# FTA Fiscal Year 2012 Apportionments, Allocations, and Program Information > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/fr%3A2012-249 ## Record - **Collection:** Federal Register - **Document type:** Notice - **Published:** January 11, 2012 - **Citation:** 77 FR 1786 ## Text DEPARTMENT OF TRANSPORTATION Federal Transit Administration FTA Fiscal Year 2012 Apportionments, Allocations, and Program Information AGENCY: Federal Transit Administration (FTA), DOT. ACTION: Notice. SUMMARY: The Federal Transit Administration (FTA) annually publishes one or more notices apportioning funds appropriated by law. In some cases, if less than a full year of funds is available, FTA publishes multiple partial apportionment notices. This notice is the first notice announcing partial apportionment for programs funded with Fiscal Year (FY) 2012 contract authority because the current authorization of FTA's programs provides contract authority for the period October 1, 2011 through March 31, 2012. Additionally, the Consolidated and Further Continuing Appropriations Act, 2012, provides full-year funding for FTA's programs funded from the General Fund of the United States Treasury, which are Administrative Expenses, the New Starts and Research programs and grants to the Washington Metropolitan Area Transit Authority. The Appropriations Act, 2012 also provides an obligation limitation for the available contract authority and any additional contract authority that Congress may make available this fiscal year. This notice also provides program guidance and requirements; and provides information on several program issues important under the current program authorization. Also included are tables that show certain discretionary program unobligated (carryover) and reapportioned funding from previous years available for obligation during FY 2012. FOR FURTHER INFORMATION CONTACT: For general information about this notice contact Jamie Pfister, Director, Office of Transit Programs, at (202) 366-2053. Please contact the appropriate FTA regional office for any specific requests for information or technical assistance. The Appendix at the end of this notice includes contact information for FTA regional offices. An FTA headquarters contact for each major program area is included in the discussion of that program in the text of the notice. SUPPLEMENTARY INFORMATION: Table of Contents I. Overview II. FY 2011 Available Funding for FTA Programs A. Available Funding Based on the Consolidated and Further Continuing Appropriations Act, 2012 (Minibus), the Surface and Air Transportation Programs Extension Act, 2012, and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) B. Program Funds Set-Aside for Oversight III. FTA FY 2012 Program Highlights and Changes A. Discretionary Grant Program Competitions B. Census Designations and Population Counts for the Apportionment of Formula Funds C. Federal Share for Biodiesel Buses D. Vehicle Fuel and Electrical Propulsion Costs as Capital Maintenance for Section 5307 IV. 2012 FTA Programs A. Metropolitan Planning Program (49 U.S.C. 5305(d)) B. State Planning and Research Program (49 U.S.C. 5305(e)) C. Urbanized Area Formula Program (49 U.S.C. 5307) D. Clean Fuels Grant Program (49 U.S.C. 5308) E. Capital Investment Program (49 U.S.C. 5309)—Fixed Guideway Modernization F. Capital Investment Program (49 U.S.C. 5309)—Bus and Bus-Related Facilities G. Capital Investment Program (49 U.S.C. 5309)—New Starts H. Special Needs of Elderly Individuals and Individuals With Disabilities Program (49 U.S.C. 5310) I. Non-Urbanized Area Formula Program (49 U.S.C. 5311) J. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3)) K. Public Transportation on Indian Reservations Program (49 U.S.C. 5311(c)(1)) L. Job Access and Reverse Commute Program (49 U.S.C. 5316) M. New Freedom Program (49 U.S.C. 5317) N. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320) O. Alternatives Analysis Program (49 U.S.C. 5339) P. Growing States and High Density States Formula (49 U.S.C. 5340) Q. Over-the-Road Bus Accessibility Program (Section 3038, Pub. L. 105-85) R. National Research Program (49 U.S.C. 5314) S. Washington Metropolitan Area Transit Authority Grants V. FTA Policy and Procedures for FY 2012 Grants Requirements A. Automatic Pre-Award Authority To Incur Project Costs B. Letter of No Prejudice (LONP) Policy C. FTA FY 2012 Annual List of Certifications and Assurances D. FHWA Funds Used for Transit Purposes E. Civil Rights Requirements F. Deferred Local Share G. Technical Assistance VI. Tables 1. FTA FY 2012 Appropriations and Apportionments for Grant Programs 2. FTA FY 2012 Section 5303 and 5304 Metropolitan Planning Program and State Planning and Research Program Apportionments 3. FTA FY 2012 Section 5307 and Section 5340 Urbanized Area Apportionments 3-A. Census 2000 Urbanized Areas 200,000 or More in Population Eligible To Use Section 5307 Funds for Operating Assistance 4. FTA FY 2012 Section 5307 Apportionment Formula 5. FTA FY 2012 Formula Programs Apportionments Data Unit Values 6. FTA FY 2012 Small Transit Intensive Cities Performance Data and Apportionments 7. FTA Section 5308 Prior Year Unobligated Clean Fuels Allocations 8. FTA FY 2012 Section 5309 Fixed Guideway Modernization Apportionments 9. FTA FY 2012 Section 5309 Fixed Guideway Modernization Program Apportionment Formula 10. FTA FY 2012 Section 5309 Bus and Bus Related Equipment and Facilities Allocations 11. FTA Section 5309 Prior Year Unobligated Bus and Bus Related Equipment and Facilities Allocations 12. FTA FY 2012 Section 5309 New Starts Allocations 13. FTA Section 5309 Prior Year Unobligated New Starts Program Allocations 14. FTA FY 2012 Section 5310 Special Needs for Elderly Individuals and Individuals With Disabilities Apportionments 15. FTA FY 2012 Section 5311 and Section 5340 Nonurbanized Area Formula Apportionments, and Rural Transportation Assistance Program (RTAP) Allocations 16. FTA FY 2012 Section 5311(c) Prior Year Unobligated Public Transportation on Indian Reservations Allocations 17. FTA FY 2012 Section 5316 Job Access and Reverse Commute (JARC) Apportionments 18. FTA FY 2012 Section 5317 New Freedom Apportionments 19. FTA Section 5339 Prior Year Unobligated Alternatives Analysis Allocations VII. Appendix I. Overview FTA's current authorization, the Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users (SAFETEA-LU), expired September 30, 2009. Since that time, Congress has enacted short term extensions allowing FTA to continue its current programs. The Surface and Air Transportation Programs Extension Act of 2011 (Pub. L. 112-30, Div. C), hereinafter (“Temporary Authorization, 2012”), continues the authorization of the Federal transit programs of the U.S. Department of Transportation (DOT) through March 31, 2012. It extends contract authority for the Formula and Bus Grants programs at approximately fifty percent of the FY 2011 levels until March 31, 2012. Additionally, FTA's full-year appropriations bill (Pub. L. 112-055, the Consolidated and Further Continuing Appropriations Act, 2012), hereinafter (“Appropriations Act, 2012”) was enacted in November, giving FTA appropriated resources for Administrative Expenses, Capital Investment Grants, and Research programs and grants to the Washington Metropolitan Area Transportation Authority. The Appropriations Act, 2012 also provides a full fiscal year obligation limitation on any contract authority that is made available to FTA programs funded from the Mass Transit Account of the Highway Trust Fund during this fiscal year. This document apportions the FY 2012 authorized contract authority among potential program recipients according to statutory formulas in 49 U.S.C. Chapter 53. FTA will issue a supplemental notice at a later date if additional contract authority becomes available. The notice does not include reprogramming of discretionary funds that lapsed to the designated project as of September 30, 2011 or the allocation of FY 2012 discretionary resources, with the exception of Small Starts allocations. For each FTA program included in this notice, we have provided relevant information about the FY 2012 funding currently available, program requirements, period of availability, and other related program information and highlights, as appropriate. A separate section of the document provides information on program requirements and guidance that are applicable to all FTA programs. For additional information on FY 2012 and prior year annual apportionments, please visit www.fta.dot.gov/grants/12853.html . II. FY 2012 Funding for FTA Programs A. Funding Based on the Consolidated and Further Continuing Appropriations Act, 2012 (Pub. L. 112-55), and the Surface and Air Transportation Programs Extension Act of 2011 (Pub. L. 112-30) The Surface and Air Transportation Programs Extension Act of 2011 (Temporary Authorization, 2012) continues the authorization of the Federal transit programs of the U.S. Department of Transportation (DOT) through March 31, 2012, and provides contract authority for these programs equal to approximately one half of the amounts available in FY 2011. The fiscal year 2012 Appropriations Act provides full-year funding for FTA programs funded from the General Fund of the United States Treasury and a full year obligation limitation on any contract authority that is made available during this fiscal year. Table 1 of this document shows the funding that is currently available for the FTA programs. In addition to current year contract authority and appropriated funds, available funding also includes a small amount of additional contract authority not allocated in fiscal year 2011 and recoveries of lapsed funds. The amounts shown in Table 1 also include applicable reductions for set asides and takedowns. This Federal Register notice includes tables of apportionments and allocations for FTA formula programs as well as carryover discretionary funds based on applicable law. B. Program Funds Set-Aside for Project Management Oversight As background, Section 5327 of title 49, U.S.C., authorizes the takedown of funds from FTA programs for project management oversight. Section 5327 provides oversight takedowns at the following levels: 0.5 percent of Planning funds, 0.75 percent of Urbanized Area Formula funds, 1 percent of Capital Investment funds, 0.5 percent of Special Needs of Elderly Individuals and Individuals with Disabilities formula funds, 0.5 percent of Non-urbanized Area Formula funds, and 0.5 percent of the Paul S. Sarbanes Transit in the Parks Program funds (formerly the Alternative Transportation in the Parks and Public Lands Program). In addition, the Appropriations Act, 2012 authorizes an oversight takedown of 1 percent from the Job Access and Reverse Commute Program. The funds are used to provide necessary oversight activities, including oversight of the construction of any major capital project under these statutory programs; to conduct State Safety Oversight, drug and alcohol, civil rights, procurement systems, management, planning certification and, financial reviews and audits, as well as evaluations and analyses of grantee specific problems and issues; and to provide technical assistance to correct deficiencies identified in compliance reviews and audits. III. FTA FY 2012 Program Highlights and Changes A. Discretionary Grant Program Competitions FTA's discretionary grant programs that are funded from the General Fund of the United States Treasury (Section 5309 New Starts and the National Research Program) are authorized under chapter 53 of title 49, U.S.C., and funds are appropriated to carry out project activities in the Appropriation Act, 2012. Discretionary grant programs for which funding is derived from the Mass Transit Account of the Highway Trust Fund (Section 5308 Clean Fuels, 5309 Bus and Bus Facilities, 5311(c) Tribal Transit, 5320 Paul S. Sarbanes Transit in Parks, 5339 Alternatives Analysis, and Section 3038, Pub. L. 105-85 Over the Road Bus Accessibility) are provided with contract authority pursuant to 49 U.S.C. 5338(f)(1). At this time only half of the FY 2011 amount is available. Programs that were funded with unallocated Section 5309 bus funds in FY 2011 will again be allocated through a competitive process in FY 2012. Information about discretionary programs, including currently available funding amounts, can be found under the relevant subheading within this notice. FTA anticipates publishing individual or combined Notices of Funding Availability (NOFAs) for discretionary programs in the Federal Register during the first quarter of calendar year 2012. Specific program requirements and selection criteria will be published in the relevant NOFAs. Applications will be due usually within 45-75 days from the date of publication. See the subheading for the Transit in Parks program for a specific exception relating to that program's schedule. New Starts and Small Starts program funds are allocated to specific projects by Congress after an extensive review and qualification process, and will not be published as a NOFA in the Federal Register . EN11JA12.000 B. Census Designations and Population Counts Used for the Apportionment of Formula Funds Formula allocations for Fiscal Year 2012 will continue to be based on 2000 Census data and designations. The 2010 Census Urbanized Area (UZA) designations and populations, which are expected to be released by the Bureau of the Census during FY 2012, will be used for the apportionment of FTA formula funds no earlier than FY 2013. For information on how the 2010 Census may affect formula funding recipients, FTA has published a summary of the potential impacts on its Web site at http://www.fta.dot.gov/grants/12853_12408.html . C. Federal Share for Biodiesel Buses Section 164 of the Consolidated Appropriations Act, 2008, the Omnibus Act, 2009 and the Consolidated Appropriations Act, 2010 allowed a 90 percent Federal share for biodiesel buses and for the net capital cost of factory-installed or retrofitted hybrid electric propulsion systems and any equipment related to such a system. The Department of Defense and Full-Year Continuing Appropriations Act, 2011 continued the provision for fiscal year 2011. However, the Appropriations Act, 2012, does not contain similar language. Therefore, the increased Federal share for biodiesel buses and for the net capital cost of factory-installed or retrofitted hybrid electric propulsion systems and any equipment related to such a system is no longer authorized through the appropriation process for grants awarded in fiscal year 2012. D. Vehicle Fuel and Electrical Propulsion Costs as Capital Maintenance for Section 5307 The Appropriations Act, 2012, permits FTA to treat fuel costs for vehicle operations, including utility costs for the propulsion of electrical vehicles, as a capital maintenance item for grants made in FY 2012 under the Urbanized Area Formula Program, up to a total of $100,000,000. Since total obligations for this purpose are limited to $100,000,000, the use of funds for this purpose will be limited in amount, and will be available only to program recipients that respond to an upcoming announcement posted at www.grants.gov . Recipients are advised that this provision does not provide any funding in addition to their Section 5307 program apportionment. Additional information on this provision can be found in IV-C. Urbanized Area Formula Program (49.U.S.C. 5307). IV. FTA Programs This section of the notice provides the available FY 2012 funding to date and/or other important program-related information for eleven FTA formula and discretionary programs that are contained in this notice. Funding and/or other important information for each of the formula programs is presented immediately below. This includes program apportionments, program requirements, length of time FY 2012 funding is available for obligation to the recipient and other significant program information. A. Metropolitan Planning Program (49 U.S.C. 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, Statewide Transportation Planning; Metropolitan Transportation Planning. State Departments of Transportation are direct recipients of 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, especially by enabling global competitiveness, productivity, and efficiency; increasing the safety and security of the transportation system for motorized and non-motorized users; increasing the accessibility and mobility options available to people and for freight; protecting and enhancing the environment, promoting energy conservation, and improving quality of life; enhancing the integration and connectivity of the transportation system, across and between modes, for people and freight; promoting efficient transportation system management and operation; and emphasizing the preservation of the existing transportation system. This funding must support work elements and activities resulting in balanced and comprehensive intermodal transportation planning for the movement of people and goods in the metropolitan area. Comprehensive transportation planning is not limited to transit planning or surface transportation planning, but also encompasses the relationships among land use and all transportation modes, without regard to the programmatic source of Federal assistance. Eligible work elements or activities include, but are not limited to studies relating to management, mobility management, planning, operations, capital requirements, and economic feasibility; evaluation of previously funded projects; peer reviews and exchanges of technical data, information, assistance, and related activities in support of planning and environmental analysis among MPOs and other transportation planners; work elements and related activities preliminary to and in preparation for constructing, acquiring, or improving the operation of facilities and equipment; development of coordinated public transit human services transportation plans. An exhaustive list of eligible work activities is provided in FTA Circular 8100.1C, Program Guidance for Metropolitan Planning and State Planning and Research Program Grants, dated September 1, 2008. For more about the Metropolitan Planning Program and the FTA Circular 8100.1C, contact Victor Austin, Office of Planning and Environment at (202) 366-2996. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $46,943,600 in contract authority for the period October 1, 2011 through March 31, 2012 to the Metropolitan Planning Program (49 U.S.C. 5305(d) to support metropolitan transportation planning activities set forth in 49 U.S.C. 5303. Thus far, the total amount apportioned for the Metropolitan Planning Program to States for MPOs' use in urbanized areas (UZAs) is $46,925,691, as shown in the table below, after the addition of available FY 2011 contract authority and reapportioned funds and deductions for oversight. Metropolitan planning program Total Appropriation $46,943,600 FY 2011 Contract Authority 195,331 Oversight Deductions −235,695 Reapportioned Funds 22,455 Total Apportioned 46,925,691 States' apportionments for this program are displayed in Table 2. 2. Basis for Formula Apportionments As specified in law, 82.72 percent of the amounts authorized for Section 5305 are made available to the Metropolitan Planning program. FTA apportions Metropolitan Planning funds to the States according to a statutory formula. Eighty percent of the funds are apportioned to the States based on the most recent decennial Census for each State's UZA population. The remaining 20 percent is provided to the States as a supplemental apportionment based on an FTA administrative formula to address planning needs in larger, more complex UZAs. The amount published for each State includes the supplemental allocation. 3. Program Requirements The State allocates Metropolitan Planning funds to MPOs in UZAs or portions thereof to provide funds for planning projects included in a one or two year program of planning work activities (the Unified Planning Work Program, or UPWP) that includes multimodal systems planning activities spanning both highway and transit planning topics. Each State has either reaffirmed or developed, in consultation with their MPOs, an allocation formula among MPOs within the State, based on the 2000 Census. The allocation formula among MPOs in each State may be changed annually, but any change requires approval by the FTA regional office before grant approval. Program guidance for the Metropolitan Planning Program is found in FTA Circular 8100.1C, Program Guidance for Metropolitan Planning and State Planning and Research Program Grants, dated September 1, 2008. For more about the Metropolitan Planning Program and the FTA Circular 8100.1C, contact Victor Austin, Office of Planning and Environment at (202) 366-2996. 4. Period of Availability The funds apportioned under the Metropolitan Planning program to each State remain available for obligation to recipients for four fiscal years—which includes the year of apportionment plus three additional years. Any FY 2012 apportioned funds that remain unobligated at the close of business on September 30, 2015 will revert to FTA for reapportionment under the Metropolitan Planning Program. 5. 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 (CPG), awarded by either FTA or FHWA. The CPG eliminates the need to monitor individual fund sources, if several have been used, and ensures that the oldest funds will always be used first. Alternatively, FTA planning funds may be transferred to FHWA to be administered as a combined grant. Under the CPG, States can report metropolitan planning program expenditures (to comply with the Single Audit Act) for both FTA and FHWA under the Catalogue of Federal Domestic Assistance number for FTA's Metropolitan Planning Program (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. Current guidelines are included in Federal Highway Administration Memorandum dated July 12, 2007, “Information: Final Transfers to Other Agencies that Administer Title 23 Programs.” For further information on CPGs, contact Nancy Grubb, Office of Budget and Policy, FTA, at (202) 366-1635. B. State Planning and Research Program (49 U.S.C. 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. 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, Statewide Transportation Planning; Metropolitan Transportation Planning; Final Rule. This funding must support work elements and activities resulting in balanced and comprehensive intermodal transportation planning for the movement of people and goods. Comprehensive transportation planning is not limited to transit planning or surface transportation planning, but also encompasses the relationships among land use and all transportation modes, without regard to the programmatic source of Federal assistance. For more information, contact Victor Austin, Office of Planning and Environment at (202) 366-2996. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $9,806,400 in contract authority for the period October 1, 2011 through March 31, 2012 to the State Planning and Research Program (49 U.S.C. 5305). Thus far, the total amount apportioned for the State Planning and Research Program (SPRP) is $9,956,684 as shown in the table below, after the addition of available FY 2011 contract authority and reapportioned funds and the deduction for oversight (authorized by 49 U.S.C. 5327). State Planning and Research Program Total Appropriation $9,806,400 FY 2011 Contract Authority 40,804 Oversight Deduction −49,236 Reapportioned Funds 158,716 Total Apportioned 9,956,684 State apportionments for this program are displayed in Table 2. 2. Basis for Apportionment Formula As specified in law, 17.28 percent of the amounts authorized for Section 5305 are allocated to the State Planning and Research program. FTA apportions funds to States by a statutory formula that is based on the most recent decennial Census data available, and the State's UZA population as compared to the UZA population of all States. 3. Requirements Funds are provided to States for Statewide transportation planning programs. These funds may be used for a variety of purposes such as planning, technical studies and assistance, demonstrations, and management training. In addition, a State may authorize a portion of these funds to be used to supplement Metropolitan Planning funds allocated by the State to its UZAs, as the State deems appropriate. Program guidance for the State Planning and Research program is found in FTA Circular 8100.1C. This funding must support work elements and activities resulting in balanced and comprehensive intermodal transportation planning for the movement of people and goods. Comprehensive transportation planning is not limited to transit planning or surface transportation planning, but also encompasses the relationships among land use and all transportation modes, without regard to the programmatic source of Federal assistance. Eligible work elements or activities include, but are not limited to studies relating to management, planning, operations, capital requirements, and economic feasibility; evaluation of previously funded projects; peer reviews and exchanges of technical data, information, assistance, and related activities in support of planning and environmental analysis; work elements and related activities preliminary to and in preparation for constructing, acquiring, or improving the operation of facilities and equipment. An exhaustive list of eligible work activities is provided in FTA Circular 8100.1C, Program Guidance for Metropolitan Planning and State Planning and Research Program Grants, dated September 1, 2008. For more information, contact Victor Austin, Office of Planning and Environment at (202) 366-2996. 4. Period of Availability The funds apportioned under the State Planning and Research program to each State remain available for obligation for four fiscal years, which include the year of apportionment plus three additional fiscal years. Any apportioned funds that remain unobligated at the close of business on September 30, 2015, will revert to FTA for reapportionment under the State Planning and Research Program. C. Urbanized Area Formula Program (49 U.S.C. 5307) Section 5307 authorizes Federal capital assistance, and in some cases, operating assistance for public transportation in urbanized areas. An urbanized area (UZA) is an area with a population of 50,000 or more that has been defined and designated as such in the 2000 Census by the U.S. Census Bureau. The Urbanized Area Formula Program funds may also be used to support planning activities, and may supplement planning projects funded under the Metropolitan Planning program. Urbanized Area Formula Program funds used for planning must be shown in the Unified Planning Work Program (UPWP) for MPO(s) with responsibility for that area. Funding is apportioned directly to each UZA with a population of 200,000 or more, and to the State Governors for UZAs with populations between 50,000 and 199,999. Eligible applicants are limited to entities designated as recipients in accordance with 49 U.S.C. 5307(a)(2) and other public entities with the consent of the Designated Recipient. Generally, operating assistance is not an eligible expense for UZAs with populations of 200,000 or more. However, there are several exceptions to this restriction. The exceptions are described in section 3(d)(5) below. For more information about the Urbanized Area Formula Program contact Adam Schildge or Elan Flippin, Office of Transit Programs, at (202) 366-0778. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $2,080,182,500 in contract authority for the period October 1, 2011 through March 31, 2012 to the Urbanized Area Formula Program (49 U.S.C. 5307). Thus far, the total amount apportioned for the Urbanized Area Formula Program is $2,280,481,376 as shown in the table below, after the addition of available FY 2011 contract authority and reapportioned funds and the 0.75 percent deduction for oversight (authorized by 49 U.S.C. 5327), and including funds apportioned to UZAs pursuant to Section 5340 for Growing States and High Density States. Urbanized Area Formula Program Total Appropriation a $2,080,182,500 FY 2011 Contract Authority 8,655,561 Oversight Deduction −15,666,286 Section 5340 Funds Added 196,585,277 Reapportioned Funds 10,724,324 Total Apportioned 2,280,481,376 a Includes one percent set-aside for Small Transit Intensive Cities Formula. Table 3 displays the amounts apportioned under the Urbanized Area Formula Program. 2. Basis for Formula Apportionment FTA apportions Urbanized Area Formula Program funds based on legislative formulas. Different formulas apply to UZAs with populations of 200,000 or more and to UZAs with populations less than 200,000. For UZAs with 50,000 to 199,999 in population, the formula is based solely on population and population density. For UZAs with populations of 200,000 and more, the formula is based on a combination of bus revenue vehicle miles, bus passenger miles, fixed guideway revenue vehicle miles, and fixed guideway route miles, as well as population and population density. Table 4 includes detailed information about the formulas. To calculate a UZA's FY 2012 apportionment, FTA used population and population density statistics from the 2000 Census and (when applicable) validated mileage and transit service data from transit providers' 2010 National Transit Database (NTD) Report Year. Consistent with 49 U.S.C. 5336(b), FTA used 60 percent of the directional route miles attributable to the Alaska Railroad passenger operations system to calculate the apportionment for the Anchorage, Alaska UZA. FTA has calculated dollar unit values for the formula factors used in the Urbanized Area Formula Program apportionment calculations. These values represent the amount of money each unit of a factor is worth in this year's apportionment. The unit values change each year, based on all of the data used to calculate the apportionments. The dollar unit values for FY 2012 are displayed in Table 5. To replicate the basic formula component of a UZA's apportionment, multiply the dollar unit value by the appropriate formula factor (i.e., the population, population x population density), and when applicable, data from the NTD (i.e., route miles, vehicle revenue miles, passenger miles, and operating cost). In FY 2012, one percent of funds appropriated for Section 5307, or $20,801,825 based on Temporary Authorization, 2012 and Appropriations Act, 2012, is set aside for Small Transit Intensive Cities (STIC). FTA apportions these funds to UZAs under 200,000 in population that operate at a level of service equal to or above the industry average level of service for all UZAs with a population of at least 200,000, but not more than 999,999, in one or more of six performance categories: passenger miles traveled per vehicle revenue mile, passenger miles traveled per vehicle revenue hour, vehicle revenue miles per capita, vehicle revenue hours per capita, passenger miles traveled per capita, and passengers per capita. The data for these categories for the purpose of FY 2012 apportionments comes from the NTD reports for the 2010 reporting year. This data is used to determine a UZA's eligibility under the STIC formula, and is also used in the STIC apportionment calculations. Because these performance data change with each year's NTD reports, the UZAs eligible for STIC funds and the amount each receives may vary each year. In FY 2012, FTA apportioned $55,976 for each performance factor/category for which the urbanized area exceeded the national average for UZAs with a population of at least 200,000 but not more than 999,999. In addition to the funds apportioned to UZAs, according to the Section 5307 formula factors contained in 49 U.S.C. 5336, FTA also apportions funds to urbanized areas under Section 5340 Growing States and High Density States formula factors. In FY 2012, FTA apportions $79,851,565 to UZAs in growing States and $116,733,712 to UZAs in High Density States. Half of the funds appropriated for Section 5340 are available to Growing States and half to High Density States. FTA apportions Growing States funds by a formula based on State population forecasts for 15 years beyond the most recent Census. FTA distributes the amounts apportioned for each State between UZAs and nonurbanized areas based on the ratio of urbanized/nonurbanized population within each State in the 2000 census, and to UZAs proportionately based on UZA population in the 2000 census (because population estimates are not available at the UZA level). FTA apportions the High Density States funds to States with population densities in excess of 370 persons per square mile. These funds are apportioned only to UZAs within those States. FTA pro-rates each UZA's share of the High Density funds based on the population of the UZAs in the State in the 2000 census. FTA cannot provide unit values for the Growing States or High Density formulas because the allocations to individual States and urbanized areas are based on their relative population data, rather than on a national per capita basis. Based on language in the conference report accompanying SAFETEA-LU, FTA is to show a single apportionment amount for Section 5307, STIC and Section 5340. FTA shows a single Section 5307 apportionment amount for each UZA in Table 3, the Urbanized Area Formula apportionments. The amount includes funds apportioned based on the Section 5307 formula factors, any STIC funds, and any Growing States and High Density States funding allocated to the area. FTA uses separate formulas to calculate and generate the respective apportionment amounts for the Section 5307, STIC and Section 5340. For technical assistance purposes, the UZAs that received STIC funds are listed in Table 6. FTA will make available breakouts of the funding allocated to each UZA under these formulas, upon request to the regional office. 3. Program Requirements Program guidance for the Urbanized Area Formula Program is currently found in FTA Circular 9030.1D, Urbanized Area Formula Program: Grant Application Instructions, dated May 1, 2010, and supplemented by additional information or changes provided in this document. i. Urbanized Area Formula Apportionments to Governors For small UZAs, those with a population of less than 200,000, FTA apportions funds to the Governor of each State for distribution. A single total Governor's apportionment amount for the Urbanized Area Formula, STIC, and Growing States and High Density States is shown in the Urbanized Area Formula Apportionment Table 3. The table also shows, for informational purposes, the apportionment amount that would be attributable by formula to each small UZA within the State. The Governor is not bound by the small UZA amounts published for informational purposes in this notice and shall determine the sub-allocation of funds among the small UZAs. The Governor's sub-allocation should be sent to the appropriate FTA Regional Office before grants are awarded. ii. Transit Enhancements Section 5307(d)(1)(K) requires that one percent of Section 5307 funds apportioned to UZAs with populations of 200,000 or more be spent on eligible transit enhancement activities or projects. This requirement is now treated as a certification, rather than as a set-aside as was the case under the Transportation Equity Act for the 21st Century (TEA-21). Designated recipients in UZAs with populations of 200,000 or more certify they are spending not less than one percent of Section 5307 funds for transit enhancements. In addition, Designated Recipients must submit an annual report on how they spent the money with the Federal fiscal year's final quarterly progress report in TEAM-Web. The report should include the following elements: (1) Grantee name; (2) UZA name and number; (3) FTA project number; (4) transit enhancement category; (5) brief description of enhancement and progress towards project implementation; (6) activity line item code from the approved budget; and (7) amount awarded by FTA for the enhancement. The list of transit enhancement categories and activity line item (ALI) codes may be found in the table of Scope and ALI codes on TEAM-Web, which can be accessed at http://FTATEAMWeb.fta.dot.gov. The term “transit enhancement” includes projects or project elements that are designed to enhance public transportation service or use and are physically or functionally related to transit facilities. Eligible enhancements include the following: (1) Historic preservation, rehabilitation, and operation of historic mass transportation buildings, structures, and facilities (including historic bus and railroad facilities); (2) bus shelters; (3) landscaping and other scenic beautification, including tables, benches, trash receptacles, and street lights; (4) public art; (5) pedestrian access and walkways; (6) bicycle access, including bicycle storage facilities and installing equipment for transporting bicycles on mass transportation vehicles; (7) transit connections to parks within the recipient's transit service area; (8) signage; and (9) enhanced access for persons with disabilities to mass transportation. It is the responsibility of the MPO to determine how the one-percent for transit enhancements will be allotted to transit projects. The one percent minimum requirement does not preclude more than one percent from being expended in a UZA for transit enhancements. However, activities that are only eligible as enhancements—in particular, operating costs for historic facilities—may be assisted only within the one-percent funding level. iii. Transit Security Projects Consistent with section 5307(d)(1)(J), each recipient of Urbanized Area Formula funds must certify that of the amount received each fiscal year, it will expend at least one percent on “public transportation security projects” or that it has decided the expenditure is not necessary. For applicants not eligible to receive Section 5307 funds for operating assistance, only capital security projects may be funded with the one percent. SAFETEA-LU, however, expanded the definition of eligible “capital” projects to include specific crime prevention and security activities, including: (1) Projects to refine and develop security and emergency response plans; (2) projects aimed at detecting chemical and biological agents in public transportation; (3) the conduct of emergency response drills with public transportation agencies and local first response agencies; and (4) security training for public transportation employees, but excluding all expenses related to operations, other than such expenses incurred in conducting emergency drills and training. The one percent may also include security expenditures included within other capital activities, and, where the recipient is eligible, operating assistance. FTA is often called upon to report to Congress and others on how grantees are expending Federal funds for security enhancements. To facilitate tracking of grantees' security expenditures, which are not always evident when included within larger capital or operating activity line items in the grant budget, we have established a non-additive (“non-add”) scope code for security expenditures—Scope 991-00. The non-add scope is to be used to aggregate activities included in other scopes, and it does not increase the budget total. Section 5307 grantees should include this non-add scope in the project budget for each new Section 5307 grant application or amendment. Under this non-add scope, the applicant should repeat the full amount of any of the line items in the budget that are exclusively for security and include the portion of any other line item in the project budget that is attributable to security, using under the non-add scope the same line item used in the project budget. The grantee can modify the ALI description or use the extended text feature, if necessary, to describe the security expenditures. The grantee must provide information regarding its use of the one percent for security as part of each Section 5307 grant application, using a special screen in TEAM-Web. If the grantee has certified that it is not necessary to expend one percent for security, the Section 5307 grant application must include information to support that certification. FTA will not process an application for a Section 5307 grant until the security information is complete. iv. FY 2012 Operating Assistance UZAs under 200,000 in population may use Section 5307 funds for operating assistance. In addition, Section 5307, as amended, allows some UZAs with a population of 200,000 or more to use Urbanized Area Formula funds for operating assistance under certain conditions. Temporary Authorization, 2012 extends that eligibility until March 31, 2012. The specific provisions allowing the limited use of operating assistance in large UZAs are as follows: a. Section 5307(b)(1)(E) provides for grants for the operating costs of equipment and facilities for use in public transportation in the Evansville, IN-KY urbanized area, for a portion or portions of the UZA if “the portion” of the UZA includes only one State, the population of “the portion” is less than 30,000, and the grants will be not used to provide public transportation outside of “the portion” of the UZA. b. Section 5307(b)(1)(F) provides operating costs of equipment and facilities for use in public transportation for local governmental authorities in areas which adopted transit operating and financing plans that became a part of the Houston, Texas, UZA as a result of the 2000 decennial census of population, but lie outside the service area of the principal public transportation agency that serves the Houston UZA. c. Section 5336(a)(2) prescribes the formula to be used to apportion Section 5307 funds to UZAs with population of 200,000 or more. SAFETEA-LU amended 5336(a)(2) to add language that stated, “* * * except that the amount apportioned to the Anchorage urbanized area under subsection (b) shall be available to the Alaska Railroad for any costs related to its passenger operations.” This language has the effect of directing that funds apportioned to the Anchorage urbanized area, under the fixed guideway tiers of the Section 5307 apportionment formula, be made available to the Alaska Railroad, and that these funds may be used for any capital or operating costs related to its passenger operations. d. Section 3027(c)(3) of TEA-21, as amended (49 U.S.C. 5307 note), provides an exception to the restriction on the use of operating assistance in a UZA with a population of 200,000 or more, by allowing transit providers/grantees that provide service exclusively to elderly persons and persons with disabilities and that operate 20 or fewer vehicles to use Section 5307 funds apportioned to the UZA for operating assistance. The total amount of funding made available for this purpose under Section 3027(c)(3) is $1.4 million. Transit providers/grantees eligible under this provision have already been identified and notified. e. Section 5307(b)(2), as amended, allows, in FYs 2008 through 2011 and for the period October 1, 2011 through March 31, 2012, (1) UZAs that grew in population from under 200,000 to over 200,000 or that were under 200,000 but merged into another urbanized area and the population is over 200,000, as a result of the 2000 Census to use Section 5307 funds for operating assistance in an amount up to 50 percent of the grandfathered amount for FY 2002 funds; (2) Areas that were nonurbanized under the 1990 Census and became urbanized, as a result of the 2000 Census, to use no more than 50 percent of the amount apportioned to the area for FY 2003 for operating assistance; and (3) nonurbanized areas under the 1990 Census that merged into urbanized areas over 200,000, as a result of the 2000 Census, to use 50 percent of the amount the area received in FY 2002 Section 5311 funding for operating assistance. These allowances are shown in Table 3-A. v. Treatment of Fuel and Electrical Propulsion Costs as Capital Maintenance The Appropriations Act, 2012, permits FTA to treat fuel costs for vehicle operations, including utility costs for the propulsion of electrical vehicles, as a capital maintenance item for grants made in FY 2012 under the Urbanized Area Formula Program, up to a total of $100,000,000. The treatment of these costs as capital maintenance items means that they may be eligible for reimbursement under this program at an 80/20 matching rate. As explained in the preceding section, fuel costs are also eligible for reimbursement as an operating expense for UZAs under 200,000 in population, and under other special conditions noted above, but require a 50 percent match. Since total obligations for this purpose are limited to $100,000,000, the use of funds for this purpose will be limited in amount, and will be available only to program recipients that respond to an upcoming announcement posted at www.grants.gov. Designated recipients for each Urbanized Area are directed to respond to this announcement with the dollar amount, out of their annual urbanized area apportionment funding, that they would like to apply to these costs for grants made in Fiscal Year 2012. While this provision applies to grants made during FY 2012, it is not limited to grants made using FY 2012 apportioned funds and may also include grants made during FY 2012 that contain prior year funds. Recipients are directed to submit a request for the maximum dollar amount that they would elect to apply to capitalized fuel or propulsion under this provision based on the anticipated availability of full FY 2012 funding. Funds will be distributed as dollar caps for an interested urbanized area's Section 5307 apportionment. FTA will base the amount of the cap it allocates to each urbanized area that responds to the announcement on a fixed percentage applied to the Section 5307 apportionment of that urbanized area, not to exceed the amount requested. However, if all urbanized area 5307 recipients respond to the announcement, each could expect to be permitted to use no more than 2.2% of their annual formula apportionment amount for this purpose. Eligible respondents to this request are only the designated recipients for the urbanized area formula apportionment, including the State DOTs for areas under 200,000. The upcoming funding announcement will provide further direction. FTA will publish the distribution in a Federal Register notice. Recipients are advised that this provision does not provide any funding in addition to their Section 5307 program apportionment. Funds granted under this provision will be treated as an alternative use of the eligible recipient's formula funding. Distribution of such funds among sub-recipients is subject to Federal planning requirements and will require coordination between the designated recipient(s), MPO, and other direct recipients of FTA funds. Funds sub-allocated to direct recipients within a UZA will be included in their FTA grants. Procurements to which these 5307 funds are applied must comply with Federal procurement requirements and include all applicable Federal procurement clauses. Recipients, if selected to use this provision, will be required to obligate funds no later than September 30, 2012. Once funds are obligated, they will remain available until expended; funds can be requested for the applicant's current fiscal year plus one additional year. FTA does not plan to reallocate funding caps under this provision after it has been initially distributed. Eligible designated recipients of Section 5307 funding that are interested in using funds under this provision are encouraged to become familiar with using grants.gov and are advised to monitor the site for the upcoming solicitation of interest. In addition, FTA recommends that grantees register for automatic email updates for Section 5307 Urbanized Area Formula Program on the FTA Web site. Further details will be posted with the announcement at www.grants.gov. vi. Sources of Local Match Consistent with Section 5307(e), the Federal share of an urbanized area formula grant is 80 percent of net project cost for a capital project and 50 percent of net project cost for operating assistance unless the recipient indicates a greater local share. The remainder of the net project cost (i.e., 20 percent and 50 percent, respectively) shall be provided from the following sources: a. From non-Federal government sources other than revenues from providing public transportation services; b. From revenues derived from the sale of advertising and concessions; c. From an undistributed cash surplus, a replacement or depreciation cash fund or reserve, or new capital; d. From amounts received under a service agreement with a State or local social service agency or private social service organization; and e. Proceeds from the issuance of revenue bonds. f. Funds from Section 403(a)(5)(C)(vii) of the Social Security Act (42 U.S.C. 603(a)(5)(C)(vii)) can be used to match Urbanized Area Formula funds. vii. Designated Transportation Management Areas (TMA) Guidance for setting the boundaries of TMAs is in the joint transportation planning regulations codified at 23 CFR Part 450 as referenced in 49 CFR Part 613. In some cases, the TMA planning boundaries established by the MPO for the designated TMA includes one or more small UZAs. In addition, one small UZA (Santa Barbara, CA) has been designated as a TMA by Secretary pursuant to section 5303(k). The Governor's Apportionment for small UZAs may include funds attributable to a small UZA designated as a TMA or within the planning boundaries of a TMA. The list of small UZAs included within the planning boundaries of designated TMAs is provided in the table below. Designated TMA Small urbanized area included in TMA planning boundary Albany, NY Saratoga Springs, NY. Houston, TX Galveston, TX; Lake Jackson-Angleton, TX; Texas City, TX; The Woodlands, TX. Jacksonville, FL St. Augustine, FL. Orlando, FL Kissimmee, FL. Palm Bay-Melbourne, FL Titusville, FL. Philadelphia, PA-NJ-DE-MD Pottstown, PA. Pittsburgh, PA Monessen, PA; Weirton, WV-Steubenville, OH-PA (PA portion); Uniontown-Connellsville, PA. Seattle, WA Bremerton, WA. Washington, DC-VA-MD Frederick, MD. Section 5303(k) provides that the Secretary shall designate “any additional area as a transportation management area on the request of the Governor and the MPO designated for the area.” In the event a Governor and an MPO determine that a small UZA should be a TMA or included within the boundaries of a TMA, the MPO and Governor must jointly request such designation from the Associate Administrator for Program Management, Federal Transit Administration, 1200 New Jersey Avenue SE., Washington, DC 20590, in writing, no later than July 1 of each year of the identity of any small UZA within the planning boundaries of a TMA. viii. Urbanized Area Formula Funds Used for Highway Purposes Funds apportioned to a TMA are eligible for transfer to FHWA for highway projects, if the Designated Recipient has allocated a portion of the area's Section 5307 funding for such use. However, before funds can be transferred, the following conditions must be met: (1) Approval by the MPO in writing, after appropriate notice and opportunity for comment and appeal are provided to affected transit providers; (2) a determination of the Secretary that funds are not needed for investments required by the Americans with Disabilities Act of 1990 (ADA); and (3) the MPO determines that local transit needs are being addressed. The MPO should notify the appropriate FTA Regional Administrator of its intent to use FTA funds for highway purposes. Urbanized Area Formula funds that are designated by the MPO for highway projects and meet the conditions cited in the previous paragraph will be transferred to and administered by FHWA. 4. Period of Availability The Urbanized Area Formula Program funds apportioned in this notice are available for obligation during the year of apportionment plus three additional years. Accordingly, these funds must be obligated in grants by September 30, 2015. Any apportioned funds that remain unobligated at the close of business on September 30, 2015 will revert to FTA for reapportionment under the Urbanized Area Formula Program. 5. Other Program or Apportionment Related Information and Highlights In each UZA with a population of 200,000 or more, the Governor, in consultation with responsible local officials and publicly owned operators of public transportation, has designated one or more entities to be the Designated Recipient for Section 5307 funds apportioned to the UZA. The same entity(s) may or may not be the Designated Recipient for the Job Access and Reverse Commute (JARC) and New Freedom program funds apportioned to the UZA. In UZAs under 200,000 in population, the State is the Designated Recipient for Section 5307, as well as JARC and New Freedom programs. The Designated Recipient for Section 5307 may authorize other entities to apply directly to FTA for Section 5307 grants pursuant to a supplemental agreement. While the requirement that projects selected for funding be included in a locally developed coordinated public transit/human service transportation plan is not included in Section 5307 as it is in Sections 5310, 5316 (JARC) and 5317 (New Freedom), FTA expects that in their role as public transit providers, recipients of Section 5307 funds will be participants in the local planning process for these programs. D. Clean Fuels Grant Program (49 U.S.C. 5308) The Clean Fuels Grant program is a discretionary grant program that supports the use of alternative fuels in air quality maintenance or nonattainment areas for ozone or carbon monoxide through capital grants to urbanized areas for clean fuel vehicles and facilities. Funds will be distributed in response to a discretionary competition announced in the Federal Register during the first quarter of calendar year 2012. For more information about this program contact Vanessa Williams, Office of Program Management, at (202) 366-4818. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $25,750,000 in contract authority for the period October 1, 2011 through March 31, 2012 for the Clean Fuels Program. After the addition of available FY 2011 contract authority, a total of $25,857,145 is thus far available for grants, as shown in the table below. Clean Fuels Program Total Appropriated $25,750,000 FY 2011 Contract Authority 107,145 Total Apportioned 25,857,145 2. Requirements Clean Fuels Grant program funds may be made available to any grantee in a UZA that is designated as maintenance or nonattainment area for ozone or carbon monoxide as defined in the Clean Air Act. Eligible recipients include section 5307 Designated Recipients as well as recipients in small UZAs. The State in which a small UZA is located will act as the recipient of funds. Eligible projects include the purchase or lease of clean fuel buses, the construction or lease of clean fuel or electrical recharging facilities and related equipment for such buses, and construction or improvement of public transportation facilities to accommodate clean fuel buses. 3. Period of Availability Clean Fuels Program funds are available for three years, which includes the year the funds are allocated to a project through a notice of award or appropriation plus two. FY 2012 funds will be distributed through a competitive discretionary process, which will be announced in a Federal Register Notice of Funding Availability during the first quarter of calendar year 2012. 4. Other Program or Apportionment Related Information and Highlights Table 7 lists prior year carryover of $13,761,707 for Clean Fuels projects allocated FY 2010 program funds. These projects were announced during FY 2011 and are available for obligation until September 30, 2013. For more information about the FY 2011 Clean Fuels Grant Program award announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31694.pdf (Federal Register Citation: 76 FR 77302—FTA Sustainability Program Funds: Announcement of Project Selections, December 12, 2011). E. Capital Investment Program (49 U.S.C. 5309)—Fixed Guideway Modernization This program provides capital assistance for the maintenance, recapitalization, and modernization of existing fixed guideway systems. Funds are apportioned by a statutory formula to UZAs with fixed guideway systems that have been in operation for at least seven years. A “fixed guideway” refers to any transit service that uses exclusive or controlled rights-of-way or rails, entirely or in part. The term includes heavy rail, commuter rail, light rail, monorail, trolleybus, aerial tramway, inclined plane, cable car, automated guideway transit, ferryboats, that portion of motor bus service operated on exclusive or controlled rights-of-way, and high-occupancy-vehicle (HOV) lanes. Eligible applicants are the public transit authorities in those urbanized areas to which the funds are apportioned. For more information about Fixed Guideway Modernization contact Kimberly Sledge, Office of Transit Programs, at (202) 366-2053. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $833,250,000 in contract authority for the period October 1, 2011 through March 31, 2012 for the Fixed Guideway Modernization Program. Thus far, the total amount apportioned for the Fixed Guideway Modernization Program is $831,257,145, after the addition of available FY 2011 contract authority and reapportioned funds and deductions for oversight, as shown in the table below. Fixed Guideway Modernization Program Total Appropriation $833,250,000 FY 2011 Contract Authority 3,467,122 Oversight Deduction (total) −8,367,171 Reapportioned Funds 363,287 Total Apportioned 831,257,145 The FY 2012 Fixed Guideway Modernization Program apportionments to eligible areas are displayed in Table 8. 2. Basis for Formula Apportionment The formula for allocating the Fixed Guideway Modernization funds contains seven tiers. The apportionment of funding under the first four tiers is based on amounts specified in law and NTD data used to apportion funds in FY 1997. Funding under the last three tiers is apportioned based on the latest available data on route miles and revenue vehicle miles on segments at least seven years old, as reported to the NTD. Section 5337(f) of title 49, U.S.C. provides for the inclusion of Morgantown, West Virginia (population 55,997) as an eligible UZA for purposes of apportioning fixed guideway modernization funds. Also, consistent to 49 U.S.C. 5336(b), FTA uses 60 percent of the directional route miles attributable to the Alaska Railroad passenger operations system to calculate the apportionment for the Anchorage, Alaska UZA under the Section 5309 Fixed Guideway Modernization formula. FY 2012 Formula apportionments are based on data grantees provided to the NTD for the 2010 reporting year. Table 9 provides additional information and details on the formula. Dollar unit values for the formula factors used in the Fixed Guideway Modernization Program are displayed in Table 5. To replicate an area's apportionment, multiply the dollar unit value by the appropriate formula factor, i.e., route miles and revenue vehicle miles. 3. Program Requirements Fixed Guideway Modernization funds must be used for capital projects to maintain, modernize, or improve fixed guideway systems. Eligible UZAs (those with a population of 200,000 or more) with fixed guideway systems that are at least seven years old are entitled to receive Fixed Guideway Modernization funds. A threshold level of more than one mile of fixed guideway is required in order to receive Fixed Guideway Modernization funds. Therefore, UZAs reporting one mile or less of fixed guideway mileage under the NTD are not included. However, funds apportioned to an urbanized area may be used on any fixed guideway segment in the UZA. Program guidance for Fixed Guideway Modernization is presently found in FTA Circular C9300.1B, Capital Facilities and Formula Grant Programs, dated November 1, 2008. 4. Period of Availability The funds apportioned in this notice under the Fixed Guideway Modernization Program remain available to recipients to be obligated in a grant during the year of appropriation plus three additional years. FY 2012 Fixed Guideway Modernization funds that remain unobligated at the close of business on September 30, 2015, will revert to FTA for reapportionment under the Fixed Guideway Modernization Program. F. Capital Investment Program (49 U.S.C. 5309)—Bus and Bus-Related Facilities This program provides capital assistance for new and replacement buses, and related equipment and facilities. Funds are allocated on a discretionary basis. Eligible purposes are acquisition of buses for fleet and service expansion, bus maintenance and administrative facilities, transfer facilities, bus malls, transportation centers, intermodal terminals, park-and-ride stations, acquisition of replacement vehicles, bus rebuilds, bus preventive maintenance, passenger amenities such as passenger shelters and bus stop signs, accessory and miscellaneous equipment such as mobile radio units, supervisory vehicles, fare boxes, computers, and shop and garage equipment. Eligible applicants are State and local governmental authorities. Eligible sub-recipients include other public agencies, private companies engaged in public transportation and private non-profit organizations. For more information about Bus and Bus-Related Facilities (Bus Program) contact Samuel Snead, Office of Transit Programs, at (202) 366-1089. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $492,000,000 in contract authority for the period October 1, 2011 through March 31, 2012 for the Bus and Bus-Related Facilities program. The total amount apportioned for the program thus far is $489,106,722, after the addition of available FY 2011 contract authority and deductions for oversight, as shown in the table below. Bus and Bus-Related Facilities Total Appropriated $492,000,000 FY 2011 Contract Authority 2,047,194 Oversight Deduction −4,940,472 Total Apportioned 489,106,722 2. Basis for Allocation FY 2012 Bus and Bus-Related Facilities program allocations are shown in Table 10. Allocations include nine Section 5309 Capital Investment Program New and Small Starts Bus Rapid Transit (BRT) projects, which are funded through the Bus and Bus-Related Facilities program in FY 2012. Unallocated 2012 Bus and Bus-Related Facilities Program funds will be distributed through discretionary program competitions. FY 2012 discretionary competitions will include a State of Good Repair program, a Bus Livability program and a Veterans Transportation and Community Living Initiative. FTA will publish one or more Notices of Funding Availability (NOFAs) during the first quarter of calendar year 2012 to announce these discretionary program competitions. Specific program requirements and selection criteria will be published in the relevant notices of funding availability (NOFA). 3. Requirements Program guidance for Bus and Bus-Related Facilities is found in FTA Circular C9300.1B, “Capital Investment Program Guidance and Application Instructions,” (November 1, 2008) and in subsequent notices of funding availability for each discretionary program. 4. Period of Availability Section 5309 Bus and Bus-Related Facilities funds are available for three years, which includes the year the funds are allocated to a project through a notice of award or appropriation plus two. Fiscal Year 2012 Bus and Bus-Related Facilities allocations, including the Ferry Boat Allocations for FY 2010-2012, listed in Table 10 not obligated in an FTA grant for eligible purposes by September 30, 2014 may be made available for other Bus and Bus-Related Facilities projects under Section 5309 during the following fiscal year. 5. Other Program or Allocation Related Information and Highlights Prior year unobligated balances for Bus and Bus-Related allocations in the amount of $367,630,155 remain available for obligation in FY 2012. The prior year carryover amounts are displayed in Table 11. Footnotes are included in Table 11 to identify the period of availability for each of these allocations. These tables do not include funds allocated in the recent discretionary competitions announced after September 30, 2011. This notice publishes the allocation of funds for Section 5309 Ferry Boat Systems projects for FY 2010, FY 2011, and FY 2012. These projects are shown in Table 10. The list of FY 2010 Ferryboat projects replaces the projects published in the FTA FY 2010 apportionment notice (February 16, 2010, Table 10), which incorrectly published a list of Ferry Boat Systems projects administered by the Federal Highway Administration (FHWA). For more information about the FY 2011 Bus Livability Program award announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28779.pdf. ( Federal Register Citation: 76 FR 68813-FY 2011 Discretionary Livability Funding Opportunity; Section 5309 Bus and Bus Facilities Livability Initiative Program Grants and Section 5339 Alternatives Analysis Program, November 7, 2011.) For more information about the FY 2011 State of Good Repair Program award announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28774.pdf . ( Federal Register Citation: 76 FR 68819—State of Good Repair Bus and Bus Facilities Discretionary Program Funds, November 7, 2011.) For more information about the FY 2011 Veterans Transportation and Community Living Initiative award announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32447.pdf ( Federal Register Citation: 76 FR 78732-FY 2011 Discretionary Funding Opportunity; Section 5309 Bus and Bus Facilities Veterans Transportation and Community Living Initiative, December 19, 2011). G. Capital Investment Program (49 U.S.C. 5309)—New and Small Starts The New Starts program provides funds for construction of new fixed guideway systems or extensions to existing fixed guideway systems. Eligible purposes are light rail, rapid rail (heavy rail), commuter rail, monorail, automated fixed guideway system (such as a “people mover”), or a busway/high occupancy vehicle (HOV) facility, Bus Rapid Transit that is fixed guideway, or an extension of any of these. Eligible purposes for the Small Starts program are those mentioned for the New Starts program, as well as corridor based bus systems that do not operate on a fixed guideway but include elements such as substantial transit stations, signal priority or pre-emption, branding of vehicles, and service frequencies of 10 minutes during peak periods and 15 minutes during off peak periods for at least 14 hours per day. Projects become candidates for funding under this program by successfully completing the appropriate steps in the major capital investment planning and project development process, which includes evaluation and rating by FTA based on several statutorily-defined criteria. Major new fixed guideway projects, or extensions to existing systems, financed with New Starts funds typically receive these funds through a full funding grant agreement (FFGA) that defines the scope of the project and specifies the total multi-year Federal commitment to the project. Small Starts projects typically receive funds through a project construction grant agreement (PCGA) that defines the scope of the project and specifies the Federal commitment to the project or a single year construction grant if the Small Starts contribution is $25 million or less and has already been appropriated. For more information about the New or Small Starts project development process or evaluation and rating process contact Elizabeth Day, Office of Planning and Environment, at (202) 366-4033, or for information about published allocations contact Eric Hu, Office of Transit Programs, at (202) 366-0870. 1. FY 2012 Funding Availability The Appropriations Act, 2012 appropriated $1,955,000,000 to the major capital investment program (New and Small Starts) for the full fiscal year. Thus far, the total amount allocated for the major capital investment program (New and Small Starts) is $1,935,450,000, after the one percent deduction for oversight, is shown in the table below. Capital Investment Program (New Starts) Total Appropriation $1,955,000,000 Oversight (one percent) −19,550,000 Total Available 1,935,450,000 2. Basis for Allocation Congress included authorizations for specific New Starts projects with Full Funding Grant Agreements (FFGA) in SAFETEA-LU. Funds allocated to specific projects are shown in Table 12. These non-discretionary allocations amount to $1,388,515,000. Table 12 also includes a discretionary allocation of $35,481,000 for the Small Starts Project Central Mesa LRT Extension (Mesa, AZ). Unallocated funds total $511,454,000. The Appropriations Bill, 2012 includes a rescission of $58,500,000 of unspent funds appropriated in FY 2009 under Public law 111-8. 3. Requirements FY 2010 New Starts projects were earmarked in law. Thus, reprogramming for a purpose other than that specified must also occur in law. While FY 2012 New Starts projects were identified in conference report accompanying the Appropriations Act, 2012 and not the Act itself, New Starts projects are subject to a complex set of approvals related to planning and project development set forth in 49 CFR Part 611. FTA has published a number of rulemakings and interim guidance documents related to the New Starts program since the passage of SAFETEA-LU. Grantees should reference the FTA Web site at www.fta.dot.gov for the most current program guidance about project developments and management. Grant related guidance for New Starts is found in FTA Circular C9300.1B, Capital Investment Program Guidance and Application Instructions dated November 1, 2008; and C5200.1A, Full Funding Grant Agreement Guidance, dated December 5, 2002. 4. Period of Availability New Starts funds that remain unobligated to the projects designated the funds after three fiscal years (including the fiscal year the funds are allocated plus two additional years) may be made available for other section 5309 New Start projects. Therefore, corresponding funds for projects identified in the FY 2012 conference report must be obligated for the project by September 30, 2014. 5. Other Program or Apportionment Related Information and Highlights Prior year FY 2010 and FY 2011 unobligated discretionary and non-discretionary allocations for New Starts, including Urban Circulator projects, in the amount of $1,323,217,298 remain available for obligation in FY 2012. These unobligated amounts are displayed in Table 13. H. Special Needs of Elderly Individuals and Individuals With Disabilities Program (49 U.S.C. 5310) This program provides formula funding to States for capital projects to assist private nonprofit groups in meeting the transportation needs of the elderly and individuals with disabilities when the public transportation service provided in the area is unavailable, insufficient, or inappropriate to meet these needs. A State agency designated by the Governor administers the Section 5310 program. The State's responsibilities include: notifying eligible local entities of funding availability; developing project selection criteria; determining applicant eligibility; selecting projects for funding; and ensuring that all sub-recipients comply with Federal requirements. Eligible nonprofit organizations or public bodies must apply directly to the designated State agency for assistance under this program. For more information about the Elderly and Individuals with Disabilities Program contact Gil Williams, Office of Transit Programs, at (202) 366-0797. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $66,750,000 in contract authority for the period October 1, 2011 through March 31, 2012 for the Elderly and Individuals with Disabilities Program (49 U.S.C. 5310). After deduction of 0.5 percent for oversight, and the addition of reapportioned prior year funds, $67,055,892 remains available for allocation to the States. The FY 2012 Elderly and Individuals with Disabilities Program apportionments to the States are displayed in Table 14. Elderly and Individuals With Disabilities Program Total Appropriation $66,750,000 FY 2011 Contract Authority 277,744 Oversight Deduction −335,139 Reapportioned Funds 363,287 Total Apportioned 67,055,892 2. Basis for Apportionment FTA allocates funds to the States by an administrative formula consisting of a $125,000 floor for each State ($50,000 for smaller territories) with the balance allocated based on 2000 Census population data for persons aged 65 and over and for persons with disabilities. 3. Requirements Funds are available to support the capital costs of transportation services for older adults and people with disabilities. Uniquely under this program, eligible capital costs include the acquisition of service. Seven specified States (Alaska, Louisiana, Minnesota, North Carolina, Oregon, South Carolina, and Wisconsin) may use up to 33 percent of their apportionment for operating assistance under the terms of the SAFETEA-LU Section 3012(b) pilot program. Capital assistance is provided on an 80 percent Federal, 20 percent local matching basis except that Section 5310(c) allows States eligible for a higher match under the sliding scale for FHWA programs to use that match ratio for Section 5310 capital projects. Operating assistance is 50 percent Federal, 50 percent local. Funds provided under other Federal programs (other than those of the DOT, with the exception of the Federal Lands Highway Program established by 23 U.S.C. 204) may be used as match. Revenue from service contracts may also be used as local match. While the assistance is intended primarily for private non-profit organizations, public bodies approved by the State to coordinate services for the elderly and individuals with disabilities, or any public body that certifies to the State that there are no non-profit organizations in the area that are readily available to carry out the service, may receive these funds. States may use up to ten percent of their annual apportionment to administer, plan, and provide technical assistance for a funded project. No local share is required for these program administrative funds. Funds used under this program for planning must be shown in the United Planning Work Program (UPWP) for MPO(s) with responsibility for that area. The State recipient must certify that: The projects selected were derived from a locally developed, coordinated public transit-human services transportation plan; and, the plan was developed through a process that included representatives of public, private, and nonprofit transportation and human services providers and participation by the public. The locally developed, coordinated public transit-human services transportation planning process must be coordinated and consistent with the metropolitan and statewide planning processes and funding for the program must be included in the metropolitan and statewide Transportation Improvement Program (TIP and STIP) at a level of specificity or aggregation consistent with State and local policies and procedures. Finally, the State must certify that allocations to sub-recipients are made on a fair and equitable basis. The coordinated planning requirement is a requirement in two additional programs. Projects selected for funding under the Job Access Reverse Commute program and the New Freedom program also are required to be derived from a locally developed coordinated public transit/human service transportation plan. FTA anticipates that most areas will develop one consolidated plan for all the programs, which may include separate elements and other human service transportation programs. The Section 5310 program is subject to the requirements of Section 5307 formula program to the extent the Secretary determines appropriate. Program guidance is found in FTA Circular 9070.1F, dated May 1, 2007. The circular is posted on the FTA Web site at www.fta.dot.gov . 4. Period of Availability Section 5310 funds are available for three years, which includes the year of apportionment plus two. Fiscal Year 2012 Section 5310 funds not obligated in an FTA grant for eligible purposes by September 30, 2014 will revert to FTA for reapportionment among the States under the Elderly and Individuals with Disabilities Program. 5. Other Program or Apportionment Related Information and Highlights States may transfer Section 5310 funds to Section 5307 or Section 5311, but only for projects selected under the Section 5310 program, not as a general supplement for those programs. FTA anticipates that the States would use this flexibility primarily for projects to be implemented by a Section 5307 recipient in a small urbanized area, or for federally recognized Indian Tribes that elect to receive funds as a direct recipient from FTA under Section 5311. A State that transfers Section 5310 funds to Section 5307 must certify that each project for which the funds are transferred has been coordinated with private nonprofit providers of services. FTA has established a scope code (641) in the TEAM grant system to track Section 5310 projects included within a Section 5307 or 5311 grant. Transfer to Section 5307 or 5311 is permitted, but not required. FTA expects primarily to award stand-alone Section 5310 grants to the State for any and all sub-recipients. 6. Performance Measures To support the evaluation of the program, FTA has established performance measures for the Section 5310 program, which should be submitted with the State's annual program of projects status report on October 31, 2012. States should submit performance measures on behalf of their sub-recipients. Information on the Section 5310 performance measures can be found at http://www.fta.dot.gov/laws/circulars/leg_reg_6622.html. I. Nonurbanized Area Formula Program (49 U.S.C. 5311) This program provides formula funding to States and Indian Tribes for the purpose of supporting public transportation in areas with a population of less than 50,000. Funding may be used for capital, operating, State administration, and project administration expenses. Eligible sub-recipients include State and local governmental authority, Indian Tribes, private non-profit organizations, and private operators of public transportation services, including intercity bus companies. Indian Tribes are also eligible direct recipients under Section 5311, both for funds apportioned to the States and for projects selected to be funded with funds set aside for a separate Tribal Transit Program. For more information about the Nonurbanized Area Formula Program contact Lorna Wilson, Office of Transit Programs, at (202) 366-0893. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $232,500,000 in contract authority for the Nonurbanized Area Formula Program (49 U.S.C. 5311) for the period October 1, 2011 through March 31, 2012. Thus far, the total amount apportioned for the Nonurbanized Area Formula Program is $269,879,990 after take-downs of two percent for the Rural Transportation Assistance Program (RTAP), 0.5 percent for oversight, and $7,500,000 for the Tribal Transit Program, and the addition of Section 5340 funding for Growing States and of reapportioned funds, as shown in the table below. Nonurbanized Area Formula Program Total Appropriation $232,500,000 FY 2011 Contract Authority 916,869 Oversight Deduction −1,167,337 Tribal Takedown −7,500,000 RTAP Takedown −4,650,000 Section 5340 Funds Added 36,882,147 Reapportioned Funds 748,311 Total Apportioned 269,879,990 The FY 2012 Nonurbanized Area Formula apportionments to the States are displayed in Table 15. 2. Basis for Apportionments FTA apportions the funds after take-down for oversight, the Tribal Transit Program, and RTAP according to a statutory formula. FTA apportions the first twenty percent to the States based on land area in nonurbanized areas with no state receiving more than 5 percent of the amount apportioned. FTA apportions the remaining eighty percent based on nonurbanized population of each State relative to the national nonurbanized population. FTA does not apportion Section 5311 funds to the Virgin Islands, which by a statutory exception are treated as an urbanized area for purposes of the Section 5307 formula program. FTA is allocating $36,729,317 to the States and territories for nonurbanized areas from the Growing States portion of Section 5340. FTA apportions Growing States funds by a formula based on State population forecasts for 15 years beyond the most recent census. FTA distributes the amounts apportioned for each State between UZAs and nonurbanized areas based on the ratio of urbanized/nonurbanized population within each State in the 2000 census. 3. Program Requirements The Nonurbanized Area Formula Program provides capital, operating and administrative assistance for public transit service in nonurbanized areas under 50,000 in population. The Federal share for capital assistance is 80 percent and for operating assistance is 50 percent, except that States eligible for the sliding scale match under FHWA programs may use that match ratio for Section 5311 capital projects and 62.5 percent of the sliding scale capital match ratio for operating projects. Each State must spend no less than 15 percent of its FY 2012 Nonurbanized Area Formula apportionment for the development and support of intercity bus transportation, unless the State certifies, after consultation with affected intercity bus service providers, that the intercity bus service needs of the State are being adequately met. FTA also encourages consultation with other stakeholders, such as communities affected by loss of intercity service. Each State prepares an annual program of projects, which must provide for fair and equitable distribution of funds within the States, including Indian reservations, and must provide for maximum feasible coordination with transportation services assisted by other Federal sources. To retain eligibility for funding, recipients of Section 5311 funding must report data annually to the NTD. Additional information on NTD reporting is contained in paragraph 5 of this section, below. Program guidance for the Nonurbanized Area Formula Program is found in FTA Circular 9040.1F, “Nonurbanized Area Formula Program Guidance and Grant Application Instructions,” dated April 1, 2007. The circular is posted at www.fta.dot.gov . 4. Period of Availability Section 5311 Nonurbanized Area Formula Program funds are available for three years, which includes the year of appropriation, plus two. Fiscal Year 2012 Nonurbanized Area Formula funds not obligated in an FTA grant for eligible purposes by September 30, 2014 will revert to FTA for reapportionment among the States under the Nonurbanized Area Formula Program. 5. Other Program or Apportionment Related Information and Highlights i. NTD Reporting By law, FTA requires that each recipient under the Section 5311 program submit an annual report to the NTD containing information on capital investments, operations, and service provided with funds received under the Section 5311 program. Section 5311(b)(4), as amended by SAFETEA-LU, specifies that the report shall include information on total annual revenue, sources of revenue, total annual operating costs, total annual capital costs, fleet size and type, and related facilities, revenue vehicle miles, and ridership. State or Territorial DOT 5311 grant recipients must complete a one-page form of basic data for each 5311 sub-recipient, unless the sub-recipient is already providing a full report to the NTD as a Tribal Transit direct recipient or as an urbanized area reporter (without receiving a Nine or Fewer Vehicles Waiver). For the 2012 Report Year, State or Territorial DOTs must report on behalf of any sub-recipient receiving Section 5311 grants in 2012, or that continued to benefit in 2012 from capital assets purchased using Section 5311 grants. Tribal Transit direct recipients must report if they received an obligation or an outlay for a Section 5311 grant in 2012, or if they continued to benefit in 2012 from capital assets using Section 5311 Grants, unless the Tribe is already filing a full NTD Report as an urbanized area reporter or unless the Tribe only received $50,000 or less in planning grants. The NTD Rural Reporting Manual contains detailed reporting instructions and is posted on the NTD Web site, www.ntdprogram.gov . ii. Extension of Intercity Bus Pilot of In-Kind Match Beginning in FY 2007, FTA implemented a two year pilot program of in-kind match for intercity bus service. The initial program was set to expire after FY 2008; however, FTA decided to extend the program through FY 2011. Through this notice FTA extends the In-Kind Match program through FY 2012. FTA published guidance on the in-kind match pilot in the Federal Register on February 28, 2007, as Appendix 1 of the Notice announcing the final revised circular 9040.1F, which is available at www.fta.dot.gov . J. 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 nonurbanized areas. For more information about Rural Transportation Assistance Program (RTAP) contact Lorna Wilson, Office of Transit Programs, at (202) 366-0893. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $4,650,000 in contract authority for RTAP (49 U.S.C. 5311(b)(2)), as a two percent takedown from the funds appropriated for Section 5311 for the period October 1, 2011 through March 31, 2012. FTA has reserved 15 percent for the National RTAP program. After the reservation for the National RTAP program and the addition of FY 2011 contract authority and reapportioned funds, thus far a total of 4,105,923 is available for allocation to the States, as shown in the table below. Rural Transit Assistance Program Total Appropriation $4,650,000 FY 2011 Contract Authority 19,348 National RTAP Takedown −697,500 Reapportioned Funds 134,075 Total Apportioned 4,105,923 Table 15 shows the FY 2012 RTAP allocations to the States. 2. Basis for Allocation FTA allocates funds to the States by an administrative formula. First, FTA allocates $65,000 to each State ($10,000 to territories), and then allocates the balance based on nonurbanized population in the 2000 census. 3. Program Requirements States may use the funds to undertake research, training, technical assistance, and other support services to meet the needs of transit operators in nonurbanized areas. These funds are to be used in conjunction with a State's administration of the Nonurbanized Area Formula Program, but also may support the rural components of the Section 5310, JARC, and New Freedom programs. 4. Period of Availability Section 5311 RTAP funds are available for three years, which includes the year the funds are made available to a project through a notice of award, plus two. 5. Other Program or Apportionment Related Information and Highlights The National RTAP project is administered by cooperative agreement and re-competed at five-year intervals. In FY 2008, FTA awarded the cooperative agreement to the Neponset Valley Transportation Management Association (NVTMA) located in Waltham, Massachusetts through a competitive process. The National RTAP projects are guided by a project review board that consists of managers of rural transit systems and State DOT RTAP programs. National RTAP resources also support the biennial TRB National Conference on Rural Public and Intercity Bus Transportation and other research and technical assistance projects of a national scope. K. Public Transportation on Indian Reservations Program (49 U.S.C. 5311(c)(1)) FTA refers to this program as the Tribal Transit Program. It is funded as a takedown from funds made available for the Section 5311 program. Eligible direct recipients are federally recognized Indian Tribes. The funds are to be allocated for grants to Indian Tribes for any purpose eligible under Section 5311, which includes capital, operating, planning, and administrative assistance for rural public transit services and rural intercity bus service. For more information about the Tribal Transit Program contact Lorna Wilson, Office of Transit Programs, at (202) 366-0893. 1. Funding Availability in FY 2012 Based on the Temporary Authorization, 2012 FTA is allocating $7,500,000 for the Tribal Transit Program for the period October 1, 2011 through March 31, 2012. After the addition of available FY 2011 contract authority and reapportioned funds, and the deduction of FY 2012 funds apportioned to the program in FY 2011, a total of $8,020,905 is available for grants, as shown in the table below. Tribal Transit Program Total Appropriated $7,500,000 FY 2011 Contract Authority 31,207 FY 2011 Program Apportionment −36,410 Reapportioned Funds 489,698 Total Apportioned 8,020,905 2. Basis for Allocation Based on procedures developed in consultation with the Tribes, FTA will issue a Notice of Funding Availability (NOFA) soliciting applications for FY 2012 funds. Projects are competitively selected based on the criteria published in the NOFA. 3. Requirements FTA developed streamlined program requirements based on statutory authority allowing the Secretary to determine the terms and conditions appropriate to the program. These conditions are contained in the annual NOFA. Beginning with grants awarded in FY 2009, the grant agreement has incorporated the statement of warranty for labor protective arrangements, and tribal grants will be submitted to the Department of Labor (DOL) for information upon FTA approval. Projects funded under the Tribal Transit Program are not required to have local match. 4. Period of Availability Section 5311 Tribal Transit funds are available for three years, which includes the year of allocation, plus two. Fiscal Year 2012 Tribal Transit funds announced during FY 2012 that are not obligated in an FTA grant for eligible purposes by September 30, 2014 may be made available for other Tribal Transit projects under Section 5311 during the following fiscal year. 5. Other Program Changes and Highlights The funds set aside for the Tribal Transit Program are not meant to replace or reduce funds that Indian Tribes receive from States through the Section 5311 program but are to be used to enhance public transportation on Indian reservations and transit serving tribal communities. Funds allocated to Tribes by the States may be included in the State's Section 5311 application or awarded by FTA in a grant directly to the Tribe. We encourage Tribes intending to apply to FTA as direct recipients to contact the appropriate FTA regional office at the earliest opportunity. Technical assistance for Tribes may be available from the State DOT using the State's allocation of RTAP or funds available for State administration under Section 5311, from the Tribal Transportation Assistance Program (TTAP) Centers supported by FHWA, and from the Community Transportation Association of America under a program funded by the United States Department of Agriculture (USDA). The National RTAP will also be developing new resources for Tribal Transit. The National RTAP program, in conjunction with FTA, will be hosting a Tribal Transit Training and Technical Assistance meeting in Scottsdale, Arizona from March 18-21, 2012. Tribes who have active grants with FTA's Tribal Transit program are encouraged to attend the two and half day training session. For more information contact Lorna Wilson, Program Manager at (202) 366-0893 or visit the National RTAP Web site regarding preliminary conference logistics at http://www.nationalrtap.org. Table 16 lists prior year carryover of $6,373,776 for Tribal Transit program projects allocated project funding in FY 2010. The FY 2010 allocations were announced on March 30, 2011 and are available for obligation until September 30, 2013. For more information about the FY 2011 Tribal Transit program selections announced on December 1, 2011, please visit www.fta.dot.gov/tribaltransit. FTA anticipates publishing its FY 2011 Tribal Transit Program Notice of Award, formally announcing the FY 2011 program selections, in the Federal Register in early January. L. Growing States and High Density States Formula Factors (49 U.S.C. 5340) The Temporary Authorization, 2012 makes $232,500,000 in contract authority available for apportionment in accordance with the formula factors prescribed for Growing States and High Density States set forth in 49 U.S.C. 5340 for the period October 1, 2011 through March 31, 2012. After the addition of available FY 2011 contract authority, a total of $233,467,424 is available for apportionment. Fifty percent of this amount is apportioned to eligible States and urbanized areas using the Growing State formula factors. The other 50 percent is apportioned to eligible States and urbanized areas using the High Density States formula factors. The term “State,” for purposes of this program, is defined to mean only the 50 States. For the Growing State portion of the program, funds are allocated based on the population forecasts for fifteen years after the date of that census. Forecasts are based on the trend between the most recent decennial census and Census Bureau population estimates for the most current year. Census population estimates as of July 1, 2010 were used in the FY 2012 apportionments. Funds allocated to the States are then sub-allocated to urbanized and non-urbanized areas based on forecast population, where available. If forecasted population data at the urbanized level is not available, as is currently the case, funds are allocated to current urbanized and non-urbanized areas on the basis of current population in the 2000 Census. Funds allocated to urbanized areas are included in their Section 5307 apportionment. Funds allocated for non-urbanized areas are included in the states' Section 5311 apportionments. M. Job Access and Reverse Commute Program (49 U.S.C. 5316) The Job Access and Reverse Commute (JARC) program provides formula funding to States and Designated Recipients to support the development and maintenance of job access projects designed to transport welfare recipients and low-income individuals to and from jobs and activities related to their employment, and for reverse commute projects designed to transport residents of UZAs and other than urbanized areas to suburban employment opportunities. For more information about the JARC program contact Gil Williams, Office of Transit Programs, at (202) 366-0797. 1. Funding Availability in FY 2012 The Temporary Authorization, 2012 provides $82,250,000 in contract authority for the JARC Program for the period October 1, 2011 through March 31, 2012. The Appropriations Act, 2012 allows for a takedown of one percent of JARC program funds for oversight. After this takedown of one percent for oversight, and the addition of available FY 2011 contract authority and reapportioned funds, a total of 95,047,060 is thus far available for allocation to the States, as shown in the table below. Job Access and Reverse Commute Program Total Appropriation $82,250,000 FY 2011 Contract Authority 342,239 Oversight Deduction −822,500 Reapportioned Funds 13,277,321 Total Apportioned 95,047,060 Table 17 shows the FY 2012 JARC apportionments. 2. Basis for Formula Apportionment By law, FTA allocates 60 percent of funds available to UZAs with populations of 200,000 or more persons (large UZAs); 20 percent to the States for urbanized areas with populations ranging from 50,000 to 199,999 persons (small UZAs), and 20 percent to the States for rural and small urban areas with populations of less than 50,000 persons. FTA apportions funds based upon the number of low income individuals residing in a State or large urbanized area, using data from the 2000 Census for individuals with incomes below 150 percent of the poverty level. FTA publishes apportionments to each State for small UZAs and for rural and small urban areas and a single apportionment for each large UZA. The Designated Recipient, either for the State or for a large UZA, is responsible for further allocating the funds to specific projects and sub-recipients through a competitive selection process. If the Governor has designated more than one recipient of JARC funds in a large UZA, the Designated Recipients may agree to conduct a single competitive selection process or sub-allocate funds to each Designated Recipient, based upon a percentage split agreed upon locally, and conduct separate competitions. States may transfer funds between the small UZA and the nonurbanized apportionments, if all of the objectives of JARC are met in the size area the funds are taken from. States may also use funds apportioned to the small UZA and nonurbanized area apportionments for projects anywhere in the State (including large UZAs) if the State has established a statewide program for meeting the objectives of JARC. A State that is planning to transfer funds under either of these provisions should submit a request to the FTA regional office. FTA will assign new accounting codes to the funds before obligating them in a grant. 3. Requirements States and Designated Recipients must solicit grant applications and select projects competitively, based on application procedures and requirements established by the Designated Recipient, consistent with the Federal JARC program objectives. In the case of large UZAs, the area-wide solicitation shall be conducted in cooperation with the appropriate MPO(s). Funds are available to support the planning, capital, and operating costs of transportation services that are eligible for funding under the program. Assistance may be provided for a variety of transportation services and strategies directed at assisting welfare recipients and eligible low-income individuals to address unmet transportation needs, and to provide reverse commute services. The transportation services may be provided by public, non-profit, or private-for-profit operators. The Federal share is 80 percent of capital and planning expenses and 50 percent of operating expenses. Funds provided under other Federal programs (other than those of the DOT, with the exception of the Federal Lands Highway Program established by 23 U.S.C. 204) may be used for local/State match for funds provided under Section 5316, and revenue from service contracts may be used as local match. States and Designated Recipients may use up to ten percent of their annual apportionment for administration, planning, and to provide technical assistance. No local share is required for these program administrative funds. Funds used under this program for planning in urbanized areas must be shown in the UPWP for MPO(s) with responsibility for that area. The Designated Recipient must certify that: The projects selected were derived from a locally developed, coordinated public transit-human services transportation plan; and, the plan was developed through a process that included representatives of public, private, and nonprofit transportation and human services providers and participation by the public, including those representing the needs of welfare recipients and eligible low-income individuals. The locally developed, coordinated public transit-human services transportation planning process must be coordinated and consistent with the metropolitan and statewide planning processes and funding for the program must be included in the metropolitan and statewide Transportation Improvement Program (TIP and STIP) at a level of specificity or aggregation consistent with State and local policies and procedures. Finally, the State must certify that allocations of the grant to sub-recipients are made on a fair and equitable basis. The coordinated planning requirement is also a requirement in two additional programs. Projects selected for funding under the Elderly and Individuals with Disabilities Program (Section 5310) and the New Freedom program (Section 5317) also are required to be derived from a locally developed coordinated public transit-human service transportation plan. FTA anticipates that most areas will develop one consolidated plan for all the programs, which may include separate elements and other human service transportation programs. The goal of the coordinated planning process is not to be an exhaustive document, but to serve as a tool for planning and implementing beneficial projects. The level of effort required to develop the plan will vary among communities based on factors such as the availability of resources. FTA does not approve coordinated plans. The JARC program is subject to the relevant requirements of Section 5307, including the requirement for certification of labor protections. JARC program requirements are published in FTA Circular 9050.1, dated April 1, 2007. The circular and other guidance including frequently asked questions are posted on the FTA Web site at www.fta.dot.gov. 4. Period of Availability Section 5316 JARC funds are available for three years, which includes the year of apportionment, plus two. Fiscal Year 2012 JARC funds not obligated in an FTA grant for eligible purposes by September 30, 2014 will revert to FTA for reapportionment among the States and large UZAs under the JARC program. 5. Other Program or Apportionment Related Information and Highlights Transfers to Section 5307 or Section 5311: States may transfer JARC funds to Section 5307 or Section 5311, but only for projects competitively selected under the JARC program, not as a general supplement for those programs. FTA anticipates that the States would use this flexibility primarily for projects to be implemented by a Section 5307 recipient in a small urbanized area or for federally recognized Indian Tribes that elect to receive funds as a direct recipient from FTA under Section 5311. FTA has established a scope code (646) to track JARC projects included within a Section 5307 or 5311 grant. All activities within a Section 5307 or Section 5311 grant application that are funded with JARC resources should be listed under the 646-00 scope code. Transfer to Section 5307 or 5311 is permitted but not required. FTA also will award stand-alone JARC grants to the State for any and all sub-recipients. To track disbursements accurately against the appropriate program, FTA will not combine JARC funds with Section 5307 funds in a single Section 5307 grant, nor will FTA combine JARC with New Freedom funds in a single Section 5307 grant. N. New Freedom Program (49 U.S.C. 5317) SAFETEA-LU established the New Freedom Program under 49 U.S.C. 5317. The program purpose is to provide new public transportation services and public transportation alternatives beyond those currently required by the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq. ) that assist individuals with disabilities with transportation, including transportation to and from jobs and employment support services. For more information about the New Freedom program contact Gil Williams, Office of Transit Programs, at (202) 366-0797. 1. Funding Availability in FY 2012 The Temporary Authorization, 2012 provides $46,250,000 in contract authority for the New Freedom Program for the period October 1, 2011 through March 31, 2012. After the addition of available FY 2011 contract authority and reapportioned funds, a total of 54,405,514 is available for allocation to the States, as shown in the table below. New Freedom Program Total Appropriated $46,250,000 FY 2011 Contract Authority 192,445 Reapportioned Funds 7,963,069 Total Apportioned 54,405,514 Table 18 shows the FY 2012 New Freedom apportionments. 2. Basis for Formula Apportionment By law, FTA allocates 60 percent of funds available to UZAs with populations of 200,000 or more persons (large UZAs); 20 percent to the States for urbanized areas with populations ranging from 50,000 to 199,999 persons (small UZAs), and 20 percent to the States for rural and small urban areas with populations of less than 50,000 persons. FTA apportions funds based upon the number of persons with disabilities over the age of five residing in a State or large urbanized area, using data from the 2000 Census. FTA publishes apportionments to each State for small UZAs and for rural and small urban areas and a single apportionment for each large UZA. The Designated Recipient, either for the State or for a large UZA, is responsible for further allocating the funds to specific projects and sub-recipients through a competitive selection process. If the Governor has designated more than one recipient of New Freedom funds in a large UZA, the Designated Recipients may agree to conduct a single competitive selection process or sub-allocate funds to each Designated Recipient, based upon a percentage split agreed on locally and conduct separate competitions. 3. Requirements States and Designated Recipients must solicit grant applications and select projects competitively, based on application procedures and requirements established by the Designated Recipient, consistent with the Federal New Freedom program objectives. In the case of large UZAs, the area-wide solicitation shall be conducted in cooperation with the appropriate MPO(s). Funds are available to support the capital and operating costs of new public transportation services and public transportation alternatives that are beyond those required by the Americans with Disabilities Act (ADA). Funds provided under other Federal programs (other than those of the DOT, with the exception of the Federal Lands Highway Program established by 23 U.S.C. 204) may be used as match for capital funds provided under Section 5317, and revenue from contract services may be used as local match. Funding is available for transportation services provided by public, non-profit, or private-for-profit operators. Assistance may be provided for a variety of transportation services and strategies directed at assisting persons with disabilities to address unmet transportation needs. Eligible public transportation services and public transportation alternatives funded under the New Freedom program must be both new and beyond the ADA. In a notice of policy change published on April 29, 2009, ( Federal Register Volume 74 Number 81, April 29, 2009) FTA expanded the type of projects it considers to be “beyond the ADA” and thus increased the types of projects eligible for funding under the New Freedom program. Under interpretation published in the Federal Register, new and expanded fixed route and demand responsive transit service planned for and designed to meet the needs of individuals with disabilities are eligible projects. The Federal share is 80 percent of capital expenses and 50 percent of operating expenses. Funds provided under other Federal programs (other than those of the DOT) may be used for local/state match for funds provided under Section 5317, and revenue from service contracts may be used as local match. States and Designated Recipients may use up to ten percent of their annual apportionment to administer, plan, and provide technical assistance for a funded project. No local share is required for these program administrative funds. Funds used under this program for planning must be shown in the UPWP for MPO(s) with responsibility for that area. The Designated Recipient must certify that: the projects selected were derived from a locally developed, coordinated public transit-human services transportation plan; and, the plan was developed through a process that included representatives of public, private, and nonprofit transportation and human services providers and participation by the public, including those representing the needs of welfare recipients and eligible low-income individuals. The locally developed, coordinated public transit-human services transportation planning process must be coordinated and consistent with the metropolitan and statewide planning processes and funding for the program must be included in the metropolitan and statewide Transportation Improvement Program (TIP and STIP) at a level of specificity or aggregation consistent with State and local policies and procedures. Finally, the State must certify that allocations of the grant to sub-recipients are made on a fair and equitable basis. The coordinated planning requirement is also a requirement in two additional programs. Projects selected for funding under the Section 5310 program and the JARC program are also required to be derived from a locally developed coordinated public transit-human service transportation plan. FTA anticipates that most areas will develop one consolidated plan for all the programs, which may include separate elements and other human service transportation programs. The New Freedom program is subject to the relevant requirements of Section 5307, but certification of labor protections is not required. New Freedom Program requirements are published in FTA Circular 9045.1, which was effective May 1, 2007. The circular and other guidance including frequently asked questions are posted on the FTA Web site at www.fta.dot.gov. 4. Period of Availability Section 5317 New Freedom funds are available for three years, which includes the year of apportionment, plus two. Fiscal Year 2012 New Freedom funds not obligated in an FTA grant for eligible purposes by September 30, 2014 will revert to FTA for reapportionment among the States and large UZAs to be used for New Freedom program purposes. 5. Other Program or Apportionment Related Information and Highlights Transfers to Section 5307 or 5311: States may transfer New Freedom funds to Section 5307 or Section 5311, but only for projects competitively selected under the New Freedom program, not as a general supplement for those programs. FTA anticipates that the States would use this flexibility for projects to be implemented by a Section 5307 recipient in a small urbanized area or for federally recognized Indian Tribes that elect to receive funds as a direct recipient from FTA under Section 5311. FTA has established a scope code (647) to track New Freedom projects included within a Section 5307 or 5311 grant. All activities within a Section 5307 or Section 5311 grant application that are funded with New Freedom resources should be listed under the 647-00 scope code. Transfer to Section 5307 or 5311 is permitted but not required. FTA also will award stand-alone New Freedom Program grants to the State for any and all sub-recipients. In order to track disbursements accurately against the appropriate program, FTA will not combine New Freedom funds with Section 5307 funds in a single Section 5307 grant, nor will FTA combine New Freedom with JARC funds in a single Section 5307 grant. O. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320) The Paul S. Sarbanes Transit in Parks Program (Transit in Parks), formally the Alternative Transportation in Parks and Public Lands (ATPPL) Program, is administered by FTA in partnership with the Department of the Interior (DOI) and the U.S. Department of Agriculture's Forest Service. The purpose of the program is to enhance the protection of national parks and Federal lands, and increase the enjoyment of those visiting them. The Program funds capital and planning expenses for alternative transportation systems such as buses, trams, ferries and bicycle or pedestrian facilities in federally-managed parks and public lands. Federal land management agencies and State, tribal and local governments acting with the consent of a Federal land management agency are eligible to apply. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $13,450,000 in contract authority to the Paul S. Sarbanes Transit in Parks Program for the period October 1, 2011 through March 31, 2012. After the addition of available FY 2011 contract authority and the deduction for oversight, a total of $13,438,435 is available for grants, as shown in the table below. Up to ten percent of the funds may be reserved for planning, research, and technical assistance. Paul S. Sarbanes Transit in Parks Program Total Appropriated $13,450,000 FY 2011 Contract Authority 55,965 Oversight Deduction 67,530 Total Apportioned 13,438,435 As stated in the FY 2011 Notice of Funding Availability, FY 2012 funds may be used to fund project applications received in response to the 2011 program competition. An announcement of project selections using both FY 2011 and FY 2012 funds will be published in or around January 2012. Depending upon the availability of additional full-year funding, FTA may publish a separate notice of Funding Availability (NOFA) in the Federal Register inviting additional applications for funding in FY 2012. For information on the FY 2011 program competition and award announcements, please visit www.fta.dot.gov/transitinparks. 2. Program Requirements Projects are competitively selected based on criteria specified in the Notice of Funding Availability. The terms and conditions applicable to the program are also specified in the NOFA. Projects must conserve natural, historical, and cultural resources, reduce congestion and pollution, and improve visitor mobility and accessibility. By statute, no more than 25 percent of the amount provided may be allocated for any one project. Projects funded under the Transit in Parks Program are not required to have local match. 3. Period of Availability Funds awarded under the Transit in Parks Program remain available until expended. Consistent with section 9.5.2a of the “Department of Transportation Financial Management Policies Manual (October 24, 2006), funds awarded to Federal land management agencies through interagency agreements remain available for a period of five years from execution of the agreement. P. Alternatives Analysis Program (49 U.S.C. 5339) The Alternatives Analysis Program provides grants to States, authorities of the States, metropolitan planning organizations, and local government authorities to develop studies as part of the transportation planning process. These studies include: an assessment of a wide range of public transportation alternatives designed to address transportation needs in a defined corridor or subarea; an initiation of the environmental review process by performing the planning-level consideration of environmental issues; sufficient information to enable the Secretary to make the findings of project justification and local financial commitment required under the Major Capital Investment Program (New Starts and Small Starts); the selection of a locally preferred alternative; and the adoption of the locally preferred alternative as part of the Long Range Statewide Transportation Plan or Metropolitan Transportation Plan. For more information about this program contact Kenneth Cervenka, Office of Planning and Environment, at (202) 493-0512, or for information about published allocations contact Eric Hu, Office of Transit Programs, at (202) 366-0870. 1. FY 2012 Funding Availability The Temporary Authorization, 2012 provides $12,500,000 in contract authority to the Alternatives Analysis Program for the period October 1, 2011 through March 31, 2012. After the addition of available FY 2011 contract authority, a total of $12,552,012 is currently available for grants, as shown in the table below. Alternatives Analysis Program Total Appropriated $12,500,000 FY 2011 Contract Authority 52,012 Total Apportioned 12,552,012 2. Requirements The Government's share of the cost of an activity funded may not exceed 80 percent of the cost of the activity. The funds will be awarded as separate Section 5339 grants. The grant requirements will be comparable to those for Section 5309 grants. Eligible projects include planning and corridor studies, which lay the foundation for the adoption of locally preferred alternatives within the fiscally constrained Metropolitan Transportation Plan for that area, and early scoping of the environmental review process, which supports the incorporation of the planning studies' results into subsequent NEPA documents. Funds awarded under the Alternatives Analysis Program must be shown in the UPWP for MPO(s) with responsibility for that area. Pre-award authority for Section 5339 funds applies to projects only after FTA funding allocations for a particular fiscal year are published in an FTA notice of apportionments and allocations. For more information on pre-award authority see Section V of this notice. Unless otherwise specified in law, grants made under the Alternatives Analysis program must meet all other eligibility requirements as outlined in Section 5309. 3. Period of Availability Section 5338 Alternatives Analysis funds are available for three years, which includes the year the funds are allocated to a project through a notice of award or the year of appropriation, plus two. 4. Other Program or Apportionment Related Information and Highlights Table 19 lists prior year carryover of $15,031,000 for Alternatives Analysis projects allocated project funding in FY 2010. Funding for these projects not obligated in an FTA grant by September 30, 2012 may be made available for other Alternatives Analysis projects during the next fiscal year. For more information about the FY 2011 Alternatives Analysis award announcements, please visit www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28779.pdf. ( Federal Register Citation: 76 FR 68813—FY 2011 Discretionary Livability Funding Opportunity [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A2012-249. Public record. Not legal advice.