[Federal Register Volume 67, Number 1 (Wednesday, January 2, 2002)]
[Notices]
[Pages 126-184]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-32117]
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Part II
Department of Transportation
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Federal Transit Administration
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FTA Fiscal Year 2002 Apportionments, Allocations and Program
Information; Notice
Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 /
Notices
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2002 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 2002 (FY 2002 DOT Appropriations
Act) (Pub. L. 107-87) was signed into law by President Bush on December
18, 2001, and provides FY 2002 appropriations for the Federal Transit
Administration (FTA) transit assistance programs. Based upon this Act,
the Transportation Equity Act for the 21st Century (TEA-21), and 49
U.S.C. Chapter 53, this notice contains a comprehensive list of
apportionments and allocations for transit programs.
In addition, prior year unobligated allocations for the section
5309 New Starts and Bus Programs are listed. The FTA policy regarding
pre-award authority to incur project costs, Letter of No Prejudice
Policy, and other pertinent program information are provided.
FOR FURTHER INFORMATION CONTACT: The appropriate FTA Regional
Administrator for grant-specific information and issues; Mary Martha
Churchman, 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, the Capital Investment Program, or the Job
Access and Reverse Commute Program; or Paul L. Verchinski, Chief,
Statewide and Intermodal Planning Division, (202) 366-1626, for general
information concerning the Metropolitan Planning Program and the
Statewide Planning and Research Program; or Henry Nejako, Program
Management Officer, Office of Research, Demonstration and Innovation,
(202) 366-3765, for general information about the National Planning and
Research Program.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Overview
A. Fiscal Year 2002 Appropriations
B. TEA-21 Authorized Program Levels
C. Project Management Oversight
D. VIII Paralympiad for the Disabled
III. Fiscal Year 2002 Focus Areas
A. Transit Safety and Security
B. 2000 Census
C. TEAM-Web
D. New Starts Rule and Workshops
E. Intelligent Transportation Systems
F. Environmental Streamlining
IV. Metropolitan Planning Program and Statewide Planning and
Research Program
A. Metropolitan Planning Program
B. Statewide Planning and Research Program
C. Data Used for Metropolitan Planning and Statewide Planning
and Research Apportionments
D. FHWA Metropolitan Planning Program
E. Local Match Waiver for Specified Planning Activities
F. Planning Emphasis Areas for Fiscal Year 2002
G. Federal Planning Certification Reviews
H. Consolidated Planning Grants
I. New Starts Approval to Enter Preliminary Engineering and
Final Design
V. Urbanized Area Formula Program
A. Total Urbanized Area Formula Apportionments
B. Fiscal Year 2001 Apportionment Adjustments
C. Data Used for Urbanized Area Formula Apportionments
D. Urbanized Area Formula Apportionments to Governors
E. Transit Enhancements
F. Fiscal Year 2002 Operating Assistance
G. Designated Transportation Management Areas
H. Urbanized Area Formula Funds Used for Highway Purposes
I. National Transit Database Internet Reporting and Redesign
Effort
VI. Nonurbanized Area Formula Program and Rural Transit Assistance
Program (RTAP)
A. Nonurbanized Area Formula Program
B. Rural Transit Assistance Program (RTAP)
VII. 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.
104)
A. Transfer Process
B. Matching Share for FHWA Transfers
IX. Capital Investment Program
A. Fixed Guideway Modernization
B. New Starts
C. Bus
X. Job Access and Reverse Commute Program
XI. Over-the-Road Bus Accessibility Program
XII. Clean Fuels Formula Program
XIII.National Planning and Reserach Program
XIV. Unit Values of Data for Urbanized Area Formula Program,
Nonurbanized Area Formula Program, anf Fixed Guideway Modernization
XV. Period of Availability of Funds
XVI. 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
1. Preliminary Engineering and Final Design
2. Acquisition Activities
3. National Environmental Policy Act (NEPA) Activities
XVII. Letters of No Prejudice (LONP) Policy
A. Policy
B. Conditions
C. Environmental, Planning, and Other Federal Requirements
D. Request for LONP
XVIII. FTA Homepage on the Internet
XIX. FTA Fiscal Tear 2002 Annual List of Certifications and
Assurances
XX. Grant Application Procedures
Tables
1. FTA FY 2002 Appropriations for Grant Programs
2. FTA FY 2002 Metropolitan Planning Program and Statewide Planning
and Research Program Apportionments
3. FHWA FY 2002 Estimated Metropolitan Planning (PL) Program
Apportionments
4. FTA FY 2002 Urbanized Area Formula Apportionments
5. FTA FY 2002 Nonurbanized Area Formula Apportionments, and Rural
Transit Assistance Program (RTAP) Allocations
6. FTA FY 2002 Elderly and Persons with Disabilities Apportionments
7. FTA FY 2002 Fixed Guideway Modernization Apportionments
8. FTA FY 2002 New Starts Allocations
8A. FTA Prior Year Unobligated New Starts Allocations
9. FTA FY 2002 Bus Allocations
9A. FTA Prior Year Unobligated Bus Allocations
10. FTA FY 2002 Job Access and Reverse Commute Program Allocations
11. FTA FY 2002 National Planning and Research Program Allocations
12. FTA TEA-21 Authorization Levels (Guaranteed Funding Only)
12A. FTA TEA-21 Authorization Levels (Guaranteed and Non-Guaranteed)
Funding)
13. FTA FY 2002 Apportionment Formula for Urbanized Area Formula
Program
14. FTA FY 1998-2003 Fixed Guideway Modernization Program
Apportionment Formula
15. FTA FY 2002 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. Statewide Planning and Research
funds are apportioned to States by statutory formula to provide funds
for their Statewide 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
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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 identified in the FY 2002 DOT
Appropriations Act and Bus Allocations identified in the Conference
Report accompanying the Act are included in this notice. FTA will honor
those designations included in report language to the extent that the
projects meet the statutory intent of the specific program. Job Access
and Reverse Commute (JARC) funds are awarded on a competitive basis.
JARC projects identified in the FY 2002 DOT Appropriations Act are
included in this notice. Over-the-Road Bus Accessibility Program
projects are also competitively selected.
II. Overview
A. Fiscal Year 2002 Appropriations
The FY 2002 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 $7.737 billion for the FY 2002 FTA program.
Of this amount, $6.747 billion was guaranteed under the discretionary
spending cap and made available in the FY 2002 DOT Appropriations Act.
See Table 12 for fiscal years 1998-2003 guaranteed funding levels by
program and Table 12A for the total of guaranteed and non-guaranteed
levels by program.
Information regarding estimates of the funding levels for FY 2003
by State and urbanized area is available on the FTA Web site. The FY
2003 numbers are intended for planning purposes only but may be used
for programming Metropolitan Transportation Improvement Programs and
Statewide Transportation Improvement Programs. Actual apportionment
figures for FY 2002 are contained in this notice, while apportionment
figures for FY 1998-FY 2001 can be found in the appropriate FTA fiscal
year apportionment notice, which is available on the FTA Web site.
C. Project Management Oversight
Section 5327 of Title 49 U.S.C., permits the Secretary of
Transportation to use up to 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.
Language in the 2002 DOT Appropriations Act increases the amount made
available under the Capital Investment Program for oversight activities
to one percent.
D. VIII Paralympiad for the Disabled
The FY 2002 DOT Appropriations Act made $5 million available from
the formula grants program for the VIII Paralympaid for the Disabled,
to be held in Salt Lake City, Utah. The funds shall be available for
grants for the costs of planning, delivery and temporary use of transit
vehicles for special transportation needs and construction of temporary
transportation facilities for the VIII Paralympiad for the Disabled.
III. Fiscal Year 2002 Focus Areas
A. Transit Safety and Security
Public transit agencies throughout the nation have stepped up
security efforts following the terrorist events of September 2001. FTA
has launched an FY 2002 effort to assist transit providers to address
security issues and has refocused funding to specific security-related
activities. Initially, FTA will deploy security assessment teams to the
largest transit systems in the country. These assessment findings and
best practices will enable the FTA to provide extended assistance to
all transit agencies to evaluate and update their emergency response
plans. FTA will provide technical and funding assistance to transit
agencies for full-scale emergency response drills based on their
updated response plans and vulnerability assessments. Free regional
workshops will offer security and emergency response training to local
transit employees.
FTA has identified $2 million of FY 2002 research funding to
undertake security-related transit research under the auspices of the
Transit Cooperative Research Program of the National Academy of
Sciences.
Also, recipients of section 5307 formula funding are reminded that
at least one percent of the amount a grantee receives each fiscal year
must be expended on ``mass transportation security projects'' unless
the grantee certifies, and the Secretary of Transportation accepts,
that the expenditure for security projects is unnecessary. It is
unlikely that FTA will waive this requirement.
Another potential source of funding for transit security
enhancements is through the FHWA transfer of flexible formula funds, as
provided in 23 U.S.C. 104, which, in conjunction with Title 23 U.S.C.
120, provides transit agencies a 100 percent Federal share for safety
projects (subject to a nationwide 10 percent program limitation).
B. 2000 Census
The Census Bureau identifies and classifies urban and rural
population and delineates urbanized areas after each decennial census.
The FTA uses urbanized and rural designations and statistical data for
a number of purposes, including the apportionment of funds for its
formula based programs.
The Census Bureau had not completed the process of delineating
urbanized and rural areas for the 2000 Census at the time FTA
apportioned FY 2002 funds. Therefore, the 1990 Census data was used for
the FY 2002 apportionments contained in this notice.
It is anticipated that a number of areas will change categories
under the 2000 Census, as a result of growth in population and/or the
application of new criteria that will be used to define/designate
urbanized and rural areas. Once FTA receives the 2000 Census data, we
will post, on the FTA Website, estimated FY 2003 apportionments for the
formula programs.
For further information contact Ken Johnson, FTA Office of Resource
Management and State Programs, at (202) 366-2053.
C. TEAM-Web
The Transportation Electronic Award Management system (TEAM) is
FTA's electronic grant making and record keeping system. On October 1,
2001, FTA released TEAM-Web, a new Internet version of the TEAM system.
TEAM-Web permits grantees to submit their grant information via the
Internet and provides for continued and enhanced submission of grant
information electronically.
TEAM-Web provides the recipients of financial assistance online
access to the FTA information resources that support their mission
critical operations,
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including real time access to detailed disbursements by project,
balances in formula budget accounts, and the status of applications in
the award process. The new system also has an email notification
process that will ensure accountability when processing applications
through the FTA Offices and the Department of Labor. All current user
information has been migrated to the Web version of TEAM. FTA has
conducted training sessions on how to navigate TEAM-Web in its
Headquarters and Regional Offices. For information on future training
sessions, contact the appropriate FTA Regional Office.
To access TEAM-Web, log onto the Internet at http://FTATEAMWeb.fta.dot.gov. For additional information, contact Glenn
Bottoms, Chief, Transit Data and Support Division, (202) 366-1632.
D. New Starts Rule and Workshops
TEA-21 requires the FTA to issue regulations on the manner in which
candidate projects for capital investment grants or loans for new fixed
guideway systems and extensions to existing systems (New Starts) will
be evaluated and rated. The Major Capital Investment Projects Final
Rule (49 CFR Part 611), referred to as the New Starts Final Rule, was
published in the Federal Register on December 7, 2000, and became
effective on April 6, 2001.
Electronic access to this Final Rule and related documents is
available through the FTA Web site (http://www.fta.dot.gov), under the
New Starts section. Paper copies of this Final Rule and other
documentation can be obtained by contacting FTA at one of our Regional
Offices.
As in the previous fiscal year, FTA will conduct outreach sessions
and workshops in FY 2002 to introduce the Final Rule and to continue
longstanding outreach efforts on the New Starts program. Information on
scheduled workshops can be obtained by contacting any FTA Regional
Office, as well as the FTA Office of Planning and the FTA Office of
Budget and Policy.
E. 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. The FTA National ITS Architecture
Consistency Policy for Transit Projects implements the TEA-21
requirements and went into effect on April 8, 2001. The Policy is
available on the FTA Web site, and guidance material is available on
the Departmental ITS Web site at www.its.dot.gov. These standards and
requirements apply to FY 2002 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 FTA
Office of Research, Demonstration and Innovation, at (202) 366-4991.
F. Environmental Streamlining
TEA-21 directs DOT to expedite the environmental review process for
proposed highway and transit projects. With this apportionments notice,
FTA is introducing two measures concerning proposed major transit
investments (New Starts) that will support timely delivery of projects,
while maintaining and enhancing protection of the human and natural
environment.
First, FTA is extending automatic pre-award authority to proposed
New Starts projects for costs incurred to acquire real property and
real property rights upon the completion of the National Environmental
Policy Act (NEPA) review of the proposed project. NEPA review is
complete when FTA signs an environmental Record of Decision (ROD) or
Finding of No Significant Impact (FONSI) or makes a Categorical
Exclusion (CE) determination. This measure will enable grant applicants
to begin earlier to assist persons and businesses that will be
displaced by the project in a manner consistent with commitments made
as part of the NEPA review and in compliance with the Uniform
Relocation Assistance and Real Property Acquisition Policies Act (URA).
It will also help grant applicant to initiate the lengthy process of
acquiring property earlier.
Second, FTA will extend automatic pre-award authority to proposed
New Starts projects for costs incurred to carry out the NEPA review
process and to prepare an Environmental Impact Statement (EIS),
Environmental Assessment (EA), Categorical Exclusion (CE), or other
environmental documents for that project upon the inclusion of that
project in a federally approved State Transportation Improvement
Program (STIP). FTA had previously given pre-award authority for use of
formula funds. Now New Starts funds may serve as a funding source for
these New Starts project NEPA activities. This measure will eliminate
unnecessary delays in starting up the conceptual engineering, public
involvement process, and interagency coordination for the project.
For additional information, contact Joseph Ossi, FTA Office of
Planning, (202) 366-1613.
IV. Metropolitan Planning Program and State Planning and Research
Program
A. Metropolitan Planning Program
Funding made available for the Metropolitan Planning Program (49
U.S.C. 5303) in the FY 2002 DOT Appropriations Act is $55,422,400,
which is the guaranteed funding level under TEA-21. The FY 2002
Metropolitan Planning Program apportionment to States for MPOs' use in
urbanized areas totals $55,662,971. This amount includes $55,422,400 in
FY 2002 funds, and $240,571 in prior year deobligated funds available
for reapportionment under this program. A basic allocation of 80
percent of this amount ($44,530,377) 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 ($11,132,594) 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.
By April 2002, the Census Bureau is expected to make available
detailed results of the 2000 Census and designate new urbanized areas.
When the Census Bureau issues its population data, FTA will request
that States reaffirm these in-State formulas. A reaffirmation or new
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in-State formula should be submitted to the FTA Regional Office in time
to receive approval before October 1, 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 at http://www.fta.dot.gov/office/planning/gaf.htm. FTA will post revised fiscal
year 2003 guaranteed and authorized funding levels based on the 2000
Census for each State at this same Web site address, when 2000 Census
data becomes available. 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
(49 U.S.C. 5313(b)) in the FY 2002 DOT Appropriations Act is
$11,577,600, the guaranteed funding level under TEA-21.
The FY 2002 apportionment for the State Planning and Research
Program (SPRP) totals $11,698,648. This amount includes $11,577,600 in
FY 2002 funds, and $121,048 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
For informational purposes, the estimated FY 2002 apportionments
for the FHWA Metropolitan Planning Program (PL) are contained in Table
3. Estimated apportionments for the FY 2002 FHWA State Planning and
Research Program (SPRP) were not available at the time of publication
of this notice.
E. Local Match Waiver for Specified Planning Activities
Job Access and Reverse Commute 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 and reverse commute planning activities
undertaken with both FTA and FHWA 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 2002
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. To
support this, FTA and FHWA will prepare an inventory of current
practice, guidance and training in those areas. Opportunities for
exchanging ideas and experiences on innovative practices in these topic
areas also will be provided throughout the year. For FY 2002, five key
planning themes have been identified: (1) Consideration of safety and
security in the transportation planning process; (2) integration of
planning and environmental processes; (3) consideration of management
and operations within planning processes; (4) consultation with local
officials; and (5) enhancing the technical capacity of planning
processes.
1. Safety and Security in the Transportation Planning Process
TEA-21 emphasizes the safety and security of transportation systems
as a national priority and calls for transportation projects and
strategies that ``increase the safety and security of transportation
systems.'' This entails integration of safety and facility security
into all stages of the transportation planning process.
FTA and FHWA are working together to advance the state-of-practice
in addressing safety and security in the metropolitan and statewide
planning process through workshops and case studies. A report prepared
by the Transportation Research Board (TRB), Transportation Research
Circular E-C02, ``Safety-Conscious Planning,'' January 2001, describes
the issues and recommendations identified at a Safety in Planning
workshop held earlier. The report is available on the TRB Web site at
www.nas.edu/trb. Also, the Institute of Transportation Engineers (ITE)
has prepared a discussion paper on the topic, entitled ``The
Development of the Safer Network Transportation Planning Process,''
which is posted to their Web site at [www.ite.org.]
2. Integrated Planning and Environmental Processes
TEA-21 mandates the elimination of the Major Investment Study as a
stand-alone requirement, while integrating the concept within the
planning and project development/environmental review processes. A
training course entitled ``Linking Planning and NEPA'' is being
developed and will be made available at the National Transit Institute
Web site--[www.ntionline.com].
3. Consideration of Management and Operations Within Planning Processes
TEA-21 challenges FHWA and FTA to move beyond traditional capital
programs for improving the movement of people and goods--focusing on
the need to improve the way transportation systems are managed and
operated. FTA and FHWA have convened a working group and have
commissioned discussion papers on the topic. This information is
available at http://plan2op.fhwa.dot.gov.
4. Consultation With Local Officials
Consultation with local officials is a vital yet sensitive issue
within the transportation planning process. Within metropolitan areas,
the MPO provides the venue and policy context for this. Outside of
metropolitan areas, FHWA and FTA are working to facilitate the most
effective consultation processes within each State. FTA and FHWA will
continue to ensure effective consultation between States and local
officials in non-metropolitan areas in reviewing statewide planning
and, specifically, in making findings in support of FTA and FHWA STIP
approvals.
5. Enhancing the Technical Capacity of Planning Processes
Reliable information on current and projected usage and performance
of transportation systems is critical to the ability of planning
processes to supply credible information to decision-makers
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to support preparation of plans and programs that respond to their
localities' unique needs and policy issues. To ensure the reliability
of usage and performance data, as well as the responsiveness of policy
forecasting tools, an evaluation is needed of the quality of
information provided by the technical tools, data sources, forecasting
models, as well as the expertise of staff to ensure its adequacy to
support decision-making. And if this support is found to be lacking,
the responsible agencies within metropolitan and statewide planning
processes are encouraged to devote appropriate resources to enhancing
and maintaining their technical capacity.
The metropolitan and statewide transportation planning processes
have become critical tools for responding to increasingly complex
issues at the State and local levels. Many of these issues are
encompassed in previously listed planning emphasis areas (e.g.,
integrated planning and environmental processes, management and
operations, analytical tools and methods) and include much more. It is
essential that FTA and FHWA provide technical assistance, training, and
information to our customers to further enhance the skills and
capabilities they utilize to conduct effective transportation planning
processes. The FTA and FHWA have created the Metropolitan Capacity
Building (MCB) Program, and the Statewide and Rural Capacity Building
Programs as tools to disseminate and coordinate information, training,
and foster a dialogue for the exchange of ideas. More information on
the MCB program can be found at www.mcb.fhwa.dot.gov.
For further information on these PEAs, contact Ken Lord, FTA
Metropolitan Planning Division, (202) 366-2836, or Shana Baker, FHWA
Office of Metropolitan Planning and Programs, (202) 366-1862.
G. Federal Planning Certification Reviews
The Intermodal Surface Transportation Efficiency Act (ISTEA)
initiated, and TEA-21 continued, the requirement for the 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 2002 has been
prepared and is posted on the FTA Web site at http://www.fta.dot.gov/library/planning/cert2002.htm.
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
Since FY 1997, FTA and FHWA have offered States the option of
participating in a pilot Consolidated Planning Grant (CPG) program.
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.
With the fund transfer provisions of TEA-21, which were applied to
the CPG beginning in FY 2000, all funds (more than 35 post-FY 1999 FHWA
sources are eligible for transfer) can be accessed by indicating only
whether the funds are for State or metropolitan planning. This
streamlined fund drawdown process eliminates the need to monitor
individual fund sources, if several have been used, and ensures that
the oldest funds will always be used first.
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, three western
States participating in the pilot (California, Idaho, and Wyoming) are
using the FHWA PL match rate for FTA's Metropolitan Planning Program.
Pre-award authority has been granted to FTA's planning programs for
the life of TEA-21. 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
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 a proposed New Starts project may advance into
preliminary engineering or final design only if FTA finds that the
project meets the statutory criteria specified in Sec. 5309(e), and
that there is a reasonable likelihood that it will continue to do so.
In making such findings, FTA evaluates and rates proposed New Starts
projects as ``highly
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recommended,'' ``recommended,'' or ``not recommended,'' based on the
results of alternatives analysis, the statutory criteria for project
justification, and the degree of local financial commitment. FTA has
established a set of decision rules for approving entrance into
preliminary engineering and final design at 49 CFR part 611. 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
FTA's evaluation under the statutory 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 statutory
New Starts project evaluation criteria that serves as the basis for
FTA's approval to advance to preliminary engineering and final design
for such projects. Proposed New Starts projects seeking less than $25
million in funding from the Sec. 5309 New Starts program must still
request approval to enter the next stage of development, and must
fulfill all appropriate planning, environmental, and project management
requirements. Nonetheless, FTA encourages sponsors of projects they
believe to be exempt to submit the full range of data to FTA for
evaluation and rating. This will provide FTA with the means necessary
to make funding recommendations for such projects to Congress, and will
protect project sponsors in the event that further project development
activities reveal the need for additional Sec. 5309 New Starts funding
beyond $25 million.
V. Urbanized Area Formula Program
A. Total Urbanized Area Formula Apportionments
The amount made available to the Urbanized Area Formula Program (49
U.S.C. 5307) in the FY 2002 DOT Appropriations Act is $3,216,040,006.
In addition, $7,092,285 in deobligated funds became available for
reapportionment under the Urbanized Area Formula Program as provided by
49 U.S.C. 5336(i).
After reserving $16,080,200 for oversight, the amount of FY 2002
funds available for apportionment is $3,199,959,806. The funds to be
reapportioned, described in the previous paragraph, are then added and
increase the total amount apportioned for this program to
$3,207,052,091. Table 4 displays the amounts apportioned under the
Urbanized Area Formula Program. Table 13 contains the apportionment
formula for the Urbanized Area Formula Program.
An additional $4,849,950 is made available for the Alaska Railroad
for improvements to its passenger operations. After reserving $24,250
for oversight, $4,825,700 is available for the Alaska Railroad.
B. Fiscal Year 2001 Apportionment Adjustments
Adjustments were made to the apportionment of two urbanized areas
because of corrections to data used to compute the FY 2001 Urbanized
Area Formula Program apportionments, published in the Federal Register
of January 18, 2001 (66 FR 4918). The differences between the
previously published apportionment and the corrected apportionment for
these areas have been resolved and the necessary adjustment made to the
areas' apportionment for FY 2002. The amounts published in this notice
contain the adjustments and the affected urbanized areas have been
advised.
C. Data Used for Urbanized Area Formula Apportionments
Data from the 2000 National Transit Database (NTD) Report Year (49
U.S.C. 5335) submitted in late 2000 and early 2001 were used to
calculate the FY 2002 Urbanized Area Formula apportionments for
urbanized areas 200,000 in population and over. Population and
population density data are also used in calculating apportionments
under the Urbanized Area Formula Program.
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 urbanized area 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 in
Section G below, 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
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. 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.
Eligible enhancements include the following: (1) Historic preservation,
rehabilitation, and operation of historic mass transportation
buildings, structures, and facilities (including historic bus and
railroad facilities); (2) bus shelters; (3) landscaping and other
scenic beautification, including tables, benches, trash receptacles,
and street lights; (4) public art; (5) pedestrian access and walkways;
(6) bicycle access, including bicycle storage facilities and installing
equipment for transporting bicycles on mass transportation vehicles;
(7) transit connections to parks within the recipient's transit service
area; (8) signage; and (9) enhanced access for persons with
disabilities to mass transportation.
It is 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 funding level.
The recipient must submit a report to the appropriate FTA Regional
Office listing the projects or elements of projects carried out with
those funds during the previous fiscal year and the amount awarded. The
report must be submitted with the Federal fiscal year's final quarterly
progress report in TEAM-Web. The report should include the following
elements: (a) Grantee name, (b) 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)
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amount awarded by FTA for the enhancement.
F. Fiscal Year 2002 Operating Assistance
FY 2002 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 provides two exceptions to the restriction on operating
assistance in areas over 200,000 in population. These exceptions have
been addressed and eligible areas previously notified.
G. Designated Transportation Management Areas
All urbanized areas over 200,000 in population have been designated
as Transportation Management Areas (TMAs), in accordance with 49 U.S.C.
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
2001, 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, i.e., the
Governor only has discretion to allocate Governor's Apportionment funds
attributable to areas that are outside of designated TMA boundaries.
If any additional small urbanized areas--within the boundaries of a
TMA--are identified, notification should be made in writing to the
Associate Administrator for Program Management, Federal Transit
Administration, 400 Seventh Street, SW., Washington, DC 20590, no later
than July 1 of each fiscal year. FTA's most recent list of urbanized
areas with population less than 200,000 that are included within the
planning boundaries of designated TMAs, is contained in the ``FTA
Fiscal Year 2001 Apportionment, Allocations and Program Information;
Notice'' which, can be found on the FTA Web site.
H. 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 use FTA funds for highway purposes,
as prescribed in section VIII.A., below.
I. National Transit Database (NTD) Internet Reporting and Redesign
Effort
The NTD is the FTA database for nation-wide statistics on the
transit industry, including safety data. Prior to FY 2001, FTA
reporters utilized diskettes to submit statistics on their operating,
financial and safety activities to FTA. Last year, reporters had the
option of using the diskette system or the FTA new Internet reporting
system. Beginning with FY 2002, all reports will need to be submitted
via the Internet. Diskettes will no longer be accepted. The FTA NTD
reporting seminars, held six times annually across the country, have
concentrated on the Internet reporting system. The changeover to
Internet reporting has received favorable comments and has resulted in
accelerated data collection and validation.
NTD statistics are utilized, in part, to apportion Urbanized Area
Formula Program funds for areas over 200,000 in population. In
addition, NTD data is summarized and used to report to Congress on the
performance of the transit industry and associated costs. These data
are used to assist in assessing whether annual FTA Strategic Plan goals
are achieved.
The overall effort to modernize and redesign the NTD--as detailed
in the FTA May 31, 2001 report to Congress entitled ``Review of the
National Transit Database''--continues and is now in the programming
phase. Plans call for reporting via the new NTD in the Fall of 2002
with training for NTD reporters to begin in the winter of 2001. The
monthly/quarterly reporting of summary safety, security, and extent of
service data, as well as immediate reporting of major safety and
security incidents, will be implemented in calendar year 2002. This
reporting has been structured to exempt smaller transit properties
(under 100 vehicles in maximum service) from the monthly reporting
requirement. An increased number of NTD seminars are scheduled to
assist transit properties in reporting. See the NTD Web site for
further information at www.ntdprogram.com.
VI. Nonurbanized Area Formula Program and Rural Transit Assistance
Program (RTAP)
A. Nonurbanized Area Formula Program
The amount made available for the Nonurbanized Area Formula Program
(49 U.S.C. 5311) in the FY 2002 DOT Appropriations Act is $224,555,243.
The FY 2002 Nonurbanized Area Formula apportionments to the States
total $226,410,089 and are displayed in Table 5. Of the $224,555,243
available, $1,122,776 was reserved for oversight. The funds apportioned
include $2,977,622 in deobligated funds from fiscal years prior to FY
2002.
The Nonurbanized Area 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 2002
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.
B. Rural Transit Assistance Program (RTAP)
Funding made available for the RTAP (49 U.S.C. 5311(b)(2)) in the
2002 DOT Appropriations Act was $5,250,000, the guaranteed funding
level under TEA-21. The FY 2002 RTAP allocations to the States total
$5,270,729 and are also displayed in Table 5. This amount includes
$5,250,000 in FY 2002 funds, and $20,729 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 also supports RTAP activities at the national level within the
National
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Planning and Research Program (NPRP). The National RTAP projects
support the States in their use of the formula allocations for training
and technical assistance. Congress did not designate any funds for the
National RTAP among the NPRP allocations in the Conference Report
accompanying the FY 2002 DOT Appropriations Act. FTA will, however,
include the National RTAP among priority projects to be funded from
available NPRP funds. During FY 2002, FTA will conduct a competitive
selection to choose providers of the National RTAP services for the
next five years.
VII. Elderly and Persons with Disabilities Program
Funds in the amount of $84,604,801 are made available for the
Elderly and Persons with Disabilities Program (49 U.S.C. 5310) in the
FY 2002 DOT Appropriations Act. A total of $84,930,249 is apportioned
to the States for FY 2002 for the Elderly and Persons with Disabilities
Program. In addition to the FY 2002 funding of $84,604,801, the FY 2002
apportionment includes $325,448 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 Census population
data for persons aged 65 and over and for persons with disabilities.
The funds provide capital assistance for transportation for elderly
persons and persons with disabilities. Eligible capital expenses may
include, at the option of the recipient, the acquisition of
transportation services by a contract, lease, or other arrangement.
While the assistance is intended primarily for private non-profit
organizations, public bodies that coordinate services for the elderly
and persons with disabilities, or any public body that certifies to the
State that there are no non-profit organizations in the area that are
readily available to carry out the service, may receive these funds.
These funds may be transferred by the Governor to supplement
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.
104)
A. Transfer Process
The process for transferring flexible formula funds between FTA and
FHWA 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 statewide 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. The FHWA Office of Budget and Finance then transfers
obligation authority and an equal amount of cash to FTA. All CMAQ, STP,
and FHWA funds allocated to transit projects in the Appropriations Act
or Conference Report 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's application for the project must specify which
capital program the funds will be used for and the application should
be prepared in accordance with the requirements and procedures
governing that program. Upon review and approval of the grantee's
application, FTA obligates funds for the project.
The transferred funds are treated as FTA formula funds, but are
assigned a distinct 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. FTA and FHWA have issued
guidance on project eligibility under the CMAQ program in a Federal
Register notice dated February 23, 2000 (65 FR 9040). All FTA
requirements are applicable to transferred funds except local share--
FHWA local share requirements apply. 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-Web, equal to 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 FHWA.
There are three instances in which a Federal share higher than 80
percent 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;
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however, these are subject to a nationwide 10 percent program
limitation.
IX. Capital Investment Program (49 U.S.C. 5309)
A. Fixed Guideway Modernization
The formula for allocating the Fixed Guideway Modernization funds
contains seven tiers. The apportionment of funding under the first four
tiers, through FY 2003, is based on data used to apportion the funding
in FY 1997. Funding under the last three tiers is apportioned based on
the latest available route miles and revenue vehicle miles on segments
at least seven years old, as reported to the NTD.
Table 7 displays the FY 2002 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 NTD reporting system to ensure that all
eligible fixed guideway data is included in the calculation of the
apportionments. A threshold level of more than one mile of fixed
guideway is required to receive Fixed Guideway Modernization funds.
Therefore, urbanized areas reporting one mile or less of fixed guideway
mileage under the NTD are not included.
For FY 2002, $1,136,400,000 is made available for Fixed Guideway
Modernization in the FY 2002 DOT Appropriations Act, which is the
guaranteed funding level in TEA-21. An amount of $11,364,000 was then
deducted for oversight, and $7,047,502 was set aside for the Alaska
Railroad as directed by language in Section 1124 of the FY 2001 Omnibus
Consolidated Appropriations Act (Pub. L. 106-554), leaving
$1,117,988,498 available for apportionment to eligible urbanized areas.
In addition to the FY 2002 funding, $547,205 in deobligated funds from
fiscal years prior to FY 2002 is added and increases the total amount
apportioned to $1,118,535,703 under Fixed Guideway Modernization. Table
14 contains information regarding the Fixed Guideway Modernization
apportionment formula.
The Alaska Railroad has been determined to be eligible for funding
under the Fixed Guideway Modernization program for service provided in
the Anchorage, AK, urbanized area. The FY 2002 Fixed Guideway
Modernization apportionment for the Alaska Railroad is, in part, based
on a calculated amount derived from application of the Fixed Guideway
Modernization formula--using approved Alaska Railroad data for fixed
guideway directional route miles located within the Anchorage, AK,
urbanized area. In addition, the Alaska Railroad apportionment includes
the $7,047,502 set aside for the Alaska Railroad as directed in Public
Law 106-554.
The Alaska Railroad eligibility to receive funds under the Fixed
Guideway Modernization program is pursuant to FTA's determination that:
(1) it is the fixed guideway system for the Anchorage, AK urbanized
area (which is an urbanized area eligible for assistance under section
5336(b)(2)(A) of 49 U.S.C. Chapter 53, and therefore eligible for
funding under sections 5337(a)(5)(B), 5337(a)(6)(B), and
5337(a)(7)(B)); and (2) the Alaska Railroad meets the standard of
having been in service for at least seven years.
The Alaska Railroad was built by the Federal Government between
1914 and 1923. The Railroad operated under the control of the Interior
Department until April 1967 when the Department of Transportation
assumed that responsibility. After passage of special Federal
legislation, the assets of the Alaska Railroad were sold to the State
of Alaska, which assumed ownership of the railroad in January 1985.
Since Federal ownership of the Alaska Railroad has extended over the
greater part of its existence, the DOT acknowledges a special
stewardship towards the Alaska Railroad within the Anchorage urbanized
area. For purposes of formula apportionments beginning in FY 2004 and
beyond, FTA will create a mode code exclusively for reporting to the
NTD by the Alaska Railroad in the NTD Reporting Manual for report year
2002.
B. New Starts
The amount made available for New Starts in the FY 2002 DOT
Appropriations Act is $1,136,400,000, which was fully allocated and
represents the guaranteed funding level under TEA-21. Of this amount,
$11,364,000 is reserved for oversight activities, leaving
$1,125,036,000 available for allocations to projects. Prior year
unobligated funds specified by Congress to be reallocated in the amount
of $1,488,840 are then added and increase the total amount allocated to
$1,126,524,840. The reallocated funds are derived from unobligated and
deobligated balances for the following projects: Hartford-Old Saybrook,
CT, project, $496,280; New London-Waterfront, CT, access project,
$496,280; and North Front Range, CO, corridor feasibility study,
$496,280. The final allocation for each New Starts project is listed in
Table 8.
Prior year unobligated allocations for New Starts in the amount of
$543,136,665 remain available for obligation in FY 2002. This amount
includes $531,342,762 in fiscal years 2000 and 2001 unobligated
allocations, and $11,793,903 for fiscal years 1998 and 1999 unobligated
allocations that are extended in the FY 2002 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 FY 2002 Conference Report accompanying
the FY 2002 DOT Appropriations Act, will lapse September 30, 2002. A
list of the extended projects and the amount that remains unobligated
as of September 30, 2001, is appended to Table 8A for ready reference.
C. Bus
The FY 2002 DOT Appropriations Act provides $568,200,000, 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.
TEA-21 established a $100 million Clean Fuels Formula Program under
49 U.S.C. 5308 (described in section XII below). The program is
authorized to be funded with $50 million from the Bus category of the
Capital Investment Program and $50 million from the Formula Program.
However, the FY 2002 DOT Appropriations Act directs FTA to transfer the
formula portion to, and merge it with, funding provided for the Bus
category of the Capital Investment Program. Thus, $618,200,000
appropriated in FY 2002 is available for funding the Bus category of
the Capital Investment Program. In addition, Congress directed that
funds made available for bus and bus facilities be supplemented with
$1,733,658 from projects included in previous Appropriations Acts,
which increases the total amount made available to $619,933,658. The
supplemental funds are derived from unobligated balances for the
following projects: Carroll County, NH transportation alliance buses,
$198,500; New Hampshire statewide buses, $34,001; Gary, IN transit
consortium buses, $310,157; Jefferson Parish, LA bus and bus
facilities, $347,375; Louisiana state infrastructure bank, bus and bus
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facilities, $347,375; and North Slope borough, AK, $496,250.
After deducting $6,182,000 for oversight, the amount available for
allocation under the Bus category is $613,751,658. Table 9 displays the
allocation of the FY 2002 Bus funds by State and project. The FY 2002
Conference Report accompanying the FY 2002 DOT Appropriations Act
allocated all of the FY 2002 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.
Prior year unobligated balances for Bus Program allocations in the
amount of $494,182,292 remain available for obligation in FY 2002. This
includes $477,559,360 in fiscal years 2000 and 2001 unobligated
allocations, and $16,622,932 for fiscal years 1998 and 1999 unobligated
allocations that are extended in the FY 2002 Conference Report or the
FY 2001 Supplemental Appropriations Act 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 2002
DOT Appropriations Act or the FY 2001 Supplemental Appropriations Act,
will lapse September 30, 2002. A list of the extended projects and the
amount that remains unobligated as of September 30, 2001, is appended
to Table 9A for ready reference.
In addition, the FY 2002 Conference Report provides clarification
for FY 2001 projects and permits the use of FY 2001 appropriations for
additional work as follows:
(1) Funds appropriated for the Lowell, Massachusetts transit hub
can be used for the Hale Street bus maintenance and operations center;
(2) Funds appropriated for the Municipal Transit Operators in
California can be used for bus and bus facilities;
(3) Funds appropriated for the King County Metro Eastgate park and
ride can be used for the Issaquah Highlands park and ride;
(4) Funds allocated for buses for Suburban Mobility Authority for
Regional Transportation (SMART) in Southeast Michigan may also be
available for bus facilities; and
(5) Funds appropriated to the Burlington, Vermont multi-modal
transit project in fiscal years 1998, 1999, 2000, and 2001 will be
available for construction of the multimodal project and other transit
improvements.
X. Job Access and Reverse Commute Program
The FY 2002 DOT Appropriations Act provides $125 million for the
Job Access and Reverse Commute (JARC) Program, which is the guaranteed
funding level under TEA-21. In the FY 2002 Conference Report the
appropriators indicated their desire that $109,339,000 of this amount
be awarded to certain specified States and localities. These areas and
the corresponding amounts are listed in Table 10. States and localities
listed in the FY 2002 Conference Report, along with other States and
localities not so listed, are invited to apply for JARC funding
according to the procedures that will be published in a separate
Federal Register notice. That notice will solicit applications for the
$125 million available in FY 2002 and the $150 million that is the
guaranteed level of funding for FY 2003.
Because recipients of JARC funds have expressed the need for multi-
year funding through the early stages of implementation, FTA will no
longer limit awards to a single year, but rather will consider multi-
year funding in appropriate cases. To give effect to this new policy,
FTA will give priority to funding continuation of previously selected
projects. FTA will solicit applications for continued funding from
those applicants previously funded under the JARC program. Grantees may
apply for up to two additional years of continuation funding beyond
that previously approved. Continuation does not include expansion of
services beyond those previously funded. Expanded services will be
treated as new projects. Continuation projects are expected to document
their progress through their most recent progress report. Evaluation of
JARC projects' progress will be a key element in determining continued
FTA financial support.
FTA will solicit applications for new JARC projects both from
existing recipients and from States, localities and nonprofit
organizations that have not previously been awarded JARC funds. Because
FY 2003 is the last year of the TEA-21 authorization of the JARC
program, applicants for new projects will be encouraged to apply for a
level of funding that would allow them to sustain service for at least
two years.
Applicants identified in the FY 2002 Conference Report must
participate in this application process along with all other
applicants. FTA will evaluate and rank all projects submitted in
response to this new solicitation. Because it is expected that FY 2002
funds will be used primarily, if not entirely, for continuation
projects, it is expected that new projects will not be funded until FY
2003 funds become available.
The JARC 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, including
economically disadvantaged persons with disabilities, 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 JARC 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.
XI. Over-the-Road Bus Accessibility Program
The amount made available for the Over-the-Road Bus Accessibility
(OTRB) Program in the FY 2002 DOT Appropriations Act is $6,950,000,
which is the guaranteed funding level under TEA-21. Of this amount,
$5,250,000 is available to providers of intercity fixed-route service,
and $1,700,000 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 on September 28, 1998 (63 FR
51670). 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 2001, a total of $3 million was available to intercity fixed-
route
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providers and $1.7 million was available to all other providers. FTA
selected 61 applicants from among the 84 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 2002 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 million from the bus category of the Capital Investment
Program, and $50 million 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, 2000, and
2001 have provided no funds for this program.
A Notice of Proposed Rulemaking was published in the Federal
Register on August 28, 2001 (66 FR 45561). The proposed rule
establishes the procedures potential recipients must use to apply for
this program. Comments on the proposed rule were due October 12, 2001.
Responses to those comments and preparation of the final rule are in
progress.
For further information contact Nancy Grubb, FTA Office of Resource
Management and State Programs, at (202) 366-2053.
XIII. National Planning and Research Program
The amount made available to the National Planning and Research
Program in the FY 2002 DOT Appropriations Act is $31,500,000, of which
Congress allocated $15,500,000 for specific activities. These
allocations are listed in Table 11.
The program's core effort is the deployment of technological
innovation to improve personal mobility, enhance the safety and
security of transit operations, minimize fuel consumption and air
pollution, increase ridership and enhance the quality of life of all
communities. Emphasis is placed on mainstreaming proven cost-effective
technological innovation through the FTA planning and capital
assistance programs. Primary target areas are security technologies to
protect against weapons of mass destruction, safety systems for
railroad grade crossing protection and shared-track operations, cost
reduction in advances in bus technology, and bus rapid transit.
FTA is directing resources for research, development, demonstration
and deployment activities associated with technology and other
innovations in four priority areas:
Safety and security systems--to improve driver operations,
minimize pedestrian conflicts, reduce terrorist threats and to
facilitate shared track operations;
Transit buses--to reduce operating and maintenance costs
through improved energy management; to introduce rapid bus operations;
to foster trade opportunities; to deploy low emission vehicles; and to
leverage the $600 million or more invested annually through the FTA Bus
capital assistance program;
Infrastructure--to support the $4.9 billion annual FTA
capital investment; to protect the integrity of federally supported
assets; and to facilitate the deployment of lower cost systems options
for expanding capacity; and
Knowledge Management--to expand U.S. transit industry
professional capacity and participation in global markets.
For additional information contact Henry Nejako, Program Management
Officer, Office of Research, Demonstration and Innovation, at (202)
366-3765.
XIV. Unit Values of Data for Urbanized Area Formula Program,
Nonurbanized Area Formula Program, and 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 15 of this notice. To replicate
an area's apportionment amount multiply its population, population
density, and data from the NTD by the appropriate unit value.
XV. Period of Availability of Funds
The funds apportioned under the Metropolitan Planning Program and
the Statewide Planning and Research Program, the Urbanized Area Formula
Program, and Fixed Guideway Modernization, in this notice, will remain
available to be obligated by FTA to recipients for three fiscal years
following FY 2002. Any of these apportioned funds unobligated at the
close of business on September 30, 2005, will revert to FTA for
reapportionment under the respective program.
Funds apportioned to nonurbanized areas under the Nonurbanized Area
Formula Program, including RTAP funds, will remain available for two
fiscal years following FY 2002. Any such funds remaining unobligated at
the close of business on September 30, 2004, 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,
2002. 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 2002 DOT Appropriations Act
includes a provision requiring that FY 2002 New Starts and Bus funds
not obligated for their original purpose as of September 30, 2004,
shall be made available for other projects under 49 U.S.C. 5309.
JARC funds for projects selected by FTA for funding in FY 2002 will
remain available for two fiscal years following FY 2002. Any such funds
remaining unobligated at the close of business on September 30, 2004,
will revert to FTA for reallocation under the JARC program.
Capital Investment Program funds for New Starts and Bus projects
identified as having been extended in the FY 2002 Conference Report
accompanying the FY 2002 DOT Appropriations Act will lapse September
30, 2002.
XVI. 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
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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 FTA regional office if there is any question regarding the
eligibility of the project for future FTA funds or the applicability of
the conditions and Federal requirements.
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. For such 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. 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.
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-Web, 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. Compliance
with NEPA and other environmental laws or executive orders (e.g.,
protection of parklands, wetlands, historic properties) must be
completed before State or local funds are spent on implementing
activities such as final design, construction, and acquisition for a
project that is expected to be subsequently funded with FTA funds.
Depending on which class the project is included under in FTA
environmental regulations (23 CFR part 771), the grantee may not
advance the project beyond planning and preliminary engineering before
FTA has issued either a categorical exclusion (refer to 23 CFR part
771.117(d)), a finding of no significant impact, or a record of
decision. 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 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
1. Preliminary Engineering and 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 for entry into final design
both document the project and how it meets the New Starts statutory
criteria for project evaluation and rating 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.
2. Acquisition Activities
In the past, FTA provided applicant grantees pre-award authority to
incur costs for right-of-way acquisition for projects funded by sources
other than New Starts funds under the conditions described in
paragraphs A, B and C, above. With the issuance of this Notice, FTA
will extend automatic pre-award authority for the acquisition of real
property and real property rights for a New Starts project upon
completion of the National Environmental Policy Act (NEPA) review of
that project. NEPA review is completed when FTA signs an environmental
Record of Decision (ROD) or Finding of No Significant Impact (FONSI),
or makes a Categorical Exclusion (CE) determination. The real estate
acquisition activities for a proposed New Starts project prior to
approval of Federal funding, no longer require a Letter of No Prejudice
(LONP) described in section XVII below. Real estate acquisition may now
commence upon completion of the NEPA review process.
Most major FTA-assisted projects require the acquisition of
residential and/or business properties and the relocation of the
occupants. Often real property rights, like railroad track usage
rights, are needed. With limited exceptions set forth in FTA's NEPA
guidance, the purchase of real property can prejudice the consideration
of less damaging alternatives and may not take place until the NEPA
process has been completed by FTA's signing of an environmental ROD or
FONSI or making a CE determination.
For FTA-assisted projects, acquisition of real property must be
made in accordance with the requirements of the Uniform Relocation
Assistance and Real
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Property Acquisition Policies Act (URA) and its implementing
regulations (49 CFR part 24). Compliance with the URA regulations
requires substantial lead-time. Properties must be appraised, persons
who will be displaced must be educated about their relocation rights,
proper housing must be found for displaced residents, and businesses
must be relocated in accordance with the URA. In some cases, the
remediation of contaminated soils or groundwater, or the removal of
underground storage tanks must be dealt with during the acquisition
process. Potentially responsible parties to the contamination must be
identified and their financial liability negotiated or litigated.
Acquisition of railroad right-of-way or usage rights is frequently a
negotiated transaction that is fundamental to the transit project and
therefore should be negotiated as early as possible after the
completion of the NEPA process. Delays in the closing on an acquisition
can lead to inconvenience or hardship for residents and businesses that
are being displaced. Delays can also lead to increases in property
values or in the current owners' financial expectations that prolong
negotiated settlements.
To facilitate the acquisition process for New Starts projects, FTA
will extend automatic pre-award authority to the acquisition of real
property and real property rights with the signing of the environmental
ROD or FONSI or the CE determination. This pre-award authority is
strictly limited to costs incurred to acquire real property and real
property rights and to provide relocation assistance in accordance with
the URA regulation. It is limited to the acquisition of real property
and real property rights that are explicitly identified in the final
EIS, EA or CE determination, as needed for the selected alternative
that is the subject of the FTA-signed ROD or FONSI, or the CE
determination. It does not cover site preparation, demolition, or any
other activity that is not strictly necessary to comply with the URA.
At FTA's discretion, these other activities may be covered by Letters
of No Prejudice, described in section XVII, below. This pre-award
authority does not cover the acquisition of construction equipment or
vehicles or any other acquisition except that of real property and real
property rights.
Grant applicants should use this pre-award authority for real
property very discreetly with a clear understanding that it does not
constitute a funding commitment by FTA. On occasion, even projects that
received a ``recommended'' rating from FTA under the New Starts
regulation (49 CFR part 611) have not received a Full Funding Grant
Agreement from FTA simply because the competition for the limited New
Starts funds is so intense.
This pre-award authority for the acquisition of real property and
real property rights, in accordance with the URA and after FTA's
signing of a ROD or FONSI or making a CE determination, is intended to
streamline the project delivery process, to enhance relocation services
for residents and businesses, and to avoid the escalation in the cost
of real property caused by delays in its acquisition. In granting this
pre-award authority, FTA is aware that the risk taken by the grant
applicant in acquiring real property without an FTA commitment is
somewhat mitigated by the re-sale value of the real property, in the
event that FTA funding assistance is not ultimately forthcoming and the
project is abandoned.
3. National Environmental Policy Act (NEPA) Activities
The National Environmental Policy Act (NEPA) requires that projects
with potentially significant adverse impacts proposed for Federal
funding assistance be subjected to a public and interagency review of
the need for the project, its environmental and community impacts, and
alternatives with potentially less damaging actions. Projects for which
FTA experience indicates there are no significant impacts are subject
to NEPA, but categorically excluded from the more rigorous levels of
NEPA review.
FTA regulations (23 CFR 771.105(e)) state that the costs incurred
by a grant applicant for the preparation of environmental documents
requested by FTA are eligible for FTA assistance. FTA has previously
extended pre-award authority to incur costs for environmental reviews
and documents from other funding sources but not from New Starts funds.
With issuance of this notice, FTA extends automatic pre-award
authority for costs incurred to conduct the NEPA environmental review,
including historic preservation activities, and to prepare an EIS, EA,
CE, or other environmental documents for a proposed New Starts project,
effective as of the date of the federal approval of the relevant
Statewide Transportation Improvement Program (STIP) or STIP amendment
that includes the project. This pre-award authority applies to New
Starts funding, as well as other funding sources. This pre-award
authority is strictly limited to costs incurred to conduct the NEPA
process and prepare environmental and historic preservation documents.
It does not cover preliminary engineering activities beyond those
absolutely necessary for NEPA compliance. As with any pre-award
authority, FTA participation in costs incurred is not guaranteed.
This pre-award authority for using New Starts funds for
environmental and historic preservation work for proposed New Starts
projects, as long as those projects are in FTA-approved STIPs, is being
provided for the first time with this Notice. It is intended to
streamline the NEPA process in accordance with TEA-21 section 1309,
``Environmental Streamlining,'' by eliminating unnecessary delays in
starting up the conceptual engineering and environmental reviews, the
public involvement process, and the interagency coordination process
for New Starts projects.
XVII. Letters of No Prejudice (LONP) Policy
A. Policy
Letter of No Prejudice (LONP) 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, for example, to permit real estate purchased as it becomes
available 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, DOT, and other Federal statutory, regulatory,
procedural, and contractual requirements must be met.
(3) No action will be taken by the grantee that prejudices the
legal and
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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. 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 (see 23 CFR
section 771.117(d)), a finding of no significant impact, or a record of
decision. 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 FTA 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.
XVIII. FTA Home Page on the Internet
FTA provides extended customer service by making available transit
information on the FTA Web site, including this Apportionment Notice.
Also posted on the Web site 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
2002 Annual List of Certifications and Assurances is also posted on the
FTA Web site. Other documents on the FTA Web site of particular
interest to public transit providers and users include the annual
Statistical Summaries of FTA Grant Assistance Programs, and the
National Transit Database Profiles.
FTA circulars are listed at http://www.fta.dot.gov/library/admin/checklist/circulars.htm. Other guidance of interest to Grantees can be
found at http://www.fta.dot.gov/grantees/index.html. Grantees should
check the FTA Web site frequently to keep up to date on new postings.
XIX. FTA Fiscal Year 2002 Annual List of Certifications and
Assurances
The ``Fiscal Year 2002 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 2002 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 2002 Annual List of Certifications and
Assurances'' is accessible on the Internet at http://www.fta.dot.gov/library/legal/ca.htm. Any questions regarding this document may be
addressed to the appropriate Regional Office.
XX. Grant Application Procedures
All applications for FTA funds should be submitted to the
appropriate FTA Regional Office. FTA utilizes TEAM-Web, an Internet
accessible electronic grant application system, and all applications
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-Web.
In FY 2001, FTA established 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, New Starts and Bus Programs, the section 5310
Elderly and Persons with Disabilities Program, the section 5311
Nonurbanized Area Formula Program, the TEA-21 Job Access and Reverse
Commute Program, the TEA-21 Over-the-Road Bus Accessibility Program,
section 5303 Metropolitan Planning Program, and section 5313(b)
Statewide 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 (when required), 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
[[Page 140]]
be properly submitted. Once an application is complete, the FTA
Regional Office will assign a project number and when required 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.
State applicants for section 5311 are reminded that they must certify
to DOL that all subrecipients have agreed to the standard labor
protection warranty for section 5311 and provide DOL with other related
information for each grant.
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 Web site.
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: December 26, 2001.
Jennifer L. Dorn,
Administrator.
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[FR Doc. 01-32117 Filed 12-31-01; 8:45 am]
BILLING CODE 4910-57-C