[Federal Register Volume 64, Number 208 (Thursday, October 28, 1999)]
[Notices]
[Pages 58212-58263]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-27924]
[[Page 58211]]
_______________________________________________________________________
Part III
Department of Transportation
_______________________________________________________________________
Federal Transit Administration
_______________________________________________________________________
FTA Fiscal Year 2000 Apportionments, Allocations and Program
Information; Notice
Federal Register / Vol. 64, No. 208 / Thursday, October 28, 1999 /
Notices
[[Page 58212]]
DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2000 Apportionments, Allocations and Program
Information
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
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SUMMARY: The Department of Transportation (DOT) and Related Agencies
Appropriations Act for Fiscal Year 2000 (Pub. L. 106-69) was signed
into law by President Clinton on October 9, 1999, and provides fiscal
year 2000 appropriations for the Federal Transit Administration (FTA)
transit assistance programs. Based upon this Act, the Transportation
Equity Act for the 21st Century (TEA-21), and 49 U.S.C, Chapter 53,
this notice contains a comprehensive list of apportionments and
allocations of the various transit programs.
This notice includes the apportionment of fiscal year 2000 funds in
the 2000 DOT Appropriations Act for the: Metropolitan Planning Program
and State Planning and Research Program; Urbanized Area Formula
Program; Nonurbanized Area Formula Program; Rural Transit Assistance
Program; Elderly and Persons with Disabilities Program; and the Capital
Investment Program for Fixed Guideway Modernization. This notice also
contains the allocations of funds for the New Starts and Bus categories
under the Capital Investment Program and the Job Access and Reverse
Commute Program. It contains general information about other programs
established under TEA-21, including the Over-the-Road Bus Accessibility
Program and the Clean Fuels Formula Program.
Information regarding TEA-21 funding authorization levels for use
in developing Metropolitan Transportation Improvement Programs (TIPs)
and State Transportation Improvement Programs (STIPs) is included. For
informational purposes, the notice contains the apportionment of fiscal
year 2000 funds for the Federal Highway Administration (FHWA)
Metropolitan Planning Program and the estimated apportionment of the
fiscal year 2000 State Planning and Research Program.
A listing of prior year unobligated allocations for the Section
5309 New Starts and Bus Programs is included, as in previous years. In
addition, the FTA policy regarding pre-award authority to incur project
costs and the Letter of No Prejudice Policy are provided. The section
on pre-award authority has been revised in relation to New Starts
preliminary engineering and final design work. Other pertinent program
information is also included.
FOR FURTHER INFORMATION CONTACT: The appropriate FTA Regional
Administrator for grant-specific information and issues; Patricia
Levine, Director, Office of Resource Management and State Programs,
(202) 366-2053, for general information about the Urbanized Area
Formula Program, the Nonurbanized Area Formula Program, the Rural
Transit Assistance Program, the Elderly and Persons with Disabilities
Program, the Clean Fuels Formula Program, the Over-the-Road Bus
Accessibility Program, or the Capital Investment Program; or Robert
Stout, Director, Office of Planning Operations, (202) 366-6385, for
general information concerning the Metropolitan Planning Program and
the State Planning and Research Program; or Dr. Lewis P. Clopton,
Director, Office of Research Management, (202) 366-9157, for
information about the Job Access and Reverse Commute Program.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Overview
A. Fiscal Year 2000 Appropriations
B. TEA-21 Authorized Program Levels
C. Project Management Oversight
III. Fiscal Year 2000 Focus
A. Y2K
B. Disadvantaged Business Enterprise (DBE) Regulation
C. Urbanized Area Formula Study
D. Intelligent Transportation Systems (ITS)
IV. Section 5303 Metropolitan Planning Program and Section 5313(b)
State Planning and Research Program
A. Metropolitan Planning Program
B. State Planning and Research Program
C. Data Used for Metropolitan Planning and State Planning and
Research Apportionments
D. FHWA Metropolitan Planning Program and State Planning and
Research Program
E. Local Match Waiver for Specified Planning Activities
F. Planning Emphasis Areas for Fiscal Year 2000
G. Federal Planning Certification Reviews
H. Consolidated Planning Grants
I. New Starts Approval to Enter Preliminary Engineering and
Final Design
V. Section 5307 Urbanized Area Formula Program
A. Total Urbanized Area Formula Apportionments
B. Data Used for Urbanized Area Formula Apportionments
C. Urbanized Area Formula Fiscal Year 2000 Apportionments to
Governors
D. Transit Enhancements
E. Fiscal Year 2000 Operating Assistance
F. Carryover Funds for Operating Assistance
G. Designated Transportation Management Areas
H. Urbanized Area Formula Funds Used for Highway Purposes
I. National Transit Database Internet Reporting
VI. Section 5311 Nonurbanized Area Formula Program and Section
5311(b) Rural Transit Assistance Program (RTAP)
A. Nonurbanized Area Formula Program
B. Rural Transit Assistance Program (RTAP)
VII. Section 5310 Elderly and Persons With Disabilities Program
VIII. Surface Transportation Program and Congestion Mitigation and
Air Quality Flexible Funds Used for Transit Purposes (Title 23,
U.S.C.)
A. Transfer Process
B. Matching Share for Flexible Funds
IX. Section 5309 Capital Investment Program
A. Fixed Guideway Modernization
B. New Starts
C. Bus
X. Job Access and Reverse Commute Program--Section 3037 of TEA-21
XI. Over-the-Road Bus Accessibility Program--Section 3038 of TEA-21
XII. Section 5308 Clean Fuels Formula Program
XIII. Unit Values of Data for Section 5307 Urbanized Area Formula
Program, Section 5311 Nonurbanized Area Formula Program, and Section
5309 Fixed Guideway Modernization Program
XIV. Period of Availability of Funds
XV. Automatic Pre-Award Authority to Incur Project Costs
A. Background
B. Conditions
C. Environmental, Planning, and Other Federal Requirements
D. Extension of Pre-award Authority to New Starts Projects
Approved for Preliminary Engineering and/or Final Design
XVI. Letter of no Prejudice Policy (Prior Approval of Pre-Award
Authority)
A. Policy
B. Conditions
C. Environmental, Planning, and Other Federal Requirements
D. Request for LONP
XVII. FTA Homepage on the Internet
XVIII. FTA Fiscal Year 2000 Annual List of Certifications and
Assurances
XIX. Grant Application Procedures
Tables
1. FTA FY 2000 Appropriations for Grant Programs
2. FTA FY 2000 Section 5303 Metropolitan Planning Program and
Section 5313(b) State Planning and Research Program Apportionments
3. FHWA FY 2000 Metropolitan Planning (PL) Program and Estimated
State Planning and Research (SP&R) Program Apportionments
4. FTA FY 2000 Section 5307 Urbanized Area Formula Apportionments
5. FTA FY 2000 Section 5311 Nonurbanized Area Formula
Apportionments, and Section 5311(b) Rural Transit Assistance Program
(RTAP) Allocations
[[Page 58213]]
6. FTA FY 2000 Section 5310 Elderly and Persons with Disabilities
Apportionments
7. FTA FY 2000 Section 5309 Fixed Guideway Modernization
Apportionments
8. FTA FY 2000 Section 5309 New Start Allocations
8A. FTA Prior Year Unobligated Section 5309 New Start Allocations
9. FTA FY 2000 Section 5309 Bus Allocations
9A. FTA Prior Year Unobligated Section 5309 Bus Allocations
10. FTA FY 2000 Job Access and Reverse Commute Program Allocations
11. FTA TEA-21 Authorization Levels (Guaranteed Funding Only)
11A. FTA TEA-21 Authorization Levels (Guaranteed and Non-Guaranteed
Funding)
12. FTA FY 2000 Apportionment Formula for Section 5307 Urbanized
Area Formula Program
13. FTA FY 2000 Apportionment Formula for Section 5309 Fixed
Guideway Modernization Program
14. FTA FY 2000 Formula Grant Apportionments Unit Values of Data
I. Background
Metropolitan Planning funds are apportioned by statutory formula to
the Governors for allocation to Metropolitan Planning Organizations
(MPOs) in urbanized areas or portions thereof. State Planning and
Research funds are apportioned to states by statutory formula.
Urbanized Area Formula Program funds are apportioned by statutory
formula to urbanized areas and to Governors to provide capital,
operating and planning assistance in urbanized areas. Nonurbanized Area
Formula Program funds are apportioned by statutory formula to Governors
for capital, operating and administrative assistance in nonurbanized
areas. The Elderly and Persons with Disabilities Program funds are
apportioned by statutory formula to Governors to provide capital
assistance to organizations providing transportation service for the
elderly and persons with disabilities. Fixed Guideway Modernization
funds are apportioned by statutory formula to specified urbanized areas
for capital improvements in rail and other fixed guideways. New Start
and Bus allocations identified in the DOT Appropriations Act are
included in this notice.
II. Overview
A. Fiscal Year 2000 Appropriations
The fiscal year 2000 appropriation for the FTA program is
$5,797,000,000, the guaranteed funding level under TEA-21. The
appropriation for the Metropolitan Planning Program is $49,632,000, and
the appropriation for the State Planning and Research Program is
$10,368,000. The appropriation for formula grants totals
$3,098,000,000. Under statutory authority, the distribution of the
total formula funds available is as follows: $4,849,950 is set aside
for the Alaska Railroad; $50,000,000 is for the Clean Fuels Formula
Program, which was transferred and merged with funding for the Capital
Bus Program; and $3,700,000 is for the Over-the-Road Bus Accessibility
Program. Of the remaining amount of $3,039,450,050, 91.23 percent
($2,772,890,281) is made available to the Urbanized Area Formula
Program, 6.37 percent ($193,612,968) is made available to the
Nonurbanized Area Formula Program, and 2.4 percent ($72,946,801) is
made available to the Elderly and Persons with Disabilities Program.
The other program appropriations contained in this notice are as
follows: $5,250,000 for the Rural Transit Assistance Program (RTAP);
and $2,501,000,000 for the Capital Investment Program. Of the Capital
Investment Program amount, $980,400,000 is for Fixed Guideway
Modernization, $980,400,000 is for New Starts, and $490,200,000 is for
Bus Capital. In addition, $50,000,000 of formula funds for Clean Fuels
was transferred and merged with the Bus Capital Program increasing that
program to $540,200,000. An amount of $75,000,000 is for the Job Access
and Reverse Commute Program.
Table 1 displays the amounts appropriated by program, including
adjustments and final apportioned and allocated amounts. The following
text provides a narrative explanation of the funding levels and other
factors affecting the apportionments and allocations.
B. TEA-21 Authorized Program Levels
TEA-21 provides a combination of trust and general fund
authorizations that total $6,810,000,000 for the fiscal year 2000 FTA
program. Of this amount, $5,797,000,000 is guaranteed under the
discretionary spending cap. See Table 11 for fiscal years 1998-2003
guaranteed fund levels by program and Table 11A for the total of
guaranteed and non-guaranteed levels by program.
Information regarding estimates of the funding levels for 1999-2003
by state and urbanized area is available on the FTA homepage at
[www.fta.dot.gov]. The numbers are for planning purposes only as they
will be revised in the future but may be used for programming
metropolitan transportation improvement programs and statewide
transportation improvement programs.
C. Project Management Oversight
Section 5327 of 49 U.S.C. allows the Secretary of Transportation to
use not more than one-half percent of the funds made available under
the Urbanized Area Formula Program and the Nonurbanized Area Formula
Program, and three-quarters percent of funds made available under the
Capital Investment Program to contract with any person to oversee the
construction of any major project under these statutory programs to
conduct safety, procurement, management and financial reviews and
audits, and to provide technical assistance to correct deficiencies
identified in compliance reviews and audits. Therefore, one-half
percent of the funds appropriated for the Urbanized Area Formula
Program, and the Nonurbanized Area Formula Program for fiscal year
2000, and three-quarters percent of Capital Investment Program funds
were reserved for these purposes before funds were apportioned.
III. Fiscal Year 2000 Focus
A. Y2K
FTA began working on the Year 2000 (Y2K) issue as early as 1996.
The goal of FTA's efforts is to ensure that transit services are not
interrupted by computer failures resulting from Y2K problems. In order
to accomplish this, FTA is providing Y2K information, guidance and
assistance to the transit community. A series of ``Dear Colleague
Letters'' was sent to FTA grantees, which provided guidance on Y2K and
a five-phased approach FTA Y2K Management Plan. The five phases were as
follows: (1) Assessment; (2) Renovation/Validation; (3) Certifications;
(4) Submission of Business Continuity and Contingency Plan (BCCP) or
outline of BCCP; and (5) Reporting test results of the BCCP.
In January 1999, FTA Grantees were required to complete the
Assessment Phase, and in March 1999, FTA Grantees were required to
complete the Renovation/Validation Phase. On June 30, 1999, the FTA
grantees were required to certify Y2K compliance or submit an outline
of the contingency plan for continuing operations of their systems
while repairing or replacing the calendar year 2000 non-compliant
elements. The 30 largest grantees were required to submit a copy of the
Business Continuity and Contingency Plan. Other transit operators were
asked to submit an outline of their BCCP. All grantees are also to
submit to FTA the results of their first two tests of the BCCP by
October 31, 1999.
As the changeover approaches, FTA will continue to work with
grantees to
[[Page 58214]]
ensure a smooth transition. FTA will monitor transit activity during
the Y2K changeover, with emphasis on the 30 largest operators. FTA will
also serve as a clearinghouse for information during the changeover.
B. Disadvantaged Business Enterprise (DBE) Regulation
The Department of Transportation's (DOT's) new regulation
implementing the disadvantaged business enterprise (DBE) program was
published February 2, 1999, in the Federal Register and was effective
March 4, 1999. The DBE program is intended to remedy past and current
discrimination against disadvantaged business enterprises, ensure a
``level playing field'' and foster equal opportunity in DOT-assisted
contracts, improve the flexibility and efficiency of the DBE program,
and reduce burdens on small businesses.
FTA grantees were required to submit revised DBE programs by
September 1, 1999. FTA has reviewed all programs received. A sample DBE
Program has been created for grantees along with DOT approved Q&As for
assistance to grant recipients required to submit programs. For more
information, contact Arthur Andrew Lopez, Director, Office of Civil
Rights, at (202) 366-4018, or Gloria Dixon at (816) 329-3920 or (816)
523-0204, or go to the Office of Small and Disadvantaged Business
Utilization website at: [http://osdbuweb.dot.gov/programs/dbe/dbe.htm].
C. Urbanized Area Formula Study
Section 3033 of TEA-21 requires FTA to conduct a study to assess
whether the formula for apportioning funds to urbanized areas (at 49
U.S.C. 5336) accurately reflects the transit needs of small urbanized
areas that provide an unusually high level of transit service for their
size. A Federal Register Notice on the commencement of the study was
published on July 9, 1999, and numerous comments were received.
In that notice, FTA sought suggestions on conducting the study and
comment on the following questions from interested parties: (1) Are
population and population density adequate factors for use in
apportioning funds to small urbanized areas; (2) Are there specific
reasons why other factors should not be applied to these small cities;
(3) Should service factors also be applied to small urbanized areas in
apportioning formula funds--in particular, should bus revenue vehicle
miles be applied to small urbanized areas as well; (4) Should bus
passenger miles and operating costs used in the incentive tier be
applied to small urbanized areas; (5) Would examining other aid sources
available to small urbanized areas be useful and informative; and (6)
What other mechanisms besides changing the formula might be practical
and useful in order to assist small transit-intensive cities?
The study is to be submitted to Congress by December 31, 1999. For
more information, contact Darren Timothy, FTA Office of Policy
Development, at (202) 366-0177.
D. Intelligent Transportation Systems (ITS)
Section 5206(e) of TEA-21 requires that Intelligent Transportation
Systems (ITS) projects using funds from the Highway Trust Fund
(including the Mass Transit Account) conform to the National ITS
Architecture and Standards. Interim guidance on conformity with
National ITS Performance Standards was issued October 2, 1998, jointly
by FTA and FHWA. This document provides guidance for meeting this
provision of TEA-21 and is available from FTA regional offices and on
the FTA website. These standards and requirements apply to fiscal year
2000 allocations included in this notice that contain ITS components.
Questions regarding the applicability of these standards and
requirements should be addressed to the FTA regional office or Ronald
Boenau, FTA Office of Research, Demonstration and Innovation, at (202)
366-0195.
IV. Section 5303 Metropolitan Planning Program and Section 5313(b)
State Planning and Research Program
A. Metropolitan Planning Program
The fiscal year 2000 Metropolitan Planning apportionment to states
for MPOs' use in urbanized areas totals $49,642,128. This amount
includes $49,632,000 in fiscal year 2000 appropriated funds, and
$10,128 in prior year deobligated funds available for reapportionment
under this program. A basic allocation of 80 percent of this amount
($39,713,702) is distributed to the states based on the state's
urbanized area population as defined by the U.S. Census Bureau for
subsequent state distribution to each urbanized area, or parts thereof,
within each state. A supplemental allocation of the remaining 20
percent ($9,928,426) is also provided to the states based on an FTA
administrative formula to address planning needs in the larger, more
complex urbanized areas. Table 2 contains the final state
apportionments for the combined basic and supplemental allocations.
Each state, in cooperation with the MPOs, must develop an allocation
formula for the combined apportionment, which distributes these funds
to MPOs representing urbanized areas, or parts thereof, within the
state. This formula, which must be approved by the FTA, must ensure to
the maximum extent practicable that no MPO is allocated less than the
amount it received by administrative formula under the Metropolitan
Planning Program in fiscal year 1991 (minimum MPO allocation). Each
state formula must include a provision for the minimum MPO allocation.
Where the state and MPOs desire to use a new formula not previously
approved by FTA, it must be submitted to the appropriate FTA Regional
Office for prior approval.
B. State Planning and Research Program
The fiscal year 2000 apportionment for the State Planning and
Research Program totals $10,374,946. This amount includes $10,368,000
in fiscal year 2000 appropriated funds, and $6,946 in prior year
deobligated funds, which have become available for reapportionment
under this program. Final state apportionments for this program are
also contained on Table 2. These funds may be used for a variety of
purposes such as planning, technical studies and assistance,
demonstrations, management training, and cooperative research. In
addition, a state may authorize a portion of these funds to be used to
supplement planning funds allocated by the state to its urbanized
areas, as the state deems appropriate.
C. Data Used for Metropolitan Planning and State Planning and Research
Apportionments
Population data from the 1990 Census is used in calculating these
apportionments. The Metropolitan Planning funding provided to urbanized
areas in each state by administrative formula in fiscal year 1991 was
used as a ``hold harmless'' base in calculating funding to each State.
D. FHWA Metropolitan Planning Program and State Planning and Research
Program
For informational purposes, the fiscal year 2000 apportionment for
the FHWA Metropolitan Planning Program (PL) and estimated apportionment
for fiscal year 2000 State Planning and Research Program (SP&R) are
contained in Table 3. These estimates do not include expected SP&R
funding increases from the Revenue Budget Aligned Authority authorized
in TEA-21, Section 1105.
[[Page 58215]]
E. Local Match Waiver for Specified Planning Activities
(1) Job Access Planning Activities. Federal, state and local
welfare reform initiatives may require the development of new and
innovative public and other transportation services to ensure that
former welfare recipients have adequate mobility for reaching
employment opportunities. In recognition of the key role that
transportation plays in ensuring the success of welfare-to-work
initiatives, FTA and FHWA permit the waiver of the local match
requirement for job access planning activities undertaken with
Metropolitan Planning Program and State Planning and Research Program
funds. FTA and FHWA will support requests for waivers when they are
included in metropolitan Unified Planning Work Programs and State
Planning and Research Programs and meet all other appropriate
requirements.
(2) Contributions to the Development of the Census Transportation
Planning Package (CTPP). In conjunction with the increased emphasis on
the use of Census data in the planning process, FTA will permit the
waiver of the local match requirement for activities intended to
contribute to the development of the CTPP. FHWA PL and SPR funds can be
used without match only to purchase the CTPP package through AASHTO.
F. Planning Emphasis Areas for Fiscal Year 2000
The FTA and FHWA cooperatively develop Planning Emphasis Areas
(PEAs) to promote priority themes for consideration, as appropriate, in
metropolitan and statewide transportation planning processes.
Identification as a PEA brings attention to the need for guidance and
training for FTA/FHWA, as well as attention to the allocation of
planning resources by participants in planning processes. Three
planning topics have been identified as PEAs due to their importance in
the coming year: Transportation equity/public involvement, the
Intelligent Transportation Systems National Architecture, and
preparations for the Year 2000 Census. By identifying these as PEAs FTA
and FHWA encourage planning organizations to consider expanding and
reporting on their work activities on these themes.
(1) Transportation Equity and Public Involvement
Increasingly, concerns for compliance with provisions of Title VI
of the Civil Rights Act have been raised by citizens and advocacy
groups with regard to broad patterns of transportation investment and
impact considered in metropolitan and statewide planning. While Title
VI and environmental justice concerns have most often been raised
during project development, it is important to recognize that the law
applies equally to the processes and products of metropolitan and
statewide planning. Public involvement is a major element of this
process.
FTA and FHWA are working jointly to develop guidance to support
metropolitan areas and states in their efforts to incorporate
considerations of transportation equity in their local planning
processes and substantiate compliance through demonstrated actions.
States and Metropolitan Planning Organizations in their planning
processes are generally advised to expand and document their efforts in
two categories of work activity:
(a) Expanding the focus of public involvement efforts, with special
attempts to include the traditionally under-served and under-
represented in the planning process;
(b) Assessing the distribution of benefits and adverse
environmental impacts at both the plan and project level.
Over the fiscal year, a range of possible procedural and analytical
approaches for complying with provisions of Title VI and the Executive
Order on Environmental Justice at the planning stage will be developed
and disseminated through guidance and regulation. To support that
effort, ``innovative practice'' case study development and training
opportunities will be enhanced, based in part on the reported
activities and experiences of metropolitan and statewide planning
processes in this area.
(2) Intelligent Transportation Systems (ITS) National Architecture
TEA-21 identifies system management and operation as a focal theme
and context for transportation investment nationwide. The Act further
identifies the need for integrated planning and application of ITS
strategies and the role of the ITS National Architecture as a resource
for achieving this functional integration. Section 5206(e) of TEA-21
requires all ITS projects funded through the Highway Trust Fund,
including the Mass Transit Account, to be consistent with the National
Architecture and Standards.
FTA and FHWA have prepared guidance for developing ITS projects and
programs in a coordinated way through metropolitan and statewide
planning processes, using the ITS National Architecture. This guidance
is being disseminated in a number of ways, including training,
technical assistance, and formal regulation. FTA and FHWA will work to
provide assistance to participants in planning processes to facilitate
attention and response to this requirement.
(3) Preparing for the Year 2000 Census
As with prior decennial censuses, the Year 2000 Census will be an
invaluable information resource for transportation planning at both the
metropolitan and statewide levels. The journey-to-work and other
socioeconomic data from it will provide a key baseline for a wide range
of planning activities, including regional transportation equity
analyses, job access planning, development and validation of travel
demand models, and more. The Year 2000 census will be especially
important because it will likely be the last to include a ``long form''
questionnaire to collect the types of detailed household, traveler, and
travel information most useful to transportation planning. In future
years, the Bureau of the Census will initiate a program to collect such
data during the next decade as part of a continuous monthly survey
called the American Community Survey. Data from the Year 2000 census
will be critical for states and MPOs to make the transition to American
Community Survey data.
To leverage use of this important information resource, planning
processes need to consider a wide range of ancillary work activities,
including:
Aligning census geography with transportation analysis
geography in their areas;
Conducting origin/destination and home interview travel
surveys; and
Expanding travel monitoring programs to develop
comprehensive area-wide and corridor inventories.
G. Federal Planning Certification Reviews
Federal certification of the planning process is conducted in a
Transportation Management Area (TMA), which is an urbanized area with a
population of 200,000 and above or other urbanized areas designated by
the Secretary of Transportation (the Secretary). The Secretary is
responsible for certifying, at least once every three years, that the
metropolitan transportation planning process in the TMA is being
carried out under applicable provisions of Federal law.
Dates for site visits for the TMAs to be reviewed in fiscal year
2000 are being established and will be available on the
[[Page 58216]]
FTA website at [http://www.fta.dot.gov/office/planning].
For further information regarding Federal certifications of the
planning process contact: For FTA: Mr. Charles Goodman, FTA
Metropolitan Planning Division, (202) 366-1944; or Scott Biehl, FTA
Office of Chief Counsel, (202) 366-4063. For FHWA: Mr. Sheldon Edner,
FHWA Metropolitan Planning Division, 202-366-4066; or Reid Alsop, FHWA
Office of the Chief Counsel, 202-366-1371.
H. Consolidated Planning Grant
In fiscal year 1997, FTA and FHWA began offering states the option
of participating in a pilot Consolidated Planning Grant (CPG) program.
FTA and FHWA have now made CPG a permanent pilot. As part of the
permanent pilot, additional participants are sought so that FTA and
FHWA can benefit from the widest possible range of participant input to
improve and further streamline the process.
Since the first CPG grant was awarded in April 1997, almost $159
million has been obligated by the pilot states. Of this total, more
than $125 million is from FHWA sources. All but one of the participants
have elected to amend the original CPG grant to add new fiscal year
funds to treat the CPG more like an FTA grant, but with even greater
flexibility. Under the multi-year approach option, the CPG grant would
stay open for a period of years to be determined by the state (and MPO,
jointly, for Metropolitan Planning funds) with the approval of the
Federal Government. New apportionments can be added by grant amendment
as funds become available. One state has elected to continue the pilot
with new, separate CPG grants for each year. This approach treats the
CPG much as FHWA funds are treated currently, that is, as basically
annual apportionments with a yearly close-out of project activities and
a deobligation and reobligation cycle. The obligation pattern so far is
somewhat of a hybrid of the two approaches with at least one state
starting out with annual grants and switching in later years to the
multi-year grant approach. Those with the multi-year grants can close
them at any time and begin the next year with either a new multi-year
grant or an annual grant. The ease with which a state can opt for the
single year or the multi-year approach to the CPG grant is just one
example of the flexibility intended for the pilot.
As part of a survey of experiences in the first two years of the
pilot, FTA and FHWA have made two pilot-wide changes in response to
recommendations from participants. States can now report metropolitan
planning expenditures (to comply with the Single Audit Act) for both
FTA and FHWA under the Catalogue of Federal Domestic Assistance (CFDA)
number for FTA's Metropolitan Planning Program. Additionally, for
states with an FHWA Metropolitan Planning fund matching ratio greater
than 80 percent, the state (through FTA) can request a waiver of the 20
percent local share requirement in order that all FTA funds used for
metropolitan planning in a CPG can be granted at the higher, FHWA rate.
For some states, this Federal match rate can exceed 90 percent.
As in previous years, pre-award authority is granted to both of
FTA's planning programs as part of this annual notice. This pre-award
authority enables states to continue planning program activities from
year to year with the assurance that eligible costs can later be
converted to a regularly funded Federal project without the need for
prior approval or authorization from the granting agency. As part of
the pilot, FTA will continue to work with participating states to
increase the flexibility and further streamline the consolidated
approach to planning grants. For further information on participating
in the CPG Pilot, contact Ms. Candace Noonan, Intermodal and Statewide
Planning Division, FTA, at (202) 366-1648 or Anthony Solury, Planning
and Environment Core Business Unit, FHWA, at (202) 366-5003.
I. New Starts Approval to Enter Preliminary Engineering and Final
Design
TEA-21 extends FTA's long-standing authority for approving the
advancement of candidate New Starts projects into preliminary
engineering (PE) by requiring that FTA also approve entrance into the
final design (FD) stage of project development. Specifically, 49 U.S.C.
5309(e)(6) requires that the basis for PE/FD approval is FTA's
evaluation of candidate project's New Start criteria, leading to an
overall project rating of ``Highly Recommended,'' ``Recommended,'' or
``Not Recommended.'' FTA has established a set of decision rules for
approving entrance into preliminary engineering and final design. After
first meeting several basic planning, environmental, and project
management requirements which demonstrate the ``readiness'' of the
project to advance into the next stage of project development,
candidate projects are subject to FTA evaluation against the New Starts
project justification and local financial commitment criteria. Projects
may advance to the next appropriate stage of project development (PE or
FD) only if rated ``Recommended'' or ``Highly Recommended,'' based on
the criteria. Projects rated ``Not Recommended'' will not be approved
to advance.
49 U.S.C. Section 5309(e)(8)(A) exempts projects which request a
Section 5309 New Starts share of less than $25 million from the
requirements of Section 5309(e). TEA-21 also provides statutory
exemptions to certain specific projects. It is important to note that
any exemption under 5309(e)(8)(A) applies only to the New Starts
criteria serving as the basis for FTA's approval to advance to
preliminary engineering and final design for such projects. New Starts
projects which request less than $25 million in New Starts funding must
still request entrance to the next stage of development, and must
fulfill all appropriate planning, environmental, and project management
requirements.
Aside from the formal evaluation and rating of (non-exempt) New
Starts projects, the general process for approving entrance into FD and
PE is largely consistent with FTA's prior procedures for approving
entrance into preliminary engineering. FTA is revising its guidance for
evaluating and approving local agency requests for advancing projects
in the New Starts project development process. These revised procedures
will be available in fiscal year 2000.
V. Section 5307 Urbanized Area Formula Program
A. Total Urbanized Area Formula Apportionments
In addition to the appropriated fiscal year 2000 Urbanized Area
Formula funds of $2,772,890,281, the apportionment also includes
$4,589,012 in deobligated funds which became available for
reapportionment for the Urbanized Area Formula Program as provided by
49 U.S.C. 5336(i).
Table 4 displays the amount apportioned for the Urbanized Area
Formula Program. After the one-half percent for oversight is set-aside
($13,864,451), the amount of appropriated funds available for
apportionment is $2,759,025,830. The funds to be reapportioned,
described in the previous paragraph, are then added and increase the
total amount apportioned for this program to $2,763,614,842.
An additional $4,849,950 is appropriated for the Alaska Railroad
for improvements to its passenger operations. After the one-half
percent for oversight is reserved ($24,250),
[[Page 58217]]
$4,825,700 is available for the Alaska Railroad.
Table 12 contains the fiscal year 2000 apportionment formula for
the Section 5307 Urbanized Area Formula Program.
B. Data Used for Urbanized Area Formula Apportionments
Data from the 1998 NTD (49 U.S.C. 5335) Report Year submitted in
late 1998 and early 1999 have been used to calculate the fiscal year
2000 Urbanized Area Formula apportionments for urbanized areas 200,000
in population and over. The population and population density figures
used in calculating the Urbanized Area Formula are from the 1990
Census.
C. Urbanized Area Formula Fiscal Year 2000 Apportionments to Governors
The total Urbanized Area Formula apportionment to the Governor for
use in areas under 200,000 in population for each state is shown in
Table 4. This table also contains the total apportionment amount
attributable to each of the urbanized areas within the state. The
Governor may determine the allocation of funds among the urbanized
areas under 200,000 in population with one exception. As further
discussed below in Section G, funds attributed to an urbanized area
under 200,000 in population, located within the planning boundaries of
a transportation management area, must be obligated in that area.
D. Transit Enhancements
For urbanized areas with populations 200,000 and over, TEA-21
established a minimum annual expenditure requirement of one percent for
transit projects and project elements that qualify as enhancements
under the Urbanized Area Formula Program. Table 4 indicates the amount
set aside for enhancements in these areas. The term ``transit
enhancement'' includes projects or project elements that are designed
to enhance mass transportation service or use and are physically or
functionally related to transit facilities.
(1) Eligible Enhancements. The following are transit projects and
project elements that may be counted to meet the minimum enhancement
expenditure requirement:
(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 lights;
(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.
(2) Requirements. One percent of the Urbanized Area Formula Program
apportionment in each urbanized area with a population of 200,000 and
over must be made available only for transit enhancements. When there
are several grantees in an urbanized area, it is not required that each
grantee spend one percent of its Urbanized Area Formula Program funds
on transit enhancements. Rather, one percent of the urbanized area's
apportionment must be expended on projects and project elements that
qualify as enhancements. If these funds are not obligated for transit
enhancements within three years following the fiscal year in which the
funds are apportioned, the funds will lapse and no longer be available
to the urbanized area, and will be reapportioned under the Urbanized
Area Formula Program.
It will be the responsibility of the MPO to determine how the one
percent will be allotted to transit projects. The one percent minimum
requirement does not preclude more than one percent being expended in
an urbanized area for transit enhancements. Items that are only
eligible as enhancements--in particular, operating costs for historic
facilities--may be assisted only within the one percent fund level.
(3) Project Budget. The project budget for each grant application
that includes enhancement funds must include a scope code for transit
enhancements and specific budget activity line items for transit
enhancements.
(4) Bicycle Access. TEA-21 provides that projects providing bicycle
access to transit assisted with the FTA enhancement apportionment shall
be eligible for a 95 percent Federal share.
(5) Enhanced Access for Persons with Disabilities. Enhancement
projects or elements of projects designed to enhance access for persons
with disabilities must go beyond the requirements contained in the
Americans with Disabilities Act.
(6) Enhancement Report. 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 in the Federal
fiscal year's final quarterly report, in the Transportation Electronic
Awards and Management System (TEAM). The report should include the
following elements: (a) grantee name, (b) urbanized area 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.
E. Fiscal Year 2000 Operating Assistance
Fiscal year 2000 funding for operating assistance is available only
to urbanized areas with populations under 200,000. For these areas,
there is no limitation on the amount of the state apportionment that
may be used for operating assistance, and the Federal/local share ratio
is 50/50.
TEA-21 provided two exceptions to the prohibition on operating
assistance in areas over 200,000 in population. These areas were
identified and addressed in fiscal year 1999.
F. Carryover Funds for Operating Assistance
Carryover funds for fiscal years 1997-1998, which were eligible for
use as operating assistance are still available for operating
assistance. However, the operating assistance limitations remain on the
unused fiscal years 1997-1998 funds. These funds continue to be
available for obligation at the Federal/local share ratio of 50/50 in
fiscal year 2000 and throughout the period of availability. For unused
fiscal year 1998 funds for areas under 200,000, operating assistance as
a capital project with an 80 percent federal match ratio (without
limitation) will continue to be available throughout the period of
availability.
G. Designated Transportation Management Areas
All urbanized areas over 200,000 in population have been designated
as transportation management areas (TMAs), in accordance with 49 U.S.C.
Section 5305. These designations were formally made in a Federal
Register Notice dated May 18, 1992 (57 FR 21160), signed by the Federal
Highway Administrator and the Federal Transit Administrator. Additional
areas have been designated as TMAs upon the request of the Governor and
the MPO designated for such area or the affected local officials.
During fiscal year 1999, one addition to an existing TMA was formally
designated: Titusville, Florida,
[[Page 58218]]
is included within the boundaries of the Melbourne/Palm Bay, Florida
TMA.
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 boundaries, which have been
established by the MPO for the designated TMA, also include one or more
urbanized areas with less than 200,000 in population. Where this
situation exists, the discretion of the Governor to allocate Urbanized
Area Formula program ``Governor's Apportionment'' funds for urbanized
areas with less than 200,000 in population is restricted.
As required by 49 U.S.C. 5307(a)(2), a recipient(s) must be
designated to dispense the Urbanized Area Formula funds attributable to
TMAs. Those urbanized areas that do not already have a designated
recipient must name one and notify the appropriate FTA regional office
of the designation. This includes those urbanized areas with less than
200,000 in population that may receive TMA designation independently,
or those with less than 200,000 in population which are currently
included within the boundaries of a larger designated TMA. In both
cases, the Governor only has discretion to allocate Governor's
Apportionment funds attributable to areas which are outside of
designated TMA boundaries. In order for the FTA and Governors to know
which urbanized areas under 200,000 in population are included within
the boundaries of an existing TMA, and so that they can be identified
in future Federal Register notices, each MPO whose TMA planning
boundaries include these smaller urbanized areas is asked to identify
such areas to the FTA. This notification should be made in writing to
the Associate Administrator for Program Management, Federal Transit
Administration, 400 Seventh Street, SW, Washington, DC 20590, no later
than July 1 of each fiscal year. To date, FTA has been notified of the
following urbanized areas with less than 200,000 in population that are
included within the planning boundaries of designated TMAs:
------------------------------------------------------------------------
Small urbanized area included in TMA
Designated TMA boundaries
------------------------------------------------------------------------
Baltimore, Maryland.......... Annapolis, Maryland.
Dallas-Fort Worth, Texas..... Denton, Texas; Lewisville, Texas.
Houston, Texas............... Galveston, Texas; Texas City, Texas.
Orlando, Florida............. Kissimmee, Florida.
Melbourne-Palm Bay, Florida.. Titusville, Florida.
Philadelphia, Pennsylvania... Pottstown, Pennsylvania.
Pittsburgh, Pennsylvania..... Monessen, Pennsylvania; Steubenville-
Weirton, OH-WV-PA (PA portion).
Seattle, Washington.......... Bremerton, Washington.
Washington, DC-MD-VA......... Frederick, Maryland (MD portion).
------------------------------------------------------------------------
H. Urbanized Area Formula Funds Used for Highway Purposes
Urbanized Area Formula funds apportioned to a TMA are also
available for highway projects if the following three conditions are
met: (1) such use must be approved by the MPO in writing after
appropriate notice and opportunity for comment and appeal are provided
to affected transit providers; (2) in the determination of the
Secretary, such funds are not needed for investments required by the
Americans with Disabilities Act of 1990 (ADA); and (3) the MPO
determines that local transit needs are being addressed.
Urbanized Area Formula funds that are designated for highway
projects will be transferred to and administered by the FHWA. The MPO
should notify FTA of its intent to program FTA funds for highway
purposes.
I. National Transit Database Internet Reporting
The National Transit Database (NTD) is FTA's national database for
statistics on the transit industry. Each year, FTA grantees use
diskettes to report on their operating and financial statistics to FTA.
These grantees receive formula funds based, in part, on the statistics
they submit. NTD data is summarized and used to report to Congress on
the performance of the transit industry and to assess whether FTA goals
have been met. In addition, a profile report is produced for each
transit authority that submits data. NTD profile report data is often
used in transit planning. These annual NTD summary reports and profile
reports have been available on FTA's website for several years.
During the fall of 1999, FTA will begin testing a new Internet
reporting system to replace diskette reporting. A number of agencies
have volunteered to test this new system of transit operator data input
via the Internet. Internet reporting should speed data collection and
validation. Internet reporting is scheduled to begin in the fall of
year 2000.
VI. Section 5311 Nonurbanized Area Formula Program and Section
5311(b)(2) Rural Transit Assistance Program (RTAP)
A. Nonurbanized Area Formula Program
The fiscal year 2000 Nonurbanized Area Formula apportionments to
the states total $192,717,384 and are displayed in Table 5. Of the
$193,612,968 appropriated, one-half percent ($968,065) was reserved for
oversight. In addition to the current appropriation, the funds
available for apportionment included $72,481 in deobligated funds from
fiscal years prior to 2000. The population figures used in calculating
these apportionments are from the 1990 Census.
The Nonurbanized Formula Program provides capital, operating and
administrative assistance for areas under 50,000 in population. Each
state must spend no less than 15 percent of its fiscal year 2000
Nonurbanized Area Formula apportionment for the development and support
of intercity bus transportation, unless the Governor certifies to the
Secretary that the intercity bus service needs of the state are being
adequately met. Fiscal year 2000 Nonurbanized Area Formula grant
applications must reflect this level of programming for intercity bus
or include a certification from the Governor.
B. Rural Transit Assistance Program (RTAP)
The fiscal year 2000 RTAP apportionments to the states total
$4,800,180 and are also displayed on Table 5. This amount includes
$4,725,000 in fiscal year 2000 appropriated funds, and $75,180 in prior
year deobligated funds, which are available for reapportionment.
Of the total $5,250,000 authorized and appropriated for RTAP in
fiscal year 2000, FTA set-aside 10 percent in order to fund RTAP
activities carried out at
[[Page 58219]]
the national level. Due to the limited amount of discretionary funds
available this year in the national planning and research program, FTA
elected to fund both state and national components from the RTAP
appropriation in order to ensure the continuity of national program
activities, such as the Transit Resource Center and production and
distribution of training materials that support the various states'
RTAP activities.
All states will notice a reduction in their apportionment compared
to fiscal year 1999 as a result of the 10 percent takedown. However,
the impact on the larger states is proportionately greater because the
formula includes a minimum allocation of $65,000 to each state. For
most states, however, the fiscal year 2000 allocation is greater than,
or only slightly less than, their apportionment in fiscal year 1998.
The funds are allocated to the states to undertake research,
training, technical assistance, and other support services to meet the
needs of transit operators in nonurbanized areas. These funds are to be
used in conjunction with the states' administration of the Nonurbanized
Area Formula Program.
VII. Section 5310 Elderly and Persons With Disabilities Program
A total of $72,986,415 is apportioned to the states for fiscal year
2000 for the Elderly and Persons with Disabilities Program. In addition
to the fiscal year 2000 appropriation of $72,946,801, the fiscal year
2000 apportionment also includes $39,614 in prior year unobligated
funds, which are available for reapportionment under the Elderly and
Persons with Disabilities Program. Table 6 shows each state's
apportionment.
The formula for apportioning these funds uses 1990 Census
population data for persons aged 65 and over and for persons with
disabilities.
The funds provide capital assistance for transportation for elderly
persons and persons with disabilities. Eligible capital expenses may
include, at the option of the recipient, the acquisition of
transportation services by a contract, lease, or other arrangement.
While the assistance is intended primarily for private non-profit
organizations, public bodies that coordinate services for the elderly
and persons with disabilities, or any public body that certifies to the
state that there are no non-profit organizations in the area that are
readily available to carry out the service, may receive these funds.
These funds may be transferred by the Governor to supplement the
Urbanized Area Formula or Nonurbanized Area Formula capital funds
during the last 90 days of the fiscal year.
VIII. Surface Transportation Program and Congestion Mitigation and
Air Quality Flexible Funds Used for Transit Purposes (Title 23,
U.S.C.)
A. Transfer Process
TEA-21 made changes in how funds are to be transferred from FHWA to
FTA. Section 1103(i) of TEA-21, as amended, provides that when funds
are transferred or ``flexed,'' obligation authority will be transferred
to the receiving agency. Under ISTEA obligation authority was not
transferred.
Effective October 1, 1999, new procedures were implemented to
accommodate this change for fiscal year 2000 and subsequent years. The
transfer process is described below.
Transfer from FHWA to FTA. Flexible funds designated for use in
transit projects must result from the metropolitan and state planning
and programming process, and must be included in an approved State
Transportation Improvement Program (STIP) before the funds can be
transferred. To initiate the process the grantee must submit a
completed application to the FTA regional office and notify the State
Highway Agency that it has submitted an application that requires a
transfer of funds. By letter, the State Highway Agencies (SHA) request
the transfer of highway funds for a transit project(s) through their
FHWA Division. The letter should specify the project, amount to be
transferred, apportionment year, State, federal aid apportionment
category (i.e. Surface Transportation Program (STP), Congestion
Mitigation and Air Quality (CMAQ), Interstate Substitute, or Other--
Earmarks), and a description of the project as contained in the STIP.
The FHWA Division Office confirms that the apportionment amount is
available for transfer and concurs in the transfer by letter to the
State Highway Agency and FTA. FHWA then transfers obligation authority
and an equal amount of cash to FTA. All CMAQ or STP, or Other funds
(FHWA earmarks) 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).
The FTA grantee application for the project must specify which
transit program (title 49 U.S.C. section) funds will be utilized and
the application should be prepared in conformance with the requirements
and procedures governing that section. Upon review and approval of the
grantee's application, FTA obligates funds for the project.
The flexible funds are treated as FTA formula funds, although they
retain a special identifying code. The funds may be used for any
purpose eligible under the FTA formula programs. CMAQ funds, however,
have to be used for air quality purposes and some eligible projects are
defined by the Clean Air Act. All FTA requirements are applicable to
transferred funds. Flexible funds should be combined with regular FTA
funds in a single annual grant application.
Transfers from FTA to FHWA. The Metropolitan Planning Organization
(MPO) submits a request to the FTA Regional Office for a transfer of
FTA Section 5307 formula funds (apportioned to an urbanized area
200,000 and over in population) to FHWA based on its approved use for
highway purposes, as contained in the State governor's approved multi-
year STIP document. The MPO must certify that: (1) the funds are not
needed for capital investments required by the Americans with
Disabilities Act; (2) notice and opportunity for comment and appeal has
been provided to affected transit providers; and (3) local funds used
for non-Federal match are eligible to provide assistance for either
highway or transit projects. The FTA Regional Administrator reviews and
concurs in the request then forwards the approval to FTA Headquarters,
where the grantee's formula apportionmment is reduced, in TEAM (FTA's
electronic grant making and management system), by the dollar amount
being transferred to FHWA.
For information regarding these procedures, please contact Kristen
D. Clarke, FTA Budget Division at (202) 366-2918 or Fred Gessler, FHWA
Finance Division at (202) 366-2847.
B. Matching Share for Flexible Funds
The provisions of Title 23, U.S.C. regarding the non-Federal share
apply to Title 23 funds used for transit projects. Thus, flexible funds
transferred to FTA retain the same matching share that the funds would
have if used for highway purposes and administered by the FHWA.
There are three instances in which a higher than 80 percent Federal
share would be maintained. First, in states with large areas of Indian
and certain public domain lands, and national forests, parks and
monuments, the local share for highway projects is determined by a
sliding scale rate, calculated based on the percentage of public lands
within that state. This sliding scale, which permits a greater
[[Page 58220]]
Federal share, but not to exceed 95 percent, is applicable to transit
projects funded with flexible funds in these public land states. FHWA
develops the sliding scale matching ratios for the increased Federal
share.
Secondly, commuter carpooling and vanpooling projects and transit
safety projects using flexible funds administered by FTA may retain the
same 100 percent Federal share that would be allowed for ride-sharing
or safety projects administered by the FHWA.
The third instance includes the 100 percent Federal safety
projects; however, these are subject to a nationwide 10 percent program
limitation.
IX. Section 5309 Capital Investment Program
A. Fixed Guideway Modernization
The formula for allocating the Fixed Guideway Modernization funds
contains seven tiers. The allocation of funding under the first four
tiers, through fiscal year 2003, will be based on data used to
apportion the funding in fiscal year 1997. Funding under the last three
tiers will be apportioned based on the latest available route miles and
revenue vehicle miles on segments at least seven years old as reported
to the National Transit Database.
Table 7 displays the fiscal year 2000 Fixed Guideway Modernization
apportionments. Fixed Guideway Modernization funds apportioned for this
section must be used for capital projects to maintain, modernize, or
improve fixed guideway systems.
All urbanized areas with fixed guideway systems that are at least
seven years old are eligible to receive Fixed Guideway Modernization
funds. A request for the start-up service dates for fixed guideways has
been incorporated into the National Transit Database reporting system
to ensure that all eligible fixed guideway data is included in the
calculation of the apportionments. A threshold level of more than one
mile of fixed guideway is required to receive Fixed Guideway
Modernization funds. Therefore, urbanized areas reporting one mile or
less of Fixed Guideway mileage under the National Transit Database are
not included.
For fiscal year 2000, $980,400,000 was appropriated for fixed
guideway modernization. After deducting the three-fourth percent for
oversight ($7,353,000), $973,047,000 is available for apportionment to
the specified urbanized areas.
Each year, the new fixed guideway modernization formula will
allocate funds by seven tiers. A listing of the tiers and the funds
available under each are delineated in Table 13. For tiers 5, 6, and 7,
allocations will be based on the latest available route miles and
revenue vehicle miles for fixed guideway segments at least seven years
old as reported to the National Transit Database.
B. New Starts
The fiscal year 2000 appropriation for New Starts is $980,400,000,
which was fully allocated in the fiscal year 2000 DOT Appropriations
Act. However, by statute, this amount is reduced by three-fourth
percent ($7,353,000) for oversight activities, leaving $973,047,000
available for allocations to projects. The oversight reduction was
applied on a pro-rata basis to all projects specified in the fiscal
year 2000 DOT Appropriations Act, yielding the final allocation for
each project as shown in Table 8 of this notice. Prior year unobligated
appropriations for New Starts in the amount of $542,823,668 remain
available for obligation in fiscal year 2000. These carryover amounts
are displayed in Table 8A.
C. Bus
The fiscal year 2000 appropriation for Bus is $490,200,000 for the
purchase of buses, bus-related equipment and paratransit vehicles, and
for the construction of bus-related facilities. TEA-21 established a
$100,000,000 Clean Fuels Formula Program under Section 5308. The
program is authorized to be funded with $50,000,000 from the Bus
category of the Capital Investment Program, and $50,000,000 from the
Formula Program. However, the fiscal year 2000 DOT Appropriations Act
directs FTA to transfer $50,000,000 appropriated under the Formula
Program to and merge it with funding provided for the Bus category of
the Capital Investment Program. Thus, $540,200,000 of funds
appropriated in fiscal year 2000 are available for funding the Bus
category of the Capital Program. After deducting the three-fourth
percent for oversight ($4,051,500) the amount of fiscal year 2000
appropriated funds available for allocation is $536,148,500. Prior year
unobligated funds directed by Congress to be reallocated in the amount
of $1,199,750 are then added and increase the total amount allocated to
$537,348,250 under the Bus category.
The 2000 DOT Appropriations Act allocated all of the fiscal year
2000 Bus funds to specified states or localities for bus and bus-
related projects.
Because the three-fourth percent for oversight was subtracted from
the amount appropriated in the DOT Appropriations Act and not the
reallocated funds, each bus project receives less than the funding
level contained in the DOT Appropriations Act. No funds remain
available for discretionary allocation by the Federal Transit
Administrator. Table 9 displays the allocations of the fiscal year 2000
Bus funds by area.
Prior year unobligated appropriations for Bus Program earmarks in
the amount of $472,955,785 remain available for obligation in fiscal
year 2000, and are displayed in Table 9A.
For Section 5309 projects funding battery electric, hybrid electric
or fuel cell vehicles, FTA intends to ask for additional information as
part of project quarterly progress reports. Grantees will be advised of
the specifics of this at a later date. See section XII, Clean Fuels
Formula Program, for a discussion of this proposal.
X. Job Access and Reverse Commute Program
The fiscal year 2000 appropriation for the Job Access and Reverse
Commute Program is $75,000,000. Of this amount $49,570,000 has been
allocated to projects specified in the fiscal year 2000 Conference
report. These allocations are listed in Table 10.
This program, established under TEA-21, provides funding for the
provision of transportation services designed to increase access to
jobs and employment-related activities. Job Access projects are those
which transport welfare recipients and low-income individuals in urban,
suburban, or rural areas to and from jobs and activities related to
their employment. Reverse Commute projects provide transportation
services for the general public from urban, suburban, and rural areas
to suburban employment opportunities. A total of $10 million from the
appropriation can be used for Reverse Commute Projects.
One of the goals of the Job Access and Reverse Commute program is
to increase collaboration among transportation providers, human service
agencies, employers, metropolitan planning organizations, states, and
affected communities and individuals. All projects funded under this
program must be derived from an area-wide Job Access and Reverse
Commute Transportation Plan, developed through a regional approach
which supports the implementation of a variety of transportation
services designed to connect welfare recipients to jobs and related
activities. A key element of the
[[Page 58221]]
program is making the most efficient use of existing public, nonprofit
and private transportation service providers.
In fiscal year 1999, FTA undertook a national solicitation of
applications for this program and established a competitive process to
review all applications. As a result of this process, FTA selected 179
different projects in agencies and organizations in 42 states for
funding.
A separate Federal Register Notice providing program guidance and
application procedures for fiscal year 2000 will be issued for the
program. The notice will be also available on the FTA website.
XI. Over-the-Road Bus Accessibility Program
The amount available for the Over-the-Road Bus Accessibility (OTRB)
Program in fiscal year 2000 is $3,710,000. In addition to $3,700,000
appropriated for fiscal year 2000, $10,000 remaining from the fiscal
year 1999 appropriation is available for award in fiscal year 2000. Of
the $3,710,000 available for the program, $2,010,000 is available to
providers of intercity fixed-route service, and $1,700,000 is available
to other providers of the over-the-road bus services, including local
fixed-route service, commuter service, and charter and tour service.
The Over-the-road Bus (OTRB) Accessibility 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, published in a Federal Register
Notice on September 24, 1998. FTA conducts a national solicitation of
applications and grantees are selected on a competitive basis.
In fiscal year 1999, the first year in which the program was
implemented, a total of $2 million was available to intercity fixed-
route providers. FTA selected 11 applicants from among the 20
applications submitted for funding incremental capital and training
costs.
A separate Federal Register Notice providing program guidance and
application procedures for fiscal year 2000 will be issued for this
program. The notice will be available on the FTA website.
XII. Clean Fuels Formula Program
TEA-21 established a $100,000,000 Clean Fuels Formula Grant Program
under Section 5308 to assist non-attainment and maintenance areas in
achieving or maintaining attainment status and to support markets for
emerging clean fuel technologies. Under the program, public transit
agencies in maintenance and non-attainment areas (as defined by the
EPA) were to apply for formula funds to acquire clean fuel vehicles, to
repower or retrofit engines for clean fuels operation, and to construct
or improve facilities to support clean fuel vehicles. The legislation
specified the program to be funded with $50,000,000 from the Bus
category of the Capital Investment Program, and $50,000,000 from the
Formula Program. The fiscal year 2000 DOT Appropriations Act transfers
$50,000,000 appropriated under the Formula Program to and merges it
with funding provided for the replacement, rehabilitation and purchase
of buses and related equipment and the construction of bus related
facilities under the Bus category of the Capital Investment Program. In
addition, in fiscal years 1999 and 2000 Congress allocated the entire
Bus category, including the $100,000,000, which TEA-21 provides for
funding of the Clean Fuels Formula Program. The appropriation actions
of Congress override the provisions established in TEA-21 for the Clean
Fuels Formula Program. Therefore, FTA cannot implement this new program
in fiscal year 2000. The fiscal year 2000 Bus Allocations on Table 9
include the funding which would have been available for the Clean Fuels
Formula Program under TEA-21.
While the Clean Fuels Formula Program was not funded by Congress in
fiscal year 2000, as in fiscal year 1999, FTA supports the objectives
of the program and is interested in collecting relevant information on
the operations and performance of clean fuel technology buses in
revenue service to help assess the reliability, benefits, and costs of
these technologies compared to conventional vehicle technologies, and
to provide more accurate information to transit agencies for future
clean fuel and advanced propulsion vehicle purchases. It was FTA's
intent to require grantees receiving Clean Fuels Formula funds for
projects to purchase or lease buses powered by advanced propulsion
technologies (e.g. battery electric, hybrid electric and fuel cell
powered vehicles) to provide information to FTA on the operations,
performance and maintenance of those vehicles. Since the Clean Fuels
Formula Program was not funded in fiscal year 2000, but rather funds
were allocated as part of the capital program for bus, FTA intends to
require grantees receiving capital funds to purchase or lease buses
powered by advanced propulsion technologies (battery electric, hybrid
electric, and fuel cell) to report to FTA information that will further
the state of the industry's knowledge about operation of these advanced
technologies. Grantees receiving funds to purchase or lease alternative
fuel technologies such as CNG or LNG may voluntarily provide similar
information. Grantees will be advised of the new reporting requirements
for the Section 5309 program for these specific bus technologies in the
near future.
XIII. Unit Values of Data for the Section 5307 Urbanized Area
Formula Program, Section 5311 Nonurbanized Area Formula Program,
and Section 5309 Capital Fixed Guideway Modernization
The dollar unit values of data derived from the computations of the
Urbanized Area Formula Program, the Nonurbanized Area Formula Program,
and the Capital Investment Program--Fixed Guideway Modernization
apportionments are displayed in Table 14 of this notice. To determine
how an apportionment amount was computed for an area, multiply its
population, population density, and data from the NTD by the unit
values.
XIV. Period of Availability of Funds
The funds apportioned under the Metropolitan Planning Program and
the State Planning and Research Program, the Urbanized Area Formula
Program, and the Fixed Guideway Modernization Program, in this notice,
will remain available to be obligated by FTA to recipients for three
fiscal years following fiscal year 2000. Any of these apportioned funds
unobligated at the close of business on September 30, 2003 will revert
to FTA for reapportionment under these respective programs.
Funds apportioned to nonurbanized areas under the Nonurbanized Area
Formula Program, including RTAP funds, will remain available for two
fiscal years following fiscal year 2000. Any such funds remaining
unobligated at the close of business on September 30, 2002, will revert
to FTA for reapportionment among the states under the Nonurbanized Area
Formula Program. Funds allocated to states under the Elderly and
Persons with Disabilities Program in this notice must be obligated by
September 30, 2000. Any such funds remaining unobligated as of this
date will revert to FTA for reapportionment among the states under the
Elderly and Persons with Disabilities Program. The fiscal year 2000 DOT
Appropriations Act includes a provision requiring that fiscal year 2000
New Starts and Bus funds not obligated for their original purpose as of
September 30, 2002, shall be made
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available for other discretionary projects within the respective
categories of the Capital Investment Program.
XV. Automatic Pre-Award Authority To Incur Project Costs
A. Policy
FTA provides blanket or automatic pre-award authority to cover
certain program areas described below. This pre-award authority allows
grantees to incur project costs prior to grant approval and retain
their eligibility for subsequent reimbursement after grant approval.
The grantee assumes all risk and is responsible for ensuring that all
conditions, which are described below, are met to retain eligibility.
This automatic pre-award spending authority permits a grantee to incur
costs on an eligible transit capital or planning project without
prejudice to possible future Federal participation in the cost of the
project or projects. Prior to exercising pre-award authority, grantees
must comply with the conditions and Federal requirements outlined in
paragraphs B and C immediately below. Failure to do so will render an
otherwise eligible project ineligible for FTA financial assistance. In
addition, grantees are strongly encouraged to consult with the
appropriate regional office if there could be any question regarding
the eligibility of the project for future FTA funds or the
applicability of the conditions and Federal requirements.
Authority to incur costs for fiscal year 1998 Fixed Guideway
Modernization, Metropolitan Planning, Urbanized Area Formula, Elderly
and Persons with Disabilities, Nonurbanized Area Formula, STP or CMAQ
flexible funds to be transferred from the FHWA and State Planning and
Research Programs in advance of possible future Federal participation
was provided in the December 5, 1997, Federal Register Notice. Pre-
award authority was extended in the June 24, 1998 Federal Register
Notice on TEA-21 to all formula funds and flexible funds that will be
apportioned during the authorization period of TEA-21, 1998-2003. Pre-
award authority also applies to Capital Investment Bus allocations
identified in this notice. Pre-award authority does not apply to
Capital New Start funds, or to Capital Investment Bus projects not
specified in this or previous notices, except as described in D. below.
Pre-award authority also applies to preventive maintenance costs
incurred within a local fiscal year ending during calendar year 1997,
or thereafter, under the formula programs cited above.
For Section 5309 Capital Investment Bus projects, the date that
costs may be incurred is the date that the appropriation bill in which
they are contained is enacted. For blanket pre-award authority in
formula programs described above, the effective date is June 9, 1998.
B. Conditions
Similar to the FTA Letter of No Prejudice (LONP) authority, the
conditions under which this authority may be utilized are specified
below:
(1) The pre-award authority is not a legal or moral commitment that
the project(s) will be approved for FTA assistance or that FTA will
obligate Federal funds. Furthermore, it is not a legal or moral
commitment that all items undertaken by the applicant will be eligible
for inclusion in the project(s).
(2) All FTA statutory, procedural, and contractual requirements
must be met.
(3) No action will be taken by the grantee that prejudices the
legal and administrative findings which the Federal Transit
Administrator must make in order to approve a project.
(4) 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 grant for the
project(s) or project amendment(s).
(5) 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.
(6) For funds to which the pre-award authority applies, the
authority expires with the lapsing of the fiscal year funds.
C. Environmental, Planning, and Other Federal Requirements
FTA emphasizes that all of the Federal grant requirements must be
met for the project to remain eligible for Federal funding. Some of
these requirements must be met before pre-award costs are incurred,
notably the requirements of the National Environmental Policy Act
(NEPA), and the planning requirements. Compliance with NEPA and other
environmental laws or executive orders (e.g., protection of parklands,
wetlands, historic properties) must be completed before state or local
funds are spent on implementing activities such as final design,
construction, and acquisition for a project that is expected to be
subsequently funded with FTA funds. Depending on which class the
project is included under in FTA environmental regulations (23 CFR part
771), the grantee may not advance the project beyond planning and
preliminary engineering before FTA has issued either a categorical
exclusion (refer to 23 CFR part 771.117(d)), a finding of no
significant impact, or a final environmental impact statement. The
conformity requirements of the Clean Air Act (40 CFR part 93) also must
be fully met before the project may be advanced with non-Federal funds.
Similarly, the requirement that a project be included in a locally
adopted metropolitan transportation improvement program and federally
approved statewide transportation improvement program must be followed
before the project may be advanced with non-Federal funds. In addition,
Federal procurement procedures, as well as the whole range of Federal
requirements, 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.
Before an applicant may incur costs either for activities expected
to be funded by New Start funds, or for Bus Capital projects not listed
in this notice or previous notices, it must first obtain a written LONP
from FTA. To obtain an LONP, a grantee must submit a written request
accompanied by adequate information and justification to the
appropriate FTA regional office.
D. Extension of Pre-Award Authority to New Start Projects Approved for
Preliminary Engineering and/or Final Design
New Starts Projects are required to follow a federally defined
planning process. This process includes, among other things, FTA
approval of entry of a project into preliminary engineering and
approval to enter final design. The grantee requests for entry into
preliminary engineering and the request for entry into final design
both document the project and how it meets the New Starts criteria in
detail. With FTA approval to enter preliminary engineering, and
subsequently approval to enter final design, FTA will automatically
extend pre-award authority to that phase of project development. The
pre-award authority
[[Page 58223]]
to incur costs for final design is strictly limited to design work. No
capital items or right of way acquisition is included in this blanket
pre-award authority.
This is a new provision and is intended to streamline and eliminate
duplicative and unnecessary paperwork and reinforce the importance of
these new starts approval actions. New Starts construction or right-of-
way acquisition as well as New Starts planning funded with Section 5309
funds not covered by preliminary engineering or final design approval
still need to request letters of no prejudice as described below.
XVI. Letter of No Prejudice Policy (Prior Approval of Pre-Award
Authority)
A. Policy
Letter of No Prejudice (LONP) Policy authority allows an applicant
to incur costs on a future project utilizing non-Federal resources with
the understanding that the costs incurred subsequent to the issuance of
the LONP may be reimbursable as eligible expenses or eligible for
credit toward the local match should the FTA approve the project at a
later date. LONPs are applicable to projects not covered by automatic
pre-award authority. The majority of LONPs will be for Section 5309 New
Starts funds not covered under a full funding grant agreement or for
Section 5309 Bus funds not yet appropriated by Congress. At the end of
an authorization period, there may be LONPs for formula funds beyond
the life of the current authorization.
Under most circumstances the LONP will cover the total project.
Under certain circumstances the LONP may be issued for local match
only. In such cases the local match would be to permit real estate to
be used for match for the project at a later date.
B. Conditions
The following conditions apply to all LONPs.
(1) LONP pre-award authority is not a legal or moral commitment
that the project(s) will be approved for FTA assistance or that FTA
will obligate Federal funds. Furthermore, it is not a legal or moral
commitment that all items undertaken by the applicant will be eligible
for inclusion in the project(s).
(2) All FTA statutory, procedural, and contractual requirements
must be met.
(3) No action will be taken by the grantee that prejudices the
legal and administrative findings which the Federal Transit
Administrator must make in order to approve a project.
(4) Local funds expended by the grantee pursuant to and after the
date of the LONP will be eligible for credit toward local match or
reimbursement if FTA later makes a grant for the project(s) or project
amendment(s).
(5) The Federal amount of any future FTA assistance 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.
(6) For funds to which this pre-award authority applies, the
authority expires with the lapsing of the fiscal year funds.
C. Environmental, Planning, and Other Federal Requirements
As with automatic pre-award authority, FTA emphasizes that all of
the Federal grant requirements must be met for the project to remain
eligible for Federal funding. Some of these requirements must be met
before pre-award costs are incurred, notably the requirements of the
National Environmental Policy Act (NEPA), and the planning
requirements. Compliance with NEPA and other environmental laws or
executive orders (e.g., protection of parklands, wetlands, historic
properties) must be completed before state or local funds are spent on
implementation activities such as final design, construction, or
acquisition for a project expected to be subsequently funded with FTA
funds. Depending on which class the project is included under in FTA's
environmental regulations (23 CFR part 771), the grantee may not
advance the project beyond planning and preliminary engineering before
FTA has approved either a categorical exclusion (refer to 23 CFR part
771.117(d)), a finding of no significant impact, or a final
environmental impact statement. The conformity requirements of the
Clean Air Act (40 CFR part 93) also must be fully met before the
project may be advanced with non-Federal funds.
Similarly, the requirement that a project be included in a locally
adopted metropolitan transportation improvement program and federally
approved statewide transportation improvement program must be followed
before the project may be advanced with non-Federal funds. In addition,
Federal procurement procedures, as well as the whole range of Federal
requirements, 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
pre-award authority requires a grantee to make certain that no Federal
requirements are circumvented. 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.
D. Request for LONP
Before an applicant may incur costs for a project not covered by
automatic pre-award authority, it must first submit a written request
for an LONP to the appropriate regional office. This written request
must include a description of the project for which pre-award authority
is desired and a justification for the request.
XVII. FTA Home Page on the Internet
FTA provides extended customer service by making available transit
information on the FTA website, including this Apportionment Notice.
Also posted on the website are FTA program Circulars: C9030.1C,
Urbanized Area Formula Program: Grant Application Instructions, dated
October 1, 1998; C9040.1E, Nonurbanized Area Formula Program Guidance
and Grant Application Instructions, dated October 1, 1998; C9070.1E,
The Elderly and Persons with Disabilities Program Guidance and
Application Instructions, dated October 1, 1998; C9300.1A, Capital
Program: Grant Application Instructions, dated October 1, 1998;
4220.1D, Third Party Contracting Requirements, dated April 15, 1996;
C5010.1C, Grant Management Guidelines, dated October 1, 1998; and
C8100.1B, Program Guidance and Application Instructions for
Metropolitan Planning Program Grants, dated October 25, 1996. The
fiscal year 2000 Annual List of Certifications and Assurances is also
posted on the FTA website. Other documents on the FTA website of
particular interest to public transit providers and users include the
1998 Statistical Summaries of FTA Grant Assistance Programs, and the
National Transit Database Profiles.
The FTA Home Page may be accessed at: [http://www.fta.dot.gov]. FTA
circulars are listed at: [http://www.fta.dot.gov/fta/library/admin/
checklist/circulars.htm]. Other guidance of interest to Grantees can be
found at: [http://www.fta.dot.gov/grantees/index.html].
Grantees should check the FTA website frequently to keep up to date
on new postings.
XVIII. FTA Fiscal Year 2000 Annual List of Certifications and
Assurances
The Fiscal Year 2000 Annual List of Certifications and Assurances
is published in conjunction with the Apportionments, as per 49 U.S.C.
section 5307(k). It appears as a separate
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Part of the Federal Register on the same date whenever possible. The
fiscal year 2000 list contains several changes to the previous year's
Federal Register publication. As in previous years, the grant applicant
should certify electronically. Under certain circumstances the
Applicant may enter its PIN number in lieu of an electronic signature
provided by its Attorney, provided the Applicant has on file the
current Affirmation of its Attorney in writing dated this Federal
fiscal year. The applicant is advised to contact the appropriate FTA
Regional Office for electronic procedure information.
The fiscal year 2000 Annual List of Certifications and Assurances
is accessible on the Internet at: http://www.fta.dot.gov/. Any
questions regarding this document may be addressed to the appropriate
Regional Office.
XIX. Grant Application Procedures
All applications for FTA funds should be submitted to the
appropriate FTA Regional Office. FTA utilizes an electronic grant
application system known as TEAM and all applications should be filed
electronically. FTA has provided exceptions to the requirement for
electronic filing of applications for certain new, non-traditional
grantees in the Job Access and Reverse Commute and Over the Road Bus
programs as well as to a few grantees who have not successfully
connected to or accessed TEAM. Formula and Capital Investment grant
applications should be prepared in conformance with the following FTA
Circulars: Program Guidance and Application Instructions for
Metropolitan Planning Program Grants--C8100.1B, October 25, 1996;
Urbanized Area Formula Program: Grant Application Instructions--
C9030.1C, October 1, 1998; Nonurbanized Area Formula Program Guidance
and Grant Application Instructions--C9040.1E, October 1, 1998; Section
5310 Elderly and Persons with Disabilities Program Guidance and
Application Instructions C9070.1E, October 1, 1998; and Section 5309
Capital Program: Grant Application Instructions--C9300.1A, October 1,
1998. Guidance on preparation of applications for State Planning and
Research funds may be obtained from each FTA Regional Office. Copies of
circulars are available from FTA Regional Offices as well as the FTA
Home Page on the Internet.
Applications for STP or CMAQ ``flexible'' fund grants should be
prepared in the same manner as for funds under the program to which
they are being transferred. The application for flexible funds needs to
specifically indicate the type and amount of flexible funds being
transferred to FTA. The application should also describe which items
are being funded with flexible funds, consistent with the Statewide
Transportation Improvement Program (STIP).
Issued on: October 21, 1999.
Gordon J. Linton,
Administrator.
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[FR Doc. 99-27924 Filed 10-27-99; 8:45 am]
BILLING CODE 4910-57-C
