FTA Fiscal Year 2001 Apportionments, Allocations and Program Information; Notice
Number 66 4899
01-18-01
[Federal Register: January 18, 2001 (Volume 66, Number 12)]
[Notices]
[Page 4899-4956]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr18ja01-165]
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Part II
Department of Transportation
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Federal Transit Administration
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FTA Fiscal Year 2001 Apportionments, Allocations and Program
Information; Notice
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2001 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 2001 (FY 2001 DOT Appropriations
Act) (Pub. L. 106-346) was signed into law by President Clinton on
October 23, 2000, and provides FY 2001 appropriations for the Federal
Transit Administration (FTA) transit assistance programs. Based upon
this Act, and the Transportation Equity Act for the 21st Century (TEA-
21), on November 3, 2000, FTA published, on its website, a list of
apportionments and allocations for transit programs--excluding the FY
2001 Bus allocations for the Section 5309 Capital Investment Program.
Publication of the ``FTA Fiscal Year 2001 Apportionments, Allocations
and Program Information Notice'' in the Federal Register was delayed
pending the completion of the appropriation process by Congress.
The FY 2001 Omnibus Consolidated Appropriations Act (Pub. L. 106-
554), which was signed by the President on December 21, 2000, contains
provisions that impact the level of funding made available to FTA in
the FY 2001 DOT Appropriations Act and cause the FY 2001 apportionments
and allocations previously published on the website to change. More
specifically, the FY 2001 Omnibus Consolidated Appropriations Act
contain the following provisions relative to FTA programs in this
fiscal year: (1) Section 1403(a) Government-Wide Rescission, which
rescinds an amount equal to .22 percent of the discretionary budget
authority is to be applied to programs, projects, and activities; (2)
Section 1108, which directs that funding for the Clean Fuels Formula
Grant program under 49 U.S.C. 5309(m)(3)(C) does not apply to funds
made available in the FY 2001 DOT Appropriations Act; and (3) Sections
1105, 1107, and 1123, which appropriate from the Mass Transit Account
of the Highway Trust Fund, $1,000,000 for Southeast Light Rail
Extension Project, in Dallas, TX, $3,000,000 for the Newark-Elizabeth
rail link project in New Jersey, and $500,000 for Alabama A&M
University buses and bus facilities, respectively.
This notice includes the apportionment of FY 2001 funds made
available in the FY 2001 DOT Appropriations Act--adjusted in accordance
with the applicable provisions of the FY 2001 Omnibus Consolidated
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 adjusted allocations 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 Statewide Transportation Improvement Programs (STIPs) is included.
For informational purposes, the notice contains the estimated
apportionment of FY 2001 funds for the Federal Highway Administration
(FHWA) Metropolitan Planning Program and the estimated apportionment of
FY 2001 funds for the FHWA State Planning and Research Program.
Listings of prior year unobligated allocations for the section 5309
New Starts and Bus Programs are 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. 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 Paul L.
Verchinski, Chief, Statewide and Intermodal Planning Division, (202)
366-1626, 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 2001 Appropriations
B. TEA-21 Authorized Program Levels
C. Project Management Oversight
D. 2002 Winter Olympic Games
III. Fiscal Year 2001 Focus Areas
A. Urbanized Area Formula Study
B. National Transit Database Redesign
C. New Starts Roundtable
D. Intelligent Transportation Systems
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 2001
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. Fiscal Year 2000 Apportionment Adjustments
C. Data Used for Urbanized Area Formula Apportionments
D. Urbanized Area Formula Apportionments to Governors
E. Transit Enhancements
F. Fiscal Year 2001 Operating Assistance
G. Unobligated Funds for Operating Assistance
H. Designated Transportation Management Areas
I. Urbanized Area Formula Funds Used for Highway Purposes
J. 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. FHWA Surface Transportation Program and Congestion Mitigation
and Air Quality Funds Used for Transit Purposes (Title 23, U.S.C.)
A. Transfer Process
B. Matching Share for FHWA Transfers
IX. Section 5309 CapitaL Investment Program
A. Fixed Guideway Modernization
B. New Starts
C. Bus
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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. Policy
B. Conditions
C. Environmental, Planning, and Other Federal Requirements
D. Pre-award Authority for 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 2001 Annual List of Certifications and
Assurances
XIX. Grant Application Procedures Tables
1. FTA Revised FY 2001 Appropriations for Grant Programs
2. FTA Revised FY 2001 Section 5303 Metropolitan Planning
Program and Section 5313(b) State Planning and Research Program
Apportionments
3. FHWA FY 2001 Estimated Metropolitan Planning (PL) Program and
Estimated State Planning and Research Program (SPRP) Apportionments
4. FTA Revised FY 2001 Section 5307 Urbanized Area Formula
Apportionments
5. FTA Revised FY 2001 Section 5311 Nonurbanized Area Formula
Apportionments, and Section 5311(b) Rural Transit Assistance Program
(RTAP) Allocations
6. FTA Revised FY 2001 Section 5310 Elderly and Persons With
Disabilities Apportionments
7. FTA Revised FY 2001 Section 5309 Fixed Guideway Modernization
Apportionments
8. FTA Revised FY 2001 Section 5309 New Starts Allocations
8A. FTA Prior Year Unobligated Section 5309 New Starts
Allocations
9. FTA FY 2001 Section 5309 Bus Allocations
9A. FTA Prior Year Unobligated Section 5309 Bus Allocations
10. FTA Revised FY 2001 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 2001 Apportionment Formula for Section 5307 Urbanized
Area Formula Program
13. FTA FY 1998-2003 Section 5309 Fixed Guideway Modernization
Program Apportionment Formula
14. FTA Revised FY 2001 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 to provide funds for
their Unified Planning Work Programs. State Planning and Research funds
are apportioned to states by statutory formula to provide funds for
their State Planning and Research Programs. 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. 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 Starts and Bus allocations
identified in the FY 2001 DOT Appropriations Act or the Conference
Report accompanying the FY 2001 DOT Appropriations Act are included in
this notice. FTA will honor those allocations included in report
language provided that the projects meet the statutory intent of the
specific program.
II. Overview
A. Fiscal Year 2001 Appropriations
The FY 2001 DOT Appropriations Act made $6,271,000,000 available
for FTA programs, which is the guaranteed funding level under TEA-21.
After the .22 percent reduction for the government-wide rescission and
addition of new funding (as directed in the FY 2001 Omnibus
Consolidated Appropriations Act), and transfer of funds to the Office
of the Inspector General (OIG) as directed in the FY 2001 DOT
Appropriations Act, FTA's FY 2001 appropriation is $6,260,696,100. The
revised/adjusted FY 2001 funding amounts for FTA programs are displayed
in Table 1.
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 $7,274,000,000 for the FY 2001 FTA program.
Of this amount, $6,271,000,000 was guaranteed under the discretionary
spending cap and made available in the FY 2001 DOT Appropriations Act.
Adjustments directed by the FY 2001 Omnibus Consolidated Appropriations
Act reduce funding for FTA programs to $6,260,696,100 for FY 2001. See
Table 11 for fiscal years 1998-2003 guaranteed funding 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 website. 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 Title 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 FY
2001, and three-quarters percent of Capital Investment Program funds
were reserved for these purposes before funds were apportioned.
D. 2002 Winter Olympic Games
The FY 2001 DOT Appropriations Act made $60,000,000 available from
the formula grants program for the 2002 Winter Olympic Games. After
applying a .22 percent reduction, in accordance with the government-
wide rescission required by the FY 2001 Omnibus Consolidated
Appropriations Act, $59,868,000 is available for this activity. The
funds shall be available for grants for the costs of planning, delivery
and temporary use of transit vehicles for special transportation needs
and
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construction of temporary transportation facilities for the XIX Winter
Olympiad and the VIII Paralympiad for the Disabled, to be held in Salt
Lake City, Utah.
III. Fiscal Year 2001 Focus Areas
A. Urbanized Area Formula Study
Section 3033 of TEA-21 requires the Secretary of Transportation to
conduct a study of FTA's Urbanized Area Formula Program (49 U.S.C.
5307) and the needs of small urbanized areas with unusually high levels
of transit service. On September 29, 2000, the Secretary of
Transportation approved ``The Urbanized Area Formula Program and the
Needs for Small Intensive Cities'', which reports the result of the
study. The report concludes that sufficient issues exist suggesting
that changes to the existing Urbanized Area Formula Grants Program
should be considered as part of the FY 2004 and beyond reauthorization
cycle. However, the formula apportionments should continue to reflect
underlying transit needs. For further information contact Richard
Steinmann, FTA Office of Policy Development, at (202) 366-4050.
B. National Transit Database Redesign
There have been major changes in federal reporting requirements
affecting FTA. Most notable among these is prompt reporting of certain
National Transit Database (NTD) data under the Government Performance
and Results Act, and an increase in the level of detail. In addition,
FTA must respond to congressional direction for new safety data
reporting. These factors, along with other significant considerations
and concerns, served as the impetus to redesign the NTD.
In the Spring of 2000, FTA conducted an outreach effort to the
transit industry and then prepared a report to Congress entitled,
``Review of the National Transit Database'' (May 31, 2000), which
evaluates the NTD reporting system. The report suggests a number of
changes that will enhance the usefulness of the NTD while minimizing
reporting burden. The report is available on the FTA website.
Presently, FTA is in the process of redesigning the data
requirements of the NTD, which is expected to be completed by the
Spring of 2001. System reprogramming and database testing will precede
final implementation, which will take place during the Spring of 2002.
C. New Starts Roundtable
In FY 2000, FTA sponsored a series of New Starts Roundtable (NSR)
meetings. The purpose of the NSR is to facilitate continued dialogue
and information sharing between FTA and local sponsors of projects
pursuing Capital Investment Program (section 5309) New Starts funding.
This includes projects currently in FTA's New Starts pipeline or a
study that may result in the selection of a major fixed guideway
transit investment in the near future.
The NSR provides a forum for FTA and the New Starts community to
jointly explore and address issues related to the New Starts planning,
project development, and evaluation processes. The NSR Steering
Committee, a partnership whose membership is comprised of the FTA
Administrator, FTA staff and representatives from local transit
agencies is responsible for outlining the strategy, developing topic
areas and agendas and selecting sites and setting schedules for NSR
meetings, in addition to implementing the NSR workplan activities.
The targeted participants for NSR meetings include planning
directors or project/study managers who can share their views of the
New Starts criteria and project development process. In FY 2000, two
roundtable meetings were held: July 27th-28th, in Washington, DC; and
August 2nd-3rd, in Las Vegas, NV. FTA is in the process of organizing
NSR meetings for FY 2001. For additional information regarding this
initiative, contact David Vozzolo or Tonya Holland, FTA Office of
Planning Innovation and Analysis, at (202) 366-4033.
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 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 FY 2001
allocations included in this notice that contain ITS components. Using
existing FTA oversight procedures, FTA has initiated a program to
provide initial oversight and technical assistance with respect to
National ITS Architecture Consistency requirements.
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
Funding made available for the Metropolitan Planning Program in the
FY 2001 DOT Appropriations Act was $52,113,600--the guaranteed funding
level under TEA-21. This amount has been reduced to $51,998,950 after
application of the .22 percent reduction for the government-wide
rescission required by the FY 2001 Omnibus Consolidated Appropriations
Act.
The FY 2001 Metropolitan Planning Program apportionment to states
for MPOs' use in urbanized areas totals $52,278,930. This amount
includes $51,998,950 in FY 2001 funds, and $279,980 in prior year
deobligated funds available for reapportionment under this program. A
basic allocation of 80 percent of this amount ($41,423,144) 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
($10,455,786) 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 FY 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.
In FY 2001, the results of the 2000 Census will be made available
and the Census Bureau will designate new urbanized areas. Since the
statutory formula for distribution of the Metropolitan Planning Program
utilizes the latest available decennial census,
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FTA anticipates use of the 2000 Census for FY 2002 funding
apportionments. This will affect each state's apportionment. In
addition, each state has an FTA approved in-state allocation formula to
each urbanized area. States will be free to continue using their
existing in-state formula distribution. When the Census Bureau issues
its population data, FTA will request a state reaffirmation of these
in-state formulas since most were last approved in FY 1992. A
reaffirmation or new in-state formula should be submitted to the FTA
Regional Office for approval prior to October 1, 2001 so that the
funding distributions are effective in FY 2002.
Currently, guaranteed and authorized funding levels for each state
over the life of TEA-21 (fiscal years 1999-2003) based on the 1990
Census, are posted online.
By June 2001, FTA will post revised fiscal year 2002 and 2003
guaranteed and authorized funding levels based on the 2000 census for
each state at this same website address. This information should be
utilized by each state when reaffirming or revising in-state formulas.
B. State Planning and Research Program
Funding made available for the State Planning and Research Program
in the FY 2001 DOT Appropriations Act was $10,886,400, the guaranteed
funding level under TEA-21. This amount has been reduced to
$10,862,450, after applying the .22 percent reduction for the
government-wide rescission required by the FY 2001 Omnibus Consolidated
Appropriations Act.
The FY 2001 apportionment for the State Planning and Research
Program (SPRP) totals $10,938,770. This amount includes $10,862,450 in
FY 2001 funds, and $76,320 in prior year deobligated funds, which have
become available for reapportionment under this program. Final state
apportionments for this program are also contained in 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 metropolitan 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 FY 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 estimated FY 2001 apportionments
for the FHWA Metropolitan Planning Program (PL) and estimated
apportionments for FY 2001 State Planning and Research Program (SPRP)
are contained in Table 3. These estimates include expected SPRP funding
increases from the Revenue Budget Aligned Authority authorized in TEA-
21, Section 1105. The amounts are as originally provided by FHWA and
may be adjusted by that agency to incorporate the .22 percent reduction
required by the FY 2001 Omnibus Consolidated Appropriations Act.
E. Local Match Waiver for Specified Planning Activities
Job Access Planning. 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.
F. Planning Emphasis Areas for Fiscal Year 2001
The FTA and FHWA identify Planning Emphasis Areas (PEAs) annually
to promote priority themes for consideration, as appropriate, in
metropolitan and statewide transportation planning processes.
Identification of PEAs calls attention to a national policy emphasis on
the themes and priorities within FTA and FHWA for enhanced inventory of
current practice, guidance and training in those areas. The FTA and
FHWA are committed to providing opportunities to the planning community
to exchange ideas and experiences on innovative practice in these topic
areas throughout the year. Furthermore, this information will
constitute an important component of guidance for implementing the
planning and environmental provisions of TEA-21.
To that end, FTA and FHWA intend to periodically develop
information that will be made available through publications, on the
FTA and FHWA websites, and through other means. As opportunities become
available, this information also will be promoted for inclusion on the
agendas of regional and national conferences held during the year. To
support these efforts, FTA and FHWA encourage planning organizations to
expand their work activities on these topics through their planning
work activities, as set forth in Unified Planning Work Programs (UPWPs)
and State Planning and Research Programs. This will be the resource
base and means by which innovative and effective practices can be
identified and reported back to the planning community.
For FY 2001, five key planning themes have been identified as PEAs:
(1) Mainstreaming safety in the transportation planning and decision-
making process; (2) incorporation of environmental streamlining as a
policy and planning analysis theme within planning processes; (3)
transportation system management and operations; (4) demonstrated
compliance with Title VI of the Civil Rights Act and accommodation of
the principles of environmental justice; and (5) coordination of non-
emergency transportation services.
(1) Safety in Transportation. TEA-21 emphasizes the safety of
transportation systems as a national priority and calls for
transportation plans and strategies that ``increase the safety and
security of transportation systems.'' The DOT Strategic Plan identifies
safety as the highest priority and includes a goal to ``promote the
public health and safety by working toward the elimination of
transportation-related deaths, injuries and property damage.''
The DOT short-term objective is to integrate safety considerations
into all stages of the transportation planning process, including
identification of activities to be considered during the development of
UPWPs and SPRPs. States and MPOs are encouraged to consider both long
and short-term strategies for inclusion in their plans and
transportation improvement programs (TIPs).
FTA and FHWA are working together to advance the state-of-practice
in addressing safety in the metropolitan and statewide planning
process. In May 2000, FTA and FHWA hosted a meeting along with the
Transportation Research
[[Page 4904]]
Board (TRB) of safety professionals and planners to address safety in
the metropolitan planning process. From that meeting, a TRB report
describing the issues and recommendations identified at the meeting
will be produced, and is expected to be available on the TRB website in
the Fall of 2000. Participants in the TRB
meeting summarized the following strategies for addressing safety in
planning processes:
Establish a foundation for safety in planning;
Improve access to safety data and encourage its use;
Address safety in the consideration of alternative mode
choice options;
Explicitly address safety in federal and state regulatory
policy; and
Market and advocate safety through ``champions'' to user
groups.
These suggested strategies are just a beginning. FTA and FHWA are
also working to document good practice and develop guidance in the area
of safety planning that will be a tool for both states and MPOs in
addressing safety in their planning processes. Through good practice
and guidance, MPOs can begin to identify methods to integrate safety
within the planning process. These methods may include:
Providing an umbrella for the coordination of
transportation safety activities among various levels of government,
the private sector and other specialized transportation safety groups;
Enhancing the knowledge of local officials and the public
on traffic safety; and
Developing assessment tools for safety based upon existing
problems and how proposed projects will decrease problems in a regional
context.
(2) Environmental Streamlining. TEA-21 reflects the concerns of
Congress and the transportation community that the planning and project
development processes are requiring too much time before solutions to
serious transportation problems are ready for implementation. TEA-21
mandated the elimination of the Major Investment Study as a stand-alone
requirement and the streamlining of the process for complying with the
National Environmental Policy Act (NEPA) and other environmental
statutes and regulations. Developing and guiding projects through the
planning and review processes faster, without compromising
environmental safeguards, is a complex undertaking for which there is
no easy solution.
FHWA and FTA have engaged the federal environmental and permitting
agencies in a dialogue on ways to improve the planning and NEPA
processes. This dialogue has produced a national Memorandum of
Understanding (MOU) on environmental streamlining among the federal
agencies, which formalizes their commitment to streamline the
environmental review process for federally-funded highway and transit
projects, while fulfilling their responsibilities to protect the
environment. The MOU calls for early consideration of environmental and
community issues during the planning process in consultation with
federal and state environmental resource agencies. FHWA followed up on
the national MOU by convening regional summits on environmental
streamlining. These summits have resulted in a number of regional and
statewide MOUs that address more specific linkage between planning and
project development. These documents are generally available in the
environmental streamlining ``tool kit'' that has been posted on the
FHWA website at [http://www.fhwa.dot.gov/environment/strmlng/index.htm].
FTA and FHWA are establishing environmental streamlining as a PEA
to encourage greater effort, innovative approaches, and a national
dialogue on using the planning process to advance this objective.
Examples of the kinds of innovative planning concepts that might serve
to streamline the environmental process under the appropriate
conditions include the introduction and use of new technologies such as
Geographic Information Systems to study regional environmental issues
in support of programmatic approvals, or closer coordination of
transportation planning with other planning efforts such as land use
planning, air quality planning, or watershed management and associated
mitigation banking. Additional streamlining concepts are being explored
in a number of states such as Florida, Oregon, and California through
pilot projects or pilot programs specifically identified by the State
DOTs, MPOs, and transit agencies for this purpose. An expert panel
established through the National Cooperative Highway Research Program
is monitoring, analyzing, and reporting on the status of the pilot
streamlining effort around the country. The results will be added to
the streamlining tool kit on the FHWA website mentioned above.
As part of this PEA, FHWA and FTA are seeking not only to
demonstrate that earlier consideration of environmental issues during
planning makes sense, but also actually to quantify, to the extent
possible, the time savings and environmental benefits that result. To
that end, a preliminary baseline assessment of processing times has
been completed and a more detailed assessment is underway. As
additional data becomes available, it too will be posted on the FHWA
streamlining website.
(3) Transportation System Management and Operations. TEA-21
challenges the FHWA and FTA to move beyond traditional infrastructure-
based approaches to improve the movement of people and goods. TEA-21
emphasizes a greater need to improve the way transportation systems are
managed and operated. The challenge, in terms of transportation
planning, is not only to make a good investment in infrastructure, but
also to see that this investment is managed and operated to meet a
broad range of customer needs. The FHWA and FTA are establishing
management and operations as a PEA to encourage innovation, promote a
national dialogue, and advance the state of the practice.
FTA and FHWA recognize that future transportation planning must
look beyond the perception that management and operation strategies
merely reduce congestion problems or move vehicles faster. The FHWA and
FTA are convening a working group to develop recommendations to better
integrate transportation operations and planning to address a broad
array of transportation issues.
Information is available at website address [http://
plan2op.fhwa.dot.gov] to guide and inform transportation planners on
effective ways to consider management and operations investments,
programs and actions in planning contexts. It provides a document
library that may be searched for recent documents that deal with this
subject and also presents a forum for the exchange of experiences.
(4) 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
[[Page 4905]]
planning processes and substantiate Title VI compliance through
demonstrated actions. Several releases of resource materials have taken
place over the past year, including:
``Title VI Environmental Justice Planning Technical
Assistance Manual'' with accompanying implementation training;
brochure and fact sheet to facilitate a better
understanding of Title VI/Environmental Justice considerations in
transportation activities; and
creation of an informational website which can be accessed
at [http://www.fhwa.dot.gov/environment/ej2.htm].
Case studies and effective practice materials are being prepared
for wide distribution, and a companion training and education package
is being designed. These will be completed by the end of 2000.
States and Metropolitan Planning Organizations (MPOs) are advised
to strengthen their planning processes in this area and to document
their effort in two categories of work activity:
(a) Strengthen the focus of public involvement efforts, with
special attempts to include the traditionally under-served and under-
represented in the planning process; and
(b) assessing the distribution of benefits and adverse
environmental impacts at both the plan and project levels.
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.
(1) Coordination of Non-Emergency Transportation Services.
Experience and research have shown that coordinating program resources
for transportation services can lead to increased service availability
and more cost-effective transportation services to persons with limited
access and special needs. The DOT and the U.S. Department of Health and
Human Services (HHS) recognize that there are over 70 federal programs
in which some aspect of transportation services is an allowable use of
funds. The Departments are jointly developing a coordination resource,
the Transportation Coordination Toolkit, to assist states and
communities in their efforts to improve access to transportation
services for persons with special mobility needs.
The initial piece in the Transportation Coordination Toolkit is a
guide to coordinating transportation planning for DOT and HHS. It
addresses the information and actions necessary to coordinate the
transportation resources of various programs of DOT and HHS. Additional
pieces will include case studies, a compilation of federal-funding
sources, and a program resource guide.
G. Federal Planning Certification Reviews
The Intermodal Surface Transportation Efficiency Act (ISTEA)
required FTA and FHWA to certify, at least every three years, that the
planning processes conducted in the largest metropolitan areas were
being carried out in compliance with applicable provisions of federal
law. This provision applies specifically to localities termed
``Transportation Management Areas'' (TMA), which are urbanized areas
with populations of 200,000 and above, or other urbanized areas that
may be designated by the Secretary of Transportation. TEA-21 further
required that, in conducting these certification reviews, provisions be
made for public involvement appropriate to the metropolitan area under
review.
To that end, an annual calendar of prospective dates and locations
for certification reviews of TMAs anticipated in FY 2001 has been
prepared and is posted on the FTA website.
For further information regarding federal certifications of the
planning process contact: for FTA, Charles Goodman, FTA Metropolitan
Planning Division, (202) 366-1944, or Scott Biehl, FTA Office of Chief
Counsel, (202) 366-4063; for FHWA, Sheldon Edner, FHWA Metropolitan
Planning Division, (202) 366-4066, or Reid Alsop, FHWA Office of the
Chief Counsel, (202) 366-1371.
H. Consolidated Planning Grants
In FY 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 state 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 $228
million has been obligated by the pilot states. Of this total, more
than $180 million is from FHWA sources. Of the 11 pilot participants,
three have used annual grants only; three have a mixture of grant time
lengths, starting with annual and switching to multi-year grants or
vice versa; and five have used only multi-year grants with the grant
period ranging up to three years so far. Under the multi-year approach
option, the CPG grant would remain 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. The annual
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. 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.
Under the CPG, states can report metropolitan planning expenditures
(to comply with the Single Audit Act) for both FTA and FHWA under the
Catalogue of Federal Domestic Assistance number for FTA's Metropolitan
Planning Program. Additionally, for states with an FHWA Metropolitan
Planning (PL) 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. Currently, two western states
participating in the pilot are using the FHWA PL match rate.
Pre-award authority has been granted to FTA's planning programs for
the life of TEA-21 (through FY 2003). 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. Beginning in FY 2000, the
transfer procedures established to implement the transfer provision in
TEA-21 (section 1103(i) ``Transfer of Highway and Transit Funds'') is
applicable to
[[Page 4906]]
FHWA funds used in CPG. For planning projects funded through CPG, the
state DOT requests the transfer of funds in a letter to the FHWA
Division Office. The FHWA-funded planning activities must be in
accordance with the state's or MPO's Planning Work Program. The letter
must be signed by the appropriate state official or their designee and
must specify the state and the amount of funding to be transferred for
the CPG by apportionment category (e.g. STP, CMAQ, Donor State Bonus,
Funding Restoration, etc.) and by appropriation year. The letter should
include only the funding for planning activities contained in the
state's or MPO's Planning Work Program. If no FTA program, either
Metropolitan Planning (49 U.S.C. 5303) or Statewide Planning and
Research (49 U.S.C. 5313(b)), is indicated for transfers to CPG, funds
will be credited to the Metropolitan Planning Program.
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 Candace Noonan, Intermodal and
Statewide Planning Division, FTA, at (202) 366-1648 or Anthony Solury,
Office of Planning and Environment, 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 Starts 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.
Section 5309(e)(8)(A) of Title 49 U.S.C. 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 section 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 with 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 PE and
FD is largely consistent with FTA's prior procedures for approving
entrance into preliminary engineering. FTA issued guidance for
evaluating and approving local agency requests for advancing projects
in the New Starts project development process in FY 2000. Another
revision is planned for 2001.
V. Section 5307 Urbanized Area Formula Program
A. Total Urbanized Area Formula Apportionments
The amount made available to the Urbanized Area Formula Program in
the FY 2001 DOT Appropriations Act was $2,942,578,081. After the .22
percent reduction for the government-wide rescission required by the FY
2001 Omnibus Consolidated Appropriations Act and transfer of $1,000,000
to the OIG, $2,935,106,609 is available.
In addition to the $2,935,106,609 available in FY 2001 funds, the
apportionment includes $4,735,805 in deobligated funds, which became
available for reapportionment under 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 reserving ($13,682,722) for oversight, the
amount of FY 2001 funds available for apportionment is $2,921,423,887.
The funds to be reapportioned, described in the previous paragraph, are
then added and increase the total amount apportioned for this program
to $2,926,159,692.
An additional $4,839,280 is made available for the Alaska Railroad
for improvements to its passenger operations, after the .22 percent
reduction required by the FY 2001 Omnibus Consolidated Appropriations
Act. After reserving ($24,196) for oversight, $4,815,084 is available
for the Alaska Railroad.
Table 12 contains the FY 2001 apportionment formula for the Section
5307 Urbanized Area Formula Program.
B. Fiscal Year 2000 Apportionment Adjustments
An adjustment has been made to the apportionment for one urbanized
area because of corrections to data that were used to compute the FY
2000 formula grant apportionment published in the Federal Register of
October 28, 1999 (64 FR 58212). The difference between the corrected
apportionment and the previously published apportionment has been
resolved and the necessary adjustment has been made to the area's
apportionment for FY 2001. The dollar amounts published in this notice
contain the adjustment, and the affected urbanized area has been
advised.
C. Data Used for Urbanized Area Formula Apportionments
Data from the 1999 NTD (49 U.S.C. 5335) Report Year submitted in
late 1999 and early 2000 have been used to calculate the FY 2001
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.
D. Urbanized Area Formula 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 H, 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.
E. 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
[[Page 4907]]
Urbanized Area Formula Program. Table 4 shows 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 of 1990, 42 U.S.C. 12101 et seq.
(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 with the Federal
fiscal year's final quarterly progress 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.
F. Fiscal Year 2001 Operating Assistance
FY 2001 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 restriction on operating
assistance in areas over 200,000 in population. These exceptions have
been addressed and eligible areas identified.
G. Unobligated Funds for Operating Assistance
Unobligated funds for FY 1998, which were eligible for use as
operating assistance, are still available for operating assistance.
However, the operating assistance limitations remain on the unobligated
FY 1998 funds. These funds continue to be available for obligation at
the Federal/local share ratio of 50/50 through FY 2001. If the FY 1998
funds are not obligated before the end of FY 2001 they lapse to the
area and are reapportioned. For unobligated FY 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 through FY 2001.
H. 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.
5305. These designations were formally made in a Federal Register
Notice dated May 18, 1992 (57 FR 21160). 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 FY
2000, no additions to existing TMAs were designated.
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 do so 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 that are currently
included within the boundaries of a larger designated TMA. In either
case, the Governor only has discretion to allocate Governor's
Apportionment funds attributable to areas that are outside of
designated TMA boundaries. To enable FTA and Governors to identify
which urbanized areas under 200,000 in population are included within
the boundaries of an existing TMA, so that they can be identified in
future Federal Register notices, each MPO whose TMA planning boundaries
include these smaller urbanized areas is requested to report such areas
to FTA. This notification should be made in writing to the Associate
Administrator for
[[Page 4908]]
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
population less than 200,000 that are included within the planning
boundaries of designated TMAs:
------------------------------------------------------------------------
Small urbanized area
Designated TMA included in TMA boundaries
------------------------------------------------------------------------
Baltimore, Maryland....................... Annapolis, Maryland.
Dallas-Fort Worth......................... 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).
------------------------------------------------------------------------
I. Urbanized Area Formula Funds Used for Highway Purposes
Urbanized Area Formula funds apportioned to a TMA can be
transferred to FHWA and made 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 FHWA. The MPO
should notify FTA of its intent to program FTA funds for highway
purposes.
J. National Transit Database Internet Reporting
The National Transit Database (NTD) is FTA's national database for
statistics on the transit industry, including safety data. In recent
years, about 600 FTA grantees have used diskettes to report on their
operating, financial and safety statistics to FTA.
Urbanized Area Formula Program funds for areas 200,000 and over in
population are apportioned, in part, using NTD statistics. In addition,
NTD data is summarized and used to report to Congress on the
performance of the transit industry and the associated costs. These
data are also used to assess whether FTA Strategic Plan goals have been
met.
In FY 2001, NTD data may be reported via a new Internet-based
reporting system or by the traditional diskette. Over 300 NTD reporters
have been trained on the new Internet system. Internet reporting should
speed data collection and validation. The FTA encourages each agency to
use the new Internet reporting system.
VI. Section 5311 Nonurbanized Area Formula Program and Section
5311(b) Rural Transit Assistance Program (RTAP)
A. Nonurbanized Area Formula Program
The amount made available for the Nonurbanized Area Formula Program
in the FY 2001 DOT Appropriations Act was $205,461,168. After the .22
percent reduction for the government-wide rescission required by the FY
2001 Omnibus Consolidated Appropriations Act, $205,009,154 is
available.
The FY 2001 Nonurbanized Area Formula apportionments to the states
total $205,485,900 and are displayed in Table 5. Of the $205,009,154
available, ($1,025,046) was reserved for oversight. In addition to the
FY 2001 funding, the funds available for apportionment included
$1,501,792 in deobligated funds from fiscal years prior to FY 2001. 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 FY 2001 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.
FY 2001 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)
Funding made available for the RTAP in the 2001 DOT Appropriations
Act was $5,250,000--the guaranteed funding level under TEA-21. This
amount has been reduced to $5,238,450, after applying the .22 percent
reduction for the government-wide rescission required by the FY 2001
Omnibus Consolidated Appropriations Act.
The FY 2001 RTAP allocations to the states total $5,404,340 and are
also displayed in Table 5. This amount includes $5,238,450 in FY 2001
funds, and $165,890 in prior year deobligated funds, which are
available for reapportionment.
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.
FTA requested and Congress made available an additional $750,000 in
FY 2001 (in the FY 2001 DOT Appropriations Act) to support RTAP
activities carried out at the national level. The national projects
support the states in their use of the formula allocations for training
and technical assistance. These funds are also subject to the .22
percent reduction required by the FY 2001 Omnibus Consolidated
Appropriations Act and will be reduced accordingly.
VII. Section 5310 Elderly and Persons With Disabilities Program
Funds in the amount of $77,410,801 were made available for the
Elderly and Persons with Disabilities Program in the FY 2001 DOT
Appropriations Act. After the .22 percent reduction for the government-
wide rescission required by the FY 2001 Omnibus Consolidated
Appropriations Act, $77,240,497 is available.
A total of $77,560,406 is apportioned to the states for FY 2001 for
the Elderly and Persons with Disabilities Program. In addition to the
FY 2001 funding of $77,240,497, the FY 2001 apportionment includes
$319,909 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
[[Page 4909]]
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. FHWA Surface Transportation Program and Congestion Mitigation
and Air Quality Funds Used for Transit Purposes (Title 23, U.S.C.)
A. Transfer Process
TEA-21 made changes in how to apply the flexibility provisions of
funds transferred from FHWA to FTA. Section 1103(i) of TEA-21, as
amended, provides that when funds are transferred, 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 FY 2000 and subsequent years. The process
for transfers to the FTA formula programs is described below.
Information on the transfer of FHWA funds to FTA planning programs can
be found in section IV.H., above.
Transfer from FHWA to FTA. FHWA funds designated for use in transit
capital projects must result from the metropolitan and state planning
and programming process, and must be included in an approved Statewide
Transportation Improvement Program (STIP) before the funds can be
transferred. The state DOT requests, by letter, the transfer of highway
funds for a transit project to the FHWA Division Office. 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 congressional earmark), 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 DOT and FTA. FHWA then transfers obligation authority and an
equal amount of cash to FTA. All CMAQ or STP, or FHWA earmark funds
will be transferred to one of the three FTA formula capital 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 for which
Title 49 U.S.C., transit program funds will be used and the application
should be prepared in accordance with the requirements and procedures
governing that section. Upon review and approval of the grantee's
application, FTA obligates funds for the project.
The transferred funds are treated as FTA formula funds, although
they retain an identifying code for tracking purposes. The funds may be
used for any purpose eligible under the FTA formula capital program to
which they are transferred. 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. Transferred 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 approved use of the
funds for highway purposes, as contained in the Governor's approved
State Transportation Improvement Program. 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 a reduction is made to the
grantee's formula apportionment and FTA's National Operating Budget in
TEAM (FTA's electronic grants 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) 366-1699 or Richard Meehleib,
FHWA Finance Division at (202) 366-2869.
B. Matching Share for FHWA Transfers
The provisions of Title 23, U.S.C., regarding the non-federal share
apply to Title 23 funds used for transit projects. Thus, FHWA 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 permitted. 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 federal
share, but not to exceed 95 percent, is applicable to transfers used to
fund transit projects 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 FHWA transfers 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 FY 2003, will be based on data used to apportion the
funding in FY 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 FY 2001 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
[[Page 4910]]
the National Transit Database are not included.
For FY 2001, $1,058,400,000 was made available for fixed guideway
modernization in the FY 2001 DOT Appropriations Act, which was the
guaranteed funding level in TEA-21. After applying the .22 percent
reduction for the government-wide rescission required by the FY 2001
Omnibus Consolidated Appropriations Act, $1,056,071,520 is available.
An amount of ($7,920,536) was then deducted for oversight, leaving
$1,048,150,984 available for apportionment to the eligible urbanized
areas. In addition to the FY 2001 funding, $289,758 in deobligated
funds from fiscal years prior to FY 2001 is added and increases the
total amount apportioned to $1,048,440,742 under fixed guideway
modernization. Table 13 contains information regarding the fixed
guideway modernization apportionment formula.
B. New Starts
Amounts made available for New Starts in the FY 2001 DOT
Appropriations Act was $1,058,400,000, which was fully allocated and
represents the guaranteed funding level under TEA-21. After applying
the .22 percent reduction for the government-wide rescission and adding
appropriated funding of $1,000,000 for Southeast Light Rail Extension
project, in Dallas, TX, and $3,000,000 for the Newark-Elizabeth rail
link project in New Jersey, as directed by the FY 2001 Omnibus
Consolidated Appropriations Act, $1,060,062,720 is available.
Of this amount ($7,942,987) was reserved for oversight activities,
leaving $1,052,119,733 available for allocations to projects. Prior
year unobligated funds specified by Congress to be reallocated in the
amount of $26,994,048 are then added and increase the total amount
allocated to $1,079,113,781. The reallocated funds were derived from
unobligated and deobligated balances for the following projects:
Burlington to Gloucester, New Jersey (Pub.L. 103-331), $1,488,750;
Orlando, Florida Lynx rail project, $20,521,470; and Pittsburgh,
Pennsylvania airport busway project (Pub.L. 105-66), $4,983,828. The
final allocation for each New Starts project is shown in Table 8 of
this notice.
Prior year unobligated allocations for New Starts in the amount of
$459,373,575 remain available for obligation in FY 2001. This amount
includes $448,966,118 in fiscal years 1999 and 2000 unobligated
allocations, and $10,407,457 for fiscal years 1997 and 1998 unobligated
allocations that were extended in the Conference Report. These
unobligated amounts are displayed in Table 8A.
Capital Investment Program funds for New Starts projects identified
as having been extended in the Conference Report accompanying the FY
2001 DOT Appropriations Act will lapse September 30, 2001. A list of
the extended project amounts that remain unobligated as of September
30, 2000 is appended to Table 8A for ready reference.
The FY 2001 DOT Appropriations Act directs that a New Starts FY
1999 allocation for the Colorado North Front Range corridor feasibility
study ($496,280) is to be made available for the ``Colorado Eagle
Airport to Avon light rail system feasibility study.'' Also, section
360 of the FY 2001 DOT Appropriations Act provides that a FY 1998
allocation for Jackson, Mississippi Intermodal Corridor is now
available for obligation in this fiscal year for studies to evaluate
and define transportation alternatives, including an intermodal
facility at Jackson International Airport and for related preliminary
engineering, final design or construction.
C. Bus
The FY 2001 DOT Appropriations Act provides $529,200,000, for the
purchase of buses, bus-related equipment and paratransit vehicles, and
for the construction of bus-related facilities. This amount represents
the guaranteed funding level under TEA-21. After the .22 percent
reduction for the government-wide rescission and adding newly
appropriated funding of $500,000 for the Alabama A&M University buses
and bus facilities project, as directed by the FY 2001 Omnibus
Consolidated Appropriations Act, $528,534,660 is available.
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, recent congressional
appropriation actions have directed the formula portion of the Clean
Fuels Program be transferred and available for the Bus category of the
Capital Investment Program. In addition, these funds have been reduced
by .22 percent, in accordance with the government-wide rescission.
Thus, $578,424,660 of funds appropriated in FY 2001 is available for
funding the Bus category of the Capital Investment Program. After
deducting ($4,334,443) for oversight, the amount of FY 2001 funds
available for allocation is $574,090,217.
The Conference Report accompanying the FY 2001 DOT Appropriations
Act allocated most of the FY 2001 Bus funds to specified states or
localities for bus and bus-related projects. FTA will honor those
allocations to the extent that they comply with the statutory
authorization for that program. However, allocations for two projects
authorized to be funded under TEA-21 (the ``Georgetown University fuel
cell bus program'' and the ``Altoona bus testing facility'') were not
included in the Conference Report. Absent language overriding the
authorization, these projects need to be funded with section 5309 Bus
funds. To provide funding for these projects at the levels authorized
under TEA-21, a minor deduction was applied to the other Bus
allocations on a prorated basis. In addition, the suballocations for
the Commonwealth of Virginia specified in the Conference Report
exceeded the statewide allocation amount. Therefore, a prorated
reduction was applied to each statewide suballocation to correct the
difference so that the total for the suballocations equaled the
statewide allocated amount. Table 9 displays the allocation of the FY
2001 Bus funds by state and project.
Prior year unobligated balances for Bus Program allocations in the
amount of $443,354,553 remain available for obligation in FY 2001. This
includes $436,416,460 in fiscal years 1999 and 2000 unobligated
allocations, and $6,938,093 for fiscal years 1997 and 1998 unobligated
allocations that were extended in the Conference Report. These
unobligated amounts are displayed in Table 9A.
Capital Investment Program funds for Bus projects identified as
having been extended in the Conference Report accompanying the FY 2001
DOT Appropriations Act will lapse September 30, 2001. A list of the
extended project amounts that remain unobligated as of September 30,
2000 is appended to Table 9A for ready reference.
In addition, the Conference Report indicates that the following
revisions to projects or the reprogramming of funds should be made
under the bus category:
(1) Two FY 2000 bus allocations, Alabama, Gees Bend Ferry
facilities, Wilcox County ($3,743,808) and Alabama, Jefferson State
Community College/University of Montevallo pedestrian walkway
($198,503) are made available to the State of Alabama for buses and
bus-related facilities;
(2) remaining balances of $800,000 from FY 1999 and FY 2000
allocations to Fayette County, PA are made available for an intermodal
parking facility in Cambria County, PA;
[[Page 4911]]
(3) FY 2000 allocation for Michigan statewide buses is expanded to
include ``bus-related equipment and bus facilities;''
(4) up to $560,000 of funds allocated for the transportation depot
and plaza project in Hot Springs, Arkansas in FY 2000, may be available
for buses and bus facilities; and
(5) fiscal year 1999 and 2000 allocations for ``Intermodal
Facilities'' for Washington County, and Westmoreland County, PA shall
include ``bus and bus facilities.''
X. Job Access and Reverse Commute Program
The FY 2001 DOT Appropriations Act provides $100 million for the
Job Access and Reverse Commute Program, which is the guaranteed funding
level under TEA-21. After the .22 percent reduction for the government-
wide rescission required by the FY 2001 Omnibus Consolidated
Appropriations Act, this amount has been reduced to $99,780,000. Of
this amount, $75,079,461 has been allocated to 67 states and localities
specified in the FY 2001 Conference report. These allocations are
listed in Table 10. FTA will honor those allocated projects that meet
the statutory intent of the program.
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
that 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 up to $10,000,000 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 program is making the most efficient
use of existing public, nonprofit and private transportation service
providers.
In FY 2000, $49,570,000 was allocated to projects specified in the
FY 2000 Conference report. FTA undertook a national solicitation of
applications for the remaining funds under this program and conducted a
competitive process to select applications. As a result, FTA selected
91 competitive proposals for a total of $25.69 million, including
projects in 44 states and the District of Columbia.
XI. Over-the-Road Bus Accessibility Program
The amount made available for the Over-the-Road Bus Accessibility
(OTRB) Program in the FY 2001 DOT Appropriations Act was $4,700,000,
which is the guaranteed funding level under TEA-21. After applying the
.22 percent reduction for the government-wide rescission required by
the FY 2001 Omnibus Consolidated Appropriations Act, this amount has
been reduced to $4,689,660. Of this amount, $2,993,400 is available to
providers of intercity fixed-route service, and $1,696,260 is available
to other providers of over-the-road bus services, including local
fixed-route service, commuter service, and charter and tour service.
The OTRB program authorizes FTA to make grants to operators of
over-the-road buses to help finance the incremental capital and
training costs of complying with the DOT over-the-road bus
accessibility final rule, published in a Federal Register Notice on
September 24, 1998. Funds will be provided at 90 percent Federal share.
FTA conducts a national solicitation of applications and grantees are
selected on a competitive basis.
In FY 2000, a total of $2 million was available to intercity fixed-
route providers and $1.7 million was available to all other providers.
FTA selected 47 applicants from among the 57 applications submitted for
funding incremental capital and training costs of complying with DOT's
OTRB Accessibility requirements.
A separate Federal Register Notice providing program guidance and
application procedures for FY 2001 will be issued.
XII. Clean Fuels Formula Program
TEA-21 established the Clean Fuels Formula Grant Program under
section 5308 of Title 49 U.S.C., 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) are to apply for formula funds to acquire
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 Urbanized Area Formula Program in
each fiscal year of TEA-21.
However, congressional appropriation actions in this fiscal year as
well as in fiscal years 1999 and 2000, have provided no funds for this
program.
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 FY 2001. Any of these apportioned funds
unobligated at the close of business on September 30, 2004 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 FY 2001. Any such funds remaining unobligated at
the close of business on September 30, 2003, 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,
2001. 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 FY 2001 DOT Appropriations Act
includes a provision requiring that FY 2001 New Starts and Bus funds
not obligated for their original purpose as of September 30, 2003,
shall be made available for other projects under 49 U.S.C. 5309.
[[Page 4912]]
Capital Investment Program funds for New Starts and Bus projects
identified as having been extended in the Conference Report
accompanying the FY 2001 DOT Appropriations Act will lapse September
30, 2001.
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 FY 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 that 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.
(7) The Financial Status Report, in TEAM, must indicate the use of
pre-award authority.
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
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 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. For planning
projects, the project must be included in a locally approved Planning
Work Program that has been coordinated with the State. 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. Pre-Award Authority for New Starts 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 request for entry into
preliminary engineering and the request
[[Page 4913]]
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 subsequent approval to enter final design,
FTA will automatically extend pre-award authority to that phase of
project development. The pre-award authority 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 provision was first implemented in FY 2000 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 letters of no prejudice
requested 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 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 that 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 capital 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. For
planning projects, the project must be included in a locally approved
Planning Work Program that has been coordinated with the State. 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 FY
2001 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.
FTA circulars are listed in the Circulars area of the Statutes, Regulations
& Congressional Affairs section. Other guidance
[[Page 4914]]
of interest to Grantees can be found in the Grant Recipients section.
Grantees should check the FTA website frequently to keep up to date
on new postings.
XVIII. FTA Fiscal Year 2001 Annual List of Certifications and
Assurances
The ``Fiscal Year 2001 Annual List of Certifications and
Assurances'' is published in conjunction with this notice. It appears
as a separate Part of the Federal Register on the same date whenever
possible. The FY 2001 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 2001 Annual List of Certifications and
Assurances'' is accessible on the Internet.
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
Accessibility programs as well as to a few grantees that have not
successfully connected to or accessed TEAM.
With FY 2001, FTA is establishing a 90-day goal for processing and
approving all capital, planning and operating grants, including the
section 5307 Urbanized Area Formula Program, section 5309 Fixed
Guideway Modernization Program, the New Starts and Bus Programs, the
section 5310 Elderly and Persons with Disabilities Program, the section
5311 Nonurbanized Area Formula Program, the Job Access and Reverse
Commute Program, the Over-the-Road Bus Accessibility Program, section
5303 Metropolitan Planning Program, and section 5313(b) State Planning
and Research Program. The 90-day processing time begins with the
receipt of a complete application by the Regional Office. In order for
an application to be considered complete, it must meet the following
requirements: all projects must be contained in an approved STIP, all
environmental findings must be made by FTA, there must be an adequate
project description, local share must be secure, all required civil
rights submissions must have been submitted, and certifications and
assurances must be properly submitted. Once an application is complete,
the FTA Regional Office will assign a project number and submit the
application to the Department of Labor for a certification under
section 5333(b). The FTA circulars referenced below contain more
information regarding application contents and complete applications.
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 website.
Applications for grants containing transferred FHWA funds (STP,
CMAQ, and others) 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 transferred funds,
consistent with the Statewide Transportation Improvement Program
(STIP).
Issued on: January 9, 2001.
Nuria I. Fernandez,
Acting Administrator.
BILLING CODE 4910-57-P
[[Page 4915]]
Table 1 (revised)
[[Page 4916]]
Table 2 (revised)
[[Page 4917]]
Table 3 (revised)
[[Page 4918]]
Table 4 (revised)
[[Page 4919]]
Table 4 (revised)
[[Page 4920]]
Table 4 (revised)
[[Page 4921]]
Table 4 (revised)
[[Page 4922]]
Table 4 (revised)
[[Page 4923]]
Table 4 (revised)
[[Page 4924]]
Table 4 (revised)
[[Page 4925]]
Table 4 (revised)
[[Page 4926]]
Table 4 (revised)
[[Page 4927]]
Table 4 (revised)
[[Page 4928]]
Table 4 (revised)
[[Page 4929]]
Table 5 (revised)
[[Page 4930]]
Table 6 (revised)
[[Page 4931]]
Table 7 (revised)
[[Page 4932]]
Table 8 (revised)
[[Page 4933]]
Table 8 (revised)
[[Page 4934]]
Table 8A (revised)
[[Page 4935]]
Table 8A (revised)
[[Page 4936]]
Table 9 (revised)
[[Page 4937]]
Table 9 (revised)
[[Page 4938]]
Table 9 (revised)
[[Page 4939]]
Table 9 (revised)
[[Page 4940]]
Table 9 (revised)
[[Page 4941]]
Table 9 (revised)
[[Page 4942]]
Table 9 (revised)
[[Page 4943]]
Table 9A (revised)
[[Page 4944]]
Table 9A (revised)
[[Page 4945]]
Table 9A (revised)
[[Page 4946]]
Table 9A (revised)
[[Page 4947]]
Table 9A (revised)
[[Page 4948]]
Table 9A (revised)
[[Page 4949]]
Table 9A (revised)
[[Page 4950]]
Table 10 (revised)
[[Page 4951]]
Table 10 (revised)
[[Page 4952]]
Table 11 (revised)
[[Page 4953]]
Table 11A (revised)
[[Page 4954]]
Table 12 (revised)
[[Page 4955]]
Table 13
[[Page 4956]]
Table 14 (revised)
[FR Doc. 01-1082 Filed 1-17-01; 8:45 am]
BILLING CODE 4910-57-C
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