FTA Fiscal Year 2020 Apportionments, Allocations and Program Information

Citation85 FR 34285
Record Number2020-11946
Published date03 June 2020
SectionNotices
CourtFederal Transit Administration
Federal Register, Volume 85 Issue 107 (Wednesday, June 3, 2020)
[Federal Register Volume 85, Number 107 (Wednesday, June 3, 2020)]
                [Notices]
                [Pages 34285-34303]
                From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
                [FR Doc No: 2020-11946]
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                DEPARTMENT OF TRANSPORTATION
                Federal Transit Administration
                FTA Fiscal Year 2020 Apportionments, Allocations and Program
                Information
                AGENCY: Federal Transit Administration (FTA), DOT.
                ACTION: Notice.
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                SUMMARY: This notice provides priorities for programs in Fiscal Year
                (FY) 2020, announces the full-year apportionments and allocations for
                grant programs, provides contract authority, and describes plans for
                several competitive programs.
                FOR FURTHER INFORMATION CONTACT: For general information about this
                notice, contact Kimberly Sledge, Deputy Associate Administrator, Office
                of Program Management, at (202) 366-2053. Please contact the
                appropriate FTA Regional Office for any specific requests for
                information or technical assistance. FTA Regional Office contact
                information is available on FTA's website: www.transit.dot.gov. An FTA
                headquarters contact for each major program area is included in the
                discussion of that program in the text of this notice. FTA recommends
                stakeholders subscribe on FTA's website: www.transit.dot.gov to receive
                email notifications when new information is available.
                SUPPLEMENTARY INFORMATION:
                Table of Contents
                I. Overview
                II. FY 2020 Funding for FTA Programs
                 A. Funding Available Under the Further Consolidated
                Appropriations Act, 2020
                 B. Oversight Takedown
                 C. FY 2020 Formula Apportionments: Data and Methodology
                III. FY 2020 Program Highlights
                 A. Emergency Relief Docket
                 B. Policy Priorities
                 1. Accelerating Innovative Mobility (AIM)
                 2. Public Transportation Agency Safety Plans
                 3. Value Capture
                 4. Coordinating Council on Access and Mobility
                [[Page 34286]]
                 5. Rural Opportunities to Use Transportation for Economic
                Success (ROUTES)
                 6. Opportunity Zones
                 C. FY 2020 Competitive Program Funding
                 D. National Defense Authorization Act for FY 2020
                IV. FY 2020 Program-Specific Information
                 A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
                 B. State Planning and Research Program (49 U.S.C. 5304 and
                5305(e))
                 C. Urbanized Area Formula Program (49 U.S.C. 5307)
                 D. Fixed Guideway Capital Investment Grants Program (49 U.S.C.
                5309)
                 E. Formula Grants for the Enhanced Mobility of Seniors and
                Individuals With Disabilities Program (49 U.S.C. 5310)
                 F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
                 G. Rural Transportation Assistance Program (49 U.S.C.
                5311(b)(3))
                 H. Appalachian Development Public Transportation Assistance
                Program (49 U.S.C. 5311(c)(2))
                 I. Public Transportation on Indian Reservations Program (49
                U.S.C. 5311(c)(1))
                 J. Public Transportation Innovation (49 U.S.C. 5312)
                 K. Technical Assistance and Workforce Development (49 U.S.C.
                5314)
                 L. Public Transportation Emergency Relief Program (49 U.S.C.
                5324)
                 M. State Safety Oversight Formula Program (49 U.S.C. 5329)
                 N. State of Good Repair Grants Program (49 U.S.C. 5337)
                 O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
                 P. Growing States and High-Density States Formula Factors (49
                U.S.C. 5340)
                 Q. Washington Metropolitan Area Transit Authority Grants
                V. FY 2020 Grants
                 A. Automatic Pre-Award Authority to Incur Project Costs
                 B. Letter of No Prejudice (LONP) Policy
                 C. FY 2020 Annual List of Certifications and Assurances
                 D. Civil Rights Requirements
                 E. Consolidated Planning Grants
                 F. Grant Application Procedures
                I. Overview
                 This document provides notice to stakeholders that FTA is
                apportioning the full Fiscal Year (FY) 2020 authorized contract
                authority through September 30, 2020 for FTA formula and competitive
                programs pursuant to Division H of the Further Consolidated
                Appropriations Act, 2020 (Pub. L. 116-94). In addition, this document
                contains important information about FTA programs, statutory
                requirements, and policy priorities.
                 For each FTA program, FTA has provided information on the FY 2020
                authorized funding levels, funding availability and the period of
                availability of funds. A separate section provides information on pre-
                award authority as well as other requirements applicable to FTA
                programs and grant administration. Finally, the notice includes a
                reference to tables on FTA's website that show new contract authority
                apportioned and made available through September 30, 2020.
                 Information in this document includes references to existing FTA
                program guidance and circulars. Some information in FTA's guidance
                documents and circulars may have been superseded by new provisions in
                the Fixing America's Surface Transportation (FAST) Act (Pub. L. 114-
                94), but these guidance documents and circulars remain a resource for
                program management in most areas.
                II. FY 2020 Funding for FTA Programs
                A. Funding Available Under the Further Consolidated Appropriations Act,
                2020
                 Division H of the Further Consolidated Appropriations Act, 2020
                (Pub. L. 116-94) (``Further Consolidated Appropriations Act, 2020'')
                makes $12.8 billion in funding available for FTA programs in FY 2020.
                The Further Consolidated Appropriations Act, 2020 provides $10.15
                billion in funding from the Mass Transit Account of the Highway Trust
                Fund at the amounts authorized by the FAST Act for FY 2020, along with
                $2.64 billion in general funds including $1.978 billion for Capital
                Investment Grants, $150 million in additional general contract
                authority for the Washington Metropolitan Area Transit Authority
                (WMATA) and $510 million for transit infrastructure grants including:
                $168 million for Grants for Buses and Bus Facilities formula grants,
                $170 million for Buses and Bus Facilities competitive grants, $75
                million for Low or No Emissions Grants, $40 million for Formula Grants
                for Rural Areas, $40 million for the Section 5340 High Density States
                Apportionments, $5.5 million for Section 5312 Public Transportation
                Innovation, and $3 million for low and no emission vehicle testing
                facilities. Also included is $8.5 million for new competitive grants in
                areas of persistent poverty. Current funding availability for each
                program is identified in section IV of this notice and in Table 1
                located on FTA's FY 2020 Apportionment web page: www.transit.dot.gov/funding/apportionments.
                B. Oversight Takedown
                 Section 5338(f) of title 49, United States Code (all subsequent
                statutory references are to title 49, United States Code unless
                otherwise noted) provides for the following oversight takedowns of FTA
                programs: 0.5 percent of Metropolitan and Statewide Planning funds,
                0.75 percent of Urbanized Area Formula Grant funds, 1 percent of Fixed
                Guideway Capital Investment Grants funds, 0.5 percent of Formula Grants
                for the Enhanced Mobility of Seniors and Individuals with Disabilities
                funds, 0.5 percent of Formula Grants for Rural Areas funds, 1 percent
                of State of Good Repair Formula Grants funds, 0.75 percent of Grants
                for Buses and Bus Facilities funds, and 1 percent of funds for Capital
                and Preventive Maintenance Projects for grants to the Washington
                Metropolitan Area Transit Authority. FTA uses the funds to provide
                necessary oversight activities, such as oversight of the construction
                of any major capital project receiving Federal public transportation
                assistance; to conduct State Safety Oversight, drug and alcohol, civil
                rights, procurement systems, management, planning certification, and
                financial management reviews and audits; evaluations and analyses of
                grantee-specific problems and issues; and to generally provide
                technical assistance and correct deficiencies identified in compliance
                reviews and audits.
                C. FY 2020 Formula Apportionments: Data and Methodology
                1. Apportionment Tables
                 FTA publishes apportionment tables on its website for each program
                that reflects the funding level in the full-year appropriations act
                less oversight take-downs, as applicable. FTA has posted tables
                displaying the funds available to eligible states, tribes, and
                urbanized areas to www.transit.dot.gov/funding/apportionments. This
                website contains a page listing the apportionment and allocation tables
                for FY 2020, links to prior year formula apportionment notices and
                tables, and the National Transit Database (NTD) and Census data used to
                calculate the FY 2020 apportionments.
                2. National Transit Database (NTD) and Census Data Used in the FY 2020
                Apportionments
                 Consistent with past practices, the apportionments calculations for
                Sections 5307, 5311 (including 5311(c)(1)), 5329, 5337, and 5339 rely
                on the most-recent transit service data reported to the NTD, which for
                FY 2020 is the 2018 report year. In some cases, where an apportionment
                is based on the age of the system, the age is calculated as of
                September 30, 2019, the last day before FY 2020 began. Recipients or
                beneficiaries of either Section 5307 or 5311 funds are required to
                report to the NTD. Additionally, several transit
                [[Page 34287]]
                operators report to the FTA's NTD on a voluntary basis. For the 2018
                report year, the NTD includes data from 941 reporters in urbanized
                areas, 925 of which reported operating transit service. The NTD also
                includes data from 1,475 providers of rural transit service, which
                includes 134 Indian Tribes providing transit service.
                 The 2010 Census data is used to determine population and population
                density for Sections 5303, 5305, 5307 and 5339 as well as rural
                population and rural land area for the 5311 program. The formulas for
                Sections 5307, 5311, and 5311(c)(1) include tiers where funding is
                allocated based on the number of persons living in poverty, and the
                Section 5310 formula program allocates funding based on the population
                of older adults and people with disabilities. The Census Bureau no
                longer publishes decennial census data on persons living in poverty and
                persons with disabilities. As a result, since FY 2013, FTA has used the
                data for these populations available via the Census' American Community
                Survey (ACS). The NTD and Census data that FTA used to calculate the
                apportionments associated with this notice can be found on FTA's
                website: www.transit.dot.gov/funding/apportionments.
                 The FY 2020 apportionments use data on low-income persons, persons
                with disabilities, and older adults from the 2013-2017 ACS five-year
                data set, which was published in December 2018. This data represents
                the most recent five-year ACS estimates that are available as of
                October 1 for the year being apportioned. As was the case in prior
                years, data on low-income persons comes from ACS Table B17024, ``Age by
                Ratio of Income to Poverty in the Last Twelve Months,'' and data on
                people with disabilities under 65 years old comes from ACS Table S1810,
                ``Disability Characteristics.'' Data on older adults (over 65 years
                old) comes from ACS Table B01001, ``Sex by Age.''
                 The Bureau of the Census will carry out the next decennial census
                in 2020. Data collected during the decennial census impacts the type
                and amount of funding that FTA recipients are eligible to receive. The
                Bureau of the Census will issue a list of Urbanized Areas and
                population statistics based on 2020 Census data. Changes to an area's
                designation as an urban or rural area will change the grant programs
                for which recipients in that area are eligible. Changes to the size and
                population of an area may mean that the area will receive more or less
                formula funding than it received based on 2010 Census data, or may
                change whether a recipient receives funding directly from FTA or
                indirectly from a pass-through entity. It is expected that 2020 Census
                data will be utilized for FTA funding beginning in FY 2023, after
                careful processing of the data by the Bureau of the Census, followed by
                review and evaluation of the data by FTA.
                III. FY 2020 Program Highlights
                A. Emergency Relief Docket
                 Pursuant to 49 CFR 601.42, on January 15, 2020 FTA announced the
                establishment of an Emergency Relief Docket for calendar year 2020. See
                https://federalregister.gov/d/2020-00539 for more information. After an
                emergency or major disaster, if FTA requirements impede a recipient's
                or subrecipient's ability to respond to the emergency or major
                disaster, a recipient or subrecipient may submit a request for
                temporary relief from FTA administrative and statutory requirements. A
                recipient or subrecipient seeking relief must submit a petition for
                waiver of FTA requirements at www.regulations.gov for posting in the
                docket (FTA-2020-0001). For additional information on the Emergency
                Relief Docket, please contact the appropriate FTA Regional Office.
                B. Policy Priorities
                 As FTA implements its programs, it is particularly focused on the
                following policy priority areas in FY 2020.
                1. Accelerating Innovative Mobility
                 FTA is launching the Accelerating Innovative Mobility (AIM)
                Initiative to significantly advance the adoption of innovative
                technologies, practices or service models to improve mobility and the
                customer experience. Furthermore, the AIM initiative seeks to ensure
                these new technologies or practices permit interoperability across
                transit systems.
                 On March 18, 2020, FTA announced an $11 million Notice of Funding
                Opportunity under the AIM Initiative to support and advance innovation
                in the transit industry. AIM challenge grants will help transit
                agencies explore new service models that provide more efficient and
                frequent service, which will help retain riders. As a funding partner,
                FTA will help alleviate the potential risks involved in adopting new
                technologies and practices.
                 FTA's Fiscal Year 2020 competitive capital grant programs, which
                total $615 million, will highlight innovation as part of their
                selection criteria. This will provide applicants with an opportunity to
                showcase how they can incorporate new approaches to improve the rider
                experience. FTA's Technical Assistance Centers will provide targeted
                technical assistance to deploy successful innovative models and develop
                case studies and hands-on resources. The centers will hold workshops
                focused on bringing together transit agencies to discuss best
                practices, identify barriers, and advance the adoption of new
                technologies and practices while ensuring safety for riders. More
                information on the AIM initiative is available at: www.transit.dot.gov/AIM.
                2. Public Transportation Agency Safety Plans
                 The Public Transportation Agency Safety Plan (PTASP) regulation at
                49 CFR part 673 requires certain operators of public transportation
                systems that receive Federal financial assistance under 49 U.S.C.
                Chapter 53 to draft and certify a Public Transportation Agency Safety
                Plan (ASP) by July 20, 2020. On April 22, 2020, FTA issued a Notice of
                Enforcement Discretion to alert transit agencies that, until December
                31, 2020, FTA will refrain from taking enforcement action against any
                FTA recipient or subrecipient subject to the PTASP regulation that is
                unable to certify that it has established an Agency Safety Plan that
                complies with the regulation by the July 20 compliance deadline. During
                this time, the PTASP Technical Assistance Center will remain available
                to meet grantees' PTASP technical assistance needs.
                a. Applicability
                 The PTASP regulation applies to all operators of public
                transportation systems that are recipients and sub-recipients of
                federal financial assistance under the Urbanized Area Formula Program
                (49 U.S.C. 5307) and rail transit agencies that are subject to FTA's
                State Safety Oversight Program. FTA has deferred applicability of Part
                673 for operators that only receive funds through FTA's Formula Grants
                for the Enhanced Mobility of Seniors and Individuals with Disabilities
                Program under 49 U.S.C. 5310 and/or Formula Grants for Rural Areas
                Program under 49 U.S.C. 5311. In addition, Part 673 does not apply to
                certain modes of transit service that are subject to the safety
                jurisdiction of another Federal agency, including passenger ferry
                operations that are regulated by the United States Coast Guard and
                commuter rail operations that are regulated by the Federal Railroad
                Administration.
                 In addition, States must draft and certify ASPs on behalf of small
                public transportation providers within a State, unless a small provider
                opts to draft and certify their own ASP and notifies the
                [[Page 34288]]
                State that they will do so. A small public transportation provider is a
                transit operator that meets all of the following requirements:
                 Is a recipient or sub-recipient of FTA's Urbanized Area
                Formula Program,
                 Operates 100 or fewer vehicles in peak revenue service
                across all fixed route modes and any each non-fixed route mode, and
                 Does not operate rail fixed-guideway public
                transportation.
                 Regardless of who drafts and certifies an ASP, each transit
                operator is required to carry out and implement its own ASP.
                 State Safety Oversight Agencies must review and approve the ASP of
                each rail transit agency that they oversee.
                b. Certifications and Assurances
                 Applicants for Urbanized Area Formula Program funds, rail transit
                agencies that are subject to FTA's State Safety Oversight Program, and
                States that are required to draft and certify an ASP on behalf of a
                small public transportation provider must certify that they have met
                the requirements of the PTASP regulation no later than July 20, 2020.
                The certification requirement does not apply to any applicant that
                receives financial assistance from FTA exclusively under the Formula
                Grants for the Enhanced Mobility of Seniors Program (49 U.S.C. 5310),
                the Formula Grants for Rural Areas Program (49 U.S.C. 5311), or
                combination of these two programs.
                 Applicants that receive awards prior to fulfilling their
                requirements under the PTASP regulation and prior to July 20, 2020,
                will execute all other relevant certifications and then execute the
                PTASP certification after the requirements are met, but no later than
                July 20, 2020. After July 20, 2020, FTA will not process a grant
                application without the PTASP certification.
                 For more information on the requirements, please visit the PTASP
                Technical Assistance Center at https://www.transit.dot.gov/PTASP-TAC.
                3. Value Capture
                 FTA encourages grantees to consider options to utilize value
                capture in planning and financing capital projects. Per 49 U.S.C.
                5302(24), value capture is the process by which a public agency
                leverages or recovers a portion of the increased value of properties
                located near public transportation. Extensive research has shown that
                public transportation investments can lead to significant increases in
                land values located close to transit systems due to the increased
                access to that location. While these increased values typically accrue
                to private landowners, the public investment leading to these increases
                may depend upon the return of a portion of that value to finance the
                project or fund the continuing upkeep and maintenance of the associated
                transit system infrastructure. This recaptured revenue may reduce the
                amount of public funding required from Federal, state and local
                government sources and increase the amount of total funding available
                for urgent infrastructure projects.
                 There are many mechanisms available for transit agencies and local
                governments to recover or leverage the increased value that transit
                creates to generate revenues to fund current transit operations or
                future capital investments. Examples include tax increment financing,
                impact fees, joint development, sale of air rights or naming rights,
                special assessment districts, and others. Value capture revenues are
                also eligible to be used as local match for Federal grants (49 U.S.C.
                5323(s)).
                 Recognizing that value capture can help to promote transit-
                supportive land uses and can optimize the benefits of transit
                investments, FTA intends to solicit comment from transit agencies,
                local governments, land developers and other stakeholders on how FTA
                can support and better assess the use of value capture for public
                transportation projects. The upcoming call for public comment will
                include several questions regarding how FTA identifies, supports and
                assesses value capture through its funding programs and related
                policies.
                4. Coordinating Council on Access and Mobility
                 The Coordinating Council on Access and Mobility (CCAM) is an
                interagency partnership established by Executive Order 13330 to
                coordinate the efforts of the Federal agencies that fund transportation
                services for transportation disadvantaged populations. The CCAM met on
                October 29, 2019 and adopted a new Strategic Plan. To facilitate
                coordination the CCAM has clarified the ability to use federal funds as
                match and the applicability of FTA's Charter Service Regulations.
                a. Federal Braiding of Funds
                 Federal fund braiding refers to funding arrangements in which funds
                from one federal program are used to meet the local match requirements
                of another. FTA Urbanized Area Formula Grants (49 U.S.C. 5307),
                Enhanced Mobility of Seniors and Individuals with Disabilities Formula
                Grants (49 U.S.C. 5310), Formula Grants for Rural Areas (49 U.S.C.
                5311) and Tribal Transit Program Formula Grants (49 U.S.C.
                5311(c)(1)(B)) allow federal funds from outside the Department of
                Transportation (DOT) to be used as local match. In 2019, the
                Coordinating Council on Access and Mobility (CCAM) partner agencies
                developed the CCAM Program Inventory which identifies 130 Federal
                programs that may fund transportation services for people with
                disabilities, older adults, and/or individuals of low income. For
                instance, sixty-six programs from the U.S. Department of Health and
                Human Services (HHS) are eligible to be used as local match for Section
                5307, 5310, 5311 and 5311(c)(1)(B) grants.
                b. Coordination and FTA's Charter Service Regulations
                 FTA's Charter Service Regulations (49 CFR part 604), which
                implement 49 U.S.C. 5323(d), have limited exceptions when an FTA
                grantee may provide charter service, including services provided by
                Qualified Human Service Organizations (QHSO) serving elderly, persons
                with disabilities, and low-income individuals. The Charter Rule
                exception for QHSOs applies to organizations that are either registered
                on the FTA website on a bi-annual basis, or receive funding from one of
                the sources listed in Charter Rule Appendix A published on January 14,
                2008. In addition, individual demand response service is excluded from
                the definition of Charter service. To learn more, visit FTA's Charter
                service website: https://www.transit.dot.gov/regulations-and-guidance/access/charter-bus-service/charter-bus-service-regulations-0.
                5. Rural Opportunities To Use Transportation for Economic Success
                (ROUTES)
                 Rural transportation infrastructure faces significant challenges.
                Over 70 percent of America's road miles are in rural areas. While one-
                fifth of Americans live in rural areas, rural America's traffic
                fatalities are disproportionately high, totaling 46 percent of
                fatalities in 2018. Further, of the nation's bridges that are posted
                for weight limits, 90 percent are in rural areas.
                 The new ROUTES Initiative will address these challenges by
                assisting rural stakeholders in understanding how to access DOT grants
                and financing products, and developing data-driven approaches to better
                assess needs and benefits of rural transportation projects. This builds
                on DOT's Transportation Infrastructure Finance and Innovation Act Loan
                Program's Rural Project
                [[Page 34289]]
                Initiative, which offers lower project-cost thresholds for loan
                eligibility, low subsidized interest rates, and the coverage of fees to
                encourage use of the credit program for infrastructure projects in
                rural areas. DOT will engage rural transportation stakeholders at
                events over the coming year to educate project sponsors about the
                funding and finance opportunities at DOT, as well as to receive their
                feedback.
                 Consistent with the ROUTES Initiative, FTA will encourage
                applicants to FY 2020 competitive funding opportunities to consider how
                their proposed projects will address the challenges faced by rural
                areas.
                 DOT also formed a rural transportation infrastructure council, the
                ROUTES Council, to lead the way on this initiative. This new internal
                deliberative body at DOT will identify critical rural transportation
                concerns and coordinate efforts among DOT's different modal
                administrations. The Council will initially review public comments and
                create a rural resources handbook. The first meeting was held in
                November 2019. To learn more, visit the ROUTES Initiative website:
                https://www.transportation.gov/rural.
                6. Opportunity Zones
                 Despite the growing national economy, economically distressed
                communities are located in every corner of the United States and its
                territories. These communities have high levels of poverty, failing
                schools, job scarcity, and a lack of investment. A new tax incentive,
                Opportunity Zones, was created by the 2017 Tax Cuts and Jobs Act to
                spur economic development and job creation by encouraging long-term
                investment in low-income communities nationwide.
                 The Opportunity Zone designation encourages investment in
                communities by granting investors extensive Federal tax advantages for
                using their capital gains to finance new projects and enterprises.
                There are more than 8,700 designated Qualified Opportunity Zones
                located in all 50 States, the District of Columbia, and five United
                States territories. Of the Qualified Opportunity Zones 40 percent are
                in rural census tracts, 38 percent are in urban tracts, and 22 percent
                are in suburban tracts.
                 In determining the allocation of competitive program funds, FTA may
                prioritize projects located in or that support public transportation
                service in a qualified Opportunity Zone.
                C. FY 2020 Competitive Program Funding
                 FTA's competitive grants programs and the FY 2020 appropriated
                funding levels are identified in the chart below. FTA selects projects
                for funding after issuance of a Notice of Funding Opportunity.
                Additional information about each competitive program is in Section III
                of this notice.
                ----------------------------------------------------------------------------------------------------------------
                 2020 amount
                 FY 2020 competitive programs Statute 49 U.S.C. ($M) NOFO published Applications due
                ----------------------------------------------------------------------------------------------------------------
                Pilot Program for Innovative FAST Section $3.50 Nov 1, 2019........ Jan 6, 2020.
                 Coordinated Access and Mobility. 3006(b).
                Low or No Emission Grants 5339(c)............ 130.00 Jan 17, 2020....... Mar 17, 2020.
                 Competitive Program.
                Grants for Buses and Bus 5339(b)............ 454.63 Jan 30, 2020....... April 29, 2020.
                 Facilities Competitive Program.
                Passenger Ferry Grant Program.... 5307(h)............ 30.00 Jan 30, 2020....... April 29, 2020.
                Redesign of Transit Bus Operator 5312............... 2.00 Feb 11, 2020....... Mar 24, 2020.
                 Compartment.
                Safety Research Demonstrations... 5312............... 7.30 Feb 13, 2020....... Mar 24, 2020.
                Helping Provide Prosperity for ................... 8.50 Mar 3, 2020........ June 3, 2020.
                 Everyone (HOPE) Grants.
                Accelerating Innovative Mobility 5312............... 11.00 Mar 18, 2020....... May 18, 2020.
                 Challenge Grants.
                Tribal Transit................... 5311(c)(1)(A)...... 5.00 May 2020........... August 2020.
                Real-Time Infrastructure and 5312............... 1.25 TBD................ TBD.
                 Rolling Stock Condition
                 Assessment Demonstrations.
                Transit Oriented Development MAP-21 20005(b).... TBD TBD................ TBD.
                 Planning Grants.
                ----------------------------------------------------------------------------------------------------------------
                D. National Defense Authorization Act for FY 2020
                 Section 7613 of the National Defense Authorization Act for FY 2020
                (NDAA) amends 49 U.S.C. 5323 to add subsections (u) Limitation on
                Certain Rail Rolling Stock Procurements and (v) Cybersecurity
                Certification for Rail Rolling Stock and Operations. FTA issued
                guidance to help transit agencies and transit vehicle manufacturers
                understand and comply with the prohibitions on FTA-funded rolling stock
                procurements contained in the FY2020 NDAA found at https://www.congress.gov/116/bills/s1790/BILLS-116s1790enr.pdf. The NDAA
                frequently asked questions are based on inquiries from grantees and
                transit vehicle manufacture and can be found at https://www.transit.dot.gov/funding/procurement/frequently-asked-questions-regarding-section-7613-national-defense.
                IV. FY 2020 Program-Specific Information
                A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
                 Section 5305(d) authorizes Federal funding to support a
                cooperative, continuous, and comprehensive planning program for
                transportation investment decision-making at the metropolitan area
                level. The specific requirements of metropolitan transportation
                planning are set forth in 49 U.S.C. 5303 and further explained in 23
                CFR part 450, as incorporated by reference in 49 CFR part 613, Planning
                Assistance and Standards. The State DOTs are the designated recipients
                of Metropolitan Planning Programs (MPP) and State Planning and Research
                Program (SPRP) funds allocated by FTA, which are then sub-allocated to
                Metropolitan Planning Organizations (MPOs) for planning activities that
                support the economic vitality of the metropolitan area. The Secretary
                has the discretion to award MPP and SPRP assistance to States,
                authorities of States, MPOs, and local governmental authorities.
                 Each MPO must establish specific performance targets against system
                performance measures issued by DOT, and use these in tracking progress
                towards attaining critical outcomes. The MPO must coordinate with
                States and transit providers in setting these targets. MPOs must
                provide a system performance report that evaluates progress in meeting
                the performance targets in comparison with the system performance
                identified in prior reports. MPP funding must support work resulting in
                balanced and comprehensive intermodal transportation planning for the
                movement of people and goods in the metropolitan area. Comprehensive
                transportation planning is not limited to transit planning or surface
                transportation planning, but also encompasses the relationships among
                [[Page 34290]]
                land use and all transportation modes, without regard to the
                programmatic source of Federal assistance. MPP funds may be used for
                studies relating to management, mobility management, planning,
                operations, capital requirements, economic feasibility, performance-
                based planning, safety, and transit asset management. Funds may be used
                to develop or update the metropolitan planning agreements, and to
                evaluate previously funded projects or to conduct peer reviews and
                exchanges of technical data, information, or assistance, among MPOs and
                other transportation planners. Funds may be used for planning for
                multimodal transportation access to transit facilities; system
                planning; scenario planning; corridor-level alternative analysis;
                development of federally required documents, including the Transit
                Asset Management Plan and Public Transportation Agency Safety Plan;
                safety, security and emergency transportation planning; coordinated
                public transit human services transportation planning; transportation
                and air quality planning and conformity analysis; and public
                participation in the transportation planning, including the development
                of the Public Participation Plan. An exhaustive list of eligible work
                activities is provided in FTA Circular 8100.1D, Program Guidance for
                Metropolitan Planning and State Planning and Research Program Grants,
                dated September 10, 2018.
                 For more information about the Metropolitan Planning program,
                please contact Victor Austin at (202) 366-2996 or
                [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $142,036,417 to carry
                out section 5305. Of the amounts authorized for Section 5305, 82.72
                percent, or $117,492,524, is made available to the Metropolitan
                Planning Program in FY 2020 to provide financial assistance for
                metropolitan planning needs under Section 5303.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $117,492,524 is available to the Metropolitan Planning Program (Section
                5305(d)) to support metropolitan transportation planning activities set
                forth in Section 5303. The total amount apportioned for the
                Metropolitan Planning Program to States for use by MPOs in urbanized
                areas (UZAs) is $123,181,798 as shown in the table below, after the
                deduction for oversight (authorized by Section 5338) and the addition
                of reapportioned funds.
                 Metropolitan Planning Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $117,492,524
                Oversight Deduction..................................... (587,463)
                Reapportioned Funds..................................... 6,276,737
                 ---------------
                 Total Apportioned................................... 123,181,798
                ------------------------------------------------------------------------
                3. Period of Availability
                 The Metropolitan Planning program funds apportioned in this notice
                are available for obligation during FY 2020 plus three additional
                fiscal years. Funds apportioned in FY 2020 must be obligated in grants
                by September 30, 2023. Any FY 2020 apportioned funds that remain
                unobligated at the close of business on September 30, 2023, will revert
                to FTA for reapportionment under the Metropolitan Planning Program.
                B. State Planning and Research Program (49 U.S.C. 5304 and 5305(e))
                 This program provides financial assistance to States for statewide
                transportation planning and other technical assistance activities,
                including supplementing the technical assistance program provided
                through the Metropolitan Planning program and planning support for non-
                urbanized areas. The specific requirements of Statewide transportation
                planning are set forth in 49 U.S.C. 5304 and further explained in 23
                CFR part 450 as referenced in 49 CFR part 613, Planning Assistance and
                Standards. State DOTs are required to reference performance measures
                and performance targets within the Statewide Planning process. This
                funding must support work resulting in balanced and comprehensive
                intermodal transportation planning for the movement of people and goods
                and has the same eligibilities as MPP funds.
                 For more information about the State Planning and Research program,
                please contact Victor Austin at (202) 366-2996 or
                [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $24,543,893 in FY
                2020, to provide financial assistance for statewide planning and other
                technical assistance activities under Section 5305. As specified in
                law, this represents the 17.28 percent of the amounts available for
                Section 5305 that are allocated to the Statewide Planning and Research
                program.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $24,543,893 is available for the State Planning and Research Program
                (Section 5305(e)). The total amount apportioned for the State Planning
                and Research Program (SPRP) is $24,421,174 as shown in the table below,
                after the deduction for oversight (authorized by Section 5338).
                 Statewide Transportation Planning Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $24,543,893
                Oversight Deduction..................................... (122,719)
                 ---------------
                 Total Apportioned................................... 24,421,174
                ------------------------------------------------------------------------
                States' apportionments for this program are displayed in Table 2.
                3. Period of Availability
                 The State Planning and Research program funds apportioned in this
                notice are available for obligation during FY 2020 plus three
                additional fiscal years. Accordingly, funds apportioned in FY 2020 must
                be obligated in grants by September 30, 2023. Any FY 2020 apportioned
                funds that remain
                [[Page 34291]]
                unobligated at the close of business on September 30, 2023 will revert
                to FTA for reapportionment under the State Planning and Research
                program.
                C. Urbanized Area Formula Program (49 U.S.C. 5307)
                 The Urbanized Area Formula Program provides financial assistance to
                designated recipients in urbanized areas (UZAs) for capital investments
                in public transportation systems, planning, job access and reverse
                commute projects, and, in some cases, operating assistance. FTA
                apportions funds for this program through a statutory formula. Of the
                amount authorized for Section 5307 each year, $30 million is set aside
                for the competitive Passenger Ferry Grant Program (Ferry program), as
                authorized under 49 U.S.C. 5307(h). The Ferry program offers financial
                assistance to public ferry systems in urbanized areas for capital
                projects. Projects are selected annually through a funding competition.
                Additionally, 0.5 percent will be apportioned to eligible States for
                State Safety Oversight (SSO) Program grants, and 0.75 percent will be
                set aside for program oversight. Further information on the 0.5 percent
                apportionment to States for the State Safety Oversight Program is
                provided in section IV.M. of this notice.
                 For more information about the Urbanized Area Formula Program,
                Contact John Bodnar at (202) 366-9091 or [email protected]. For more
                information about the Ferry program, contact Vanessa Williams at (202)
                366-4818 or [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $4,929,452,499 in FY
                2020 to provide financial assistance for urbanized areas under Section
                5307.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $4,929,452,499 is available for the Urbanized Area Formula program. The
                total amount apportioned is $5,371,536,821, which includes the addition
                of reapportioned funds and amounts apportioned to UZAs pursuant to the
                Section 5340 Growing States and High-Density States Formula factors.
                This amount to UZAs excludes the set-aside of $30 million for the Ferry
                program, apportionments under the State Safety Oversight Program, and
                oversight (authorized by Section 5338), as shown in the table below:
                 Urbanized Area Formula Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available.......... \a\ $4,929,452,499
                Oversight Deduction............................ (36,970,894)
                State Safety Oversight Program................. (24,647,263)
                Ferry Discretionary Program.................... (30,000,000)
                5340 High Density States....................... 309,364,074
                5340 Growing States............................ 215,020,586
                Reapportioned Funds............................ 9,317,819
                 ------------------------
                 Total Apportioned.......................... 5,371,536,821
                ------------------------------------------------------------------------
                \a\ Includes 1.5 percent set-aside for Small Transit Intensive Cities
                 Formula Table 3 displays the amounts apportioned under the Urbanized
                 Area Formula Program.
                3. Period of Availability
                 Funds made available under the Urbanized Area Formula Program are
                available for obligation during the year of apportionment plus five
                additional years. Accordingly, funds apportioned in FY 2020 must be
                obligated by September 30, 2025. Any FY 2020 apportioned funds that
                remain unobligated at the close of business on September 30, 2025 will
                revert to FTA for reapportionment under the Urbanized Area Formula
                Program.
                 Funds allocated under the Ferry program have the same period of
                availability as Section 5307. Accordingly, funds allocated in FY 2020
                must be obligated by September 30, 2025. Any of the funds allocated in
                FY 2020 that remain unobligated at the close of business on September
                30, 2025 will revert to FTA for reallocation under the Ferry program.
                Competitive Ferry program funds are available for obligation during the
                FY in which funds are allocated/awarded to projects plus five
                additional years.
                D. Fixed Guideway Capital Investment Grants Program (49 U.S.C. 5309)
                 The Capital Investment Grants (CIG) Program includes four types of
                eligible projects: New Starts projects, Small Starts projects, Core
                Capacity Improvement projects, and Programs of Inter-related Projects.
                Funding is provided for construction of: (1) New fixed guideway systems
                or extensions to existing fixed guideway systems such as rapid rail
                (heavy rail), commuter rail, light rail, trolleybus (using overhead
                catenary), cable car, passenger ferries, and bus rapid transit
                operating on an exclusive transit lane for the majority of the corridor
                length during peak periods that also includes features that emulate the
                services provided by rail fixed guideway, including defined stations,
                traffic signal priority for public transit vehicles, and short headway
                bi-directional service for a substantial part of weekdays and weekends;
                (2) corridor-based bus rapid transit service that does not operate on
                an exclusive transit lane but includes features that emulate the
                services provided by rail fixed guideway, including defined stations,
                traffic signal priority for public transit vehicles, and short headway
                bi-directional services for a substantial part of weekdays; (3)
                projects that expand the capacity by at least 10 percent in an existing
                fixed guideway corridor that is at capacity today or will be in five
                years; and (4) programs of two or more interrelated projects as
                described above that have logical connectivity with one another and
                will all begin construction in a reasonable timeframe. FAST Act Section
                3005(b) authorizes an Expedited Project Delivery for the CIG Pilot
                Program.
                 For more information about the Capital Investment Grant program
                contact Elizabeth Day, Office of Capital Project Development, at (202)
                366-5159 or [email protected]. For information about published
                allocations contact Eric Hu, Office of Transit Programs, at (202) 366-
                0870 or [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $2,301,785,760 in FY
                2020, to provide financial assistance for Capital Investment Grants
                under Section 5309 and Section 3005(b) of the FAST Act.
                [[Page 34292]]
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $1,978,000,000 is available for Capital Investment Grants for the Fixed
                Guideway Capital Investment Grants Program and the FAST Act Section
                3005(b) Expedited Project Delivery for CIG Pilot Program. The Further
                Consolidated Appropriations Act, 2020 requires that $1,681,300,000 of
                the amount available must be allocated by December 31, 2021. The funds
                are available to be allocated in the following amounts: $1,458,000,000
                for New Starts projects; $300,000,000 for Core Capacity projects;
                $100,000,000 for Small Starts projects; $100,000,000 for FAST Act
                Section 3005(b) Expedited Project Delivery for CIG Pilot Program
                projects and $19,780,000 for Oversight. The total amount available for
                projects is $1,958,220,000 as shown in the table below, after the
                deduction for oversight (authorized by Section 5338).
                 Capital Investment Grants Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available.......... \a\ $1,978,000,000
                Oversight Deduction............................ (19,780,000)
                 ------------------------
                 Total Apportioned.......................... 1,958,220,000
                ------------------------------------------------------------------------
                \a\ Includes $220,000 in unallocated funds.
                3. Period of Availability
                 Capital Investment Grant program funds apportioned in this notice
                are available for obligation during FY 2020 plus three additional
                fiscal years. Accordingly, funds apportioned in FY 2020 must be
                obligated in grants by September 30, 2023.
                 Section 143 of the Further Consolidated Appropriations Act, 2020,
                Public Law 116-94, eliminated the requirement for a portion of FY 2018
                CIG funds to be obligated by December 31, 2019 and a portion of FY 2019
                funds to be obligated by December 31, 2020. All FY 2018 CIG funds must
                now be obligated by September 30, 2021 and must be disbursed by the
                recipient by September 30, 2026. All FY 2019 CIG funds must now be
                obligated by September 30, 2022 and must be disbursed by the recipient
                by September 30, 2027.
                E. Formula Grants for the Enhanced Mobility of Seniors and Individuals
                With Disabilities Program (49 U.S.C. 5310)
                 The Section 5310 Enhanced Mobility of Seniors and Individuals with
                Disabilities Program provides formula funding to states and urbanized
                areas for meeting the transportation needs of older adults and people
                with disabilities when the public transportation service provided is
                unavailable, insufficient, or inappropriate to meet these needs. The
                program aims to improve mobility for seniors and individuals with
                disabilities by removing barriers to transportation service and
                expanding transportation mobility options. The Pilot Program for
                Innovative Coordinated Access and Mobility Program (Pilot Program) was
                established by Section 3006(b) of the FAST Act. The purpose of the
                program is to assist in financing innovative projects for the
                transportation disadvantaged that improve the coordination of
                transportation services and non-emergency medical transportation (NEMT)
                services, including, for example, the deployment of coordination
                technology, and projects that create or increase access to community
                One-Call/One-Click Centers.
                 For more information about the Enhanced Mobility of Seniors and
                Individuals with Disabilities program, please contact Amy Fong at (202)
                366-0876 or [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $285,574,688 in FY
                2020 to provide formula funding to designated recipients and states for
                meeting the transportation needs of older adults and people with
                disabilities. The law also authorizes $3.50 million for the competitive
                Innovative Coordinated Access and Mobility Pilot Program.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $285,574,688 is available for the Section 5310 formula program. The
                total amount apportioned is $288,155,908 after the oversight deduction
                and the addition of reapportioned funds as shown in the table below. A
                total of $3,500,000 is available for the competitive Pilot Program.
                Formula Grants for the Enhanced Mobility of Seniors and Individuals With
                 Disabilities Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $285,574,688
                Oversight Deduction..................................... (1,427,873)
                Reapportioned Funds..................................... 4,009,093
                 ---------------
                 Total Apportioned................................... 288,155,908
                ------------------------------------------------------------------------
                3. Period of Availability
                 The Enhanced Mobility of Seniors and Individuals with Disabilities
                program funds apportioned in this notice are available for obligation
                during FY 2020 plus two additional fiscal years. Accordingly, funds
                apportioned in FY 2020 must be obligated in grants by September 30,
                2022. Any FY 2020 apportioned funds that remain unobligated at the
                close of business on September 30, 2022, will revert to FTA for
                reapportionment among the States and urbanized areas.
                F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
                 The Formula Grants for Rural Areas Program provides formula funding
                to States and Indian tribes for supporting public transportation in
                areas with a population of less than 50,000. Funding may be used for
                capital, operating, planning, job access and reverse commute projects,
                and State administration expenses. Eligible subrecipients include State
                and local governmental authorities, Indian Tribes, private non-profit
                organizations, and
                [[Page 34293]]
                private intercity bus companies. Indian Tribes are also eligible direct
                recipients under the Formula Grants for Rural Areas Program, both for
                funds apportioned to the States and for projects apportioned or
                competitively selected to be funded with funds set aside from the
                Tribal Transit Program.
                 For more information about the Formula Grants for Rural Areas
                program, please contact [Eacute]lan Flippin at (202) 366-3800 or
                [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $673,299,658 for FY
                2020 to provide financial assistance for rural areas under the Formula
                Grants for Rural Areas Program. This amount includes $35 million for
                the Tribal Transit Program; $20 million for the Appalachian Program;
                $13,465,993 for the Rural Transit Assistance Program; and $604,833,664
                for the Rural Formula Program.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $644,033,664 is available for the Rural Area Formula Program. The total
                amount apportioned to the program is $727,197,332 as shown in the table
                below, after the addition of reapportioned funds, the addition of
                Section 5340(c) Growing States funds, and the oversight deduction
                authorized by Section 5338.
                 Grants for Rural Areas Formula Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $644,033,664
                Oversight Deduction..................................... (3,566,498)
                5340 Growing States..................................... 85,648,257
                Reapportioned Funds..................................... 1,081,909
                 ---------------
                 Total Apportioned................................... 727,197,333
                ------------------------------------------------------------------------
                3. Period of Availability
                 The Formula Grants for Rural Areas Program funds apportioned in
                this notice are available for obligation during FY 2020 plus two
                additional fiscal years. Accordingly, funds apportioned in FY 2020 must
                be obligated in grants by September 30, 2022. Any FY 2020 apportioned
                funds that remain unobligated at the close of business on September 30,
                2022, will revert to FTA for reapportionment under the Formula Grants
                for Rural Areas Program.
                G. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))
                 This program provides funding to assist in the design and
                implementation of training and technical assistance projects, research,
                and other support services tailored to meet the needs of transit
                operators in rural areas.
                 For more information about Rural Transportation Assistance Program
                (RTAP), please contact [Eacute]lan Flippin at (202) 366-3800 or
                [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorized $13,465,993, or two
                percent of the funds made available for the Formula Grants for Rural
                Areas Program, to be made available for the Rural Transportation
                Assistance Program (RTAP). Of the two percent takedown, 15 percent is
                reserved for the National Rural Transit Assistance Program (NRTAP). The
                remainder is available for allocation to the States.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $14,265,993 is available for the RTAP. The total amount apportioned for
                RTAP is $12,126,094 as shown in the table below, after the deduction
                for NRTAP.
                 Rural Transportation Assistance Program (RTAP)
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $14,265,993
                National RTAP........................................... (2,139,899)
                 ---------------
                 Total Apportioned................................... 12,126,094
                ------------------------------------------------------------------------
                3. Period of Availability
                 The RTAP funds apportioned in this notice are available for
                obligation during FY 2020 plus two additional fiscal years.
                Accordingly, funds apportioned in FY 2020 must be obligated in grants
                by September 30, 2022.
                H. Appalachian Development Public Transportation Assistance Program (49
                U.S.C. 5311(c)(2))
                 This program is a take-down under the Formula Grants for Rural
                Areas Program to provide additional funding to support public
                transportation in the Appalachian region. There are thirteen eligible
                States that receive an allocation under this provision. The State
                allocations are shown in the Formula Grants for Rural Areas Program
                table posted on FTA's website on the FY 2020 Apportionments page.
                 For more information about the Appalachian Development Public
                Transportation Assistance Program, please contact [Eacute]lan Flippin
                at (202) 366-3800 or [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $20 million in FY 2020
                as a take-down under the Formula Grants for Rural Areas program to
                support public transportation in the Appalachian region.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020, $20
                million is available.
                [[Page 34294]]
                 Appalachian Development Public Transportation Assistance Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $20,000,000
                 ---------------
                 Total Apportioned................................... 20,000,000
                ------------------------------------------------------------------------
                3. Period of Availability
                 The Appalachian program funds apportioned in this notice are
                available for obligation during FY 2020 plus two additional fiscal
                years, consistent with that established for the Formula Grants for
                Rural Areas Program.
                I. Public Transportation on Indian Reservations Program (49 U.S.C.
                5311(c)(1))
                 The Public Transportation on Indian Reservations Program, or Tribal
                Transit Program (TTP), totals $35 million, of which $30 million is for
                a formula program and $5 million is for a competitive grant program. It
                is funded as a takedown from funds made available for the Formula
                Grants for Rural Areas program. Formula factors include vehicle revenue
                miles and the number of low-income individuals residing on tribal lands
                (defined as American Indian Areas and Alaska Native Areas). Eligible
                direct recipients are Federally recognized Indian tribes and Alaskan
                Native Villages providing public transportation in rural areas. The TTP
                funds are allocated for grants to eligible recipients for any purpose
                eligible under Formula Grants for Rural Areas program, which includes
                capital, operating, planning, and job access and reverse commute
                projects.
                 For more information about the Tribal Transit Program, contact Amy
                Fong, Office of Transit Programs at (202) 366-0876 or [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $35 million in FY 2020
                to provide assistance to tribes through the Public Transportation on
                Indian Reservations formula and competitive programs.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020, $30
                million is available for the formula program and $5 million for the
                competitive program. The total apportioned for the formula program is
                $32,604,193 after the addition of reapportioned funds.
                 Public Transportation on Indian Reservations Program Formula Grants
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $30,000,000
                Reapportioned Funds..................................... 2,604,193
                 ---------------
                 Total Apportioned................................... 32,604,193
                ------------------------------------------------------------------------
                 Public Transportation on Indian Reservations Program Competitive Grants
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $5,000,000
                 ---------------
                 Total Apportioned................................... 5,000,000
                ------------------------------------------------------------------------
                3. Period of Availability
                 The TTP formula program funds apportioned in this notice are
                available for obligation during FY 2020 plus two additional fiscal
                years. Accordingly, funds apportioned in FY 2020 must be obligated in
                grants by September 30, 2022. Any FY 2020 apportioned funds that remain
                unobligated at the close of business on September 30, 2022, will revert
                to FTA for reapportionment under the TTP formula program. Competitive
                TTP funds are available for obligation during the FY in which funds are
                awarded to projects plus two additional years.
                J. Public Transportation Innovation (49 U.S.C. 5312)
                 Public Transportation Innovation is FTA's research program with the
                overarching statutory goal to improve public transportation. The law
                specifies research focus areas, including providing more effective and
                efficient public transportation service; mobility management; system
                capacity; advanced vehicle design; asset maintenance; construction and
                project management; environment and energy efficiency; and safety
                improvements. FTA may make grants, enter into contracts, cooperative
                agreements, and other agreements to carry out the research,
                development, demonstration, and deployment projects, including research
                and technology of national significance to public transportation.
                 Within this section are three distinct programs: (a) A Research,
                Development, Demonstration, Deployment, and Evaluation program (49
                U.S.C. 5312(b-e)); (b) a Low or No Emission Vehicle Component
                Assessment Program (LoNo-CAP) (49 U.S.C. 5312(h)); and (c) a Transit
                Cooperative Research Program (49 U.S.C. 5312(i)). Eligible recipients
                can be departments, agencies, and governmental agencies, including
                Federal Laboratories; state and local entities; providers of public
                transportation; private or non-profit organizations; institutions of
                higher education; and technical community colleges. Each program area
                has specific requirements relating to the type of organization that may
                receive a grant or enter an agreement.
                 The types of research eligible for funding are broad and include:
                Opportunities to enhance public transportation operational
                effectiveness and efficiency; improve services; leverage new types of
                vehicle technologies; utilize transformative technologies to improve
                public transportation; field new mobility models; and support increased
                safety.
                 For more information about the Public Transportation Innovation
                program (Sections 5312(b-e) and 5312(i)), contact Edwin Rodriguez,
                Office of Research, Demonstration and Innovation at (202) 366-0671 or
                [email protected].
                 For more information about the LoNo-CAP program (Section 5312(h)),
                please contact Sam Yimer at (202) 366-1321 or [email protected].
                [[Page 34295]]
                1. Authorized Amounts
                 Federal public transportation law authorizes $28 million in FY 2020
                funding for the Public Transportation Innovation program.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $36,500,000 is available for the Public Transportation Innovation
                program. The total amounts apportioned to each subcomponent of the
                program is shown below in the table.
                 Public Transportation Innovation Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Research, Development, Demonstration, Deployment, & $25,500,000
                 Evaluation.............................................
                Low or No Emission Vehicle Component Testing............ 3,000,000
                Transit Cooperative Research Program (TCRP)............. 5,000,000
                Low or No Emission Bus Testing.......................... 3,000,000
                 ---------------
                 Total Apportioned................................... 36,500,000
                ------------------------------------------------------------------------
                3. Period of Availability
                 Funding is available until expended.
                K. Technical Assistance and Workforce Development (49 U.S.C. 5314)
                1. Authorized Amounts
                 Federal public transportation law authorizes $9 million in contract
                authority for the Technical Assistance and Workforce Development
                Program, of which $5 million is authorized for NTI. An additional $5
                million is authorized to be appropriated from the general fund.
                2. FY 2020 Funding Availability
                 In FY 2020 under the Further Consolidated Appropriations Act, 2020,
                $14 million is available for the Technical Assistance and Workforce
                Development program, as shown in the table below. Of the available
                amounts $5 million is available for the NTI.
                 Technical Assistance and Workforce Development
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $14,000,000
                 ---------------
                 Total Apportioned................................... 14,000,000
                ------------------------------------------------------------------------
                3. Period of Availability
                 FTA establishes the period in which the funds must be obligated to
                each project. If the funds are not obligated within that time, they
                revert to FTA for reallocation under the program.
                L. Public Transportation Emergency Relief Program (49 U.S.C. 5324)
                 For more information about the Emergency Relief Program, please
                contact Thomas Wilson at (202) 366-5279 or [email protected].
                M. State Safety Oversight Formula Program (49 U.S.C. 5329)
                 The State Safety Oversight Formula Program provides funding to
                support States with rail fixed guideway public transportation systems
                (rail transit systems) to develop and carry out State Safety Oversight
                (SSO) Programs consistent with the requirements of 49 U.S.C. 5329.
                 For more information about the State Safety Oversight Program,
                please contact Kimberly Burtch at (202) 366-0816 or
                [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $24,647,263 in FY 2020
                to provide funding to support States in developing and carrying out the
                SSO Program.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $24,647,263 is available for the State Safety Oversight (SSO) Formula
                program as shown in the table below.
                 State Safety Oversight Formula Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $24,647,263
                 ---------------
                 Total Apportioned................................... 24,647,263
                ------------------------------------------------------------------------
                3. Period of Availability
                 SSO Formula Grant Program funds are available for the year of
                apportionment plus, two additional years. Any FY 2020 funds that remain
                unobligated at the close of business on September 30, 2022 will revert
                to FTA for reapportionment under the SSO Formula Grant Program.
                N. State of Good Repair Program (49 U.S.C. 5337)
                 The State of Good Repair Program provides financial assistance to
                designated recipients in Urbanized Areas (UZAs) with fixed guideway and
                high-intensity motorbus systems for capital investments that maintain,
                rehabilitate, and replace aging transit assets and bring fixed guideway
                and high intensity motorbus systems into a state of good repair. FTA
                apportions funds for this program through a statutory formula using
                data reported to the National Transit Database (NTD).
                 For more information about the State of Good Repair program, please
                contact Eric Hu at (202) 366-0870 or [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $2,683,798,369 in FY
                2020 for the State of Good Repair Program.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $2,683,798,369 is available for the State of Good Repair Program. The
                total amount apportioned is $2,656,960,385
                [[Page 34296]]
                after the deduction for oversight as shown in the table below. Of the
                total amount apportioned, $2,581,237,014 is apportioned to the High
                Intensity Fixed Guideway Formula and $75,723,371 is apportioned to the
                High Intensity Motorbus Formula.
                 State of Good Repair Program
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available.................. $2,683,798,369
                Oversight Deduction.................................... (26,837,984)
                 ----------------
                 Total Apportioned.................................... 2,656,960,385
                ------------------------------------------------------------------------
                High Intensity Fixed Guideway Formula.................. 2,581,237,014
                High Intensity Motorbus Formula........................ 75,723,371
                 ----------------
                 Total Apportioned.................................... 2,656,960,385
                ------------------------------------------------------------------------
                3. Period of Availability
                 The State of Good Repair Program funds apportioned in this notice
                are available for obligation during FY 2020 plus three additional
                years. Accordingly, funds apportioned in FY 2020 must be obligated in
                grants by September 30, 2023. Any FY 2020 apportioned funds that remain
                unobligated at the close of business on September 30, 2023 will revert
                to FTA for reappointment under the State of Good Repair Program.
                O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
                 The Grants for Buses and Bus Facilities Program provides financial
                assistance to states, local governmental entities that operate fixed
                route bus service, and designated recipients for capital investments in
                public transportation systems to replace, rehabilitate, lease, and
                purchase buses and related equipment and to construct bus-related
                facilities, including technological changes or innovations to modify
                low or no emission vehicles or facilities. Funding is provided through
                Section 5339(a) formula allocations, Section 5339(b) competitive
                grants, and Section 5339(c) low or no emission grants.
                 For more information about the Grants for Buses and Bus Facilities
                Formula Program, please contact John Bodnar at (202) 366-9091 or
                [email protected]. For more information about the competitive Low or
                No Emissions Grant Program, please contact Victor Waldron at (202) 366-
                5183 or [email protected]. For more information about the Grants
                for Buses and Bus Facilities Competitive Program please contact Mark G.
                Bathrick at (202) 366-9955 or [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $808,653,915 in FY
                2020 to provide financial assistance for Grants for Buses and Bus
                Facilities. Of this amount, $464,609,736 is authorized for the Grants
                for Buses and Bus Facilities Formula program and $344,044,179 for the
                Grants for Buses and Bus Facilities Competitive program, of which
                $55,000,000 is available for the Low or No Emissions program.
                2. Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $1,221,653,915 is available for Grants for Buses and Bus Facilities. Of
                this amount $627,865,163 is available for the Grants for Buses and Bus
                Facilities Formula Program, $454,626,348 is available for the Grants
                for Buses and Bus Facilities Competitive Program, and $130,000,000 is
                available for the Low or No Emission Grants Program after the takedown
                for oversight.
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                 Formula Grants for Buses and Bus Facilities
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available.................. $632,609,736
                Oversight Deduction.................................... (4,744,573)
                 ----------------
                 Total Apportioned.................................. 627,865,163
                ------------------------------------------------------------------------
                 Competitive Grants for Buses and Bus Facilities
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available.................. 589,044,179
                Oversight Deduction.................................... (4,417,831)
                Less Section 5339(c) Low or No Emission Grants (130,000,000)
                 (Competitive).........................................
                 ----------------
                 Total Apportioned.................................. 454,626,348
                ------------------------------------------------------------------------
                 Section 5339(c) Low or No Emission Grants (Competitive)
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available.................. 130,000,000
                 ----------------
                 Total Apportioned.................................. 130,000,000
                ------------------------------------------------------------------------
                3. Period of Availability
                 The Buses and Bus Facilities Program formula funds apportioned in
                this notice are available for obligation during FY 2020 plus three
                additional years. Accordingly, funds apportioned in FY 2020 must be
                obligated in grants by September 30, 2023. Any FY 2020 apportioned
                funds that remain unobligated at the close of business on September 30,
                2023 will revert to FTA for reapportionment under the Buses and Bus
                Facilities Formula Program. Competitive 5339(b) and 5339(c) funds are
                available for obligation during the
                [[Page 34297]]
                FY in which funds are allocated/awarded to projects plus three
                additional years.
                P. Growing States and High-Density States Formula Factors (49 U.S.C.
                5340)
                 Federal public transportation law authorizes the use of formula
                factors to distribute additional funds to the Section 5307 Urbanized
                Area Formula program and Section 5311 Formula Grants for Rural Areas
                program for growing states and high-density states. FTA will continue
                to publish single urbanized and rural apportionments that show the
                total amount for Section 5307 and 5311 programs that includes Section
                5340 apportionments for these programs.
                 For more information about this program, please contact John Bodnar
                at (202) 366-9091 or [email protected].
                1. Authorized Amounts
                 Federal public transportation law authorizes $570,032,917 for
                apportionment in FY 2020 for the Growing States and High-Density States
                Formula factors.
                2. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $610,032,917 is available for the Growing States and High-Density
                States formula.
                 Growing States and High-Density States Formula Factors
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Growing States.......................................... $300,668,843
                High-Density States..................................... 309,364,074
                 ---------------
                 Total Apportioned................................... 610,032,917
                ------------------------------------------------------------------------
                3. Basis for Formula Apportionment
                 Under the Growing States portion of the Section 5340 formula, FTA
                projects each State's 2025 population by comparing each State's
                apportionment year population (as determined by the Census Bureau) to
                the State's 2010 Census population and extrapolating to 2025 based on
                each State's rate of population growth between 2010 and the
                apportionment year. Each State receives a share of Growing States funds
                based on its projected 2025 population relative to the nationwide
                projected 2025 population.
                 Once each State's share is calculated, funds attributable to that
                State are divided into an urbanized area allocation and a non-urbanized
                area allocation based on the percentage of each State's 2010 Census
                population that resides in urbanized and non-urbanized areas. Urbanized
                Areas receive portions of their State's urbanized area allocation based
                on the 2010 Census population in that urbanized area relative to the
                total 2010 Census population in all urbanized areas in the State. These
                amounts are added to the Urbanized Area's Section 5307 apportionment.
                The States' rural area allocation is added to the allocation that each
                State receives under the Formula Grants for Rural Areas program.
                 The High-Density States portion of the Section 5340 formula are
                allocated to urbanized areas in States with a population density equal
                to or greater than 370 persons per square mile. Based on this threshold
                and 2010 Census data, the States that qualify are Maryland, Delaware,
                Massachusetts, Connecticut, Rhode Island, New York, and New Jersey. The
                amount of funds provided to each of these seven States is allocated
                based on the population density of the individual State relative to the
                population density of all seven States. Once funds are allocated to
                each State, funds are then allocated to urbanized areas within the
                States based on an individual urbanized area's population relative to
                the population of all urbanized areas in that State.
                Q. Washington Metropolitan Area Transit Authority Grants
                 Section 601 of the Passenger Rail Investment and Improvement Act of
                2008 (PRIIA) authorized an aggregate amount of $1.5 billion to be
                available in increments over 10 fiscal years beginning in fiscal year
                2009 to assist the Washington Metropolitan Transit Authority (WMATA) in
                implementing its Capital Improvement Program and preventive maintenance
                projects. The funds authorized under PRIIA were fully appropriated
                after FY 2019. The Further Consolidated Appropriations Act, 2020
                provides funding for Washington Metropolitan Area Transit Authority
                Grants for an additional year in the amount of $150,000,000.
                 For more information about the Washington Metropolitan Area Transit
                Authority Grants program, please contact Eric Hu, Office of Transit
                Programs, at (202) 366-0870 or [email protected] or Daniel Koening,
                Region III Office, at (202) 366-8224 or [email protected].
                1. FY 2020 Funding Availability
                 Under the Further Consolidated Appropriations Act, 2020,
                $150,000,000 is available. The total amount available is $148,500,000
                after the deduction for oversight as shown in the table below.
                 Washington Metropolitan Area Transit Authority Grants
                ------------------------------------------------------------------------
                
                ------------------------------------------------------------------------
                Total FY 2020 Appropriation Available................... $150,000,000
                Oversight Deduction..................................... (1,500,000)
                 ---------------
                 Total Apportioned................................... 148,500,000
                ------------------------------------------------------------------------
                2. Period of Availability
                 Funds appropriated for WMATA under the Further Consolidated
                Appropriations Act, 2020 shall remain available until expended.
                V. FY 2020 Grants
                A. Automatic Pre-Award Authority To Incur Project Costs
                1. Caution to New Grantees
                 While FTA provides pre-award authority to incur expenses before
                grant award for formula programs, it recommends that first-time grant
                recipients NOT utilize this automatic pre-award authority without
                verifying with the appropriate FTA Regional Office that all pre-
                requisite requirements have been met. Commonly, a new grantee may
                misunderstand pre-award authority
                [[Page 34298]]
                conditions and be unaware of all the applicable FTA requirements that
                must be met in order to be reimbursed for project expenditures incurred
                in advance of grant award. FTA programs have specific statutory
                requirements that are often different from those for other Federal
                grant programs with which new grantees may be familiar. If funds are
                expended for an ineligible project or activity, or for an eligible
                activity but at an inappropriate time (e.g., prior to NEPA completion),
                FTA will be unable to reimburse the project sponsor and, in certain
                cases, the entire project may be rendered ineligible for FTA
                assistance.
                2. Policy
                 FTA provides pre-award authority to incur expenses before grant
                award for certain program areas described below. This pre-award
                authority allows grantees to incur certain project costs before grant
                approval and retain the eligibility of those costs 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 pre-award spending authority permits an eligible
                grantee to incur costs on an eligible transit capital, operating,
                planning, or administrative project without prejudice to possible
                future Federal participation in the cost of the project.
                 In this notice, FTA provides pre-award authority through the
                authorization period of the FAST Act, plus an additional year (October
                1, 2015 through September 30, 2021) for capital assistance under all
                formula programs, so long as the conditions described below are met.
                 FTA provides pre-award authority for planning and operating
                assistance under the formula programs without regard to the period of
                the authorization. All pre-award authority is subject to conditions and
                triggers stated below: The actual items of cost associated with the use
                of pre-award authority are documented in the initial FFR that is
                required to be completed prior to the recipient executing the award.
                 For projects funded out of competitive programs, pre-award
                authority may be granted at the time of project selection.
                a. Operating, Planning, or Administrative Assistance
                 FTA does not impose additional conditions on pre-award authority
                for operating, planning, or administrative assistance under the formula
                grant programs. Grantees may be reimbursed for expenses incurred before
                grant award so long as funds have been expended in accordance with all
                Federal requirements, would have been allowable if incurred after the
                date of award, and the grantee is otherwise eligible to receive the
                funding. In addition to cross-cutting Federal grant requirements,
                program specific requirements must be met. Designated recipients for
                Section 5310 have pre-award authority for the ten percent of the
                apportionment they may use for program administration.
                b. Transit Capital Projects Other Than Capital Investment Grants
                 For transit capital projects, the date that costs may be incurred
                varies depending on the type of activity and its potential to have a
                significant impact on the human and natural environment as described
                under conditions in section 3 below.
                c. Public Transportation Innovation, Technical Assistance and Workforce
                Development
                 Unless provided for in an announcement of project selections, pre-
                award authority does not apply to Section 5312 Public Transportation
                Innovation projects or Section 5314 Technical Assistance and Workforce
                Development projects. Before an applicant may incur costs for
                activities under these programs, it must first obtain a written LONP
                from FTA. Information about LONP procedures may be obtained from the
                appropriate headquarters office.
                3. Conditions
                 The conditions under which pre-award authority may be utilized are
                specified below:
                 a. Pre-award authority is not a legal or implied commitment that
                the subject project 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.
                 b. All FTA statutory, procedural, and contractual requirements must
                be met.
                 c. No action will be taken by the grantee that prejudices the legal
                and administrative findings that FTA must make in order to approve a
                project.
                 d. Local funds expended by the grantee after the date of the pre-
                award authority will be eligible for credit toward local match or
                reimbursement if FTA later makes a grant or grant amendment for the
                project. Local funds expended by the grantee before the date of the
                pre-award authority will not be eligible for credit toward local match
                or reimbursement. Furthermore, the expenditure of local funds or the
                undertaking of certain activities that would compromise FTA's ability
                to comply with Federal environmental laws (e.g., project implementation
                activities such as land acquisition, demolition, or construction before
                the date of pre-award authority) may render the project ineligible for
                FTA funding.
                 e. The Federal amount of any future FTA assistance awarded to the
                grantee for the project will be determined based on 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.
                 f. For funds to which the pre-award authority applies, the
                authority expires with the lapsing of the fiscal year funds.
                 g. When a grant for the project is subsequently awarded, the grant
                must indicate the use of pre-award authority and an initial Federal
                Financial Report must be submitted in TrAMS.
                 h. Environmental Requirements.
                 All Federal environmental requirements must be met at the
                appropriate time for a project to remain eligible for Federal funding.
                Designated recipients may incur costs for design and environmental
                review activities for all formula funded projects from the date of the
                authorization of the formula funds or for discretionary funded projects
                other than those funded by the Capital Investment Grants (CIG) program
                from the date of the announcement of the competitive allocation of
                funds for the project.
                 For projects that qualify for a categorical exclusion (CE) pursuant
                to 23 CFR 771.118(c), designated recipients may start activities and
                incur costs under pre-award authority for property acquisition,
                demolition, construction, and acquisition of vehicles, equipment, or
                construction materials from the date of the authorization of formula
                funds or the date of the announcement of competitive allocations for
                the project.
                 FTA recommends that a grant applicant considering a CE pursuant to
                23 CFR 771.118(c) contact FTA's Regional Office for assistance in
                determining the appropriate environmental review process and level of
                documentation necessary before incurring the above-mentioned costs,
                especially when the grant applicant believes a c-list CE with
                construction activities, such as 23 CFR 771.118(c)(8), (9), (10), (12),
                or (13), applies to its project. If FTA subsequently finds that a
                project does not qualify for a CE under 23 CFR 771.118(c) and the
                sponsor has already undertaken activities under pre-award authority,
                the project will be ineligible for FTA assistance.
                [[Page 34299]]
                 For all other non-CIG projects that do not qualify for a CE under
                23 CFR 771.118(c), grant applicants may take action and incur costs for
                property acquisition, demolition, construction, and acquisition of
                vehicles, equipment, or construction materials from the date that FTA
                completes the environmental review process required by NEPA and its
                implementing regulations, 23 U.S.C. 139, and other environmental laws,
                by its issuance of a 23 CFR 771.118(d) CE determination, a finding of
                no significant impact (FONSI), a combined final environmental impact
                statement (FEIS)/record of decision (ROD), or a ROD.
                 i. Planning and other requirements.
                 Formula funds must be authorized or appropriated and competitive
                project allocations published or announced before pre-award authority
                can be considered. The requirements that a capital project be included
                in a locally adopted Metropolitan Transportation Plan, the metropolitan
                transportation improvement program, and the federally approved
                statewide transportation improvement program (23 CFR part 450) must be
                satisfied before the grantee may advance the project beyond planning
                and preliminary design with non-federal funds under pre-award
                authority. If the project is located within an EPA-designated non-
                attainment or maintenance area for air quality, the conformity
                requirements of the Clean Air Act, 40 CFR part 93, must also be met
                before the project may be advanced into implementation-related
                activities under pre-award authority triggered by the completion of the
                NEPA process. For a planning project to have pre-award authority, the
                planning project must be included in a MPO-approved UPWP that has been
                coordinated with the State.
                 j. Federal procurement procedures, as well as the whole range of
                applicable Federal requirements (e.g., Buy America, Davis-Bacon Act,
                and Disadvantaged Business Enterprise) 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, the administrative flexibility allowed by pre-award
                authority requires a grantee to make certain that no Federal
                requirements are circumvented.
                 k. All program specific requirements must be met. For example,
                projects under Section 5310 must comply with specific program
                requirements, including coordinated planning. Before incurring costs,
                grantees are strongly encouraged to consult with the appropriate FTA
                Regional Office regarding the eligibility of the project for future FTA
                funds and for questions on environmental requirements, or any other
                Federal requirements that must be met.
                4. Pre-Award Authority for the Fixed Guideway Capital Investment Grants
                Program
                 Projects proposed for Section 5309 CIG program funds are required
                to follow a multi-step, multi-year process defined in law. For New
                Starts and Core Capacity projects, this process includes three phases:
                Project development (PD), engineering, and construction. For Small
                Starts projects, this process includes two phases: PD and construction.
                After receiving a letter from the project sponsor requesting entry into
                the PD phase, FTA must respond in writing within 45 days whether the
                information was sufficient for entry. If FTA's correspondence indicates
                the information was sufficient and the New Starts, Small Starts or Core
                Capacity project enters PD, FTA extends pre-award authority at that
                time to the project sponsor to incur costs for PD activities. PD
                activities include the work necessary to complete the environmental
                review process and as much engineering and design activities as the
                project sponsor believes are necessary to support the environmental
                review process. Upon completion of the environmental review process
                with a combined FEIS/ROD, ROD, FONSI, or CE determination by FTA for a
                New Starts, Small Starts, or Core Capacity Improvement project, FTA
                extends pre-award authority to the project sponsor to incur costs for
                as much engineering and design as needed to develop a reasonable cost
                estimate and financial plan for the project, utility relocation, and
                real property acquisition and associated relocations for any property
                acquisitions not already accomplished as a separate project for
                hardship or protective purposes or right-of-way under 49 U.S.C.
                5323(q).
                 For Small Starts projects, upon completion of the environmental
                review process and confirmation from FTA that the overall project
                rating is at least a Medium, FTA extends pre-award authority for
                vehicle purchases. Upon receipt of a letter notifying a New Starts or
                Core Capacity project sponsor of the project's approval into the
                engineering phase, FTA extends pre-award authority for vehicle
                purchases as well as any remaining engineering and design, demolition,
                and procurement of long lead items for which market conditions play a
                significant role in the acquisition price. The long lead items include,
                but are not limited to, procurement of rails, ties, and other
                specialized equipment, and commodities.
                 Please contact the FTA Regional Office for a determination of
                activities not listed here, but which meet the intent described above.
                FTA provides this pre-award authority in recognition of the long-lead
                time and complexity involved with purchasing vehicles as well as their
                relationship to the ``critical path'' project schedule. FTA cautions
                grantees that do not currently operate the type of vehicle proposed in
                the project about exercising this pre-award authority. FTA encourages
                these sponsors to wait until later in the process when project plans
                are more fully developed. FTA reminds project sponsors that the
                procurement of vehicles must comply with all Federal requirements,
                including, but not limited to, competitive procurement practices, the
                Americans with Disabilities Act, Disadvantaged Business Enterprise
                program requirements and Buy America. FTA encourages project sponsors
                to discuss the procurement of vehicles with FTA in regard to Federal
                requirements before exercising pre-award authority. Because there is
                not a formal engineering phase for Small Starts projects, FTA does not
                extend pre-award authority for demolition and procurement of long lead
                items. Instead, this work must await receipt of a construction grant
                award or an expedited grant agreement.
                a. Real Property Acquisition
                 As stated above, FTA extends pre-award authority for the
                acquisition of real property and real property rights for CIG projects
                (New or Small Starts or Core Capacity) upon completion of the
                environmental review process for that project. The environmental review
                process is completed when FTA signs a combined FEIS/ROD, ROD, FONSI, or
                makes a CE determination. With the limitations and caveats described
                below, real estate acquisition may commence, at the project sponsor's
                risk. To maintain eligibility for a possible future FTA grant award,
                any acquisition of real property or real property rights must be
                conducted in accordance with the requirements of the Uniform Relocation
                Assistance and Real Property Acquisition Policies Act (URA) and its
                implementing regulations, 49 CFR part 24. This pre-award authority is
                strictly limited to costs incurred: (i) To acquire real property and
                real property rights in accordance with the URA regulation; and (ii) to
                provide relocation assistance in accordance with the URA regulation.
                This pre-award authority is limited to the acquisition of real property
                and real property rights that are explicitly
                [[Page 34300]]
                identified in the draft environmental impact statement (DEIS), FEIS,
                environmental assessment (EA), or CE documentation, as needed for the
                selected alternative that is the subject of the FTA-signed combined
                FEIS/ROD, ROD, FONSI, or CE determination. This pre-award authority
                regarding property acquisition that is granted at the completion of the
                environmental review process does not cover site preparation,
                demolition, or any other activity that is not strictly necessary to
                comply with the URA, with one exception--namely when a building that
                has been acquired, vacated, and awaits demolition poses a potential
                fire safety hazard or other hazard to the community in which it is
                located, or is susceptible to unauthorized occupants. Demolition of the
                building is also covered by this pre-award authority upon FTA's written
                agreement that the adverse condition exists. Pre-award authority for
                property acquisition is also provided when FTA makes a CE determination
                for a protective buy or hardship acquisition in accordance with 23 CFR
                771.118(d)(3). Pre-award authority for property acquisition is also
                provided when FTA completes the environmental review process for the
                acquisition of right-of-way as a separate project in accordance with 49
                U.S.C. 5323(q). When a tiered environmental review in accordance with
                23 CFR 771.111(g) is used, pre-award authority is NOT provided upon
                completion of the first-tier environmental document except when the
                Tier-1 ROD or FONSI signed by FTA explicitly provides such pre-award
                authority for a particular, identified acquisition. Project sponsors
                should use pre-award authority for real property acquisition relocation
                assistance with a clear understanding that it does not constitute a
                funding commitment by FTA. FTA provides pre-award authority upon
                completion of the environmental review process for real property
                acquisition and relocation assistance for displaced persons and
                businesses in accordance with the requirements of the URA.
                b. Reimbursement of Costs Incurred Under Pre-Award Authority
                 Although FTA provides pre-award authority for property acquisition,
                long lead items, demolition, utility relocation, and vehicle purchases
                upon completion of the environmental review process, FTA does not award
                Federal funding for these activities conducted under pre-award
                authority until the project receives a CIG program construction grant.
                This is to ensure that Federal funds are not risked on a project whose
                advancement into construction is not yet assured.
                c. National Environmental Policy Act (NEPA) Activities
                 NEPA requires that certain projects proposed for FTA funding
                assistance be subjected to a public and interagency review of the need
                for the project, its environmental and community impacts, and
                alternatives to avoid and reduce adverse impacts. Projects of more
                limited scope also need a level of environmental review to determine
                whether there are significant environmental impacts or confirmation
                that a CE applies. FTA's regulation titled ``Environmental Impact and
                Related Procedures,'' at 23 CFR part 771 states that the costs incurred
                by a grant applicant for the preparation of environmental documents
                requested by FTA are eligible for FTA financial assistance (23 CFR
                771.105(f)). Accordingly, FTA extends pre-award authority for costs
                incurred to comply with NEPA regulations and to conduct NEPA-related
                activities, effective as of the earlier of the following two dates: (1)
                The date of the Federal approval of the relevant STIP or STIP amendment
                that includes the project or any phase of the project, or that includes
                a project grouping under 23 CFR 450.216(j) that includes the project;
                or (2) the date that FTA approves the project into the project
                development phase of the CIG program. The grant applicant must notify
                the FTA Regional Office to initiate the Federal environmental review
                process consistent with 23 CFR 771.111. NEPA-related activities
                include, but are not limited to, public involvement activities,
                historic preservation reviews, Section 4(f) evaluations, wetlands
                evaluations, and endangered species consultations. This pre-award
                authority is strictly limited to costs incurred to conduct the NEPA
                process and associated engineering, and to prepare environmental,
                historic preservation and related documents. When a New Starts, Small
                Starts, or Core Capacity project is granted pre-award authority for the
                environmental review process, the reimbursement for NEPA activities
                conducted under pre-award authority may be sought at any time through
                Section 5307 (Urbanized Area Formula Program) or the flexible highway
                programs (e.g., Surface Transportation Program or Congestion Mitigation
                and Air Quality Improvement Program). Reimbursement from the Section
                5309 CIG program for NEPA activities conducted under pre-award
                authority is provided only for expenses incurred after entry into the
                project development phase and only once a construction grant agreement
                is signed. As with any pre-award authority, FTA reimbursement for costs
                incurred is not guaranteed and recipients may not start activities and
                incur costs under pre-award authority for property acquisition,
                demolition, construction, and acquisition of vehicles, equipment, or
                construction materials until the environmental review process is
                complete.
                d. Other Activities Requiring Letter of No Prejudice (LONP)
                 Except as discussed in paragraphs i through iii above, a CIG
                project sponsor must obtain a written LONP from FTA before incurring
                costs for any activity not covered by pre-award authority. To obtain an
                LONP, an applicant must submit a written request accompanied by
                adequate information and justification to the appropriate FTA Regional
                Office, as described in B. below.
                 For more information about the Fixed Guideway Capital Investment
                Grants program, including LONP policy, real property acquisition, and
                reimbursement of costs incurred under Pre-Award Authority, contact
                Elizabeth Day, Office of Capital Project Development, at (202) 366-5159
                or [email protected].
                 For more information about the Fixed Guideway Capital Investment
                Grants program, including National Environmental Policy Act (NEPA)
                activities, contact Megan Blum, Office of Environmental Programs, at
                (202) 366-0463 or [email protected].
                B. Letter of No Prejudice (LONP) Policy
                1. 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 for a grant award 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 CIG
                program projects undertaking activities not covered under automatic
                pre-award authority. LONPs may be issued for formula funds beyond the
                life of the current authorization or FTA's extension of automatic pre-
                award authority; however, the LONP is limited to a five-year period,
                unless otherwise authorized in the LONP. Receipt of Federal funding
                under any program is not implied or guaranteed by an LONP.
                [[Page 34301]]
                2. Conditions and Federal Requirements
                 The conditions and requirements for pre-award authority specified
                in section V.4ii and V.4.iii above apply to all LONPs. Because project
                implementation activities may not be initiated before completion of the
                environmental review process, FTA will not issue an LONP for such
                activities until the environmental review process has been completed
                with a combined FEIS/ROD, ROD, FONSI, or CE determination.
                3. Request for LONP
                 Before incurring costs for project activities not covered by
                automatic pre-award authority, the project sponsor must first submit a
                written request for an LONP, accompanied by adequate information and
                justification, to the appropriate regional office and obtain written
                approval from FTA. FTA approval of an LONP is determined on a case-by-
                case basis. Federal funding under the CIG program is not implied or
                guaranteed by an LONP. Specifically, when requesting an LONP, the
                applicant shall provide the following items:
                 a. Description of the activities to be covered by the LONP.
                 b. Justification for advancing the identified activities. The
                justification should include an accurate assessment of the consequences
                to the project scope, schedule, and budget should the LONP not be
                approved.
                 c. Allocated level of risk and contingency for the activity
                requested.
                C. FY 2020 Annual List of Certifications and Assurances
                 Section 5323(n) requires FTA to publish annually a list of all
                certifications required under Chapter 53 concurrently with the
                publication of this annual apportionment notice. The 2020 version of
                FTA's Certifications and Assurances is available on FTA's website. FTA
                cannot make an award or an amendment to an award unless the recipient
                has executed the latest version of FTA's Certifications and Assurances.
                FTA encourages Recipients of formula funding to execute the new
                Certifications and Assurances within 90 days of this notice, to prevent
                any delay to application processing.
                D. Civil Rights Requirements
                1. Civil Rights Overview
                 Recipients must carry out provisions of the Americans with
                Disabilities Act (ADA) of 1990, Section 504 of the Rehabilitation Act
                of 1973, as amended, and the Department of Transportation's
                implementing regulations at 49 CFR parts 27, 37, 38, and 39. FTA's ADA
                Circular (4710.1) provides guidance for carrying out the regulatory
                requirements of the ADA. In addition, recipients must regularly prepare
                and submit civil rights program plans and reports to establish
                voluntary compliance and document policies and practices in the areas
                of Title VI, Disadvantaged Business Enterprise (DBE) and Equal
                Employment Opportunity (EEO). The current status of civil rights
                programs can be found on each recipient's Civil Rights Information page
                of TrAMS. New program plans and program updates must be submitted there
                as well. Before submitting an application for funding, recipients
                should consult with FTA Circulars and guidance and submit the following
                programs, as applicable:
                 a. Title VI of the Civil Rights Act of 1964: The Department of
                Transportation's Title VI implementing regulations are found in 49 CFR
                part 21. FTA's Title VI Circular (4702.1B) provides guidance for
                carrying out the regulatory requirements.
                 b. Disadvantaged Business Enterprise (DBE) program and triennial
                goal: The Department of Transportation's DBE implementing regulations
                are found in 49 CFR part 26 and provide guidance for carrying out the
                regulatory requirements and developing the triennial DBE goal.
                 c. Title VII of the Civil Rights Act of 1964, Equal Employment
                Opportunity (EEO): The Department of Transportation's EEO implementing
                regulations are found in 49 CFR part 21. FTA's EEO Circular (4704.1A)
                provides guidance for carrying out the regulatory requirements.
                2. Disadvantaged Business Enterprise Program--Transit Vehicle
                Manufacturers (TVM)
                 Recipients exercising pre-award authority are expected to comply
                with the DBE regulations. The Department of Transportation's DBE
                program helps small businesses owned by socially and economically
                disadvantaged individuals to compete in the marketplace, and is
                designed to support the people who create jobs--our nation's
                entrepreneurs. Pursuant to 49 CFR 26.49, transit vehicle manufacturers
                (TVMs) ``must establish and submit for FTA's approval an annual overall
                percentage goal''; only those TVMs ``listed on FTA's certified list of
                transit vehicle manufacturers, or that have submitted a goal
                methodology to FTA that has been approved or has not been disapproved,
                at the time of solicitation are eligible to bid.'' Recipients may, with
                prior FTA approval, establish project-specific goals for DBE
                participation in the procurement of transit vehicles in lieu of using a
                certified TVM.
                 Prior to accepting bids, it is the recipient's responsibility to
                ensure that the TVM has submitted a goal to FTA and FTA has either
                approved it or not disapproved it. A recipient may verify a TVM has
                submitted a DBE goal to FTA for its review by checking the FTA Eligible
                TVMs List located on FTA's website at www.transit.dot.gov/tvm. A
                recipient may request from FTA verification of the eligibility of a TVM
                not included on FTA's website. Please email your request to
                [email protected], and FTA will respond via email within five
                business days. Failure by a recipient to verify a TVM's eligibility to
                bid on an FTA-assisted contract prior to award cannot be cured after
                award of the contract and will likely result in FTA declining to
                provide federal funding for the vehicle procurement.
                 Furthermore, recipients are also reminded of the requirement in 49
                CFR 26.49(a)(4), which states, ``FTA recipients are required to submit
                within 30 days of making an award, the name of the successful bidder,
                and the total dollar value of the contract in the manner prescribed in
                the grant agreement.'' Recipients are to report to FTA all vehicle
                purchases, post-production alterations, and retrofit procurements
                within the 30 days of award using the electronic Transit Vehicle Award
                Reporting form found at www.transit.dot.gov/dbe. Vehicles purchased
                solely for personal use and/or purchased ``off the lot'' do not need to
                be reported. Recipients that receive the funds directly from FTA must
                report on behalf of their subrecipients as well. Only the subrecipients
                that received the federal funds directly from FTA are responsible for
                reporting the vehicle awards to FTA.
                E. Consolidated Planning Grants
                 FTA and FHWA planning funds under both the Metropolitan Planning
                and State Planning and Research Programs can be consolidated into a
                single consolidated planning grant, awarded by either FTA or FHWA. The
                Consolidated Planning Grants (CPG) eliminate 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 program
                expenditures, to comply with the Uniform Guidance 2 CFR 200, subpart F,
                for both FTA and FHWA under the Catalogue of Federal Domestic
                Assistance number for FTA's Metropolitan Planning Program (20.505).
                Additionally, for States with an FHWA Metropolitan Planning (PL)
                [[Page 34302]]
                fund-matching ratio greater than 80 percent, the State can waive the 20
                percent local share requirement, with FTA's concurrence, to allow FTA
                funds used for metropolitan planning in a CPG to be granted at the
                higher FHWA rate. For some States, this Federal match rate can exceed
                90 percent.
                 States interested in transferring planning funds between FTA and
                FHWA should contact the FTA Regional Office or FHWA Division Office for
                more detailed procedures. The FHWA Order 4551.1 dated August 12, 2013,
                on ``Funding Transfers to Other Agencies and Among Title 23 Programs''
                provides guidance and more detailed information.
                 For more information on Consolidated Planning Grants, contact Ann
                Souvandara, Office of Budget and Policy, FTA, at (202) 366-0649 or
                [email protected].
                F. Grant Application Procedures
                 All applications for FTA funds should be submitted to the
                appropriate FTA Office. All applications are filed electronically. FTA
                continues to award and manage grants and cooperative agreements using
                the Transit Award Management System (TrAMS). To access TrAMS, contact
                your FTA Office. Resources on using TrAMS can be found on FTA's website
                at https://www.transit.dot.gov/TrAMS.
                 FTA regional staff are responsible for working with grantees to
                review and process grant applications. For an application to be
                considered complete and ready for FTA to assign a Federal Award
                Identification Number (FAIN), enabling submission in TrAMS, and
                submission to the Department of Labor, when applicable, the following
                requirements must be met:
                 a. Recipient has registered in the System for Award Management
                (SAM) and its registration is current with an active status. To
                register an entity or check the status and renew registration, visit
                the SAM website at https://www.sam.gov/SAM/.
                 b. Recipient's contact information, including Dun and Bradstreet
                Data Universal Numbering System (DUNS), is correct. To request a DUNS
                number, call Dun & Bradstreet at 1-866-705-5711 or visit the website at
                http://fedgov.dnb.com/webform.
                 c. Recipient has properly submitted its annual certifications and
                assurances.
                 d. Recipient's Civil Rights submissions are current.
                 e. After October 1, 2018, the grantee has a Transit Asset
                Management plan in place that meets the requirements of 49 CFR part
                625, or is covered by a compliant Group Plan.
                 f. Documentation is on file to support recipient's status as either
                a designated recipient for the program and area or a direct recipient.
                 g. Funding is available, including any flexible funds included in
                the budget, and split letters or suballocation letters on file, where
                applicable, to support the amount requested in the grant application.
                 h. The activity is listed in a currently approved Transportation
                Improvement Program (TIP); Statewide Transportation Improvement Program
                (STIP), or Unified Planning Work Program (UPWP).
                 i. All eligibility issues are resolved.
                 j. Required environmental findings are made.
                 k. The application contains a well-defined scope of work, including
                at least one project with accompanying project narratives, at least one
                budget scope code and one activity line item, Federal and non-Federal
                funding amounts, and milestones.
                 l. Major Capital Projects as defined by 49 CFR part 633 ``Project
                Management Oversight'' must document FTA has reviewed the project
                management plan and provided approval.
                 m. Milestone information is complete. FTA will also review status
                of other open award reports to confirm financial and milestone
                information is current on other open awards.
                 FTA must also provide Congressional notification before awarding
                competitive grants.
                 Other important issues that impact FTA grant processing activities
                in addition to the list above are discussed below.
                a. Award Budgets--Scope Codes and Activity Line Items (ALI) Codes;
                Financial Purpose Codes
                 FTA uses Scope and ALI Codes in the award budgets to track
                disbursements, monitor program trends, report to Congress, and to
                respond to requests from the Inspector General and the Government
                Accountability Office, as well as to manage grants. The accuracy of the
                data is dependent on the careful and correct use of codes.
                b. Designated and Direct Recipients Documentation
                 For its formula programs, FTA primarily apportions funds to the
                designated recipient in the large UZAs (areas over 200,000), or for
                areas under 200,000 (small UZAs and rural areas), it apportions the
                funds to the Governor, or its designee (e.g., State DOT). Depending on
                the program, as described in the individual program sections found in
                Section IV of this notice, further suballocation of funds may be
                permitted to eligible recipients who may then apply directly to FTA for
                the funding as direct recipients.
                 For the programs in which FTA may make grants to eligible direct
                recipients, other than the designated recipient(s), recipients are
                reminded that documentation must be on file to support: (1) The status
                of the recipient either as a designated recipient or direct recipient;
                and (2) the allocation of funds to the direct recipient.
                 Documentation to support existing designated recipients for the UZA
                must also be on file at the time of the first application in FY 2020.
                Split letters and/or suballocation letters (Governor's Apportionment
                letters), must also be on file to support grant applications for direct
                recipients. Once suballocation letters for FY 2020 funding are
                finalized, they should be uploaded as part of the application into
                TrAMS.
                 The Direct Recipient is required to upload to TrAMS a copy of the
                suballocation letter (Letter) indicating their allocation of funding,
                for the appropriate fund program, when the applicant transmits their
                application for initial review. The Letter must be signed by the
                Designated Recipient, or as applicable in accordance with their
                planning requirements. If there are two Designated Recipients, both
                entities must sign the Letter. The Letter must: (1) Indicate the
                allocations to the respective Direct Recipients listed in the letter;
                (2) incorporate language above the signatories to reflect this
                agreement; and (3) make clear that the Direct Recipient will assume
                any/all responsibility associated with the award for the funds. When
                drafting the Letter, Designated Recipients may use the template
                language below:
                 ``As identified in this Letter, the Designated Recipient(s)
                authorize the reassignment/reallocation of [enter fund source; e.g.
                Section 5307 funds] to the Direct Recipient(s) named herein. The
                undersigned agree to the amounts allocated/reassigned to each direct
                Recipient. Each Direct Recipient is responsible for its application
                to the Federal Transit Administration to receive such funds and
                assumes the responsibilities associated with any award for these
                funds.''
                 The contents of this document do not have the force and effect of
                law and are not meant to bind the public in any way. This document is
                intended only to provide clarity to the public regarding existing
                requirements under the law or agency policies. Grantees should refer to
                [[Page 34303]]
                applicable regulations and statutes referenced in this document.
                K. Jane Williams,
                Acting Administrator.
                [FR Doc. 2020-11946 Filed 6-2-20; 8:45 am]
                 BILLING CODE 4910-57-P
                

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