FTA Fiscal Year 2000 Apportionments, Allocations and Program Information

SUMMARY: The Department of Transportation (DOT) and Related Agencies

Appropriations Act for Fiscal Year 2000 (Pub. L. 106-69) was signed

into law by President Clinton on October 9, 1999, and provides fiscal

year 2000 appropriations for the Federal Transit Administration (FTA)

transit assistance programs. Based upon this Act, the Transportation

Equity Act for the 21st Century (TEA-21), and 49 U.S.C, Chapter 53,

this notice contains a comprehensive list of apportionments and

allocations of the various transit programs.

This notice includes the apportionment of fiscal year 2000 funds in

the 2000 DOT Appropriations Act for the: Metropolitan Planning Program

and State Planning and Research Program; Urbanized Area Formula

Program; Nonurbanized Area Formula Program; Rural Transit Assistance

Program; Elderly and Persons with Disabilities Program; and the Capital

Investment Program for Fixed Guideway Modernization. This notice also

contains the allocations of funds for the New Starts and Bus categories

under the Capital Investment Program and the Job Access and Reverse

Commute Program. It contains general information about other programs

established under TEA-21, including the Over-the-Road Bus Accessibility

Program and the Clean Fuels Formula Program.

Information regarding TEA-21 funding authorization levels for use

in developing Metropolitan Transportation Improvement Programs (TIPs)

and State Transportation Improvement Programs (STIPs) is included. For

informational purposes, the notice contains the apportionment of fiscal

year 2000 funds for the Federal Highway Administration (FHWA)

Metropolitan Planning Program and the estimated apportionment of the

fiscal year 2000 State Planning and Research Program.

A listing of prior year unobligated allocations for the Section

5309 New Starts and Bus Programs is included, as in previous years. In

addition, the FTA policy regarding pre-award authority to incur project

costs and the Letter of No Prejudice Policy are provided. The section

on pre-award authority has been revised in relation to New Starts

preliminary engineering and final design work. Other pertinent program

information is also included.

FOR FURTHER INFORMATION CONTACT: The appropriate FTA Regional

Administrator for grant-specific information and issues; Patricia

Levine, Director, Office of Resource Management and State Programs,

(202) 366-2053, for general information about the Urbanized Area

Formula Program, the Nonurbanized Area Formula Program, the Rural

Transit Assistance Program, the Elderly and Persons with Disabilities

Program, the Clean Fuels Formula Program, the Over-the-Road Bus

Accessibility Program, or the Capital Investment Program; or Robert

Stout, Director, Office of Planning Operations, (202) 366-6385, for

general information concerning the Metropolitan Planning Program and

the State Planning and Research Program; or Dr. Lewis P. Clopton,

Director, Office of Research Management, (202) 366-9157, for

information about the Job Access and Reverse Commute Program.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Background

II. Overview

A. Fiscal Year 2000 Appropriations

B. TEA-21 Authorized Program Levels

C. Project Management Oversight

III. Fiscal Year 2000 Focus

A. Y2K

B. Disadvantaged Business Enterprise (DBE) Regulation

C. Urbanized Area Formula Study

D. Intelligent Transportation Systems (ITS)

IV. Section 5303 Metropolitan Planning Program and Section 5313(b)

State Planning and Research Program

A. Metropolitan Planning Program

B. State Planning and Research Program

C. Data Used for Metropolitan Planning and State Planning and

Research Apportionments

D. FHWA Metropolitan Planning Program and State Planning and

Research Program

E. Local Match Waiver for Specified Planning Activities

F. Planning Emphasis Areas for Fiscal Year 2000

G. Federal Planning Certification Reviews

H. Consolidated Planning Grants

I. New Starts Approval to Enter Preliminary Engineering and

Final Design

V. Section 5307 Urbanized Area Formula Program

A. Total Urbanized Area Formula Apportionments

B. Data Used for Urbanized Area Formula Apportionments

C. Urbanized Area Formula Fiscal Year 2000 Apportionments to

Governors

D. Transit Enhancements

E. Fiscal Year 2000 Operating Assistance

F. Carryover Funds for Operating Assistance

G. Designated Transportation Management Areas

H. Urbanized Area Formula Funds Used for Highway Purposes

I. National Transit Database Internet Reporting

VI. Section 5311 Nonurbanized Area Formula Program and Section

5311(b) Rural Transit Assistance Program (RTAP)

A. Nonurbanized Area Formula Program

B. Rural Transit Assistance Program (RTAP)

VII. Section 5310 Elderly and Persons With Disabilities Program

VIII. Surface Transportation Program and Congestion Mitigation and

Air Quality Flexible Funds Used for Transit Purposes (Title 23,

U.S.C.)

A. Transfer Process

B. Matching Share for Flexible Funds

IX. Section 5309 Capital Investment Program

A. Fixed Guideway Modernization

B. New Starts

C. Bus

X. Job Access and Reverse Commute Program--Section 3037 of TEA-21

XI. Over-the-Road Bus Accessibility Program--Section 3038 of TEA-21

XII. Section 5308 Clean Fuels Formula Program

XIII. Unit Values of Data for Section 5307 Urbanized Area Formula

Program, Section 5311 Nonurbanized Area Formula Program, and Section

5309 Fixed Guideway Modernization Program

XIV. Period of Availability of Funds

XV. Automatic Pre-Award Authority to Incur Project Costs

A. Background

B. Conditions

C. Environmental, Planning, and Other Federal Requirements

D. Extension of Pre-award Authority to New Starts Projects

Approved for Preliminary Engineering and/or Final Design

XVI. Letter of no Prejudice Policy (Prior Approval of Pre-Award

Authority)

A. Policy

B. Conditions

C. Environmental, Planning, and Other Federal Requirements

D. Request for LONP

XVII. FTA Homepage on the Internet

XVIII. FTA Fiscal Year 2000 Annual List of Certifications and

Assurances

XIX. Grant Application Procedures

Tables

1. FTA FY 2000 Appropriations for Grant Programs

2. FTA FY 2000 Section 5303 Metropolitan Planning Program and

Section 5313(b) State Planning and Research Program Apportionments

3. FHWA FY 2000 Metropolitan Planning (PL) Program and Estimated

State Planning and Research (SP&R) Program Apportionments

4. FTA FY 2000 Section 5307 Urbanized Area Formula Apportionments

5. FTA FY 2000 Section 5311 Nonurbanized Area Formula

Apportionments, and Section 5311(b) Rural Transit Assistance Program

(RTAP) Allocations

[[Page 58213]]

6. FTA FY 2000 Section 5310 Elderly and Persons with Disabilities

Apportionments

7. FTA FY 2000 Section 5309 Fixed Guideway Modernization

Apportionments

8. FTA FY 2000 Section 5309 New Start Allocations

8A. FTA Prior Year Unobligated Section 5309 New Start Allocations

9. FTA FY 2000 Section 5309 Bus Allocations

9A. FTA Prior Year Unobligated Section 5309 Bus Allocations

10. FTA FY 2000 Job Access and Reverse Commute Program Allocations

11. FTA TEA-21 Authorization Levels (Guaranteed Funding Only)

11A. FTA TEA-21 Authorization Levels (Guaranteed and Non-Guaranteed

Funding)

12. FTA FY 2000 Apportionment Formula for Section 5307 Urbanized

Area Formula Program

13. FTA FY 2000 Apportionment Formula for Section 5309 Fixed

Guideway Modernization Program

14. FTA FY 2000 Formula Grant Apportionments Unit Values of Data

I. Background

Metropolitan Planning funds are apportioned by statutory formula to

the Governors for allocation to Metropolitan Planning Organizations

(MPOs) in urbanized areas or portions thereof. State Planning and

Research funds are apportioned to states by statutory formula.

Urbanized Area Formula Program funds are apportioned by statutory

formula to urbanized areas and to Governors to provide capital,

operating and planning assistance in urbanized areas. Nonurbanized Area

Formula Program funds are apportioned by statutory formula to Governors

for capital, operating and administrative assistance in nonurbanized

areas. The Elderly and Persons with Disabilities Program funds are

apportioned by statutory formula to Governors to provide capital

assistance to organizations providing transportation service for the

elderly and persons with disabilities. Fixed Guideway Modernization

funds are apportioned by statutory formula to specified urbanized areas

for capital improvements in rail and other fixed guideways. New Start

and Bus allocations identified in the DOT Appropriations Act are

included in this notice.

II. Overview

A. Fiscal Year 2000 Appropriations

The fiscal year 2000 appropriation for the FTA program is

$5,797,000,000, the guaranteed funding level under TEA-21. The

appropriation for the Metropolitan Planning Program is $49,632,000, and

the appropriation for the State Planning and Research Program is

$10,368,000. The appropriation for formula grants totals

$3,098,000,000. Under statutory authority, the distribution of the

total formula funds available is as follows: $4,849,950 is set aside

for the Alaska Railroad; $50,000,000 is for the Clean Fuels Formula

Program, which was transferred and merged with funding for the Capital

Bus Program; and $3,700,000 is for the Over-the-Road Bus Accessibility

Program. Of the remaining amount of $3,039,450,050, 91.23 percent

($2,772,890,281) is made available to the Urbanized Area Formula

Program, 6.37 percent ($193,612,968) is made available to the

Nonurbanized Area Formula Program, and 2.4 percent ($72,946,801) is

made available to the Elderly and Persons with Disabilities Program.

The other program appropriations contained in this notice are as

follows: $5,250,000 for the Rural Transit Assistance Program (RTAP);

and $2,501,000,000 for the Capital Investment Program. Of the Capital

Investment Program amount, $980,400,000 is for Fixed Guideway

Modernization, $980,400,000 is for New Starts, and $490,200,000 is for

Bus Capital. In addition, $50,000,000 of formula funds for Clean Fuels

was transferred and merged with the Bus Capital Program increasing that

program to $540,200,000. An amount of $75,000,000 is for the Job Access

and Reverse Commute Program.

Table 1 displays the amounts appropriated by program, including

adjustments and final apportioned and allocated amounts. The following

text provides a narrative explanation of the funding levels and other

factors affecting the apportionments and allocations.

B. TEA-21 Authorized Program Levels

TEA-21 provides a combination of trust and general fund

authorizations that total $6,810,000,000 for the fiscal year 2000 FTA

program. Of this amount, $5,797,000,000 is guaranteed under the

discretionary spending cap. See Table 11 for fiscal years 1998-2003

guaranteed fund levels by program and Table 11A for the total of

guaranteed and non-guaranteed levels by program.

Information regarding estimates of the funding levels for 1999-2003

by state and urbanized area is available on the FTA homepage at

[www.fta.dot.gov]. The numbers are for planning purposes only as they

will be revised in the future but may be used for programming

metropolitan transportation improvement programs and statewide

transportation improvement programs.

C. Project Management Oversight

Section 5327 of 49 U.S.C. allows the Secretary of Transportation to

use not more than one-half percent of the funds made available under

the Urbanized Area Formula Program and the Nonurbanized Area Formula

Program, and three-quarters percent of funds made available under the

Capital Investment Program to contract with any person to oversee the

construction of any major project under these statutory programs to

conduct safety, procurement, management and financial reviews and

audits, and to provide technical assistance to correct deficiencies

identified in compliance reviews and audits. Therefore, one-half

percent of the funds appropriated for the Urbanized Area Formula

Program, and the Nonurbanized Area Formula Program for fiscal year

2000, and three-quarters percent of Capital Investment Program funds

were reserved for these purposes before funds were apportioned.

III. Fiscal Year 2000 Focus

A. Y2K

FTA began working on the Year 2000 (Y2K) issue as early as 1996.

The goal of FTA's efforts is to ensure that transit services are not

interrupted by computer failures resulting from Y2K problems. In order

to accomplish this, FTA is providing Y2K information, guidance and

assistance to the transit community. A series of ``Dear Colleague

Letters'' was sent to FTA grantees, which provided guidance on Y2K and

a five-phased approach FTA Y2K Management Plan. The five phases were as

follows: (1) Assessment; (2) Renovation/Validation; (3) Certifications;

(4) Submission of Business Continuity and Contingency Plan (BCCP) or

outline of BCCP; and (5) Reporting test results of the BCCP.

In January 1999, FTA Grantees were required to complete the

Assessment Phase, and in March 1999, FTA Grantees were required to

complete the Renovation/Validation Phase. On June 30, 1999, the FTA

grantees were required to certify Y2K compliance or submit an outline

of the contingency plan for continuing operations of their systems

while repairing or replacing the calendar year 2000 non-compliant

elements. The 30 largest grantees were required to submit a copy of the

Business Continuity and Contingency Plan. Other transit operators were

asked to submit an outline of their BCCP. All grantees are also to

submit to FTA the results of their first two tests of the BCCP by

October 31, 1999.

As the changeover approaches, FTA will continue to work with

grantees to

[[Page 58214]]

ensure a smooth transition. FTA will monitor transit activity during

the Y2K changeover, with emphasis on the 30 largest operators. FTA will

also serve as a clearinghouse for information during the changeover.

B. Disadvantaged Business Enterprise (DBE) Regulation

The Department of Transportation's (DOT's) new regulation

implementing the disadvantaged business enterprise (DBE) program was

published February 2, 1999, in the Federal Register and was effective

March 4, 1999. The DBE program is intended to remedy past and current

discrimination against disadvantaged business enterprises, ensure a

``level playing field'' and foster equal opportunity in DOT-assisted

contracts, improve the flexibility and efficiency of the DBE program,

and reduce burdens on small businesses.

FTA grantees were required to submit revised DBE programs by

September 1, 1999. FTA has reviewed all programs received. A sample DBE

Program has been created for grantees along with DOT approved Q&As for

assistance to grant recipients required to submit programs. For more

information, contact Arthur Andrew Lopez, Director, Office of Civil

Rights, at (202) 366-4018, or Gloria Dixon at (816) 329-3920 or (816)

523-0204, or go to the Office of Small and Disadvantaged Business

Utilization website at: [http://osdbuweb.dot.gov/programs/dbe/dbe.htm].

C. Urbanized Area Formula Study

Section 3033 of TEA-21 requires FTA to conduct a study to assess

whether the formula for apportioning funds to urbanized areas (at 49

U.S.C. 5336) accurately reflects the transit needs of small urbanized

areas that provide an unusually high level of transit service for their

size. A Federal Register Notice on the commencement of the study was

published on July 9, 1999, and numerous comments were received.

In that notice, FTA sought suggestions on conducting the study and

comment on the following questions from interested parties: (1) Are

population and population density adequate factors for use in

apportioning funds to small urbanized areas; (2) Are there specific

reasons why other factors should not be applied to these small cities;

(3) Should service factors also be applied to small urbanized areas in

apportioning formula funds--in particular, should bus revenue vehicle

miles be applied to small urbanized areas as well; (4) Should bus

passenger miles and operating costs used in the incentive tier be

applied to small urbanized areas; (5) Would examining other aid sources

available to small urbanized areas be useful and informative; and (6)

What other mechanisms besides changing the formula might be practical

and useful in order to assist small transit-intensive cities?

The study is to be submitted to Congress by December 31, 1999. For

more information, contact Darren Timothy, FTA Office of Policy

Development, at (202) 366-0177.

D. Intelligent Transportation Systems (ITS)

Section 5206(e) of TEA-21 requires that Intelligent Transportation

Systems (ITS) projects using funds from the Highway Trust Fund

(including the Mass Transit Account) conform to the National ITS

Architecture and Standards. Interim guidance on conformity with

National ITS Performance Standards was issued October 2, 1998, jointly

by FTA and FHWA. This document provides guidance for meeting this

provision of TEA-21 and is available from FTA regional offices and on

the FTA website. These standards and requirements apply to fiscal year

2000 allocations included in this notice that contain ITS components.

Questions regarding the applicability of these standards and

requirements should be addressed to the FTA regional office or Ronald

Boenau, FTA Office of Research, Demonstration and Innovation, at (202)

366-0195.

IV. Section 5303 Metropolitan Planning Program and Section 5313(b)

State Planning and Research Program

A. Metropolitan Planning Program

The fiscal year 2000 Metropolitan Planning apportionment to states

for MPOs' use in urbanized areas totals $49,642,128. This amount

includes $49,632,000 in fiscal year 2000 appropriated funds, and

$10,128 in prior year deobligated funds available for reapportionment

under this program. A basic allocation of 80 percent of this amount

($39,713,702) is distributed to the states based on the state's

urbanized area population as defined by the U.S. Census Bureau for

subsequent state distribution to each urbanized area, or parts thereof,

within each state. A supplemental allocation of the remaining 20

percent ($9,928,426) is also provided to the states based on an FTA

administrative formula to address planning needs in the larger, more

complex urbanized areas. Table 2 contains the final state

apportionments for the combined basic and supplemental allocations.

Each state, in cooperation with the MPOs, must develop an allocation

formula for the combined apportionment, which distributes these funds

to MPOs representing urbanized areas, or parts thereof, within the

state. This formula, which must be approved by the FTA, must ensure to

the maximum extent practicable that no MPO is allocated less than the

amount it received by administrative formula under the Metropolitan

Planning Program in fiscal year 1991 (minimum MPO allocation). Each

state formula must include a provision for the minimum MPO allocation.

Where the state and MPOs desire to use a new formula not previously

approved by FTA, it must be submitted to the appropriate FTA Regional

Office for prior approval.

B. State Planning and Research Program

The fiscal year 2000 apportionment for the State Planning and

Research Program totals $10,374,946. This amount includes $10,368,000

in fiscal year 2000 appropriated funds, and $6,946 in prior year

deobligated funds, which have become available for reapportionment

under this program. Final state apportionments for this program are

also contained on Table 2. These funds may be used for a variety of

purposes such as planning, technical studies and assistance,

demonstrations, management training, and cooperative research. In

addition, a state may authorize a portion of these funds to be used to

supplement planning funds allocated by the state to its urbanized

areas, as the state deems appropriate.

C. Data Used for Metropolitan Planning and State Planning and Research

Apportionments

Population data from the 1990 Census is used in calculating these

apportionments. The Metropolitan Planning funding provided to urbanized

areas in each state by administrative formula in fiscal year 1991 was

used as a ``hold harmless'' base in calculating funding to each State.

D. FHWA Metropolitan Planning Program and State Planning and Research

Program

For informational purposes, the fiscal year 2000 apportionment for

the FHWA Metropolitan Planning Program (PL) and estimated apportionment

for fiscal year 2000 State Planning and Research Program (SP&R) are

contained in Table 3. These estimates do not include expected SP&R

funding increases from the Revenue Budget Aligned Authority authorized

in TEA-21, Section 1105.

[[Page 58215]]

E. Local Match Waiver for Specified Planning Activities

(1) Job Access Planning Activities. Federal, state and local

welfare reform initiatives may require the development of new and

innovative public and other transportation services to ensure that

former welfare recipients have adequate mobility for reaching

employment opportunities. In recognition of the key role that

transportation plays in ensuring the success of welfare-to-work

initiatives, FTA and FHWA permit the waiver of the local match

requirement for job access planning activities undertaken with

Metropolitan Planning Program and State Planning and Research Program

funds. FTA and FHWA will support requests for waivers when they are

included in metropolitan Unified Planning Work Programs and State

Planning and Research Programs and meet all other appropriate

requirements.

(2) Contributions to the Development of the Census Transportation

Planning Package (CTPP). In conjunction with the increased emphasis on

the use of Census data in the planning process, FTA will permit the

waiver of the local match requirement for activities intended to

contribute to the development of the CTPP. FHWA PL and SPR funds can be

used without match only to purchase the CTPP package through AASHTO.

F. Planning Emphasis Areas for Fiscal Year 2000

The FTA and FHWA cooperatively develop Planning Emphasis Areas

(PEAs) to promote priority themes for consideration, as appropriate, in

metropolitan and statewide transportation planning processes.

Identification as a PEA brings attention to the need for guidance and

training for FTA/FHWA, as well as attention to the allocation of

planning resources by participants in planning processes. Three

planning topics have been identified as PEAs due to their importance in

the coming year: Transportation equity/public involvement, the

Intelligent Transportation Systems National Architecture, and

preparations for the Year 2000 Census. By identifying these as PEAs FTA

and FHWA encourage planning organizations to consider expanding and

reporting on their work activities on these themes.

(1) Transportation Equity and Public Involvement

Increasingly, concerns for compliance with provisions of Title VI

of the Civil Rights Act have been raised by citizens and advocacy

groups with regard to broad patterns of transportation investment and

impact considered in metropolitan and statewide planning. While Title

VI and environmental justice concerns have most often been raised

during project development, it is important to recognize that the law

applies equally to the processes and products of metropolitan and

statewide planning. Public involvement is a major element of this

process.

FTA and FHWA are working jointly to develop guidance to support

metropolitan areas and states in their efforts to incorporate

considerations of transportation equity in their local planning

processes and substantiate compliance through demonstrated actions.

States and Metropolitan Planning Organizations in their planning

processes are generally advised to expand and document their efforts in

two categories of work activity:

(a) Expanding the focus of public involvement efforts, with special

attempts to include the traditionally under-served and under-

represented in the planning process;

(b) Assessing the distribution of benefits and adverse

environmental impacts at both the plan and project level.

Over the fiscal year, a range of possible procedural and analytical

approaches for complying with provisions of Title VI and the Executive

Order on Environmental Justice at the planning stage will be developed

and disseminated through guidance and regulation. To support that

effort, ``innovative practice'' case study development and training

opportunities will be enhanced, based in part on the reported

activities and experiences of metropolitan and statewide planning

processes in this area.

(2) Intelligent Transportation Systems (ITS) National Architecture

TEA-21 identifies system management and operation as a focal theme

and context for transportation investment nationwide. The Act further

identifies the need for integrated planning and application of ITS

strategies and the role of the ITS National Architecture as a resource

for achieving this functional integration. Section 5206(e) of TEA-21

requires all ITS projects funded through the Highway Trust Fund,

including the Mass Transit Account, to be consistent with the National

Architecture and Standards.

FTA and FHWA have prepared guidance for developing ITS projects and

programs in a coordinated way through metropolitan and statewide

planning processes, using the ITS National Architecture. This guidance

is being disseminated in a number of ways, including training,

technical assistance, and formal regulation. FTA and FHWA will work to

provide assistance to participants in planning processes to facilitate

attention and response to this requirement.

(3) Preparing for the Year 2000 Census

As with prior decennial censuses, the Year 2000 Census will be an

invaluable information resource for transportation planning at both the

metropolitan and statewide levels. The journey-to-work and other

socioeconomic data from it will provide a key baseline for a wide range

of planning activities, including regional transportation equity

analyses, job access planning, development and validation of travel

demand models, and more. The Year 2000 census will be especially

important because it will likely be the last to include a ``long form''

questionnaire to collect the types of detailed household, traveler, and

travel information most useful to transportation planning. In future

years, the Bureau of the Census will initiate a program to collect such

data during the next decade as part of a continuous monthly survey

called the American Community Survey. Data from the Year 2000 census

will be critical for states and MPOs to make the transition to American

Community Survey data.

To leverage use of this important information resource, planning

processes need to consider a wide range of ancillary work activities,

including:

Aligning census geography with transportation analysis

geography in their areas;

Conducting origin/destination and home interview travel

surveys; and

Expanding travel monitoring programs to develop

comprehensive area-wide and corridor inventories.

G. Federal Planning Certification Reviews

Federal certification of the planning process is conducted in a

Transportation Management Area (TMA), which is an urbanized area with a

population of 200,000 and above or other urbanized areas designated by

the Secretary of Transportation (the Secretary). The Secretary is

responsible for certifying, at least once every three years, that the

metropolitan transportation planning process in the TMA is being

carried out under applicable provisions of Federal law.

Dates for site visits for the TMAs to be reviewed in fiscal year

2000 are being established and will be available on the

[[Page 58216]]

FTA website at [http://www.fta.dot.gov/office/planning].

For further information regarding Federal certifications of the

planning process contact: For FTA: Mr. Charles Goodman, FTA

Metropolitan Planning Division, (202) 366-1944; or Scott Biehl, FTA

Office of Chief Counsel, (202) 366-4063. For FHWA: Mr. Sheldon Edner,

FHWA Metropolitan Planning Division, 202-366-4066; or Reid Alsop, FHWA

Office of the Chief Counsel, 202-366-1371.

H. Consolidated Planning Grant

In fiscal year 1997, FTA and FHWA began offering states the option

of participating in a pilot Consolidated Planning Grant (CPG) program.

FTA and FHWA have now made CPG a permanent pilot. As part of the

permanent pilot, additional participants are sought so that FTA and

FHWA can benefit from the widest possible range of participant input to

improve and further streamline the process.

Since the first CPG grant was awarded in April 1997, almost $159

million has been obligated by the pilot states. Of this total, more

than $125 million is from FHWA sources. All but one of the participants

have elected to amend the original CPG grant to add new fiscal year

funds to treat the CPG more like an FTA grant, but with even greater

flexibility. Under the multi-year approach option, the CPG grant would

stay open for a period of years to be determined by the state (and MPO,

jointly, for Metropolitan Planning funds) with the approval of the

Federal Government. New apportionments can be added by grant amendment

as funds become available. One state has elected to continue the pilot

with new, separate CPG grants for each year. This approach treats the

CPG much as FHWA funds are treated currently, that is, as basically

annual apportionments with a yearly close-out of project activities and

a deobligation and reobligation cycle. The obligation pattern so far is

somewhat of a hybrid of the two approaches with at least one state

starting out with annual grants and switching in later years to the

multi-year grant approach. Those with the multi-year grants can close

them at any time and begin the next year with either a new multi-year

grant or an annual grant. The ease with which a state can opt for the

single year or the multi-year approach to the CPG grant is just one

example of the flexibility intended for the pilot.

As part of a survey of experiences in the first two years of the

pilot, FTA and FHWA have made two pilot-wide changes in response to

recommendations from participants. States can now report metropolitan

planning expenditures (to comply with the Single Audit Act) for both

FTA and FHWA under the Catalogue of Federal Domestic Assistance (CFDA)

number for FTA's Metropolitan Planning Program. Additionally, for

states with an FHWA Metropolitan Planning fund matching ratio greater

than 80 percent, the state (through FTA) can request a waiver of the 20

percent local share requirement in order that all FTA funds used for

metropolitan planning in a CPG can be granted at the higher, FHWA rate.

For some states, this Federal match rate can exceed 90 percent.

As in previous years, pre-award authority is granted to both of

FTA's planning programs as part of this annual notice. This pre-award

authority enables states to continue planning program activities from

year to year with the assurance that eligible costs can later be

converted to a regularly funded Federal project without the need for

prior approval or authorization from the granting agency. As part of

the pilot, FTA will continue to work with participating states to

increase the flexibility and further streamline the consolidated

approach to planning grants. For further information on participating

in the CPG Pilot, contact Ms. Candace Noonan, Intermodal and Statewide

Planning Division, FTA, at (202) 366-1648 or Anthony Solury, Planning

and Environment Core Business Unit, FHWA, at (202) 366-5003.

I. New Starts Approval to Enter Preliminary Engineering and Final

Design

TEA-21 extends FTA's long-standing authority for approving the

advancement of candidate New Starts projects into preliminary

engineering (PE) by requiring that FTA also approve entrance into the

final design (FD) stage of project development. Specifically, 49 U.S.C.

5309(e)(6) requires that the basis for PE/FD approval is FTA's

evaluation of candidate project's New Start criteria, leading to an

overall project rating of ``Highly Recommended,'' ``Recommended,'' or

``Not Recommended.'' FTA has established a set of decision rules for

approving entrance into preliminary engineering and final design. After

first meeting several basic planning, environmental, and project

management requirements which demonstrate the ``readiness'' of the

project to advance into the next stage of project development,

candidate projects are subject to FTA evaluation against the New Starts

project justification and local financial commitment criteria. Projects

may advance to the next appropriate stage of project development (PE or

FD) only if rated ``Recommended'' or ``Highly Recommended,'' based on

the criteria. Projects rated ``Not Recommended'' will not be approved

to advance.

49 U.S.C. Section 5309(e)(8)(A) exempts projects which request a

Section 5309 New Starts share of less than $25 million from the

requirements of Section 5309(e). TEA-21 also provides statutory

exemptions to certain specific projects. It is important to note that

any exemption under 5309(e)(8)(A) applies only to the New Starts

criteria serving as the basis for FTA's approval to advance to

preliminary engineering and final design for such projects. New Starts

projects which request less than $25 million in New Starts funding must

still request entrance to the next stage of development, and must

fulfill all appropriate planning, environmental, and project management

requirements.

Aside from the formal evaluation and rating of (non-exempt) New

Starts projects, the general process for approving entrance into FD and

PE is largely consistent with FTA's prior procedures for approving

entrance into preliminary engineering. FTA is revising its guidance for

evaluating and approving local agency requests for advancing projects

in the New Starts project development process. These revised procedures

will be available in fiscal year 2000.

V. Section 5307 Urbanized Area Formula Program

A. Total Urbanized Area Formula Apportionments

In addition to the appropriated fiscal year 2000 Urbanized Area

Formula funds of $2,772,890,281, the apportionment also includes

$4,589,012 in deobligated funds which became available for

reapportionment for the Urbanized Area Formula Program as provided by

49 U.S.C. 5336(i).

Table 4 displays the amount apportioned for the Urbanized Area

Formula Program. After the one-half percent for oversight is set-aside

($13,864,451), the amount of appropriated funds available for

apportionment is $2,759,025,830. The funds to be reapportioned,

described in the previous paragraph, are then added and increase the

total amount apportioned for this program to $2,763,614,842.

An additional $4,849,950 is appropriated for the Alaska Railroad

for improvements to its passenger operations. After the one-half

percent for oversight is reserved ($24,250),

[[Page 58217]]

$4,825,700 is available for the Alaska Railroad.

Table 12 contains the fiscal year 2000 apportionment formula for

the Section 5307 Urbanized Area Formula Program.

B. Data Used for Urbanized Area Formula Apportionments

Data from the 1998 NTD (49 U.S.C. 5335) Report Year submitted in

late 1998 and early 1999 have been used to calculate the fiscal year

2000 Urbanized Area Formula apportionments for urbanized areas 200,000

in population and over. The population and population density figures

used in calculating the Urbanized Area Formula are from the 1990

Census.

C. Urbanized Area Formula Fiscal Year 2000 Apportionments to Governors

The total Urbanized Area Formula apportionment to the Governor for

use in areas under 200,000 in population for each state is shown in

Table 4. This table also contains the total apportionment amount

attributable to each of the urbanized areas within the state. The

Governor may determine the allocation of funds among the urbanized

areas under 200,000 in population with one exception. As further

discussed below in Section G, funds attributed to an urbanized area

under 200,000 in population, located within the planning boundaries of

a transportation management area, must be obligated in that area.

D. Transit Enhancements

For urbanized areas with populations 200,000 and over, TEA-21

established a minimum annual expenditure requirement of one percent for

transit projects and project elements that qualify as enhancements

under the Urbanized Area Formula Program. Table 4 indicates the amount

set aside for enhancements in these areas. The term ``transit

enhancement'' includes projects or project elements that are designed

to enhance mass transportation service or use and are physically or

functionally related to transit facilities.

(1) Eligible Enhancements. The following are transit projects and

project elements that may be counted to meet the minimum enhancement

expenditure requirement:

(a) Historic preservation, rehabilitation, and operation of

historic mass transportation buildings, structures, and facilities

(including historic bus and railroad facilities);

(b) Bus shelters;

(c) Landscaping and other scenic beautification, including tables,

benches, trash receptacles, and street lights;

(d) Public art;

(e) Pedestrian access and walkways;

(f) Bicycle access, including bicycle storage facilities and

installing equipment for transporting bicycles on mass transportation

vehicles;

(g) Transit connections to parks within the recipient's transit

service area;

(h) Signage; and

(i) Enhanced access for persons with disabilities to mass

transportation.

(2) Requirements. One percent of the Urbanized Area Formula Program

apportionment in each urbanized area with a population of 200,000 and

over must be made available only for transit enhancements. When there

are several grantees in an urbanized area, it is not required that each

grantee spend one percent of its Urbanized Area Formula Program funds

on transit enhancements. Rather, one percent of the urbanized area's

apportionment must be expended on projects and project elements that

qualify as enhancements. If these funds are not obligated for transit

enhancements within three years following the fiscal year in which the

funds are apportioned, the funds will lapse and no longer be available

to the urbanized area, and will be reapportioned under the Urbanized

Area Formula Program.

It will be the responsibility of the MPO to determine how the one

percent will be allotted to transit projects. The one percent minimum

requirement does not preclude more than one percent being expended in

an urbanized area for transit enhancements. Items that are only

eligible as enhancements--in particular, operating costs for historic

facilities--may be assisted only within the one percent fund level.

(3) Project Budget. The project budget for each grant application

that includes enhancement funds must include a scope code for transit

enhancements and specific budget activity line items for transit

enhancements.

(4) Bicycle Access. TEA-21 provides that projects providing bicycle

access to transit assisted with the FTA enhancement apportionment shall

be eligible for a 95 percent Federal share.

(5) Enhanced Access for Persons with Disabilities. Enhancement

projects or elements of projects designed to enhance access for persons

with disabilities must go beyond the requirements contained in the

Americans with Disabilities Act.

(6) Enhancement Report. The recipient must submit a report to the

appropriate FTA Regional Office listing the projects or elements of

projects carried out with those funds during the previous fiscal year

and the amount awarded. The report must be submitted in the Federal

fiscal year's final quarterly report, in the Transportation Electronic

Awards and Management System (TEAM). The report should include the

following elements: (a) grantee name, (b) urbanized area name and

number, (c) FTA project number, (d) transit enhancement category, (e)

brief description of enhancement and progress towards project

implementation, (f) activity line item code from the approved budget,

and (g) amount awarded by FTA for the enhancement.

E. Fiscal Year 2000 Operating Assistance

Fiscal year 2000 funding for operating assistance is available only

to urbanized areas with populations under 200,000. For these areas,

there is no limitation on the amount of the state apportionment that

may be used for operating assistance, and the Federal/local share ratio

is 50/50.

TEA-21 provided two exceptions to the prohibition on operating

assistance in areas over 200,000 in population. These areas were

identified and addressed in fiscal year 1999.

F. Carryover Funds for Operating Assistance

Carryover funds for fiscal years 1997-1998, which were eligible for

use as operating assistance are still available for operating

assistance. However, the operating assistance limitations remain on the

unused fiscal years 1997-1998 funds. These funds continue to be

available for obligation at the Federal/local share ratio of 50/50 in

fiscal year 2000 and throughout the period of availability. For unused

fiscal year 1998 funds for areas under 200,000, operating assistance as

a capital project with an 80 percent federal match ratio (without

limitation) will continue to be available throughout the period of

availability.

G. Designated Transportation Management Areas

All urbanized areas over 200,000 in population have been designated

as transportation management areas (TMAs), in accordance with 49 U.S.C.

Section 5305. These designations were formally made in a Federal

Register Notice dated May 18, 1992 (57 FR 21160), signed by the Federal

Highway Administrator and the Federal Transit Administrator. Additional

areas have been designated as TMAs upon the request of the Governor and

the MPO designated for such area or the affected local officials.

During fiscal year 1999, one addition to an existing TMA was formally

designated: Titusville, Florida,

[[Page 58218]]

is included within the boundaries of the Melbourne/Palm Bay, Florida

TMA.

Guidance for setting the boundaries of TMAs is contained in the

joint transportation planning regulations codified at 23 CFR part 450

and 49 CFR part 613. In some cases, the TMA boundaries, which have been

established by the MPO for the designated TMA, also include one or more

urbanized areas with less than 200,000 in population. Where this

situation exists, the discretion of the Governor to allocate Urbanized

Area Formula program ``Governor's Apportionment'' funds for urbanized

areas with less than 200,000 in population is restricted.

As required by 49 U.S.C. 5307(a)(2), a recipient(s) must be

designated to dispense the Urbanized Area Formula funds attributable to

TMAs. Those urbanized areas that do not already have a designated

recipient must name one and notify the appropriate FTA regional office

of the designation. This includes those urbanized areas with less than

200,000 in population that may receive TMA designation independently,

or those with less than 200,000 in population which are currently

included within the boundaries of a larger designated TMA. In both

cases, the Governor only has discretion to allocate Governor's

Apportionment funds attributable to areas which are outside of

designated TMA boundaries. In order for the FTA and Governors to know

which urbanized areas under 200,000 in population are included within

the boundaries of an existing TMA, and so that they can be identified

in future Federal Register notices, each MPO whose TMA planning

boundaries include these smaller urbanized areas is asked to identify

such areas to the FTA. This notification should be made in writing to

the Associate Administrator for Program Management, Federal Transit

Administration, 400 Seventh Street, SW, Washington, DC 20590, no later

than July 1 of each fiscal year. To date, FTA has been notified of the

following urbanized areas with less than 200,000 in population that are

included within the planning boundaries of designated TMAs:

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

Small urbanized area included in TMA

Designated TMA boundaries

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

Baltimore, Maryland.......... Annapolis, Maryland.

Dallas-Fort Worth, Texas..... Denton, Texas; Lewisville, Texas.

Houston, Texas............... Galveston, Texas; Texas City, Texas.

Orlando, Florida............. Kissimmee, Florida.

Melbourne-Palm Bay, Florida.. Titusville, Florida.

Philadelphia, Pennsylvania... Pottstown, Pennsylvania.

Pittsburgh, Pennsylvania..... Monessen, Pennsylvania; Steubenville-

Weirton, OH-WV-PA (PA portion).

Seattle, Washington.......... Bremerton, Washington.

Washington, DC-MD-VA......... Frederick, Maryland (MD portion).

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

H. Urbanized Area Formula Funds Used for Highway Purposes

Urbanized Area Formula funds apportioned to a TMA are also

available for highway projects if the following three conditions are

met: (1) such use must be approved by the MPO in writing after

appropriate notice and opportunity for comment and appeal are provided

to affected transit providers; (2) in the determination of the

Secretary, such funds are not needed for investments required by the

Americans with Disabilities Act of 1990 (ADA); and (3) the MPO

determines that local transit needs are being addressed.

Urbanized Area Formula funds that are designated for highway

projects will be transferred to and administered by the FHWA. The MPO

should notify FTA of its intent to program FTA funds for highway

purposes.

I. National Transit Database Internet Reporting

The National Transit Database (NTD) is FTA's national database for

statistics on the transit industry. Each year, FTA grantees use

diskettes to report on their operating and financial statistics to FTA.

These grantees receive formula funds based, in part, on the statistics

they submit. NTD data is summarized and used to report to Congress on

the performance of the transit industry and to assess whether FTA goals

have been met. In addition, a profile report is produced for each

transit authority that submits data. NTD profile report data is often

used in transit planning. These annual NTD summary reports and profile

reports have been available on FTA's website for several years.

During the fall of 1999, FTA will begin testing a new Internet

reporting system to replace diskette reporting. A number of agencies

have volunteered to test this new system of transit operator data input

via the Internet. Internet reporting should speed data collection and

validation. Internet reporting is scheduled to begin in the fall of

year 2000.

VI. Section 5311 Nonurbanized Area Formula Program and Section

5311(b)(2) Rural Transit Assistance Program (RTAP)

A. Nonurbanized Area Formula Program

The fiscal year 2000 Nonurbanized Area Formula apportionments to

the states total $192,717,384 and are displayed in Table 5. Of the

$193,612,968 appropriated, one-half percent ($968,065) was reserved for

oversight. In addition to the current appropriation, the funds

available for apportionment included $72,481 in deobligated funds from

fiscal years prior to 2000. The population figures used in calculating

these apportionments are from the 1990 Census.

The Nonurbanized Formula Program provides capital, operating and

administrative assistance for areas under 50,000 in population. Each

state must spend no less than 15 percent of its fiscal year 2000

Nonurbanized Area Formula apportionment for the development and support

of intercity bus transportation, unless the Governor certifies to the

Secretary that the intercity bus service needs of the state are being

adequately met. Fiscal year 2000 Nonurbanized Area Formula grant

applications must reflect this level of programming for intercity bus

or include a certification from the Governor.

B. Rural Transit Assistance Program (RTAP)

The fiscal year 2000 RTAP apportionments to the states total

$4,800,180 and are also displayed on Table 5. This amount includes

$4,725,000 in fiscal year 2000 appropriated funds, and $75,180 in prior

year deobligated funds, which are available for reapportionment.

Of the total $5,250,000 authorized and appropriated for RTAP in

fiscal year 2000, FTA set-aside 10 percent in order to fund RTAP

activities carried out at

[[Page 58219]]

the national level. Due to the limited amount of discretionary funds

available this year in the national planning and research program, FTA

elected to fund both state and national components from the RTAP

appropriation in order to ensure the continuity of national program

activities, such as the Transit Resource Center and production and

distribution of training materials that support the various states'

RTAP activities.

All states will notice a reduction in their apportionment compared

to fiscal year 1999 as a result of the 10 percent takedown. However,

the impact on the larger states is proportionately greater because the

formula includes a minimum allocation of $65,000 to each state. For

most states, however, the fiscal year 2000 allocation is greater than,

or only slightly less than, their apportionment in fiscal year 1998.

The funds are allocated to the states to undertake research,

training, technical assistance, and other support services to meet the

needs of transit operators in nonurbanized areas. These funds are to be

used in conjunction with the states' administration of the Nonurbanized

Area Formula Program.

VII. Section 5310 Elderly and Persons With Disabilities Program

A total of $72,986,415 is apportioned to the states for fiscal year

2000 for the Elderly and Persons with Disabilities Program. In addition

to the fiscal year 2000 appropriation of $72,946,801, the fiscal year

2000 apportionment also includes $39,614 in prior year unobligated

funds, which are available for reapportionment under the Elderly and

Persons with Disabilities Program. Table 6 shows each state's

apportionment.

The formula for apportioning these funds uses 1990 Census

population data for persons aged 65 and over and for persons with

disabilities.

The funds provide capital assistance for transportation for elderly

persons and persons with disabilities. Eligible capital expenses may

include, at the option of the recipient, the acquisition of

transportation services by a contract, lease, or other arrangement.

While the assistance is intended primarily for private non-profit

organizations, public bodies that coordinate services for the elderly

and persons with disabilities, or any public body that certifies to the

state that there are no non-profit organizations in the area that are

readily available to carry out the service, may receive these funds.

These funds may be transferred by the Governor to supplement the

Urbanized Area Formula or Nonurbanized Area Formula capital funds

during the last 90 days of the fiscal year.

VIII. Surface Transportation Program and Congestion Mitigation and

Air Quality Flexible Funds Used for Transit Purposes (Title 23,

U.S.C.)

A. Transfer Process

TEA-21 made changes in how funds are to be transferred from FHWA to

FTA. Section 1103(i) of TEA-21, as amended, provides that when funds

are transferred or ``flexed,'' obligation authority will be transferred

to the receiving agency. Under ISTEA obligation authority was not

transferred.

Effective October 1, 1999, new procedures were implemented to

accommodate this change for fiscal year 2000 and subsequent years. The

transfer process is described below.

Transfer from FHWA to FTA. Flexible funds designated for use in

transit projects must result from the metropolitan and state planning

and programming process, and must be included in an approved State

Transportation Improvement Program (STIP) before the funds can be

transferred. To initiate the process the grantee must submit a

completed application to the FTA regional office and notify the State

Highway Agency that it has submitted an application that requires a

transfer of funds. By letter, the State Highway Agencies (SHA) request

the transfer of highway funds for a transit project(s) through their

FHWA Division. The letter should specify the project, amount to be

transferred, apportionment year, State, federal aid apportionment

category (i.e. Surface Transportation Program (STP), Congestion

Mitigation and Air Quality (CMAQ), Interstate Substitute, or Other--

Earmarks), and a description of the project as contained in the STIP.

The FHWA Division Office confirms that the apportionment amount is

available for transfer and concurs in the transfer by letter to the

State Highway Agency and FTA. FHWA then transfers obligation authority

and an equal amount of cash to FTA. All CMAQ or STP, or Other funds

(FHWA earmarks) will be transferred to one of the three FTA formula

programs (i.e. Urbanized Area Formula (Section 5307), Nonurbanized Area

Formula (Section 5311) or Elderly and Persons with Disabilities

(Section 5310).

The FTA grantee application for the project must specify which

transit program (title 49 U.S.C. section) funds will be utilized and

the application should be prepared in conformance with the requirements

and procedures governing that section. Upon review and approval of the

grantee's application, FTA obligates funds for the project.

The flexible funds are treated as FTA formula funds, although they

retain a special identifying code. The funds may be used for any

purpose eligible under the FTA formula programs. CMAQ funds, however,

have to be used for air quality purposes and some eligible projects are

defined by the Clean Air Act. All FTA requirements are applicable to

transferred funds. Flexible funds should be combined with regular FTA

funds in a single annual grant application.

Transfers from FTA to FHWA. The Metropolitan Planning Organization

(MPO) submits a request to the FTA Regional Office for a transfer of

FTA Section 5307 formula funds (apportioned to an urbanized area

200,000 and over in population) to FHWA based on its approved use for

highway purposes, as contained in the State governor's approved multi-

year STIP document. The MPO must certify that: (1) the funds are not

needed for capital investments required by the Americans with

Disabilities Act; (2) notice and opportunity for comment and appeal has

been provided to affected transit providers; and (3) local funds used

for non-Federal match are eligible to provide assistance for either

highway or transit projects. The FTA Regional Administrator reviews and

concurs in the request then forwards the approval to FTA Headquarters,

where the grantee's formula apportionmment is reduced, in TEAM (FTA's

electronic grant making and management system), by the dollar amount

being transferred to FHWA.

For information regarding these procedures, please contact Kristen

D. Clarke, FTA Budget Division at (202) 366-2918 or Fred Gessler, FHWA

Finance Division at (202) 366-2847.

B. Matching Share for Flexible Funds

The provisions of Title 23, U.S.C. regarding the non-Federal share

apply to Title 23 funds used for transit projects. Thus, flexible funds

transferred to FTA retain the same matching share that the funds would

have if used for highway purposes and administered by the FHWA.

There are three instances in which a higher than 80 percent Federal

share would be maintained. First, in states with large areas of Indian

and certain public domain lands, and national forests, parks and

monuments, the local share for highway projects is determined by a

sliding scale rate, calculated based on the percentage of public lands

within that state. This sliding scale, which permits a greater

[[Page 58220]]

Federal share, but not to exceed 95 percent, is applicable to transit

projects funded with flexible funds in these public land states. FHWA

develops the sliding scale matching ratios for the increased Federal

share.

Secondly, commuter carpooling and vanpooling projects and transit

safety projects using flexible funds administered by FTA may retain the

same 100 percent Federal share that would be allowed for ride-sharing

or safety projects administered by the FHWA.

The third instance includes the 100 percent Federal safety

projects; however, these are subject to a nationwide 10 percent program

limitation.

IX. Section 5309 Capital Investment Program

A. Fixed Guideway Modernization

The formula for allocating the Fixed Guideway Modernization funds

contains seven tiers. The allocation of funding under the first four

tiers, through fiscal year 2003, will be based on data used to

apportion the funding in fiscal year 1997. Funding under the last three

tiers will be apportioned based on the latest available route miles and

revenue vehicle miles on segments at least seven years old as reported

to the National Transit Database.

Table 7 displays the fiscal year 2000 Fixed Guideway Modernization

apportionments. Fixed Guideway Modernization funds apportioned for this

section must be used for capital projects to maintain, modernize, or

improve fixed guideway systems.

All urbanized areas with fixed guideway systems that are at least

seven years old are eligible to receive Fixed Guideway Modernization

funds. A request for the start-up service dates for fixed guideways has

been incorporated into the National Transit Database reporting system

to ensure that all eligible fixed guideway data is included in the

calculation of the apportionments. A threshold level of more than one

mile of fixed guideway is required to receive Fixed Guideway

Modernization funds. Therefore, urbanized areas reporting one mile or

less of Fixed Guideway mileage under the National Transit Database are

not included.

For fiscal year 2000, $980,400,000 was appropriated for fixed

guideway modernization. After deducting the three-fourth percent for

oversight ($7,353,000), $973,047,000 is available for apportionment to

the specified urbanized areas.

Each year, the new fixed guideway modernization formula will

allocate funds by seven tiers. A listing of the tiers and the funds

available under each are delineated in Table 13. For tiers 5, 6, and 7,

allocations will be based on the latest available route miles and

revenue vehicle miles for fixed guideway segments at least seven years

old as reported to the National Transit Database.

B. New Starts

The fiscal year 2000 appropriation for New Starts is $980,400,000,

which was fully allocated in the fiscal year 2000 DOT Appropriations

Act. However, by statute, this amount is reduced by three-fourth

percent ($7,353,000) for oversight activities, leaving $973,047,000

available for allocations to projects. The oversight reduction was

applied on a pro-rata basis to all projects specified in the fiscal

year 2000 DOT Appropriations Act, yielding the final allocation for

each project as shown in Table 8 of this notice. Prior year unobligated

appropriations for New Starts in the amount of $542,823,668 remain

available for obligation in fiscal year 2000. These carryover amounts

are displayed in Table 8A.

C. Bus

The fiscal year 2000 appropriation for Bus is $490,200,000 for the

purchase of buses, bus-related equipment and paratransit vehicles, and

for the construction of bus-related facilities. TEA-21 established a

$100,000,000 Clean Fuels Formula Program under Section 5308. The

program is authorized to be funded with $50,000,000 from the Bus

category of the Capital Investment Program, and $50,000,000 from the

Formula Program. However, the fiscal year 2000 DOT Appropriations Act

directs FTA to transfer $50,000,000 appropriated under the Formula

Program to and merge it with funding provided for the Bus category of

the Capital Investment Program. Thus, $540,200,000 of funds

appropriated in fiscal year 2000 are available for funding the Bus

category of the Capital Program. After deducting the three-fourth

percent for oversight ($4,051,500) the amount of fiscal year 2000

appropriated funds available for allocation is $536,148,500. Prior year

unobligated funds directed by Congress to be reallocated in the amount

of $1,199,750 are then added and increase the total amount allocated to

$537,348,250 under the Bus category.

The 2000 DOT Appropriations Act allocated all of the fiscal year

2000 Bus funds to specified states or localities for bus and bus-

related projects.

Because the three-fourth percent for oversight was subtracted from

the amount appropriated in the DOT Appropriations Act and not the

reallocated funds, each bus project receives less than the funding

level contained in the DOT Appropriations Act. No funds remain

available for discretionary allocation by the Federal Transit

Administrator. Table 9 displays the allocations of the fiscal year 2000

Bus funds by area.

Prior year unobligated appropriations for Bus Program earmarks in

the amount of $472,955,785 remain available for obligation in fiscal

year 2000, and are displayed in Table 9A.

For Section 5309 projects funding battery electric, hybrid electric

or fuel cell vehicles, FTA intends to ask for additional information as

part of project quarterly progress reports. Grantees will be advised of

the specifics of this at a later date. See section XII, Clean Fuels

Formula Program, for a discussion of this proposal.

X. Job Access and Reverse Commute Program

The fiscal year 2000 appropriation for the Job Access and Reverse

Commute Program is $75,000,000. Of this amount $49,570,000 has been

allocated to projects specified in the fiscal year 2000 Conference

report. These allocations are listed in Table 10.

This program, established under TEA-21, provides funding for the

provision of transportation services designed to increase access to

jobs and employment-related activities. Job Access projects are those

which transport welfare recipients and low-income individuals in urban,

suburban, or rural areas to and from jobs and activities related to

their employment. Reverse Commute projects provide transportation

services for the general public from urban, suburban, and rural areas

to suburban employment opportunities. A total of $10 million from the

appropriation can be used for Reverse Commute Projects.

One of the goals of the Job Access and Reverse Commute program is

to increase collaboration among transportation providers, human service

agencies, employers, metropolitan planning organizations, states, and

affected communities and individuals. All projects funded under this

program must be derived from an area-wide Job Access and Reverse

Commute Transportation Plan, developed through a regional approach

which supports the implementation of a variety of transportation

services designed to connect welfare recipients to jobs and related

activities. A key element of the

[[Page 58221]]

program is making the most efficient use of existing public, nonprofit

and private transportation service providers.

In fiscal year 1999, FTA undertook a national solicitation of

applications for this program and established a competitive process to

review all applications. As a result of this process, FTA selected 179

different projects in agencies and organizations in 42 states for

funding.

A separate Federal Register Notice providing program guidance and

application procedures for fiscal year 2000 will be issued for the

program. The notice will be also available on the FTA website.

XI. Over-the-Road Bus Accessibility Program

The amount available for the Over-the-Road Bus Accessibility (OTRB)

Program in fiscal year 2000 is $3,710,000. In addition to $3,700,000

appropriated for fiscal year 2000, $10,000 remaining from the fiscal

year 1999 appropriation is available for award in fiscal year 2000. Of

the $3,710,000 available for the program, $2,010,000 is available to

providers of intercity fixed-route service, and $1,700,000 is available

to other providers of the over-the-road bus services, including local

fixed-route service, commuter service, and charter and tour service.

The Over-the-road Bus (OTRB) Accessibility program authorizes FTA

to make grants to operators of over-the-road buses to help finance the

incremental capital and training costs of complying with the DOT over-

the-road bus accessibility final rule, published in a Federal Register

Notice on September 24, 1998. FTA conducts a national solicitation of

applications and grantees are selected on a competitive basis.

In fiscal year 1999, the first year in which the program was

implemented, a total of $2 million was available to intercity fixed-

route providers. FTA selected 11 applicants from among the 20

applications submitted for funding incremental capital and training

costs.

A separate Federal Register Notice providing program guidance and

application procedures for fiscal year 2000 will be issued for this

program. The notice will be available on the FTA website.

XII. Clean Fuels Formula Program

TEA-21 established a $100,000,000 Clean Fuels Formula Grant Program

under Section 5308 to assist non-attainment and maintenance areas in

achieving or maintaining attainment status and to support markets for

emerging clean fuel technologies. Under the program, public transit

agencies in maintenance and non-attainment areas (as defined by the

EPA) were to apply for formula funds to acquire clean fuel vehicles, to

repower or retrofit engines for clean fuels operation, and to construct

or improve facilities to support clean fuel vehicles. The legislation

specified the program to be funded with $50,000,000 from the Bus

category of the Capital Investment Program, and $50,000,000 from the

Formula Program. The fiscal year 2000 DOT Appropriations Act transfers

$50,000,000 appropriated under the Formula Program to and merges it

with funding provided for the replacement, rehabilitation and purchase

of buses and related equipment and the construction of bus related

facilities under the Bus category of the Capital Investment Program. In

addition, in fiscal years 1999 and 2000 Congress allocated the entire

Bus category, including the $100,000,000, which TEA-21 provides for

funding of the Clean Fuels Formula Program. The appropriation actions

of Congress override the provisions established in TEA-21 for the Clean

Fuels Formula Program. Therefore, FTA cannot implement this new program

in fiscal year 2000. The fiscal year 2000 Bus Allocations on Table 9

include the funding which would have been available for the Clean Fuels

Formula Program under TEA-21.

While the Clean Fuels Formula Program was not funded by Congress in

fiscal year 2000, as in fiscal year 1999, FTA supports the objectives

of the program and is interested in collecting relevant information on

the operations and performance of clean fuel technology buses in

revenue service to help assess the reliability, benefits, and costs of

these technologies compared to conventional vehicle technologies, and

to provide more accurate information to transit agencies for future

clean fuel and advanced propulsion vehicle purchases. It was FTA's

intent to require grantees receiving Clean Fuels Formula funds for

projects to purchase or lease buses powered by advanced propulsion

technologies (e.g. battery electric, hybrid electric and fuel cell

powered vehicles) to provide information to FTA on the operations,

performance and maintenance of those vehicles. Since the Clean Fuels

Formula Program was not funded in fiscal year 2000, but rather funds

were allocated as part of the capital program for bus, FTA intends to

require grantees receiving capital funds to purchase or lease buses

powered by advanced propulsion technologies (battery electric, hybrid

electric, and fuel cell) to report to FTA information that will further

the state of the industry's knowledge about operation of these advanced

technologies. Grantees receiving funds to purchase or lease alternative

fuel technologies such as CNG or LNG may voluntarily provide similar

information. Grantees will be advised of the new reporting requirements

for the Section 5309 program for these specific bus technologies in the

near future.

XIII. Unit Values of Data for the Section 5307 Urbanized Area

Formula Program, Section 5311 Nonurbanized Area Formula Program,

and Section 5309 Capital Fixed Guideway Modernization

The dollar unit values of data derived from the computations of the

Urbanized Area Formula Program, the Nonurbanized Area Formula Program,

and the Capital Investment Program--Fixed Guideway Modernization

apportionments are displayed in Table 14 of this notice. To determine

how an apportionment amount was computed for an area, multiply its

population, population density, and data from the NTD by the unit

values.

XIV. Period of Availability of Funds

The funds apportioned under the Metropolitan Planning Program and

the State Planning and Research Program, the Urbanized Area Formula

Program, and the Fixed Guideway Modernization Program, in this notice,

will remain available to be obligated by FTA to recipients for three

fiscal years following fiscal year 2000. Any of these apportioned funds

unobligated at the close of business on September 30, 2003 will revert

to FTA for reapportionment under these respective programs.

Funds apportioned to nonurbanized areas under the Nonurbanized Area

Formula Program, including RTAP funds, will remain available for two

fiscal years following fiscal year 2000. Any such funds remaining

unobligated at the close of business on September 30, 2002, will revert

to FTA for reapportionment among the states under the Nonurbanized Area

Formula Program. Funds allocated to states under the Elderly and

Persons with Disabilities Program in this notice must be obligated by

September 30, 2000. Any such funds remaining unobligated as of this

date will revert to FTA for reapportionment among the states under the

Elderly and Persons with Disabilities Program. The fiscal year 2000 DOT

Appropriations Act includes a provision requiring that fiscal year 2000

New Starts and Bus funds not obligated for their original purpose as of

September 30, 2002, shall be made

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available for other discretionary projects within the respective

categories of the Capital Investment Program.

XV. Automatic Pre-Award Authority To Incur Project Costs

A. Policy

FTA provides blanket or automatic pre-award authority to cover

certain program areas described below. This pre-award authority allows

grantees to incur project costs prior to grant approval and retain

their eligibility for subsequent reimbursement after grant approval.

The grantee assumes all risk and is responsible for ensuring that all

conditions, which are described below, are met to retain eligibility.

This automatic pre-award spending authority permits a grantee to incur

costs on an eligible transit capital or planning project without

prejudice to possible future Federal participation in the cost of the

project or projects. Prior to exercising pre-award authority, grantees

must comply with the conditions and Federal requirements outlined in

paragraphs B and C immediately below. Failure to do so will render an

otherwise eligible project ineligible for FTA financial assistance. In

addition, grantees are strongly encouraged to consult with the

appropriate regional office if there could be any question regarding

the eligibility of the project for future FTA funds or the

applicability of the conditions and Federal requirements.

Authority to incur costs for fiscal year 1998 Fixed Guideway

Modernization, Metropolitan Planning, Urbanized Area Formula, Elderly

and Persons with Disabilities, Nonurbanized Area Formula, STP or CMAQ

flexible funds to be transferred from the FHWA and State Planning and

Research Programs in advance of possible future Federal participation

was provided in the December 5, 1997, Federal Register Notice. Pre-

award authority was extended in the June 24, 1998 Federal Register

Notice on TEA-21 to all formula funds and flexible funds that will be

apportioned during the authorization period of TEA-21, 1998-2003. Pre-

award authority also applies to Capital Investment Bus allocations

identified in this notice. Pre-award authority does not apply to

Capital New Start funds, or to Capital Investment Bus projects not

specified in this or previous notices, except as described in D. below.

Pre-award authority also applies to preventive maintenance costs

incurred within a local fiscal year ending during calendar year 1997,

or thereafter, under the formula programs cited above.

For Section 5309 Capital Investment Bus projects, the date that

costs may be incurred is the date that the appropriation bill in which

they are contained is enacted. For blanket pre-award authority in

formula programs described above, the effective date is June 9, 1998.

B. Conditions

Similar to the FTA Letter of No Prejudice (LONP) authority, the

conditions under which this authority may be utilized are specified

below:

(1) The pre-award authority is not a legal or moral commitment that

the project(s) will be approved for FTA assistance or that FTA will

obligate Federal funds. Furthermore, it is not a legal or moral

commitment that all items undertaken by the applicant will be eligible

for inclusion in the project(s).

(2) All FTA statutory, procedural, and contractual requirements

must be met.

(3) No action will be taken by the grantee that prejudices the

legal and administrative findings which the Federal Transit

Administrator must make in order to approve a project.

(4) Local funds expended by the grantee pursuant to and after the

date of the pre-award authority will be eligible for credit toward

local match or reimbursement if FTA later makes a grant for the

project(s) or project amendment(s).

(5) The Federal amount of any future FTA assistance awarded to the

grantee for the project will be determined on the basis of the overall

scope of activities and the prevailing statutory provisions with

respect to the Federal/local match ratio at the time the funds are

obligated.

(6) For funds to which the pre-award authority applies, the

authority expires with the lapsing of the fiscal year funds.

C. Environmental, Planning, and Other Federal Requirements

FTA emphasizes that all of the Federal grant requirements must be

met for the project to remain eligible for Federal funding. Some of

these requirements must be met before pre-award costs are incurred,

notably the requirements of the National Environmental Policy Act

(NEPA), and the planning requirements. Compliance with NEPA and other

environmental laws or executive orders (e.g., protection of parklands,

wetlands, historic properties) must be completed before state or local

funds are spent on implementing activities such as final design,

construction, and acquisition for a project that is expected to be

subsequently funded with FTA funds. Depending on which class the

project is included under in FTA environmental regulations (23 CFR part

771), the grantee may not advance the project beyond planning and

preliminary engineering before FTA has issued either a categorical

exclusion (refer to 23 CFR part 771.117(d)), a finding of no

significant impact, or a final environmental impact statement. The

conformity requirements of the Clean Air Act (40 CFR part 93) also must

be fully met before the project may be advanced with non-Federal funds.

Similarly, the requirement that a project be included in a locally

adopted metropolitan transportation improvement program and federally

approved statewide transportation improvement program must be followed

before the project may be advanced with non-Federal funds. In addition,

Federal procurement procedures, as well as the whole range of Federal

requirements, must be followed for projects in which Federal funding

will be sought in the future. Failure to follow any such requirements

could make the project ineligible for Federal funding. In short, this

increased administrative flexibility requires a grantee to make certain

that no Federal requirements are circumvented through the use of pre-

award authority. If a grantee has questions or concerns regarding the

environmental requirements, or any other Federal requirements that must

be met before incurring costs, it should contact the appropriate

regional office.

Before an applicant may incur costs either for activities expected

to be funded by New Start funds, or for Bus Capital projects not listed

in this notice or previous notices, it must first obtain a written LONP

from FTA. To obtain an LONP, a grantee must submit a written request

accompanied by adequate information and justification to the

appropriate FTA regional office.

D. Extension of Pre-Award Authority to New Start Projects Approved for

Preliminary Engineering and/or Final Design

New Starts Projects are required to follow a federally defined

planning process. This process includes, among other things, FTA

approval of entry of a project into preliminary engineering and

approval to enter final design. The grantee requests for entry into

preliminary engineering and the request for entry into final design

both document the project and how it meets the New Starts criteria in

detail. With FTA approval to enter preliminary engineering, and

subsequently approval to enter final design, FTA will automatically

extend pre-award authority to that phase of project development. The

pre-award authority

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to incur costs for final design is strictly limited to design work. No

capital items or right of way acquisition is included in this blanket

pre-award authority.

This is a new provision and is intended to streamline and eliminate

duplicative and unnecessary paperwork and reinforce the importance of

these new starts approval actions. New Starts construction or right-of-

way acquisition as well as New Starts planning funded with Section 5309

funds not covered by preliminary engineering or final design approval

still need to request letters of no prejudice as described below.

XVI. Letter of No Prejudice Policy (Prior Approval of Pre-Award

Authority)

A. Policy

Letter of No Prejudice (LONP) Policy authority allows an applicant

to incur costs on a future project utilizing non-Federal resources with

the understanding that the costs incurred subsequent to the issuance of

the LONP may be reimbursable as eligible expenses or eligible for

credit toward the local match should the FTA approve the project at a

later date. LONPs are applicable to projects not covered by automatic

pre-award authority. The majority of LONPs will be for Section 5309 New

Starts funds not covered under a full funding grant agreement or for

Section 5309 Bus funds not yet appropriated by Congress. At the end of

an authorization period, there may be LONPs for formula funds beyond

the life of the current authorization.

Under most circumstances the LONP will cover the total project.

Under certain circumstances the LONP may be issued for local match

only. In such cases the local match would be to permit real estate to

be used for match for the project at a later date.

B. Conditions

The following conditions apply to all LONPs.

(1) LONP pre-award authority is not a legal or moral commitment

that the project(s) will be approved for FTA assistance or that FTA

will obligate Federal funds. Furthermore, it is not a legal or moral

commitment that all items undertaken by the applicant will be eligible

for inclusion in the project(s).

(2) All FTA statutory, procedural, and contractual requirements

must be met.

(3) No action will be taken by the grantee that prejudices the

legal and administrative findings which the Federal Transit

Administrator must make in order to approve a project.

(4) Local funds expended by the grantee pursuant to and after the

date of the LONP will be eligible for credit toward local match or

reimbursement if FTA later makes a grant for the project(s) or project

amendment(s).

(5) The Federal amount of any future FTA assistance to the grantee

for the project will be determined on the basis of the overall scope of

activities and the prevailing statutory provisions with respect to the

Federal/local match ratio at the time the funds are obligated.

(6) For funds to which this pre-award authority applies, the

authority expires with the lapsing of the fiscal year funds.

C. Environmental, Planning, and Other Federal Requirements

As with automatic pre-award authority, FTA emphasizes that all of

the Federal grant requirements must be met for the project to remain

eligible for Federal funding. Some of these requirements must be met

before pre-award costs are incurred, notably the requirements of the

National Environmental Policy Act (NEPA), and the planning

requirements. Compliance with NEPA and other environmental laws or

executive orders (e.g., protection of parklands, wetlands, historic

properties) must be completed before state or local funds are spent on

implementation activities such as final design, construction, or

acquisition for a project expected to be subsequently funded with FTA

funds. Depending on which class the project is included under in FTA's

environmental regulations (23 CFR part 771), the grantee may not

advance the project beyond planning and preliminary engineering before

FTA has approved either a categorical exclusion (refer to 23 CFR part

771.117(d)), a finding of no significant impact, or a final

environmental impact statement. The conformity requirements of the

Clean Air Act (40 CFR part 93) also must be fully met before the

project may be advanced with non-Federal funds.

Similarly, the requirement that a project be included in a locally

adopted metropolitan transportation improvement program and federally

approved statewide transportation improvement program must be followed

before the project may be advanced with non-Federal funds. In addition,

Federal procurement procedures, as well as the whole range of Federal

requirements, must be followed for projects in which Federal funding

will be sought in the future. Failure to follow any such requirements

could make the project ineligible for Federal funding. In short, this

pre-award authority requires a grantee to make certain that no Federal

requirements are circumvented. If a grantee has questions or concerns

regarding the environmental requirements, or any other Federal

requirements that must be met before incurring costs, it should contact

the appropriate regional office.

D. Request for LONP

Before an applicant may incur costs for a project not covered by

automatic pre-award authority, it must first submit a written request

for an LONP to the appropriate regional office. This written request

must include a description of the project for which pre-award authority

is desired and a justification for the request.

XVII. FTA Home Page on the Internet

FTA provides extended customer service by making available transit

information on the FTA website, including this Apportionment Notice.

Also posted on the website are FTA program Circulars: C9030.1C,

Urbanized Area Formula Program: Grant Application Instructions, dated

October 1, 1998; C9040.1E, Nonurbanized Area Formula Program Guidance

and Grant Application Instructions, dated October 1, 1998; C9070.1E,

The Elderly and Persons with Disabilities Program Guidance and

Application Instructions, dated October 1, 1998; C9300.1A, Capital

Program: Grant Application Instructions, dated October 1, 1998;

4220.1D, Third Party Contracting Requirements, dated April 15, 1996;

C5010.1C, Grant Management Guidelines, dated October 1, 1998; and

C8100.1B, Program Guidance and Application Instructions for

Metropolitan Planning Program Grants, dated October 25, 1996. The

fiscal year 2000 Annual List of Certifications and Assurances is also

posted on the FTA website. Other documents on the FTA website of

particular interest to public transit providers and users include the

1998 Statistical Summaries of FTA Grant Assistance Programs, and the

National Transit Database Profiles.

The FTA Home Page may be accessed at: [http://www.fta.dot.gov]. FTA

circulars are listed at: [http://www.fta.dot.gov/fta/library/admin/

checklist/circulars.htm]. Other guidance of interest to Grantees can be

found at: [http://www.fta.dot.gov/grantees/index.html].

Grantees should check the FTA website frequently to keep up to date

on new postings.

XVIII. FTA Fiscal Year 2000 Annual List of Certifications and

Assurances

The Fiscal Year 2000 Annual List of Certifications and Assurances

is published in conjunction with the Apportionments, as per 49 U.S.C.

section 5307(k). It appears as a separate

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Part of the Federal Register on the same date whenever possible. The

fiscal year 2000 list contains several changes to the previous year's

Federal Register publication. As in previous years, the grant applicant

should certify electronically. Under certain circumstances the

Applicant may enter its PIN number in lieu of an electronic signature

provided by its Attorney, provided the Applicant has on file the

current Affirmation of its Attorney in writing dated this Federal

fiscal year. The applicant is advised to contact the appropriate FTA

Regional Office for electronic procedure information.

The fiscal year 2000 Annual List of Certifications and Assurances

is accessible on the Internet at: http://www.fta.dot.gov/. Any

questions regarding this document may be addressed to the appropriate

Regional Office.

XIX. Grant Application Procedures

All applications for FTA funds should be submitted to the

appropriate FTA Regional Office. FTA utilizes an electronic grant

application system known as TEAM and all applications should be filed

electronically. FTA has provided exceptions to the requirement for

electronic filing of applications for certain new, non-traditional

grantees in the Job Access and Reverse Commute and Over the Road Bus

programs as well as to a few grantees who have not successfully

connected to or accessed TEAM. Formula and Capital Investment grant

applications should be prepared in conformance with the following FTA

Circulars: Program Guidance and Application Instructions for

Metropolitan Planning Program Grants--C8100.1B, October 25, 1996;

Urbanized Area Formula Program: Grant Application Instructions--

C9030.1C, October 1, 1998; Nonurbanized Area Formula Program Guidance

and Grant Application Instructions--C9040.1E, October 1, 1998; Section

5310 Elderly and Persons with Disabilities Program Guidance and

Application Instructions C9070.1E, October 1, 1998; and Section 5309

Capital Program: Grant Application Instructions--C9300.1A, October 1,

1998. Guidance on preparation of applications for State Planning and

Research funds may be obtained from each FTA Regional Office. Copies of

circulars are available from FTA Regional Offices as well as the FTA

Home Page on the Internet.

Applications for STP or CMAQ ``flexible'' fund grants should be

prepared in the same manner as for funds under the program to which

they are being transferred. The application for flexible funds needs to

specifically indicate the type and amount of flexible funds being

transferred to FTA. The application should also describe which items

are being funded with flexible funds, consistent with the Statewide

Transportation Improvement Program (STIP).

Issued on: October 21, 1999.

Gordon J. Linton,

Administrator.

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[FR Doc. 99-27924 Filed 10-27-99; 8:45 am]

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