[Federal Register: February 11, 2004 (Volume 69, Number 28)]
[Notices]
[Page 6725-6786]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr11fe04-159]
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Part II
Department of Transportation
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Federal Transit Administration
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FTA Fiscal Year 2004 Apportionments, Allocations and Program
Information; Notice
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
FTA Fiscal Year 2004 Apportionments, Allocations and Program
Information
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice.
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SUMMARY: The ``Consolidated Appropriations Act, 2004'', (Public Law
108-199), which was signed into law by President Bush on January 23,
2004, includes appropriations for the Department of Transportation for
the fiscal year ending September 30, 2004, and provides FY 2004
appropriations for the Federal Transit Administration (FTA) transit
assistance programs. Pending further consideration of a multi-year
authorization, Congress has passed a five-month extension of the
Transportation Equity Act for the 21st Century (TEA-21), known as the
Surface Transportation Extension Act of 2003 (Public Law 108-88). This
act, signed by President Bush on September 30, 2003, provides
additional funding authorizations for transit and highway programs for
the period October 1, 2003, through February 29, 2004. The previous
authorizations, under TEA-21, were effective through September 30,
2003.
This notice contains (1) a listing of the full amount of the FY
2004 apportionments and allocations for the formula, capital, and
transit planning and research programs, including both trust funds and
general funds, based on the Consolidated Appropriations Act, 2004 and
Federal transit laws; and (2) a listing of apportionments and
allocations based on the FY 2004 available funding for formula,
capital, and transit planning and research programs, in accordance with
the Consolidated Appropriations Act, 2004 and the Surface
Transportation Extension Act of 2003. This includes the total of
general funds made available in the Consolidated Appropriations Act,
2004 and a portion of contract authority under the Surface
Transportation Extension Act of 2003. As soon as authorizing
legislation covering the remainder of the fiscal year, March 1, 2004,
through September 30, 2004, or a portion of it has been enacted the
entire apportionment or the additional authority will be made
available. If the authorization act affects the distribution of funds
within the programs, FTA will republish the apportionments and
allocations in their entirety, taking the provisions of both the
Consolidated Appropriations Act, 2004 and the authorization act into
consideration.
In addition, prior year unobligated allocations for the section
5309 New Starts, Bus and Bus-Related and Job Access and Reverse Commute
(JARC) 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; Paul L. Verchinski, Chief, Planning
Oversight Division, (202) 366-1626, for general information concerning
the Metropolitan Planning Program and the Statewide Planning and
Research Program; or Bruce Robinson, Office of Research, Demonstration
and Innovation, (202) 366-4209, for general information about the
National Planning and Research Program.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Overview
A. General
B. Funds Available for Obligation
C. Project Management Oversight
III. Fiscal Year 2004 Focus Areas
A. Transit Safety and Security
B. Ridership
C. Transportation Coordination
D. Special Transit Provisions in the Consolidated Appropriations
Act, 2004
IV. Metropolitan Planning Program and Statewide Planning and
Research Program
A. Metropolitan Planning Program
B. Statewide Planning and Research Program
C. FHWA Metropolitan Planning Program and State Planning and
Research Program
D. Local Match Waiver for Specified Planning Activities
E. Planning Emphasis Areas for Fiscal Year 2004
F. Consolidated Planning Grants
V. Urbanized Area Formula Program
A. Total Urbanized Area Formula Apportionments
B. Data Used for Urbanized Area Formula Apportionments
C. Urbanized Area Formula Apportionments to Governors
D. Transit Enhancements
E. Fiscal Year 2004 Operating Assistance
F. Designated Transportation Management Areas
G. Urbanized Area Formula Funds Used for Highway Purposes
VI. Nonurbanized Area Formula Program and Rural Transit Assistance
Program
A. Nonurbanized Area Formula Program
B. Rural Transit Assistance Program
VII. Elderly And Persons With Disabilities Program
VIII. FHWA Surface Transportation Program and Congestion Mitigation
and Air Quality Funds Used for Transit Purposes
A. Transfer Process
B. Matching Share for FHWA Transfers
IX. Capital Investment Program
A. Fixed Guideway Modernization
B. New Starts
C. Bus and Bus-Related
X. Job Access And Reverse Commute Program
XI. Over-the-Road Bus Accessibility Program
XII. Clean Fuels Formula Program
XIII. National Planning and Research Program
XIV. Unit Values of Data for Urbanized Area Formula Program,
Nonurbanized Area Formula Program, and 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
XVII. Letter of No Prejudice (LONP) Policy
A. Policy
B. Conditions and Federal Requirements
C. Request for LONP
XVIII. Program Guidance
XIX. FTA Fiscal Year 2004 Annual List of Certifications and
Assurances
XX. Grant Application Procedures
Tables
1. FTA FY 2004 Appropriations, Apportionments, and Available
Funding for Grant Programs
2. FTA FY 2004 Metropolitan Planning Program and Statewide
Planning And Research Program Apportionments
3. FHWA FY 2004 Metropolitan Planning Program (PL) Available
Apportionments
4. FTA FY 2004 Urbanized Area Formula Apportionments
5. FTA FY 2004 Nonurbanized Area Formula Apportionments, and
Rural Transit Assistance Program (RTAP) Allocations
6. FTA FY 2004 Elderly And Persons With Disabilities
Apportionments
7. FTA FY 2004 Fixed Guideway Modernization Apportionments
8. FTA FY 2004 New Starts Allocations
8A. FTA Prior Year Unobligated New Starts Allocations
9. FTA FY 2004 Bus and Bus-Related Allocations
9A. FTA Prior Year Unobligated Bus and Bus-Related Allocations
10. FTA FY 2004 National Planning and Research Program
Allocations
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11. FTA FY 2004 Job Access and Reverse Commute (JARC)
Allocations
11A. FTA Prior Year Unobligated JARC Allocations
12. FTA FY 2004 Apportionment Formula for Urbanized Area Formula
Program
13. FTA FY 2004 Fixed Guideway Modernization Program
Apportionment Formula
14. FTA FY 2004 Formula Grant Apportionments Unit Values of Data
15. 2000 Census Urbanized Areas with Populations 200,000 or
Greater Eligible to Use FY 2004 Section 5307 Funds for Operating
Assistance
I. Background
Metropolitan Planning funds are apportioned by statutory formula to
the States 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 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
Consolidated Appropriations Act, 2004 and Bus and Bus-Related
Allocations identified in the Conference Report accompanying the Act
are included in this notice. Congressional allocations of the Job
Access and Reverse Commute Program (JARC) included in the Conference
Report are also included, as provided for in the Consolidated
Appropriations Act, 2004. Over-the-Road Bus Accessibility Program funds
are allocated on a competitive basis.
FTA will honor those discretionary project designations included in
Conference Report language for Bus and Bus-Related and JARC, to the
extent that the projects meet the statutory intent of the specific
program. Requests for reprogramming of funding for projects that are
found not to be consistent with the statutory intent of the program or
project activities outside the scope of the project designation
included in report language should be directed to the House and Senate
Committees on Appropriations for resolution.
II. Overview
A. General
Table 1 displays the appropriations and obligation limitation for
the FTA programs. Also listed is the amount of FY 2004 funds currently
available for obligation for each program. The amounts have been
adjusted from the FY 2004 enacted levels to reflect an across-the-board
.59 percent rescission proportionately applied to the discretionary
budget authority and obligation limitation, and to each program,
project and activity, as directed by Section 168 of Division H of the
Consolidated Appropriations Act, 2004. The following text provides a
narrative explanation of the funding levels and other factors affecting
the apportionments and allocations.
B. Funds Available for Obligation
The Consolidated Appropriations Act, 2004 provides a combination of
trust and general funds that total $7.309 billion for FTA programs.
After applying the across-the-board .59 percent rescission, as directed
by Section 168 of Division H of the Consolidated Appropriations Act,
2004, new funding for FTA programs is $7.266 billion.
Because the Surface Transportation Extension Act of 2003 only
provides contract authority through February 29, 2004, FTA is
publishing both (1) the apportionment and allocation tables that
contain the full program levels in the Consolidated Appropriations Act,
2004; and (2) the apportionments and allocations based on FY 2004 funds
available for the FTA program. The column labeled ``Apportionment'' or
``Allocation'' includes both trust funds (contract authority) and
general funds, and reflects the total dollar amount of obligation
limitation and appropriations in the Consolidated Appropriations Act,
2004, once a full year contract authority is made available. This
amount does not represent the amount that is actually available for
obligation at this time. The amount shown in the column labeled
``Available Apportionment'' or ``Available Allocation'' is available
for obligation.
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.
Section 319 of the FY 2002 DOT Appropriations Act increased the amount
made available under the Capital Investment Program for oversight
activities to one percent, for FY 2002 and thereafter.
III. Fiscal Year 2004 Focus Areas
FTA draws attention to the following areas of particular interest
in FY 2004 relative to the FTA programs.
A. Transit Safety and Security
The Federal Transit Administration (FTA) has undertaken a series of
major steps to help prepare the transit industry to counter terrorist
threats. Key to these efforts is emergency preparedness, employee
training and public awareness, three of the most important transit
security priorities for the future. Transit security must remain in the
forefront as the immediacy of September 11, 2001, fades over time. To
that end, FTA is continuing to provide security and emergency planning
technical assistance to transit agencies, updating transit employee
training courses as well as developing new curricula and will continue
to hold ``Connecting Communities'' security forums across the country.
In addition, FTA has launched a nationwide safety and security public
awareness program, ``TransitWatch'', that encourages the active
participation of transit passengers and employees in maintaining a safe
transit environment.
Although the transit industry has made great strides in
strengthening security and emergency preparedness, there is much more
to do. Detailed information about these three areas and other important
actions can be found in FTA's list of Top 20 Security Program Action
Items for transit agencies. These 20 action items are based on good
security practices identified through FTA's Security Assessments and
the technical assistance program. The Top 20 Security Program Action
Items can be found on FTA's Web site at http://transit-safety.volpe.dot.gov/security/SecurityInitiatives/Top20/default.asp.
FTA will work with transit agencies to assist them as they incorporate
these practices into their programs.
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B. Ridership
FTA's strategic business plan establishes FTA's core values and
identifies a number of strategic goals for sustaining these values over
the next three years. Specifically, FTA seeks to deliver products and
services that are valued by its customers and to assist transit
agencies in better meeting the needs of their customers. Increasing
transit ridership is a key measure of success in achieving this
objective. FTA has further identified a goal of achieving an average
2.0 percent increase in the number of transit passenger boardings per
transit agency, controlling for changes in local economic conditions by
adjusting ridership by employment levels. FTA is continuing work on a
range of research, guidance, and other technical assistance to support
State and local transit efforts to increase ridership. FTA encourages
all transit agencies to focus attention on ways to increase transit
ridership, and will be issuing further information about the FTA
ridership initiative throughout FY 2004.
C. Transportation Coordination
Without adequate transportation services, many older Americans,
persons with disabilities, and individuals with low-incomes are often
unable to access work, medical services, educational resources or
recreation opportunities. The social and economic consequences of
inadequate transportation can be enormous.
In June of 2003, the General Accounting Office issued a report on
Transportation for Disadvantaged Populations. This report highlights
the complex nature of coordinating multiple funding resources for a
variety of client populations. Because of the complex issues related to
coordinating resources to improve human service transportation, DOT has
been actively working with other Federal agencies including the
Departments of Health and Human Services, Labor, and Education. While
the broad collaborative efforts focus on cross-cutting issues, there
are also subcommittees and distinct activities addressing the unique
needs of older adults, people with disabilities, and low-income
populations, and issues related to medical transportation services. FTA
is encouraging transportation and human service leaders in every
community to work together to assess existing transportation services,
determine unmet needs and institute resource strategies that will help
bridge the gaps. Using available Federal transportation funds in the
most effective coordinated manner has become especially important as
States and communities deal with budget shortfalls.
To assist States and communities in moving forward, FTA and our
federal partners have introduced a five point initiative, including,
technical assistance, State recognition awards, and the issuance of a
Framework for Action, a self-assessment tool for both States and
communities. FTA encourages States and communities to use the Framework
for Action (available on the FTA Web site at http://www.fta.dot.gov/CCAM/framework.html
) as a planning tool to improve service
coordination.
D. Special Transit Provisions in the Consolidated Appropriations Act,
2004
Procurement Pilot Program--Section 166 of the FTA general
provisions in the Consolidated Appropriations Act, 2004 directs that a
procurement pilot program be established to determine the benefits of
encouraging cooperative procurement of major capital equipment under
sections 5307, 5309, and 5311. The program will consist of three pilot
projects, which may be carried out by grantees, consortiums of
grantees, or members of the private sector acting as agents of
grantees. The Federal share for a grant under this pilot program will
be 90 percent of net project cost. FTA is working to develop procedures
and guidance to implement this program. Details will be forthcoming.
Restriction on Advertisements for Controlled Substances--Section
177 of the FTA general provisions in the Consolidated Appropriations
Act, 2004 provides that none of the funds made available in this Act
shall be available to any Federal transit grantee after February 1,
2004, involved directly or indirectly, in any activity that promotes
the legalization or medical use of any substance listed in schedule I
of section 202 of the Controlled Substance Act (21 U.S.C. 812 et seq.).
IV. Metropolitan Planning Program and State Planning and Research
Program
A. Metropolitan Planning Program
The Consolidated Appropriations Act, 2004 provides $60,029,325 to
the Metropolitan Planning Program (49 U.S.C. 5303) after the across-
the-board .59 percent rescission. The FY 2004 Metropolitan Planning
Program apportionment to States for MPOs' use in urbanized areas totals
$61,456,193. This amount includes $60,029,325 in FY 2004 funds, and
$1,426,868 in prior year funds available for reapportionment under this
program. A basic allocation of 80 percent of this amount ($49,164,954)
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
($12,291,238) 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 displays the State apportionments for
the combined basic and supplemental allocations. Table 2 also shows the
amount of a State's apportionment that is currently available for
obligation, in accordance with the Surface Transportation Extension Act
of 2003.
All States have either reaffirmed or developed, in consultation
with their MPOs, new allocation formulas as a result of the 2000
Census. These formulas may be changed annually, but require approval by
the FTA regional office prior to grant approval.
B. Statewide Planning and Research Program
The Consolidated Appropriations Act, 2004 provides $12,539,975 to
the Statewide Planning and Research Program (49 U.S.C. 5313(b)) after
the across-the-board .59 percent rescission. The FY 2004 apportionment
for the Statewide Planning and Research Program (SPRP) totals
$13,259,049. This amount includes $12,539,975 in FY 2004 funds, and
$719,074 in prior year funds available for reapportionment under this
program. Final State apportionments for this program are also contained
in Table 2. Table 2 also shows the amount of a State's apportionment
that is currently available for obligation, in accordance with the
Surface Transportation Extension Act of 2003.
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. FHWA Metropolitan Planning Program and State Planning and Research
Program
For informational purposes, the FY 2004 apportionments for the FHWA
Metropolitan Planning Program (PL) that are available under the Surface
Transportation Extension Act of 2003 are contained in Table 3.
Apportionments for the FY 2004 FHWA
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State Planning and Research Program (SPRP) and for the full 12 months
of the PL were not available at the time of publication of this notice.
When the information becomes available it will be posted on the FHWA
Web site at http://www.fhwa.dot.gov/legsregs/directives/notices/n4510511.htm
.
D. 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 requirements.
E. Planning Emphasis Areas for Fiscal Year 2004
The FTA and FHWA identify Planning Emphasis Areas (PEAs) annually
to promote priority themes for consideration, as appropriate, in
metropolitan and statewide Unified Planning Work Programs proposed for
FTA and FHWA funding in FY 2004. While we try to make the PEAs
available at the beginning of the Federal fiscal year, we realize even
the October 1 date may be too late for some planning organizations to
address the PEAs in their upcoming work programs. In such a case, the
FY 2004 PEAs can be considered in the development of UPWPs during FY
2004 even though the UPWP might not be approved until early in FY 2005.
FTA and FHWA provide support for the PEAs through the Transportation
Planning Capacity Building Program, which can be accessed at http://www.planning.dot.gov/.
Opportunities for exchanging ideas and
experiences on innovative practices in these topical areas also will be
provided throughout the year. For FY 2004, 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) State DOT consultation with non-
metropolitan 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 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 forums, training, research, 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 http://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
http://www.ite.org.
2. Integrated Planning and Environmental Processes. TEA-21 mandated
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'' has been piloted and will be
made available in FY 2004 at the National Transit Institute Web site,
http://www.ntionline.com The course will also be posted on the National Highway Institute Web site http://www.nhi.fhwa.dot.gov/.
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. State DOT Consultation With Non-Metropolitan Local Officials. On
January 23, 2003, the FTA and FHWA issued a final Rule on consultation,
followed by a technical correction on February 14, 2003, which can be
accessed at http://www.fta.dot.gov/library/legal/federalregister/2003/fr12303.html and http://www.fta.dot.gov/library/legal/federalregister/
egister/">http://www.fta.dot.gov/library/legal/federalregister/lregister/
Planning regulation published in the Federal Register, Volume 58, No.
207, on October 28, 1993. Consultation is a vital issue within the
transportation planning process. Each State shall have a documented
process(es) that implements consultation with non-metropolitan local
officials in the statewide planning process and development of the
statewide transportation improvement program by February 24, 2004. The
documented process(es) must be separate and discrete from the State's
public involvement process. The FTA and FHWA have worked with each
State to help facilitate development of the documented process(es), but
will not review or approve the documented process(es). However, the FTA
and FHWA in the State Planning Finding will comment on progress toward
accomplishing the documented process(es) and its implementation. Since
consultation is a vital issue, each State shall review its documented
process and solicit comments regarding the effectiveness of its
consultation process within two years of adopting its documented
process, and thereafter, at least once every five years. The National
Association of Development Organizations at http://www.nado.org/rtoc/best_practices/index.html
has summaries of some State models for using
regional planning and development organizations to help facilitate the
input and involvement of rural local officials in the transportation
planning and programming process.
5. Enhancing the Technical Capacity of Planning Processes. Reliable
information on current and projected usage and performance of
transportation systems is critical to the ability of planning processes
to supply credible information to decision-makers to support
preparation of plans and programs that respond to 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, and forecasting models, as well
as the expertise of staff to ensure its adequacy to support decision-
making. If this expertise is found to be lacking, the responsible
agencies within
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metropolitan and statewide planning processes are encouraged to devote
appropriate resources to enhance and maintain their technical capacity.
For further information on these PEAs, contact Candace Noonan, FTA
Office of Planning and Environment, (202) 366-1648, or John Humeston,
FHWA Office of Planning, (404) 562-3667.
F. Consolidated Planning Grants
Since FY 1997, FTA and FHWA have offered States the option of
participating in a pilot Consolidated Planning Grant (CPG) program.
Information concerning participation in the CPG program can be found on
the FTA Web site at http://www.fta.dot.gov/office/public/cpg.htm. For
further information on participating in the CPG Pilot, contact Candace
Noonan, Office of Planning and Environment, FTA, at (202) 366-1648 or
Anthony Solury, Office of Planning, FHWA, at (202) 366-5003.
V. Urbanized Area Formula Program
A. Total Urbanized Area Formula Apportionments
The Consolidated Appropriations Act, 2004 provides $3,425,608,562
to the Urbanized Area Formula Program (49 U.S.C. 5307) after the
across-the-board .59 percent rescission. In addition, $3,039,008 in
prior year funds became available for reapportionment under the
Urbanized Area Formula Program as provided by 49 U.S.C. 5336(i).
After reserving $17,128,043 for oversight, the amount of FY 2004
funds available for apportionment is $3,408,480,519. The funds to be
reapportioned, described in the previous paragraph, are then added and
increase the total amount apportioned for this program to
$3,411,519,527. Table 4 displays the amounts apportioned under the
Urbanized Area Formula Program. Table 4 also shows, by urbanized area
and State, the amount currently available for obligation in accordance
with the Surface Transportation Extension Act of 2003. Table 12
contains the apportionment formula for the Urbanized Area Formula
Program.
Additional funds in the amount of $4,821,335 are appropriated for
the Alaska Railroad for improvements to its passenger operations after
the across-the-board .59 percent rescission. After reserving $24,107
for oversight, $4,797,228 remains to finance Alaska Railroad projects.
Of this amount $2,567,792 is currently available for obligation, in
accordance with the Surface Transportation Extension Act of 2003. Funds
appropriated for the Alaska Railroad are allocated in lieu of
apportioning funds for the Anchorage, AK urbanized area under the fixed
guideway tier of the section 5307 formula using data attributable to
the Alaska Railroad Corporation.
B. Data Used for Urbanized Area Formula Apportionments
Data from the 2002 National Transit Database (NTD) Report Year were
used to calculate the FY 2004 Urbanized Area Formula apportionments for
urbanized areas with populations of 200,000 or more. The 2000 Census
population and population density data are also used in calculating
apportionments under the Urbanized Area Formula Program.
C. Urbanized Area Formula Apportionments to Governors
The total Urbanized Area Formula apportionment to the Governor (and
the amount currently available for obligation in accordance with the
Surface Transportation Extension Act of 2003) for use in areas under
200,000 in population for each State are shown in Table 4. This table
also contains the 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 the
following exception: as further discussed in Section F, below, funds
attributed to an urbanized area under 200,000 in population and located
within the planning boundaries of a Transportation Management Area,
must be obligated to that small urbanized area.
D. Transit Enhancements
One percent of the Urbanized Area Formula Program apportionment in
each urbanized area with a population of 200,000 or more 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. However, items that are
only eligible as enhancements--in particular, operating costs for
historic facilities--may be assisted only within the one percent
funding level.
The recipient must submit a report to the appropriate FTA regional
office listing the projects or elements of projects carried out with
those funds during the previous fiscal year and the amount awarded. The
report must be submitted with the Federal fiscal year's final quarterly
progress report in TEAM-Web. The report should include the following
elements: (a) Grantee name, (b) urbanized area name and number, (c) FTA
project number, (d) transit enhancement category, (e) brief description
of enhancement and progress towards project implementation, (f)
activity line item code from the approved budget, and (g) amount
awarded by FTA for the enhancement.
E. Fiscal Year 2004 Operating Assistance
In general, FY 2004 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. The Consolidated Appropriations Act, 2004 provides an
exception to the restriction on operating assistance in areas over
200,000 in population for transit providers that provide mass
transportation service exclusively to elderly persons and persons with
disabilities within the urbanized area. The language in Section 176 of
the General Provisions-Federal Transit Administration in the
Consolidated Appropriations Act, 2004 stipulates that the number of
vehicles operated by the eligible transit providers must be 25 or fewer
vehicles and that operating assistance to all entities shall not exceed
$10,000,000. The areas eligible under the criteria included in TEA-21
prior to this amendment have already been identified and notified.
[[Page 6731]]
The Surface Transportation Extension Act of 2003 also continues the
provisions of Pub. L. 107-232, which allow transit systems in urbanized
areas that, for the first time, exceeded 200,000 population according
to the 2000 Census to use section 5307 funds for operating assistance.
A list of the eligible 2000 Census urbanized areas (with populations
200,000 or greater) that may use FY 2004 funds for operating assistance
is provided in Table 15. The table also shows the maximum amount of the
area's FY 2004 apportionment that may be used for operating assistance
and the amount of an area's apportionment currently available for
obligation as operating assistance. The use of the urbanized area funds
for operating assistance by these areas is restricted to projects
carried out within the geographical or service area boundary of the
affected 1990 census small (less than 200,000 population) urbanized
area.
In addition, the Surface Transportation Extension Act of 2003 adds
a provision that allows operating assistance, in an urbanized area at
least 200,000, for a 2000 Census urbanized area if a portion of the
area was not designated as an urbanized area as determined under the
1990 Federal decennial census and received assistance under section
5311 in FY 2002. The provision further stipulates that this portion of
the urbanized area shall receive an amount of funds made available
under section 5307 that is not less than the amount the portion of the
area received under section 5311 in FY 2002. Affected areas are not
identified in Table 15. A grant applicant for an area eligible to
receive operating assistance under this provision that wants to make
use of this provision must so state in the grant application. The
application must identify the previously nonurbanized portion of the
urbanized area that qualifies (i.e., that portion of the area that was
not designated as urbanized under the 1990 census and received
assistance under section 5311). Contact the appropriate FTA regional
office for additional information or guidance if you intend to make use
of this provision.
F. Designated Transportation Management Areas
All 2000 Census urbanized areas having a population of at least
200,000 have been designated as Transportation Management Areas (TMAs),
in accordance with 49 U.S.C. 5305. In addition, the Santa Barbara, CA
urbanized area, which did not meet the population threshold requirement
for TMA status with respect to 2000 Census, retained its previously
granted TMA status based on Gubernatorial request. These TMA
designations were formally made in the FTA Notices at 67 FR 45173 et
seq. (July 8, 2002) and 67 FR 62285 et seq. (October 4, 2002).
Guidance for setting the boundaries of TMAs is contained in the
joint transportation planning regulations codified at 23 CFR part 450
and 49 CFR part 613. In some cases, the TMA planning boundaries, which
have been established by the MPO for the designated TMA, also include
one or more urbanized areas 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 planning
boundaries.
If any additional small urbanized areas within the planning
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 year. FTA has updated and provided below
the list of urbanized areas with population less than 200,000 included
within the planning boundaries of designated TMAs.
----------------------------------------------------------------------------------------------------------------
Designated TMA Small urbanized area included in TMA boundary
----------------------------------------------------------------------------------------------------------------
Albany, NY..................................................... Saratoga Springs, NY.
Houston, TX.................................................... Galveston, TX; Lake Jackson-Angleton, TX; Texas
City, TX; The Woodlands, TX.
Jacksonville, FL............................................... St. Augustine, FL.
Orlando, FL.................................................... Kissimmee, FL.
Palm Bay-Melbourne, FL......................................... Titusville, FL.
Philadelphia, PA-NJ-DE-MD...................................... Pottstown, PA.
Pittsburgh, PA................................................. Monessen, PA; Weirton, WV--Steubenville, OH-PA
(PA portion); Uniontown-Connellsville, PA.
Seattle, WA.................................................... Bremerton, WA.
Washington, DC-VA-MD........................................... Frederick, MD.
----------------------------------------------------------------------------------------------------------------
G. 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.
VI. Nonurbanized Area Formula Program and Rural Transit Assistance
Program
A. Nonurbanized Area Formula Program
The Consolidated Appropriations Act, 2004 provides $239,188,058 to
the Nonurbanized Area Formula Program (49 U.S.C. 5311) after across-
the-board .59 percent rescission. The FY 2004 Nonurbanized Area Formula
apportionments to the States total $238,501,062 and are displayed in
Table 5. Of the $239,188,058 appropriated, $1,195,940 was reserved for
oversight. The funds apportioned include $508,944 in prior year funds
available for reapportionment. Table 5 also shows the amount of a
State's apportionment that is currently available for obligation, in
accordance with the Surface Transportation Extension Act of 2003.
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 2004
Nonurbanized Area Formula
[[Page 6732]]
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
The Consolidated Appropriations Act, 2004 provides $5,219,025 to
the Rural Transit Assistance Program (RTAP) (49 U.S.C. 5311(b)(2))
after the across-the-board .59 percent rescission. The FY 2004 RTAP
allocations to the States total $5,219,104 and are displayed in Table
5. This amount includes $79 in prior year funds available for
reapportionment. Table 5 also shows the amount of a State's allocation
that is currently available for obligation, in accordance with the
Surface Transportation Extension Act of 2003.
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 a State's administration of the Nonurbanized
Area Formula Program.
FTA also supports RTAP activities at the national level within the
National Planning and Research Program (NPRP). The National RTAP
activities support the States in their provision of training and
technical assistance. Congress did not designate any funds for the
National RTAP among the NPRP allocations in the Conference Report
accompanying the Consolidated Appropriations Act, 2004. FTA will,
however, consider the National RTAP among projects to be funded from
the limited available NPRP funds.
VII. Elderly and Persons With Disabilities Program
The Consolidated Appropriations Act, 2004 provides $90,117,950 to
the Elderly and Persons with Disabilities Program (49 U.S.C. 5310)
after the across-the-board .59 percent rescission. The FY 2004 Elderly
and Persons with Disabilities Program apportionments to the States
total $90,361,027 and are displayed in Table 6. The funds apportioned
include $243,077 in prior year funds available for reapportionment.
Also displayed in Table 6 is the amount of a State's apportionment
currently available for obligation, in accordance with the Surface
Transportation Extension Act of 2003.
The formula for apportioning these funds uses 2000 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
A. Transfer Process
The process for transferring flexible formula funds between FTA and
FHWA programs is described below. For information on the transfer of
FHWA funds to FTA planning programs contact the FTA/FHWA staff
identified in section IV.F, above.
Transfer from FHWA to FTA. FHWA funds designated for use in transit
capital projects must be derived 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. By letter the State DOT requests the FHWA Division
Office to transfer highway funds for a transit project. 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 should
include 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 FHWA CMAQ,
STP, and congressional earmarked funds for transit projects in the
Appropriations Act or Conference Report will be transferred to one of
the three FTA formula programs (i.e. Urbanized Area Formula (section
5307), Nonurbanized Area Formula (section 5311) or Elderly and Persons
with Disabilities (section 5310).
The FTA grantee's application for the project must specify which
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.
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 capital purpose eligible under the FTA formula
program to which they are transferred and, in the case of CMAQ, for
certain operating costs. FTA and FHWA have issued guidance on project
eligibility under the CMAQ program in a Notice at 65 FR 9040 et seq.
(February 23, 2000). In accordance with 23 U.S.C. 104(k), all FTA
requirements except local share are applicable to transferred funds;
FHWA local share requirements apply to funds transferred from FHWA to
FTA. Transferred funds should be combined with regular FTA funds in a
single annual grant application.
In the event that transferred funds are not obligated for the
intended purpose within the period of availability of the program to
which they were transferred, they become available to the Governor for
any eligible transit project.
Transfers from FTA to FHWA. The Metropolitan Planning Organization
(MPO) submits a written 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 equal to the dollar
amount being transferred to FHWA is made to the grantee's urbanized
area formula apportionment.
For information regarding these procedures, please contact Kristen
D. Clarke, FTA Budget Office, at (202) 366-
[[Page 6733]]
1686; or James V. Lunetta, FHWA Finance Division, at (202) 366-2845.
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; 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 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 data on route miles and revenue vehicle miles on segments at
least seven years old, as reported to the NTD.
Table 7 displays the FY 2004 Fixed Guideway Modernization
apportionments and the amount of an area's apportionment that is
currently available for obligation, in accordance with the Consolidated
Appropriations Act, 2004 and the Surface Transportation Extension Act
of 2003. Fixed Guideway Modernization funds apportioned for this
section must be used for capital projects to maintain, modernize, or
improve fixed guideway systems.
Eligible urbanized areas (those with a population of at least
200,000) with fixed guideway systems that are at least seven years old
are entitled 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.
The Consolidated Appropriations Act, 2004 provides $1,199,387,615
to the Fixed Guideway Modernization after the across-the-board .59
percent rescission. An amount of $11,993,876 is reserved for oversight,
leaving $1,187,393,739 available for apportionment to eligible
urbanized areas. Of this amount, $642,390,071 is currently available
for obligation, in accordance with the Surface Transportation Extension
Act of 2003.
Table 13 contains information regarding the Fixed Guideway
Modernization apportionment formula.
B. New Starts
The Consolidated Appropriations Act, 2004 provides $1,320,498,097
to New Starts after the across-the-board .59 percent rescission. This
amount includes transfers of $4,514,482 from unobligated FY 2000 and FY
2001 JARC funds, in accordance with language in the Consolidated
Appropriations Act, 2004 and accompanying Conference Report. Of the
$1,320,498,097 available, $13,204,981 is reserved for oversight
activities, leaving $1,307,293,116 for allocations to projects. In
addition, Congress directed that funds be made available from projects
in previous appropriations acts, which increases the total amount made
available to $1,307,293,121. The reallocated funds are derived from
unobligated balances for the following projects: Boston-South Boston
Piers transitways project, $2; and Massachusetts North Shore corridor
project, $3. The final allocation for each New Starts project is listed
in Table 8. Also displayed in Table 8 is the amount of each New Starts
project allocation that is currently available for obligation, in
accordance with the Surface Transportation Extension Act of 2003.
Prior year unobligated allocations for New Starts in the amount of
$499,881,522 remain available for obligation in FY 2004. This amount
includes $408,432,112 in fiscal years 2002 and 2003 unobligated
allocations, and $91,449,410 for fiscal years 2000 and 2001 unobligated
allocations that are extended in the FY 2004 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 2004 Conference Report accompanying
the Consolidated Appropriations Act, 2004 will lapse on September 30,
2004. A list of these extended projects and the amounts that remained
unobligated as of September 30, 2003, is appended to Table 8A for
reference.
C. Bus and Bus-Related
The Consolidated Appropriations Act, 2004 provides $623,499,520 for
the purchase of buses, bus-related equipment and paratransit vehicles,
and for the construction of bus-related facilities, after the across-
the-board .59 percent rescission. This amount includes $20 million
(adjusted for the .59 percent rescission) in FY 2004 funds transferred
from the JARC program.
TEA-21 authorized 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 and Bus-Related
category of the Capital Investment Program and $50 million from the
Formula Program. However, the Consolidated Appropriations Act, 2004
directs FTA to transfer the formula portion to, and merge it with,
funding provided for the Bus and Bus-Related category of the Capital
Investment Program. The .59 percent across-the-board rescission has
been applied to the $50 million. Thus, $673,204,520 of funds
appropriated in FY 2004 is available for funding the Bus and Bus-
Related category of the Capital Investment Program. In addition,
Congress directed that funds made available for bus and bus facilities
include $2,188,112 reallocated from projects in previous appropriations
acts, which increases the total amount made available to $675,392,632.
The reallocated funds are derived from FY 2001 unobligated balances for
the following projects: (MA) Woburn, buses and bus facilities,
$247,579; (NJ) Elizabeth Ferry Project, $495,157; (NY) Greenport Sag
Harbor, ferries and vans, $59,419; (NY) Westchester and Duchess
counties, vans, $148,063; and (PA) Phoenixville, transit related
improvements, $1,237,894.
After reserving $6,732,045 for oversight, the amount available for
allocation under the Bus and Bus-Related category is $668,660,587.
Table 9 displays the allocation of the FY 2004 Bus and Bus-Related
funds by State and
[[Page 6734]]
project. Also displayed in Table 9 is the amount of each Bus and Bus-
Related project allocation that is currently available for obligation,
in accordance with the Surface Transportation Extension Act of 2003.
The FY 2004 Conference Report accompanying the Consolidated
Appropriations Act, 2004 allocated all of the FY 2004 Bus and Bus-
Related funds to specified States or localities for bus and bus-related
projects. FTA will fund all designations that comply with the statutory
requirements for the program.
Prior year unobligated balances for Bus and Bus-Related allocations
in the amount of $645,560,480 remain available for obligation in FY
2004. This includes $624,654,956 in fiscal years 2002 and 2003
unobligated allocations, and $20,905,524 for fiscal years 1998, 1999,
2000, and 2001 unobligated allocations extended in the FY 2004
Conference Report. These unobligated amounts are displayed in Table 9A.
Capital Investment Program funds for Bus and Bus-Related projects
identified as having been extended in the Conference Report
accompanying the Consolidated Appropriations Act, 2004 will lapse on
September 30, 2004. A list of the extended projects and the amounts
that remains unobligated as of September 30, 2003, is appended to Table
9A for reference.
In addition, the FY 2004 Conference Report provides clarifications
for Bus and Bus-Related projects as follows
(1) San Dieguito Transportation Cooperative, California--Amounts
made available from fiscal year 2002 for the San Dieguito
Transportation Cooperative, California, shall instead be distributed to
the North County Transit District, California, for initial design and
planning for a new intermodal center.
(2) Cambria County, Pennsylvania--Amounts made available from
fiscal year 2003 for the Cambria County operations and maintenance
facility, Pennsylvania, shall be distributed to the Johnstown Inclined
Plane visitor's center, Pennsylvania.
(3) Somerset County, Pennsylvania--Amounts made available from
fiscal year 2002 for the Somerset County Transportation System buses,
Pennsylvania, shall be distributed to Somerset County Accessible Raised
Roof Vans ($90,000) and to Somerset County bus and bus facilities
($146,000), Pennsylvania.
(4) Community Medical Centers, California--Amounts made available
from fiscal year 2001 for the Community Medical Centers Intermodal
Facility, Fresno, California, shall be available for the City of Fresno
for the same project. The availability of funds is extended for one
year.
(5) Illinois statewide buses--The conference committee expects IDOT
to provide at least half the FY 2004 funds made available for downtown
Illinois replacement of buses in Bloomington, Champaign-Urbana,
Decatur, Madison County, Peoria, Quincy, RIDES, River Valley, Rockford,
Rock Island, South Central Illinois MTD, and Springfield. Further the
conferees expect IDOT to provide appropriate funds for bus facilities
in Bloomington, Galesburg, Rock Island, and Metro Link's bus
maintenance facility in St. Clair County.
(6) Civil Rights Trail Trolleys--Amounts made available in fiscal
year 2001 for the Montgomery Civil Rights Trail Trolleys shall instead
be distributed to the City of Montgomery's Rosa Parks bus project. The
availability of funds is extended for one year.
(7) Vermont buses--Amounts made available in fiscal year 2001 for
Central Vermont Transit Authority Wheels Transportation Services shall
be distributed to the Vermont Agency of Transportation. The
availability of funds is extended for one year.
(8) Reno, Nevada, bus projects--Amounts made available for Bus
Rapid Transit, South Virginia Street, Reno ($1,950,000) for fiscal year
2003 and Reno Suburban transit coaches ($500,000 in fiscal year 2002)
shall be made available for Reno/Sparks intermodal transportation
terminals, as proposed by the Senate.
(9) Falls Church Bus Rapid Transit terminus, Virginia--Funds made
available for Falls Church Bus Rapid Transit terminus, Virginia, for
fiscal year 2001 shall be made available to the City of Falls Church to
purchase three 30-foot buses to provide shuttle service from temporary
parking lots during the construction of a parking garage at the West
Falls Church Metrorail station. Once the garage is completed, the buses
will be used to provide feeder service to the West Falls Church
Metrorail station. The availability of funds is extended for one year.
(10) Eastchester, Metro North Facilities, New York--Amounts made
available in fiscal year 2001 for Eastchester, Metro North Facilities,
New York shall instead be distributed to the Bronx Zoo Intermodal
Transportation Facility, New York. The availability of funds is
extended for one year.
(11) Westbrook, Intermodal Facility, Maine--Amounts made available
in fiscal year 2003 for Westbrook, Intermodal Facility, Maine shall
instead be distributed to State of Maine, Statewide Buses.
(12) Section 175 of the Consolidated Appropriations Act, 2004
allows the Memphis-Shelby International Airport intermodal facility to
be eligible under ``Federal Transit Administration, bus and bus
facilities.''
X. Job Access and Reverse Commute Program
The Consolidated Appropriations Act, 2004 provides $105 million for
the Job Access and Reverse Commute (JARC) Program, reduced to
$104,380,500 by the .59 percent rescission. JARC project allocations
designated in the accompanying Conference Report are included in this
notice as Table 11. The amounts designated in the report have been
adjusted to reflect the rescission, and the $298,230 set aside for
technical assistance and evaluation of the program. Because TEA-21
requires that JARC project selections be made through a national
competition based on statutorily specified criteria, FTA cannot honor
the designations in report language without further statutory
direction, such as that provided in legislation enacted subsequent to
the Appropriations Act in FY 2002 and FY 2003. The Consolidated
Appropriations Act, 2004 includes language at Section 547, directing
FTA to honor the JARC designations in the report. FTA will not conduct
a solicitation for applications for projects to be competitively
selected in FY 2004, as no additional funds are 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 may be used for Reverse Commute Projects.
Prior year unobligated balances for JARC allocations in the amount
of $107,012,264 remain available for obligation in FY 2004. These
balances include congressional allocations from fiscal years 2002 and
2003 totaling $103,012,302, along with FY 2002 competitive allocations
totaling $3,999,962, which are available through the end of FY 2004.
These unobligated amounts are displayed in Table 11A. Congress
transferred $4,514,482 from unobligated JARC projects
[[Page 6735]]
Congressionally designated in the conference reports accompanying the
fiscal year 2000 and 2001 Appropriations Acts to the New Starts
program. Projects reallocated included all fiscal year 2000 and 2001
JARC Congressional allocations for which FTA had not received an
application as of November 7, 2003.
XI. Over-the-Road Bus Accessibility Program
The Consolidated Appropriations Act, 2004 provides $6,908,995 for
the Over-the-Road Bus Accessibility (OTRB) Program after the across-
the-board .59 percent rescission. Of this amount, $5,219,025 is
allocable to providers of intercity fixed-route service, and $1,689,970
to other providers of over-the-road bus services, including local
fixed-route service, commuter service, and charter and tour service.
The total amount of $3,698,147 is currently available for obligation in
accordance with the Surface Transportation Extension Act of 2003. This
includes $2,792,101 for intercity fixed-route service and $906,046 for
other over-the-road bus services.
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.
A Federal Register Notice providing program guidance and
application procedures for FY 2004 was published in the Federal
Register November 24, 2003. Applications were due February 2, 2004.
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. No funds were
provided for this program in the Consolidated Appropriations Act, 2004.
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 Consolidated Appropriations Act, 2004 provides $35,290,550 for
the National Planning and Research Program after the across-the-board
.59 percent rescission. Of this amount $25,685,159 is allocated for
specific activities after applicable reductions for the Small Business
Innovation Research program. The project allocations are listed in
Table 10, along with the amount that is currently available for
obligation, in accordance with the Surface Transportation Extension Act
of 2003. For additional information contact Bruce Robinson, Office of
Research, Demonstration and Innovation, at (202) 366-4209.
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 14 of this notice. To replicate
an area's apportionment, multiply its population, population density,
and data from the NTD by the appropriate unit value.
XV. Period of Availability of Funds
The funds apportioned in this notice under the Metropolitan
Planning Program and the Statewide Planning and Research Program, the
Urbanized Area Formula Program, and Fixed Guideway Modernization
Program will remain available to be obligated by FTA to recipients for
three fiscal years following FY 2004. Any of these apportioned funds
that remain unobligated at the close of business on September 30, 2007,
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 2004. Any such funds that remain unobligated
at the close of business on September 30, 2006, 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,
2004. Any such funds that remain unobligated as of that date will
revert to FTA for reapportionment among the States under the Elderly
and Persons with Disabilities Program. The Consolidated Appropriations
Act, 2004 includes a provision requiring that FY 2004 New Starts and
Bus and Bus-Related funds not obligated for their original purpose as
of September 30, 2006, shall be made available for other projects under
49 U.S.C. 5309.
Funds for JARC projects competitively selected by FTA remain
available for two fiscal years following the fiscal year of selection.
Any such funds that remain unobligated after that time will revert to
FTA for reallocation under the JARC program. There were no competitive
JARC selections by FTA in FY 2003 and none are anticipated in FY 2004.
JARC projects selected by FTA in FY 2002 will revert to FTA for
reallocation after September 30, 2004. Congressional allocations of
JARC projects remain available to the designated entity unless
reallocated by Congress. Congress reallocated unobligated Congressional
allocations for JARC projects from fiscal years 2000 and 2001 in the
Consolidated Appropriations Act, 2004.
Capital Investment Program funds for New Starts and Bus and Bus-
Related projects identified as having been extended in the FY 2004
Conference Report accompanying the Consolidated Appropriations Act,
2004 will lapse September 30, 2004.
XVI. Automatic Pre-Award Authority To Incur Project Costs
This information incorporates and elaborates on guidance previously
provided in the FTA FY 2002 and FY 2003 Apportionments and Allocations
Notice found at http://www.fta.dot.gov/library/legal/federalregister/2002/fr1202a.pdf and http://www.fta.dot.gov/library/legal/
://http://www.fta.dot.gov/library/legal/al/
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 are met to retain eligibility. This automatic pre-award
spending authority permits a grantee to incur costs on an eligible
transit capital or planning project without prejudice to possible
future Federal participation in the cost of the project or projects.
Prior to exercising pre-award authority, grantees must comply with the
conditions and Federal requirements outlined in paragraphs B and C
immediately below. Failure to do so will render an otherwise eligible
project ineligible for FTA financial assistance. In addition, grantees
are strongly encouraged to consult with the appropriate FTA regional
office if there is any question regarding the eligibility
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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. In the March 12, 2003 Federal Register Notice of FY 2003
Apportionments and Allocations, FTA extended pre-award authority to
grantees for project costs to be reimbursed by formula funds and
flexible funds to be appropriated in FY 2004. In this notice, FTA is
extending this pre-award authority for formula funds and flexible funds
that will be appropriated in FY 2005. Pre-award authority for operating
and planning projects under the formula grant programs is not limited
to the authorization period. Pre-award authority also applies to
Capital Investment Bus and Bus-Related allocations identified in this
notice. For such section 5309 Capital Investment Bus and Bus-Related
projects, the date that costs may be incurred is the date that the
appropriation bill in which they are contained is enacted. In this
notice, FTA is also extending comparable pre-award authority to those
surface transportation projects commonly referred to as section 330
projects administered by FTA, for which amounts were provided in the
Department of Transportation and Related Agencies Appropriations Acts
(DOT Appropriations Act) in fiscal years 2002 and 2003.
Blanket pre-award authority does not apply to Capital New Starts
funds, or to Capital Investment Bus and Bus-Related projects not
specified in this or previous notices. Specific instances of pre-award
authority for Capital New Starts projects are described in paragraph D
below. Before an applicant may incur costs for Bus and Bus-Related
Capital projects not listed in this notice or previous notices, it must
first obtain a written Letter of No Prejudice (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, as described in section XVII below.
In using pre-award authority for FY 2004 or FY 2005 formula funds,
grantees are cautioned that reauthorization may result in changes in
program structure, administrative requirements, or funding
availability. As with all pre-award authority, activities must be
conducted in compliance with Federal requirements in order to retain
eligibility for future reimbursement.
B. Conditions
The conditions under which pre-award authority may be utilized are
specified below:
(1) The pre-award authority is not a legal or implied 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 implied
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) When a grant for the project is subsequently awarded, 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 the National Environmental Policy Act (NEPA) and other
environmental laws or executive orders (e.g., protection of parklands,
wetlands, and 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, 23 CFR part 771.117(d), a finding of no significant impact
(FONSI), or an environmental record of decision (ROD). The conformity
requirements of the Clean Air Act, 40 CFR part 93, also must be fully
met before the project may be advanced into implementation under pre-
award authority 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 under pre-
award authority. 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.
D. Pre-Award Authority for New Starts Projects
The pre-award authorities related to New Starts projects that were
provided in the FY 2003 Apportionments and Allocations Notice published
in the Federal Register on March 12, 2003, (68 FR 1106 et seq.) remain
in effect. The FY 2003 Notice may be found on the FTA Web site at
http://www.fta.dot.gov/library/legal/federalregister/2003/fr31203.pdf.
The referenced FY 2003 Notice includes a complete description of the
conditions that apply to each of the pre-award authorities listed in
the chart below:
----------------------------------------------------------------------------------------------------------------
Pre-award authority to incur cost for: Preaward authority is effective upon:
----------------------------------------------------------------------------------------------------------------
NEPA Compliance......................... Inclusion of Project in the STIP.
Preliminary Engineerinig (PE)........... FTA's Approval of Entry into PE.
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Acquisition of Real Prooperty........... FTA's Complection of the NEPA Process.
Final Design............................ FTA's Approval of Entry into Final Design.
Construction............................ Full Funding Grant Agreement.
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XVII. Letter of No Prejudice (LONP) Policy
A. Policy
LONP authority allows an applicant to incur costs on a 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 and project activities 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 and Bus-Related funds not yet appropriated by Congress. At the
end of an authorization period, LONPs may be issued for formula funds
beyond the life of the current authorization or FTA's extension of
automatic pre-award authority.
B. Conditions and Federal Requirements
The conditions for pre-award authority specified in Part XVI, B,
above apply to all LONPs. The Environmental, Planning and Other Federal
Requirements described in Part XVI, C, also apply to all LONPs. Because
project implementation activities may not be initiated prior to NEPA
completion, FTA will normally not issue an LONP for such activities
until the NEPA process has been completed with a ROD, FONSI, or
Categorical Exclusion determination.
C. 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 and obtain written
approval.
XVIII. Program Guidance
The FTA Web site at http://www.fta.dot.gov is a source of program
guidance and current information of interest to FTA grantees, including
this apportionment notice. The Web site is currently being redesigned
to provide a more customer-focused source of information. Grantees
should check the FTA Web site frequently to keep up to date on new
postings.
The following FTA program Circulars are posted on the Web site:
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; 4220.1E, Third Party Contracting Requirements, dated
June 19, 2003; C5010.1C, Grant Management Guidelines, dated October 1,
1998; C8100.1B, Program Guidance and Application Instructions for
Metropolitan Planning Program Grants, dated October 25, 1996; C8200.1,
Program Guidance and Application Instructions for State Planning and
Research Program Grants, dated December 27, 2001; and C5200.1A, Full
Funding Grant Agreement Guidance, dated December 5, 2002. The FY 2004
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. The DOT final rule on ``Participation by
Disadvantaged Business Enterprises in Department of Transportation
Financial Assistance Programs,'' which was effective July 16, 2003, can
be found on the Department's Web site at http://osdbuweb.dot.gov/business/dbe/Docs/03-14989.pdf
.
XIX. FTA Fiscal Year 2004 Annual List of Certifications and Assurances
On January 15, 2004, FTA published in the Federal Register the list
and accompanying text of all Certifications and Assurances required of
recipients of FTA assistance in FY 2004. See, 69 FR 2454 et seq. The
full text of the FY 2004 Certifications and Assurances is also
accessible both on FTA's Internet Web site at http://www.fta.dot.gov/library/legal/federalregister/2004/2004_CERTS.doc
and on TEAM-Web. In
compliance with 49 U.S.C. 5323(n), which requires a simultaneous
publication of a list of the Certifications and Assurances and FTA's
annual notice of Apportionments, recipients are directed to the January
15, 2004, notice at 69 FR 2454 et seq. for the list and text of FTA's
Certifications and Assurances and to FTA's Web sites displaying those
Certifications and Assurances. Any questions regarding this document
may be addressed to the appropriate FTA regional office.
As in previous years, the grant applicant should certify
electronically. Under certain circumstances the applicant may enter its
Personal Identification Number (PIN) 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.
XX. Grant Application Procedures
Grantees must provide a Dun and Bradstreet (D&B) Data Universal
Numbering System (DUNS) number for inclusion in all applications for a
Federal grant or cooperative agreement submitted on or after October 1,
2003. The Office of Management and Budget (OMB) published this
requirement in the Federal Register on June 27, 2003 at 68 FR 38402 et
seq. On August 4, 2003, FTA issued a Dear Colleague letter including
instructions on how to obtain a DUNS number, which can be accessed at
http://www.fta.dot.gov/office/public/2003/c0314.html. The DUNS number
should be entered into the grantee profile in TEAM. Additional
information about this and other Federal grant streamlining initiatives
mandated by the Federal Financial Assistance Management Improvement Act
of 1999 (Pub. L. 106-107) can be accessed on OMB's Web site at http://www.whitehouse.gov/omb/grants/reform.html
.
All applications for FTA funds should be submitted to the
appropriate FTA regional office. FTA utilizes TEAM-Web, an Internet
accessible electronic grant application system, and all applications
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
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that have not successfully connected to or accessed TEAM-Web.
In FY 2004 FTA is committed to reducing the average days required
to process a grant to 36, while continuing to process at least 80
percent of grants within 60 days of receipt of a completed application
by the appropriate Regional Office. In FY 2003, FTA achieved this goal
with 83 percent of grants obligated within 60 days of submission of a
completed application and an average processing time of 39 days. 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,
an adequate project description must be included, the local share must
be secured, any flexible funds included in the budget must be secured,
all required civil rights submissions must be current, and
certifications and assurances must 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 (DOL) for a certification under section 5333(b). During FY 2004,
any grantees applying for funds available under an extension of TEA-21
before the full year's apportionment becomes available, are encouraged
to include contingency items for the remainder of the funds, so that
the entire project can be certified by DOL at the time of the initial
application. The FTA circulars contain more information regarding
application contents. State applicants for section 5311funds 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 specified related information for each grant.
This notice and all program guidance circulars may be accessed via
the FTA Web site. Copies of circulars are available from FTA regional
offices, as well.
Issued on: February 4, 2004.
Jennifer L. Dorn,
Administrator.
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[FR Doc. 04-2741 Filed 2-10-04; 8:45 am]
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