Source: http://www.fta.dot.gov/printer_friendly/12349_4124.html
Timestamp: 2013-12-10 15:10:28
Document Index: 754511929

Matched Legal Cases: ['§ 1352', '§ 7401', '§ 12101', '§ 794', '§ 4321', '§ 470', '§ 702', 'art 570', 'art 18', 'art 20', 'art 23', 'art�27', 'art�29', 'art 40', 'art 41', 'art 639', 'art 661', 'art 450', 'art 613', 'art 771', 'art 93', 'art 215', '§ 5313', '§ 5313', '§ 5313', '§ 5312', '§ 5303', '§ 5312', '§ 5312', '§ 5322', '§ 5303', '§ 9', '§ 5311', '§ 104', '§ 149', '§ 134', '§ 505', '§ 5338', '§ 5313']

General Chapter I: Introduction and Background Chapter II: State Planning and Research: Formula and Notification Chapter III: Application Instructions Chapter IV: State Planning Chapter V: Metropolitan Planning Activities Chapter VI: Training Activities Chapter VII: Research and Training in Urban Transportation Problem Activities Chapter VIII: Human Resource Activities Appendix A: Definitions Appendix B: Sample Project Task Budgets Appendix C: Scope Codes & Activity Line Item Codes Appendix D: Certifications and Assurances
Federal Transit Administration enabling legislation codified at 49 U.S.C. chapter 53. FTA website at Federal Transit Laws - 49 U.S.C. Chapter 53. Federal highway and surface transportation laws, Title 23, United States Code. Intermodal Surface Transportation Efficiency Act of 1991, Pub. L. No. 102-240, 105�Stat. 1914, Dec. 18, 1991 (codified as amended by Pub. L. 103-272, 108 Stat. 745, July 5, 1994, in scattered sections of 49 and 23 United States Code). Transportation Equity Act for the 21st Century (TEA-21), Pub. L. No. 105-178, June 9, 1998, as amended by the TEA-21 Restoration Act, Pub.L. No. 105-206, June 22, 1998. Lobbying disclosure provisions of 31 U.S.C. § 1352. Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq. and scattered sections of 29�United States Code. Americans with Disabilities Act of 1990, 42 U.S.C. §§ 12101 et seq. Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794. National Environmental Policy Act of 1969, as amended, 42 U.S.C. §§ 4321 et seq. Section 106 of the National Historic Preservation Act, 16 U.S.C. § 470f. Drug-Free Workplace Act of 1988, 49 U.S.C. § 702 U.S. Department of Housing and Urban Development regulations, "Community Development Block Grants," 24 C.F.R. Part 570. U.S. Department of Transportation (DOT) regulations, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments," 49 C.F.R Part 18. U.S. DOT regulations, "New Restrictions on Lobbying," 49 C.F.R. Part 20. U.S. DOT regulations, "Participation by Minority Business Enterprise in Department of Transportation Programs," 49 C.F.R. Part 23. U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance," 49 C.F.R. Part�27. U.S. DOT regulations, "Governmentwide Debarment and Suspension (Nonprocurement) and Governmentwide Requirements for Drug-free Workplace (Grants)," 49 C.F.R. Part�29. U.S. DOT regulations, "Procedures for Transportation Workplace Drug Testing Programs," 49�C.F.R. Part 40. U.S. DOT regulations, "Seismic Safety," 49 C.F.R. Part 41. FTA regulations, "Capital Leases," 49 C.F.R. Part 639. FTA regulations, "Buy America Requirements, 49 C.F.R. Part 661. Joint Federal Highway Administration (FHWA)/FTA regulations, "Planning Assistance and Standards," 23 C.F.R. Part 450 and 49 C.F.R. Part 613 (specifically, Subpart B, "Statewide Transportation Planning," and Subpart C, "Metropolitan Transportation Planning and Programming"). Issued on September 22, 1999. Joint FHWA/FTA regulations, "Environmental Impact and Related Procedures," 23 C.F.R. Part 771. EPA regulations, "Determining Conformity of Federal Actions to State or Federal Implementation Plans," 40 C.F.R. Part 93. Department of Labor Guidelines, "DOL Guidelines, Section 5333(b), Federal Transit law," 29 C.F.R. Part 215. Office of Management and Budget (OMB) Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations," dated 6-30-97. Executive Order 12898 on "Environmental Justice" dated February 11, 1994 [http://www.archives.gov/federal-register/index.html]. Title VI of the Civil Rights Act of 1964 [http://www.usdoj.gov/crt/cor/coord/titlevistat.htm]. FTA Circular 4220.1D, "Third Party Contracting Requirements," dated 4-15-96, Page Change 1, dated 8-4-98. FTA Circular 4702.1, "Title VI Program Guidelines for Federal Transit Administration Recipients," dated 5-26-88. FTA Circular 4704.1, "Equal Employment Opportunity Program Guidelines for Grant Recipients," dated 7-26-88. FTA Circular 5010.1C, "Grant Management Guidelines," dated 10-1-98. FTA Circular 8100.1B, "Program Guidance and Application Instructions for Metropolitan Planning Program Grants, dated 10-25-96. FTA Circular 9030.1C, "Urbanized Area Formula Program Grant Application Instructions," dated 10-1-98. FTA Circular 9040.1E, "Nonurbanized Area Formula Program Guidance and Grant Application Instructions," dated 10-1-98. FTA Circular 9400.1A, "Design and Art in Transit Projects," dated 6-9-95. FTA Circular 9500.1, "Intergovernmental Review of FTA Planning, Capital and Operating Programs and Activities," dated 3-30-84. FTA Notice "Policy Statements on Local Share Issues," 57 Fed. Reg., 30880 (1992). Note: FTA Circulars can be found at: Circulars home
THE FEDERAL TRANSIT ADMINISTRATION. The Federal Transit Administration (FTA) is one of ten operating administrations within the U.S. Department of Transportation. Headquarters offices are located at 400 7th Street, S.W., Washington, D. C. 20590. FTA has 10 regional offices, each headed by a Regional Administrator. The regional offices form a local presence to provide assistance in the development of transit programs and projects, review of grant applications, and monitoring of grants awarded by FTA. State Planning and Research Program applications must be submitted to the appropriate FTA regional office. FEDERAL TRANSIT LAWS. For 30 years the legislation establishing and governing the FTA and its programs resided in the Federal Transit Act, as amended. Since July 1994, the bulk of Federal transit law has been codified at 49 U.S.C. Chapter 53. (Upon codification, substantially all of the Federal Transit Act, as amended, was repealed as redundant.) Section 5313(b) of Title 49, United States Code (cited as 49 U.S.C. § 5313(b)) establishes requirements for the State Planning and Research Program. See Chapter 53 of Title 49, United States Code. AUTHORIZING LEGISLATION. Authorizing legislation is substantive legislation enacted by Congress that sets up or continues the legal operation of a Federal program or agency. Congress amends FTA�s authorizing legislation every four to six years. FTA�s most recent authorizing legislation is the Transportation Equity Act for the 21st Century (TEA-21). TEA-21 was subsequently amended by the TEA-21 Restoration Act. TEA-21 authorizes FTA programs from Federal Fiscal Year 1998 through Federal Fiscal Year 2003. THE STATE PLANNING AND RESEARCH PROGRAM (49 U.S.C. § 5313(b)). The Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) created a new Planning and Research Program that was subsequently carried over into TEA-21. Within this program is the State Planning and Research Program (SPRP) (§ 5313(b)). Prior to passage of the ISTEA, the FTA provided separate funding for research, development, and demonstration activities (§ 5312(a)); Metropolitan Planning (§ 5303); Training activities (§ 5312(c)); Research and Training in Urban Transportation Problems (§ 5312(b)); and Human Resource activities (§ 5322). SPRP now provides broad discretion to the States for the funding for all these activities. (Metropolitan Planning activities are also eligible under § 5303.)
The governor of each State must designate a State recipient for its SPRP funds. This program provides for contracts, grants, and cooperative agreements to public and private sources for a wide range of eligible activities, including:
There are no Urbanized Area Formula funds specifically earmarked or set aside for transportation planning; rather, these funds may be used for planning at the discretion of the recipient(s) to supplement metropolitan planning resources where the MPP allocation is insufficient to carry out the full program the MPO and transit operator wish to pursue. Guidelines for applicants for the Urbanized Area Formula Program (formerly § 9) are available from FTA regional offices, (FTA Circular 9030.1C, "Urbanized Area Formula Program; Grant Application Instructions").
Nonurbanized Area Formula Program (49 U.S.C. § 5311). This program provides funds to the State for public transportation projects in small urban and rural areas. Up to fifteen percent of these funds may be used for planning activities as well as States administration and technical assistance. Circular, FTA Circular 9040.IE "Nonurbanized Area Formula Program Guidance and Grant Application Instruction," gives more information on this program.
Related FHWA Administered Programs. Following is a brief discussion of two flexible funds programs and two programs that are administered by FHWA. Information on these programs can be found on the FHWA website at http://www.fhwa.dot.gov/tea21/factsheets/index.htm. Surface Transportation Program (STP) (23 U.S.C. § 104(b)(3)). ISTEA established and TEA-21 continued the Surface Transportation Program as a source of flexible funding for both highway and transit projects. These funds may be used by FTA grantees for planning purposes in support of project development. Congestion Mitigation and Air Quality Improvement Program (CMAQ) (23 U.S.C. § 149). The Congestion Mitigation and Air Quality Improvement Program may also be used for either highway or transit projects, including planning activities undertaken in support of projects intended to meet air quality standards. Both the STP and CMAQ programs are administered by FHWA. FHWA Metropolitan Planning Program (PL) (23 U.S.C. § 134). Federal Highway's PL funds, like FTA's Metropolitan Planning Program funds, may be used for all transportation planning purposes in metropolitan areas. FHWA State Planning and Research Program (SP&R) (23 U.S.C. § 505). Federal Highway's SP&R program is a close counterpart to FTA's State Planning and Research program. SP&R funds may be used for Statewide planning, research, and for administrative expenses associated with the State's planning program. POOLED FUNDS. In order to promote transportation systems that maximize mobility and accessibility and minimize transportation impacts on the human and natural environment, States transportation planning agencies may, in cooperation with metropolitan planning organizations, choose to pool funds. These pooled funds can be used to fund research that is of mutual interest and benefit and addresses the transportation needs of areas with critical needs or that support a broader, more comprehensive, statewide need. National pooled fund studies are focused on solving problems of national significance, usually administered by either FTA or FHWA headquarters offices in cooperation with States and/or MPOs, that are funded by State and/or MPO contributions of FTA planning and research funds, with or without matching funds. Top of Page
NOTIFICATION. SPRP apportionments to the States are published in the Federal Register annually, after the U.S. Department of Transportation Appropriations Act for the fiscal year has been signed. FTA usually publishes apportionments in October of each year. AUTHORIZATION. Amounts authorized for SPRP work are established by statutory formula in 49 U.S.C. § 5338(c). Under the formula established in ISTEA and subsequently in TEA-21, 17.28 percent of the total amount set aside for planning is for the SPRP. FORMULAS. FTA apportions SPRP assistance to the States (49 U.S.C. § 5313(b)(1)), based on the ratio equal to the population in each State's urbanized areas divided by the total population in urbanized areas in all the States, as shown by the latest available census prepared by the U.S. Bureau of the Census. However, a State must receive at least .5 percent of the amount annually apportioned. AVAILABILITY OF SPRP ASSISTANCE. Grant Awards. After FTA apportions the SPRP assistance appropriated, the SPRP assistance remains available to the State for obligation for three years after the Federal fiscal year for which that SPRP assistance was appropriated. Upon expiration of that time period, any SPRP assistance remaining unobligated or which FTA deobligates will lapse to the State. FTA reapportions any lapsed SPRP assistance among all the States in subsequent apportionments. Preaward Authority. Even if a State has not executed a grant agreement with FTA, the State may expend its own funds for SPRP work beginning on the date specified in the current Federal Register apportionment notification, and that work will remain eligible for FTA assistance until the SPRP assistance lapses. Only if work is eligible for SPRP assistance will FTA provide retroactive SPRP assistance to support that work. Beginning with FY 1998, blanket preaward authority was provided for SPRP assistance through the life of TEA-21, FY 2003. During this time period, costs may be incurred for eligible SPRP work and remain eligible for reimbursement when SPRP assistance is ultimately made available. This preaward authority expires with the lapsing of FY 2003 SPRP assistance. Top of Page
STATE APPLICATION TO FTA. The State agency designated as the SPRP recipient must submit its application to the appropriate FTA Regional Office, with the signature of the individual authorized to apply for grants on behalf of the State agency. The State applicant submits the State's application using the FTA electronic award and management system. FTA encourages States to submit one combined application for both the MPP and SPRP annually. This will result in a single planning grant with a number in the ST-80-X### series that includes both Metropolitan and State planning activities. State (aggregate) Project Task Budget for Planning. Summarizes approved planning tasks and budgeted amounts from the UPWPs submitted by MPOs within the State as well as planning undertaken in areas of the State outside the urbanized areas. Tasks included in the State Project Task Budget should reflect SPRP-funded activities from metropolitan UPWPs for which assistance is being sought. Should include those planning activities undertaken in non-urbanized areas of the State and is the basis for an applicant incurring obligations and FTA making disbursements of project assistance. This budget should broadly identify tasks in order to minimize the need for post grant approval actions such as budget revisions and grant amendments. The sample Project Task Budget and task descriptions in Appendix C represent a uniform set of categories. The State must prepare the State (aggregate) Project Task Budget in a format similar to that of Appendix B. This may require aggregation of UPWP tasks for budget preparation. Project Budget. The funds for planning, research, and human resources will have individual scope codes and must be in separate budgets with the associated Activity Line Item Codes for the State�s application to FTA. (See Appendix B for samples) The chapters in the circular for activities other than planning, i.e., Human Resources and Research, provide the scope codes that are used in a project budget; Appendix B provides activity line item codes in sample budgets. The most current codes for all project scopes and activities can be viewed on the FTA website. Cost Allocation Plan/Indirect Cost Proposal. If indirect costs (overhead) are to be charged to the project, the State must provide a cost allocation plan or indirect cost proposal to support those indirect cost charges. Before FTA may reimburse the State for indirect charges, the plan or proposal must be provided and approved by the cognizant Federal agency assigned to the State (which is not FTA). The State must certify that the plan or proposal was prepared according to standards required by OMB Circular A-87, Revised, "Cost Principles for States and Local Governments" and should identify the indirect cost rate that will be used for the fiscal year. The rate may be later adjusted based on an audit. The State should notify FTA if the State intends to charge indirect costs to a project, but has not prepared a cost allocation plan/indirect cost proposal. Information on preparing the cost allocation plan or indirect cost proposal is contained in FTA Circular 5010.1C, "Grant Management Guidelines," and any changes that may be issued thereto.� Local Share.
Unless an exception is made to the State's local share requirement, the State must make a commitment in the application to provide the entire 20 percent local share of the total project cost of its entire SPRP grant request. Each commitment must specify whether the local matching share consists of cash, in-kind services, or a combination of both. g. State Certifications and Assurances. Before FTA may provide SPRP assistance to the State, the FTA must have certifications and assurances that certain Federal requirements have been met or will be met by the State and local recipients. In this regard, the State applicant acts as an authorized representative of the local subrecipient. For this reason, the State applicant should first obtain sufficient documentation from all local subrecipients to support those certifications and assurances the State applicant must provide to FTA.
The current Federal Register notice and annual certifications and assurances can be accessed on the Internet by clicking here. They are also available to read, review, certify and copy on FTA's electronic award and management system. State applicants must submit their certifications and assurances electronically using FTA�s electronic award and management system. Federal Register Notices can also be accessed�by clicking here. �First time applicants, such as a newly reorganized unit of State government, should contact the appropriate FTA regional office to arrange access to FTA�s electronic award and management system.
ELIGIBLE PLANNING ACTIVITIES. Eligible work or activities include, but are not limited to: Studies relating to management, operations, capital requirements, innovative financing opportunities, security and economic feasibility of transit projects; Evaluation of previously funded projects; Similar work or activities preliminary to the construction of or improved operation of facilities and equipment including "livability" features such as improved pedestrian and bicycle access to the station and shops and community services in the station area, incorporating arts and artistic design in stations and surrounding areas, and other improvements that enhance the usability and community-friendliness of the transit system environment; Systems analysis; Development of a 20-year transportation plans; Development of STIPs; Corridor/systems planning studies; Analyses of social, economic, and environmental factors related to travel and transportation; Air quality planning, and conformity planning; Public involvement in the transit/transportation planning process; Multimodal facilities planning; Joint development planning; and Computer hardware and software needed to support planning work. FTA Review. In reviewing a State�s Work Program, FTA evaluates the following: Relevance of the proposed activities to develop and maintain an appropriate technical and policy level needed to implement the State�s 20-year transportation plan and STIP requirements; Eligibility of each task for FTA financial assistance; and As appropriate, inclusion of tasks reflecting Federal planning emphasis areas that are published annually in FTA�s Appropriation Apportionment Federal Register Notice. Top of Page
to conduct competent research investigations into the theoretical or practical problems of urban transportation (i.e., the design and use of urban mass transportation systems and urban roads and highways; the interrelationship between various modes of urban and interurban transportation; the role of transportation planning in overall urban planning; public preferences in transportation; the economic allocation of transportation resources; and the legal, financial, engineering, and esthetic aspects of urban transportation); or to train individuals to conduct further research or obtain employment in an organization that plans, builds, operates or manages an urban transportation system. FUNDING RATIO. The maximum percentage of Federal participation is 80 percent with a local share of 20 percent of the project cost required. However, projects of national importance or certain grants to universities my have a lower match requirement. BUDGET SCOPE AND ACTIVITY LINE ITEM CODES. The Scope Code for research and training is 441-60. A sample project budget scope with activity line item codes can be found in Appendix B. See Scope codes and activity line item codes Top of Page
Eligible projects include, but are not limited to: Employment training programs. Outreach programs that increase the number of minorities and women in job categories where such persons have traditionally been underutilized. Programs that increase the involvement of minority educational institutions in mass transit programs and activities. Examples of funded projects include: Transit agencies� technical assistance programs to enhance the participation of disadvantaged business enterprises (DBE) in transit-related projects and other contracting opportunities. Career development/employment programs to increase the diversity of minorities and women in the workforce. Training programs for disadvantaged youths to obtain entry-level employment and training in skilled crafts. Implementation of transit projects for Native American tribes and organizations. SUBRECIPIENT ELIGIBILITY. Local governments, educational institutions, and nonprofit organizations. FUNDING RATIO. FTA encourages cost sharing on projects involving nonpublic applicants, as well as the provision of local matching funds by public bodies to the maximum extent feasible. BUDGET SCOPE AND ACTIVITY LINE ITEM CODES. The Scope Code for human resources is 441-20. A sample project budget scope with activity line item codes can be found in Appendix B. See Scope codes and activity line item codes
Sample task budgets are based on Activity Line Item Codes in place at the time of Circular publication.
441-20
Research & Development Program 55.10.00
Activity Line Item Codes*
Planning Emphasis Areas (44.26.00) For illustrative purposes, the Emphasis Areas described below are from the FY 2000 Apportionment Notice. The latest Apportionment Notice provides the current Emphasis Areas. See current ALIs for Emphasis Areas
Transportation Equity & Public Involvement (44.26.01).
Include only the cost to States and Metropolitan Planning Organizations to expand and document efforts to: � Expand the focus of public involvement efforts, with special attempts to include the traditionally under-served and under-represented in the planning process; and Assess the distribution of benefits and adverse environmental impacts at both the plan and project level. Intelligent Transportation Systems (ITS) National Architecture (44.26.02).