumvented through the use of pre-award authority. If a grantee has questions or concerns regarding the environmental requirements, or any other Federal requirements that must be met before incurring costs, it should contact the appropriate regional office.
Projects proposed for section 5309 New Starts funds are required to follow a Federally defined New Starts project development process. This New Starts process includes, among other things, FTA approval of the entry of the project into Preliminary Engineering (PE) and into Final Design (FD). In accordance with section 5309(e), FTA considers the merits of the project, the strength of its financial plan, and its readiness to enter the next phase in deciding whether or not to approve entry into PE or FD. Upon FTA approval to enter PE, FTA extends pre-award authority to incur costs for PE activities. Upon FTA approval to enter FD, FTA extends pre-award authority to incur costs for FD activities. The pre-award authority for each phase is automatic upon FTA's signing of a letter to the project sponsor approving entry into that phase. PE and FD are defined in the New Starts regulation entitled Major Capital Investment Projects, found at 49 CFR Part 611.
FTA's rationale for providing this pre-award authority was described in the FY 2003 Apportionments and Allocations Notice published in the Federal Register on March 12, 2003, (68 FR 1106 et seq.). The FY 2003 Notice may be found on the FTA Web site at http://www.fta.dot.gov/​library/​legal/​federalregister/​2003/​fr31203.pdf. Project sponsors should use pre-award authority for real property acquisition and relocation assistance very carefully, with a clear understanding that it does not constitute a funding commitment by FTA.
FTA's regulation entitled Environmental Impact and Related Procedures at 23 CFR part 771 states that the costs incurred by a grant applicant for the preparation of environmental documents requested by FTA are eligible for FTA financial assistance (23 CFR 771.105(e)). Start Printed Page 78217Accordingly, FTA extends automatic pre-award authority for costs incurred to comply with NEPA regulations and to conduct NEPA-related activities for a proposed New Starts project, effective as of the date of the Federal approval of the relevant STIP or STIP amendment that includes the project or any phase of the project. NEPA-related activities include, but are not limited to, public involvement activities, historic preservation reviews, section 4(f) evaluations, wetlands evaluations, endangered species consultations, and biological assessments. This pre-award authority is strictly limited to costs incurred to conduct the NEPA process, and to prepare environmental, historic preservation and related documents. It does not cover preliminary engineering activities beyond those necessary for NEPA compliance. As with any pre-award authority, FTA reimbursement for costs incurred is not guaranteed.
Before incurring costs for a project not covered by automatic pre-award authority, the project sponsor must first submit a written request for an LONP, accompanied by adequate information and justification, to the appropriate regional office and obtain written approval. As a prerequisite to FTA approval of an LONP for a New Starts project, FTA will require project sponsors to demonstrate project worthiness and readiness. Projects will be assessed based upon the criteria considered in the New Start evaluation process. Specifically, upon the request for an LONP, the applicant shall provide sufficient information to allow FTA to consider the following items:
b. Justification for advancing the identified activities.
c. Data that indicates that the project will maintain its ability to receive a “Recommended” rating.
d. Allocated level of risk and contingency for the activity requested.
e. Status of procurement progress, including, if appropriate, submittal of bids for the activities covered by the LONP.
f. Strength of the capital and operating financial plan for the New Starts project and the future transit system.
g. Adequacy of the Project Management Plan.
h. Resolution of any readiness issues that would affect the project, such as land acquisition and technical capacity to carry out the project.
(1) In the preface to the certifications and assurances, a paragraph has been added to explain that not all certifications and assurances will apply to all Applicants; and that the certifications and assurances are pre-award requirements and do not encompass all Federal requirements that may apply to the Applicant and its project.
(2) Certification 13(A)(1)(j) is amended to state that in the case of an Applicant serving in a UZA with a population of 200,000 or more, only capital security projects may be financed with the one percent of the UZA formula funds set aside by 49 U.S.C. 5307(d)(1)(J) for security projects.
(3) The Affirmation of the Applicant has been edited to clarify that the criminal fraud provisions of 18 U.S.C. 1001 apply to all certifications, assurances, agreements, and other submissions to FTA.
The 2005 Annual List is accessible on the Internet at www.fta.dot.gov. Any questions regarding this document may be addressed to the appropriate Regional Office or to Pat Simpich, in the FTA Office of Program Management, at (202) 366-1662.
The FHWA Division Office confirms that the apportionment amount is available for transfer and concurs in the transfer, by letter to the State DOT and FTA. The FHWA Office of Budget and Finance then transfers obligation authority and an equal amount of cash Start Printed Page 78218to FTA. All FHWA CMAQ, STP, and Congressionally earmarked funds for transit projects in the Appropriations Act or Conference Report will be transferred to one of the three FTA formula programs (i.e. Urbanized Area Formula (section 5307), Nonurbanized Area Formula (section 5311) or Elderly and Persons with Disabilities (section 5310).
Grantees must provide a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number for inclusion in all applications for a Federal grant or cooperative agreement submitted on or after October 1, 2003. The Office of Management and Budget (OMB) published this requirement in the Federal Register on June 27, 2003 at 68 FR 38402 et seq. On August 4, 2003, FTA issued a Dear Colleague letter including instructions on how to obtain a DUNS number; the letter can be accessed at http://www.fta.dot.gov/​legal/​guidance/​dear_​colleague/​2003/​178_​12145_​ENG_​HTML.htm. The DUNS number should be entered into the grantee profile in TEAM-Web. Additional information about this and other Federal grant streamlining initiatives mandated by the Federal Financial Assistance Management Improvement Act of 1999 (Pub. L. 106-107) can be accessed on OMB's Web site at http://www.whitehouse.gov/​omb/​grants/​reform.html.
All applications for FTA funds should be submitted to the appropriate FTA regional office. FTA utilizes TEAM-Web, an Internet-accessible electronic grant application system, and all applications are filed electronically. FTA has provided exceptions to the requirement for electronic filing of applications for certain new, non-traditional grantees in the JARC and OTRB programs, as well as to a few grantees that have not successfully connected to or accessed TEAM-Web.
In FY 2005, FTA is committed to maintaining the average number of days required to process a completed grant application at 36 days or fewer, while continuing to process at least 80 percent of grants within 60 days of receipt of a completed application by the Start Printed Page 78219appropriate Regional Office. In FY 2004, FTA achieved this goal, with an average processing time of 30 days and 91 percent of grants obligated within 60 days of submission of a completed application.
Once a grant has been awarded and executed, funds can be drawn down. On October 6, 2004, FTA implemented its new web-based payment system called “ECHO-Web”. ECHO-Web is an Internet accessible system that provides grantees the capability to submit payment requests on-line, as well as receive user-IDs and passwords via e-mail. Each grantee may have three people with a user profile (before, there was only one ECHO ID). The new system has been improved with encryption and software applications that meet current computer security standards and regulations.
FTA's former payment system that required FTA grantees enter draw-down requests through an outdated modem connection, has been retired. Grantees that have not submitted the registration package necessary for set-up under ECHO Web should contact the appropriate FTA regional office.
FTA headquarters and regional staff will be pleased to answer your questions and provide any technical assistance you may need to apply for FTA program funds and manage the grants you receive. This notice and the program guidance circulars previously identified in this document may be accessed via the FTA Web site at www.fta.dot.gov.
In addition, copies of the following circulars and other useful information are available on the FTA Web site and may be obtained from FTA regional offices: 4220.1E, Third Party Contracting Requirements, dated June 19, 2003; and C5010.1C, Grant Management Guidelines, dated October 1, 1998. The FY 2005 Annual List of Certifications and Assurances is also posted on the FTA Web site. Other documents on the FTA Web site of particular interest to public transit providers and others include the annual Statistical Summaries of FTA Grant Assistance Programs and the National Transit Database Profiles. The DOT final rule on “Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs,” which was effective July 16, 2003, can be found on the Department's Web site at http://osdbu.dot.gov/​business/​DBE/​49cfrpart26_​final_​rule.html.
1. New TMAs (27) were identified by the U.S. DOT on July 8, 2002. Federal Certification of these new TMAs must be completed by July 8, 2005. Congestion Management Systems are required for these TMAs.
2. Seventy-six new UZAs were identified by the 2000 Census. Per FTA and FHWA guidance, these new UZAs must have an existing or new MPO in place with an adopted plan, TIP, and planning boundary maps no later than October 1, 2005 in order to continue to receive Federal funds.
3. Some new UZAs will require air quality conformity findings. Failure to have a plan and TIP with a conformity finding will result in a conformity lapse.
4. Existing MPOs must update their planning area boundaries (area expected to be urbanized in the next 20 years) based on the 2000 Census. Previously published guidance requires MPOs to update and send the new boundaries to the FTA regional office and the FHWA Division Office no later than the next scheduled plan update after October 1, 2002, or by October 1, 2005, whichever occurs first.
FTA and FHWA provide technical assistance and informational support for Start Printed Page 78220the PEAs through the Transportation Planning Capacity Building Program (TPCB), which can be accessed at http://www.planning.dot.gov/​. The TPCB is available to respond to requests and provide opportunities for peer exchange of innovative practices in these emphasis areas throughout the year. Requests for information and technical support through the TPCB can be made by accessing the Web site noted above. In addition, training courses that address these PEAs in a variety of planning contexts are available through the National Transit Institute (NTI) and the National Highway Institute (NHI). Information on course offerings is available at the TPCB Web site noted above and at the NTI and NHI Web sites: www.ntionline.com/​ and www.nhi.fhwa.dot.gov/​default.asp.
1. Consideration of Safety and Security in the Transportation Planning Process. TEA-21 included safety and security as factors to consider in the development of plans and programs, in recognition of the importance of safety and security of transportation systems as a national priority. TEA-21 calls for transportation projects and strategies that “increase the safety and security of transportation systems.” This entails communication and collaboration among safety professionals, the enforcement community, and transportation planners in order to successfully integrate safety and security into all stages of the transportation planning process.
Information is available at http://www.tfhrc.gov/​pubrds/​pubrds.htm describing the tools and strategies associated with the implementation of safety conscious planning within Statewide and metropolitan transportation planning processes, including resources targeted to States and MPOs. A training course titled “Safety Conscious Planning” is available through NTI (see Web site above) with additional information available from TPCB Web site and FHWA and FTA, as follows: www.fhwa.dot.gov/​planning/​scp/​index.htm and http://transit-safety.volpe.dot.gov/​.
2. Linking the Planning and NEPA Processes. FHWA and FTA are developing guidance on the appropriate use of planning results during a NEPA review. This guidance will be derived from a study of NEPA case law that synthesizes what the Federal courts have said about the role of MPO and statewide planning in FHWA's and FTA's NEPA decision-making. The guidance will be posted on the Web site for the Transportation Planning Capacity Building Program at http://www.planning.dot.gov as soon as it is available.
A series of facilitated workshops entitled “Linking Planning and NEPA” were delivered in FY 2004, with another series to be delivered in FY 2005. These workshops are described at the NTI and NHI Web sites noted above.
3. Consideration of Management and Operations within Planning Processes. TEA-21 challenged FHWA and FTA to move beyond traditional capital programs for improving the movement of people and goods—focusing on the need to improve the way transportation systems are managed and operated. Discussion papers on the topic are available at www.plan4operations.dot.gov. In addition, an NHI training course on the topic is scheduled to be available in the second quarter of FY 2005. Also, “Getting More by Working Together-Opportunities for Linking Planning and Operations”, a reference guide for use by State DOT's, MPO's, and Transit Operators on opportunities for linking planning and operations, will be released in FY 2005.
4. State DOT Consultation With Non-Metropolitan Local Officials. On January 23, 2003, FTA and FHWA issued a Final Rule on consultation, followed by a technical correction on February 14, 2003, which can be accessed at http://www.fta.dot.gov/​library/​legal/​federalregister/​2003/​fr12303.html and http://www.fta.dot.gov/​library/​legal/​federalregister/​2003/​fr21403.html. This final rule amended the 1993 Joint FTA/FHWA Planning regulation published in the Federal Register, Volume 58, No. 207, on October 28, 1993. By February 24, 2004, each State was required to have a documented process(es) that implements consultation with non-metropolitan local officials in the Statewide transportation planning process and development of the Statewide Transportation Improvement Program (STIP), to be separate and discrete from the State's public involvement process. By February 24, 2006 and every five years thereafter, States must review and solicit comments (for a minimum of 60 days) from non-metropolitan local officials and other interested parties on the effectiveness of the existing consultation process(es) and proposed modifications. As part of this requirement, a “specific request for comments shall be directed to the State association of counties, State municipal league, regional planning agencies, or directly to non-metropolitan local officials.” In the meantime, FHWA and FTA will be using the Statewide planning findings that accompany approvals of the STIP as the primary mechanism for tracking and monitoring State progress in implementing and later reviewing and refining these processes.
5. Enhancing the Technical Capacity of Planning Processes. Reliable information on current and projected usage and performance of transportation systems is critical to the ability of planning processes to supply credible information to decision-makers to support preparation of plans and programs that respond to each locality's unique needs and policy issues. If this expertise is found to be lacking, the responsible agencies within metropolitan and Statewide planning processes are encouraged to devote appropriate resources to enhance and maintain their technical capacity. Training courses on this topic are available through NTI and NIH, with additional information available through the TPCB Web site and the Travel Model Improvement Program, which can be accessed at http://tmip.fhwa.dot.gov/​.
6. Coordination of Human Service Transportation. The importance of coordinating human service transportation and the supporting United We Ride initiative were described earlier in this publication (see III.B—Transportation Coordination—United We Ride). This initiative supports Federal, State, and local agencies working together to ensure that transportation services are seamless, comprehensive and accessible to all citizens.
For further information on these PEAs, contact Candace Noonan, FTA Office of Planning and Environment, (202) 366-1648, or John Humeston, FHWA Office of Planning, (404) 562-3667.
Since FY 1997, FTA and FHWA have offered States the option of participating in a pilot Consolidated Planning Grant (CPG) program. This streamlined fund drawdown process eliminates the need to monitor individual fund sources, if several have been used, and ensures that Start Printed Page 78221the oldest funds will always be used first.
For further information on participating in the CPG Pilot, contact Candace Noonan, Planning Oversight Division, FTA, at (202) 366-1648, or Anthony Solury, Office of Planning and Environment, FHWA, at (202) 366-5003. Information concerning participation in the CPG program can be found on the FTA Web site at http://www.fta.dot.gov/​224_​6039_​ENG_​HTML.htm.
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1. Sec. 198 of the 2005 Appropriations Act states that Norman, OK, is to be considered part of the Oklahoma City, OK, UZA for FY 2004 and 2005. This provision has an unintended impact on the apportionments for these UZAs, and also affects the apportionment of all UZAs with populations less than 1 million. FTA anticipates a correction and has not applied this provision. If the correction is not made, we will adjust the FY 2006 apportionments to the Norman and Oklahoma City UZAs to compensate.