Home/Federal/Federal Register/2021-15576

Notice2021-15576

FTA Fiscal Year 2021 Apportionments, Allocations and Program Information

Primary source

Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.

Published

July 22, 2021

Issuing agencies

Transportation DepartmentFederal Transit Administration

Abstract

This notice provides priorities for programs in Fiscal Year (FY) 2021, announces Coronavirus Response and Relief Supplemental Appropriations Act, American Rescue Plan Act, and full-year apportionments and allocations for grant programs, provides contract authority, and describes plans for several competitive programs.

Full Text

<html>
<head>
<title>Federal Register, Volume 86 Issue 138 (Thursday, July 22, 2021)</title>
</head>
<body><pre>
[Federal Register Volume 86, Number 138 (Thursday, July 22, 2021)]
[Notices]
[Pages 38791-38810]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-15576]

-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

FTA Fiscal Year 2021 Apportionments, Allocations and Program
Information

AGENCY: Federal Transit Administration (FTA), Department of
Transportation (DOT).

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: This notice provides priorities for programs in Fiscal Year
(FY) 2021, announces Coronavirus Response and Relief Supplemental
Appropriations Act, American Rescue Plan Act, and 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 John Bodnar, Director of Transit Programs, 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: <a href="http://www.transit.dot.gov">www.transit.dot.gov</a>. 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: <a href="http://www.transit.dot.gov">www.transit.dot.gov</a> to receive email
notifications when new information is available.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Overview
II. FY 2021 Funding for FTA Programs
A. Funding Available Under the Consolidated Appropriations Act,
2021
B. Oversight Takedown
C. FY 2021 Formula Apportionments: Data and Methodology
III. FY 2021 Program Highlights
A. Emergency Relief Docket
B. Policy Priorities
1. Supporting the Transit Industry COVID-19 Pandemic Response
and Recovery
2. Public Transportation Agency Safety Plans
3. Public Transportation Safety Certification Training Program
4. Changes to 2 CFR 200
5. Other Policy Priorities
C. Implementation and Oversight of CARES, CRRSAA and ARP Funding
D. FY 2021 Competitive Program Funding
E. National Defense Authorization Act for FY 2020
F. Prompt Notification of Knowledge of Potential Fraud, Waste,
or Abuse Occurring on FTA-Funded Projects
IV. FY 2021 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
R. Coronavirus Response and Recovery Supplemental Appropriations
Act Transit Infrastructure Grants
S. American Rescue Plan Act of 2021
V. FY 2021 Grants
A. Automatic Pre-Award Authority To Incur Project Costs
B. Letter of No Prejudice (LONP) Policy
C. FY 2021 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) 2021 authorized contract
authority through September 30, 2021, for FTA formula and competitive
programs pursuant to Division L of the Consolidated Appropriations Act,
2021 (Pub. L. 116-260). In addition, Section IV.R of this document
includes information about supplemental funding provided in Division M
of the Consolidated Appropriations Act, 2021, also known as the
Coronavirus Response and Recovery Supplemental Appropriations Act
(CRRSAA). Section IV.S of this document includes information about the
American Rescue Plan Act of 2021 (ARP). Important information about FTA
programs, statutory requirements, and policy priorities is also
included in this document.
Division B of the Continuing Appropriations Act, 2021 and Other
Extensions Act (Pub. L. 116-159), extended the Federal Transit program
authorization at FY 2020 funding levels. For each FTA program, this
notice provides information on the FY 2021 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, 2021.
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 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 2021 Funding for FTA Programs

A. Funding Available Under the Consolidated Appropriations Act, 2021

Division L of the Consolidated Appropriations Act, 2021 (Pub. L.
116-260) makes $12.8 billion in funding available for FTA programs in
FY 2021. The Consolidated Appropriations Act, 2021, provides $10.15
billion in funding for FY2021 from the Mass Transit Account of the
Highway Trust Fund at the amounts authorized under 49 U.S.C. 5338(a),
as extended for FY 2021 by division B of Continuing Appropriations Act,
2021 and Other Extensions Act. The Consolidated Appropriations Act,
2021 also provides $2.537 billion in general fund appropriations,
including $7.5 million for technical assistance and workforce
development grants, $2.014 billion for Capital Investment Grants, $150
million for grants to the Washington Metropolitan Area Transit
Authority (WMATA), and $516.22 million for transit infrastructure
grants, which includes: $118 million for the Grants for Buses and Bus
Facilities Formula Program, $125 million for Buses and Bus Facilities
competitive grants, $125 million for Low or No Emissions Grants, $40
million for

[[Page 38792]]

Formula Grants for Rural Areas, $40 million for the Section 5340 High
Density States Apportionments, $40 million for State of Good Repair
Grants, $16.22 million for competitive grants in areas of persistent
poverty, $8 million for Passenger Ferry Grants, of which $4 million is
for low or no emission ferries, $1 million for the Section 5312
demonstration and deployment of innovative mobility solutions program,
$1 million for the Section 5312 accelerating innovative mobility
initiative, and $2 million for vehicle testing facilities. Current
funding availability for each program is identified in Section IV of
this notice and in Table 1 located on FTA's FY 2021 Apportionment web
page: <a href="http://www.transit.dot.gov/funding/apportionments">www.transit.dot.gov/funding/apportionments</a>.

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 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; conducting reviews and audits of State Safety Oversight,
drug and alcohol programs, civil rights compliance, procurement
systems, management, planning certification, and financial management
reviews and audits; evaluating and analyzing of recipient-specific
problems and issues; and providing technical assistance to correct
deficiencies identified in compliance reviews and audits.

C. FY 2021 Formula Apportionments: Data and Methodology

1. Apportionment Tables
FTA publishes apportionment tables on its website for each program
that reflect 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
<a href="http://www.transit.dot.gov/funding/apportionments">www.transit.dot.gov/funding/apportionments</a>. This website contains a
page listing the apportionment and allocation tables for FY 2021, links
to prior year formula apportionment notices and tables, and the
National Transit Database (NTD) and Census data used to calculate the
FY 2021 apportionments.
2. National Transit Database (NTD) and Census Data Used in the FY 2021
Apportionments
Consistent with past practices, the apportionment 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 2021 is the 2019 report year. Where an apportionment is based on the
age of the system, the age is calculated as of September 30, 2020, the
last day before FY 2021 began. Recipients of Section 5307 or 5311 funds
are required to report to the NTD. Additionally, recipients or
subrecipients of any other FTA program that own, operate, or manage
assets used in public transportation are required to report asset data
to the NTD. Further, several transit operators report to the FTA's NTD
on a voluntary basis. For the 2019 report year, the NTD includes data
from 935 reporters in urbanized areas, 920 of which reported operating
transit service. The NTD also includes data from 1,474 providers of
rural transit service, which includes 125 Indian Tribes providing
transit service.
Data based on the 2010 Census are used to determine population and
population density for Section 5303, 5305, 5307 and 5339 programs, as
well as population and 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
data for these populations based on the most-recent five-year estimates
from the Census Bureau's 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: <a href="http://www.transit.dot.gov/funding/apportionments">www.transit.dot.gov/funding/apportionments</a>.
The FY 2021 apportionments use data on low-income persons, persons
with disabilities, and older adults from the 2014-2018 ACS five-year
data set, which was published in December 2019. These data represent
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 Tables B17024 and
C17002, ``Age by Ratio of Income to Poverty in the Last Twelve Months''
and ``Ratio of Income to Poverty Level in The Past 12 Months''
respectively, 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 carried out a 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 is expected to issue a list of Urbanized Areas and
population statistics based on 2020 Census data in 2022. 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. FTA expects to use 2020 Census
data for the apportionment of FY 2023 funds. The apportionment of funds
for FY 2022 will continue to be conducted based on Census data and
eligibilities from the 2010 Census. Funding for FY 2022 and prior years
will continue to be available to grant recipients based on their
geographic classification under the 2010 Census for as long as those
funds remain available, in accordance with the terms and conditions of
those programs.
The coronavirus disease 2019 (COVID-19) pandemic has substantially
impacted transit data reported to the NTD for 2020. Many systems expect
2020 ridership to be significantly less than 2019 ridership. For the FY
2022 formula apportionment, FTA will automatically use either all of an
agency's 2019 data or all of their 2020 data, whichever is higher,
based on the Vehicle Revenue Miles reported. For the FY 2023 formula
apportionment, FTA will automatically use either all of an agency's
2019 data or else all of their 2021 data, whichever is higher, based on
the Vehicle Revenue Miles reported. An agency does not need to submit a

[[Page 38793]]

disaster waiver request to FTA to receive this benefit as it will be
automatically applied to every NTD Report. As FTA will use all of a
particular year's data for the formula apportionment, some individual
data elements might be higher in the alternative year. In some cases,
an agency may prefer to use the entire data set from the alternative
year, in which case you should contact your NTD analyst when filing
your report. FTA also does not guarantee a positive change in
apportionment to an Urbanized Area (UZA), State, or Tribal Area from
the prior year since that depends not only an agency's own data, but
also on the data reported by all other transit systems, as well as on
the total amount of appropriations enacted. Recipients should consult
FTA's COVID-19 FAQs on the FTA website or contact the NTD Help Desk for
the most-recent information on that policy.

III. FY 2021 Program Highlights

A. Emergency Relief Docket

Pursuant to 49 CFR 601.42, in January 2021, FTA established an
Emergency Relief Docket for calendar year 2021. 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 <a href="http://www.regulations.gov">www.regulations.gov</a> for posting in the docket (FTA-
2021-0001). Recipients should discuss a potential request for relief
with their FTA Regional Office prior to submitting a docket request to
determine if the request is necessary to receive the desired outcome.
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 2021:
1. Supporting the Transit Industry COVID-19 Pandemic Response and
Recovery
FTA is dedicated to supporting the transit industry's COVID-19
pandemic response and recovery. FTA will continue to provide guidance,
identify areas in which administrative and regulatory waivers will
provide relief to the transit industry, and implement programs
consistent with the Coronavirus Aid, Relief, and Economic Security
(CARES) Act, the Coronavirus Response and Relief Supplemental
Appropriations Act (CRRSAA), 2021, the American Rescue Plan Act of 2021
(ARP), and any additional supplemental funding that may become
available. For details, please visit <a href="http://www.transit.dot.gov/coronavirus">http://www.transit.dot.gov/coronavirus</a>, section IV.R of this notice, Coronavirus Response and
Recovery Supplemental Appropriations Act Transit Infrastructure Grants,
and Section IV.S of this notice, American Rescue Plan Act of 2021
Federal Transit Administration Grants, below.
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 December 11, 2020, FTA issued a Notice
of Enforcement Discretion to alert transit agencies that FTA will
refrain from taking enforcement action until July 21, 2021 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 before that date. This Notice superseded
the Notice of Enforcement Discretion issued April 22, 2020. During this
time, the PTASP Technical Assistance Center will remain available to
meet recipients' PTASP technical assistance needs.
a. Applicability
The PTASP regulation applies to all operators of public
transportation systems that are recipients and subrecipients 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 receive funds only 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
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.
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 its own ASP and notifies the State that it will do
so. A small public transportation provider is a transit operator that
meets all of the following requirements:
<bullet> Is a recipient or subrecipient of FTA's Urbanized Area
Formula Program,
<bullet> Operates 100 or fewer vehicles in peak revenue service
across all fixed route modes,
<bullet> Operates 100 or fewer vehicles in peak revenue service in
each non-fixed route mode, and
<bullet> 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, 2021.
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 the
combination of these two programs.
On December 11, 2020, FTA issued a second Notice of Enforcement
Discretion that FTA will refrain from taking enforcement action until
July 21, 2021, if any FTA recipient or subrecipient is unable to
certify that it has established a compliant Agency Safety Plan.
Applicants that receive awards prior to fulfilling their requirements
under the PTASP regulation will execute all other relevant
certifications and then execute the PTASP certification after the
requirements are met, but no later than July 20, 2021. After July 20,
2021, 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 <a href="https://www.transit.dot.gov/PTASP-TAC">https://www.transit.dot.gov/PTASP-TAC</a>.

[[Page 38794]]

3. Public Transportation Safety Certification Training Program
The Public Transportation Safety Certification Training Program
(PTSCTP) regulation at 49 CFR part 672 provides minimum training
requirements for designated personnel. Designated personnel have until
August 20, 2021, or a later date dependent on designation, to complete
initial PTSCTP training requirements and must complete refresher
training every two years thereafter. On December 11, 2020, FTA issued a
Notice of Enforcement Discretion to alert recipients and designated
personnel that FTA will refrain from taking enforcement action until
August 21, 2022, against any FTA recipient subject to the PTSCTP
regulation that is unable to meet the initial or refresher training
requirements before that date.
a. Applicability
The PTSCTP applies to recipients that operate rail transit systems
that are subject to the FTA State Safety Oversight (SSO) Program (49
CFR part 674) and their designated personnel, and State Safety
Oversight Agencies (SSOA) and their designated personnel. Designated
personnel include SSO employees and contractors who conduct safety
audits and examinations of rail transit systems and rail transit agency
employees and contractors who are directly responsible for safety
oversight of rail transit systems.
b. Certifications and Assurances
FTA recipients that operate rail transit systems are subject to the
FTA SSO Program and SSOAs are required to annually certify compliance
with the PTSCTP regulation.
4. Changes to Title 2, Code of Federal Regulations (2 CFR)
On August 13, 2020, the Office of Management and Budget (OMB)
issued updates to multiple Parts of 2 CFR including part 25: Universal
Identifier and System for Award Management; part 170: Reporting Sub-
award and Executive Compensation Information; a new section, part 183:
Never Contract with the Enemy; and part 200: the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal
Awards. Many of the changes were made to provide clarity and align with
other regulations and OMB Circulars; coordinate processes, procedures,
and reporting requirements; and better identify requirements from best
practices.
Two of the provisions, specifically 2 CFR 200.216 and 200.340, took
effect immediately. Section 200.216 prohibits federal award recipients
from using government funds to enter into contracts (or extend or renew
contracts) for certain telecommunications equipment or services,
including, but not limited to, those produced by Huawei Technologies
Company or ZTE Corporation (or any subsidiary or affiliate of such
entities). Section 200.340 describes specific reasons federal awarding
agencies, pass-through entities, and non-federal entity recipients may
terminate awards or parts of an award.
The remainder of the provisions became effective for new awards and
additional funding applied to existing awards on November 12, 2020. The
requirements of 2 CFR part 200 are incorporated into FTA awards through
the Master Agreement and annual Certifications and Assurances. For the
most part, the changes under 2 CFR part 200 do not substantially change
administrative requirements, cost principles and audit requirements as
experienced by FTA recipients.
Where FTA Circular 5010.1E references the former administrative
requirements or FTA Program Circulars reference specific requirements
of 49 CFR parts 18 or 19 (the old Common Rule, since repealed), non-
Federal entities should follow the current rule in 2 CFR parts 200 and
1201.
A revision to 2 CFR 200.414 eases conditions for the election of
the de minimis indirect cost rate. Now, a non-federal entity may elect
to use the de minimis rate even if the entity previously had a
negotiated rate. Applicants and recipients should contact their FTA
Regional Transit Office for assistance.
Applicants and recipients are reminded of the need to maintain
current registration in the System for Award Management (SAM) and
provide requisite or updated information in a timely manner.
Grant closeout is impacted by changes in 2 CFR 200.344. The
revision increases from 90 to 120 the number of days that are allowed
after the end of the period of performance to complete closeout
requirements, submit required reports, and resolve outstanding
obligations. The revised 2 CFR 200.344 also specifies that, if a
recipient does not submit all required reports within a year of the end
of an award's period of performance, FTA must report the recipient's
material failure to comply with the terms of the agreement in FAPIIS
(the governmentwide integrity and performance system).
5. Other Policy Priorities
FTA will provide additional information on other policy priorities
in upcoming Notices of Funding Opportunity relating to specific
competitive grant programs. These priorities will be consistent with
the objectives of President Biden's Executive Orders, including, but
not limited to: Executive Order 13985: Advancing Racial Equity and
Support for Underserved Communities Through the Federal Government;
Executive Order 13990: Protecting Public Health and the Environment and
Restoring Science To Tackle the Climate Crisis; Executive Order 14005:
Ensuring the Future Is Made in All of America by All of America's
Workers; and Executive Order 14008: Tackling the Climate Crisis at Home
and Abroad.

C. Implementation and Oversight of CARES, CRRSAA and ARP Funding

Beginning in FY 2020, and continuing in FY 2021, FTA has made
nearly $70 billion in supplemental funding available to assist transit
agencies respond to the COVID-19 pandemic. In addition to providing
additional financial assistance to transit agencies, the funding made
available through the Coronavirus Aid, Relief, and Economic Security
(CARES) Act; the Coronavirus Response and Relief Supplemental
Appropriations Act (CRRSAA); and American Rescue Plan (ARP) allowed for
changes in how recipients use FTA funds. This includes allowing all
recipients, regardless of size or urbanized area population, to charge
operating expenses to FTA grants at one hundred percent Federal share.
The total amount of funding provided, the elimination of local
match requirements, and the expansion of types of expenses (including
operating expenses) has created a need for additional technical
assistance and oversight. FTA has developed a new approach to oversight
of the COVID-19 relief funding that focuses on both technical
assistance and supplemental oversight. As technical assistance to the
transit industry, FTA will conduct a series of webinars that will focus
on helping recipients understand how to calculate and document
operating expenses in order to charge them to FTA grants.
In implementing enhanced oversight of COVID-19 relief funds, FTA
will incorporate specific focus areas under FTA's existing oversight
program as well as supplemental oversight reviews for recipients not
scheduled for a Triennial or State Management Review in FY 2021.
Supplemental oversight will

[[Page 38795]]

entail spot reviews of select recipients to examine expenses charged to
FTA grants and documentation of those expenses and may include a review
of the recipient's financial systems. This additional oversight will
help FTA identify and resolve any issues related to the use of COVID-19
relief funding at an early stage and ensure the proper management and
control of the additional funding appropriated to assist transit
agencies in recovering from the impacts of COVID-19.

D. FY 2021 Competitive Program Funding

FTA's competitive grant programs and the FY 2021 appropriated
funding levels are identified in the chart below. FTA selects projects
for funding after issuance of a Notice of Funding Opportunity (NOFO).

----------------------------------------------------------------------------------------------------------------
FY 2021 amount NOFO Applications
FY 2021 competitive programs Statute 49 U.S.C. ($M) published due
----------------------------------------------------------------------------------------------------------------
Low or No Emission Grants Competitive 5339(c)................. $180.00 2/11/2021 4/12/2021
Program.
Grants for Buses and Bus Facilities 5339(b)................. 409.59 TBD TBD
Competitive Program.
Passenger Ferry Grant Program......... 5307(h)................. 38.00 TBD TBD
Tribal Transit........................ 5311(c)(1)(A)........... 5.00 5/27/2021 8/25/2021
Integrated Mobility Innovation........ 5312.................... 1.00 TBD TBD
Accelerating Innovative Mobility 5312.................... 1.00 TBD TBD
Challenge Grants.
Transit Workforce Technical Assistance 5314.................... 2.50 4/9/2021 5/10/2021
Center.
Bus Exportable Power Systems.......... 5314.................... 1.00 TBD TBD
Discretionary Technical Assistance 5314.................... 4.00 TBD TBD
Programs.
Areas of Persistent Poverty Grants.... Consolidated 16.22 6/30/2021 8/30/2021
Appropriations Act,
2021.
Pilot Program for Innovative FAST Section 3006(b).... 3.50 TBD TBD
Coordinated Access and Mobility.
Transit Oriented Development Planning MAP-21 20005(b)......... 10.00 4/21/2021 6/21/2021
Grants.
----------------------------------------------------------------------------------------------------------------

E. National Defense Authorization Act for FY 2020

Section 7613 of the National Defense Authorization Act for FY 2020
(NDAA) amended 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. FTA's NDAA Frequently Asked Questions are based on
inquiries from recipients and transit vehicle manufacturers and can be
found at <a href="https://www.transit.dot.gov/funding/procurement/frequently-asked-questions-regarding-section-7613-national-defense">https://www.transit.dot.gov/funding/procurement/frequently-asked-questions-regarding-section-7613-national-defense</a>.

F. Prompt Notification of Knowledge of Potential Fraud, Waste, or Abuse
Occurring on FTA-Funded Project

Section 39(a)(3) of FTA's Master Agreement includes a requirement
that a recipient must ``promptly notify'' the U.S. DOT Office of
Inspector General (OIG), in addition to the FTA Chief Counsel or
applicable Regional Counsel, when it has knowledge of potential fraud,
waste, or abuse occurring on an FTA-funded project. ``Knowledge''
includes, but is not limited to, knowledge of a criminal or civil
investigation by a Federal, state, or local law enforcement or other
investigative agency, a criminal indictment or civil complaint, or
probable cause that could support a criminal indictment, or any other
credible information in the possession of any divisions of the
recipient, including divisions tasked with law enforcement or
investigatory functions. For example, such knowledge includes when a
recipient's inspector general, legal counsel, or other responsible
office begins an investigation involving a project that has received
financial assistance from FTA, or knowledge by a recipient's inspector
general, legal counsel, senior management, or executives that such an
investigation has been initiated by an outside Federal, state, or local
entity.
The Master Agreement defines prompt notification as ``to refer
information without delay and without change.'' Unless a recipient can
demonstrate extenuating circumstances outside of its control, it should
notify the U.S. DOT OIG and FTA Chief Counsel or Regional Counsel
within ten (10) business days of the recipient's receipt of such
knowledge of potential fraud, waste, or abuse, and this notification
should include the project(s) at issue that have received FTA financial
assistance.

IV. FY 2021 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 FTA and the Federal Highway
Administration (FHWA) and use these targets 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

[[Page 38796]]

transportation planning, but also encompasses the relationships among
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
<a href="/cdn-cgi/l/email-protection#fb8d92988f9489d59a8e888f9295bb9f948fd59c948d">[email&#160;protected]</a>.
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 2021 to provide financial assistance for
metropolitan planning needs under Section 5303.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $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
$116,952,863 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 2021 Appropriation Available................... $117,492,524
Oversight Deduction..................................... (587,463)
Reapportioned Funds..................................... 47,802
---------------
Total Apportioned..................................... 116,952,863
------------------------------------------------------------------------

3. Period of Availability
The Metropolitan Planning program funds apportioned in this notice
are available for obligation during FY 2021 plus three additional
fiscal years. Funds apportioned in FY 2021 must be obligated in grants
by September 30, 2024. Any FY 2021 apportioned funds that remain
unobligated at the close of business on September 30, 2024, 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
<a href="/cdn-cgi/l/email-protection#22544b41564d500c435751564b4c62464d560c454d54">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $24,543,893 in FY 2021
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 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $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 $26,189,795 as shown in the table below,
after the deduction for oversight (authorized by Section 5338) and the
addition of reapportioned funds.

Statewide Transportation Planning Program
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 Appropriation Available................... $24,543,893
Oversight Deduction..................................... (122,719)
Reapportioned Funds..................................... 1,768,621
---------------
Total Apportioned..................................... 26,189,795
------------------------------------------------------------------------
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 2021 plus three
additional fiscal years. Accordingly, funds apportioned in FY 2021 must
be obligated in grants by September 30, 2024. Any FY 2021 apportioned
funds that remain unobligated at the close of business on September 30,
2024 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,

[[Page 38797]]

contact Alexandria Burns at (202) 366-7464 or <a href="/cdn-cgi/l/email-protection#37565b524f565953455e561955424559447753584319505841">[email&#160;protected]</a>.
For more information about the Ferry program, contact Vanessa
Williams at (202) 366-4818 or <a href="/cdn-cgi/l/email-protection#eb9d8a858e98988ac59c828787828a8698ab8f849fc58c849d">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $4,929,452,499 in FY
2021 to provide financial assistance for urbanized areas under Section
5307.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $4,929,452,499 is
available for the Urbanized Area Formula Program. The total amount
apportioned is $5,375,259,282, 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. A
total of $38 million is available for the Ferry program, consisting of
the $30 million set-aside noted here, plus an additional $8 million
appropriated in the Consolidated Appropriations Act, 2021.

Urbanized Area Formula Program
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 Appropriation Available................. \a\
$4,929,452,499
Oversight Deduction................................... (36,970,894)
State Safety Oversight Program........................ (24,647,262)
Ferry Discretionary Program........................... (30,000,000)
5340 High Density States.............................. 309,364,074
5340 Growing States................................... 214,889,744
Reapportioned Funds................................... 13,171,121
-----------------
Total Apportioned................................... 5,375,259,282
------------------------------------------------------------------------
\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 2021 must be
obligated by September 30, 2026. Any FY 2021 apportioned funds that
remain unobligated at the close of business on September 30, 2026 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 2021
must be obligated by September 30, 2026. Any of the funds allocated in
FY 2021 that remain unobligated at the close of business on September
30, 2026 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, streetcar, hybrid 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. A separate funding program authorized by the FAST Act
Section 3005(b) allows for an Expedited Project Delivery Pilot Program.
For more information about the Capital Investment Grants Program
contact Elizabeth Day, Office of Capital Project Development, at (202)
366-5159 or <a href="/cdn-cgi/l/email-protection#9efbf2f7e4fffcfbeaf6b0faffe7defaf1eab0f9f1e8">[email&#160;protected]</a>. For more information about the
Expedited Project Delivery Pilot Program, contact Mark Ferroni, Office
of Planning and Environment, at (202) 366-3233 or <a href="/cdn-cgi/l/email-protection#cea3afbca5e0a8abbcbca1a0a78eaaa1bae0a9a1b8">[email&#160;protected]</a>.
For information about published allocations for both the CIG and EPD
programs contact Eric Hu, Office of Transit Programs, at (202) 366-0870
or <a href="/cdn-cgi/l/email-protection#b2d7c0dbd19cdac7f2d6ddc69cd5ddc4">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $2,301,785,760 in FY
2021 to provide financial assistance for Capital Investment Grants
under Section 5309 and Section 3005(b) of the FAST Act.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $2,014,000,000 is
available for the Capital Investment Grants Program and the FAST Act
Section 3005(b) Expedited Project Delivery Pilot Program. The funds are
available to be allocated in the following amounts: $1,169,000,000 for
New Starts projects; $525,000,000 for Core Capacity projects;
$200,000,000 for Small Starts projects; $100,000,000 for FAST Act
Section 3005(b) Expedited Project Delivery Pilot Program projects and
$20,000,000 for Oversight. The total amount available for projects is
$1,994,000,000 as shown in the table below, after the deduction for
oversight (authorized by Section 5338).

Capital Investment Grants Program
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 Appropriation Available................. $2,014,000,000
Oversight Deduction................................... (20,000,000)
-----------------
Total Apportioned................................... 1,994,000,000
------------------------------------------------------------------------

3. Period of Availability
Capital Investment Grants and Expedited Delivery Pilot program
funds apportioned in this notice must be obligated in grants by
September 30, 2024, as stipulated by the Consolidated Appropriations
Act, 2021.

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

[[Page 38798]]

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 Destiny Buchanan
at (202) 493-8018 or <a href="/cdn-cgi/l/email-protection#b8dcddcbccd1d6c196dacddbd0d9d6d9d6f8dcd7cc96dfd7ce">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $285,574,688 in FY
2021 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 $3.5 million for the competitive
Innovative Coordinated Access and Mobility Pilot Program.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $285,574,688 is
available for the Section 5310 formula program. The total amount
apportioned is $292,921,581 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 2021 Appropriation Available................... $285,574,688
Oversight Deduction..................................... (1,427,873)
Reapportioned Funds..................................... 8,744,766
---------------
Total Apportioned..................................... 292,921,581
------------------------------------------------------------------------

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 2021 plus two additional fiscal years. Accordingly, funds
apportioned in FY 2021 must be obligated in grants by September 30,
2023. Any FY 2021 apportioned funds that remain unobligated at the
close of business on September 30, 2023, 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 to support 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 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 Elan Flippin at (202) 366-3800 or
<a href="/cdn-cgi/l/email-protection#0d68616c63236b61647d7d64634d696279236a627b">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $673,299,658 for FY
2021 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 $604,833,665
for the Rural Formula Program.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $644,033,664 is
available for the Rural Area Formula Program, including an additional
$40 million from the transit infrastructure grants appropriation. The
total amount apportioned to the program is $728,734,295 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 2021 Appropriation Available................... $644,033,664
Oversight Deduction..................................... (3,566,498)
5340 Growing States..................................... 85,779,099
Reapportioned Funds..................................... 2,488,030
---------------
Total Apportioned..................................... 728,734,295
------------------------------------------------------------------------

3. Period of Availability
The Formula Grants for Rural Areas program funds apportioned in
this notice are available for obligation during FY 2021 plus two
additional fiscal years. Accordingly, funds apportioned in FY 2021 must
be obligated in grants by September 30, 2023. Any FY 2021 apportioned
funds that remain unobligated at the close of business on September 30,
2023, 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 Elan Flippin at (202) 366-3800 or
<a href="/cdn-cgi/l/email-protection#2b4e474a45054d47425b5b42456b4f445f054c445d">[email&#160;protected]</a>.
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 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $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 2021 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 2021 plus two additional fiscal years.
Accordingly, funds apportioned in FY 2021 must be obligated in grants
by September 30, 2023.

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

[[Page 38799]]

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 2021 Apportionments page.
For more information about the Appalachian Development Public
Transportation Assistance Program, please contact Elan Flippin at (202)
366-3800 or <a href="/cdn-cgi/l/email-protection#9df8f1fcf3b3fbf1f4ededf4f3ddf9f2e9b3faf2eb">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $20 million in FY 2021
as a take-down under the Formula Grants for Rural Areas program to
support public transportation in the Appalachian region.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $20 million is
available.

Appalachian Development Public Transportation Assistance Program
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 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 2021 plus two additional fiscal
years, consistent with that established for the Formula Grants for
Rural Areas Program. Accordingly, funds apportioned in FY 2021 must be
obligated in grants by September 30, 2023.

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
Destiny Buchanan at (202) 493-8018 or <a href="/cdn-cgi/l/email-protection#dbbfbea8afb2b5a2f5b9aeb8b3bab5bab59bbfb4aff5bcb4ad">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $35 million in FY 2021
to provide assistance to tribes through the Public Transportation on
Indian Reservations formula and competitive programs.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $30 million is
available for the formula program and $5 million for the competitive
program. The total apportioned for the formula program is $30,766,775
after the addition of reapportioned funds.

Public Transportation on Indian Reservations Program Formula Grants
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 Appropriation Available................... $30,000,000
Reapportioned Funds..................................... 766,775
---------------
Total Apportioned..................................... 30,766,775
------------------------------------------------------------------------

Public Transportation on Indian Reservations Program Competitive Grants
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 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 2021 plus two additional fiscal
years. Accordingly, funds apportioned in FY 2021 must be obligated in
grants by September 30, 2023. Any FY 2021 apportioned funds that remain
unobligated at the close of business on September 30, 2023, 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 research, innovative
development, demonstration, and deployment projects, and evaluation and
research projects 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.
In FY 2021, there are two additional provisions to further
innovative mobility. The first is for the demonstration and deployment
of innovative mobility solutions for the development of software to
facilitate the provision of demand-response public transportation
service that dispatches public transportation fleet vehicles through
riders' mobile devices or other advanced means. Any software developed
as part of this project will be shared for use by public transportation
agencies. The second provision provides funding for a competitive
accelerating innovative mobility initiative that will improve mobility
and enhance the rider experience with a focus on innovative service
delivery models, creative financing, novel partnerships, and integrated
payment solutions.
For more information about the Public Transportation Innovation
Program (Sections 5312(b)-(e) and 5312(i)), please contact Adrianne
Malasky, Office

[[Page 38800]]

of Research, Demonstration and Innovation at (202) 366-5496 or
<a href="/cdn-cgi/l/email-protection#2e4f4a5c474f40404b00434f424f5d45576e4a415a00494158">[email&#160;protected]</a>.
For more information about the LoNo-CAP program (Section 5312(h)),
please contact Terrell Williams at (202) 366-0232 or
<a href="/cdn-cgi/l/email-protection#a4d0c1d6d6c1c8c88ad3cdc8c8cdc5c9d7e4c0cbd08ac3cbd2">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $30 million in FY 2021
funding for the Public Transportation Innovation Program.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $30 million 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, & $20,000,000
Evaluation Innovative Mobility Solution................
Discretionary Projects Innovative Mobility Solutions.... 1,000,000
Accelerating Innovative Mobility Initiative............. 1,000,000
Low or No Emission Vehicle Component Testing............ 3,000,000
Transit Cooperative Research Program (TCRP)............. 5,000,000
---------------
Total Apportioned................................... 30,000,000
------------------------------------------------------------------------

K. Technical Assistance and Workforce Development (49 U.S.C. 5314)

1. Authorized Amounts
FTA's Technical Assistance and Workforce Development Program has
the overarching goals to provide public transportation service more
effectively and efficiently; and improve public transportation. Within
this section, there are four different types of programs: Technical
assistance; standards; training; and human resources. The National
Transit Institute (NTI) is funded under this section (49 U.S.C.
5314(c)) to develop and conduct training and educational programs for
Federal, State, and local transportation employees, United States
citizens, and foreign nationals engaged or to be engaged in Government-
aid public transportation work.
For FY 2021, Congress has directed $2.5 million for a Transit
Workforce Development Technical Assistance Center, and $1.5 million for
a technical assistance center to assist small urban, rural, and tribal
public transit recipients and planning organizations with applied
innovation and capacity building.
2. FY 2021 Funding Availability
In FY 2021 under the Consolidated Appropriations Act, 2021, $16.5
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 NTI.

Technical Assistance and Workforce Development
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 Appropriation Available................... $16,500,000
---------------
Total Apportioned..................................... 16,500,000
------------------------------------------------------------------------

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.
For more information about the Technical Assistance and Workforce
Program, contact Adrianne Malasky, Office of Research, Demonstration
and Innovation at (202) 366-5496 or <a href="/cdn-cgi/l/email-protection#ceafaabca7afa0a0abe0a3afa2afbda5b78eaaa1bae0a9a1b8">[email&#160;protected]</a>.

L. Public Transportation Emergency Relief Program (49 U.S.C. 5324)

The Public Transportation Emergency Relief Program (49 U.S.C. 5324)
assists transit providers with the costs of responding to, recovering
from, and preparing for natural disasters. This program does not
receive an annual appropriation, and funds that are periodically
appropriated by Congress are typically made available through a
discretionary grant process.
For more information about the Emergency Relief Program, please
contact Thomas Wilson at (202) 366-5279 or <a href="/cdn-cgi/l/email-protection#f5819d9a989486db829c99869a9bb5919a81db929a83">[email&#160;protected]</a>.

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 Patrick Nemons at (202) 366-4986 or
<a href="/cdn-cgi/l/email-protection#52223326203b31397c3c373f3d3c2112363d267c353d24">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $24,647,262 in FY 2021
to provide funding to support States in developing and carrying out the
SSO Program.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $28,928,494 is
available for the State Safety Oversight (SSO) Formula program,
including reapportioned funds, as shown in the table below.

State Safety Oversight Formula Program
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 Appropriation Available................... $24,647,262
Reapportioned Funds..................................... 4,281,232
---------------
Total Apportioned..................................... 28,928,494
------------------------------------------------------------------------

3. Period of Availability
SSO Formula Grant program funds are available for the year of
apportionment plus, two additional years. Any FY 2021 funds that remain
unobligated at the close of business on September 30, 2023, will revert
to FTA for reapportionment under the SSO Formula Grant Program.

N. State of Good Repair Grants 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

[[Page 38801]]

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 <a href="/cdn-cgi/l/email-protection#aacfd8c3c984c2dfeacec5de84cdc5dc">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $2,683,798,369 in FY
2021 for the State of Good Repair Program.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $2,723,798,369 is
available for the State of Good Repair Program, including an additional
$40 million from the Transit Infrastructure Grants appropriation. The
total amount apportioned is $2,709,868,483 after the deduction for
oversight and the addition of reapportioned funds as shown in the table
below. Of the total amount apportioned, $2,632,637,232 is apportioned
to the High Intensity Fixed Guideway Formula and $77,231,252 is
apportioned to the High Intensity Motorbus Formula.

State of Good Repair Grants Program
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 Appropriation Available................ $2,723,798,369
Oversight Deduction.................................. (27,237,984)
Reapportioned Funds.................................. 13,308,098
------------------
Total Apportioned.................................. 2,709,868,483
------------------------------------------------------------------------

State of Good Repair Grants Program
------------------------------------------------------------------------

------------------------------------------------------------------------
High Intensity Fixed Guideway Formula................ $2,632,637,232
High Intensity Motorbus Formula...................... 77,231,252
------------------
Total Apportioned.................................. 2,709,868,483
------------------------------------------------------------------------

3. Period of Availability
The State of Good Repair program funds apportioned in this notice
are available for obligation during FY 2021 plus three additional
years. Accordingly, funds apportioned in FY 2021 must be obligated in
grants by September 30, 2024. Any FY 2021 apportioned funds that remain
unobligated at the close of business on September 30, 2024, 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) competitive low or no emission grants.
For more information about the Grants for Buses and Bus Facilities
Formula Program, please contact Alexandria Burns at (202) 366-7464 or
<a href="/cdn-cgi/l/email-protection#2f4e434a574e414b5d464e014d5a5d415c6f4b405b01484059">[email&#160;protected]</a>. For more information about the competitive
Low or No Emissions Grant Program, please contact Amy Volz at (202)
366-7484 or <a href="/cdn-cgi/l/email-protection#e9888490c79f868593a98d869dc78e869f">[email&#160;protected]</a>. For more information about the Grants for
Buses and Bus Facilities Competitive Program please contact Thomas
Wilson at (202) 366-5279 or <a href="/cdn-cgi/l/email-protection#2d594542404c5e035a44415e42436d494259034a425b">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $808,653,915 in FY
2021 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
million is available for the Low or No Emissions program.
2. Funding Availability
Under the Consolidated Appropriations Act, 2021, $1,176,653,915 is
available for Grants for Buses and Bus Facilities. Of this amount:
$592,868,755 is available for the Grants for Buses and Bus Facilities
Formula Program after the deduction for oversight and the addition of
reapportioned funds; $409,588,848 is available for the Grants for Buses
and Bus Facilities Competitive Program after the takedown for
oversight; and $180 million is available for the Low or No Emission
Grants Program. These amounts are detailed in the table below.

Formula Grants for Buses and Bus Facilities
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 Appropriation Available................. $582,609,736
Oversight Deduction................................... (4,369,573)
Reapportioned Funds................................... 14,628,592
-----------------
Total Apportioned................................. 592,868,755
------------------------------------------------------------------------
Competitive Grants for Buses and Bus Facilities
------------------------------------------------------------------------
Total FY 2021 Appropriation Available................. 594,044,179
Oversight Deduction................................... (4,455,331)
Less Section 5339(c) Low or No Emission Grants (180,000,000)
(Competitive)........................................
-----------------
Total Apportioned................................. 409,588,848
------------------------------------------------------------------------
Section 5339(c) Low or No Emission Grants (Competitive)
------------------------------------------------------------------------
Total FY 2021 Appropriation Available................. 180,000,000
-----------------
Total Apportioned................................. 180,000,000
------------------------------------------------------------------------

3. Period of Availability
The Buses and Bus Facilities program formula funds apportioned in
this notice are available for obligation during FY 2021 plus three
additional years. Accordingly, funds apportioned in FY 2021 must be
obligated in grants by September 30, 2024. Any FY 2021 apportioned
funds that remain

[[Page 38802]]

unobligated at the close of business on September 30, 2024, will revert
to FTA for reapportionment under the Buses and Bus Facilities Formula
Program. Competitive Section 5339(b) and 5339(c) funds are available
for obligation during the FY in which funds are allocated 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 Alexandria
Burns at (202) 366-7464 or <a href="/cdn-cgi/l/email-protection#22434e475a434c46504b430c4057504c5162464d560c454d54">[email&#160;protected]</a>.
1. Authorized Amounts
Federal public transportation law authorizes $570,032,917 for
apportionment in FY 2021 for the Growing States and High-Density States
Formula factors.
2. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $610,032,917,
including an additional $40 million from the transit infrastructure
grants appropriation, 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

The Consolidated Appropriations Act, 2021 provides funding for
Washington Metropolitan Area Transit Authority (WMATA) in the amount of
$150 million for the agency's Capital Improvement Program and
preventive maintenance projects. This funding is administered as if it
were provided under section 601 of the Passenger Rail Investment and
Improvement Act of 2008.
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 <a href="/cdn-cgi/l/email-protection#680d1a010b46001d280c071c460f071e">[email&#160;protected]</a>, Daniel Koenig, Region
III Office, at (202) 366-8224 or <a href="/cdn-cgi/l/email-protection#076366696e626b296c6862696e69604763687329606871">[email&#160;protected]</a>, or Kelly
Tyler, Region III Office, at (202) 366-3267 or <a href="/cdn-cgi/l/email-protection#28434d444451065c51444d5a684c475c064f475e">[email&#160;protected]</a>.
1. FY 2021 Funding Availability
Under the Consolidated Appropriations Act, 2021, $150 million is
available. The total amount available is $148.5 million after the
deduction for oversight as shown in the table below.

Washington Metropolitan Area Transit Authority Grants
------------------------------------------------------------------------

------------------------------------------------------------------------
Total FY 2021 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 Consolidated Appropriations
Act, 2021 shall remain available until expended.

R. Coronavirus Response and Recovery Supplemental Appropriations Act
Transit Infrastructure Grants

1. Funding Availability
Division M of the Consolidated Appropriations Act, 2021 (Pub. L.
116-260)--also known as the Coronavirus Response and Recovery
Supplemental Appropriations Act (CRRSAA)--makes $14 billion available
to support public transportation in preventing, preparing for, and
responding to coronavirus, on top of full-year appropriations. These
Transit Infrastructure Grants include $13.26 billion apportioned
according to the Urbanized Area Formula Program (49 U.S.C. 5307) and
State of Good Repair Program (49 U.S.C. 5337) formulas and administered
under the Urbanized Area Formula Program, $678 million apportioned
according to the Formula Grants for Rural Areas (49 U.S.C. 5311)
formula and administered under the Formula Grants for Rural Areas and
Public Transportation on Indian Reservations formula programs, and $50
million apportioned according to the Enhanced Mobility of Seniors and
Individuals with Disabilities (49 U.S.C. 5310) formula.
For more information about Urbanized Area Formula CRRSAA Transit
Infrastructure grants, please contact Alexandria Burns at (202) 366-
7464 or <a href="/cdn-cgi/l/email-protection#f59499908d949b91879c94db9780879b86b5919a81db929a83">[email&#160;protected]</a>.
For more information about Rural Area Formula CRRSAA Transit
Infrastructure grants, please contact Sarah Clements at (202) 366-3062
or <a href="/cdn-cgi/l/email-protection#27544655464f09444b424a424953546743485309404851">[email&#160;protected]</a>.
For more information about Enhanced Mobility of Seniors and
Individuals with Disabilities CRRSAA Transit Infrastructure grants,
please contact Marianne Stock at (202) 366-2677 or
<a href="/cdn-cgi/l/email-protection#1d707c6f747c737378336e69727e765d797269337a726b">[email&#160;protected]</a>.

[[Page 38803]]

CRRSAA Transit Infrastructure Grants
------------------------------------------------------------------------

------------------------------------------------------------------------
Recipients of Urbanized Area Formula Program....... $13,271,310,572
Recipients of Formula Grants for Rural Areas....... 678,654,455
Recipients of Enhanced Mobility of Seniors and 50,034,973
Individuals with Disabilities.....................
Program Management and Oversight................... (10,000,000)
--------------------
Total Apportioned.............................. 13,990,000,000
------------------------------------------------------------------------

2. Apportionment Criteria
CRRSAA provides the following criteria for apportioning Transit
Infrastructure grants:
a. Under CRRSAA, $13,261,831,064 is available, after excluding
$9,479,508 for oversight, to be administered under the Urbanized Area
Formula Program (49 U.S.C. 5307), but apportioned through the formulas
of the Urbanized Area Formula and the State of Good Repair (SGR)
Programs in the same ratio as funds provided under the Further
Consolidated Appropriations Act, 2020 (Pub. L. 116-94; 133 Stat. 2534).
When this funding is combined with funding already received under the
CARES Act (Pub. L. 116-136; 134 Stat. 599), Congress has limited the
total amount an Urbanized Area may receive to 75 percent of its 2018
operating expenses as reported in the National Transit Database;
amounts in excess of that will be apportioned among urbanized areas
that have not reached 75 percent of their 2018 operating costs between
CARES Act funding and that which would otherwise be provided by these
Transit Infrastructure grants.
b. Under CRRSAA, $648,169,702 is available, after excluding $30
million for Public Transportation on Indian Reservations and $484,753
for oversight, to be apportioned to recipients eligible under the
Formula Grants for Rural Areas Program (49 U.S.C. 5311) in the same
ratio as funds provided under the Further Consolidated Appropriations
Act, 2020 (Pub. L. 116-94; 133 Stat. 2534). When this funding is
combined with funding already received under the CARES Act (Pub. L.
116-136; 134 Stat. 599) for rural operating costs, Congress has limited
the total amount a State may receive for rural operating costs to 125
percent of the State's combined 2018 rural operating costs of the
recipients and subrecipients in the State; amounts in excess of that
will be apportioned among States that have not reached 125 percent of
their State's combined rural operating costs for 2018 between CARES Act
funding and that which would otherwise be provided by these Transit
Infrastructure Grants. The $30 million for the Public Transportation on
Indian Reservations formula program is apportioned in the same ratio as
funds provided under the Further Consolidated Appropriations Act, 2020
but without a limitation on apportionments based on 2018 operating
expenses.
c. Under CRRSAA, $49,999,234 is available, after excluding $35,739
for oversight, to be apportioned to recipients eligible under the
Enhanced Mobility of Seniors and Individuals with Disabilities Program
(49 U.S. 5310) in the same ratio as funds provided under the Further
Consolidated Appropriations Act, 2020 (Pub. L. 116-94; 133 Stat. 2534).
3. Period of Availability
Funds are available to recipients until expended.
4. Further Conditions
The following conditions apply to the funding provided under CRRSAA
and unobligated funding previously made available under the CARES Act:
a. Funds are available up to a 100-percent Federal share, at the
option of the recipient, as are any unobligated funds previously
provided under the Enhanced Mobility of Seniors and Individuals with
Disabilities Program (49 U.S.C. 5310) from FY 2021 or earlier.
b. Funds are available for the operating expenses of transit
agencies related to the response to the COVID-19 public health
emergency, including, beginning on January 20, 2020, reimbursement for
operating costs to maintain service and lost revenue due to the COVID-
19 public health emergency, including the purchase of personal
protective equipment, and paying the administrative leave of operations
or contractor personnel due to reductions in service.
c. Funds must be directed, to the maximum extent possible, to
payroll and operations of public transit (including payroll and
expenses of private providers of public transportation), unless the
recipient certifies to the Secretary that the recipient has not
furloughed any employees.
d. Operating expenses are not required to be included in a
transportation improvement program, long range transportation plan,
statewide transportation plan, or a statewide transportation
improvement program.
e. Private providers of public transportation are considered
eligible subrecipients.

S. American Rescue Plan Act of 2021 Federal Transit Administration
Grants

1. Funding Availability
Title III Section 3401 of the American Rescue Plan Act of 2021
(Pub. L. 117-2) (ARP) makes $30.5 billion in supplemental
appropriations available to support the transit industry during the
COVID-19 pandemic. This funding includes $26 billion for eligible
recipients of Urbanized Area Formula Program grants (49 U.S.C. 5307);
$275.9 million for eligible recipients of Formula Grants for Rural
Areas (49 U.S.C. 5311); $6.3 million for States for the Rural Transit
Assistance Program (49 U.S.C. 5311(b)(3)); $30 million for the Public
Transit on Indian Reservations Formula Program (49 U.S.C. 5311(c)(1);
$5 million for the Public Transit on Indian Reservations Competitive
Program (49 U.S.C. 5311(c)(1); $50 million for eligible recipients of
the Enhanced Mobility of Seniors and Individuals with Disabilities
formula Program (49 U.S.C. 5310); $100 million for Interstate Bus
Program (49 U.S.C. 5311(f)) services using the Formula Grants for Rural
Areas (49 U.S.C. 5311) formula; $1.675 billion for eligible Capital
Investment Grants (49 U.S.C. 5309); $25 million for eligible recipients
of the Urbanized Area Formula Program (49 U.S.C. 5307) for planning the
restoration of services impacted by the coronavirus public health
emergency, to be made available through a NOFO; and $2.2 billion for
recipients and subrecipients of the Urbanized Area Formula Program and
Formula Grants for Rural Areas that need additional assistance, to be
made available through a NOFO. A total of $1.5 million is available to
FTA for oversight.
For more information About Urbanized Area Formula ARP Federal
Transit Administration grants, please contact Alexandria Burns at (202)
366-7464 or <a href="/cdn-cgi/l/email-protection#41202d2439202f253328206f2334332f3201252e356f262e37">[email&#160;protected]</a>.

[[Page 38804]]

For more information about Rural Area Formula ARP Federal Transit
Administration grants, please contact Sarah Clements at (202) 366-3062
or <a href="/cdn-cgi/l/email-protection#c1b2a0b3a0a9efa2ada4aca4afb5b281a5aeb5efa6aeb7">[email&#160;protected]</a>.
For more information about Enhanced Mobility of Seniors and
Individuals with Disabilities ARP Federal Transit Administration
grants, please contact Destiny Buchanan at (202) 493-8018 or
<a href="/cdn-cgi/l/email-protection#a6c2c3d5d2cfc8df88c4d3c5cec7c8c7c8e6c2c9d288c1c9d0">[email&#160;protected]</a>.

American Rescue Plan Act
------------------------------------------------------------------------

------------------------------------------------------------------------
Recipients of Urbanized Area Formula Program........ $26,086,580,227
Recipients of Formula Grants for Rural Areas........ 275,869,733
Rural Transit Assistance Program.................... 6,344,280
Tribal Transit Program (formula and discretionary).. 35,000,000
Recipients of Enhanced Mobility of Seniors and 50,000,000
Individuals with Disabilities......................
Interstate Bus Program.............................. 100,000,000
Recipients of Capital Investment Grant Program...... 1,675,000,000
Urbanized Area Planning............................. 25,000,000
Additional Assistance (Discretionary)............... 2,207,561,294
Program Management and Oversight.................... (1,467,770)
-------------------
Total Apportioned............................... 30,459,887,764
------------------------------------------------------------------------

2. Apportionment Criteria
ARP provides the following criteria for apportioning Federal
Transit Administration Grants:
a. $26,085,112,457 is available, after excluding $1,467,770 for
oversight, to be administered under the Urbanized Area Formula Program
(49 U.S.C. 5307) and apportioned using National Transit Database
information, such that each urbanized area is apportioned an amount
that--when combined with any funding it may have received through the
Coronavirus Aid, Relief, and Economic Security (CARES) Act and
Coronavirus Response and Relief Supplemental Appropriations Act
(CRRSAA) to prevent, prepare for, and respond to coronavirus--is equal
to 132 percent of the urbanized area's 2018 operating costs. Any
remaining funds are then apportioned to those urbanized areas that had
already received 132 percent or more of their 2018 operating expenses
through combined CARES Act and CRRSAA funding, such that each receives
an apportionment equal to 25 percent of its 2018 operating costs.
b. $275,869,733 is available to be apportioned to recipients
eligible under the Formula Grants for Rural Areas Program (49 U.S.C.
5311) and is apportioned as follows. Considering the total amount
previously received by a State through the CARES Act and CRRSAA to
prevent, prepare for, and respond to coronavirus, States that have
already received 150 percent or more of the combined 2018 rural
operating costs of the recipients and subrecipients in the State are
apportioned 5 percent of 2018 operating costs; States that have already
received between 140 and 150 percent of 2018 operating costs are
apportioned 10 percent of 2018 operating costs; and States that have
received less than 140 percent of 2018 operating costs are apportioned
20 percent of 2018 operating costs.
c. $30,000,000 is available for Public Transportation on Indian
Reservations formula grants (49 U.S.C. 5311(c)(1)(B)), and $5,000,000
for Public Transportation on Indian Reservations discretionary grants
(49 U.S.C. 5311(c)(1)(A)). The formula funding is distributed according
to the same formula and data as the FY 2021 apportionment for the
Tribal formula program. The discretionary funds will be made available
through a NOFO.
d. $6,344,280 is available to States for purposes eligible under
the Rural Transit Assistance Program (49 U.S.C. 5311(b)(3)).
e. $50,000,000 is available to be apportioned to recipients
eligible under the Enhanced Mobility of Seniors and Individuals with
Disabilities Program (49 U.S.C. 5310) in the same ratio as funds
provided under the Further Consolidated Appropriations Act, 2020 (Pub.
L. 116-94; 133 Stat. 2534).
f. $1,675,000,000 is available for recipients and subrecipients of
the Capital Investment Grant (CIG) (49 U.S.C. 5309) program. Of the
total amount appropriated for CIG recipients, $1,250,000,000 is
designated for those with New Starts (Section 5309(d)) and Core
Capacity (Section 5309(e)) projects that have existing full funding
grant agreements and that received allocations for FY 2019 or FY 2020,
except those with projects that are open for revenue service. These
funds are apportioned based on the non-CIG share of the amounts
allocated. Of the total amount appropriated for CIG recipients,
$175,000,000 is designated for those with New Starts and Core Capacity
projects that have an existing full funding grant agreement and that
received an allocation only prior to FY 2019, except those with
projects that are open for revenue service. These funds are apportioned
based on the non-Capital Investment Grants program share of the amounts
allocated, except that no project may receive more than 40 percent of
the total $175,000,000 provided. Any funds that remain due to this
limitation are apportioned to those projects that do not exceed 40
percent of the total funding. Of the total amount appropriated for CIG
projects, $250,000,000 is designated for those with Small Starts
(Section 5309(h)) projects.
g. $100,000,000 is available to States to support bus operators
that partner with recipients or subrecipients to provide Interstate Bus
service under 49 U.S.C. 5311(f). These funds are allocated using the
same ratio as the Formula Grants for Rural Areas (49 U.S.C. 5311) FY
2020 appropriations. States that do not have eligible bus operators may
use the apportioned funds for any expense eligible under 49 U.S.C.
5311, but these funds are not subject to the exception in 49 U.S.C.
5311(f)(2) that allows the Governor of a recipient states to certify
that the state's interstate bus service needs are already being met.
h. $25,000,000 is available to recipients eligible under the
Urbanized Area Formula Program (49 U.S.C. 5307) for the planning of
public transportation associated with the restoration of services as
the coronavirus public health emergency concludes. These funds will be
made available through a NOFO.
g. $2,207,561,294 is available to recipients and subrecipients
eligible under the Urbanized Area Formula Program (49 U.S.C. 5307) and
Formula Grants for Rural Areas Program (49 U.S.C. 5311) that, as a
result of the COVID-19 health emergency, require additional assistance
for costs related to operations, personnel, cleaning, and sanitization
combating the spread of

[[Page 38805]]

pathogens on transit systems, and debt service payments incurred to
maintain operations and avoid layoffs and furloughs. These funds will
be made available through a NOFO no later than 180 days after ARP was
enacted.
3. Period of Availability
Funds are available until September 30, 2024, and may not be re-
apportioned. Funds must be expended by September 30, 2029. Any funds
not disbursed by September 30, 2029, will be deobligated from a grant
and returned to the Treasury.
4. Further Conditions
The following conditions apply to the funding provided under ARP:
a. Funds are available up to a 100-percent Federal share, at the
option of the recipient.
b. All funds except those for Capital Investment Grants, Rural
Transit Assistance Program grants, and Planning Grants are available
for the operating expenses of transit agencies to prevent, prepare for,
and respond to the coronavirus public health emergency, including,
beginning on January 20, 2020: Reimbursement for payroll of public
transportation (including payroll and expenses of private providers of
public transportation); operating costs to maintain service due to lost
revenue as a result of the coronavirus public health emergency,
including the purchase of personal protective equipment; and paying the
administrative leave of operations or contractor personnel due to
reductions in service.
c. Except for Capital Investment grants, Rural Transit Assistance
Program grants, and Planning grants, funds must be directed to payroll
and operations of public transit (including payroll and expenses of
private providers of public transportation), unless the recipient
certifies to the Administrator of the Federal Transit Administration
that the recipient has not furloughed any employees.
d. Operating expenses are not required to be included in a
transportation improvement program, long range transportation plan,
statewide transportation plan, or a statewide transportation
improvement program.

V. FY 2021 Grants

A. Automatic Pre-Award Authority To Incur Project Costs

1. Caution to New Recipients
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
prerequisite requirements have been met. Commonly, a new recipient may
misunderstand pre-award authority 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 recipients
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 recipients to incur certain project costs before grant
approval and retain the eligibility of those costs for subsequent
reimbursement after grant approval. The recipient assumes all risk and
is responsible for ensuring that all conditions are met to retain
eligibility. This pre-award spending authority permits an eligible
recipient 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, including the extension
authorized in the Continuing Appropriations Act, 2021 and Other
Extensions Act, plus an additional year (October 1, 2015, through
September 30, 2022) 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 Federal Financial
Report (FFR) that is required to be completed prior to the recipient
executing the award.
For projects funded by 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. Recipients 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 recipient 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 funds 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 Letter
of No Prejudice (LONP) from FTA. Information about LONP procedures may
be obtained from Lisa Colbert in FTA's Office of Research,
Demonstration, and Innovation (TRI): <a href="/cdn-cgi/l/email-protection#763a1f05175835191a141304023612190258111900">[email&#160;protected]</a>, or call 202-
366-9261.
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 recipient that prejudices the
legal and

[[Page 38806]]

administrative findings that FTA must make in order to approve a
project.
d. Local funds expended by the recipient 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 recipient 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
recipient 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 the appropriate FTA Regional Office for
assistance in determining the proper environmental review process,
including other applicable environmental laws, and level of
documentation necessary before incurring the above-mentioned costs.
This applies 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.
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 recipient 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 an 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 recipient 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,
recipients 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).

[[Page 38807]]

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
recipients 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 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 appropriate 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

[[Page 38808]]

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 a. through c. 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 <a href="/cdn-cgi/l/email-protection#0e6b6267746f6c6b7a66206a6f774e6a617a20696178">[email&#160;protected]</a>.
For more information about FTA's National Environmental Policy Act
(NEPA) activities, contact Megan Blum, Office of Environmental
Programs, at (202) 366-0463 or <a href="/cdn-cgi/l/email-protection#69040c0e0807470b051c04290d061d470e061f">[email&#160;protected]</a>.
5. Pre-Award Authority for the Expedited Project Delivery (EPD) Pilot
Program
The EPD Pilot Program, as authorized by Section 3005(b) of the
Fixing America's Surface Transportation Act (FAST Act), is aimed at
expediting delivery of new fixed guideway capital projects, small
starts projects, or core capacity improvement projects. Section 3005(b)
requires the FTA to notify Congress and the applicant, in writing,
within 120 days after the receipt of a complete application, on the
decision of the application. FTA will extend pre-award authority for
all eligible project costs at the time it is announced that a project
has been selected. There is no pre-award authority provided until a
project selection announcement is made, and costs incurred prior to
project selection are not eligible. Letters of No Prejudice will not be
provided for the EPD Pilot Program, as all eligible costs are covered
by pre-award authority at the time of project selection.
Although FTA provides pre-award authority for eligible project
costs, FTA does not award Federal funding for these activities
conducted under pre-award authority until the project receives an EPD
construction grant. This is to ensure that Federal funds are not risked
on a project whose advancement into construction is not yet assured. 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.
For more information about the Expedited Project Delivery Pilot
Program, contact Mark Ferroni, Office of Planning and Environment, at
(202) 366-3233 or <a href="/cdn-cgi/l/email-protection#2d404c5f46034b485f5f4243446d494259034a425b">[email&#160;protected]</a>.

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.
2. Conditions and Federal Requirements
The conditions and requirements for pre-award authority specified
in section V.A.4.b and V.A.4.c above apply to all LONPs for the CIG
program. 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 2021 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 2021 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

[[Page 38809]]

Circular (4710.1) provides guidance for carrying out the regulatory
requirements of the ADA. In addition, recipients must regularly prepare
and submit in TrAMS civil rights program plans and reports to establish
voluntary compliance and document policies and practices in the
following areas:
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 and outlines the Title VI
program submission process.
b. Disadvantaged Business Enterprise (DBE) program: The Department
of Transportation's DBE implementing regulations are found in 49 CFR
part 26 and sets forth requirements for implementing the DBE program in
good faith and developing and reporting on 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 and
outlines the EEO program submission process.
2. Disadvantaged Business Enterprise Program
Recipients are expected to comply with the Disadvantaged Business
Enterprise (DBE) regulations, including when exercising pre-award
authority and purchasing transit vehicles. The COVID-19 pandemic has
created challenges for many, including recipients and small businesses,
such as DBEs. The Department of Transportation has emphasized the value
and integrity of the DBE program while offering appropriate flexibility
to recipients during the COVID-19 pandemic, currently in effect until
June 30, 2021. For more information, see: <a href="https://www.transportation.gov/mission/civil-rights/covid-19-guidance">https://www.transportation.gov/mission/civil-rights/covid-19-guidance</a>.
Recipients will find additional information on DBE in FTA's COVID-19
FAQs CR11, CR12 and CR13 at <a href="http://www.transit.dot.gov/coronavirus">www.transit.dot.gov/coronavirus</a>.
3. Title VI Service Equity Analyses
Under FTA's Title VI Circular (4702.1B), transit providers that
operate 50 or more fixed route vehicles in peak service and are located
in an urbanized area (UZA) with a population of 200,000 or more must
perform a service equity analysis whenever they make a permanent major
service change. When a full equity analysis is not required due to the
size of the recipient or duration of a change, FTA expects agencies to
take steps to ensure changes are equitable and nondiscriminatory.
FTA has not waived Title VI requirements for recipients during the
COVID-19 pandemic. In addition to Circular 4702.1B, recipients will
find information on equity analysis requirements in FTA's COVID-19 FAQs
CR2 and CR15 at <a href="http://www.transit.dot.gov/coronavirus">www.transit.dot.gov/coronavirus</a>.

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 part 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) 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. This Order can be
found on the FHWA website at: <a href="https://www.fhwa.dot.gov/legsregs/directives/orders/45511.cfm">https://www.fhwa.dot.gov/legsregs/directives/orders/45511.cfm</a>.
For more information on Consolidated Planning Grants, contact Ann
Souvandara, Office of Budget and Policy, FTA, at (202) 366-0649 or
<a href="/cdn-cgi/l/email-protection#fd9c9393d38e92888b9c93999c8f9cbd999289d39a928b">[email&#160;protected]</a>, or Victor Austin at (202) 366-2996 or
<a href="/cdn-cgi/l/email-protection#f5839c96819a87db948086819c9bb5919a81db929a83">[email&#160;protected]</a>.

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 Regional Office. Resources on using TrAMS can be found on
FTA's website at <a href="https://www.transit.dot.gov/TrAMS">https://www.transit.dot.gov/TrAMS</a>.
FTA regional staff are responsible for working with recipients 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 <a href="https://www.sam.gov/SAM">https://www.sam.gov/SAM</a>.
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
<a href="http://fedgov.dnb.com/webform">http://fedgov.dnb.com/webform</a>.
c. Recipient has properly submitted its annual certifications and
assurances.
d. Recipient's Civil Rights submissions are current.
e. Recipient 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) unless such
requirements have been waived for the specific funding and activity
type to facilitate response and recovery from the COVID-19 pandemic.
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.

[[Page 38810]]

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.
n. Recipient has ensured that it has registered to report to the
National Transit Database, and that any beneficiaries that provide
public transportation service have also registered to report to the
National Transit Database. 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 2021.
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 2021 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.
Recipients should refer to applicable regulations and statutes
referenced in this document.

Nuria I. Fernandez,
Administrator.
[FR Doc. 2021-15576 Filed 7-21-21; 8:45 am]
BILLING CODE P

</pre><script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script></body>
</html>

View on FederalRegister.gov →Plain-text source

Indexed from Federal Register on July 22, 2021.

This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.