82_FR_6704 82 FR 6692 - FTA Fiscal Year 2017 Apportionments, Allocations, Program Information and Interim Guidance

82 FR 6692 - FTA Fiscal Year 2017 Apportionments, Allocations, Program Information and Interim Guidance

DEPARTMENT OF TRANSPORTATION
Federal Transit Administration

Federal Register Volume 82, Issue 12 (January 19, 2017)

Page Range6692-6716
FR Document2017-01194

This notice provides interim guidance for programs in FY 2017, announces the apportionments and allocations for programs authorized and funded by the Further Continuing and Security Assistance Appropriations Act, 2017 (Pub. L. 114-254) and provides contract authority, and describes future plans for several competitive programs. The notice also includes locations of FY 2017 apportionment tables and unobligated (or carryover) funds allocated under the competitive programs from prior years.

Federal Register, Volume 82 Issue 12 (Thursday, January 19, 2017)
[Federal Register Volume 82, Number 12 (Thursday, January 19, 2017)]
[Notices]
[Pages 6692-6716]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-01194]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


FTA Fiscal Year 2017 Apportionments, Allocations, Program 
Information and Interim Guidance

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice.

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SUMMARY: This notice provides interim guidance for programs in FY 2017, 
announces the apportionments and allocations for programs authorized 
and funded by the Further Continuing and Security Assistance 
Appropriations Act, 2017 (Pub. L. 114-254) and provides contract 
authority, and describes future plans for several competitive programs. 
The notice also includes locations of FY 2017 apportionment tables and 
unobligated (or carryover) funds allocated under the competitive 
programs from prior years.

FOR FURTHER INFORMATION CONTACT: For general information about this 
notice contact Kimberly Sledge, 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. FTA 
Regional Office contact information is available on FTA's Web site: 
www.transit.dot.gov.
    An FTA headquarters contact for each major program area is included 
in the discussion of that program in the text of this notice. FTA 
recommends that stakeholders subscribe on FTA's Web site 
www.transit.dot.gov to receive email notifications when new information 
is available.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Overview
II. FY 2017 Funding for FTA Programs
    A. Funding Based on the Further Continuing and Security 
Assistance Appropriations Act, 2017 (Pub. L. 114-254)
    B. Oversight Takedown
    C. FY 2017 Formula Apportionments: Data and Methodology
III. FY 2017 Program Highlights and Changes
    A. Focus Areas
IV. FY 2017 Program-Specific Information
    A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))
    B. State Planning and Research Program (49 U.S.C. 5304 and 
5305(e))
    C. Urbanized Area Formula Program (49 U.S.C. 5307)
    D. Fixed Guideway Capital Investment Grant Program (49 U.S.C. 
5309)
    E. Enhanced Mobility of Seniors and Individuals With 
Disabilities Program (49 U.S.C 5310)
    F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)
    G. Rural Transportation Assistance Program (49 U.S.C. 
5311(b)(3))
    H. Appalachian Development Public Transportation Assistance 
Program (49 U.S.C. 5311(c)(2))
    I. Formula Grants for Public Transportation on Indian 
Reservations Program (49 U.S.C. 5311(j))
    J. Public Transportation Innovation (49 U.S.C. 5312)
    K. Technical Assistance and Workforce Development (49 U.S.C. 
5314)
    L. Public Transportation Emergency Relief Program (49 U.S.C. 
5324)
    M. Public Transportation Safety Program (49 U.S.C. 5329)
    N. State of Good Repair Program (49 U.S.C. 5337)
    O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)
    P. Growing States and High Density States Formula Factors (49 
U.S.C. 5340)
    Q. Washington Metropolitan Area Transit Authority Grants
    R. Paul S. Sarbanes Transit in Parks Program (49 U.S.C. 5320)
V. FTA Policy and Procedures for FY 2017 Grants
    A. Automatic Pre-Award Authority To Incur Project Costs
    B. Letter of No Prejudice (LONP) Policy
    C. FY 2017 Annual List of Certifications and Assurances
    D. Civil Rights Requirements
    E. Consolidated Planning Grants
    F. Grant Application Procedures
    G. Grant Management

I. Overview

    This document contains important information and interim guidance 
about existing FTA program statutes (49 U.S.C. 5301, et. seq.) and 
changes resulting from the Fixing America's Surface Transportation 
(FAST) Act (Pub. L. 114-94), signed by President Obama on December 4, 
2015 and effective on October 1, 2015.
    In addition, this document provides notice of funding availability 
through April 28, 2017 by the Further Continuing and Security 
Assistance Appropriations Act, 2017 (Pub. L. 114-254) contract 
authority for FTA formula and competitive programs pursuant to the 
Further Continuing and Security Assistance Appropriations Act, 2017 
(Pub. L. 114-254) (``Continuing Appropriations Act'').
    For each FTA program, FTA has provided information on the FY 2017 
authorized funding levels, the basis for apportionment or allocation of 
funds, requirements specific to the program, the period of availability 
of funds, and other program information. A separate section provides 
information on pre-award authority as well as other requirements and 
guidance applicable to FTA programs and grant administration. Finally, 
the notice includes referred to tables on FTA's Web site that show 
$5,323,087,320 in new contract authority apportioned through April 28, 
2017 and approximately $1.04 billion in unobligated or carryover 
contract authority that is available in FY 2017 from prior years.
    Information in this document includes references to the existing 
FTA program guidance and circulars. Some information may have been 
superseded by new provisions in the FAST Act, but these guidance 
documents and circulars remain a resource for program management in 
most areas. FTA intends to revise the guidance and circulars, as 
appropriate, with an opportunity for public comment where necessary.

II. FY 2017 Funding for FTA Programs

A. Funding Based on the Further Continuing and Security Assistance 
Appropriations Act, 2017

    The Further Continuing and Security Assistance Appropriations Act, 
2017 (Pub. L. 114-254) makes new funding available for FY 2017 
available through April 28, 2017. At approximately seven twelfths of 
the FY 2016 level.
    Current funding availability for each program is identified in 
section IV of this notice and in Table 1 located on FTA's FY 2017 
Apportionment Web page: www.transit.dot.gov/funding/apportionments.

[[Page 6693]]

B. Oversight Takedown

    The FAST Act modified section 5338(f) to provide for the following 
oversight takedowns of FTA programs: 0.5 percent of Metropolitan and 
Statewide Planning funds, 0.75 percent of Urbanized Area Formula funds, 
1 percent of Fixed Guideway Capital Investment funds, 0.5 percent of 
Formula Grants for the Enhanced Mobility of Seniors and Individuals 
with Disabilities, 0.5 percent of Formula Grants for Rural Areas, 1 
percent of State of Good Repair Formula funds, 0.75 percent for Grants 
for Buses and Bus Facilities, and 1 percent of Capital and Preventive 
Maintenance Projects for Washington Metropolitan Area Transit Authority 
funds. The funds are used to provide necessary oversight activities, 
such as oversight of the construction of any major capital project 
receiving Federal transit assistance; 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 generally provide technical assistance and correct 
deficiencies identified in compliance reviews and audits.

C. FY 2017 Formula Apportionments: Data and Methodology

1. Apportionment Tables
    FTA is publishing apportionment tables on its Web site for each 
program that reflects the funding level in the continuing resolution 
appropriations less oversight take-downs, as applicable. Tables 
displaying the funds available to eligible states, tribes, and 
urbanized areas have been posted to http://www.transit.dot.gov/funding/apportionments. This Web site contains a page listing the apportionment 
and allocation tables for FY 2017 as well as links to prior year 
formula apportionment notices and tables and the National Transit 
Database (NTD) and Census data used to calculate the FY 2017 
apportionments.
2. National Transit Database and Census Data Used in the FY 2017 
Apportionments
    Consistent with past practices, the calculations for sections 5307, 
5311, including 5311(j) (Tribal Transit), 5329, 5337, and 5339 programs 
rely on the most-recent transit service data reported to the (NTD), 
which for FY 2017 is the 2015 report year. In some cases where an 
apportionment is based on the age of the system, the age is calculated 
as of September 30, 2016, the last day before FY 2017 began. Any 
recipient or beneficiary of either section 5307 or Rural Areas Formula 
Program program funds is required to report to the NTD. Additionally, a 
number of transit operators report to the FTA's NTD on a voluntary 
basis. For the 2015 report year, the NTD includes data from 866 
reporters in urbanized areas, 836 of which reported operating transit 
service. The NTD also includes data from 1,551 providers of rural 
transit service, which includes 134 Indian Tribes providing transit 
service.
    The 2010 Census data is used to determine population and population 
density for sections 5303, 5305, 5307 and 5339 as well as rural 
population and rural land area for Rural Areas Formula Program. The 
formulas for sections 5307, 5311, and 5311(j) include tiers where 
funding is allocated on the basis of the number of persons living in 
poverty, and the section 5310 formula program allocates funding on the 
basis of the population of older adults and people with disabilities. 
The Census Bureau no longer publishes decennial census data on persons 
living in poverty and persons with disabilities. As a result, since FY 
2013, FTA used the data for these populations available via the Census' 
American Community Survey (ACS). The NTD and census data that FTA used 
to calculate the apportionments associated with this notice can be 
found on FTA's Web site: www.transit.dot.gov/funding/apportionments.
    The FY 2017 apportionments use data on low-income persons, persons 
with disabilities, and older adults from the 2010-2014 ACS five-year 
data set, which was published in December 2015. This data represent the 
most recent five-year ACS estimates that are available as of October 
1st for the year being apportioned. As was the case in prior years, 
data on low-income persons comes from ACS Table B17024, ``Age by Ratio 
of Income to Poverty in the Last Twelve Months,'' and data on people 
with disabilities under 65 years old comes from ACS Table S1810, 
``Disability Characteristics.'' Data on older adults (over 65 years 
old) comes from ACS Table B01001, ``Sex by Age.''

III. FY 2017 Program Highlights and Changes

A. Focus Areas

1. Tribal Transportation Self-Governance Program (Title 23 Federal-Aid 
Highways Program)
    Section 207 of title 23, United States Code establishes a Tribal 
Transportation Self-Governance Program (Self Governance Program). The 
Self-Governance Program establishes specific criteria for determining 
eligibility for a tribe to participate in the program. DOT will 
implement this program in consultation with tribal representatives and 
other interested stakeholders. A Negotiated Proposed Rulemaking to 
implement this program is under development.
2. Public Transportation Innovation
    FTA's research mission is to advance public transportation 
innovation by leading multi-dimensional research, development, 
demonstration, deployment, and technical assistance projects for the 
transit industry that improves riders' experiences and enhances public 
transit's effectiveness, efficiency, quality, and safety. FTA's Office 
of Research, Demonstration, and Innovation sought industry input on a 
five year research strategic plan. The result was an affirmation of 
FTA's research strategic goals to improve safety, enhance mobility, 
promote asset management, and expand asset innovation. These goals 
directly address and support the six primary purposes of U.S. DOT's 
transportation research and development program as defined in Section 
6503 of the FAST Act as follows:
     Improving mobility of people and goods;
     Reducing congestion;
     Promoting safety;
     Improving the durability and extending the life of 
transportation infrastructure;
     Preserving the environment; and
     Preserving the existing transportation system.
    Going forward, FTA will continue to prioritize research investments 
based upon these goals. FTA expects to publish its Research Strategic 
Plan in FY 2017.
3. Shared Mobility
    Shared Mobility continues to remain a key focus area within FTA's 
Public Transportation Innovation program. The definition of personal 
mobility is changing due to social and cultural trends combined with 
the powerful tools in handheld smartphones and related transportation 
technology innovations. New mobility concepts and solutions like bike-
sharing, car-sharing, car-hailing, and innovative demand-response bus 
services are now possible and more convenient because of these 
developments. This gives travelers new, flexible and personally 
tailored transportation options. Many of these services are emerging in 
proximity to high-capacity transit corridors with land uses and 
activities that create the market

[[Page 6694]]

for new services. Supported by smart policies, the interaction between 
public transportation and these emerging services can create improved 
travel choices.
    To support personal mobility innovation, (FTA) recently allocated 
$8 million for 11 projects through the innovative Mobility on Demand 
(MOD) Sandbox Demonstration program using FTA research funds (Public 
Transportation Innovation/Public Transportation Innovation). The 
projects carried out by transit agencies will test new ideas in 
personal mobility and integrated multimodal transportation networks. 
From that MOD program solicitation process, and from dialogue with 
other stakeholders, FTA has identified questions about funding 
eligibility under Federal public transportation law for FTA grant 
programs, like the Urbanized Area and Rural formula programs, as well 
as compliance with federal requirements, such as the Americans with 
Disabilities Act (ADA), related to mobility on demand generally and, 
particularly, to electronic hailing of vehicles such as taxis or other 
transportation network company (TNC) vehicles.
    FTA has prepared answers to Frequently Asked Questions (FAQs) to 
address the eligibility and Federal requirement questions. This 
information is posted on the FTA Web site at https://www.transit.dot.gov/shared-mobility. FTA will use information from the 
MOD Sandbox projects and related efforts, such as the recently launched 
online dialogue, to continue the discussion with agency stakeholders 
and to address questions regarding innovative practices and shared-
ride, on-demand mobility services as they emerge. FTA encourages your 
participation in this online discussion. Stakeholders can also send 
comments and questions to [email protected].
4. Bus Testing Facility (49 U.S.C. 5318)
    On August 1, 2016, FTA issued its final rule to implement minimum 
performance standards, a scoring system, and a pass/fail threshold for 
new model transit buses procured with FTA financial assistance 
authorized under 49 U.S.C. Chapter 53. Consistent with 49 U.S.C. 
5318(e), FTA recipients are prohibited from using FTA financial 
assistance to procure new bus models, that were not previously tested, 
that have not met the minimum performance standards established by this 
rule. The standards and scoring system address the following 
categories: Structural integrity, safety, maintainability, reliability, 
fuel economy, emissions, noise, and performance. Buses must meet a 
minimum performance standard in each of these categories in order to 
receive an overall passing score and be eligible for purchase using FTA 
financial assistance. Buses can achieve higher scores with higher 
performance in each category, and the final rule establishes a 
numerical scoring system based on a 100-point scale so that buyers can 
more effectively compare vehicles.
    The final rule was effective on October 31, 2016. FTA's Web site 
has additional information, resources, and a link to sign up for email 
notices about the Bus Testing Program at: www.transit.dot.gov/research-innovation/bus-testing.
5. FY 2017 Competitive Programs Funding and Schedule
    FTA will issue Notices of Funding Opportunities (NOFO) in FY 2017 
for the programs listed in the following chart. Additional information 
about each competitive program is in section III of this notice.

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                                                                  2017 Authorized
     FY 2017 competitive programs          Statute 49 U.S.C.       funding level    Timeline for notification of
                                                                   (in millions)               awards
----------------------------------------------------------------------------------------------------------------
Passenger Ferry Grant Program........  5307....................             $30.0  Summer 2017.
Rides to Wellness Demonstration and    FAST Section 3006(b)....               3.0  Summer 2017.
 Innovative Coordinated Access and
 Mobility Grants.
Tribal Transit.......................  5311(c)(1)(A)...........               5.0  Spring 2017.
Grants for Buses and Bus Facilities    5339....................             228.0  Summer 2017.
 Competitive Program.
Low or No Emission Grants Competitive  5339....................              55.0  Spring 2017.
 Program.
Pilot Program to D Planning..........  MAP-21 Section 2005(b)..              10.0  Fall 2017.
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IV. FY 2017 Program-Specific Information

A. Metropolitan Planning Program (49 U.S.C. 5303 and 5305(d))

    Section 5305(d) authorizes Federal funding to support a 
cooperative, continuous, and comprehensive planning program for 
transportation investment decision-making at the metropolitan area 
level. The specific requirements of metropolitan transportation 
planning are set forth in 49 U.S.C. 5303 and further explained in 23 
CFR part 450, as incorporated by reference in 49 CFR part 613, Planning 
Assistance and Standards. State Departments of Transportation (DOTs) 
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.
    The MPO process must establish a performance-based approach in 
which the MPO will develop specific performance targets that address 
transportation system performance measures (to be issued by U.S. DOT), 
where applicable, to use in tracking progress towards attaining 
critical outcomes. These performance targets will be established by 
MPOs in coordination with States and transit providers. MPOs will 
provide a system performance report that evaluates the progress of the 
MPO in meeting the performance targets in comparison with the system 
performance identified in prior reports. 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, economic feasibility, 
performance-based planning; 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

[[Page 6695]]

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 information or questions on the Metropolitan Planning 
program, please contact Victor Austin at (202) 366-2996 or 
[email protected].
1. Authorized Amounts
    Federal transit law authorizes $110,347,597 in FY 2017 to provide 
financial assistance for metropolitan planning needs under section 
5305. Under the Further Continuing Appropriations Act, $62,042,888 is 
available through April 28, 2017.
2. FY 2017 Funding Availability
    In FY 2017, $62,042,888 is available for the period October 1, 2016 
through April 28, 2017 to the Metropolitan Planning Program (section 
5305(d)) to support metropolitan transportation planning activities set 
forth in section 5303. The total amount apportioned for the 
Metropolitan Planning Program to States for use by MPOs in urbanized 
areas (UZAs) is $61,732,673 as shown in the table below, after the 
deduction for oversight (authorized by section 5338).

                 Metropolitan Planning Program--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation available through April 28, 2017....     $62,042,888
Oversight Deductions....................................       (310,214)
                                                         ---------------
  Total Apportioned.....................................      61,732,673
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    Of the amounts authorized in section 5305, 82.72 percent is made 
available to the Metropolitan Planning Program. Eighty percent of the 
funds are apportioned on a statutory basis 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 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.
4. 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 its 
MPOs, an allocation formula among MPOs within the State, based on the 
2010 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.
5. Period of Availability
    The Metropolitan Planning program funds apportioned in this notice 
are available for obligation during FY 2017 plus three additional 
fiscal years. Accordingly, funds apportioned in FY 2017 must be 
obligated in grants by September 30, 2020. Any FY 2017 apportioned 
funds that remain unobligated at the close of business on September 30, 
2020, will revert to FTA for reapportionment under the Metropolitan 
Planning Program.
6. Other Program Information
    The planning programs provide funding and procedural requirements 
to metropolitan areas and States for multimodal transportation planning 
that is cooperative, continuous, and comprehensive, resulting in long-
range plans and short-range programs of projects that reflect 
transportation investment priorities. The planning programs are jointly 
administered by FTA and the Federal Highway Administration (FHWA), 
which provides additional funding. The FAST Act sections 5303 and 5304 
as noted below:
     New emphasis is placed on intercity transportation, 
including intercity buses and intermodal facilities that support 
intercity transportation, and commuter vanpool providers.
     The selection and role of the transit 
representation on MPO policy boards in large urbanized areas is 
clarified. MPOs in urbanized areas designated as transportation 
management areas must include officials of agencies that administer or 
operate major modes of transportation, as well as representatives of 
public transit operators, on MPO policy boards. The representative of 
public transit shall be selected according to the bylaws or enabling 
legislation of the MPO, and the representative of public transit may 
also serve as a representative of a local municipality on the MPO 
board. For additional information please reference the Final Rule on 
Statewide and Nonmetropolitan Transportation Planning and Metropolitan 
Transportation Planning (81 FR, 3404, May 27, 2016).
     The scope of the planning process adds two new planning 
factors, in addition to the eight pre-existing factors established 
under prior law. The two new factors are: (1) Improve the resiliency 
and reliability of the transportation system, and reduce the 
vulnerability of the existing transportation infrastructure to natural 
disasters, and (2) enhance travel and tourism.
     MPOs and State DOTs should provide public ports, intercity 
bus operators and employer-based commuting programs with a reasonable 
opportunity to comment on transportation plans.
     Plans must place greater emphasis on the congestion 
management process. MPOs that serve transportation management areas 
must develop a congestion management plan with input from employers, 
private and public transit providers, transportation management 
associations, and organizations that provide low-income individuals 
transportation access to jobs and job related services.
     The long-range statewide transportation plan and 
metropolitan transportation plan must include a description of the 
performance measures and performance targets. State DOTs and MPOs are 
also required to provide a system performance report evaluating the 
condition and performance of the transportation system.
    In the Final Rule on Statewide and Nonmetropolitan Transportation 
Planning and Metropolitan Transportation Planning, FHWA and FTA make 
the statewide, metropolitan, and nonmetropolitan transportation 
planning regulations consistent with current statutory requirements. 
The final rule establishes the following: (1) A new mandate for States 
and MPOs to take a performance-based approach to planning and 
programming; (2) a new emphasis on the nonmetropolitan transportation 
planning process, by requiring States to have a higher level of 
involvement with nonmetropolitan local officials and providing a 
process for the creation of RTPOs; (3) implementation of the afore 
mentioned statutory requirement for a structural change to the 
membership of the larger MPOs; (4) a new framework for voluntary 
scenario

[[Page 6696]]

planning; (5) a new authority for the integration of the planning and 
environmental review processes; and (6) a process for programmatic 
mitigation plans.
    Among the most significant charges is the new mandate for a 
performance-based planning process: MPOs and State DOTs must establish 
performance targets that address forthcoming U.S. DOT-issued national 
performance measures that are based on the goals outlined in the 
legislation-safety, infrastructure condition, congestion reduction, 
system reliability, economic vitality, environmental sustainability, 
reduced project delivery delays, transit safety, and transit asset 
management. MPOs also must coordinate their performance targets, to the 
maximum extent practicable, with performance targets set by FTA 
grantees under the new performance measure requirements for safety and 
state of good repair. Transportation Improvement Programs (TIPs) must 
include a description of the anticipated progress toward achieving the 
performance targets resulting from implementation of the TIP. By 
October 1, 2017, DOT will provide Congress with a report evaluating the 
effectiveness of performance-based planning and assessing the technical 
capacity of MPOs in smaller areas to undertake performance-based 
planning. After May 27, 2018, a State's and MPO's long-range plans, 
STIPs, and TIPs must reflect performance targets and plans according to 
the provisions of the final rule.

B. State Planning and Research Program (49 U.S.C. 5304 and 5305(e))

    This program provides financial assistance to States for statewide 
transportation planning and other technical assistance activities, 
including supplementing the technical assistance program provided 
through the Metropolitan Planning program. The specific requirements of 
Statewide transportation planning are set forth in 49 U.S.C. 5304 and 
further explained in 23 CFR part 450 as referenced in 49 CFR part 613, 
Planning Assistance and Standards. State DOTs are required to reference 
performance measures and performance targets within the Statewide 
Planning process. This funding must support work 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 or questions on the State Planning and 
Research program, please contact Victor Austin at (202) 366-2996 or 
[email protected].
1. Authorized Amounts
    Federal transit law authorizes $23,051,336 in FY 2017, to provide 
financial assistance for statewide planning and other technical 
assistance activities under section 5305. Under the Continuing 
Appropriations Act of 2017, $12,960,603 is available through April 28, 
2017. As specified in law, this represents the 17.28 percent of the 
amounts available for section 5305 that are allocated to the Statewide 
Planning and Research program.
2. FY 2017 Funding Availability
    In FY 2017, $12,960,603 is available for the period October 1, 2016 
through April 28, 2017 to the State Planning and Research Program 
(section 5305(e)). The total amount apportioned for the State Planning 
and Research Program (SPRP) is $12,895,800 as shown in the table below, 
after the deduction for oversight (authorized by section 5338).

                   Statewide Planning Program--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017....     $12,960,603
Oversight Deductions....................................        (64,803)
                                                         ---------------
  Total Apportioned.....................................      12,895,800
------------------------------------------------------------------------

    States' apportionments for this program are displayed in Table 2.
3. Basis for Formula Apportionment
    Of the amount authorized for section 5305, 17.28 percent is 
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.
4. 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, performance-based planning, 
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, Program Guidance for 
Metropolitan Planning and State Planning and Research Program Grants, 
dated September 1, 2008.
5. Period of Availability
    The State Planning and Research program funds apportioned in this 
notice are available for obligation during FY 2017 plus three 
additional fiscal years. Accordingly, funds apportioned in FY 2017 must 
be obligated in grants by September 30, 2020. Any FY 2017 apportioned 
funds that remain unobligated at the close of business on September 30, 
2020 will revert to FTA for reapportionment under the State Planning 
and Research program.

C. Urbanized Area Formula Program (49 U.S.C. 5307)

    The Urbanized Area Formula Program provides financial assistance to 
designated recipients in urbanized areas (UZAs) for capital investments 
in public transportation systems, planning, job access and reverse 
commute projects, and, in some cases, operating assistance. FTA 
apportions funds for this program through a statutory formula. Of the 
amount authorized for Section 5307 each year, $30 million is set aside 
for the competitive Passenger Ferry Grant Program (Ferry program), as 
authorized under 49 U.S.C., 5307(h). The Ferry program offers financial 
assistance to public ferry systems in urbanized areas for capital 
projects. Projects are selected annually through a funding competition. 
Additionally 0.5 percent will be apportioned to eligible States for 
State Safety Oversight (SSO) Program grants, and 0.75 percent will be 
set aside for program oversight. Further information on the 0.5 percent 
apportionment to States for the State Safety Oversight Program is 
provided in section IV.M. of this notice.
    For more information or questions on the Urbanized Area Formula 
Program, contact Tara Clark at (202) 366-2623 or [email protected]. 
For more information on the Ferry Program, contact Vanessa Williams at 
(202) 366-4818 or [email protected].
1. Authorized Amounts
    Federal transit law authorizes $4,629,683,814 in FY 2017 to provide 
financial assistance for urbanized areas under section 5307. Under the 
Continuing Appropriations Act of 2017, $2,604,058,475 is available 
through April 28, 2017.

[[Page 6697]]

2. FY 2017 Funding Availability
    Under the Further Continuing and Security Assistance Appropriations 
Act, 2017, only $2,604,058,475 is available for the Urbanized Area 
Formula program for the period of October 1, 2016 through April 28, 
2017. The total amount apportioned to urbanized areas is 
$2,817,580,866, which includes the addition of amounts apportioned to 
UZAs pursuant to the Section 5340 Growing States and High Density 
States Formula factors. This amount excludes the set-aside for the 
Ferry program, apportionments under the State Safety Oversight Program, 
and oversight (authorized by section 5338), as shown in the table 
below:

                 Urbanized Area Formula Program--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation available thru April 28,2017......               \a\
                                                          $2,604,058,475
Oversight Deduction...................................      (19,530,439)
Ferry Competitive Program.............................      (17,211,583)
State Safety Oversight Program........................      (13,020,292)
Section 5340 High Density States......................       151,441,543
Section 5340 Growing States...........................       111,800,668
                                                       -----------------
  Total Apportioned...................................     2,817,538,371
------------------------------------------------------------------------
\a\ Includes 1.5 percent set-aside for Small Transit Intensive Cities
  Formula.
Table 3 displays the amounts apportioned under the Urbanized Area
  Formula Program.

3. Basis for Formula Apportionment
    FTA apportions Urbanized Area Formula Program funds based on 
statutory formulas. Congress established four separate formulas to 
apportion portions of the available funding: The Section 5307 Urbanized 
Area Formula Program formula, the Small Transit Intensive Cities (STIC) 
formula, the Growing States and High Density States formula, and a 
formula based on low-income population.
    Consistent with prior apportionment notices, Table 3 shows a total 
section 5307 apportionment for each UZA, which includes amounts 
apportioned under each of these formulas. Detailed information about 
the formulas is provided in Table 4. For technical assistance purposes, 
the UZAs that receive STIC funds are listed in Table 6. FTA will 
provide breakouts of the funding allocated to each UZA under these 
formulas upon request to the FTA Regional Office.
    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, as well as the 
amount appropriated by Congress for the apportionment. The dollar unit 
values for FY 2017 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).
a. Section 5307--Urbanized Area Formula
    For UZAs between 50,000 and 199,999 in population, the Urbanized 
Area Formula is based on population and population density. For UZAs 
with populations of 200,000 or more, the formula is based on a 
combination of bus revenue vehicle miles, bus passenger miles, bus 
operating costs, fixed guideway vehicle revenue miles, and fixed 
guideway route miles, as well as population and population density. The 
Urbanized Area Formula is defined in 49 U.S.C. 5336. Consistent with 
section 5336(b), FTA has included 27 percent of the fixed guideway 
directional route miles and vehicle revenue miles from eligible 
urbanized area transit systems, but which were attributable to rural 
areas outside of the urbanized areas from which the system receives 
funds.
b. Small Transit Intensive Cities Formula
    Under the STIC formula, FTA apportions 1.5% of the funds made 
available for section 5307 to UZAs that are under 200,000 in population 
and have public transportation service that operates at a level equal 
to or above the industry average for UZAs with a population of at least 
200,000, but not more than 999,999. STIC funds are apportioned on the 
basis 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. 
In FY 2019, the STIC set aside will increase from 1.5% to 2%.
    The data used to determine a UZA's eligibility under the STIC 
formula and to calculate the STIC apportionments was obtained from the 
NTD for the 2015 reporting year. Because performance data change with 
each year's NTD reports, the UZAs eligible for STIC funds and the 
amount each receives may vary each year. UZAs that received funding 
through the STIC formula for FY 2017 are listed in Table 6.
c. Section 5340--Growing States and High Density States Formula
    FTA also apportions funds to qualifying UZAs and States according 
to the section 5340 Growing States and High Density States formula, as 
shown in Table 3. More information on this program and its formula is 
found in section IV.P. of this notice.
d. Low-Income Population
    Of the amount authorized and appropriated for the Urbanized Area 
Formula Program in each year, 3.07 percent is apportioned on the basis 
of low income population. As specified in statute, FTA apportions 75 
percent of the available funds to UZAs with a population of 200,000 or 
more. Funds are apportioned based on the ratio of the number of low 
income individuals in each UZA to the total number of low income 
individuals in all urbanized areas of that size. FTA apportions the 
remainder of the funds (25 percent) to UZAs with populations of less 
than 200,000, according to an equivalent formula. The low income 
populations used for this calculation were based on the American 
Community Survey (ACS) data set for 2010-2014. This information is 
updated by the Census Bureau annually.
4. Requirements
    The maximum Federal share for the Urbanized Area Formula Program, 
including the Ferry Program, is 80 percent, or 85 percent for the net 
project cost of acquiring vehicles (including clean-fuel or alternative 
fuel) for the purpose of complying with or maintaining compliance with 
the Clean Air Act (CAA) or the Americans with Disabilities Act (ADA) of 
1990. The maximum Federal share is 90 percent of the net project cost 
for acquiring vehicle-related equipment or facilities (including clean-
fuel or alternative-fuel vehicle-related equipment or facilities) for 
the purpose of complying with or maintaining compliance with the CAA or 
ADA.
    Program guidance for the Urbanized Area Formula Program is found in 
FTA Circular 9030.1E, Urbanized Area Formula Program: Program Guidance 
and Application Instructions, dated January 16, 2014, and is 
supplemented by additional information and changes provided in this 
notice and that may be posted to the Urbanized Area Formula Grants 
program Web page. FTA is in the process of updating the program 
circular

[[Page 6698]]

to incorporate changes resulting from FAST Act amendments to 49 U.S.C. 
5307.
5. Period of Availability
    Funds made available under the Urbanized Area Formula Program are 
available for obligation during the year of apportionment plus five 
additional years. Accordingly, funds apportioned in FY 2017 must be 
obligated by September 30, 2022. Any FY 2017 apportioned funds that 
remain unobligated at the close of business on September 30, 2022 will 
revert to FTA for reapportionment under the Urbanized Area Formula 
Program.
    Funds allocated under the Ferry program follow the same period of 
availability as section 5307. Accordingly, funds allocated in FY 2017 
must be obligated by September 30, 2022. Any of the funds allocated in 
FY 2017 that remain unobligated at the close of business on September 
30, 2022 will revert to FTA for reallocation under the Ferry program.
6. Other Program Information
a. Special Rule for Operating Assistance in Large Urbanized Areas
    The special rule at 49 U.S.C. 5307(a)(2) makes recipients in 
urbanized areas with populations of 200,000 or above that operate 100 
or fewer buses in fixed route service or general public demand response 
service during peak hours, excluding ADA complementary paratransit 
service, eligible for operating assistance subject to a maximum amount 
per system as explained below:
    i. Public transportation systems that operate a minimum of 76 buses 
and a maximum of 100 buses in fixed route service or general public 
demand response, excluding ADA complementary paratransit service, 
during peak service hours may receive operating assistance in an amount 
not to exceed 50 percent of the share of the apportionment that is 
attributable to such systems within the urbanized area, as measured by 
vehicle revenue hours.
    ii. Public transportation systems that operate 75 or fewer buses in 
fixed route service or demand response, excluding ADA complementary 
paratransit service, during peak service hours may receive operating 
assistance in an amount not to exceed 75 percent of the share of the 
apportionment that is attributable to such systems within the urbanized 
area, as measured by vehicle revenue hours.
    iii. A list of eligible recipients and their maximum operating 
assistance amounts for FY 2017 is shown in Table 3-A. FTA identified 
the systems eligible to use this provision and their maximum amounts 
for FY 2017 using data from the NTD for reporting year 2015. Operating 
assistance requires a 50 percent local match.
    In accordance with section 5307(a)(2), FTA has calculated a fixed 
annual cap on operating assistance for each eligible agency that 
provides service in a large UZA. The cap is determined by dividing the 
UZA's apportionment by the total number of vehicle revenue hours 
reported from all public transportation operators and from all transit 
modes in the UZA, and then by multiplying this quotient by the number 
of bus vehicle revenue hours operated in the UZA by the eligible 
system. The result is the proportional share of the apportionment that 
is attributable to the qualifying system, as measured by vehicle 
revenue hours. This cap is calculated based on the FY 2017 
apportionment for an eligible provider's UZA. Eligible systems 
operating in more than one UZA over 200,000 in population will receive 
separate operating caps from each UZA in which the system operates. The 
FY 2017 Apportionment Table 3A includes all eligible general public 
demand response operators. Systems that operate more than 100 buses in 
general public demand response service, and which do not operate any 
fixed-route service are not eligible for operating assistance under 
this provision. Systems that only operate ADA complimentary paratransit 
are not eligible for operating assistance under this provision.
    Systems that operate more than 100 buses in fixed route service are 
not eligible for operating assistance under this provision. Systems 
that operate 100 or fewer fixed route buses are eligible, regardless of 
the number of demand response vehicles they operate.
    In determining the amount of operating assistance available for 
specific systems in urbanized areas under the Special Rule, public 
transportation systems may execute a written agreement with one or more 
other public transportation systems within the urbanized area to 
allocate funds by a method other than by measuring vehicle revenue 
hours. Systems within the urbanized area may combine their individual 
operating assistance caps and allocate the combined funds using a 
method that is agreed upon by all of the systems. The operating 
assistance cap for the urbanized area does not change as a result of 
any agreement between two or more systems. The method used to allocate 
the funds must be documented in a written agreement, signed by the 
participating parties, and transmitted to FTA as part of the split 
letter.
b. Eligibility of Substitute Transit Service as a Capital Project
    The cost of operating substitute service (i.e. a bus bridge) is an 
eligible capital project expense when incidental to a scheduled capital 
maintenance, rehabilitation, or construction project on an existing 
system. Eligible substitute service must be temporary, scheduled, and 
the costs defined in the grant agreement for the capital project. 
Substitute service costs are not an eligible capital project expense in 
conjunction with emergency maintenance, operating incidents, or other 
contingency operations, including emergency operations associated with 
an emergency or a disaster.
c. Prohibition on Funding for Art and Non-Functional Landscaping
    While formerly eligible for Urbanized Area Formula Program funds as 
a ``Transit Enhancement'' (the precursor to Associated Transit 
Improvement), at 49 U.S.C. 5323 (h) now prohibits the use of FTA funds 
for the ``incremental costs of incorporating art or non-functional 
landscaping into facilities, including the costs of an artist on the 
design team.'' This prohibition applies to the creation, production, or 
installation of artworks, defined as objects intended for a primarily 
aesthetic purpose, or the involvement of artists in the development of 
a capital project. However, FTA does not interpret the law to exclude 
or generally prohibit the functional and aesthetic design of transit 
stations or related facilities, including designs intended to minimize 
adverse visual effects on the surrounding community. Transit facilities 
and surrounding landscape designs should incorporate aesthetic 
considerations, including but not limited to decisions regarding the 
use of light, shape, color, materials, the use of space, and the 
historic setting to achieve a functional and welcoming public transit 
facility.
    FTA will not require grantees to assess the often indeterminate 
incremental costs associated with functional design elements, 
including, but not limited to, the use of different types or colors of 
paint or tile, wayfinding elements intended to direct passengers or 
staff, or different or alternate construction materials in the design 
of a transit facility.
    Recipients may continue to use local funds for art in association 
with transit capital projects, but such expenditures may not be counted 
towards the local

[[Page 6699]]

share of a project cost, and should not be included in the grant award.
    With regard to landscaping, FTA recognizes that landscaping is a 
functional element of many transit facilities. For example, landscaping 
can be used to aid in the absorption or drainage of rainwater, 
prevention of erosion, support of structures on a steep grade, 
minimization of noise impacts, protection of habitat, provision of 
shade in hot climates, channeling of pedestrian or vehicle traffic, 
definition of useable or unsafe spaces, and many other purposes. In 
interpreting the term ``functional landscaping'' under this provision 
of law, FTA draws a similar distinction, as with art, between 
functionally appropriate landscape design and landscape elements 
installed primarily for visual or aesthetic appeal.
    For additional information see the Art and Non-Functional 
Landscaping frequently asked questions posted on the Urbanized Area 
Formula Grants Web page.
d. Employee Training Expenses
    Costs associated with employee training may be eligible for 
Urbanized Area Formula Program funding as operating expenses, as 
preventive maintenance expenses, or as provided for under the following 
provisions. A recipient may fund training expenses as an operating 
expense under Section 5307, where allowed, at a 50 percent Federal 
share.
    i. Under Section 5314(b), up to 0.5 percent of the program a 
recipient's section 5307, 5337, and 5339 funds may be used for human 
resources and workforce development activities at an 80 percent Federal 
cost share, including the cost of administering a training program. 
Eligible activities include:
     Various public transportation training programs;
     Outreach programs for targeted groups to increase public 
transportation employment for veterans, women, individuals with 
disabilities, and minorities;
     Development of training partnerships with key stakeholders 
including community colleges, workforce development boards, and other 
industry groups;
     Development of apprenticeships, on-the-job-training, and 
instructional training for public transportation; maintenance and 
operations occupations;
     Improve safety, security, and emergency preparedness in 
local public transportation system through improved safety culture and 
workforce communication with first responders and the riding public. 
And other activities approved by FTA that address human resource needs 
as they apply to public transportation activities.
    ii. Under Section 5314(c), up to 0.5 percent of Section 5307, 5337, 
and 5339 funds are available to a state or public transportation 
authority recipient in a fiscal year to use for tuition and direct 
educational expenses at the National Transit Institute for education 
and training of state and local transportation employees, at a federal 
share not to exceed 80 percent. States may also use these funds for 
training State and local transportation agency employees through grants 
and contracts with public and private agencies, and other institutions 
and individuals with prior FTA approval.

D. Fixed Guideway Capital Investment Grant Program (49 U.S.C. 5309)

    The Capital Investment Grant (CIG) Program includes four types of 
eligible projects--New Starts projects, Small Starts projects, Core 
Capacity Improvement projects, and Programs of Inter-related Projects. 
Funding is provided for construction of: (1) New fixed guideway systems 
or extensions to existing fixed guideway systems such as rapid rail 
(heavy rail), commuter rail, light rail, trolleybus (using overhead 
catenary), cable car, passenger ferries, and bus rapid transit 
operating on an exclusive transit lane for the majority of the corridor 
length that also includes features that emulate the services provided 
by rail fixed guideway including defined stations, traffic signal 
priority for public transit vehicles, and short headway bi-directional 
service for a substantial part of weekdays and weekends; (2) corridor-
based bus rapid transit service that does not operate on an exclusive 
transit lane but includes features that emulate the services provided 
by rail fixed guideway including defined stations, traffic signal 
priority for public transit vehicles, and short headway bi-directional 
services for a substantial part of weekdays; (3) projects that expand 
the capacity by at least 10 percent in an existing fixed guideway 
corridor that is at capacity today or will be in five years; and (4) 
programs of two or more interrelated projects as described above that 
have logical connectivity with one another and will all begin 
construction in a reasonable timeframe.
    For more information about the Capital Investment Grant program 
contact Elizabeth Day, Office of Capital Project Development, at (202) 
366-5159 or [email protected]. For information about published 
allocations contact Eric Hu, Office of Transit Programs, at (202) 366-
0870 or [email protected].
1. Authorized Amounts
    Federal transit law authorizes $2,301,785,760 in FY 2017, to 
provide financial assistance under section 5309. Under the Continuing 
Appropriations Act of 2017, $1,241,314,889 is available through April 
28, 2017.
2. FY 2017 Funding Availability
    In FY 2017, $1,241,314,889 is available for the period October 1, 
2016 through April 28, 2017 to the Fixed Guideway Capital Investment 
Grant Program. The total amount available for projects is 
$1,228,901,740 as shown in the table below, after the deduction for 
oversight (authorized by section 5338).

             Capital Investment Grants (New Starts)--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017..    $1,241,314,889
Oversight Deduction...................................      (12,413,149)
                                                       -----------------
  Total Apportioned...................................     1,228,901,740
------------------------------------------------------------------------

3. Basis for Allocation
    Funds are allocated on a competitive basis and subject to program 
evaluation.
4. Requirements
    Projects become candidates for funding under the Capital Investment 
Grant Program by successfully completing steps in the process defined 
in section 5309 and obtaining a satisfactory rating under the 
statutorily-defined criteria. For New Starts and Core Capacity 
Improvement projects, the steps in the process include project 
development, engineering, and construction. For Small Starts projects, 
the steps in the process include project development and construction. 
For programs of interrelated projects, the steps in the process depend 
on the combination of project types included. New Starts and Core 
Capacity Improvement projects receive construction funds from the 
program 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 receive construction 
funds through a single year grant or a Small Starts grant agreement 
(SSGA) that defines the scope of the project and specifies the Federal 
commitment to the project.
5. Period of Availability
    Funds for the Fixed Guideway Capital Investment Grant Program 
remain

[[Page 6700]]

available for obligation for four years, which includes the fiscal year 
in which the funds are allocated to projects plus three additional 
years.

E. Enhanced Mobility of Seniors and Individuals With Disabilities 
Program (49 U.S.C. 5310)

    The Section 5310 Enhanced Mobility of Seniors and Individuals with 
Disabilities Program provides formula funding to states for the purpose 
of meeting the transportation needs of older adults and people with 
disabilities when the transportation service provided is unavailable, 
insufficient, or inappropriate to meet these needs. The program aims to 
improve mobility for seniors and individuals with disabilities by 
removing barriers to transportation service and expanding 
transportation mobility options.
    The Pilot Program for Innovative Coordinated Access and Mobility 
Program (Pilot Program) open to Section 5310 recipients--was 
established by Section 3006(b) of the FAST Act. The purpose of the 
program is to assist in financing innovative projects for the 
transportation disadvantaged that improve the coordination of 
transportation services and non-emergency medical transportation (NEMT) 
services, including, for example, the deployment of coordination 
technology, and projects that create or increase access to community 
One-Call/One-Click Centers.
    For more information or questions on the Enhanced Mobility of 
Seniors and Individuals with Disabilities program, please contact Kelly 
Tyler at (202) 366-3120 or [email protected].
1. Authorized Amounts
    Federal transit law authorizes $268,208,388 in FY 2017 to provide 
formula funding to states for the purpose of meeting the transportation 
needs of older adults and people with disabilities. The law also 
authorizes $3 million for the competitive Pilot Program. Under the 
Further Continuing and Security Assistance Appropriations Act, 2017, 
$150,859,185 is available through April 28, 2017 for the formula 
program.
2. FY 2017 Funding Availability
    The total available funding for projects under the Section 5310 
formula program for FY 2017 is $150,104,889 after the oversight 
deduction as shown in the table below.

                  Section 5310 Formula Program--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017)...    $150,859,185
Oversight Deductions (oversight 0.5%)...................      ( 754,296)
                                                         ---------------
  Total Apportioned.....................................     150,104,889
Competitive Pilot Program...............................       1,147,439
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    Sixty percent of the funds are apportioned among designated 
recipients for urbanized areas with a population of 200,000 or more 
individuals. Twenty percent of the funds are apportioned among the 
States for urbanized areas with a population of at least 50,000 but 
less than 200,000. Twenty percent of the funds are apportioned among 
the States for rural areas, defined as areas with a population less 
than 50,000. Census Data on Older Adults and People with Disabilities 
is used for the Section 5310 Enhanced Mobility of Older Adults and 
People with Disabilities Apportionments. FY 2017 Apportionments Table 8 
displays the amounts apportioned under the Enhanced Mobility of Seniors 
and Individuals with Disabilities Program.
    Under the section 5310 formula, funds are allocated using Census 
data on older adults (i.e., persons 65 and older) and people with 
disabilities. However, beginning in 2010, the Census Bureau stopped 
collecting this demographic information as part of its decennial 
census. Data on seniors and people with disabilities is now only 
available from the American Community Survey (ACS), which is conducted 
and published on a rolling basis. FTA's FY 2017 section 5310 
apportionments incorporate ACS data published in December, 2015. Data 
on seniors comes from the ACS 2010-2014 five-year data set, Table 
B01001, ``Sex by Age. Data on persons with disabilities comes from the 
ACS 2010-2014 five-year data set, Table S.1810, ``Disability 
Characteristics.''
4. Requirements
    At least 55 percent of program funds must be used on capital 
projects such as buses and vans; wheelchair lifts, ramps, and 
securement devices or transit-related information technology systems 
including scheduling/routing/one-call systems. Mobility management 
programs are also defined as capital projects for purposes of this 
provision. The acquisition of transportation services under a contract, 
lease, or other arrangement is also eligible; both the capital and 
operating costs associated with contracted service are eligible capital 
expenses for purposes of this provision. The capital eligibility of 
acquisition of services is limited to the section 5310 program. The 
remaining 45 percent of a recipient's 5310 funds can be used for 
capital or operating.
a. Eligible Recipients
    Eligible recipients include States for rural and small urban areas 
and designated recipients chosen by the Governor of the State for large 
urban areas; or a State or local governmental entity that operates a 
public transportation service. For urbanized areas less than 200,000 in 
population and in the rural areas, the State is the designated 
recipient for section 5310. Current section 5310 designations remain in 
effect until changed by the Governor of a State by officially notifying 
the appropriate FTA Regional Administrator of re-designation. A State 
or local governmental entity that operates a public transportation 
service may be a direct recipient for Section 5310 funds.
    In urbanized areas over 200,000 in population, the recipient 
charged with administering the section 5310 Program must be officially 
designated in accordance with the planning process, by the Governor of 
a State, responsible local officials, and publicly owned operators of 
public transportation prior to grant award (See the definition of 
designated recipient, 49 U.S.C. 5302(4)). Designated recipients are 
responsible for administering the program. Eligible subrecipients 
include private nonprofit agencies, public bodies approved by the state 
to coordinate services for seniors and people with disabilities, or 
public bodies which certify to the Governor that no nonprofit 
organizations or associations are readily available in an area to 
provide the service.
b. Local Match
    Capital assistance is provided at 80 percent Federal share; 20 
percent local share. Operating assistance requires a 50 percent local 
match. Funds provided under other Federal programs (other than those of 
the DOT, with the exception of the Federal Lands Transportation Program 
may be used for local match for funds provided under section 5310, and 
revenue from service contracts may be used as local match.
c. Planning and Consultation
    The coordinated planning provision requires that all projects be 
included in the local coordinated human service-public transportation 
plan. The plan must be developed and adopted with representation from 
seniors, individuals

[[Page 6701]]

with disabilities, representatives of public, private, nonprofit 
transportation and human services providers, and other members of the 
public.
d. State and Project Management Plans
    States, designated recipients, and State or local governmental 
entities that operate a public transportation service that are 
responsible for implementing the section 5310 program are required to 
document their approach to managing the program. The Management Plans 
serve as the basis for FTA management reviews of the program, and 
provide public information on the administration of the programs.
e. Program of Projects (POP)
    Designated recipients are required to develop a Program of Projects 
(POP) with the grant application and submit it to the FTA Regional 
Office. The POP should be developed with respect to the coordinated 
plan, long range plan, and the transportation improvement plan. For 
additional guidance in developing the required POP, see Chapter IV of 
the FTA Circular 9070.1G, Enhanced Mobility of Seniors and Individuals 
with Disabilities Program Guidance and Application Instructions, dated 
July 7, 2014.
5. Period of Availability
    For Enhanced Mobility of Seniors and Individuals with Disabilities 
Program funds apportioned under this notice, the period of availability 
is three years, which includes the year of apportionment plus two 
additional years. Accordingly, funds apportioned in FY 2017 must be 
obligated in grants by September 30, 2019. Any FY 2017 apportioned 
funds that remain unobligated at the close of business on September 30, 
2019 will revert to FTA for reapportionment among the States and 
urbanized areas.
6. Other Program Information
    A State may transfer apportioned funds between small urbanized 
areas and rural areas if it can certify that the needs are being met in 
the area to which the funds were originally apportioned. The State can 
transfer the funds (rural and small urbanized area) to any area within 
the state if a statewide program for section 5310 is established. 
Section 5310 funds may not be transferred to other FTA programs. 
Section 5310 funds apportioned to large urbanized areas may not be 
transferred to other areas. Section 5310 program recipients may partner 
with meal delivery programs such as the OAA-funded meal programs (to 
find local programs, visit: www.Eldercare.gov) and the USDA Summer Food 
Service Program http://www.fns.usda.gov/sfsp/summer-food-service-program-sfsp. Transit service providers receiving 5310 funds may 
coordinate and assist in providing meal delivery services on a regular 
basis as long as this does not conflict with the provision of transit 
services.
    Program Guidance is found in FTA Circular 9070.1G, Enhanced 
Mobility of Seniors and Individuals with Disabilities Program Guidance 
and Application Instructions, dated July 7, 2014. Section 3006(b) of 
the FAST Act creates a new competitive pilot program for innovative 
coordinated access and mobility that is discussed in section III of 
this notice. The Federal share is 80% for capital projects. Local Match 
can come from other Federal (non-DOT) funds.

F. Formula Grants for Rural Areas Program (49 U.S.C. 5311)

    The Rural Areas 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, planning, job access and reverse commute projects, 
and State administration expenses. Eligible sub-recipients include 
State and local governmental authorities, 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 Rural Areas Formula Program, both for 
funds apportioned to the States and for projects apportioned or 
selected to be funded with funds set aside for a separate Tribal 
Transit Program. For more information about the Formula Grants for 
Rural Areas program, please contact [Eacute]lan Flippin at (202) 366-
3800 or [email protected].
1. Authorized Amounts
    Federal transit law authorizes $632,355,120 in FY 2017 to provide 
financial assistance for rural areas under Rural Areas Formula Program.
2. FY 2017 Funding Availability
    Under the Further Continuing Security Assistance Appropriations 
Act, 2017, $317,012,628 is available through April 28, 2017 to the 
Rural Area Programs which includes $44,378,969 for Growing States. The 
total amount apportioned to the program is $359,613,193 as shown in the 
table below, after the deduction for oversight (authorized by section 
5338).

             Formula Grants for Rural Areas Program--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation Available Through April 28, 2017....    $317,012,628
Oversight Deductions....................................     (1,778,404)
Section 5340 Growing States.............................      44,421,465
                                                         ---------------
  Total Apportioned.....................................     359,655,689
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    FTA apportions Rural Areas Formula Program funds to the states by a 
statutory formula using the latest available U.S. decennial census 
data. The majority of Rural Formula Program funds (83.15 percent) are 
apportioned based on land area and population factors. In this first 
tier, no state may receive more than 5 percent of the amount 
apportioned on the basis of land area. The remaining Rural Formula 
Program funds (16.85 percent) are apportioned based on land area, 
vehicle revenue miles, and low-income individual factors. In this 
second tier, no state may receive more than 5 percent of the amount 
apportioned on the basis of land area, or more than 5 percent of the 
amounts apportioned for vehicle revenue miles. In addition to funds 
made available under section 5311, FTA adds amounts apportioned based 
on rural population according to the growing states formula factors of 
49 U.S.C. 5340 to the amounts apportioned to the states under the 
section 5311 formula. Before FTA apportions section 5311 funds to the 
states, FTA subtracts funding from the total available amounts for the 
Appalachian Development Transportation Assistance Program, the Tribal 
Transit Program, the Rural Transportation Assistance Program (RTAP), 
and FTA oversight activities.
    Data from the National Transit Database (NTD) 2015 Report Year was 
used for this apportionment, including data from directly-reporting 
Indian tribes. Data from public transportation systems that reported as 
urbanized area systems, but that was not attributable to an urbanized 
area, was also included. The Rural Areas Formula Program program 
includes three takedowns: The Appalachian Development Public 
Transportation Assistance Program; the Rural Transit Assistance Program 
(RTAP); and the Tribal Transit Program. These separate programs are 
described in the sections that follow.
4. Requirements
    The Rural Areas Formula Program provides funding for capital, 
operating, planning, job access and reverse commute projects, and 
administration expenses for public transit service in

[[Page 6702]]

rural areas under 50,000 in population. The planning activities 
undertaken with Rural Areas Formula Program funds are in addition to 
those awarded to the State under section 5305 and must be used 
specifically for the needs of rural areas.
a. Intercity Bus Transportation
    Each State must spend no less than 15 percent of its annual Rural 
Areas Formula Program apportionment for the development and support of 
intercity bus transportation, unless it can certify, after consultation 
with affected intercity bus service providers, that the intercity bus 
service needs of the State are adequately met. FTA encourages 
consultation with other stakeholders, such as communities affected by 
loss of intercity service. The cost of an unsubsidized portion of 
privately provided intercity bus service that connects feeder service, 
including all operating and capital costs of such service whether or 
not offset by revenue from such service may be used as in-kind local 
match for the intercity bus projects. FTA is updating the Rural Areas 
Formula Program program circular to include this change.
b. State Administration
    States may elect to use up to 10 percent of their apportionment at 
100 percent Federal share to administer the Rural Areas Formula Program 
program and provide technical assistance to subrecipients. Technical 
assistance includes project planning, program and management 
development, public transportation coordination activities, and 
research the State considers appropriate to promote effective delivery 
of public transportation to rural areas.
c. Other Requirements
    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 
Rural Areas Formula Program capital projects and 62.5 percent of the 
sliding scale capital match ratio for operating projects. No longer 
exists
    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.
    Additional program guidance for the Rural Areas Formula Program is 
found in FTA Circular 9040.1G, Formula Grants for Rural Areas: Program 
Guidance and Application Instructions, dated November 24, 2014, and is 
supplemented by additional information that may be posted to FTA's Web 
page.
5. Period of Availability
    Rural Areas Formula Program funds remain available to states for 
obligation for three Federal fiscal years, beginning with the year of 
apportionment plus two additional years. The Rural Areas Formula 
Program funds apportioned in this notice are available for obligation 
during FY 2017 plus two additional years. Any FY 2017 apportioned funds 
that remain unobligated at the close of business on September 30, 2019 
will revert to FTA for reapportionment under the Rural Areas program.
6. Other Program Information
    Revenue from the sale of advertising and concessions may be used as 
local match.

G. Rural Transportation Assistance Program (49 U.S.C. 5311(b)(3))

    This program provides funding to assist in the design and 
implementation of training and technical assistance projects, research, 
and other support services tailored to meet the needs of transit 
operators in rural areas. For more information about Rural 
Transportation Assistance Program (RTAP), please contact [Eacute]lan 
Flippin at (202) 366-3800 or [email protected].
1. Authorized Amounts
    There is a two percent takedown from the funds made available for 
RTAP. Of the remaining amount, 15 percent is reserved for the National 
RTAP program. The remainder is available for allocation to the States.
    Federal Transit Law authorizes $12,647,102 in FY 2017 to provide 
technical assistance.
2. FY 2017 Funding Availability
    Under the Further Continuing and Security Assistance Appropriations 
Act, 2017 $7,113,616 is available through April 28, 2017 to the RTAP 
Program. The total amount apportioned for RTAP is $6,046,574 as shown 
in the table below, after the deduction for National RTAP.

            Rural Transportation Assistance Program--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017....      $7,113,616
National RTAP (15%).....................................     (1,067,042)
                                                         ---------------
  Total Apportioned.....................................       6,046,574
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    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 rural population in the 2010 
census.
4. Requirements
    Eligible expenses include the design and implementation of training 
and technical assistance projects, research, and other support services 
tailored to meet the needs of transit operators in rural areas.
    States may use the funds to undertake research, training, technical 
assistance, and other support services to meet the needs of transit 
operators in rural areas. These funds are to be used in conjunction 
with a State's administration of the Rural Areas Formula Program, but 
also may support the rural components of the section 5310 program.
5. Period of Availability
    The RTAP funds apportioned in this notice are available for 
obligation in FY 2017 plus two additional years, consistent with that 
established for the Rural Areas Formula Program Rural Program.
6. Other Program Information
    The National RTAP project is administered by cooperative agreement 
and re-competed at five-year intervals. In July of 2014, FTA awarded a 
cooperative agreement to the Neponset Valley Transportation Management 
Association to administer the National RTAP Program. 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 Transportation Research Board 
National Conference on Rural Public and Intercity Bus Transportation 
and other research and technical assistance projects of a national 
scope.

H. Appalachian Development Public Transportation Assistance Program (49 
U.S.C. 5311(c)(2))

    This program is a take-down under the Rural Areas Formula Program 
to provide additional funding to support public transportation in the 
Appalachian region. There are sixteen eligible States that receive an 
allocation under this provision. The State allocations are shown in the 
Rural Areas Formula program table posted on FTA's Web site on the FY 
2017 Apportionments page. For more information about the Appalachian

[[Page 6703]]

Development Public Transportation Assistance Program, please contact 
[Eacute]lan Flippin at (202) 366-3800 or [email protected].
1. Authorized Amounts
    Federal transit law authorizes $20 million in each of FY 2016 
through FY 2020 as a take-down under the Rural Areas Formula Program to 
support public transportation in the Appalachian region.
2. FY 2017 Funding Availability
    Under the Further Continuing and Security Assistance Appropriations 
Act, 2017 $11,474,389 is available through April 28, 2017.

 Appalachian Development Public Transportation Assistance Program Funds
                                 FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017....     $11,474,389
                                                         ---------------
  Total Apportioned.....................................      11,474,389
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    FTA apportions the funds using percentages established under 
section 9.5(b) of the Appalachian Regional Commission Code (subtitle IV 
of title 40). Allocations are based in general on each State's 
remaining estimated need to complete eligible sections of the 
Appalachian Development Highway System as determined from the latest 
percentages of available cost estimates for completion of the System. 
Such cost estimates are produced at approximate five year intervals. 
Allocations contain upper and lower limits in amounts determined by the 
Commission and are made in accordance with legislative instructions.
4. Requirements
    Funds apportioned under this program can be used for purposes 
consistent with the Rural Areas Formula Program to support public 
transportation in the Appalachian region. Funds can be applied for in 
the State's annual Rural Areas Formula Program grant.
    Appalachian program funds that cannot be used for operating may be 
used for a highway project under certain circumstances. States should 
contact their regional office if they intend to request a transfer. 
Additional information about the requirements for this section can be 
found in Chapter VII of FTA Circular 9040.1G, Formula Grants for Rural 
Areas: Program Guidance and Application Instructions, dated November 
24, 2014.
5. Period of Availability
    Appalachian Program funds are available for three years, which 
includes the year of apportionment plus two additional years, 
consistent with that established for the Rural Areas Formula Program.

I. Formula Grants for Public Transportation on Indian Reservations 
Program (49 U.S.C. 5311(j))

    The Public Transportation on Indian Reservations Program, or Tribal 
Transit Program (TTP), totals $35 million, of which $30 million is for 
a formula program and $5 million is for a competitive grant program. It 
is funded as a takedown from funds made available for the section Rural 
Areas Formula Program. Formula factors include vehicle revenue miles 
and the number of low-income individuals residing on tribal lands 
(defined as American Indian Areas, Alaska Native Areas, and Hawaiian 
Home Lands). Eligible direct recipients are Federally recognized Indian 
tribes and Alaskan Native Villages providing public transportation in 
rural areas. The TTP funds are allocated for grants to eligible 
recipients for any purpose eligible under Rural Areas Formula Program, 
which includes capital, operating, planning, and job access and reverse 
commute projects. For more information about the Tribal Transit Program 
contact Elan Flippin, Office of Transit Programs at (202) 366-3800 or 
[email protected].
1. Authorized Amounts
    Federal transit law authorizes $35 million in FY 2017 ($30 million 
for formula and $5 million for the competitive program).
2. FY 2017 Funding Availability
    Under the Further Continuing and Security Assistance Appropriations 
Act, 2017 $15,080,181 is available for the formula program and $5 
million for the competitive program through April 28, 2017 as shown 
below.

 Formula Grants for Public Transportation on Indian Reservations Program
                                 FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation (formula)...........................     $15,080,181
Total Apportioned (competitive).........................       5,000,000
                                                         ---------------
  Total Apportioned.....................................      20,080,181
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    Funding is allocated by formula and distributed to eligible Indian 
tribes providing public transportation on tribal lands. The formula 
apportionment shown in Table 10 is based on a statutory formula which 
includes three tiers. Tiers 1 and 2 are based on data reported to NTD 
by Indian tribes; Tier 3 is based on 2010-2014 American Community 
Survey data. The three tiers for the formula are: Tier 1--50 percent 
based on vehicle revenue miles reported to the NTD; Tier 2--25 percent 
provided in equal shares to Indian tribes reporting at least 200,000 
vehicle revenue miles to the NTD; Tier 3--25 percent based on Indian 
tribes providing public transportation on tribal lands (American Indian 
Areas, Alaska Native Areas, and Hawaiian Home Lands) on which more than 
1,000 low income individuals reside. If more than one eligible tribe 
provides public transportation services on tribal lands in a single 
Tribal Statistical Area, and the tribes cannot determine how to 
allocate Tier 3 funds, FTA will allocate the funds based on the 
relative portion of transit (as defined by unlinked passenger trips) 
operated by each tribe, as reported to the National Transit Database.
4. Requirements
    Formula funds apportioned under this program can be used for 
purposes consistent with Rural Areas Formula Program to support public 
transportation on Indian Reservations in rural areas. Funds allocated 
under the competitive program must be used consistent with the tribe's 
proposal and the allocation notice published in the Federal Register, 
which is used to announce the selected projects. Eligible recipients 
under both the competitive and formula program include federally-
recognized Indian tribes or Alaska native villages, groups, or 
communities as identified by the U.S. Department of the Interior Bureau 
of Indian Affairs (BIA). A tribe must have the legal, financial and 
technical capabilities to receive and administer Federal funds.
    Section 5335 requires NTD reporting for all recipients or 
beneficiaries all section 5311 funds. This reporting requirement 
continues to apply to the Tribal Transit Program. Tribes that provide 
public transportation in rural areas are reminded to report annually so 
they are included in the TTP formula apportionments. To be considered 
in the FY 2017 formula apportionments, tribes should have submitted 
their reports to the NTD no later than April 30, 2016; voluntary 
reporting to the NTD is also encouraged. Additionally, to be considered 
for the FY 2018 formula apportionment funds, tribes need to submit 
their reports to the NTD no later than April 30, 2017. Tribes needing 
assistance with reporting to the NTD

[[Page 6704]]

should contact the NTD Helpline at 1-888-252-0936 or [email protected].
5. Period of Availability
    Funding for the TTP is available for three years, which includes 
the year of apportionment plus two additional years, consistent with 
that established for the Rural Areas Formula Program. Any FY 2017 
formula funds that remain unobligated at the close of business on 
September 30, 2019 will revert to FTA for reapportionment under the 
TTP.
6. Other Program Information
    Section 207 of title 23, United States Code establishes a Tribal 
Transportation Self-Governance Program (Self Governance Program). The 
Self Governance Program will establish specific criteria for 
determining eligibility for a tribe to participate in the program. A 
Negotiated Rulemaking to implement this program in consultation with 
tribal representatives and other interested stakeholders is under 
development.
    The funds set aside for the TTP are not meant to replace or reduce 
funds that Indian tribes receive from States through the Rural Areas 
Formula Program but are to be used to enhance public transportation on 
Indian reservations and transit serving tribal communities. Funds 
allocated to Indian tribes by the States may be included in the State's 
Rural Areas Formula Program application or maybe awarded by FTA in a 
grant directly to the Indian tribe. FTA encourages Indian tribes 
intending to apply to FTA as direct recipients to contact the 
appropriate FTA Regional Office at the earliest opportunity.
    TTP grantees must comply with all applicable Federal statutes, 
regulations, executive orders, FTA circulars, and other Federal 
requirements in carrying out the project supported by the FTA grant. To 
assist tribes with understanding these requirements, FTA regularly 
conducts Tribal Transit Technical Assistance Workshops. FTA has also 
expanded its technical assistance to tribes receiving funds under this 
program. In FY 2015, FTA implemented the Tribal Transit Technical 
Assistance Assessments initiative. Through these assessments, FTA 
collaborates with tribal transit leaders to review processes and 
identify areas in need of improvement and then assist with solutions to 
address these needs--all in a supportive and mutually beneficial 
manner. These assessments include discussions of compliance areas 
pursuant to the Master Agreement, a site visit, promising practices 
reviews, and technical assistance from FTA and its contractors. FTA 
will post information about upcoming workshops to its Web site and will 
disseminate information about the reviews through its Regional offices. 
FTA has regional tribal transit liaisons in each of the FTA Regional 
Offices that are available to assist tribes with applying for and 
managing FTA grants. Tribes are encouraged to work directly with their 
regional tribal transit liaison.

J. Public Transportation Innovation (49 U.S.C. 5312)

    Public Transportation Innovation is FTA's research program. Within 
this section, are several different activities that comprise three 
distinct programs: (a) A Research, Development, Demonstration, 
Deployment, & Evaluation program (49 U.S.C. 5312(b-e)); (b) a Low or No 
Emission Vehicle Component Assessment Program (LoNo-CAP) (49 U.S.C. 
5312(h)); and (c) a Transit Cooperative Research Program (49 U.S.C. 
5312(i)). For more information about the Public Transportation 
Innovation program, contact Edwin Rodriguez, Office of Research, 
Demonstration and Innovation at (202) 366-0671 or 
[email protected].
1. Authorized Amounts
    Federal transit law authorizes $48 million for FY 2017 for the 
Public Transportation Innovation program.
2. FY 2017 Funding Availability
    Under the Further Continuing and Security Assistance Appropriations 
Act, 2017 $16,064,145 is available through April 28, 2017 shown in the 
table below.

    Public Transportation Innovation Apportioned Thru April 28, 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Research, Development, Demonstration, Deployment, &          $11,474,389
 Evaluation.............................................
Low or No Emission Vehicle Component Testing............       1,721,158
Transit Cooperative Research Program (TCRP).............       2,868,597
                                                         ---------------
  Total Apportioned.....................................      16,064,145
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    Public Transportation Innovation funds are allocated according to 
the authorized purposes and amounts described above, and then remaining 
amounts are subject to competitive allocations where not specifically 
authorized. For FY 2017, FTA intends to fund projects and activities 
consistent with its Research Strategic Plan and in support of three 
major areas: Asset Innovation and Management, Mobility, and Safety. 
Projects may be selected through Notices of Funding Opporunity (NOFO) 
or Requests for Proposals (RFPs), or sole-sourced. Potential recipients 
can register to receive notification of funding availability under this 
program on Grants.gov.
    FTA awards an annual cooperative agreement to the National 
Academies of Science to administer the TCRP. For the LoNo-CAP, 
proposals were due November 28, 2016 and FTA expects to announce the 
selected testing facility or facilities in January 2017.
4. Requirements
    Eligible expenses include activities involving (a) Research, 
Innovation, Development, Demonstration, Deployment, Evaluation; (b) Low 
or No Emission Vehicle Component Testing; and (c) Transit Cooperative 
Research.
    The Government share of the cost of a project carried out under 
FTA's Research, Development, Deployment, and Demonstration program 
shall not exceed 80 percent; the remaining 20 percent of the costs can 
be met with in-kind resources. In some cases, FTA may require a higher 
non-Federal share if FTA determines a recipient would obtain a clear 
and direct financial benefit from the project, or if the non-Federal 
share is an evaluation factor under a competitive selection process.
    However, for the LoNo-CAP, the Government share is 50 percent; the 
remaining 50 percent of the costs will be paid by amounts recovered 
through the fees established by the testing facilities. There is no 
match requirement for the TCRP.
    Application instructions and program management guidelines are set 
forth in FTA Circular C 6100.1E, Technology Development and Deployment, 
``Research, Technical Assistance and Training Program: Application 
Instructions and Program Management Guidelines'' dated May 11, 2015.
    All research recipients are required to work with FTA to develop 
approved Statements of Work. FTA will be updating the Circular for the 
Research Program during FY 2017.
5. Period of Availability
    FTA establishes the period in which the funds must be obligated to 
the project. If the funds are not obligated within that period of time, 
they revert to FTA for reallocation under the program.
6. Other Program Information
    FTA publishes an annual Research Report on projects, evaluations, 
and benefits of its research portfolio. The FY2015 Report is posted on 
FTA's Web

[[Page 6705]]

site, with the FY2016 report expected in February 2017. Section 6019(b) 
of the FAST Act establishes new requirements for annual modal research 
plans in 49 U.S.C. 6501. The FY 2016 plans are posted on DOT's Web 
site.
    For the new LoNo-CAP (5312(h)), FTA solicited proposals for the 
LoNo-CAP in the Fall of 2016, with selection(s) expected in January 
2017. Per the statute, FTA only considered proposals from 
``institutions of higher education'' as defined in section 1002 of 
title 20, U.S.C., the Higher Education Act of 1965. Eligible 
institution(s) of higher education must have capacity to carry out 
transportation-related advanced component testing and evaluation, with 
laboratories capable of testing and evaluation, and direct access to or 
a partnership with a testing facility capable of emulating real-world 
circumstances in order to test low or no emission components.
    LoNo-CAP differs from the Bus Testing Program (Section 5318) in 
that LoNo-CAP testing is voluntary; it will only test components, and 
it will not assign passing or failing scores. The LoNo component 
testing performed under LoNo-CAP complements the Section 5318 Bus 
Testing Program, under which FTA will continue to test complete buses 
as a condition of eligibility for FTA grant funding. Eligible 
activities under LoNo-CAP include testing and assessing voluntarily 
submitted Lo-No components for transit buses, publishing the results of 
these LoNo component assessments, and preparing an annual report to 
Congress summarizing the results of the component assessments. For more 
information on the LoNo-CAP, please contact Marcel Belanger at 
[email protected] or visit: https://www.transit.dot.gov/research-innovation/lonocap.
    TCRP is a cooperative effort of three organizations: FTA; the 
National Academies, acting through the Transportation Research Board 
(TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit 
educational and research organization established by the American 
Public Transportation Association (APTA). FTA funds the TCRP through a 
cooperative agreement and it is governed by an independent board--the 
TCRP Oversight and Project Selection (TOPS) Committee. The TOPS 
Committee sets priorities to decide what research studies will be 
undertaken and annually selects projects. The FY 2017 selected projects 
can be found at http://www.trb.org/TCRP. For more information about 
TCRP, please contact Faith Hall at [email protected].
    Pursuant to the Small Business Innovation Development Act, a 
portion of the 5312 funds must be set aside for the Department's SBIR 
program to address high priority research that will demonstrate 
innovative, economic, accurate, and durable technologies, devices, 
applications, or solutions to significantly improve current transit-
related service including transit vehicle operation, safety, 
infrastructure and environmental sustainability, mobility, rider 
experience, or broadband communication. Information on current and past 
SBIR projects can be found on the DOT SBIR Web site.

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

    The Technical Assistance and Workforce Development program, 49 
U.S.C. 5314, provides assistance to: (1) Carry out technical assistance 
activities that enable more effective and efficient delivery of 
transportation services, foster compliance with Federal laws, and 
improve public transportation service; (2) develop standards and best 
practices for the transit industry; and (3) address public 
transportation workforce needs through research, outreach, training and 
the implementation of a frontline workforce grant program, and conduct 
training and educational programs in support of the public 
transportation industry.
    For more information or questions about the Technical Assistance 
and Workforce Development programs, please contact Edwin Rodriguez, 
Office of Research, Demonstration, and Innovation at (202) 366-0671 or 
[email protected].
1. Authorized Amounts
    The Technical Assistance and Workforce Development Program is at 
$14 million in FY 2017. Under the Further Continuing and Security 
Assistance Appropriations Act, 2017 $5,163,475 is authorized through 
April 28, 2017 as shown in the table below.
2. FY 2017 Funding Availability

   Technical Assistance and Workforce Development Funds Available Thru
                             April 28, 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Technical Assistance, Standards Development & Human           $2,294,878
 Resource Training......................................
National Transit Institute..............................       2,868,597
                                                         ---------------
  Total Appropriated....................................       5,163,475
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    Under the Technical Assistance and Workforce Development Program, 
$2,868,597 is available for the NTI. The remaining $2,294,878 will be 
allocated in support of FTA and USDOT strategic goals for technical 
assistance, standards development, and workforce development. Projects 
may be selected through sole source, Notices of Funding Opportunity 
(NOFO) or Requests for Proposals (RFPs). Potential recipients can 
register to receive notification of funding availability under this 
program on Grants.gov. Once selected, FTA enters into cooperative 
agreements, grants, contracts, or other agreements to award funds and 
manage the projects carried out under this section.
4. Requirements
    Eligible expenses include activities involving: (a) Technical 
assistance; (b) standards development; and (c) human resources and 
training, including workforce development programs and activities. 
Eligible technical assistance activities may include activities to 
support: (a) Compliance with the ADA; (b) compliance with coordinating 
planning and human services transportation; (c) meeting the 
transportation needs of elderly individuals; (d) increasing transit 
ridership in coordination with MPOs and other entities, particularly 
around transit-oriented development; (e) addressing transportation 
equity with regard to the effect that transportation planning, 
investment, and operations have for low-income and minority 
individuals; (f) facilitating best practices to promote bus driver 
safety; (g): compliance with Buy America requirements and pre- and 
post-award audits; (h) assisting with the development and deployment of 
low and no emission vehicles or components for vehicles; (i) and other 
technical assistance activities that are necessary to advance the 
interests of public transportation.
    Eligible standards development activities include the development 
of voluntary and consensus-based standards and best practices by the 
industry including those needed for safety, fare collection, 
intelligent transportation systems, accessibility, procurement, 
security, asset management, operations, maintenance, vehicle 
propulsion, communications, and vehicle electronics.
    Eligible human resources and training activities include (a) 
employment training programs; (b) outreach programs to increase 
employment for veterans, females, individuals with

[[Page 6706]]

disabilities, and minorities in public transportation; (c) research on 
public transportation personnel and training needs; (d) training and 
assistance for veteran and minority business opportunities; and (e) 
consensus-based national training standards and certifications in 
partnership with industry stakeholders. FTA funding directly allocated 
for these eligible purposes must be done through a competitive 
frontline workforce development program as required by section 5314. 
Should FTA allocate funds for these purposes, it will advertise the 
available funding in a Notice of Funding Opportunity (NOFO) on 
Grants.gov and on its Web site. In the meantime, recipients of funds 
under sections 5307, 5337, and 5339 may use 0.5 percent of their 
available funds to pay for workforce development activities (up to an 
80 percent Federal share). There is a separate eligibility to use 0.5 
percent of available funds under the sections above for training at the 
National Transit Institute.
    The Government's share of the cost of a project carried out using a 
grant under this section shall not exceed 80 percent. However, for the 
human resources and training, including the Innovative Public 
Transportation Frontline Workforce Development Program, the 
Government's share cannot exceed 50 percent. The Federal share for 
other types of awards will be stated in the agreement. In some cases, 
FTA may require a higher non-Federal share if FTA determines a 
recipient would obtain a clear and direct financial benefit from the 
project, or if the non-Federal share is an evaluation factor under a 
competitive selection process.
    The non-Government share of the cost of a project carried out under 
these sections (Technical Assistance and Standards and Technical 
Assistance and Training) may be derived from in-kind contributions as 
defined in the most current version of FTA Circular 5010, ``Award 
Management Guidelines'' found on FTA's Circular Web page at http://www.fta.dot.gov/circulars). Application instructions and program 
management guidelines are set forth in FTA Circular 6100.1E, 
``Research, Technical Assistance and Training Programs: Application 
Instructions and Program Management Guidelines'' dated May 11, 2015.
    All research recipients are required to work with FTA to develop 
approved statements of work. There is no match requirement for the 
National Transit Institute.
5. Period of Availability
    FTA establishes the period in which the funds must be obligated to 
the project. If the funds are not obligated within that period of time, 
they revert to FTA for reallocation under the program.
6. Other Program Information
    FTA publishes an annual report to Congress on the technical 
assistance and standards activities that receive assistance under this 
section. Additionally, FTA must report annually on the Frontline 
Workforce Development Program. These reports can be found on FTA's Web 
site.

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

    FTA's Emergency Relief (ER) Program is authorized to provide 
funding for public transportation expenses incurred as a result of an 
emergency or major disaster. No funding was provided in the Further 
Continuing and Security Assistance Appropriations Act, 2017 for this 
program.
    In the event funds are appropriated to this program to assist in 
responding to a publicly declared emergency or disaster, eligible 
expenses will include emergency operating expenses, such as 
evacuations, rescue operations, and expenses incurred to protect assets 
in advance of a disaster, as well as capital projects to protect, 
repair, reconstruct, or replace equipment and facilities of a public 
transportation system that the Secretary determines is in danger of 
suffering serious damage or has suffered serious damage as a result of 
an emergency. Additionally, transit agencies in the affected areas may 
request relief from certain FTA administrative and regulatory 
requirements for costs incurred in support of evacuations, rescue 
efforts, and the efficient shut down and resumption of transit services 
during and after the storm. Requests for relief from these requirements 
may be submitted to FTA's Emergency Relief Docket at https://www.regulations.gov/. The docket number for calendar year 2017 is FTA-
2017-0001.
    FTA also encourages transit agencies in affected areas to become 
familiar with FTA's Emergency Relief Program Manual, available at 
transit.dot.gov/emergencyrelief. Should funding be made available by 
Congress through FTA's Emergency Relief Program, or at FEMA's 
direction, FTA will work with agencies to assess the impacts of the 
storm, including emergency operations and any potential damages to 
transit rolling stock or facilities.
    While Congress has not provided funding for this program in FY 
2017, so far recipients of FTA funding affected by a declared emergency 
or disaster are authorized to use funds apportioned under sections 5307 
and 5311 for emergency purposes under the provisions of FTA's Emergency 
Relief Program. Recipients are advised that formula funds disbursed to 
a grantee for emergency purposes will not be replaced or restored in 
the event that funding is subsequently made available through FTA under 
the ER Program or by the Federal Emergency Management Agency (FEMA).
    In the event of a disaster affecting a public transportation 
system, the affected recipient should contact its FTA Regional Office 
as soon as practicable to determine whether Emergency Relief Program 
funds are available, and to notify FTA that it plans to seek 
reimbursement for emergency operations and/or repairs that have already 
taken place or are in process. If Emergency Relief funds are 
unavailable the recipient may seek reimbursement from FEMA. Properly 
documented costs for which the grantee has not received reimbursement 
from FEMA may later be reimbursed by grants made either from Emergency 
Relief Program funding (if appropriated) or from sections 5307 and 5311 
program funding, once the eligible recipient formally applies to FTA 
for reimbursement and FTA determines that the expenses are eligible for 
emergency relief.
    More information on the Emergency Relief Program and FTA's response 
to Hurricane Sandy is available on the FTA Web site at https://www.transit.dot.gov/funding/grant-programs/emergency-relief-program/emergency-relief-program.
    For more information or questions on this program, please contact 
Adam Schildge at 202-366-0778 or [email protected].

M. Public Transportation Safety Program (49 U.S.C. 5329)

    The State Safety Oversight Formula Program provides funding to 
support States with rail fixed guideway public transportation systems 
(rail transit systems) to develop and carry out State Safety Oversight 
(SSO) Programs consistent with the requirements of 49 U.S.C. 5329.
    For more information or questions on the Public Transportation 
Safety program, please contact Maria Wright at (202) 366-5922 or 
[email protected].

[[Page 6707]]

1. Authorized Amounts
    Federal transit law authorizes $23,148,419 in FY 2017 to provide 
funding to support States in developing and carrying out the SSO 
Program.
2. FY 2017 Funding Availability
    Under the Further Continuing and Security Assistance Appropriations 
Act, 2017 $13,020,292 is available through April 28, 2017 for the 
period October 1, 2016 through April 28, 2017 for the State Safety 
Oversight (SSO) program as shown in the table below.

  Public Transportation Safety Program Funds Apportioned Thru April 28,
                                  2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation.....................................     $13,020,292
                                                         ---------------
  Total Apportioned.....................................      13,020,292
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    FTA will continue to allocate funds to the States by an 
administrative formula, which is detailed in the Federal Register 
notice apportioning SSO Formula Grant Program FY 2013 and FY 2014 funds 
(Mar. 10, 2014). Grant funds for the SSO program are apportioned to 
eligible States using a three-tier formula based on statutory 
requirements, which apportion sixty percent (60%) of available funds 
based rail transit system passenger miles (PMT), vehicle revenue miles 
(VRM), and directional route miles (DRM), twenty percent (20%) of 
available funds equally to each eligible State, and twenty percent 
(20%) based on the number of rail transit systems in each state.
4. Requirements
    FTA requires each applicant to demonstrate in its grant application 
that its proposed grant activities will develop, lead to, or carry out 
a State Safety Oversight program that meets the requirements under 49 
U.S.C. 5329(e). Grant funds may be used for program operational and 
administrative expenses, including employee training activities. Please 
see the Federal Register notice which apportioned SSO Formula Grant 
Program FY 2013 and FY 2014 funds (79 FR 13380, Mar. 10, 2014) for more 
information.
5. Period of Availability
    SSO Formula Grant Program funds are available for the year of 
apportionment plus two additional years. Any FY 2017 funds that remain 
unobligated at the close of business on September 30, 2019 will revert 
to FTA for reapportionment under the SSO Formula Grant Program.
6. Other Program Information
    Section 5329 authorizes FTA to temporarily assume oversight of a 
rail transit safety system, under certain circumstances. FTA also has 
the authority to issue restrictions and prohibitions to address unsafe 
conditions or practices. On August 11, 2016, FTA published a final rule 
to set procedures for FTA's administration of the Public Transportation 
Safety Program. The final rule provides procedures whereby FTA may: (1) 
Require a recipient to use Chapter 53 funds to correct safety 
violations identified by the Administrator or a State Safety Oversight 
Agency before such funds are used for any other purpose, or (2) 
withhold up to than 25 percent of funds apportioned under 49 U.S.C. 
5307 from a recipient when the Administrator has evidence that the 
recipient has engaged in a pattern or practice of serious safety 
violations, or has otherwise refused to comply with the Public 
Transportation Safety Program, or any regulation or directive issued 
under those laws for which the Administrator exercises enforcement 
authority for safety.

N. State of Good Repair Program (49 U.S.C. 5337)

    The State of Good Repair Program provides financial assistance to 
designated recipients in Urbanized Areas (UZAs) with fixed guideway and 
high intensity motorbus systems for capital investments that maintain, 
rehabilitate, and replace aging transit assets and bring fixed guideway 
and high intensity motorbus systems into a state of good repair. FTA 
apportions funds for this program through a statutory formula using 
data reported to the National Transit Database (NTD).
    For more information or questions on the State of Good Repair 
program, please contact Eric Hu at (202) 366-0870 or [email protected].
1. Authorized Amounts
    Federal transit law authorizes $2,549,670,000 in FY 2017 for the 
State of Good Repair Program.
2. FY 2017 Funding Availability
    Under the Further Continuing and Security Assistance Appropriations 
Act, 2017 $1,438,314,657 is available through April 28, 2017. The total 
amount apportioned is $1,423,931,511 after the deduction for oversight 
as shown in the table below, after the deduction for oversight 
(authorized by section 5338).

         State of Good Repair Program Funds Apportioned FY 2017
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017..    $1,438,314,657
Oversight Deductions..................................      (14,383,147)
                                                       -----------------
  Total Apportioned...................................     1,423,931,511
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    FTA apportions State of Good Repair Program funds according to a 
statutory formula. Funds are apportioned to urbanized areas with high 
intensity fixed guideway and high intensity motorbus systems that have 
been in operation for at least seven years. This means that only 
segments of high intensity fixed guideway and high intensity motorbus 
systems that entered into revenue service on or before September 30, 
2009 are included in the formula, as identified in the NTD. Funds 
apportioned to urbanized areas with high intensity fixed guideway and 
motorbus systems are determined by two equal elements: (1) The 
proportion of the amount an urbanized area would have received in FY 
2011 to the total amount apportioned to all urbanized areas in the FY 
2011 Fixed Guideway Modernization program using the fixed guideway 
definition defined in prior law; and (2) the proportion of vehicle 
revenue miles of an urbanized area to the total vehicle revenue miles 
of all urbanized areas and the proportion of directional route miles of 
an urbanized area to the total directional miles of all urbanized 
areas. 97.15 percent of the total appropriation is apportioned to the 
fixed guideway tier, the remaining 2.85 percent is apportioned to the 
high-intensity motorbus tier.
4. Requirements
    In addition to the program guidance found in the FTA Circular 
5300.1, ``State of Good Repair Grants Program: Guidance and application 
Instructions'' all recipients will need to comply with the rule issued 
under section 5326 for the Transit Asset Management plan (TAM).
5. Period of Availability
    The State of Good Repair Program funds apportioned in this notice 
are available for obligation during FY 2017 plus three additional 
years. Accordingly, funds apportioned in FY 2017 must be obligated in 
grants by September 30, 2020. Any FY 2017 apportioned funds that remain 
unobligated at the close of business on September 30, 2020 will revert 
to FTA for reappointment under the State of Good Repair Program.

[[Page 6708]]

6. Other Program Information
    In July 2016, FTA published a Final Rule for Transit Asset 
Management (81 FR 48890, July 26, 2016). Grantees must have a TAM plan 
in place by October 1, 2018. Beginning in FY 2019 all projects funded 
under the State of Good Repair Program must appear in the investment 
prioritization of the grantees TAM plan.

O. Grants for Buses and Bus Facilities Program (49 U.S.C. 5339)

    The Grants for Buses and Bus Facilities Program provides financial 
assistance to states and designated recipients for capital investments 
in public transportation systems to replace, rehabilitate and purchase 
buses and related equipment and to construct bus-related facilities, 
including technological changes or innovations to modify low or no 
emission vehicles or facilities. Funding is provided through formula 
allocations and competitive grants. A sub-program, the Low- or No-
Emission Vehicle Program, provides competitive grants for bus and bus 
facility projects that support low and zero-emission vehicles.
    For more information or questions on the Grants for Buses and Bus 
Facilities Program, please contact Vanessa Williams at (202) 366-4818 
or [email protected]. For information or questions regarding the 
competitive Low or No Emissions Grant Program, contact Tara Clark at 
(202) 366-2623 or [email protected].
1. Authorized Amounts
    Federal transit law authorizes $719,960,000 in FY 2017, to provide 
financial assistance for the Grants for Buses and Bus Facilities 
Program.
2. Funding Availability
    Under the Continuing Appropriations Act of 2017, $399,193,992 is 
available through April 28, 2017. After the 0.75 percent take-down for 
oversight, $396,200,037 is available after the deduction for oversight, 
as shown in the table below.

              Grants for Buses and Bus Facilities--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation (Formula)...........................    $245,437,180
Oversight Deduction.....................................     (1,840,779)
                                                         ---------------
  Total Apportioned (Formula)...........................     243,596,401
Total Appropriation (Low No Competition)................      31,554,570
Oversight Deduction.....................................       (236,659)
                                                         ---------------
  Total to be Allocated (Competition)...................      31,317,910
Total Appropriation (Bus Competition)...................     122,202,243
Oversight Deduction.....................................       (916,517)
                                                         ---------------
  Total to be Allocated (Competition)...................     121,285,726
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    Buses and Bus Facilities Program formula funds are apportioned to 
States, territories, and designated recipients based on a statutory 
formula. Under the National Distribution, each State is allocated $1.0 
million and each territory is allocated $286,860 for use anywhere in 
the State or territory for each of fiscal years 2016 through 2020. The 
remainder of the available funding is then apportioned to UZAs based on 
population, vehicle revenue miles, and passenger miles using the same 
apportionment formula and allocation process as the Urbanized Area 
Formula Program. Funds for UZAs under 200,000 in population are 
apportioned to the State for allocation to eligible recipients within 
such areas of the State at the Governor's discretion. Funds for UZAs 
with populations of 200,000 or more are apportioned directly to one or 
more designated recipient(s) within each UZA for allocation to eligible 
projects and recipients within the UZA.
    FTA allocates funds under the competitive section 5339(b) and 
5339(c) programs on an annual basis based on a notice of funding 
opportunity, which contains detailed guidance on applicant eligibility, 
project eligibility, evaluation criteria, and application requirements.
4. Requirements
    Eligible recipients for section 5339(a) formula grants include: (1) 
Designated recipients that allocate funds to fixed route bus operators, 
and (2) States local governmental entities that operate fixed route bus 
service. Eligible subrecipients to include public agencies or private 
nonprofit organizations engaged in public transportation, including 
those providing services open to a segment of the general public, as 
defined by age, disability, or low income. The definition of eligible 
recipients applies to funding apportioned in previous fiscal years that 
remain available for obligation. The requirements of the Urbanized Area 
Formula Program apply to recipients of section 5339 funds within an 
urbanized area. The requirements of Rural Areas Formula Program apply 
to recipients of section 5339 funds within rural areas.
    Under prior law, only designated recipients were eligible direct 
recipients of section 5339(a) funds. Given that State and local 
government entities that operate fixed route service are now eligible 
direct recipients of section 5339(a) funds. FTA does not require 
designated recipients to maintain program management plans (PMPs) if 
they do not manage any sub-awards of section 5339 funds.
    For additional program requirements, refer to FTA Circular 5100, 
``Bus and Bus Facilities Formula Program: Guidance and Application 
Instructions.''
5. Period of Availability
    The Bus and Bus Facilities Program formula funds apportioned in 
this notice are available for obligation during FY 2017 plus three 
additional years. Accordingly, funds apportioned in FY 2017 must be 
obligated in grants by September 30, 2020. Any FY 2017 apportioned 
funds that remain unobligated at the close of business on September 30, 
2020 will revert to FTA for reapportionment under the Bus and Bus 
Facilities Formula Program. Competitive program funds authorized under 
sections 5339(b) and 5339(c) follow the same period of availability.
6. Other Program Information
    Although it does not provide additional funding, as authorized 
under section 5339(a)(9), FTA has established a pilot program to allow 
designated recipients in urbanized areas between 200,000 and 1 million 
in population to elect to pool their Bus and Bus Facilities Program 
formula allocations with other designated recipients within their 
respective states. The purpose of this provision is to allow for the 
transfer of formula funding within a State in a manner that supports 
the transit asset management plans of the participating designated 
recipients. A State that intends to participate in this pilot program 
beginning in FY 2018 must submit a request to establish a State Pool to 
its FTA Regional Office by August 31, 2017. The request must identify 
the urbanized areas that will participate in the pool for FY 2018, and 
must include a letter from each participating designated recipient, and 
from any affected eligible recipients of section 5339(a) funds within 
the urbanized area, indicating their intention to participate in this 
pooling provision for FY 2017. An urbanized area that participates in a 
State Pool must contribute its entire section 5339(a) apportionment for 
the fiscal years in which it participates in the pool. A designated 
recipient for a multistate area may participate in only one State Pool. 
A State that does not establish a State Pool in FY 2018 may

[[Page 6709]]

choose to begin participating in this provision in a future fiscal 
year, but should be aware that the benefits of pooling program funds 
will be diminished over a shorter duration. For FY 2018, the request 
must specify the proposed distribution of the pooled funding and must 
provide a detailed explanation of how this distribution will support 
the transit asset management plans of each participating designated 
recipient, including any eligible recipients to which the designated 
recipient will allocate funding. Upon approval, FTA will make the 
requested amounts of program funding available to the urbanized areas 
as directed in the request. A State that elects to participate in this 
pilot program will be required to develop an allocation plan for the 
period of fiscal years 2018 through 2020 that ensures that a designated 
recipient participating in the State's pool receives under the program 
an amount of funds that equals the amount of funds that would have 
otherwise been available to the designated recipient for that period 
pursuant to the formulas provided. The amounts in the State Pool will 
be apportioned separately from funds apportioned to the State under the 
Governor's Apportionment for urbanized areas under 200,000 in 
population, and will be made available directly by FTA to the 
participating urbanized areas, as directed in the approved allocation 
plan. An allocation plan may be revised for future fiscal years, 
provided that it remains compliant with the requirement to ensure 
equity over the period the pool is in effect. Approved requests to 
establish a State Pool for the specified UZAs will remain in effect 
until cancelled at the request of the State or one or more designated 
recipients. If a State or designated recipient elects to end its 
participation in this pooling provision in any future fiscal year, FTA 
will adjust the formula allocations so that the total amount that each 
affected urbanized area has received over the fiscal years in which it 
participated, plus the following apportionment, equals the amount it 
would have received over this period had it not participated in the 
State pool. Adjustments will be made using the formula apportionment 
factors used for each of the affected fiscal years. After the pools are 
determined, FTA will publish a supplementary table showing the 
participating UZAs, the State total, and the amounts for each UZA for 
FY 2017. In future years, the States must provide the amounts 
determined by August 31 (in an updated allocation plan), so that FTA 
can publish the breakdowns and make the funds available in the 
Apportionment Notice.

P. Growing States and High Density States Formula Factors (49 U.S.C. 
5340)

    Federal transit law authorizes the use of formula factors to 
distribute additional funds to the section 5307 and Rural Areas Formula 
Program programs for growing states and high density states. FTA will 
continue to publish single urbanized and rural apportionments that show 
the total amount for section 5307 and 5311 programs that includes 
section 5340 apportionments for these programs.
    For more information or questions on this program, please contact 
Tara Clark at (202) 366-2623 or [email protected].
1. Authorized Amounts
    Federal transit law authorizes $544,433,788 for apportionment in FY 
2017 for the Growing States and High Density States Formula factors.
2. FY 2017 Funding Availability
    Under the Further Continuing and Security Assistance Appropriations 
Act, 2017 $307,663,675 is available through April 28, 2017.

------------------------------------------------------------------------
 Growing states and high density states formula factors
              available thru April 28, 2017                    2017
------------------------------------------------------------------------
Growing States..........................................    $156,222,132
High Density States.....................................     151,441,543
                                                         ---------------
  Total Apportioned.....................................     307,663,675
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    Under the Growing States portion of the section 5340 formula, FTA 
projects each State's 2025 population by comparing each State's 
apportionment year population (as determined by the Census Bureau) to 
the State's 2010 Census population and extrapolating to 2025 based on 
each State's rate of population growth between 2010 and the 
apportionment year. Each State receives a share of Growing States funds 
on the basis of its projected 2025 population relative to the 
nationwide projected 2025 population.
    Once each State's share is calculated, funds attributable to that 
State are divided into an urbanized area allocation and a non-urbanized 
area allocation on the basis of the percentage of each State's 2010 
Census population that resides in urbanized and non-urbanized areas. 
Urbanized Areas receive portions of their State's urbanized area 
allocation on the basis of the 2010 Census population in that urbanized 
area relative to the total 2010 Census population in all urbanized 
areas in the State. These amounts are added to the Urbanized Area's 
section 5307 apportionment.
    The States' rural area allocation is added to the allocation that 
each State receives under the Rural Areas Formula Program Formula 
Grants for Rural Areas program.
    The High Density States portion of the section 5340 formula are 
allocated to urbanized areas in States with a population density equal 
to or greater than 370 persons per square mile. Based on this threshold 
and 2010 Census data, the States that qualify are Maryland, Delaware, 
Massachusetts, Connecticut, Rhode Island, New York and New Jersey. The 
amount of funds provided to each of these seven States is allocated on 
the basis of the population density of the individual State relative to 
the population density of all seven States. Once funds are allocated to 
each State, funds are then allocated to urbanized areas within the 
States on the basis of an individual urbanized area's population 
relative to the population of all urbanized areas in that State.

Q. Washington Metropolitan Area Transit Authority Grants

    Section 601 of the Passenger Rail Investment and Improvement Act of 
2008 (PRIIA) authorized an aggregate amount of $150,000,000 to be 
available in increments over 10 fiscal years beginning in fiscal year 
2009 to assist Washington Metropolitan Transit Authority (WMATA) in 
implementing Capital Improvement Program and preventive maintenance 
projects.
    For more information or questions on the Washington Metropolitan 
Area Transit Authority Grants program, please contact Eric Hu at (202) 
366-0870 or [email protected] or Corey Walker at (202) 219-3562 or 
[email protected].
1. Authorized Amounts
    Section 601 of PRIIA authorizes $150,000,000 in FY 2017.
2. FY 2017 Funding Availability
    Under the Continuing Appropriations Act of 2017, $86,057,917 is 
available through April 28, 2017. The total amount available is 
$85,197,338 after the deduction for oversight as shown in the table 
below.

  Washington Metropolitan Area Transit Authority Grants Funds--FY 2017
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Total Appropriation Available through April 28, 2017....     $86,057,917
Oversight Deduction.....................................       (860,579)
                                                         ---------------

[[Page 6710]]

 
  Total Apportioned.....................................      85,197,338
------------------------------------------------------------------------

3. Basis for Formula Apportionment
    The funding is authorized under Section 601, Authorization for 
Capital and Preventive Maintenance Projects for Washington Metropolitan 
Area Transit Authority, of the Passenger Rail Investment and 
Improvement Act of 2008, (Pub. L. 110-432) Division B, Title VI.
4. Requirements
    Grants may be provided for capital and preventive maintenance 
expenditures for WMATA after it has been determined that WMATA has 
placed the highest priority on investments that will improve the safety 
of the system, including but not limited to fixing the track signal 
system, replacing 1000 series railcars, installing guarded turnouts, 
buying equipment for wayside worker protection, and installing rollback 
protection on cars that are not equipped with the safety feature. FTA 
will communicate further program requirements directly to WMATA. The 
maximum Federal share for each project shall be for 50 percent of the 
net project cost of the project, and matching funds shall be provided 
in cash from sources other than Federal funds or revenues from the 
operation of public transportation systems.
5. Period of Availability
    Funds appropriated for WMATA under Section 601 PRIIA shall remain 
available until expended.

R. Paul S. Sarbanes Transit in Parks Program

    The Paul S. Sarbanes Transit in Parks Program (Transit in Parks) at 
former 49 U.S.C. 5320, has provided grants for alternative 
transportation in and around America's national parks and Federal lands 
since 2006. FTA is establishing a deadline of September 30, 2017 to 
obligate funds allocated to recipients under the Transit in Parks 
program. Any competitive allocations that remain unobligated after 
September 30, 2017 will revert back to FTA.
    Alternative transportation projects formerly eligible under Transit 
in Parks are now eligible under the Federal Highway Administration's 
Federal Lands Transportation Program and the Federal Lands Access 
Program.

V. FTA Policy and Procedures for FY 2017 Grants

A. Automatic Pre-Award Authority To Incur Project Costs

1. Caution to New Grantees
    While FTA provides pre-award authority to incur expenses before 
grant award for formula programs, it recommends that first-time grant 
recipients NOT utilize this automatic pre-award authority without 
verifying with the appropriate FTA Regional Office that all pre-
requisite requirements have been met. As a new grantee, it is easy to 
misunderstand pre-award authority conditions and be unaware of all of 
the applicable FTA requirements that must be met in order to be 
reimbursed for project expenditures incurred in advance of grant award. 
FTA programs have specific statutory requirements that are often 
different from those for other Federal grant programs with which new 
grantees may be familiar. If funds are expended for an ineligible 
project or activity, or for an eligible activity but at an 
inappropriate time (e.g., prior to NEPA completion), FTA will be unable 
to reimburse the project sponsor and, in certain cases, the entire 
project may be rendered ineligible for FTA assistance.
2. Policy
    FTA provides pre-award authority to incur expenses before grant 
award for certain program areas described below. This pre-award 
authority allows grantees to incur certain project costs before grant 
approval and retain the eligibility of those costs for subsequent 
reimbursement after grant approval. The grantee assumes all risk and is 
responsible for ensuring that all conditions are met to retain 
eligibility. This pre-award spending authority permits an eligible 
grantee to incur costs on an eligible transit capital, operating, 
planning, or administrative project without prejudice to possible 
future Federal participation in the cost of the project. In this 
notice, FTA provides pre-award authority through the authorization 
period of the FAST Act (October 1, 2015 through September 30, 2020) for 
capital assistance under all formula programs, so long as the 
conditions described below are met. FTA provides pre-award authority 
for planning and operating assistance under the formula programs 
without regard to the period of the authorization. All pre-award 
authority is subject to conditions and triggers stated below:
a. Operating, Planning, or Administrative Assistance
    FTA does not impose additional conditions on pre-award authority 
for operating, planning, or administrative assistance under the formula 
grant programs. Grantees may be reimbursed for expenses incurred before 
grant award so long as funds have been expended in accordance with all 
Federal requirements, would have been allowable if incurred after the 
date of award, and the grantee is otherwise eligible to receive the 
funding. In addition to cross-cutting Federal grant requirements, 
program specific requirements must be met. For example, a planning 
project must have been included in a Unified Planning Work Program 
(UPWP); a section 5310 project must have been included in a coordinated 
public transit-human services transportation plan (coordinated plan) 
and selected by the designated recipient before incurring expenses; 
expenditures on State Administration expenses under State Administered 
programs must be consistent with the State Management Plan (as defined 
in FTA Circular 9040.1G, Chapter 6). Designated recipients for section 
5310 have pre-award authority for the ten percent of the apportionment 
they may use for program administration.
b. Transit Capital Projects
    For transit capital projects, the date that costs may be incurred 
varies depending on the type of activity and its potential to have a 
significant impact on the human and natural environment as described 
under conditions in section 3 below. Before an applicant may incur 
costs when pre-award authority has not been granted, it must first 
obtain a written Letter of No Prejudice (LONP) from FTA. To obtain an 
LONP, a grantee must submit a written request accompanied by adequate 
information and justification to the appropriate FTA regional office, 
as described in section 4 below.
c. Public Transportation Innovation, Technical Assistance and Workforce 
Development
    Unless provided for in an announcement of project selections, pre-
award authority does not apply to Public Transportation Innovation 
Public Transportation Innovation projects or section 5314 Technical 
Assistance and Workforce Development. Before an applicant may incur 
costs for activities under these programs, it must first obtain a 
written Letter of No Prejudice (LONP) from FTA. To obtain an LONP,

[[Page 6711]]

a grantee must submit a written request accompanied by adequate 
information and justification to the appropriate FTA headquarters 
office. Information about LONP procedures may be obtained from the 
appropriate headquarters office.
3. Conditions
    The conditions under which pre-award authority may be utilized are 
specified below:
    a. Pre-award authority is not a legal or implied commitment that 
the subject project will be approved for FTA assistance or that FTA 
will obligate Federal funds. Furthermore, it is not a legal or implied 
commitment that all items undertaken by the applicant will be eligible 
for inclusion in the project.
    b. All FTA statutory, procedural, and contractual requirements must 
be met.
    c. No action will be taken by the grantee that prejudices the legal 
and administrative findings that the Federal Transit Administration 
must make in order to approve a project.
    d. Local funds expended by the grantee after the date of the pre-
award authority will be eligible for credit toward local match or 
reimbursement if FTA later makes a grant or grant amendment for the 
project. Local funds expended by the grantee before the date of the 
pre-award authority will not be eligible for credit toward local match 
or reimbursement. Furthermore, the expenditure of local funds or the 
undertaking of certain activities that would compromise FTA's ability 
to comply with Federal environmental laws (e.g., project implementation 
activities such as land acquisition, demolition, or construction before 
the date of pre-award authority) may render the project ineligible for 
FTA funding.
    e. The Federal amount of any future FTA assistance awarded to the 
grantee for the project will be determined 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.
    f. For funds to which the pre-award authority applies, the 
authority expires with the lapsing of the fiscal year funds.
    g. When a grant for the project is subsequently awarded, the grant 
and the Federal Financial Report in TrAMS must indicate the use of pre-
award authority.
    h. Environmental Requirements.
    All Federal environmental grant requirements must be met at the 
appropriate time for the project to remain eligible for Federal 
funding. Designated recipients may incur costs for design and 
environmental review activities for all projects from the date of the 
authorization of formula funds or the date of the announcement of the 
competitive allocations of funds for the project. For projects that 
qualify for a categorical exclusion pursuant to 23 CFR 771.118(c), 
designated recipients may start activities and incur costs for property 
acquisition, demolition, construction, and acquisition of vehicles, 
equipment, or construction materials from the date of the authorization 
of formula funds or the date of the announcement of the competitive 
allocation of funds for the project. FTA recommends that a grant 
applicant considering a categorical exclusion pursuant to 23 CFR 
771.118(c) contact FTA's Regional Office for assistance in determining 
the appropriate environmental review process and level of documentation 
necessary before incurring costs for property acquisition, demolition, 
construction, and acquisition of vehicles, equipment, or construction 
materials. If FTA subsequently finds that a project does not to qualify 
for this CE, it will be ineligible for FTA assistance. In particular, 
FTA encourages grant applicants to contact FTA's Regional Office before 
exercising pre-award authority for projects to which it believes a CE 
at 23 CFR 771.118(c)(8), (9), (10), (12), or (13) applies.
    For all other projects that do not qualify for a categorical 
exclusion under 23 CFR 771.118(c), grant applicants may take action and 
incur costs for property acquisition, demolition, construction, and 
acquisition of vehicles, equipment, or construction materials from the 
date that FTA completes the environmental review process required by 
NEPA and its implementing regulations, 23 U.S.C. 139, and other 
environmental laws by its issuance of a section 771.118(d) categorical 
exclusion determination, a Finding of No Significant Impact (FONSI), or 
a Record of Decision (ROD).
    i. Planning and other requirements.
    Formula funds must be authorized or appropriated and earmarked 
project allocations published or announced before pre-award authority 
can be considered.
    The requirement that a project be included in a locally-adopted 
Metropolitan Transportation Plan, the metropolitan transportation 
improvement program and federally-approved statewide transportation 
improvement program (23 CFR part 450) must be satisfied before the 
grantee may advance the project beyond planning and preliminary design 
with non-federal funds under pre-award authority. If the project is 
located within an EPA-designated non-attainment or maintenance area for 
air quality, the conformity requirements of the Clean Air Act, 40 CFR 
part 93, must also be met before the project may be advanced into 
implementation-related activities under pre-award authority triggered 
by the completion of the NEPA process.
    For a planning project to have pre-award authority, the planning 
project must be included in a MPO-approved Unified Planning Work 
Program (UPWP) that has been coordinated with the State.
    j. Federal procurement procedures, as well as the whole range of 
applicable Federal requirements (e.g., Buy America, Davis-Bacon Act, 
and Disadvantaged Business Enterprise) must be followed for projects in 
which Federal funding will be sought in the future. Failure to follow 
any such requirements could make the project ineligible for Federal 
funding. In short, this increased administrative flexibility requires a 
grantee to make certain that no Federal requirements are circumvented 
through the use of pre-award authority.
    k. All program specific requirements must be met. For example, 
projects under section 5310 must comply with specific program 
requirements, including coordinated planning. Before incurring costs, 
grantees are strongly encouraged to consult with the appropriate FTA 
Regional office regarding the eligibility of the project for future FTA 
funds and for questions on environmental requirements, or any other 
Federal requirements that must be met.
4. Pre-Award Authority for the Fixed Guideway Capital Investment Grant 
Program (New and Small Starts Projects and Core Capacity Projects)
    Projects proposed for section 5309 Capital Investment Grant (CIG) 
program funds are required to follow a multi-step, multi-year process 
defined in law. For New Starts and Core Capacity projects, this process 
includes three phases: Project development (PD), engineering, and 
construction. For Small Starts projects, this process includes two 
phases: PD and construction. After receiving a letter from the project 
sponsor requesting entry into the PD phase, FTA must respond in writing 
within 45 days whether the information was sufficient for entry. If 
FTA's correspondence indicates the information was sufficient and the 
New Starts, Small Starts or Core Capacity project enters PD, FTA 
extends pre-award authority to the project sponsor to incur costs for 
PD activities. PD activities include the work necessary to complete the 
environmental review process and as much engineering and

[[Page 6712]]

design activities as the project sponsor believes are necessary to 
support the environmental review process. Upon completion of the 
environmental review process with a ROD, FONSI, or CE determination by 
FTA for a New Starts, Small Starts, or Core Capacity Improvement 
project, FTA extends pre-award authority to project sponsors to incur 
costs for as much engineering and design as needed to develop a 
reasonable cost estimate and financial plan for the project, utility 
relocation, and real property acquisition and associated relocations 
for any property acquisitions not already accomplished as a separate 
project for hardship or protective purposes or right-of-way under 49 
U.S.C. 5323(q).
    For Small Starts projects, upon completion of the environmental 
review process and confirmation from FTA that the overall project 
rating is at least a Medium, FTA extends pre-award authority for 
vehicle purchases. Upon receipt of a letter notifying a New Starts or 
Core Capacity project sponsor of the project's approval into the 
engineering phase, FTA extends pre-award authority for vehicle 
purchases as well as any remaining engineering and design, demolition, 
and procurement of long lead items for which market conditions play a 
significant role in the acquisition price. The long lead items include, 
but are not limited to, procurement of rails, ties, and other 
specialized equipment, and commodities.
    Please contact the FTA Regional Office for a determination of 
activities not listed here, but which meet the intent described above. 
FTA provides this pre-award authority in recognition of the long-lead 
time and complexity involved with purchasing vehicles as well as their 
relationship to the ``critical path'' project schedule. FTA cautions 
grantees that do not currently operate the type of vehicle proposed in 
the project about exercising this pre-award authority. FTA encourages 
these sponsors to wait until later in the process when project plans 
are more fully developed. FTA reminds project sponsors that the 
procurement of vehicles must comply with all Federal requirements 
including, but not limited to, competitive procurement practices, the 
Americans with Disabilities Act, Disadvantaged Business Enterprise 
program requirements and Buy America. FTA encourages project sponsors 
to discuss the procurement of vehicles with FTA in regards to Federal 
requirements before exercising pre-award authority. Because there is 
not a formal engineering phase for Small Starts projects, FTA does not 
extend pre-award authority for demolition and procurement of long lead 
items. Instead, this work must await receipt of a construction grant 
award or an expedited grant agreement.
a. Real Property Acquisition
    As noticed above, FTA extends pre-award authority for the 
acquisition of real property and real property rights for fixed 
Guideway Capital Investment Grant projects (New or Small Starts or Core 
Capacity) upon completion of the environmental review process for that 
project. The environmental review process is completed when FTA signs 
an environmental Record of Decision (ROD) or Finding of No Significant 
Impact (FONSI), or makes a Categorical Exclusion (CE) determination. 
With the limitations and caveats described below, real estate 
acquisition may commence, at the project sponsor's risk. For FTA-
assisted projects, any acquisition of real property or real property 
rights must be conducted in accordance with the requirements of the 
Uniform Relocation Assistance and Real Property Acquisition Policies 
Act (URA) and its implementing regulations, 49 CFR part 24. This pre-
award authority is strictly limited to costs incurred: (i) To acquire 
real property and real property rights in accordance with the URA 
regulation; and (ii) to provide relocation assistance in accordance 
with the URA regulation. This pre-award authority is limited to the 
acquisition of real property and real property rights that are 
explicitly identified in the final environmental impact statement 
(FEIS), environmental assessment (EA), or CE document, as needed for 
the selected alternative that is the subject of the FTA-signed ROD or 
FONSI, or CE determination. This pre-award authority regarding property 
acquisition that is granted at the completion of the environmental 
review process does not cover site preparation, demolition, or any 
other activity that is not strictly necessary to comply with the URA, 
with one exception--namely when a building that has been acquired, has 
been emptied of its occupants, and awaits demolition poses a potential 
fire safety hazard or other hazard to the community in which it is 
located, or is susceptible to reoccupation by vagrants. Demolition of 
the building is also covered by this pre-award authority upon FTA's 
written agreement that the adverse condition exists. Pre-award 
authority for property acquisition is also provided when FTA makes a CE 
determination for a protective buy or hardship acquisition in 
accordance with 23 CFR 771.117(d)(12). Pre-award authority for property 
acquisition is also provided when FTA completes the environmental 
review process for the acquisition of right-of-way as a separate 
project in accordance with 49 U.S.C. 5323(q). When a tiered 
environmental review in accordance with 23 CFR 771.111(g) is used, pre-
award authority is NOT provided upon completion of the first tier 
environmental document except when the Tier-1 ROD or FONSI signed by 
FTA explicitly provides such pre-award authority for a particular 
identified acquisition. Project sponsors should use pre-award authority 
for real property acquisition relocation assistance with a clear 
understanding that it does not constitute a funding commitment by FTA. 
FTA provides pre-award authority upon completion of the environmental 
review process for real property acquisition and relocation assistance 
to maximize the time available to project sponsors to move people out 
of their homes and places of business, in accordance with the 
requirements of the URA, but also with maximum sensitivity to the 
circumstances of the people so affected.
b. Reimbursement of Costs Incurred Under Pre-Award Authority
    Although FTA provides pre-award authority for property acquisition, 
long lead items, and vehicle purchases upon completion of the 
environmental review process, FTA will not make a grant to reimburse 
the sponsor for real estate activities, vehicle purchases or purchases 
of long lead items conducted under pre-award authority until the 
project receives its construction grant. This is to ensure that Federal 
funds are not risked on a project whose advancement into construction 
is not yet assured.
c. National Environmental Policy Act (NEPA) Activities
    NEPA requires that major projects proposed for FTA funding 
assistance be subjected to a public and interagency review of the need 
for the project, its environmental and community impacts, and 
alternatives to avoid and reduce adverse impacts. Projects of more 
limited scope also need a level of environmental review, either to 
support an FTA finding of no significant impact (FONSI) or to 
demonstrate that the action is categorically excluded (i.e., CE) from 
the more rigorous level of NEPA review. FTA's regulation titled 
``Environmental Impact and Related Procedures,'' at 23 CFR part 771 
states that the costs incurred by a grant applicant for the preparation 
of environmental documents requested by FTA are eligible for FTA 
financial assistance (23 CFR 771.105(e)). Accordingly, FTA extends pre-
award authority for costs incurred to comply

[[Page 6713]]

with NEPA regulations and to conduct NEPA-related activities, effective 
as of the earlier of the following two dates: (1) The date of the 
Federal approval of the relevant STIP or STIP amendment that includes 
the project or any phase of the project, or that includes a project 
grouping under 23 CFR 450.216(j) that includes the project; or (2) the 
date that FTA approves the project into the project development phase 
of the CIG program. The grant applicant must notify the FTA Regional 
Office to initiate the Federal environmental review process in 
accordance with the ``Dear Colleague'' letter from the FTA 
Administrator dated February 24, 2011. NEPA-related activities include, 
but are not limited to, public involvement activities, historic 
preservation reviews, section 4(f) evaluations, wetlands evaluations, 
endangered species consultations, and biological assessments. This pre-
award authority is strictly limited to costs incurred to conduct the 
NEPA process and associated engineering, and to prepare environmental, 
historic preservation and related documents. When a New Starts, Small 
Starts, or Core Capacity project is granted pre-award authority for the 
environmental review process, the reimbursement for NEPA activities 
conducted under pre-award authority may be sought at any time through 
section 5307 (Urbanized Area Formula Program) or the flexible highway 
programs (STP and CMAQ). Reimbursement from the section 5309 CIG 
program for NEPA activities conducted under pre-award authority is 
provided only for expenses incurred after entry into the project 
development phase and only once a construction grant agreement is 
signed. As with any pre-award authority, FTA reimbursement for costs 
incurred is not guaranteed.
d. Other New and Small Starts and Core Capacity Project Activities 
Requiring Letter of No Prejudice (LONP)
    Except as discussed in paragraphs i through iii above, a CIG 
project sponsor must obtain a written LONP from FTA before incurring 
costs for any activity not covered by pre-award authority. To obtain an 
LONP, an applicant must submit a written request accompanied by 
adequate information and justification to the appropriate FTA Regional 
Office, as described in B below.

B. Letter of No Prejudice (LONP) Policy

1. Policy
    LONP authority allows an applicant to incur costs on a project 
utilizing non-Federal resources, with the understanding that the costs 
incurred subsequent to the issuance of the LONP may be reimbursable as 
eligible expenses or eligible for credit toward the local match should 
FTA approve the project at a later date. LONPs are applicable to 
projects and project activities not covered by automatic pre-award 
authority. The majority of LONPs will be for section 5309 Capital 
Investment Grant program projects (New or Small Starts or Core 
Capacity) undertaking activities not covered under automatic pre-award 
authority. LONPs may be issued for formula and competitive funds beyond 
the life of the current authorization or FTA's extension of automatic 
pre-award authority; however, the LONP is limited to a five-year 
period, unless otherwise authorized in the LONP. Receipt of Federal 
funding under any program is not implied or guaranteed by an LONP.
2. Conditions and Federal Requirements
    The conditions and requirements for pre-award authority specified 
in section V.4.ii and V.4.iii above apply to all LONPs. Because project 
implementation activities may not be initiated before completion of the 
environmental review process, FTA will not issue an LONP for such 
activities until the environmental review process has been completed 
with a ROD, FONSI, or CE determination.
3. Request for LONP
    Before incurring costs for project activities not covered by 
automatic pre-award authority, the project sponsor must first submit a 
written request for an LONP, accompanied by adequate information and 
justification, to the appropriate regional office and obtain written 
approval from FTA. FTA approval of an LONP is determined on a case-by-
case basis. Federal funding under the Fixed Guideway Capital Investment 
Grant program for a New Starts, Small Starts, or Core Capacity project 
is not implied or guaranteed by an LONP. Specifically, when requesting 
an LONP, the applicant shall provide the following items:
    a. Description of the activities to be covered by the LONP.
    b. Justification for advancing the identified activities. The 
justification should include an accurate assessment of the consequences 
to the project scope, schedule, and budget should the LONP not be 
approved.
    c. Allocated level of risk and contingency for the activity 
requested.

C. FY 2017 Annual List of Certifications and Assurances

    The FY 2017 Certifications and Assurances and Master Agreement are 
currently available in TrAMS and must be used for all grants and 
cooperative agreements awarded in FY 2017. All recipients with active 
projects are required to sign the FY 2017 Certifications and Assurances 
within 90 days of publication. The FY 2017 Certifications and 
Assurances publication date of December 20, 2016.

D. Civil Rights Requirements

1. Equal Employment Opportunity (EEO)
    The FTA Office of Civil Rights released an updated EEO Circular, 
FTA Circular 4704.1A, effective October 31, 2016. The Circular provides 
guidance to FTA grant recipients to carry out EEO requirements and 
prepare EEO Program Plans. The updated FTA EEO Circular is posted at 
https://www.transit.dot.gov/regulations-and-guidance/civil-rights-ada/eeo-circular. Based on feedback received since publication of the 
Circular, FTA would like to provide clarification regarding the 
Circular.
    First, State DOTs are subject to the same threshold requirements 
for FTA EEO Program submissions, located in Circular Section 1.4, 
Applicability, as other recipients. A State DOT must only submit a 
transit-related EEO Program if: (1) It employs 100 or more transit-
related employees; and (2) requests or receives capital or operating 
assistance in excess of $1 million in the previous Federal fiscal year, 
or requests or receives planning assistance in excess of $250,000 in 
the previous Federal fiscal year. In accordance with a One DOT approach 
and pursuant to the forthcoming Memorandum of Understanding (MOU) with 
the Federal Highway Administration (FHWA), State DOTs must submit a 
single EEO Program to FHWA and FTA which will be jointly reviewed, 
monitored, and approved in accordance with FHWA and FTA regulations 
every four years. As part of the implementation of the MOU, FTA will be 
collecting all State DOT EEO Programs every four years via TrAMS. 
Therefore, a State DOT that does not meet the threshold requirements 
outlined in Circular Section 1.4 must still submit the FHWA-required 
EEO Program every four years to FTA, but will not be required to submit 
a transit-related EEO Program.
    Second, we wish to clarify the threshold requirements for preparing 
and maintaining an abbreviated EEO Program, which is discussed in 
Circular Section 1.4. In the paragraph discussing

[[Page 6714]]

the requirements for agencies employing between 50-99 transit-related 
employees, FTA inadvertently did not include the monetary threshold 
that has been in place since at least 1988. Thus, an agency is required 
to prepare and maintain an abbreviated EEO Program only if: (1) It has 
between 50-99 transit-related employees; and (2) it requests or 
receives capital or operating assistance in excess of $1 million in the 
previous Federal fiscal year, or requests or receives planning 
assistance in excess of $250,000 in the previous Federal fiscal year. 
The inadvertent absence of the monetary threshold would require more 
agencies to prepare and maintain EEO Programs. Thus, reinstating the 
threshold reduces the burden on transit agencies and maintains the 
status quo.
    Third, only direct recipients who cross the EEO Program threshold 
requirements in Circular Section 1.4, and State DOTs are required to 
prepare and/or submit an EEO Program to FTA. All subrecipients and 
contractors who cross the EEO Program threshold must submit EEO 
Programs to the entity from which they receive funds, generally the 
transit agency or the State DOT, as appropriate. This will allow State 
DOTs and transit agencies to determine and document that subrecipients 
and contractors comply with EEO statutes and regulations, in accordance 
with their monitoring responsibilities. FTA applicants, recipients, 
subrecipients, and contractors that do not meet the EEO Program 
threshold are not required to submit an EEO Program to FTA or to the 
entity from which they receive funds.
    FTA will amend the pages of the Circular affected by the above 
clarifications and will post the updated Circular on FTA's Web site.
2. Title VI of the Civil Rights Act of 1964
    The U.S. DOT's Title VI implementing regulations are found in 49 
CFR part 21. FTA's Title VI Circular (4702.1B) provides guidance for 
carrying out the regulatory requirements. Recipients in urbanized areas 
of 200,000 or more in population and with 50 or more fixed-route 
vehicles in peak service must conduct a service or fare equity analysis 
for all service changes that meet the recipient's definition of ``major 
service change'' prior to implementing the service change. A service 
equity analysis is also required for all New Start, Small Start, or 
other new fixed guideway capital projects, and must be completed six 
months prior to implementing revenue service. Recipients also must 
conduct a fare equity analysis for all fare increases or decreases 
prior to implementing a fare change. Recipients that do not meet the 
abovementioned threshold of 200,000 or more in population and 50 fixed 
route vehicles in peak service (i.e., small transit providers) are not 
required to conduct a service or fare equity analysis but should review 
their policies and practices to ensure their service and fare changes 
do not result in disparate impacts on the basis of race, color, or 
national origin.
    FTA would also like to stress the importance of public 
participation. Recipients must facilitate effective public engagement 
throughout all stages of the consultation, planning, and the decision-
making process. Particular emphasis should be given to affected, and 
potentially affected, communities. FTA recommends that recipients 
anticipating service and fare changes review FTA Circular 4703.1, 
Environmental Justice Policy Guidance, Chapter III, Achieving 
Meaningful Public Engagement with Environmental Justice Populations, 
available at https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/environmental-justice-policy-guidance-federal-transit for 
ideas on how to engage affected populations. Should you have any 
questions, please contact your Regional Civil Rights Officer.

E. Consolidated Planning Grants

    FTA and FHWA planning funds under both the Metropolitan Planning 
and State Planning and Research Programs can be consolidated into a 
single consolidated planning grant, awarded by either FTA or FHWA. The 
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.
    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 Ann Souvandara, Office of 
Budget and Policy, FTA, at (202)366-0649.

F. Grant Application Procedures

    All applications for FTA funds should be submitted to the 
appropriate FTA Regional Office. All applications are filed 
electronically. FTA continues to award and manage grants and 
cooperative agreements using the Transit Award Management System 
(TrAMS) which re-opened for financial activity on November 1, 2016. 
Information on accessing and using TrAMS, including a list of FTA 
points of contact for the system, can be found on FTA's Web site at 
http://www.transit.dot.gov/TrAMS.
    FTA regional staff is responsible for working with grantees to 
review and process grant applications. In order for an application to 
be considered complete and for FTA to assign a Federal Award 
Identification Number (FAIN), enabling submission in TrAMS, and 
submission to the Department of Labor (when applicable), the following 
requirements must be met:
    1. Recipient has registered in the System for Award Management 
(SAM) and its registration is current. If your agency is not registered 
or needs to ensure it is current, visit the SAM Web site at (https://www.sam.gov).
    2. Recipient's contact information, including Dun and Bradstreet 
Data Universal Numbering System (DUNS), is correct and up-to-date. If 
requested by phone (1-866-705-5711), DUNS is provided immediately. If 
your organization does not have a DUNS, you will need to go to the Dun 
& Bradstreet Web site at http://fedgov.dnb.com/webform to obtain the 
number.
    3. Recipient has properly submitted its annual certifications and 
assurances.
    4. Recipient's Civil Rights submissions are current.
    5. Documentation is on file to support recipient's status as either 
a designated recipient (for the program and area) or a direct 
recipient.
    6. Funding is available, including any flexible funds included in 
the budget, and split letters or suballocation letters on file (where 
applicable) to support amount being applied for in grant application.
    7. The project is listed in a currently approved Transportation 
Improvement Program (TIP); Statewide Transportation Improvement Program 
(STIP), or Unified Planning Work Program (UPWP).

[[Page 6715]]

    8. All eligibility issues are resolved.
    9. Required environmental findings are made.
    10. The application contains a well-defined scope of work including 
at least one project with accompanying project narratives, budget scope 
and activity line item information, Federal and non-Federal funding 
amounts, and milestones.
    11. Major Capital Projects as defined by 49 CFR part 633 ``Project 
Management Oversight'' must document FTA has reviewed the project 
management plan and provided approval.
    12. Milestone information is complete, or FTA determines that 
milestone information can be finalized before the grant is ready for 
award. FTA will also review status of other open grants' reports to 
confirm financial and milestone information is current on other open 
grants and projects.
    Before FTA can award grants for competitive projects and 
activities, notification must be provided to the House and Senate 
authorizing and appropriations committees.
    Other important issues that impact FTA grant processing activities 
are discussed below.
a. System for Award Management (SAM) Registration and Dun and 
Bradstreet Universal Numbering System (DUNS) Number
    Each applicant or recipient of Federal Funds is required to: (1) Be 
registered in SAM before submitting its application; (2) provide a 
valid DUNS number in its application; and (3) continue to maintain an 
active SAM registration with current information at all times during 
which it has an active award or an application or plan under 
consideration by the Federal Transit Administration (FTA). FTA will not 
make an award to an applicant until the applicant has complied with all 
applicable DUNS and SAM requirements and, if an applicant has not fully 
complied with the requirements by the time the FTA is ready to make a 
Federal award, FTA may determine that the applicant is not qualified to 
receive a Federal award and use that determination as a basis for 
making a Federal award to another applicant.
    The System for Award Management (SAM) https://www.sam.gov/portal/SAM/ is the Official U.S. Government system that consolidated the 
capabilities of many systems. There is no fee to register or use this 
site. Entities may register and update their information at no cost 
directly from the above site. SAM registration (formerly CCR 
registration) needs to be renewed at least annually.
b. Award Budgets--Scope Codes and Activity Line Items (ALI) Codes; 
Financial Purpose Codes
    FTA uses the Scope and Activity Line Item (ALI) Codes in the award 
budgets to track disbursements, monitor program trends, report to 
Congress, and to respond to requests from the Inspector General and the 
Government Accountability Office (GAO), as well as to manage grants. 
The accuracy of the data is dependent on the careful and correct use of 
codes.
c. Designated and Direct Recipients Documentation
    For its formula programs, FTA primarily apportions funds to the 
designated recipient in the large UZAs (areas over 200,000), or for 
areas under 200,000 (small UZAs and rural areas), it apportions the 
funds to the Governor, or its designee (e.g., State DOT). Depending on 
the program and as described in the individual program sections found 
in Section IV of this notice, further suballocation of funds may be 
permitted to eligible recipients who can then apply directly to FTA for 
the funding (direct recipients), so long as the required documentation 
is on file.
    For the programs in which FTA can make grants to eligible direct 
recipients, other than the designated recipient(s), recipients are 
reminded that documentation must be on file to support the: (1) Status 
of the recipient either as a designated recipient or direct recipient; 
and (2) the allocation of funds to the direct recipient.
    Documentation to support existing designated recipients for the UZA 
must also be on file at the time of the first application in FY 2017. 
Further, split letters and/or suballocation letters (Governor's 
Apportionment letters), must also be on file to support grant 
applications from direct recipients. Once suballocation letters for FY 
2017 funding are finalized they should also be uploaded into TrAMS.
    The Direct Recipient is required to upload to TrAMS a copy of the 
Designated Recipient letter indicating their allocation of funding [for 
the appropriate fund program] when the applicant transmits their 
application for initial review. The letter must be signed by the 
Designated Recipient, or as applicable in accordance with their 
planning requirements. If there are two Designated Recipients, both 
entities must sign the Letter. The Letter must: (1) Indicate the 
allocations to the respective Direct Recipients listed in the letter; 
(2) incorporate language above the signatories to reflect this 
agreement; and (3) make clear that the Direct Recipient will assume 
any/all responsibility associated with the award for the funds. When 
drafting the letter, Designated Recipients may use the template 
language below:
    ``As identified in this Letter, the Designated Recipient(s) 
authorize the reassignment/reallocation of [enter fund source; e.g. 
Section 5307 funds] to the Direct Recipient(s) named herein. The 
undersigned agree to the amounts allocated/reassigned to each direct 
Recipient. Each Direct Recipient is responsible for its application to 
the Federal Transit Administration to receive such funds and assumes 
the responsibilities associated with any award for these funds.''
2. Payments
    Once a grant has been awarded and executed, requests for payment 
can be processed. To process payments, FTA uses ECHO-Web, an Internet 
accessible system that provides grantees the capability to submit 
payment requests on-line, as well as receive user-IDs and passwords via 
email. New applicants should contact the appropriate FTA Regional 
Office to obtain and submit the registration package necessary for set-
up under ECHO-Web.
3. Oversight
    FTA is responsible for conducting oversight activities to help 
ensure that grants recipients use FTA Federal financial assistance in a 
manner consistent with their intended purpose and in compliance with 
regulatory and statutory requirements. FTA conducts periodic oversight 
reviews to assess grantee compliance with applicable Federal 
requirements. Each Urbanized Area Formula Program recipient is reviewed 
every three years, (also known as FTA's Triennial Review); and States 
and state-wide public transportation agencies are reviewed periodically 
to assess the management practices and program implementation of FTA 
state-wide programs (e.g., Planning, Rural Areas, Enhanced Mobility of 
Seniors and Individuals with Disabilities Programs). Other more 
detailed reviews are scheduled based on an annual grantee oversight 
assessment. Important objectives of FTA's oversight program include, 
but are not limited to: Determining grantee compliance with Federal 
requirements; identifying technical assistance needs, and delivering 
technical assistance to meet those needs; spotting emerging issues with 
grantees in a forward-looking fashion; recognizing when there is a need 
for more in-depth reviews in the

[[Page 6716]]

areas of procurement, financial management, and civil rights; and 
identifying grantees with recurring or systemic issues.
4. Technical Assistance
    As noted throughout the notice, FTA continues to rely on several of 
the existing program circulars for general program guidance. FTA is 
continuing to update the program circulars, with an opportunity for 
notice and comment (where warranted), to reflect amendments to chapter 
53 of title 49, U.S.C. made by the FAST Act. In the meantime, if you 
have any questions, please do not hesitate to contact FTA. FTA 
headquarters and regional staff will be pleased to answer your 
questions and provide any technical assistance you may need to apply 
for FTA program funds and manage the grants you receive. At its 
discretion, FTA may also use program oversight consultants to provide 
technical assistance to grantees on a case by case basis. This notice 
and the program guidance circulars previously identified in this 
document may be accessed via the FTA Web site at www.fta.dot.gov

G. Grant Management

1. Grant Reporting
    Recipients of FTA funds are reminded that all FTA grantees are 
required to report on their grants and it is critical to ensure reports 
demonstrate that reasonable progress is being made on the project. At a 
minimum, all awards require a Federal Financial Report (FFR) and a 
Milestone Progress Report (MPR) on an annual basis, with some reports 
required quarterly depending on the recipient and the type of projects 
funded under the grant. The requirements for these reports and other 
reporting requirements can be found in the latest version of FTA 
Circular 5010. FTA staff, auditors, and contractors rely on the 
information provided in the FFR and MPR to review and report on the 
status of both financial and project-level activities contained in the 
grant. It is critical that recipients provide accurate and complete 
information in these reports and submit them by the required due date. 
Failure to report and/or demonstrate reasonable progress on projects 
can result in suspension or premature close-out of a grant.
2. Inactive Grants and Grant Closeout
    In FY 2017, FTA will continue to focus on identifying and working 
with recipients to close inactive grants. If appropriate, FTA will take 
action to close out and deobligate funds from these grants if 
reasonable progress is not made. The efficient use of funds will 
further FTA's fulfillment of its mission to provide efficient and 
effective public transportation systems for the nation. As inactive 
grants continue to be an audit finding within the DOT, FTA must take 
action to ensure its grants do not impact the DOT from receiving a 
``clean audit'' opinion on its annual financial statements.
    In October 2016, FTA identified a list of grants that were awarded 
on or prior to September 30, 2013 and have had no funds disbursed since 
September 30, 2015 or have never had a disbursement. FTA Regional 
Offices will be contacting grant recipients with grants that meet this 
criteria to notify them that FTA intends to close the grant and 
deobligate any remaining funds unless the grantee can provide 
information that demonstrates that the projects funded by the grant 
remain active and the grantee has a realistic schedule to expedite 
completion of the projects funded in the grant.

Matthew Welbes,
Executive Director.
[FR Doc. 2017-01194 Filed 1-18-17; 8:45 am]
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                                                  6692                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  even if a formal declaration of an                      discussion of that program in the text of              existing FTA program statutes (49
                                                  emergency is not eventually made by                     this notice. FTA recommends that                       U.S.C. 5301, et. seq.) and changes
                                                  the President, governor or mayor.                       stakeholders subscribe on FTA’s Web                    resulting from the Fixing America’s
                                                  Therefore, a request for relief is not                  site www.transit.dot.gov to receive email              Surface Transportation (FAST) Act
                                                  necessary in order to provide this                      notifications when new information is                  (Pub. L. 114–94), signed by President
                                                  service. However, if the emergency lasts                available.                                             Obama on December 4, 2015 and
                                                  more than 45 calendar days, the grantee                 SUPPLEMENTARY INFORMATION:                             effective on October 1, 2015.
                                                  or subgrantee shall follow the                                                                                    In addition, this document provides
                                                  procedures set out in this notice.                      Table of Contents
                                                                                                                                                                 notice of funding availability through
                                                     FTA reserves the right to reopen any                 I. Overview                                            April 28, 2017 by the Further
                                                  docket and reconsider any decision                      II. FY 2017 Funding for FTA Programs                   Continuing and Security Assistance
                                                  made pursuant to these emergency                           A. Funding Based on the Further
                                                                                                                                                                 Appropriations Act, 2017 (Pub. L. 114–
                                                  procedures based upon its own                                 Continuing and Security Assistance
                                                  initiative, based upon information or                         Appropriations Act, 2017 (Pub. L. 114–           254) contract authority for FTA formula
                                                  comments received subsequent to the                           254)                                             and competitive programs pursuant to
                                                  three business day comment period, or                      B. Oversight Takedown                               the Further Continuing and Security
                                                  at the request of a grantee or subgrantee                  C. FY 2017 Formula Apportionments: Data             Assistance Appropriations Act, 2017
                                                                                                                and Methodology                                  (Pub. L. 114–254) (‘‘Continuing
                                                  upon denial of a request for relief. FTA                III. FY 2017 Program Highlights and Changes
                                                  shall notify the grantee or subgrantee if                                                                      Appropriations Act’’).
                                                                                                             A. Focus Areas
                                                  it plans to reconsider a decision. FTA                  IV. FY 2017 Program-Specific Information                  For each FTA program, FTA has
                                                  decision letters, either granting or                       A. Metropolitan Planning Program (49                provided information on the FY 2017
                                                  denying a petition, shall be posted in                        U.S.C. 5303 and 5305(d))                         authorized funding levels, the basis for
                                                  the Emergency Relief Docket and shall                      B. State Planning and Research Program              apportionment or allocation of funds,
                                                  reference the document number of the                          (49 U.S.C. 5304 and 5305(e))                     requirements specific to the program,
                                                                                                             C. Urbanized Area Formula Program (49               the period of availability of funds, and
                                                  petition to which it relates.                                 U.S.C. 5307)
                                                                                                             D. Fixed Guideway Capital Investment
                                                                                                                                                                 other program information. A separate
                                                  Carolyn Flowers,
                                                                                                                Grant Program (49 U.S.C. 5309)                   section provides information on pre-
                                                  Acting Administrator.                                                                                          award authority as well as other
                                                                                                             E. Enhanced Mobility of Seniors and
                                                  [FR Doc. 2017–01172 Filed 1–18–17; 8:45 am]                   Individuals With Disabilities Program            requirements and guidance applicable
                                                  BILLING CODE P                                                (49 U.S.C 5310)                                  to FTA programs and grant
                                                                                                             F. Formula Grants for Rural Areas Program           administration. Finally, the notice
                                                                                                                (49 U.S.C. 5311)                                 includes referred to tables on FTA’s
                                                  DEPARTMENT OF TRANSPORTATION                               G. Rural Transportation Assistance                  Web site that show $5,323,087,320 in
                                                                                                                Program (49 U.S.C. 5311(b)(3))
                                                  Federal Transit Administration                             H. Appalachian Development Public
                                                                                                                                                                 new contract authority apportioned
                                                                                                                Transportation Assistance Program (49            through April 28, 2017 and
                                                  FTA Fiscal Year 2017 Apportionments,                          U.S.C. 5311(c)(2))                               approximately $1.04 billion in
                                                  Allocations, Program Information and                       I. Formula Grants for Public Transportation         unobligated or carryover contract
                                                  Interim Guidance                                              on Indian Reservations Program (49               authority that is available in FY 2017
                                                                                                                U.S.C. 5311(j))                                  from prior years.
                                                  AGENCY: Federal Transit Administration                     J. Public Transportation Innovation (49
                                                  (FTA), DOT.                                                   U.S.C. 5312)                                        Information in this document
                                                                                                             K. Technical Assistance and Workforce               includes references to the existing FTA
                                                  ACTION: Notice.
                                                                                                                Development (49 U.S.C. 5314)                     program guidance and circulars. Some
                                                  SUMMARY:   This notice provides interim                    L. Public Transportation Emergency Relief           information may have been superseded
                                                  guidance for programs in FY 2017,                             Program (49 U.S.C. 5324)                         by new provisions in the FAST Act, but
                                                  announces the apportionments and                           M. Public Transportation Safety Program             these guidance documents and circulars
                                                                                                                (49 U.S.C. 5329)                                 remain a resource for program
                                                  allocations for programs authorized and                    N. State of Good Repair Program (49 U.S.C.
                                                  funded by the Further Continuing and                                                                           management in most areas. FTA intends
                                                                                                                5337)
                                                  Security Assistance Appropriations Act,                    O. Grants for Buses and Bus Facilities              to revise the guidance and circulars, as
                                                  2017 (Pub. L. 114–254) and provides                           Program (49 U.S.C. 5339)                         appropriate, with an opportunity for
                                                  contract authority, and describes future                   P. Growing States and High Density States           public comment where necessary.
                                                  plans for several competitive programs.                       Formula Factors (49 U.S.C. 5340)
                                                                                                             Q. Washington Metropolitan Area Transit             II. FY 2017 Funding for FTA Programs
                                                  The notice also includes locations of FY
                                                  2017 apportionment tables and                                 Authority Grants                                 A. Funding Based on the Further
                                                                                                             R. Paul S. Sarbanes Transit in Parks
                                                  unobligated (or carryover) funds                              Program (49 U.S.C. 5320)
                                                                                                                                                                 Continuing and Security Assistance
                                                  allocated under the competitive                         V. FTA Policy and Procedures for FY 2017               Appropriations Act, 2017
                                                  programs from prior years.                                    Grants
                                                  FOR FURTHER INFORMATION CONTACT: For                       A. Automatic Pre-Award Authority To                   The Further Continuing and Security
                                                  general information about this notice                         Incur Project Costs                              Assistance Appropriations Act, 2017
                                                  contact Kimberly Sledge, Director,                         B. Letter of No Prejudice (LONP) Policy             (Pub. L. 114–254) makes new funding
                                                  Office of Transit Programs, at (202) 366–                  C. FY 2017 Annual List of Certifications            available for FY 2017 available through
                                                  2053. Please contact the appropriate
                                                                                                                and Assurances                                   April 28, 2017. At approximately seven
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                                                                                                             D. Civil Rights Requirements                        twelfths of the FY 2016 level.
                                                  FTA Regional Office for any specific                       E. Consolidated Planning Grants
                                                  requests for information or technical                      F. Grant Application Procedures                       Current funding availability for each
                                                  assistance. FTA Regional Office contact                    G. Grant Management                                 program is identified in section IV of
                                                  information is available on FTA’s Web                                                                          this notice and in Table 1 located on
                                                  site: www.transit.dot.gov.                              I. Overview                                            FTA’s FY 2017 Apportionment Web
                                                     An FTA headquarters contact for each                    This document contains important                    page: www.transit.dot.gov/funding/
                                                  major program area is included in the                   information and interim guidance about                 apportionments.


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                            6693

                                                  B. Oversight Takedown                                   FY 2017 began. Any recipient or                        Governance Program establishes specific
                                                    The FAST Act modified section                         beneficiary of either section 5307 or                  criteria for determining eligibility for a
                                                  5338(f) to provide for the following                    Rural Areas Formula Program program                    tribe to participate in the program. DOT
                                                  oversight takedowns of FTA programs:                    funds is required to report to the NTD.                will implement this program in
                                                  0.5 percent of Metropolitan and                         Additionally, a number of transit                      consultation with tribal representatives
                                                  Statewide Planning funds, 0.75 percent                  operators report to the FTA’s NTD on a                 and other interested stakeholders. A
                                                  of Urbanized Area Formula funds, 1                      voluntary basis. For the 2015 report                   Negotiated Proposed Rulemaking to
                                                  percent of Fixed Guideway Capital                       year, the NTD includes data from 866                   implement this program is under
                                                  Investment funds, 0.5 percent of                        reporters in urbanized areas, 836 of                   development.
                                                  Formula Grants for the Enhanced                         which reported operating transit service.
                                                                                                          The NTD also includes data from 1,551                  2. Public Transportation Innovation
                                                  Mobility of Seniors and Individuals
                                                  with Disabilities, 0.5 percent of Formula               providers of rural transit service, which                 FTA’s research mission is to advance
                                                  Grants for Rural Areas, 1 percent of                    includes 134 Indian Tribes providing                   public transportation innovation by
                                                  State of Good Repair Formula funds,                     transit service.                                       leading multi-dimensional research,
                                                  0.75 percent for Grants for Buses and                      The 2010 Census data is used to                     development, demonstration,
                                                  Bus Facilities, and 1 percent of Capital                determine population and population                    deployment, and technical assistance
                                                  and Preventive Maintenance Projects for                 density for sections 5303, 5305, 5307                  projects for the transit industry that
                                                  Washington Metropolitan Area Transit                    and 5339 as well as rural population                   improves riders’ experiences and
                                                  Authority funds. The funds are used to                  and rural land area for Rural Areas                    enhances public transit’s effectiveness,
                                                  provide necessary oversight activities,                 Formula Program. The formulas for                      efficiency, quality, and safety. FTA’s
                                                  such as oversight of the construction of                sections 5307, 5311, and 5311(j) include               Office of Research, Demonstration, and
                                                  any major capital project receiving                     tiers where funding is allocated on the                Innovation sought industry input on a
                                                  Federal transit assistance; to conduct                  basis of the number of persons living in               five year research strategic plan. The
                                                  State Safety Oversight, drug and                        poverty, and the section 5310 formula                  result was an affirmation of FTA’s
                                                  alcohol, civil rights, procurement                      program allocates funding on the basis                 research strategic goals to improve
                                                  systems, management, planning                           of the population of older adults and                  safety, enhance mobility, promote asset
                                                                                                          people with disabilities. The Census                   management, and expand asset
                                                  certification, and financial reviews and
                                                                                                          Bureau no longer publishes decennial                   innovation. These goals directly address
                                                  audits, as well as evaluations and
                                                                                                          census data on persons living in poverty               and support the six primary purposes of
                                                  analyses of grantee-specific problems
                                                                                                          and persons with disabilities. As a                    U.S. DOT’s transportation research and
                                                  and issues; and to generally provide
                                                                                                          result, since FY 2013, FTA used the data               development program as defined in
                                                  technical assistance and correct
                                                                                                          for these populations available via the                Section 6503 of the FAST Act as
                                                  deficiencies identified in compliance
                                                                                                          Census’ American Community Survey                      follows:
                                                  reviews and audits.
                                                                                                          (ACS). The NTD and census data that                       • Improving mobility of people and
                                                  C. FY 2017 Formula Apportionments:                      FTA used to calculate the                              goods;
                                                  Data and Methodology                                    apportionments associated with this                       • Reducing congestion;
                                                                                                          notice can be found on FTA’s Web site:                    • Promoting safety;
                                                  1. Apportionment Tables
                                                                                                          www.transit.dot.gov/funding/                              • Improving the durability and
                                                     FTA is publishing apportionment                      apportionments.                                        extending the life of transportation
                                                  tables on its Web site for each program                    The FY 2017 apportionments use data                 infrastructure;
                                                  that reflects the funding level in the                  on low-income persons, persons with                       • Preserving the environment; and
                                                  continuing resolution appropriations                    disabilities, and older adults from the                   • Preserving the existing
                                                  less oversight take-downs, as applicable.               2010–2014 ACS five-year data set,                      transportation system.
                                                  Tables displaying the funds available to                which was published in December 2015.                     Going forward, FTA will continue to
                                                  eligible states, tribes, and urbanized                  This data represent the most recent five-              prioritize research investments based
                                                  areas have been posted to http://                       year ACS estimates that are available as               upon these goals. FTA expects to
                                                  www.transit.dot.gov/funding/                            of October 1st for the year being                      publish its Research Strategic Plan in
                                                  apportionments. This Web site contains                  apportioned. As was the case in prior                  FY 2017.
                                                  a page listing the apportionment and                    years, data on low-income persons                      3. Shared Mobility
                                                  allocation tables for FY 2017 as well as                comes from ACS Table B17024, ‘‘Age by
                                                  links to prior year formula                             Ratio of Income to Poverty in the Last                    Shared Mobility continues to remain
                                                  apportionment notices and tables and                    Twelve Months,’’ and data on people                    a key focus area within FTA’s Public
                                                  the National Transit Database (NTD) and                 with disabilities under 65 years old                   Transportation Innovation program. The
                                                  Census data used to calculate the FY                    comes from ACS Table S1810,                            definition of personal mobility is
                                                  2017 apportionments.                                    ‘‘Disability Characteristics.’’ Data on                changing due to social and cultural
                                                                                                          older adults (over 65 years old) comes                 trends combined with the powerful
                                                  2. National Transit Database and Census                                                                        tools in handheld smartphones and
                                                  Data Used in the FY 2017                                from ACS Table B01001, ‘‘Sex by Age.’’
                                                                                                                                                                 related transportation technology
                                                  Apportionments                                          III. FY 2017 Program Highlights and                    innovations. New mobility concepts and
                                                     Consistent with past practices, the                  Changes                                                solutions like bike-sharing, car-sharing,
                                                  calculations for sections 5307, 5311,                   A. Focus Areas                                         car-hailing, and innovative demand-
                                                  including 5311(j) (Tribal Transit), 5329,                                                                      response bus services are now possible
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                                                  5337, and 5339 programs rely on the                     1. Tribal Transportation Self-                         and more convenient because of these
                                                  most-recent transit service data reported               Governance Program (Title 23 Federal-                  developments. This gives travelers new,
                                                  to the (NTD), which for FY 2017 is the                  Aid Highways Program)                                  flexible and personally tailored
                                                  2015 report year. In some cases where                      Section 207 of title 23, United States              transportation options. Many of these
                                                  an apportionment is based on the age of                 Code establishes a Tribal Transportation               services are emerging in proximity to
                                                  the system, the age is calculated as of                 Self-Governance Program (Self                          high-capacity transit corridors with land
                                                  September 30, 2016, the last day before                 Governance Program). The Self-                         uses and activities that create the market


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                                                  6694                                  Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  for new services. Supported by smart                                      address the eligibility and Federal                                     integrity, safety, maintainability,
                                                  policies, the interaction between public                                  requirement questions. This information                                 reliability, fuel economy, emissions,
                                                  transportation and these emerging                                         is posted on the FTA Web site at https://                               noise, and performance. Buses must
                                                  services can create improved travel                                       www.transit.dot.gov/shared-mobility.                                    meet a minimum performance standard
                                                  choices.                                                                  FTA will use information from the MOD                                   in each of these categories in order to
                                                     To support personal mobility                                           Sandbox projects and related efforts,                                   receive an overall passing score and be
                                                  innovation, (FTA) recently allocated $8                                   such as the recently launched online                                    eligible for purchase using FTA
                                                  million for 11 projects through the                                       dialogue, to continue the discussion                                    financial assistance. Buses can achieve
                                                  innovative Mobility on Demand (MOD)                                       with agency stakeholders and to address                                 higher scores with higher performance
                                                  Sandbox Demonstration program using                                       questions regarding innovative practices
                                                                                                                                                                                                    in each category, and the final rule
                                                  FTA research funds (Public                                                and shared-ride, on-demand mobility
                                                  Transportation Innovation/Public                                                                                                                  establishes a numerical scoring system
                                                                                                                            services as they emerge. FTA
                                                  Transportation Innovation). The projects                                  encourages your participation in this                                   based on a 100-point scale so that
                                                  carried out by transit agencies will test                                 online discussion. Stakeholders can also                                buyers can more effectively compare
                                                  new ideas in personal mobility and                                        send comments and questions to                                          vehicles.
                                                  integrated multimodal transportation                                      TransitInnovations@dot.gov.                                                The final rule was effective on
                                                  networks. From that MOD program                                                                                                                   October 31, 2016. FTA’s Web site has
                                                  solicitation process, and from dialogue                                   4. Bus Testing Facility (49 U.S.C. 5318)
                                                                                                                                                                                                    additional information, resources, and a
                                                  with other stakeholders, FTA has                                             On August 1, 2016, FTA issued its                                    link to sign up for email notices about
                                                  identified questions about funding                                        final rule to implement minimum                                         the Bus Testing Program at:
                                                  eligibility under Federal public                                          performance standards, a scoring                                        www.transit.dot.gov/research-
                                                  transportation law for FTA grant                                          system, and a pass/fail threshold for
                                                                                                                                                                                                    innovation/bus-testing.
                                                  programs, like the Urbanized Area and                                     new model transit buses procured with
                                                  Rural formula programs, as well as                                        FTA financial assistance authorized                                     5. FY 2017 Competitive Programs
                                                  compliance with federal requirements,                                     under 49 U.S.C. Chapter 53. Consistent                                  Funding and Schedule
                                                  such as the Americans with Disabilities                                   with 49 U.S.C. 5318(e), FTA recipients
                                                  Act (ADA), related to mobility on                                         are prohibited from using FTA financial                                    FTA will issue Notices of Funding
                                                  demand generally and, particularly, to                                    assistance to procure new bus models,                                   Opportunities (NOFO) in FY 2017 for
                                                  electronic hailing of vehicles such as                                    that were not previously tested, that                                   the programs listed in the following
                                                  taxis or other transportation network                                     have not met the minimum performance                                    chart. Additional information about
                                                  company (TNC) vehicles.                                                   standards established by this rule. The                                 each competitive program is in section
                                                     FTA has prepared answers to                                            standards and scoring system address                                    III of this notice.
                                                  Frequently Asked Questions (FAQs) to                                      the following categories: Structural

                                                                                                                                                                                                                   2017 Authorized     Timeline for
                                                                                    FY 2017 competitive programs                                                               Statute 49 U.S.C.                    funding level     notification of
                                                                                                                                                                                                                     (in millions)       awards

                                                  Passenger Ferry Grant Program .....................................................................                   5307 ...................................             $30.0   Summer 2017.
                                                  Rides to Wellness Demonstration and Innovative Coordinated Access and                                                 FAST Section 3006(b) .......                           3.0   Summer 2017.
                                                     Mobility Grants.
                                                  Tribal Transit ....................................................................................................   5311(c)(1)(A) ......................                   5.0   Spring 2017.
                                                  Grants for Buses and Bus Facilities Competitive Program .............................                                 5339 ...................................             228.0   Summer 2017.
                                                  Low or No Emission Grants Competitive Program ..........................................                              5339 ...................................              55.0   Spring 2017.
                                                  Pilot Program to D Planning ............................................................................              MAP–21 Section 2005(b) ...                            10.0   Fall 2017.



                                                  IV. FY 2017 Program-Specific                                              support the economic vitality of the                                    the metropolitan area. Comprehensive
                                                  Information                                                               metropolitan area.                                                      transportation planning is not limited to
                                                                                                                               The MPO process must establish a                                     transit planning or surface
                                                  A. Metropolitan Planning Program (49                                      performance-based approach in which                                     transportation planning, but also
                                                  U.S.C. 5303 and 5305(d))                                                  the MPO will develop specific                                           encompasses the relationships among
                                                                                                                            performance targets that address                                        land use and all transportation modes,
                                                     Section 5305(d) authorizes Federal
                                                                                                                            transportation system performance                                       without regard to the programmatic
                                                  funding to support a cooperative,
                                                                                                                            measures (to be issued by U.S. DOT),                                    source of Federal assistance. Eligible
                                                  continuous, and comprehensive                                             where applicable, to use in tracking
                                                  planning program for transportation                                                                                                               work elements or activities include, but
                                                                                                                            progress towards attaining critical
                                                  investment decision-making at the                                                                                                                 are not limited to studies relating to
                                                                                                                            outcomes. These performance targets
                                                  metropolitan area level. The specific                                     will be established by MPOs in                                          management, mobility management,
                                                  requirements of metropolitan                                              coordination with States and transit                                    planning, operations, capital
                                                  transportation planning are set forth in                                  providers. MPOs will provide a system                                   requirements, economic feasibility,
                                                  49 U.S.C. 5303 and further explained in                                   performance report that evaluates the                                   performance-based planning; evaluation
                                                  23 CFR part 450, as incorporated by                                       progress of the MPO in meeting the                                      of previously funded projects; peer
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                                                  reference in 49 CFR part 613, Planning                                    performance targets in comparison with                                  reviews and exchanges of technical
                                                  Assistance and Standards. State                                           the system performance identified in                                    data, information, assistance, and
                                                  Departments of Transportation (DOTs)                                      prior reports. This funding must support                                related activities in support of planning
                                                  are direct recipients of funds allocated                                  work elements and activities resulting                                  and environmental analysis among
                                                  by FTA, which are then sub-allocated to                                   in balanced and comprehensive                                           MPOs and other transportation
                                                  Metropolitan Planning Organizations                                       intermodal transportation planning for                                  planners; work elements and related
                                                  (MPOs), for planning activities that                                      the movement of people and goods in                                     activities preliminary to and in


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                            6695

                                                  preparation for constructing, acquiring,                two-year program of planning work                      representative of public transit may also
                                                  or improving the operation of facilities                activities (the Unified Planning Work                  serve as a representative of a local
                                                  and equipment; development of                           Program, or UPWP) that includes                        municipality on the MPO board. For
                                                  coordinated public transit human                        multimodal systems planning activities                 additional information please reference
                                                  services transportation plans. An                       spanning both highway and transit                      the Final Rule on Statewide and
                                                  exhaustive list of eligible work activities             planning topics. Each State has either                 Nonmetropolitan Transportation
                                                  is provided in FTA Circular 8100.1C,                    reaffirmed or developed, in consultation               Planning and Metropolitan
                                                  Program Guidance for Metropolitan                       with its MPOs, an allocation formula                   Transportation Planning (81 FR, 3404,
                                                  Planning and State Planning and                         among MPOs within the State, based on                  May 27, 2016).
                                                  Research Program Grants, dated                          the 2010 Census. The allocation formula                   • The scope of the planning process
                                                  September 1, 2008.                                      among MPOs in each State may be                        adds two new planning factors, in
                                                     For more information or questions on                 changed annually, but any change                       addition to the eight pre-existing factors
                                                  the Metropolitan Planning program,                      requires approval by the FTA Regional                  established under prior law. The two
                                                  please contact Victor Austin at (202)                   Office before grant approval. Program                  new factors are: (1) Improve the
                                                  366–2996 or victor.austin@dot.gov.                      guidance for the Metropolitan Planning                 resiliency and reliability of the
                                                                                                          Program is found in FTA Circular                       transportation system, and reduce the
                                                  1. Authorized Amounts                                                                                          vulnerability of the existing
                                                                                                          8100.1C, Program Guidance for
                                                     Federal transit law authorizes                       Metropolitan Planning and State                        transportation infrastructure to natural
                                                  $110,347,597 in FY 2017 to provide                      Planning and Research Program Grants,                  disasters, and (2) enhance travel and
                                                  financial assistance for metropolitan                   dated September 1, 2008.                               tourism.
                                                  planning needs under section 5305.                                                                                • MPOs and State DOTs should
                                                  Under the Further Continuing                            5. Period of Availability                              provide public ports, intercity bus
                                                  Appropriations Act, $62,042,888 is                         The Metropolitan Planning program                   operators and employer-based
                                                  available through April 28, 2017.                       funds apportioned in this notice are                   commuting programs with a reasonable
                                                                                                          available for obligation during FY 2017                opportunity to comment on
                                                  2. FY 2017 Funding Availability                         plus three additional fiscal years.                    transportation plans.
                                                     In FY 2017, $62,042,888 is available                 Accordingly, funds apportioned in FY                      • Plans must place greater emphasis
                                                  for the period October 1, 2016 through                  2017 must be obligated in grants by                    on the congestion management process.
                                                  April 28, 2017 to the Metropolitan                      September 30, 2020. Any FY 2017                        MPOs that serve transportation
                                                  Planning Program (section 5305(d)) to                   apportioned funds that remain                          management areas must develop a
                                                  support metropolitan transportation                     unobligated at the close of business on                congestion management plan with input
                                                  planning activities set forth in section                September 30, 2020, will revert to FTA                 from employers, private and public
                                                  5303. The total amount apportioned for                  for reapportionment under the                          transit providers, transportation
                                                  the Metropolitan Planning Program to                    Metropolitan Planning Program.                         management associations, and
                                                  States for use by MPOs in urbanized                                                                            organizations that provide low-income
                                                  areas (UZAs) is $61,732,673 as shown in        6. Other Program Information                                    individuals transportation access to jobs
                                                  the table below, after the deduction for          The planning programs provide                                and job related services.
                                                  oversight (authorized by section 5338).        funding and procedural requirements to                             • The long-range statewide
                                                                                                 metropolitan areas and States for                               transportation plan and metropolitan
                                                  METROPOLITAN PLANNING PROGRAM— multimodal transportation planning that                                         transportation plan must include a
                                                                    FY 2017                      is cooperative, continuous, and                                 description of the performance
                                                                                                 comprehensive, resulting in long-range                          measures and performance targets. State
                                                  Total Appropriation available                  plans and short-range programs of                               DOTs and MPOs are also required to
                                                    through April 28, 2017 ......    $62,042,888 projects that reflect transportation                            provide a system performance report
                                                  Oversight Deductions ...........     (310,214) investment priorities. The planning                             evaluating the condition and
                                                                                                 programs are jointly administered by                            performance of the transportation
                                                    Total Apportioned ..............  61,732,673 FTA and the Federal Highway                                     system.
                                                                                                 Administration (FHWA), which                                       In the Final Rule on Statewide and
                                                  3. Basis for Formula Apportionment             provides additional funding. The FAST                           Nonmetropolitan Transportation
                                                     Of the amounts authorized in section        Act sections 5303 and 5304 as noted                             Planning and Metropolitan
                                                  5305, 82.72 percent is made available to below:                                                                Transportation Planning, FHWA and
                                                  the Metropolitan Planning Program.                • New emphasis is placed on                                  FTA make the statewide, metropolitan,
                                                  Eighty percent of the funds are                intercity transportation, including                             and nonmetropolitan transportation
                                                  apportioned on a statutory basis to the        intercity buses and intermodal facilities                       planning regulations consistent with
                                                  States based on the most recent                that support intercity transportation,                          current statutory requirements. The
                                                  decennial Census for each State’s UZA          and commuter vanpool providers.                                 final rule establishes the following: (1)
                                                  population. The remaining 20 percent is           • The selection and role of the transit                      A new mandate for States and MPOs to
                                                  provided to the States based on an FTA         representation on MPO policy boards in                          take a performance-based approach to
                                                  administrative formula to address              large urbanized areas is clarified. MPOs                        planning and programming; (2) a new
                                                  planning needs in larger, more complex in urbanized areas designated as                                        emphasis on the nonmetropolitan
                                                  UZAs. The amount published for each            transportation management areas must                            transportation planning process, by
                                                                                                 include officials of agencies that                              requiring States to have a higher level of
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                                                  State includes the supplemental
                                                  allocation.                                    administer or operate major modes of                            involvement with nonmetropolitan local
                                                                                                 transportation, as well as                                      officials and providing a process for the
                                                  4. Requirements                                representatives of public transit                               creation of RTPOs; (3) implementation
                                                     The State allocates Metropolitan            operators, on MPO policy boards. The                            of the afore mentioned statutory
                                                  Planning funds to MPOs in UZAs or              representative of public transit shall be                       requirement for a structural change to
                                                  portions thereof to provide funds for          selected according to the bylaws or                             the membership of the larger MPOs; (4)
                                                  planning projects included in a one or         enabling legislation of the MPO, and the                        a new framework for voluntary scenario


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                                                  6696                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  planning; (5) a new authority for the                   without regard to the programmatic                     State Planning and Research program is
                                                  integration of the planning and                         source of Federal assistance.                          found in FTA Circular 8100.1C,
                                                  environmental review processes; and (6)                   For more information or questions on                 Program Guidance for Metropolitan
                                                  a process for programmatic mitigation                   the State Planning and Research                        Planning and State Planning and
                                                  plans.                                                  program, please contact Victor Austin at               Research Program Grants, dated
                                                     Among the most significant charges is                (202) 366–2996 or victor.austin@dot.gov.               September 1, 2008.
                                                  the new mandate for a performance-
                                                  based planning process: MPOs and State                  1. Authorized Amounts                                  5. Period of Availability
                                                  DOTs must establish performance                            Federal transit law authorizes
                                                  targets that address forthcoming U.S.                                                                            The State Planning and Research
                                                                                                          $23,051,336 in FY 2017, to provide
                                                  DOT-issued national performance                                                                                program funds apportioned in this
                                                                                                          financial assistance for statewide
                                                  measures that are based on the goals                    planning and other technical assistance                notice are available for obligation during
                                                  outlined in the legislation–safety,                     activities under section 5305. Under the               FY 2017 plus three additional fiscal
                                                  infrastructure condition, congestion                    Continuing Appropriations Act of 2017,                 years. Accordingly, funds apportioned
                                                  reduction, system reliability, economic                 $12,960,603 is available through April                 in FY 2017 must be obligated in grants
                                                  vitality, environmental sustainability,                 28, 2017. As specified in law, this                    by September 30, 2020. Any FY 2017
                                                  reduced project delivery delays, transit                represents the 17.28 percent of the                    apportioned funds that remain
                                                  safety, and transit asset management.                   amounts available for section 5305 that                unobligated at the close of business on
                                                  MPOs also must coordinate their                         are allocated to the Statewide Planning                September 30, 2020 will revert to FTA
                                                  performance targets, to the maximum                     and Research program.                                  for reapportionment under the State
                                                  extent practicable, with performance                                                                           Planning and Research program.
                                                  targets set by FTA grantees under the                   2. FY 2017 Funding Availability
                                                                                                                                                                 C. Urbanized Area Formula Program (49
                                                  new performance measure requirements                       In FY 2017, $12,960,603 is available                U.S.C. 5307)
                                                  for safety and state of good repair.                    for the period October 1, 2016 through
                                                  Transportation Improvement Programs                     April 28, 2017 to the State Planning and            The Urbanized Area Formula Program
                                                  (TIPs) must include a description of the                Research Program (section 5305(e)). The          provides financial assistance to
                                                  anticipated progress toward achieving                   total amount apportioned for the State           designated recipients in urbanized areas
                                                  the performance targets resulting from                  Planning and Research Program (SPRP)             (UZAs) for capital investments in public
                                                  implementation of the TIP. By October                   is $12,895,800 as shown in the table             transportation systems, planning, job
                                                  1, 2017, DOT will provide Congress                      below, after the deduction for oversight         access and reverse commute projects,
                                                  with a report evaluating the                            (authorized by section 5338).                    and, in some cases, operating assistance.
                                                  effectiveness of performance-based
                                                                                                                                                           FTA apportions funds for this program
                                                  planning and assessing the technical                     STATEWIDE PLANNING PROGRAM—FY through a statutory formula. Of the
                                                  capacity of MPOs in smaller areas to                                          2017                       amount authorized for Section 5307
                                                  undertake performance-based planning.
                                                  After May 27, 2018, a State’s and MPO’s                                                                  each year, $30 million is set aside for
                                                                                                          Total Appropriation Available                    the competitive Passenger Ferry Grant
                                                  long-range plans, STIPs, and TIPs must                     through April 28, 2017 ......    $12,960,603
                                                  reflect performance targets and plans                                                                    Program (Ferry program), as authorized
                                                                                                          Oversight Deductions ...........        (64,803)
                                                  according to the provisions of the final                                                                 under 49 U.S.C., 5307(h). The Ferry
                                                  rule.                                                      Total Apportioned ..............  12,895,800 program offers financial assistance to
                                                                                                                                                           public ferry systems in urbanized areas
                                                  B. State Planning and Research Program                     States’ apportionments for this               for capital projects. Projects are selected
                                                  (49 U.S.C. 5304 and 5305(e))                            program are displayed in Table 2.                annually through a funding
                                                     This program provides financial                                                                       competition. Additionally 0.5 percent
                                                                                                          3. Basis for Formula Apportionment
                                                  assistance to States for statewide                                                                       will be apportioned to eligible States for
                                                  transportation planning and other                          Of the amount authorized for section          State Safety Oversight (SSO) Program
                                                  technical assistance activities, including              5305, 17.28 percent is allocated to the          grants, and 0.75 percent will be set aside
                                                  supplementing the technical assistance                  State Planning and Research program.             for program oversight. Further
                                                  program provided through the                            FTA apportions funds to States by a              information on the 0.5 percent
                                                  Metropolitan Planning program. The                      statutory formula that is based on the           apportionment to States for the State
                                                  specific requirements of Statewide                      most recent decennial Census data                Safety Oversight Program is provided in
                                                  transportation planning are set forth in                available, and the State’s UZA                   section IV.M. of this notice.
                                                  49 U.S.C. 5304 and further explained in                 population as compared to the UZA
                                                                                                                                                              For more information or questions on
                                                  23 CFR part 450 as referenced in 49 CFR                 population of all States.
                                                  part 613, Planning Assistance and                                                                        the Urbanized Area Formula Program,
                                                                                                          4. Requirements                                  contact Tara Clark at (202) 366–2623 or
                                                  Standards. State DOTs are required to
                                                  reference performance measures and                         Funds are provided to States for              tara.clark@dot.gov. For more
                                                  performance targets within the                          Statewide transportation planning                information on the Ferry Program,
                                                  Statewide Planning process. This                        programs. These funds may be used for            contact Vanessa Williams at (202) 366–
                                                  funding must support work elements                      a variety of purposes such as planning,          4818 or vanessa.williams@dot.gov.
                                                  and activities resulting in balanced and                technical studies and assistance,                1. Authorized Amounts
                                                  comprehensive intermodal                                performance-based planning,
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                                                  transportation planning for the                         demonstrations, and management                      Federal transit law authorizes
                                                  movement of people and goods.                           training. In addition, a State may               $4,629,683,814 in FY 2017 to provide
                                                  Comprehensive transportation planning                   authorize a portion of these funds to be         financial assistance for urbanized areas
                                                  is not limited to transit planning or                   used to supplement Metropolitan                  under section 5307. Under the
                                                  surface transportation planning, but also               Planning funds allocated by the State to Continuing Appropriations Act of 2017,
                                                  encompasses the relationships among                     its UZAs, as the State deems                     $2,604,058,475 is available through
                                                  land use and all transportation modes,                  appropriate. Program guidance for the            April 28, 2017.


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                                                                                     Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                          6697

                                                  2. FY 2017 Funding Availability                             each unit of a factor is worth in this                 funds and the amount each receives
                                                     Under the Further Continuing and                         year’s apportionment. The unit values                  may vary each year. UZAs that received
                                                  Security Assistance Appropriations Act,                     change each year, based on all of the                  funding through the STIC formula for
                                                  2017, only $2,604,058,475 is available                      data used to calculate the                             FY 2017 are listed in Table 6.
                                                  for the Urbanized Area Formula                              apportionments, as well as the amount
                                                                                                                                                                     c. Section 5340—Growing States and
                                                  program for the period of October 1,                        appropriated by Congress for the
                                                                                                                                                                     High Density States Formula
                                                  2016 through April 28, 2017. The total                      apportionment. The dollar unit values
                                                                                                              for FY 2017 are displayed in Table 5. To                  FTA also apportions funds to
                                                  amount apportioned to urbanized areas
                                                                                                              replicate the basic formula component                  qualifying UZAs and States according to
                                                  is $2,817,580,866, which includes the
                                                                                                              of a UZA’s apportionment, multiply the                 the section 5340 Growing States and
                                                  addition of amounts apportioned to
                                                                                                              dollar unit value by the appropriate                   High Density States formula, as shown
                                                  UZAs pursuant to the Section 5340
                                                                                                              formula factor (i.e., the population,                  in Table 3. More information on this
                                                  Growing States and High Density States
                                                                                                              population x population density), and                  program and its formula is found in
                                                  Formula factors. This amount excludes
                                                                                                              when applicable, data from the NTD                     section IV.P. of this notice.
                                                  the set-aside for the Ferry program,
                                                  apportionments under the State Safety                       (i.e., route miles, vehicle revenue miles,             d. Low-Income Population
                                                  Oversight Program, and oversight                            passenger miles, and operating cost).
                                                                                                                                                                        Of the amount authorized and
                                                  (authorized by section 5338), as shown                      a. Section 5307—Urbanized Area                         appropriated for the Urbanized Area
                                                  in the table below:                                         Formula                                                Formula Program in each year, 3.07
                                                                                                                 For UZAs between 50,000 and                         percent is apportioned on the basis of
                                                           URBANIZED AREA FORMULA                             199,999 in population, the Urbanized                   low income population. As specified in
                                                             PROGRAM—FY 2017                                  Area Formula is based on population                    statute, FTA apportions 75 percent of
                                                                                                              and population density. For UZAs with                  the available funds to UZAs with a
                                                  Total Appropriation avail-                                  populations of 200,000 or more, the                    population of 200,000 or more. Funds
                                                    able thru April 28,2017               a $2,604,058,475
                                                                                                              formula is based on a combination of                   are apportioned based on the ratio of the
                                                  Oversight Deduction .........              (19,530,439)
                                                  Ferry Competitive Pro-                                      bus revenue vehicle miles, bus                         number of low income individuals in
                                                    gram ..............................      (17,211,583)     passenger miles, bus operating costs,                  each UZA to the total number of low
                                                  State Safety Oversight                                      fixed guideway vehicle revenue miles,                  income individuals in all urbanized
                                                    Program ........................         (13,020,292)     and fixed guideway route miles, as well                areas of that size. FTA apportions the
                                                  Section 5340 High Density                                   as population and population density.                  remainder of the funds (25 percent) to
                                                    States ............................       151,441,543     The Urbanized Area Formula is defined                  UZAs with populations of less than
                                                  Section 5340 Growing                                        in 49 U.S.C. 5336. Consistent with                     200,000, according to an equivalent
                                                    States ............................       111,800,668                                                            formula. The low income populations
                                                                                                              section 5336(b), FTA has included 27
                                                     Total Apportioned ..........           2,817,538,371     percent of the fixed guideway                          used for this calculation were based on
                                                                                                              directional route miles and vehicle                    the American Community Survey (ACS)
                                                     a Includes 1.5 percent set-aside for Small               revenue miles from eligible urbanized                  data set for 2010–2014. This information
                                                  Transit Intensive Cities Formula.
                                                    Table 3 displays the amounts apportioned                  area transit systems, but which were                   is updated by the Census Bureau
                                                  under the Urbanized Area Formula Program.                   attributable to rural areas outside of the             annually.
                                                                                                              urbanized areas from which the system
                                                  3. Basis for Formula Apportionment                                                                                 4. Requirements
                                                                                                              receives funds.
                                                     FTA apportions Urbanized Area                                                                                      The maximum Federal share for the
                                                                                                              b. Small Transit Intensive Cities                      Urbanized Area Formula Program,
                                                  Formula Program funds based on
                                                                                                              Formula                                                including the Ferry Program, is 80
                                                  statutory formulas. Congress established
                                                  four separate formulas to apportion                            Under the STIC formula, FTA                         percent, or 85 percent for the net project
                                                  portions of the available funding: The                      apportions 1.5% of the funds made                      cost of acquiring vehicles (including
                                                  Section 5307 Urbanized Area Formula                         available for section 5307 to UZAs that                clean-fuel or alternative fuel) for the
                                                  Program formula, the Small Transit                          are under 200,000 in population and                    purpose of complying with or
                                                  Intensive Cities (STIC) formula, the                        have public transportation service that                maintaining compliance with the Clean
                                                  Growing States and High Density States                      operates at a level equal to or above the              Air Act (CAA) or the Americans with
                                                  formula, and a formula based on low-                        industry average for UZAs with a                       Disabilities Act (ADA) of 1990. The
                                                  income population.                                          population of at least 200,000, but not                maximum Federal share is 90 percent of
                                                     Consistent with prior apportionment                      more than 999,999. STIC funds are                      the net project cost for acquiring
                                                  notices, Table 3 shows a total section                      apportioned on the basis of six                        vehicle-related equipment or facilities
                                                  5307 apportionment for each UZA,                            performance categories: Passenger miles                (including clean-fuel or alternative-fuel
                                                  which includes amounts apportioned                          traveled per vehicle revenue mile,                     vehicle-related equipment or facilities)
                                                  under each of these formulas. Detailed                      passenger miles traveled per vehicle                   for the purpose of complying with or
                                                  information about the formulas is                           revenue hour, vehicle revenue miles per                maintaining compliance with the CAA
                                                  provided in Table 4. For technical                          capita, vehicle revenue hours per capita,              or ADA.
                                                  assistance purposes, the UZAs that                          passenger miles traveled per capita, and                  Program guidance for the Urbanized
                                                  receive STIC funds are listed in Table 6.                   passengers per capita. In FY 2019, the                 Area Formula Program is found in FTA
                                                  FTA will provide breakouts of the                           STIC set aside will increase from 1.5%                 Circular 9030.1E, Urbanized Area
                                                  funding allocated to each UZA under                         to 2%.                                                 Formula Program: Program Guidance
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                                                  these formulas upon request to the FTA                         The data used to determine a UZA’s                  and Application Instructions, dated
                                                  Regional Office.                                            eligibility under the STIC formula and                 January 16, 2014, and is supplemented
                                                     FTA has calculated dollar unit values                    to calculate the STIC apportionments                   by additional information and changes
                                                  for the formula factors used in the                         was obtained from the NTD for the 2015                 provided in this notice and that may be
                                                  Urbanized Area Formula Program                              reporting year. Because performance                    posted to the Urbanized Area Formula
                                                  apportionment calculations. These                           data change with each year’s NTD                       Grants program Web page. FTA is in the
                                                  values represent the amount of money                        reports, the UZAs eligible for STIC                    process of updating the program circular


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                                                  6698                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  to incorporate changes resulting from                   3–A. FTA identified the systems eligible               participating parties, and transmitted to
                                                  FAST Act amendments to 49 U.S.C.                        to use this provision and their                        FTA as part of the split letter.
                                                  5307.                                                   maximum amounts for FY 2017 using
                                                                                                                                                                 b. Eligibility of Substitute Transit
                                                                                                          data from the NTD for reporting year
                                                  5. Period of Availability                                                                                      Service as a Capital Project
                                                                                                          2015. Operating assistance requires a 50
                                                    Funds made available under the                        percent local match.                                      The cost of operating substitute
                                                  Urbanized Area Formula Program are                         In accordance with section 5307(a)(2),              service (i.e. a bus bridge) is an eligible
                                                  available for obligation during the year                FTA has calculated a fixed annual cap                  capital project expense when incidental
                                                  of apportionment plus five additional                   on operating assistance for each eligible              to a scheduled capital maintenance,
                                                  years. Accordingly, funds apportioned                   agency that provides service in a large                rehabilitation, or construction project on
                                                  in FY 2017 must be obligated by                         UZA. The cap is determined by dividing                 an existing system. Eligible substitute
                                                  September 30, 2022. Any FY 2017                         the UZA’s apportionment by the total                   service must be temporary, scheduled,
                                                  apportioned funds that remain                           number of vehicle revenue hours                        and the costs defined in the grant
                                                  unobligated at the close of business on                 reported from all public transportation                agreement for the capital project.
                                                  September 30, 2022 will revert to FTA                   operators and from all transit modes in                Substitute service costs are not an
                                                  for reapportionment under the                           the UZA, and then by multiplying this                  eligible capital project expense in
                                                  Urbanized Area Formula Program.                         quotient by the number of bus vehicle                  conjunction with emergency
                                                    Funds allocated under the Ferry                       revenue hours operated in the UZA by                   maintenance, operating incidents, or
                                                  program follow the same period of                       the eligible system. The result is the                 other contingency operations, including
                                                  availability as section 5307.                           proportional share of the apportionment                emergency operations associated with
                                                  Accordingly, funds allocated in FY 2017                 that is attributable to the qualifying                 an emergency or a disaster.
                                                  must be obligated by September 30,                      system, as measured by vehicle revenue
                                                  2022. Any of the funds allocated in FY                  hours. This cap is calculated based on                 c. Prohibition on Funding for Art and
                                                  2017 that remain unobligated at the                     the FY 2017 apportionment for an                       Non-Functional Landscaping
                                                  close of business on September 30, 2022                 eligible provider’s UZA. Eligible                         While formerly eligible for Urbanized
                                                  will revert to FTA for reallocation under               systems operating in more than one                     Area Formula Program funds as a
                                                  the Ferry program.                                      UZA over 200,000 in population will                    ‘‘Transit Enhancement’’ (the precursor
                                                                                                          receive separate operating caps from                   to Associated Transit Improvement), at
                                                  6. Other Program Information                            each UZA in which the system operates.                 49 U.S.C. 5323 (h) now prohibits the use
                                                  a. Special Rule for Operating Assistance                The FY 2017 Apportionment Table 3A                     of FTA funds for the ‘‘incremental costs
                                                  in Large Urbanized Areas                                includes all eligible general public                   of incorporating art or non-functional
                                                                                                          demand response operators. Systems                     landscaping into facilities, including the
                                                     The special rule at 49 U.S.C.                        that operate more than 100 buses in
                                                  5307(a)(2) makes recipients in                                                                                 costs of an artist on the design team.’’
                                                                                                          general public demand response service,                This prohibition applies to the creation,
                                                  urbanized areas with populations of                     and which do not operate any fixed-
                                                  200,000 or above that operate 100 or                                                                           production, or installation of artworks,
                                                                                                          route service are not eligible for                     defined as objects intended for a
                                                  fewer buses in fixed route service or                   operating assistance under this
                                                  general public demand response service                                                                         primarily aesthetic purpose, or the
                                                                                                          provision. Systems that only operate                   involvement of artists in the
                                                  during peak hours, excluding ADA                        ADA complimentary paratransit are not
                                                  complementary paratransit service,                                                                             development of a capital project.
                                                                                                          eligible for operating assistance under
                                                  eligible for operating assistance subject                                                                      However, FTA does not interpret the
                                                                                                          this provision.
                                                  to a maximum amount per system as                                                                              law to exclude or generally prohibit the
                                                                                                             Systems that operate more than 100
                                                  explained below:                                        buses in fixed route service are not                   functional and aesthetic design of
                                                     i. Public transportation systems that                eligible for operating assistance under                transit stations or related facilities,
                                                  operate a minimum of 76 buses and a                     this provision. Systems that operate 100               including designs intended to minimize
                                                  maximum of 100 buses in fixed route                     or fewer fixed route buses are eligible,               adverse visual effects on the
                                                  service or general public demand                        regardless of the number of demand                     surrounding community. Transit
                                                  response, excluding ADA                                 response vehicles they operate.                        facilities and surrounding landscape
                                                  complementary paratransit service,                         In determining the amount of                        designs should incorporate aesthetic
                                                  during peak service hours may receive                   operating assistance available for                     considerations, including but not
                                                  operating assistance in an amount not to                specific systems in urbanized areas                    limited to decisions regarding the use of
                                                  exceed 50 percent of the share of the                   under the Special Rule, public                         light, shape, color, materials, the use of
                                                  apportionment that is attributable to                   transportation systems may execute a                   space, and the historic setting to achieve
                                                  such systems within the urbanized area,                 written agreement with one or more                     a functional and welcoming public
                                                  as measured by vehicle revenue hours.                   other public transportation systems                    transit facility.
                                                     ii. Public transportation systems that               within the urbanized area to allocate                     FTA will not require grantees to
                                                  operate 75 or fewer buses in fixed route                funds by a method other than by                        assess the often indeterminate
                                                  service or demand response, excluding                   measuring vehicle revenue hours.                       incremental costs associated with
                                                  ADA complementary paratransit                           Systems within the urbanized area may                  functional design elements, including,
                                                  service, during peak service hours may                  combine their individual operating                     but not limited to, the use of different
                                                  receive operating assistance in an                      assistance caps and allocate the                       types or colors of paint or tile,
                                                  amount not to exceed 75 percent of the                  combined funds using a method that is                  wayfinding elements intended to direct
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                                                  share of the apportionment that is                      agreed upon by all of the systems. The                 passengers or staff, or different or
                                                  attributable to such systems within the                 operating assistance cap for the                       alternate construction materials in the
                                                  urbanized area, as measured by vehicle                  urbanized area does not change as a                    design of a transit facility.
                                                  revenue hours.                                          result of any agreement between two or                    Recipients may continue to use local
                                                     iii. A list of eligible recipients and               more systems. The method used to                       funds for art in association with transit
                                                  their maximum operating assistance                      allocate the funds must be documented                  capital projects, but such expenditures
                                                  amounts for FY 2017 is shown in Table                   in a written agreement, signed by the                  may not be counted towards the local


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                                         6699

                                                  share of a project cost, and should not                 activities approved by FTA that address                Programs, at (202) 366–0870 or eric.hu@
                                                  be included in the grant award.                         human resource needs as they apply to                  dot.gov.
                                                     With regard to landscaping, FTA                      public transportation activities.
                                                  recognizes that landscaping is a                                                                               1. Authorized Amounts
                                                                                                             ii. Under Section 5314(c), up to 0.5
                                                  functional element of many transit                      percent of Section 5307, 5337, and 5339                   Federal transit law authorizes
                                                  facilities. For example, landscaping can                funds are available to a state or public               $2,301,785,760 in FY 2017, to provide
                                                  be used to aid in the absorption or                     transportation authority recipient in a                financial assistance under section 5309.
                                                  drainage of rainwater, prevention of                    fiscal year to use for tuition and direct              Under the Continuing Appropriations
                                                  erosion, support of structures on a steep               educational expenses at the National                   Act of 2017, $1,241,314,889 is available
                                                  grade, minimization of noise impacts,                   Transit Institute for education and                    through April 28, 2017.
                                                  protection of habitat, provision of shade               training of state and local transportation             2. FY 2017 Funding Availability
                                                  in hot climates, channeling of                          employees, at a federal share not to
                                                  pedestrian or vehicle traffic, definition                                                                         In FY 2017, $1,241,314,889 is
                                                                                                          exceed 80 percent. States may also use
                                                  of useable or unsafe spaces, and many                                                                          available for the period October 1, 2016
                                                                                                          these funds for training State and local
                                                  other purposes. In interpreting the term                                                                       through April 28, 2017 to the Fixed
                                                                                                          transportation agency employees
                                                  ‘‘functional landscaping’’ under this                                                                          Guideway Capital Investment Grant
                                                                                                          through grants and contracts with
                                                  provision of law, FTA draws a similar                                                                          Program. The total amount available for
                                                                                                          public and private agencies, and other
                                                  distinction, as with art, between                                                                              projects is $1,228,901,740 as shown in
                                                                                                          institutions and individuals with prior
                                                  functionally appropriate landscape                                                                             the table below, after the deduction for
                                                                                                          FTA approval.
                                                  design and landscape elements installed                                                                        oversight (authorized by section 5338).
                                                  primarily for visual or aesthetic appeal.               D. Fixed Guideway Capital Investment
                                                     For additional information see the Art               Grant Program (49 U.S.C. 5309)                           CAPITAL INVESTMENT GRANTS (NEW
                                                  and Non-Functional Landscaping                             The Capital Investment Grant (CIG)                           STARTS)—FY 2017
                                                  frequently asked questions posted on                    Program includes four types of eligible
                                                  the Urbanized Area Formula Grants                       projects—New Starts projects, Small                    Total Appropriation Avail-
                                                  Web page.                                                                                                        able through April 28,
                                                                                                          Starts projects, Core Capacity                           2017 ..............................   $1,241,314,889
                                                  d. Employee Training Expenses                           Improvement projects, and Programs of                  Oversight Deduction .........              (12,413,149)
                                                                                                          Inter-related Projects. Funding is
                                                     Costs associated with employee                       provided for construction of: (1) New                     Total Apportioned ..........          1,228,901,740
                                                  training may be eligible for Urbanized                  fixed guideway systems or extensions to
                                                  Area Formula Program funding as                         existing fixed guideway systems such as                3. Basis for Allocation
                                                  operating expenses, as preventive                       rapid rail (heavy rail), commuter rail,
                                                  maintenance expenses, or as provided                                                                              Funds are allocated on a competitive
                                                                                                          light rail, trolleybus (using overhead                 basis and subject to program evaluation.
                                                  for under the following provisions. A                   catenary), cable car, passenger ferries,
                                                  recipient may fund training expenses as                 and bus rapid transit operating on an                  4. Requirements
                                                  an operating expense under Section                      exclusive transit lane for the majority of
                                                  5307, where allowed, at a 50 percent                                                                              Projects become candidates for
                                                                                                          the corridor length that also includes                 funding under the Capital Investment
                                                  Federal share.                                          features that emulate the services
                                                     i. Under Section 5314(b), up to 0.5                                                                         Grant Program by successfully
                                                                                                          provided by rail fixed guideway                        completing steps in the process defined
                                                  percent of the program a recipient’s
                                                                                                          including defined stations, traffic signal             in section 5309 and obtaining a
                                                  section 5307, 5337, and 5339 funds may
                                                                                                          priority for public transit vehicles, and              satisfactory rating under the statutorily-
                                                  be used for human resources and
                                                                                                          short headway bi-directional service for               defined criteria. For New Starts and
                                                  workforce development activities at an
                                                                                                          a substantial part of weekdays and                     Core Capacity Improvement projects,
                                                  80 percent Federal cost share, including
                                                                                                          weekends; (2) corridor-based bus rapid                 the steps in the process include project
                                                  the cost of administering a training
                                                                                                          transit service that does not operate on               development, engineering, and
                                                  program. Eligible activities include:
                                                     • Various public transportation                      an exclusive transit lane but includes                 construction. For Small Starts projects,
                                                  training programs;                                      features that emulate the services                     the steps in the process include project
                                                     • Outreach programs for targeted                     provided by rail fixed guideway                        development and construction. For
                                                  groups to increase public transportation                including defined stations, traffic signal             programs of interrelated projects, the
                                                  employment for veterans, women,                         priority for public transit vehicles, and              steps in the process depend on the
                                                  individuals with disabilities, and                      short headway bi-directional services                  combination of project types included.
                                                  minorities;                                             for a substantial part of weekdays; (3)                New Starts and Core Capacity
                                                     • Development of training                            projects that expand the capacity by at                Improvement projects receive
                                                  partnerships with key stakeholders                      least 10 percent in an existing fixed                  construction funds from the program
                                                  including community colleges,                           guideway corridor that is at capacity                  through a full funding grant agreement
                                                  workforce development boards, and                       today or will be in five years; and (4)                (FFGA) that defines the scope of the
                                                  other industry groups;                                  programs of two or more interrelated                   project and specifies the total multi-year
                                                     • Development of apprenticeships,                    projects as described above that have                  Federal commitment to the project.
                                                  on-the-job-training, and instructional                  logical connectivity with one another                  Small Starts projects receive
                                                  training for public transportation;                     and will all begin construction in a                   construction funds through a single year
                                                  maintenance and operations                              reasonable timeframe.
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                                                                                                                                                                 grant or a Small Starts grant agreement
                                                  occupations;                                               For more information about the                      (SSGA) that defines the scope of the
                                                     • Improve safety, security, and                      Capital Investment Grant program                       project and specifies the Federal
                                                  emergency preparedness in local public                  contact Elizabeth Day, Office of Capital               commitment to the project.
                                                  transportation system through improved                  Project Development, at (202) 366–5159
                                                  safety culture and workforce                            or elizabeth.day@dot.gov. For                          5. Period of Availability
                                                  communication with first responders                     information about published allocations                   Funds for the Fixed Guideway Capital
                                                  and the riding public. And other                        contact Eric Hu, Office of Transit                     Investment Grant Program remain


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                                                  6700                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  available for obligation for four years,                 SECTION 5310 FORMULA PROGRAM—                           with contracted service are eligible
                                                  which includes the fiscal year in which                              FY 2017                                     capital expenses for purposes of this
                                                  the funds are allocated to projects plus                                                                         provision. The capital eligibility of
                                                  three additional years.                                 Total Appropriation Available                            acquisition of services is limited to the
                                                                                                            through April 28, 2017) .....            $150,859,185 section 5310 program. The remaining 45
                                                  E. Enhanced Mobility of Seniors and                     Oversight Deductions (over-                              percent of a recipient’s 5310 funds can
                                                  Individuals With Disabilities Program                     sight 0.5%) ........................        ( 754,296) be used for capital or operating.
                                                  (49 U.S.C. 5310)
                                                                                                            Total Apportioned ..............          150,104,889   a. Eligible Recipients
                                                     The Section 5310 Enhanced Mobility                   Competitive Pilot Program ....                1,147,439      Eligible recipients include States for
                                                  of Seniors and Individuals with                                                                                   rural and small urban areas and
                                                  Disabilities Program provides formula                   3. Basis for Formula Apportionment                        designated recipients chosen by the
                                                  funding to states for the purpose of                       Sixty percent of the funds are                         Governor of the State for large urban
                                                  meeting the transportation needs of                     apportioned among designated                              areas; or a State or local governmental
                                                  older adults and people with disabilities               recipients for urbanized areas with a                     entity that operates a public
                                                  when the transportation service                         population of 200,000 or more                             transportation service. For urbanized
                                                  provided is unavailable, insufficient, or               individuals. Twenty percent of the                        areas less than 200,000 in population
                                                  inappropriate to meet these needs. The                  funds are apportioned among the States                    and in the rural areas, the State is the
                                                  program aims to improve mobility for                    for urbanized areas with a population of                  designated recipient for section 5310.
                                                  seniors and individuals with disabilities               at least 50,000 but less than 200,000.                    Current section 5310 designations
                                                  by removing barriers to transportation                  Twenty percent of the funds are                           remain in effect until changed by the
                                                  service and expanding transportation                    apportioned among the States for rural                    Governor of a State by officially
                                                  mobility options.                                       areas, defined as areas with a                            notifying the appropriate FTA Regional
                                                                                                          population less than 50,000. Census                       Administrator of re-designation. A State
                                                     The Pilot Program for Innovative                     Data on Older Adults and People with                      or local governmental entity that
                                                  Coordinated Access and Mobility                         Disabilities is used for the Section 5310                 operates a public transportation service
                                                  Program (Pilot Program) open to Section                 Enhanced Mobility of Older Adults and                     may be a direct recipient for Section
                                                  5310 recipients—was established by                      People with Disabilities                                  5310 funds.
                                                  Section 3006(b) of the FAST Act. The                    Apportionments. FY 2017                                      In urbanized areas over 200,000 in
                                                  purpose of the program is to assist in                  Apportionments Table 8 displays the                       population, the recipient charged with
                                                  financing innovative projects for the                   amounts apportioned under the                             administering the section 5310 Program
                                                  transportation disadvantaged that                       Enhanced Mobility of Seniors and                          must be officially designated in
                                                  improve the coordination of                             Individuals with Disabilities Program.                    accordance with the planning process,
                                                  transportation services and non-                           Under the section 5310 formula,                        by the Governor of a State, responsible
                                                  emergency medical transportation                        funds are allocated using Census data                     local officials, and publicly owned
                                                  (NEMT) services, including, for                         on older adults (i.e., persons 65 and                     operators of public transportation prior
                                                  example, the deployment of                              older) and people with disabilities.                      to grant award (See the definition of
                                                  coordination technology, and projects                   However, beginning in 2010, the Census                    designated recipient, 49 U.S.C. 5302(4)).
                                                  that create or increase access to                       Bureau stopped collecting this                            Designated recipients are responsible for
                                                                                                          demographic information as part of its                    administering the program. Eligible
                                                  community One-Call/One-Click Centers.
                                                                                                          decennial census. Data on seniors and                     subrecipients include private nonprofit
                                                     For more information or questions on                 people with disabilities is now only                      agencies, public bodies approved by the
                                                  the Enhanced Mobility of Seniors and                    available from the American                               state to coordinate services for seniors
                                                  Individuals with Disabilities program,                  Community Survey (ACS), which is                          and people with disabilities, or public
                                                  please contact Kelly Tyler at (202) 366–                conducted and published on a rolling                      bodies which certify to the Governor
                                                  3120 or Kelly.Tyler@dot.gov.                            basis. FTA’s FY 2017 section 5310                         that no nonprofit organizations or
                                                                                                          apportionments incorporate ACS data                       associations are readily available in an
                                                  1. Authorized Amounts                                   published in December, 2015. Data on                      area to provide the service.
                                                    Federal transit law authorizes                        seniors comes from the ACS 2010–2014
                                                                                                          five-year data set, Table B01001, ‘‘Sex                   b. Local Match
                                                  $268,208,388 in FY 2017 to provide
                                                                                                          by Age. Data on persons with                                 Capital assistance is provided at 80
                                                  formula funding to states for the
                                                                                                          disabilities comes from the ACS 2010–                     percent Federal share; 20 percent local
                                                  purpose of meeting the transportation
                                                                                                          2014 five-year data set, Table S.1810,                    share. Operating assistance requires a 50
                                                  needs of older adults and people with
                                                                                                          ‘‘Disability Characteristics.’’                           percent local match. Funds provided
                                                  disabilities. The law also authorizes $3
                                                                                                          4. Requirements                                           under other Federal programs (other
                                                  million for the competitive Pilot                                                                                 than those of the DOT, with the
                                                  Program. Under the Further Continuing                      At least 55 percent of program funds                   exception of the Federal Lands
                                                  and Security Assistance Appropriations                  must be used on capital projects such as                  Transportation Program may be used for
                                                  Act, 2017, $150,859,185 is available                    buses and vans; wheelchair lifts, ramps,                  local match for funds provided under
                                                  through April 28, 2017 for the formula                  and securement devices or transit-                        section 5310, and revenue from service
                                                  program.                                                related information technology systems                    contracts may be used as local match.
                                                                                                          including scheduling/routing/one-call
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                                                  2. FY 2017 Funding Availability                         systems. Mobility management                              c. Planning and Consultation
                                                     The total available funding for                      programs are also defined as capital                         The coordinated planning provision
                                                  projects under the Section 5310 formula                 projects for purposes of this provision.                  requires that all projects be included in
                                                  program for FY 2017 is $150,104,889                     The acquisition of transportation                         the local coordinated human service-
                                                  after the oversight deduction as shown                  services under a contract, lease, or other                public transportation plan. The plan
                                                                                                          arrangement is also eligible; both the                    must be developed and adopted with
                                                  in the table below.
                                                                                                          capital and operating costs associated                    representation from seniors, individuals


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                                    6701

                                                  with disabilities, representatives of                   Summer Food Service Program http://                    FORMULA GRANTS FOR RURAL AREAS
                                                  public, private, nonprofit transportation               www.fns.usda.gov/sfsp/summer-food-                           PROGRAM—FY 2017
                                                  and human services providers, and                       service-program-sfsp. Transit service
                                                  other members of the public.                            providers receiving 5310 funds may                     Total Appropriation Available
                                                                                                          coordinate and assist in providing meal                  Through April 28, 2017 .....       $317,012,628
                                                  d. State and Project Management Plans
                                                                                                          delivery services on a regular basis as                Oversight Deductions ...........       (1,778,404)
                                                    States, designated recipients, and                    long as this does not conflict with the                Section 5340 Growing States            44,421,465
                                                  State or local governmental entities that               provision of transit services.
                                                  operate a public transportation service                                                                          Total Apportioned ..............    359,655,689
                                                                                                            Program Guidance is found in FTA
                                                  that are responsible for implementing
                                                                                                          Circular 9070.1G, Enhanced Mobility of                 3. Basis for Formula Apportionment
                                                  the section 5310 program are required to
                                                                                                          Seniors and Individuals with
                                                  document their approach to managing                                                                               FTA apportions Rural Areas Formula
                                                                                                          Disabilities Program Guidance and
                                                  the program. The Management Plans                                                                              Program funds to the states by a
                                                                                                          Application Instructions, dated July 7,
                                                  serve as the basis for FTA management                                                                          statutory formula using the latest
                                                                                                          2014. Section 3006(b) of the FAST Act
                                                  reviews of the program, and provide                                                                            available U.S. decennial census data.
                                                                                                          creates a new competitive pilot program
                                                  public information on the                                                                                      The majority of Rural Formula Program
                                                                                                          for innovative coordinated access and
                                                  administration of the programs.                                                                                funds (83.15 percent) are apportioned
                                                                                                          mobility that is discussed in section III
                                                  e. Program of Projects (POP)                                                                                   based on land area and population
                                                                                                          of this notice. The Federal share is 80%
                                                                                                                                                                 factors. In this first tier, no state may
                                                     Designated recipients are required to                for capital projects. Local Match can
                                                                                                                                                                 receive more than 5 percent of the
                                                  develop a Program of Projects (POP)                     come from other Federal (non-DOT)
                                                                                                                                                                 amount apportioned on the basis of land
                                                  with the grant application and submit it                funds.
                                                                                                                                                                 area. The remaining Rural Formula
                                                  to the FTA Regional Office. The POP                     F. Formula Grants for Rural Areas                      Program funds (16.85 percent) are
                                                  should be developed with respect to the                 Program (49 U.S.C. 5311)                               apportioned based on land area, vehicle
                                                  coordinated plan, long range plan, and                                                                         revenue miles, and low-income
                                                  the transportation improvement plan.                       The Rural Areas program provides                    individual factors. In this second tier,
                                                  For additional guidance in developing                   formula funding to States and Indian                   no state may receive more than 5
                                                  the required POP, see Chapter IV of the                 tribes for the purpose of supporting                   percent of the amount apportioned on
                                                  FTA Circular 9070.1G, Enhanced                          public transportation in areas with a                  the basis of land area, or more than 5
                                                  Mobility of Seniors and Individuals with                population of less than 50,000. Funding                percent of the amounts apportioned for
                                                  Disabilities Program Guidance and                       may be used for capital, operating,                    vehicle revenue miles. In addition to
                                                  Application Instructions, dated July 7,                 planning, job access and reverse                       funds made available under section
                                                  2014.                                                   commute projects, and State                            5311, FTA adds amounts apportioned
                                                                                                          administration expenses. Eligible sub-                 based on rural population according to
                                                  5. Period of Availability
                                                                                                          recipients include State and local                     the growing states formula factors of 49
                                                     For Enhanced Mobility of Seniors and                 governmental authorities, Indian Tribes,               U.S.C. 5340 to the amounts apportioned
                                                  Individuals with Disabilities Program                   private non-profit organizations, and                  to the states under the section 5311
                                                  funds apportioned under this notice, the                private operators of public                            formula. Before FTA apportions section
                                                  period of availability is three years,                  transportation services, including                     5311 funds to the states, FTA subtracts
                                                  which includes the year of                              intercity bus companies. Indian Tribes                 funding from the total available
                                                  apportionment plus two additional                       are also eligible direct recipients under              amounts for the Appalachian
                                                  years. Accordingly, funds apportioned                   Rural Areas Formula Program, both for                  Development Transportation Assistance
                                                  in FY 2017 must be obligated in grants                  funds apportioned to the States and for                Program, the Tribal Transit Program, the
                                                  by September 30, 2019. Any FY 2017                      projects apportioned or selected to be                 Rural Transportation Assistance
                                                  apportioned funds that remain                           funded with funds set aside for a                      Program (RTAP), and FTA oversight
                                                  unobligated at the close of business on                 separate Tribal Transit Program. For                   activities.
                                                  September 30, 2019 will revert to FTA                   more information about the Formula                        Data from the National Transit
                                                  for reapportionment among the States                    Grants for Rural Areas program, please                 Database (NTD) 2015 Report Year was
                                                  and urbanized areas.                                    contact Élan Flippin at (202) 366–3800                used for this apportionment, including
                                                  6. Other Program Information                            or Elan.flippin@dot.gov.                               data from directly-reporting Indian
                                                                                                                                                                 tribes. Data from public transportation
                                                     A State may transfer apportioned                     1. Authorized Amounts                                  systems that reported as urbanized area
                                                  funds between small urbanized areas                                                                            systems, but that was not attributable to
                                                  and rural areas if it can certify that the                 Federal transit law authorizes
                                                                                                                                                                 an urbanized area, was also included.
                                                  needs are being met in the area to which                $632,355,120 in FY 2017 to provide
                                                                                                                                                                 The Rural Areas Formula Program
                                                  the funds were originally apportioned.                  financial assistance for rural areas under
                                                                                                                                                                 program includes three takedowns: The
                                                  The State can transfer the funds (rural                 Rural Areas Formula Program.
                                                                                                                                                                 Appalachian Development Public
                                                  and small urbanized area) to any area                   2. FY 2017 Funding Availability                        Transportation Assistance Program; the
                                                  within the state if a statewide program                                                                        Rural Transit Assistance Program
                                                  for section 5310 is established. Section                  Under the Further Continuing                         (RTAP); and the Tribal Transit Program.
                                                  5310 funds may not be transferred to                    Security Assistance Appropriations Act,                These separate programs are described
                                                  other FTA programs. Section 5310 funds                  2017, $317,012,628 is available through
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                                                                                                                                                                 in the sections that follow.
                                                  apportioned to large urbanized areas                    April 28, 2017 to the Rural Area
                                                  may not be transferred to other areas.                  Programs which includes $44,378,969                    4. Requirements
                                                  Section 5310 program recipients may                     for Growing States. The total amount                      The Rural Areas Formula Program
                                                  partner with meal delivery programs                     apportioned to the program is                          provides funding for capital, operating,
                                                  such as the OAA-funded meal programs                    $359,613,193 as shown in the table                     planning, job access and reverse
                                                  (to find local programs, visit:                         below, after the deduction for oversight               commute projects, and administration
                                                  www.Eldercare.gov) and the USDA                         (authorized by section 5338).                          expenses for public transit service in


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                                                  6702                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  rural areas under 50,000 in population.                 Grants for Rural Areas: Program                        3. Basis for Formula Apportionment
                                                  The planning activities undertaken with                 Guidance and Application Instructions,                    FTA allocates funds to the States by
                                                  Rural Areas Formula Program funds are                   dated November 24, 2014, and is                        an administrative formula. First, FTA
                                                  in addition to those awarded to the State               supplemented by additional information                 allocates $65,000 to each State ($10,000
                                                  under section 5305 and must be used                     that may be posted to FTA’s Web page.                  to territories), and then allocates the
                                                  specifically for the needs of rural areas.                                                                     balance based on rural population in the
                                                                                                          5. Period of Availability
                                                  a. Intercity Bus Transportation                                                                                2010 census.
                                                                                                            Rural Areas Formula Program funds
                                                     Each State must spend no less than 15                remain available to states for obligation              4. Requirements
                                                  percent of its annual Rural Areas                       for three Federal fiscal years, beginning                 Eligible expenses include the design
                                                  Formula Program apportionment for the                   with the year of apportionment plus two                and implementation of training and
                                                  development and support of intercity                    additional years. The Rural Areas                      technical assistance projects, research,
                                                  bus transportation, unless it can certify,              Formula Program funds apportioned in                   and other support services tailored to
                                                  after consultation with affected intercity              this notice are available for obligation               meet the needs of transit operators in
                                                  bus service providers, that the intercity               during FY 2017 plus two additional                     rural areas.
                                                  bus service needs of the State are                      years. Any FY 2017 apportioned funds                      States may use the funds to undertake
                                                  adequately met. FTA encourages                          that remain unobligated at the close of                research, training, technical assistance,
                                                  consultation with other stakeholders,                   business on September 30, 2019 will                    and other support services to meet the
                                                  such as communities affected by loss of                 revert to FTA for reapportionment                      needs of transit operators in rural areas.
                                                  intercity service. The cost of an                       under the Rural Areas program.                         These funds are to be used in
                                                  unsubsidized portion of privately                                                                              conjunction with a State’s
                                                  provided intercity bus service that                     6. Other Program Information                           administration of the Rural Areas
                                                  connects feeder service, including all                    Revenue from the sale of advertising                 Formula Program, but also may support
                                                  operating and capital costs of such                     and concessions may be used as local                   the rural components of the section
                                                  service whether or not offset by revenue                match.                                                 5310 program.
                                                  from such service may be used as in-
                                                  kind local match for the intercity bus                  G. Rural Transportation Assistance                     5. Period of Availability
                                                  projects. FTA is updating the Rural                     Program (49 U.S.C. 5311(b)(3))                            The RTAP funds apportioned in this
                                                  Areas Formula Program program                              This program provides funding to                    notice are available for obligation in FY
                                                  circular to include this change.                        assist in the design and implementation                2017 plus two additional years,
                                                                                                          of training and technical assistance                   consistent with that established for the
                                                  b. State Administration                                                                                        Rural Areas Formula Program Rural
                                                                                                          projects, research, and other support
                                                     States may elect to use up to 10                     services tailored to meet the needs of                 Program.
                                                  percent of their apportionment at 100                   transit operators in rural areas. For more             6. Other Program Information
                                                  percent Federal share to administer the                 information about Rural Transportation
                                                  Rural Areas Formula Program program                                                                               The National RTAP project is
                                                                                                          Assistance Program (RTAP), please
                                                  and provide technical assistance to                                                                            administered by cooperative agreement
                                                                                                          contact Élan Flippin at (202) 366–3800
                                                  subrecipients. Technical assistance                                                                            and re-competed at five-year intervals.
                                                                                                          or Elan.flippin@dot.gov.
                                                  includes project planning, program and                                                                         In July of 2014, FTA awarded a
                                                  management development, public                          1. Authorized Amounts                                  cooperative agreement to the Neponset
                                                  transportation coordination activities,                                                                        Valley Transportation Management
                                                                                                             There is a two percent takedown from
                                                  and research the State considers                                                                               Association to administer the National
                                                                                                          the funds made available for RTAP. Of
                                                  appropriate to promote effective                                                                               RTAP Program. The National RTAP
                                                                                                          the remaining amount, 15 percent is
                                                  delivery of public transportation to rural                                                                     projects are guided by a project review
                                                                                                          reserved for the National RTAP
                                                  areas.                                                                                                         board that consists of managers of rural
                                                                                                          program. The remainder is available for
                                                                                                                                                                 transit systems and State DOT RTAP
                                                  c. Other Requirements                                   allocation to the States.
                                                                                                                                                                 programs. National RTAP resources also
                                                     The Federal share for capital                           Federal Transit Law authorizes                      support the biennial Transportation
                                                  assistance is 80 percent and for                        $12,647,102 in FY 2017 to provide                      Research Board National Conference on
                                                  operating assistance is 50 percent,                     technical assistance.                                  Rural Public and Intercity Bus
                                                  except that States eligible for the sliding             2. FY 2017 Funding Availability                        Transportation and other research and
                                                  scale match under FHWA programs may                                                                            technical assistance projects of a
                                                  use that match ratio for Rural Areas                       Under the Further Continuing and                    national scope.
                                                  Formula Program capital projects and                    Security Assistance Appropriations Act,
                                                                                                          2017 $7,113,616 is available through           H. Appalachian Development Public
                                                  62.5 percent of the sliding scale capital
                                                                                                          April 28, 2017 to the RTAP Program.            Transportation Assistance Program (49
                                                  match ratio for operating projects. No
                                                                                                          The total amount apportioned for RTAP          U.S.C. 5311(c)(2))
                                                  longer exists
                                                     Each State prepares an annual                        is $6,046,574 as shown in the table               This program is a take-down under
                                                  program of projects, which must                         below, after the deduction for National        the Rural Areas Formula Program to
                                                  provide for fair and equitable                          RTAP.                                          provide additional funding to support
                                                  distribution of funds within the States,                                                               public transportation in the
                                                  including Indian reservations, and must                  RURAL TRANSPORTATION ASSISTANCE Appalachian region. There are sixteen
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                                                  provide for maximum feasible                                      PROGRAM—FY 2017                      eligible States that receive an allocation
                                                  coordination with transportation                                                                       under this provision. The State
                                                  services assisted by other Federal                      Total Appropriation Available                  allocations are shown in the Rural Areas
                                                  sources.                                                  through April 28, 2017 ......    $7,113,616 Formula program table posted on FTA’s
                                                     Additional program guidance for the                  National RTAP (15%) ...........    (1,067,042) Web site on the FY 2017
                                                  Rural Areas Formula Program is found                      Total Apportioned ..............   6,046,574 Apportionments page. For more
                                                  in FTA Circular 9040.1G, Formula                                                                       information about the Appalachian


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                                   6703

                                                  Development Public Transportation                       5. Period of Availability                                     lands. The formula apportionment
                                                  Assistance Program, please contact Élan                  Appalachian Program funds are                               shown in Table 10 is based on a
                                                  Flippin at (202) 366–3800 or                            available for three years, which includes                     statutory formula which includes three
                                                  Elan.flippin@dot.gov.                                   the year of apportionment plus two                            tiers. Tiers 1 and 2 are based on data
                                                                                                          additional years, consistent with that                        reported to NTD by Indian tribes; Tier
                                                  1. Authorized Amounts                                                                                                 3 is based on 2010–2014 American
                                                                                                          established for the Rural Areas Formula
                                                    Federal transit law authorizes $20                    Program.                                                      Community Survey data. The three tiers
                                                  million in each of FY 2016 through FY                                                                                 for the formula are: Tier 1—50 percent
                                                  2020 as a take-down under the Rural                     I. Formula Grants for Public                                  based on vehicle revenue miles reported
                                                  Areas Formula Program to support                        Transportation on Indian Reservations                         to the NTD; Tier 2—25 percent provided
                                                  public transportation in the                            Program (49 U.S.C. 5311(j))                                   in equal shares to Indian tribes reporting
                                                  Appalachian region.                               The Public Transportation on Indian                                 at least 200,000 vehicle revenue miles to
                                                                                                 Reservations Program, or Tribal Transit                                the NTD; Tier 3—25 percent based on
                                                  2. FY 2017 Funding Availability                                                                                       Indian tribes providing public
                                                                                                 Program (TTP), totals $35 million, of
                                                     Under the Further Continuing and            which $30 million is for a formula                                     transportation on tribal lands (American
                                                  Security Assistance Appropriations Act, program and $5 million is for a                                               Indian Areas, Alaska Native Areas, and
                                                  2017 $11,474,389 is available through          competitive grant program. It is funded                                Hawaiian Home Lands) on which more
                                                  April 28, 2017.                                as a takedown from funds made                                          than 1,000 low income individuals
                                                                                                 available for the section Rural Areas                                  reside. If more than one eligible tribe
                                                     APPALACHIAN DEVELOPMENT PUBLIC Formula Program. Formula factors                                                    provides public transportation services
                                                     TRANSPORTATION ASSISTANCE PRO- include vehicle revenue miles and the                                               on tribal lands in a single Tribal
                                                     GRAM FUNDS FY 2017                          number of low-income individuals                                       Statistical Area, and the tribes cannot
                                                                                                                                                                        determine how to allocate Tier 3 funds,
                                                                                                 residing on tribal lands (defined as
                                                  Total Appropriation Available                                                                                         FTA will allocate the funds based on the
                                                                                                 American Indian Areas, Alaska Native
                                                    through April 28, 2017 ......    $11,474,389 Areas, and Hawaiian Home Lands).                                       relative portion of transit (as defined by
                                                                                                                                                                        unlinked passenger trips) operated by
                                                                                                 Eligible direct recipients are Federally
                                                    Total Apportioned ..............  11,474,389                                                                        each tribe, as reported to the National
                                                                                                 recognized Indian tribes and Alaskan
                                                                                                                                                                        Transit Database.
                                                                                                 Native Villages providing public
                                                  3. Basis for Formula Apportionment
                                                                                                 transportation in rural areas. The TTP                                 4. Requirements
                                                     FTA apportions the funds using              funds are allocated for grants to eligible                                Formula funds apportioned under this
                                                  percentages established under section          recipients for any purpose eligible                                    program can be used for purposes
                                                  9.5(b) of the Appalachian Regional             under Rural Areas Formula Program,                                     consistent with Rural Areas Formula
                                                  Commission Code (subtitle IV of title          which includes capital, operating,                                     Program to support public
                                                  40). Allocations are based in general on       planning, and job access and reverse                                   transportation on Indian Reservations in
                                                  each State’s remaining estimated need          commute projects. For more information                                 rural areas. Funds allocated under the
                                                  to complete eligible sections of the           about the Tribal Transit Program                                       competitive program must be used
                                                  Appalachian Development Highway                contact Elan Flippin, Office of Transit                                consistent with the tribe’s proposal and
                                                  System as determined from the latest           Programs at (202) 366–3800 or                                          the allocation notice published in the
                                                  percentages of available cost estimates        elan.flippin@dot.gov.                                                  Federal Register, which is used to
                                                  for completion of the System. Such cost                                                                               announce the selected projects. Eligible
                                                                                                 1. Authorized Amounts
                                                  estimates are produced at approximate                                                                                 recipients under both the competitive
                                                  five year intervals. Allocations contain          Federal transit law authorizes $35                                  and formula program include federally-
                                                  upper and lower limits in amounts              million in FY 2017 ($30 million for                                    recognized Indian tribes or Alaska
                                                  determined by the Commission and are           formula and $5 million for the                                         native villages, groups, or communities
                                                  made in accordance with legislative            competitive program).                                                  as identified by the U.S. Department of
                                                  instructions.                                  2. FY 2017 Funding Availability                                        the Interior Bureau of Indian Affairs
                                                  4. Requirements                                                                                                       (BIA). A tribe must have the legal,
                                                                                                            Under the Further Continuing and                            financial and technical capabilities to
                                                     Funds apportioned under this                         Security Assistance Appropriations Act,                       receive and administer Federal funds.
                                                  program can be used for purposes                        2017 $15,080,181 is available for the                            Section 5335 requires NTD reporting
                                                  consistent with the Rural Areas Formula                 formula program and $5 million for the                        for all recipients or beneficiaries all
                                                  Program to support public                               competitive program through April 28,                         section 5311 funds. This reporting
                                                  transportation in the Appalachian                       2017 as shown below.                                          requirement continues to apply to the
                                                  region. Funds can be applied for in the                                                                               Tribal Transit Program. Tribes that
                                                  State’s annual Rural Areas Formula                       FORMULA GRANTS FOR PUBLIC TRANS-                             provide public transportation in rural
                                                  Program grant.                                            PORTATION ON INDIAN RESERVA-                                areas are reminded to report annually so
                                                     Appalachian program funds that                         TIONS PROGRAM FY 2017                                       they are included in the TTP formula
                                                  cannot be used for operating may be                                                                                   apportionments. To be considered in the
                                                  used for a highway project under certain                Total Appropriation (formula)                   $15,080,181   FY 2017 formula apportionments, tribes
                                                  circumstances. States should contact                    Total Apportioned (competi-                                   should have submitted their reports to
                                                  their regional office if they intend to                   tive) ...................................       5,000,000   the NTD no later than April 30, 2016;
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                                                  request a transfer. Additional                                                                                        voluntary reporting to the NTD is also
                                                                                                             Total Apportioned ..............              20,080,181
                                                  information about the requirements for                                                                                encouraged. Additionally, to be
                                                  this section can be found in Chapter VII                                                                              considered for the FY 2018 formula
                                                  of FTA Circular 9040.1G, Formula                        3. Basis for Formula Apportionment                            apportionment funds, tribes need to
                                                  Grants for Rural Areas: Program                           Funding is allocated by formula and                         submit their reports to the NTD no later
                                                  Guidance and Application Instructions,                  distributed to eligible Indian tribes                         than April 30, 2017. Tribes needing
                                                  dated November 24, 2014.                                providing public transportation on tribal                     assistance with reporting to the NTD


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                                                  6704                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  should contact the NTD Helpline at                      about upcoming workshops to its Web                    and Safety. Projects may be selected
                                                  1–888–252–0936 or NTDHelp@dot.gov.                      site and will disseminate information                  through Notices of Funding Opporunity
                                                                                                          about the reviews through its Regional                 (NOFO) or Requests for Proposals
                                                  5. Period of Availability
                                                                                                          offices. FTA has regional tribal transit               (RFPs), or sole-sourced. Potential
                                                     Funding for the TTP is available for                 liaisons in each of the FTA Regional                   recipients can register to receive
                                                  three years, which includes the year of                 Offices that are available to assist tribes            notification of funding availability
                                                  apportionment plus two additional                       with applying for and managing FTA                     under this program on Grants.gov.
                                                  years, consistent with that established                 grants. Tribes are encouraged to work                    FTA awards an annual cooperative
                                                  for the Rural Areas Formula Program.                    directly with their regional tribal transit            agreement to the National Academies of
                                                  Any FY 2017 formula funds that remain                   liaison.                                               Science to administer the TCRP. For the
                                                  unobligated at the close of business on                                                                        LoNo-CAP, proposals were due
                                                  September 30, 2019 will revert to FTA                   J. Public Transportation Innovation (49                November 28, 2016 and FTA expects to
                                                  for reapportionment under the TTP.                      U.S.C. 5312)                                           announce the selected testing facility or
                                                  6. Other Program Information                               Public Transportation Innovation is                 facilities in January 2017.
                                                                                                          FTA’s research program. Within this
                                                     Section 207 of title 23, United States               section, are several different activities      4. Requirements
                                                  Code establishes a Tribal Transportation                that comprise three distinct programs:            Eligible expenses include activities
                                                  Self-Governance Program (Self                           (a) A Research, Development,                   involving (a) Research, Innovation,
                                                  Governance Program). The Self                           Demonstration, Deployment, &                   Development, Demonstration,
                                                  Governance Program will establish                       Evaluation program (49 U.S.C. 5312(b–          Deployment, Evaluation; (b) Low or No
                                                  specific criteria for determining                       e)); (b) a Low or No Emission Vehicle          Emission Vehicle Component Testing;
                                                  eligibility for a tribe to participate in the           Component Assessment Program (LoNo-            and (c) Transit Cooperative Research.
                                                  program. A Negotiated Rulemaking to                     CAP) (49 U.S.C. 5312(h)); and (c) a               The Government share of the cost of
                                                  implement this program in consultation                  Transit Cooperative Research Program           a project carried out under FTA’s
                                                  with tribal representatives and other                   (49 U.S.C. 5312(i)). For more                  Research, Development, Deployment,
                                                  interested stakeholders is under                        information about the Public                   and Demonstration program shall not
                                                  development.                                            Transportation Innovation program,             exceed 80 percent; the remaining 20
                                                     The funds set aside for the TTP are                                                                 percent of the costs can be met with in-
                                                                                                          contact Edwin Rodriguez, Office of
                                                  not meant to replace or reduce funds                                                                   kind resources. In some cases, FTA may
                                                                                                          Research, Demonstration and
                                                  that Indian tribes receive from States                                                                 require a higher non-Federal share if
                                                                                                          Innovation at (202) 366–0671 or
                                                  through the Rural Areas Formula                                                                        FTA determines a recipient would
                                                  Program but are to be used to enhance                   edwin.rodriguez@dot.gov.
                                                                                                                                                         obtain a clear and direct financial
                                                  public transportation on Indian                         1. Authorized Amounts                          benefit from the project, or if the non-
                                                  reservations and transit serving tribal                    Federal transit law authorizes $48          Federal share is an evaluation factor
                                                  communities. Funds allocated to Indian                  million for FY 2017 for the Public             under a competitive selection process.
                                                  tribes by the States may be included in                 Transportation Innovation program.                However, for the LoNo-CAP, the
                                                  the State’s Rural Areas Formula Program                                                                Government share is 50 percent; the
                                                  application or maybe awarded by FTA                     2. FY 2017 Funding Availability
                                                                                                                                                         remaining 50 percent of the costs will be
                                                  in a grant directly to the Indian tribe.                   Under the Further Continuing and            paid by amounts recovered through the
                                                  FTA encourages Indian tribes intending                  Security Assistance Appropriations Act, fees established by the testing facilities.
                                                  to apply to FTA as direct recipients to                 2017 $16,064,145 is available through          There is no match requirement for the
                                                  contact the appropriate FTA Regional                    April 28, 2017 shown in the table              TCRP.
                                                  Office at the earliest opportunity.                     below.                                            Application instructions and program
                                                     TTP grantees must comply with all                                                                   management guidelines are set forth in
                                                  applicable Federal statutes, regulations,                PUBLIC TRANSPORTATION INNOVATION FTA Circular C 6100.1E, Technology
                                                  executive orders, FTA circulars, and                     APPORTIONED THRU APRIL 28, 2017 Development and Deployment,
                                                  other Federal requirements in carrying                                                                 ‘‘Research, Technical Assistance and
                                                  out the project supported by the FTA                    Research, Development,                         Training Program: Application
                                                  grant. To assist tribes with                              Demonstration, Deploy-                       Instructions and Program Management
                                                  understanding these requirements, FTA                     ment, & Evaluation ............  $11,474,389 Guidelines’’ dated May 11, 2015.
                                                  regularly conducts Tribal Transit                       Low or No Emission Vehicle                        All research recipients are required to
                                                  Technical Assistance Workshops. FTA                       Component Testing ...........      1,721,158 work with FTA to develop approved
                                                  has also expanded its technical                         Transit Cooperative Re-
                                                                                                                                                         Statements of Work. FTA will be
                                                  assistance to tribes receiving funds                      search Program (TCRP) ...          2,868,597
                                                                                                                                                         updating the Circular for the Research
                                                  under this program. In FY 2015, FTA
                                                                                                            Total Apportioned ..............  16,064,145 Program during FY 2017.
                                                  implemented the Tribal Transit
                                                  Technical Assistance Assessments                                                                               5. Period of Availability
                                                  initiative. Through these assessments,                  3. Basis for Formula Apportionment
                                                                                                                                                                    FTA establishes the period in which
                                                  FTA collaborates with tribal transit                       Public Transportation Innovation                    the funds must be obligated to the
                                                  leaders to review processes and identify                funds are allocated according to the                   project. If the funds are not obligated
                                                  areas in need of improvement and then                   authorized purposes and amounts                        within that period of time, they revert
                                                  assist with solutions to address these                  described above, and then remaining
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                                                                                                                                                                 to FTA for reallocation under the
                                                  needs—all in a supportive and mutually                  amounts are subject to competitive                     program.
                                                  beneficial manner. These assessments                    allocations where not specifically
                                                  include discussions of compliance areas                 authorized. For FY 2017, FTA intends to                6. Other Program Information
                                                  pursuant to the Master Agreement, a site                fund projects and activities consistent                   FTA publishes an annual Research
                                                  visit, promising practices reviews, and                 with its Research Strategic Plan and in                Report on projects, evaluations, and
                                                  technical assistance from FTA and its                   support of three major areas: Asset                    benefits of its research portfolio. The
                                                  contractors. FTA will post information                  Innovation and Management, Mobility,                   FY2015 Report is posted on FTA’s Web


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                              6705

                                                  site, with the FY2016 report expected in                information about TCRP, please contact                 3. Basis for Formula Apportionment
                                                  February 2017. Section 6019(b) of the                   Faith Hall at faith.hall@dot.gov.                        Under the Technical Assistance and
                                                  FAST Act establishes new requirements                     Pursuant to the Small Business                       Workforce Development Program,
                                                  for annual modal research plans in 49                   Innovation Development Act, a portion                  $2,868,597 is available for the NTI. The
                                                  U.S.C. 6501. The FY 2016 plans are                      of the 5312 funds must be set aside for                remaining $2,294,878 will be allocated
                                                  posted on DOT’s Web site.                               the Department’s SBIR program to                       in support of FTA and USDOT strategic
                                                     For the new LoNo-CAP (5312(h)),                      address high priority research that will               goals for technical assistance, standards
                                                  FTA solicited proposals for the LoNo-                   demonstrate innovative, economic,                      development, and workforce
                                                  CAP in the Fall of 2016, with                           accurate, and durable technologies,                    development. Projects may be selected
                                                  selection(s) expected in January 2017.                  devices, applications, or solutions to                 through sole source, Notices of Funding
                                                  Per the statute, FTA only considered                    significantly improve current transit-                 Opportunity (NOFO) or Requests for
                                                  proposals from ‘‘institutions of higher                 related service including transit vehicle              Proposals (RFPs). Potential recipients
                                                  education’’ as defined in section 1002 of               operation, safety, infrastructure and                  can register to receive notification of
                                                  title 20, U.S.C., the Higher Education                  environmental sustainability, mobility,                funding availability under this program
                                                  Act of 1965. Eligible institution(s) of                 rider experience, or broadband                         on Grants.gov. Once selected, FTA
                                                  higher education must have capacity to                  communication. Information on current                  enters into cooperative agreements,
                                                  carry out transportation-related                        and past SBIR projects can be found on                 grants, contracts, or other agreements to
                                                  advanced component testing and                          the DOT SBIR Web site.                                 award funds and manage the projects
                                                  evaluation, with laboratories capable of                                                                       carried out under this section.
                                                  testing and evaluation, and direct access               K. Technical Assistance and Workforce
                                                  to or a partnership with a testing facility             Development (49 U.S.C. 5314)                           4. Requirements
                                                  capable of emulating real-world                                                                                   Eligible expenses include activities
                                                                                                             The Technical Assistance and
                                                  circumstances in order to test low or no                                                                       involving: (a) Technical assistance; (b)
                                                                                                          Workforce Development program, 49
                                                  emission components.                                                                                           standards development; and (c) human
                                                                                                          U.S.C. 5314, provides assistance to: (1)
                                                     LoNo-CAP differs from the Bus                                                                               resources and training, including
                                                                                                          Carry out technical assistance activities
                                                  Testing Program (Section 5318) in that                                                                         workforce development programs and
                                                                                                          that enable more effective and efficient
                                                  LoNo-CAP testing is voluntary; it will                                                                         activities. Eligible technical assistance
                                                                                                          delivery of transportation services,
                                                  only test components, and it will not                                                                          activities may include activities to
                                                                                                          foster compliance with Federal laws,
                                                  assign passing or failing scores. The                                                                          support: (a) Compliance with the ADA;
                                                                                                          and improve public transportation
                                                  LoNo component testing performed                                                                               (b) compliance with coordinating
                                                                                                          service; (2) develop standards and best
                                                  under LoNo-CAP complements the                                                                                 planning and human services
                                                                                                          practices for the transit industry; and (3)
                                                  Section 5318 Bus Testing Program,                                                                              transportation; (c) meeting the
                                                                                                          address public transportation workforce
                                                  under which FTA will continue to test                                                                          transportation needs of elderly
                                                                                                          needs through research, outreach,
                                                  complete buses as a condition of                                                                               individuals; (d) increasing transit
                                                                                                          training and the implementation of a
                                                  eligibility for FTA grant funding.                                                                             ridership in coordination with MPOs
                                                                                                          frontline workforce grant program, and
                                                  Eligible activities under LoNo-CAP                                                                             and other entities, particularly around
                                                                                                          conduct training and educational
                                                  include testing and assessing                                                                                  transit-oriented development; (e)
                                                                                                          programs in support of the public
                                                  voluntarily submitted Lo-No                                                                                    addressing transportation equity with
                                                                                                          transportation industry.
                                                  components for transit buses,                                                                                  regard to the effect that transportation
                                                  publishing the results of these LoNo                       For more information or questions                   planning, investment, and operations
                                                  component assessments, and preparing                    about the Technical Assistance and                     have for low-income and minority
                                                  an annual report to Congress                            Workforce Development programs,                        individuals; (f) facilitating best practices
                                                  summarizing the results of the                          please contact Edwin Rodriguez, Office                 to promote bus driver safety; (g):
                                                  component assessments. For more                         of Research, Demonstration, and                        compliance with Buy America
                                                  information on the LoNo-CAP, please                     Innovation at (202) 366–0671 or                        requirements and pre- and post-award
                                                  contact Marcel Belanger at                              Edwin.rodriguez@dot.gov.                               audits; (h) assisting with the
                                                  marcel.belanger@dot.gov or visit:                       1. Authorized Amounts                                  development and deployment of low
                                                  https://www.transit.dot.gov/research-                                                                          and no emission vehicles or
                                                  innovation/lonocap.                                       The Technical Assistance and                         components for vehicles; (i) and other
                                                     TCRP is a cooperative effort of three                Workforce Development Program is at                    technical assistance activities that are
                                                  organizations: FTA; the National                        $14 million in FY 2017. Under the                      necessary to advance the interests of
                                                  Academies, acting through the                           Further Continuing and Security                        public transportation.
                                                  Transportation Research Board (TRB);                    Assistance Appropriations Act, 2017                       Eligible standards development
                                                  and the Transit Development                             $5,163,475 is authorized through April                 activities include the development of
                                                  Corporation, Inc. (TDC), a nonprofit                    28, 2017 as shown in the table below.                  voluntary and consensus-based
                                                  educational and research organization                                                                          standards and best practices by the
                                                  established by the American Public                      2. FY 2017 Funding Availability
                                                                                                                                                                 industry including those needed for
                                                  Transportation Association (APTA).                                                                             safety, fare collection, intelligent
                                                  FTA funds the TCRP through a                              TECHNICAL ASSISTANCE AND WORK-                       transportation systems, accessibility,
                                                  cooperative agreement and it is                           FORCE DEVELOPMENT FUNDS AVAIL-                       procurement, security, asset
                                                  governed by an independent board—the                      ABLE THRU APRIL 28, 2017                             management, operations, maintenance,
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                                                  TCRP Oversight and Project Selection                                                                           vehicle propulsion, communications,
                                                  (TOPS) Committee. The TOPS                              Technical Assistance, Stand-                           and vehicle electronics.
                                                  Committee sets priorities to decide what                  ards Development &                                      Eligible human resources and training
                                                  research studies will be undertaken and                   Human Resource Training                $2,294,878    activities include (a) employment
                                                  annually selects projects. The FY 2017                  National Transit Institute .......        2,868,597    training programs; (b) outreach
                                                  selected projects can be found at http://                 Total Appropriated ............         5,163,475    programs to increase employment for
                                                  www.trb.org/TCRP. For more                                                                                     veterans, females, individuals with


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                                                  6706                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  disabilities, and minorities in public                  5. Period of Availability                                 While Congress has not provided
                                                  transportation; (c) research on public                    FTA establishes the period in which                  funding for this program in FY 2017, so
                                                  transportation personnel and training                   the funds must be obligated to the                     far recipients of FTA funding affected
                                                  needs; (d) training and assistance for                  project. If the funds are not obligated                by a declared emergency or disaster are
                                                  veteran and minority business                           within that period of time, they revert                authorized to use funds apportioned
                                                  opportunities; and (e) consensus-based                  to FTA for reallocation under the                      under sections 5307 and 5311 for
                                                  national training standards and                         program.                                               emergency purposes under the
                                                  certifications in partnership with                                                                             provisions of FTA’s Emergency Relief
                                                  industry stakeholders. FTA funding                      6. Other Program Information                           Program. Recipients are advised that
                                                  directly allocated for these eligible                     FTA publishes an annual report to                    formula funds disbursed to a grantee for
                                                  purposes must be done through a                         Congress on the technical assistance and               emergency purposes will not be
                                                  competitive frontline workforce                         standards activities that receive                      replaced or restored in the event that
                                                  development program as required by                      assistance under this section.                         funding is subsequently made available
                                                  section 5314. Should FTA allocate                       Additionally, FTA must report annually                 through FTA under the ER Program or
                                                  funds for these purposes, it will                       on the Frontline Workforce                             by the Federal Emergency Management
                                                  advertise the available funding in a                    Development Program. These reports                     Agency (FEMA).
                                                  Notice of Funding Opportunity (NOFO)                    can be found on FTA’s Web site.                           In the event of a disaster affecting a
                                                  on Grants.gov and on its Web site. In the               L. Public Transportation Emergency                     public transportation system, the
                                                  meantime, recipients of funds under                     Relief Program (49 U.S.C. 5324)                        affected recipient should contact its
                                                  sections 5307, 5337, and 5339 may use                                                                          FTA Regional Office as soon as
                                                  0.5 percent of their available funds to                    FTA’s Emergency Relief (ER) Program                 practicable to determine whether
                                                  pay for workforce development                           is authorized to provide funding for                   Emergency Relief Program funds are
                                                  activities (up to an 80 percent Federal                 public transportation expenses incurred                available, and to notify FTA that it plans
                                                  share). There is a separate eligibility to              as a result of an emergency or major                   to seek reimbursement for emergency
                                                  use 0.5 percent of available funds under                disaster. No funding was provided in                   operations and/or repairs that have
                                                  the sections above for training at the                  the Further Continuing and Security                    already taken place or are in process. If
                                                  National Transit Institute.                             Assistance Appropriations Act, 2017 for                Emergency Relief funds are unavailable
                                                                                                          this program.                                          the recipient may seek reimbursement
                                                     The Government’s share of the cost of                   In the event funds are appropriated to
                                                  a project carried out using a grant under                                                                      from FEMA. Properly documented costs
                                                                                                          this program to assist in responding to                for which the grantee has not received
                                                  this section shall not exceed 80 percent.               a publicly declared emergency or
                                                  However, for the human resources and                                                                           reimbursement from FEMA may later be
                                                                                                          disaster, eligible expenses will include               reimbursed by grants made either from
                                                  training, including the Innovative                      emergency operating expenses, such as
                                                  Public Transportation Frontline                                                                                Emergency Relief Program funding (if
                                                                                                          evacuations, rescue operations, and
                                                  Workforce Development Program, the                                                                             appropriated) or from sections 5307 and
                                                                                                          expenses incurred to protect assets in
                                                  Government’s share cannot exceed 50                                                                            5311 program funding, once the eligible
                                                                                                          advance of a disaster, as well as capital
                                                  percent. The Federal share for other                                                                           recipient formally applies to FTA for
                                                                                                          projects to protect, repair, reconstruct,
                                                  types of awards will be stated in the                                                                          reimbursement and FTA determines
                                                                                                          or replace equipment and facilities of a
                                                  agreement. In some cases, FTA may                                                                              that the expenses are eligible for
                                                                                                          public transportation system that the
                                                  require a higher non-Federal share if                                                                          emergency relief.
                                                                                                          Secretary determines is in danger of
                                                  FTA determines a recipient would                        suffering serious damage or has suffered                  More information on the Emergency
                                                  obtain a clear and direct financial                     serious damage as a result of an                       Relief Program and FTA’s response to
                                                  benefit from the project, or if the non-                emergency. Additionally, transit                       Hurricane Sandy is available on the
                                                  Federal share is an evaluation factor                   agencies in the affected areas may                     FTA Web site at https://
                                                  under a competitive selection process.                  request relief from certain FTA                        www.transit.dot.gov/funding/grant-
                                                     The non-Government share of the cost                 administrative and regulatory                          programs/emergency-relief-program/
                                                  of a project carried out under these                    requirements for costs incurred in                     emergency-relief-program.
                                                  sections (Technical Assistance and                      support of evacuations, rescue efforts,                   For more information or questions on
                                                  Standards and Technical Assistance and                  and the efficient shut down and                        this program, please contact Adam
                                                  Training) may be derived from in-kind                   resumption of transit services during                  Schildge at 202–366–0778 or
                                                  contributions as defined in the most                    and after the storm. Requests for relief               www.adam.schildge@dot.gov.
                                                  current version of FTA Circular 5010,                   from these requirements may be
                                                                                                          submitted to FTA’s Emergency Relief                    M. Public Transportation Safety
                                                  ‘‘Award Management Guidelines’’ found                                                                          Program (49 U.S.C. 5329)
                                                  on FTA’s Circular Web page at http://                   Docket at https://www.regulations.gov/.
                                                                                                          The docket number for calendar year
                                                  www.fta.dot.gov/circulars). Application                                                                           The State Safety Oversight Formula
                                                                                                          2017 is FTA–2017–0001.
                                                  instructions and program management                                                                            Program provides funding to support
                                                                                                             FTA also encourages transit agencies
                                                  guidelines are set forth in FTA Circular                                                                       States with rail fixed guideway public
                                                                                                          in affected areas to become familiar with
                                                  6100.1E, ‘‘Research, Technical                                                                                 transportation systems (rail transit
                                                                                                          FTA’s Emergency Relief Program
                                                  Assistance and Training Programs:                                                                              systems) to develop and carry out State
                                                                                                          Manual, available at transit.dot.gov/
                                                  Application Instructions and Program                    emergencyrelief. Should funding be                     Safety Oversight (SSO) Programs
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                                                  Management Guidelines’’ dated May 11,                   made available by Congress through                     consistent with the requirements of 49
                                                  2015.                                                   FTA’s Emergency Relief Program, or at                  U.S.C. 5329.
                                                     All research recipients are required to              FEMA’s direction, FTA will work with                      For more information or questions on
                                                  work with FTA to develop approved                       agencies to assess the impacts of the                  the Public Transportation Safety
                                                  statements of work. There is no match                   storm, including emergency operations                  program, please contact Maria Wright at
                                                  requirement for the National Transit                    and any potential damages to transit                   (202) 366–5922 or
                                                  Institute.                                              rolling stock or facilities.                           maria1.wright@dot.gov.


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                                         6707

                                                  1. Authorized Amounts                                   6. Other Program Information                              STATE OF GOOD REPAIR PROGRAM
                                                    Federal transit law authorizes                                                                                   FUNDS APPORTIONED FY 2017
                                                                                                     Section 5329 authorizes FTA to
                                                  $23,148,419 in FY 2017 to provide               temporarily assume oversight of a rail
                                                  funding to support States in developing                                                                        Total Appropriation Avail-
                                                                                                  transit safety system, under certain                             able through April 28,
                                                  and carrying out the SSO Program.               circumstances. FTA also has the                                  2017 ..............................   $1,438,314,657
                                                  2. FY 2017 Funding Availability                 authority to issue restrictions and                            Oversight Deductions .......               (14,383,147)
                                                                                                  prohibitions to address unsafe
                                                     Under the Further Continuing and             conditions or practices. On August 11,                            Total Apportioned ..........          1,423,931,511
                                                  Security Assistance Appropriations Act, 2016, FTA published a final rule to set
                                                  2017 $13,020,292 is available through           procedures for FTA’s administration of                         3. Basis for Formula Apportionment
                                                  April 28, 2017 for the period October 1,        the Public Transportation Safety                                  FTA apportions State of Good Repair
                                                  2016 through April 28, 2017 for the             Program. The final rule provides                               Program funds according to a statutory
                                                  State Safety Oversight (SSO) program as procedures whereby FTA may: (1)                                        formula. Funds are apportioned to
                                                  shown in the table below.                       Require a recipient to use Chapter 53                          urbanized areas with high intensity
                                                                                                  funds to correct safety violations                             fixed guideway and high intensity
                                                      PUBLIC TRANSPORTATION SAFETY                identified by the Administrator or a                           motorbus systems that have been in
                                                     PROGRAM FUNDS APPORTIONED State Safety Oversight Agency before                                              operation for at least seven years. This
                                                     THRU APRIL 28, 2017                          such funds are used for any other                              means that only segments of high
                                                                                                  purpose, or (2) withhold up to than 25                         intensity fixed guideway and high
                                                  Total Appropriation ............... $13,020,292 percent of funds apportioned under 49                          intensity motorbus systems that entered
                                                                                                  U.S.C. 5307 from a recipient when the                          into revenue service on or before
                                                     Total Apportioned ..............  13,020,292                                                                September 30, 2009 are included in the
                                                                                                  Administrator has evidence that the
                                                                                                  recipient has engaged in a pattern or                          formula, as identified in the NTD.
                                                  3. Basis for Formula Apportionment              practice of serious safety violations, or                      Funds apportioned to urbanized areas
                                                     FTA will continue to allocate funds to has otherwise refused to comply with                                 with high intensity fixed guideway and
                                                  the States by an administrative formula, the Public Transportation Safety                                      motorbus systems are determined by
                                                  which is detailed in the Federal                Program, or any regulation or directive                        two equal elements: (1) The proportion
                                                  Register notice apportioning SSO                issued under those laws for which the                          of the amount an urbanized area would
                                                  Formula Grant Program FY 2013 and FY Administrator exercises enforcement                                       have received in FY 2011 to the total
                                                  2014 funds (Mar. 10, 2014). Grant funds authority for safety.                                                  amount apportioned to all urbanized
                                                  for the SSO program are apportioned to                                                                         areas in the FY 2011 Fixed Guideway
                                                                                                  N. State of Good Repair Program (49                            Modernization program using the fixed
                                                  eligible States using a three-tier formula
                                                                                                  U.S.C. 5337)                                                   guideway definition defined in prior
                                                  based on statutory requirements, which
                                                  apportion sixty percent (60%) of                                                                               law; and (2) the proportion of vehicle
                                                                                                     The State of Good Repair Program                            revenue miles of an urbanized area to
                                                  available funds based rail transit system provides financial assistance to
                                                  passenger miles (PMT), vehicle revenue designated recipients in Urbanized                                      the total vehicle revenue miles of all
                                                  miles (VRM), and directional route                                                                             urbanized areas and the proportion of
                                                                                                  Areas (UZAs) with fixed guideway and                           directional route miles of an urbanized
                                                  miles (DRM), twenty percent (20%) of            high intensity motorbus systems for                            area to the total directional miles of all
                                                  available funds equally to each eligible        capital investments that maintain,                             urbanized areas. 97.15 percent of the
                                                  State, and twenty percent (20%) based           rehabilitate, and replace aging transit                        total appropriation is apportioned to the
                                                  on the number of rail transit systems in        assets and bring fixed guideway and                            fixed guideway tier, the remaining 2.85
                                                  each state.                                     high intensity motorbus systems into a                         percent is apportioned to the high-
                                                  4. Requirements                                 state of good repair. FTA apportions                           intensity motorbus tier.
                                                                                                  funds for this program through a
                                                     FTA requires each applicant to               statutory formula using data reported to                       4. Requirements
                                                  demonstrate in its grant application that the National Transit Database (NTD).                                    In addition to the program guidance
                                                  its proposed grant activities will                                                                             found in the FTA Circular 5300.1,
                                                                                                     For more information or questions on
                                                  develop, lead to, or carry out a State                                                                         ‘‘State of Good Repair Grants Program:
                                                                                                  the State of Good Repair program,
                                                  Safety Oversight program that meets the                                                                        Guidance and application Instructions’’
                                                                                                  please contact Eric Hu at (202) 366–
                                                  requirements under 49 U.S.C. 5329(e).                                                                          all recipients will need to comply with
                                                                                                  0870 or erichu@dot.gov.
                                                  Grant funds may be used for program                                                                            the rule issued under section 5326 for
                                                  operational and administrative                  1. Authorized Amounts                                          the Transit Asset Management plan
                                                  expenses, including employee training                                                                          (TAM).
                                                  activities. Please see the Federal                 Federal transit law authorizes
                                                  Register notice which apportioned SSO $2,549,670,000 in FY 2017 for the State                                  5. Period of Availability
                                                  Formula Grant Program FY 2013 and FY of Good Repair Program.                                                      The State of Good Repair Program
                                                  2014 funds (79 FR 13380, Mar. 10, 2014) 2. FY 2017 Funding Availability                                        funds apportioned in this notice are
                                                  for more information.                                                                                          available for obligation during FY 2017
                                                                                                     Under the Further Continuing and                            plus three additional years.
                                                  5. Period of Availability
                                                                                                  Security Assistance Appropriations Act,                        Accordingly, funds apportioned in FY
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                                                     SSO Formula Grant Program funds are 2017 $1,438,314,657 is available                                        2017 must be obligated in grants by
                                                  available for the year of apportionment         through April 28, 2017. The total                              September 30, 2020. Any FY 2017
                                                  plus two additional years. Any FY 2017 amount apportioned is $1,423,931,511                                    apportioned funds that remain
                                                  funds that remain unobligated at the            after the deduction for oversight as                           unobligated at the close of business on
                                                  close of business on September 30, 2019 shown in the table below, after the                                    September 30, 2020 will revert to FTA
                                                  will revert to FTA for reapportionment          deduction for oversight (authorized by                         for reappointment under the State of
                                                  under the SSO Formula Grant Program.            section 5338).                                                 Good Repair Program.


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                                                  6708                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  6. Other Program Information                                         GRANTS FOR BUSES AND BUS                   State and local government entities that
                                                     In July 2016, FTA published a Final                             FACILITIES—FY 2017—Continued                 operate fixed route service are now
                                                  Rule for Transit Asset Management (81                                                                           eligible direct recipients of section
                                                                                                               Total Appropriation (Bus                           5339(a) funds. FTA does not require
                                                  FR 48890, July 26, 2016). Grantees must                         Competition) ...................... 122,202,243 designated recipients to maintain
                                                  have a TAM plan in place by October                          Oversight Deduction .............        (916,517) program management plans (PMPs) if
                                                  1, 2018. Beginning in FY 2019 all
                                                                                                                  Total to be Allocated                           they do not manage any sub-awards of
                                                  projects funded under the State of Good
                                                  Repair Program must appear in the                                 (Competition) .................   121,285,726 section 5339 funds.
                                                                                                                                                                     For additional program requirements,
                                                  investment prioritization of the grantees                                                                       refer to FTA Circular 5100, ‘‘Bus and
                                                  TAM plan.                                                    3. Basis for Formula Apportionment
                                                                                                                                                                  Bus Facilities Formula Program:
                                                  O. Grants for Buses and Bus Facilities                          Buses and Bus Facilities Program                Guidance and Application
                                                  Program (49 U.S.C. 5339)                                     formula funds are apportioned to States, Instructions.’’
                                                                                                               territories, and designated recipients
                                                    The Grants for Buses and Bus                               based on a statutory formula. Under the 5. Period of Availability
                                                  Facilities Program provides financial                        National Distribution, each State is                  The Bus and Bus Facilities Program
                                                  assistance to states and designated                          allocated $1.0 million and each territory formula funds apportioned in this
                                                  recipients for capital investments in                        is allocated $286,860 for use anywhere             notice are available for obligation during
                                                  public transportation systems to replace,                    in the State or territory for each of fiscal FY 2017 plus three additional years.
                                                  rehabilitate and purchase buses and                          years 2016 through 2020. The remainder Accordingly, funds apportioned in FY
                                                  related equipment and to construct bus-                      of the available funding is then                   2017 must be obligated in grants by
                                                  related facilities, including                                apportioned to UZAs based on                       September 30, 2020. Any FY 2017
                                                  technological changes or innovations to                      population, vehicle revenue miles, and             apportioned funds that remain
                                                  modify low or no emission vehicles or                        passenger miles using the same                     unobligated at the close of business on
                                                  facilities. Funding is provided through                      apportionment formula and allocation               September 30, 2020 will revert to FTA
                                                  formula allocations and competitive                          process as the Urbanized Area Formula              for reapportionment under the Bus and
                                                  grants. A sub-program, the Low- or No-                       Program. Funds for UZAs under 200,000 Bus Facilities Formula Program.
                                                  Emission Vehicle Program, provides                           in population are apportioned to the               Competitive program funds authorized
                                                  competitive grants for bus and bus                           State for allocation to eligible recipients under sections 5339(b) and 5339(c)
                                                  facility projects that support low and                       within such areas of the State at the              follow the same period of availability.
                                                  zero-emission vehicles.                                      Governor’s discretion. Funds for UZAs
                                                    For more information or questions on                                                                          6. Other Program Information
                                                                                                               with populations of 200,000 or more are
                                                  the Grants for Buses and Bus Facilities                      apportioned directly to one or more                   Although it does not provide
                                                  Program, please contact Vanessa                              designated recipient(s) within each UZA            additional  funding, as authorized under
                                                  Williams at (202) 366–4818 or                                for allocation to eligible projects and            section 5339(a)(9), FTA has established
                                                  vanessa.williams@dot.gov. For                                recipients within the UZA.                         a pilot program to allow designated
                                                  information or questions regarding the                          FTA allocates funds under the                   recipients in urbanized areas between
                                                  competitive Low or No Emissions Grant                        competitive section 5339(b) and 5339(c) 200,000 and 1 million in population to
                                                  Program, contact Tara Clark at (202)                         programs on an annual basis based on               elect to pool their Bus and Bus Facilities
                                                  366–2623 or tara.clark@dot.gov.                              a notice of funding opportunity, which             Program formula allocations with other
                                                  1. Authorized Amounts                                        contains detailed guidance on applicant designated recipients within their
                                                                                                               eligibility, project eligibility, evaluation respective states. The purpose of this
                                                     Federal transit law authorizes                            criteria, and application requirements.            provision is to allow for the transfer of
                                                  $719,960,000 in FY 2017, to provide                                                                             formula funding within a State in a
                                                  financial assistance for the Grants for                      4. Requirements                                    manner that supports the transit asset
                                                  Buses and Bus Facilities Program.                               Eligible recipients for section 5339(a)         management plans of the participating
                                                                                                               formula grants include: (1) Designated             designated recipients. A State that
                                                  2. Funding Availability                                      recipients that allocate funds to fixed            intends to participate in this pilot
                                                    Under the Continuing Appropriations                        route bus operators, and (2) States local          program beginning in FY 2018 must
                                                  Act of 2017, $399,193,992 is available                       governmental entities that operate fixed submit a request to establish a State
                                                  through April 28, 2017. After the 0.75                       route bus service. Eligible subrecipients Pool to its FTA Regional Office by
                                                  percent take-down for oversight,                             to include public agencies or private              August 31, 2017. The request must
                                                  $396,200,037 is available after the                          nonprofit organizations engaged in                 identify the urbanized areas that will
                                                  deduction for oversight, as shown in the                     public transportation, including those             participate in the pool for FY 2018, and
                                                  table below.                                                 providing services open to a segment of            must include a letter from each
                                                                                                               the general public, as defined by age,             participating designated recipient, and
                                                         GRANTS FOR BUSES AND BUS                              disability, or low income. The definition from any affected eligible recipients of
                                                            FACILITIES—FY 2017                                 of eligible recipients applies to funding          section 5339(a) funds within the
                                                                                                               apportioned in previous fiscal years that urbanized area, indicating their
                                                  Total Appropriation (Formula)              $245,437,180      remain available for obligation. The               intention to participate in this pooling
                                                  Oversight Deduction .............            (1,840,779)     requirements of the Urbanized Area                 provision for FY 2017. An urbanized
                                                                                                               Formula Program apply to recipients of             area that participates in a State Pool
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                                                    Total Apportioned (For-                                    section 5339 funds within an urbanized must contribute its entire section
                                                      mula) ..............................    243,596,401                                                         5339(a) apportionment for the fiscal
                                                                                                               area. The requirements of Rural Areas
                                                  Total Appropriation (Low No
                                                    Competition) ......................         31,554,570     Formula Program apply to recipients of             years in which it participates in the
                                                  Oversight Deduction .............              (236,659)     section 5339 funds within rural areas.             pool. A designated recipient for a
                                                                                                                  Under prior law, only designated                multistate area may participate in only
                                                     Total to be Allocated                                     recipients were eligible direct recipients one State Pool. A State that does not
                                                       (Competition) .................          31,317,910     of section 5339(a) funds. Given that               establish a State Pool in FY 2018 may


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                            6709

                                                  choose to begin participating in this                   plan), so that FTA can publish the                     areas in the State. These amounts are
                                                  provision in a future fiscal year, but                  breakdowns and make the funds                          added to the Urbanized Area’s section
                                                  should be aware that the benefits of                    available in the Apportionment Notice.                 5307 apportionment.
                                                  pooling program funds will be                                                                                     The States’ rural area allocation is
                                                                                                          P. Growing States and High Density
                                                  diminished over a shorter duration. For                                                                        added to the allocation that each State
                                                                                                          States Formula Factors (49 U.S.C. 5340)
                                                  FY 2018, the request must specify the                                                                          receives under the Rural Areas Formula
                                                  proposed distribution of the pooled                        Federal transit law authorizes the use              Program Formula Grants for Rural Areas
                                                  funding and must provide a detailed                     of formula factors to distribute                       program.
                                                  explanation of how this distribution                    additional funds to the section 5307 and                  The High Density States portion of the
                                                  will support the transit asset                          Rural Areas Formula Program programs                   section 5340 formula are allocated to
                                                  management plans of each participating                  for growing states and high density                    urbanized areas in States with a
                                                  designated recipient, including any                     states. FTA will continue to publish                   population density equal to or greater
                                                  eligible recipients to which the                        single urbanized and rural                             than 370 persons per square mile. Based
                                                  designated recipient will allocate                      apportionments that show the total                     on this threshold and 2010 Census data,
                                                                                                          amount for section 5307 and 5311                       the States that qualify are Maryland,
                                                  funding. Upon approval, FTA will make
                                                                                                          programs that includes section 5340                    Delaware, Massachusetts, Connecticut,
                                                  the requested amounts of program
                                                                                                          apportionments for these programs.                     Rhode Island, New York and New
                                                  funding available to the urbanized areas                   For more information or questions on
                                                  as directed in the request. A State that                                                                       Jersey. The amount of funds provided to
                                                                                                          this program, please contact Tara Clark                each of these seven States is allocated
                                                  elects to participate in this pilot                     at (202) 366–2623 or tara.clark@dot.gov.
                                                  program will be required to develop an                                                                         on the basis of the population density of
                                                  allocation plan for the period of fiscal                1. Authorized Amounts                                  the individual State relative to the
                                                  years 2018 through 2020 that ensures                                                                           population density of all seven States.
                                                                                                             Federal transit law authorizes
                                                  that a designated recipient participating                                                                      Once funds are allocated to each State,
                                                                                                          $544,433,788 for apportionment in FY
                                                  in the State’s pool receives under the                                                                         funds are then allocated to urbanized
                                                                                                          2017 for the Growing States and High
                                                  program an amount of funds that equals                                                                         areas within the States on the basis of
                                                                                                          Density States Formula factors.
                                                  the amount of funds that would have                                                                            an individual urbanized area’s
                                                  otherwise been available to the                         2. FY 2017 Funding Availability                        population relative to the population of
                                                  designated recipient for that period                       Under the Further Continuing and                    all urbanized areas in that State.
                                                  pursuant to the formulas provided. The                  Security Assistance Appropriations Act,           Q. Washington Metropolitan Area
                                                  amounts in the State Pool will be                       2017 $307,663,675 is available through            Transit Authority Grants
                                                  apportioned separately from funds                       April 28, 2017.
                                                                                                                                                               Section 601 of the Passenger Rail
                                                  apportioned to the State under the
                                                                                                             Growing states and high                        Investment and Improvement Act of
                                                  Governor’s Apportionment for
                                                                                                          density states formula factors          2017      2008 (PRIIA) authorized an aggregate
                                                  urbanized areas under 200,000 in                         available thru April 28, 2017                    amount of $150,000,000 to be available
                                                  population, and will be made available
                                                                                                                                                            in increments over 10 fiscal years
                                                  directly by FTA to the participating                    Growing States ..................... $156,222,132
                                                                                                                                                            beginning in fiscal year 2009 to assist
                                                  urbanized areas, as directed in the                     High Density States ..............    151,441,543
                                                                                                                                                            Washington Metropolitan Transit
                                                  approved allocation plan. An allocation
                                                  plan may be revised for future fiscal                     Total Apportioned ..............    307,663,675 Authority (WMATA) in implementing
                                                                                                                                                            Capital Improvement Program and
                                                  years, provided that it remains
                                                                                                          3. Basis for Formula Apportionment                preventive maintenance projects.
                                                  compliant with the requirement to
                                                                                                                                                               For more information or questions on
                                                  ensure equity over the period the pool                     Under the Growing States portion of            the Washington Metropolitan Area
                                                  is in effect. Approved requests to                      the section 5340 formula, FTA projects            Transit Authority Grants program,
                                                  establish a State Pool for the specified                each State’s 2025 population by                   please contact Eric Hu at (202) 366–
                                                  UZAs will remain in effect until                        comparing each State’s apportionment              0870 or eric.hu@dot.gov or Corey
                                                  cancelled at the request of the State or                year population (as determined by the             Walker at (202) 219–3562 or
                                                  one or more designated recipients. If a                 Census Bureau) to the State’s 2010                corey.walker@dot.gov.
                                                  State or designated recipient elects to                 Census population and extrapolating to
                                                  end its participation in this pooling                   2025 based on each State’s rate of                1. Authorized Amounts
                                                  provision in any future fiscal year, FTA                population growth between 2010 and                   Section 601 of PRIIA authorizes
                                                  will adjust the formula allocations so                  the apportionment year. Each State                $150,000,000 in FY 2017.
                                                  that the total amount that each affected                receives a share of Growing States funds
                                                  urbanized area has received over the                    on the basis of its projected 2025                2. FY 2017 Funding Availability
                                                  fiscal years in which it participated,                  population relative to the nationwide                Under the Continuing Appropriations
                                                  plus the following apportionment,                       projected 2025 population.                        Act of 2017, $86,057,917 is available
                                                  equals the amount it would have                            Once each State’s share is calculated,         through April 28, 2017. The total
                                                  received over this period had it not                    funds attributable to that State are              amount available is $85,197,338 after
                                                  participated in the State pool.                         divided into an urbanized area                    the deduction for oversight as shown in
                                                  Adjustments will be made using the                      allocation and a non-urbanized area               the table below.
                                                  formula apportionment factors used for                  allocation on the basis of the percentage
                                                  each of the affected fiscal years. After                of each State’s 2010 Census population
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                                                                                                                                                               WASHINGTON METROPOLITAN AREA
                                                  the pools are determined, FTA will                      that resides in urbanized and non-                   TRANSIT        AUTHORITY         GRANTS
                                                  publish a supplementary table showing                   urbanized areas. Urbanized Areas                     FUNDS—FY 2017
                                                  the participating UZAs, the State total,                receive portions of their State’s
                                                  and the amounts for each UZA for FY                     urbanized area allocation on the basis of Total Appropriation Available
                                                  2017. In future years, the States must                  the 2010 Census population in that                  through April 28, 2017 ......   $86,057,917
                                                  provide the amounts determined by                       urbanized area relative to the total 2010         Oversight Deduction .............   (860,579)
                                                  August 31 (in an updated allocation                     Census population in all urbanized


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                                                  6710                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                     WASHINGTON METROPOLITAN AREA V. FTA Policy and Procedures for FY                                            a. Operating, Planning, or
                                                     TRANSIT  AUTHORITY    GRANTS 2017 Grants                                                                    Administrative Assistance
                                                     FUNDS—FY 2017—Continued      A. Automatic Pre-Award Authority To                                               FTA does not impose additional
                                                                                                                                                                 conditions on pre-award authority for
                                                    Total Apportioned .............. 85,197,338 Incur Project Costs
                                                                                                                                                                 operating, planning, or administrative
                                                                                                1. Caution to New Grantees                                       assistance under the formula grant
                                                  3. Basis for Formula Apportionment                                                                             programs. Grantees may be reimbursed
                                                                                                   While FTA provides pre-award                                  for expenses incurred before grant
                                                     The funding is authorized under            authority to incur expenses before grant
                                                  Section 601, Authorization for Capital                                                                         award so long as funds have been
                                                                                                award for formula programs, it                                   expended in accordance with all
                                                  and Preventive Maintenance Projects for recommends that first-time grant
                                                                                                                                                                 Federal requirements, would have been
                                                  Washington Metropolitan Area Transit          recipients NOT utilize this automatic                            allowable if incurred after the date of
                                                  Authority, of the Passenger Rail              pre-award authority without verifying                            award, and the grantee is otherwise
                                                  Investment and Improvement Act of             with the appropriate FTA Regional                                eligible to receive the funding. In
                                                  2008, (Pub. L. 110–432) Division B, Title Office that all pre-requisite                                        addition to cross-cutting Federal grant
                                                  VI.                                           requirements have been met. As a new                             requirements, program specific
                                                  4. Requirements                               grantee, it is easy to misunderstand pre-                        requirements must be met. For example,
                                                                                                award authority conditions and be                                a planning project must have been
                                                     Grants may be provided for capital         unaware of all of the applicable FTA                             included in a Unified Planning Work
                                                  and preventive maintenance                    requirements that must be met in order                           Program (UPWP); a section 5310 project
                                                  expenditures for WMATA after it has           to be reimbursed for project                                     must have been included in a
                                                  been determined that WMATA has                expenditures incurred in advance of                              coordinated public transit-human
                                                  placed the highest priority on                grant award. FTA programs have                                   services transportation plan
                                                  investments that will improve the safety specific statutory requirements that are                              (coordinated plan) and selected by the
                                                  of the system, including but not limited often different from those for other                                  designated recipient before incurring
                                                  to fixing the track signal system,            Federal grant programs with which new                            expenses; expenditures on State
                                                  replacing 1000 series railcars, installing grantees may be familiar. If funds are                              Administration expenses under State
                                                  guarded turnouts, buying equipment for expended for an ineligible project or                                   Administered programs must be
                                                  wayside worker protection, and                activity, or for an eligible activity but at                     consistent with the State Management
                                                  installing rollback protection on cars                                                                         Plan (as defined in FTA Circular
                                                                                                an inappropriate time (e.g., prior to
                                                  that are not equipped with the safety                                                                          9040.1G, Chapter 6). Designated
                                                                                                NEPA completion), FTA will be unable
                                                  feature. FTA will communicate further                                                                          recipients for section 5310 have pre-
                                                                                                to reimburse the project sponsor and, in
                                                  program requirements directly to                                                                               award authority for the ten percent of
                                                                                                certain cases, the entire project may be                         the apportionment they may use for
                                                  WMATA. The maximum Federal share              rendered ineligible for FTA assistance.
                                                  for each project shall be for 50 percent                                                                       program administration.
                                                  of the net project cost of the project, and 2. Policy                                                          b. Transit Capital Projects
                                                  matching funds shall be provided in
                                                                                                   FTA provides pre-award authority to                              For transit capital projects, the date
                                                  cash from sources other than Federal
                                                                                                incur expenses before grant award for                            that costs may be incurred varies
                                                  funds or revenues from the operation of                                                                        depending on the type of activity and its
                                                                                                certain program areas described below.
                                                  public transportation systems.                                                                                 potential to have a significant impact on
                                                                                                This pre-award authority allows
                                                  5. Period of Availability                     grantees to incur certain project costs                          the human and natural environment as
                                                                                                before grant approval and retain the                             described under conditions in section 3
                                                     Funds appropriated for WMATA               eligibility of those costs for subsequent                        below. Before an applicant may incur
                                                  under Section 601 PRIIA shall remain          reimbursement after grant approval. The                          costs when pre-award authority has not
                                                  available until expended.                     grantee assumes all risk and is                                  been granted, it must first obtain a
                                                                                                responsible for ensuring that all                                written Letter of No Prejudice (LONP)
                                                  R. Paul S. Sarbanes Transit in Parks
                                                                                                conditions are met to retain eligibility.                        from FTA. To obtain an LONP, a grantee
                                                  Program
                                                                                                This pre-award spending authority                                must submit a written request
                                                     The Paul S. Sarbanes Transit in Parks permits an eligible grantee to incur costs                            accompanied by adequate information
                                                  Program (Transit in Parks) at former 49       on an eligible transit capital, operating,                       and justification to the appropriate FTA
                                                  U.S.C. 5320, has provided grants for                                                                           regional office, as described in section 4
                                                                                                planning, or administrative project
                                                  alternative transportation in and around without prejudice to possible future                                  below.
                                                  America’s national parks and Federal          Federal participation in the cost of the                         c. Public Transportation Innovation,
                                                  lands since 2006. FTA is establishing a       project. In this notice, FTA provides                            Technical Assistance and Workforce
                                                  deadline of September 30, 2017 to             pre-award authority through the                                  Development
                                                  obligate funds allocated to recipients        authorization period of the FAST Act                               Unless provided for in an
                                                  under the Transit in Parks program. Any (October 1, 2015 through September 30,
                                                                                                                                                                 announcement of project selections, pre-
                                                  competitive allocations that remain           2020) for capital assistance under all                           award authority does not apply to
                                                  unobligated after September 30, 2017          formula programs, so long as the                                 Public Transportation Innovation Public
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                                                  will revert back to FTA.                      conditions described below are met.                              Transportation Innovation projects or
                                                     Alternative transportation projects        FTA provides pre-award authority for                             section 5314 Technical Assistance and
                                                  formerly eligible under Transit in Parks      planning and operating assistance under                          Workforce Development. Before an
                                                  are now eligible under the Federal            the formula programs without regard to                           applicant may incur costs for activities
                                                  Highway Administration’s Federal              the period of the authorization. All pre-                        under these programs, it must first
                                                  Lands Transportation Program and the          award authority is subject to conditions                         obtain a written Letter of No Prejudice
                                                  Federal Lands Access Program.                 and triggers stated below:                                       (LONP) from FTA. To obtain an LONP,


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                              6711

                                                  a grantee must submit a written request                 the date of the announcement of the                    conformity requirements of the Clean
                                                  accompanied by adequate information                     competitive allocations of funds for the               Air Act, 40 CFR part 93, must also be
                                                  and justification to the appropriate FTA                project. For projects that qualify for a               met before the project may be advanced
                                                  headquarters office. Information about                  categorical exclusion pursuant to 23                   into implementation-related activities
                                                  LONP procedures may be obtained from                    CFR 771.118(c), designated recipients                  under pre-award authority triggered by
                                                  the appropriate headquarters office.                    may start activities and incur costs for               the completion of the NEPA process.
                                                                                                          property acquisition, demolition,                        For a planning project to have pre-
                                                  3. Conditions                                           construction, and acquisition of                       award authority, the planning project
                                                     The conditions under which pre-                      vehicles, equipment, or construction                   must be included in a MPO-approved
                                                  award authority may be utilized are                     materials from the date of the                         Unified Planning Work Program
                                                  specified below:                                        authorization of formula funds or the                  (UPWP) that has been coordinated with
                                                     a. Pre-award authority is not a legal or             date of the announcement of the                        the State.
                                                  implied commitment that the subject                     competitive allocation of funds for the                  j. Federal procurement procedures, as
                                                  project will be approved for FTA                        project. FTA recommends that a grant                   well as the whole range of applicable
                                                  assistance or that FTA will obligate                    applicant considering a categorical                    Federal requirements (e.g., Buy
                                                  Federal funds. Furthermore, it is not a                 exclusion pursuant to 23 CFR 771.118(c)                America, Davis-Bacon Act, and
                                                  legal or implied commitment that all                    contact FTA’s Regional Office for                      Disadvantaged Business Enterprise)
                                                  items undertaken by the applicant will                  assistance in determining the                          must be followed for projects in which
                                                  be eligible for inclusion in the project.               appropriate environmental review                       Federal funding will be sought in the
                                                     b. All FTA statutory, procedural, and                process and level of documentation                     future. Failure to follow any such
                                                  contractual requirements must be met.                   necessary before incurring costs for                   requirements could make the project
                                                     c. No action will be taken by the                    property acquisition, demolition,                      ineligible for Federal funding. In short,
                                                  grantee that prejudices the legal and                   construction, and acquisition of                       this increased administrative flexibility
                                                  administrative findings that the Federal                vehicles, equipment, or construction                   requires a grantee to make certain that
                                                  Transit Administration must make in                     materials. If FTA subsequently finds                   no Federal requirements are
                                                  order to approve a project.                             that a project does not to qualify for this            circumvented through the use of pre-
                                                     d. Local funds expended by the                       CE, it will be ineligible for FTA                      award authority.
                                                  grantee after the date of the pre-award                 assistance. In particular, FTA                           k. All program specific requirements
                                                  authority will be eligible for credit                   encourages grant applicants to contact                 must be met. For example, projects
                                                  toward local match or reimbursement if                  FTA’s Regional Office before exercising                under section 5310 must comply with
                                                  FTA later makes a grant or grant                        pre-award authority for projects to                    specific program requirements,
                                                  amendment for the project. Local funds                  which it believes a CE at 23 CFR                       including coordinated planning. Before
                                                  expended by the grantee before the date                 771.118(c)(8), (9), (10), (12), or (13)                incurring costs, grantees are strongly
                                                  of the pre-award authority will not be                  applies.                                               encouraged to consult with the
                                                  eligible for credit toward local match or                  For all other projects that do not                  appropriate FTA Regional office
                                                  reimbursement. Furthermore, the                         qualify for a categorical exclusion under              regarding the eligibility of the project for
                                                  expenditure of local funds or the                       23 CFR 771.118(c), grant applicants may                future FTA funds and for questions on
                                                  undertaking of certain activities that                  take action and incur costs for property               environmental requirements, or any
                                                  would compromise FTA’s ability to                       acquisition, demolition, construction,                 other Federal requirements that must be
                                                  comply with Federal environmental                       and acquisition of vehicles, equipment,                met.
                                                  laws (e.g., project implementation                      or construction materials from the date                4. Pre-Award Authority for the Fixed
                                                  activities such as land acquisition,                    that FTA completes the environmental                   Guideway Capital Investment Grant
                                                  demolition, or construction before the                  review process required by NEPA and                    Program (New and Small Starts Projects
                                                  date of pre-award authority) may render                 its implementing regulations, 23 U.S.C.                and Core Capacity Projects)
                                                  the project ineligible for FTA funding.                 139, and other environmental laws by
                                                     e. The Federal amount of any future                  its issuance of a section 771.118(d)                      Projects proposed for section 5309
                                                  FTA assistance awarded to the grantee                   categorical exclusion determination, a                 Capital Investment Grant (CIG) program
                                                  for the project will be determined on the               Finding of No Significant Impact                       funds are required to follow a multi-
                                                  basis of the overall scope of activities                (FONSI), or a Record of Decision (ROD).                step, multi-year process defined in law.
                                                  and the prevailing statutory provisions                    i. Planning and other requirements.                 For New Starts and Core Capacity
                                                  with respect to the Federal/local match                    Formula funds must be authorized or                 projects, this process includes three
                                                  ratio at the time the funds are obligated.              appropriated and earmarked project                     phases: Project development (PD),
                                                     f. For funds to which the pre-award                  allocations published or announced                     engineering, and construction. For
                                                  authority applies, the authority expires                before pre-award authority can be                      Small Starts projects, this process
                                                  with the lapsing of the fiscal year funds.              considered.                                            includes two phases: PD and
                                                     g. When a grant for the project is                      The requirement that a project be                   construction. After receiving a letter
                                                  subsequently awarded, the grant and the                 included in a locally-adopted                          from the project sponsor requesting
                                                  Federal Financial Report in TrAMS                       Metropolitan Transportation Plan, the                  entry into the PD phase, FTA must
                                                  must indicate the use of pre-award                      metropolitan transportation                            respond in writing within 45 days
                                                  authority.                                              improvement program and federally-                     whether the information was sufficient
                                                     h. Environmental Requirements.                       approved statewide transportation                      for entry. If FTA’s correspondence
                                                     All Federal environmental grant                      improvement program (23 CFR part 450)                  indicates the information was sufficient
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                                                  requirements must be met at the                         must be satisfied before the grantee may               and the New Starts, Small Starts or Core
                                                  appropriate time for the project to                     advance the project beyond planning                    Capacity project enters PD, FTA extends
                                                  remain eligible for Federal funding.                    and preliminary design with non-federal                pre-award authority to the project
                                                  Designated recipients may incur costs                   funds under pre-award authority. If the                sponsor to incur costs for PD activities.
                                                  for design and environmental review                     project is located within an EPA-                      PD activities include the work necessary
                                                  activities for all projects from the date               designated non-attainment or                           to complete the environmental review
                                                  of the authorization of formula funds or                maintenance area for air quality, the                  process and as much engineering and


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                                                  6712                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  design activities as the project sponsor                procurement of long lead items. Instead,               acquisition of right-of-way as a separate
                                                  believes are necessary to support the                   this work must await receipt of a                      project in accordance with 49 U.S.C.
                                                  environmental review process. Upon                      construction grant award or an                         5323(q). When a tiered environmental
                                                  completion of the environmental review                  expedited grant agreement.                             review in accordance with 23 CFR
                                                  process with a ROD, FONSI, or CE                                                                               771.111(g) is used, pre-award authority
                                                                                                          a. Real Property Acquisition
                                                  determination by FTA for a New Starts,                                                                         is NOT provided upon completion of
                                                  Small Starts, or Core Capacity                             As noticed above, FTA extends pre-                  the first tier environmental document
                                                  Improvement project, FTA extends pre-                   award authority for the acquisition of                 except when the Tier-1 ROD or FONSI
                                                  award authority to project sponsors to                  real property and real property rights for             signed by FTA explicitly provides such
                                                  incur costs for as much engineering and                 fixed Guideway Capital Investment                      pre-award authority for a particular
                                                  design as needed to develop a                           Grant projects (New or Small Starts or                 identified acquisition. Project sponsors
                                                  reasonable cost estimate and financial                  Core Capacity) upon completion of the                  should use pre-award authority for real
                                                  plan for the project, utility relocation,               environmental review process for that                  property acquisition relocation
                                                  and real property acquisition and                       project. The environmental review                      assistance with a clear understanding
                                                  associated relocations for any property                 process is completed when FTA signs                    that it does not constitute a funding
                                                  acquisitions not already accomplished                   an environmental Record of Decision                    commitment by FTA. FTA provides pre-
                                                  as a separate project for hardship or                   (ROD) or Finding of No Significant                     award authority upon completion of the
                                                  protective purposes or right-of-way                     Impact (FONSI), or makes a Categorical                 environmental review process for real
                                                  under 49 U.S.C. 5323(q).                                Exclusion (CE) determination. With the                 property acquisition and relocation
                                                     For Small Starts projects, upon                      limitations and caveats described below,               assistance to maximize the time
                                                  completion of the environmental review                  real estate acquisition may commence,                  available to project sponsors to move
                                                  process and confirmation from FTA that                  at the project sponsor’s risk. For FTA-                people out of their homes and places of
                                                  the overall project rating is at least a                assisted projects, any acquisition of real             business, in accordance with the
                                                  Medium, FTA extends pre-award                           property or real property rights must be               requirements of the URA, but also with
                                                  authority for vehicle purchases. Upon                   conducted in accordance with the                       maximum sensitivity to the
                                                  receipt of a letter notifying a New Starts              requirements of the Uniform Relocation                 circumstances of the people so affected.
                                                  or Core Capacity project sponsor of the                 Assistance and Real Property
                                                  project’s approval into the engineering                 Acquisition Policies Act (URA) and its                 b. Reimbursement of Costs Incurred
                                                  phase, FTA extends pre-award authority                  implementing regulations, 49 CFR part                  Under Pre-Award Authority
                                                  for vehicle purchases as well as any                    24. This pre-award authority is strictly                  Although FTA provides pre-award
                                                  remaining engineering and design,                       limited to costs incurred: (i) To acquire              authority for property acquisition, long
                                                  demolition, and procurement of long                     real property and real property rights in              lead items, and vehicle purchases upon
                                                  lead items for which market conditions                  accordance with the URA regulation;                    completion of the environmental review
                                                  play a significant role in the acquisition              and (ii) to provide relocation assistance              process, FTA will not make a grant to
                                                  price. The long lead items include, but                 in accordance with the URA regulation.                 reimburse the sponsor for real estate
                                                  are not limited to, procurement of rails,               This pre-award authority is limited to                 activities, vehicle purchases or
                                                  ties, and other specialized equipment,                  the acquisition of real property and real              purchases of long lead items conducted
                                                  and commodities.                                        property rights that are explicitly                    under pre-award authority until the
                                                     Please contact the FTA Regional                      identified in the final environmental                  project receives its construction grant.
                                                  Office for a determination of activities                impact statement (FEIS), environmental                 This is to ensure that Federal funds are
                                                  not listed here, but which meet the                     assessment (EA), or CE document, as                    not risked on a project whose
                                                  intent described above. FTA provides                    needed for the selected alternative that               advancement into construction is not
                                                  this pre-award authority in recognition                 is the subject of the FTA-signed ROD or                yet assured.
                                                  of the long-lead time and complexity                    FONSI, or CE determination. This pre-
                                                                                                                                                                 c. National Environmental Policy Act
                                                  involved with purchasing vehicles as                    award authority regarding property
                                                                                                                                                                 (NEPA) Activities
                                                  well as their relationship to the ‘‘critical            acquisition that is granted at the
                                                  path’’ project schedule. FTA cautions                   completion of the environmental review                    NEPA requires that major projects
                                                  grantees that do not currently operate                  process does not cover site preparation,               proposed for FTA funding assistance be
                                                  the type of vehicle proposed in the                     demolition, or any other activity that is              subjected to a public and interagency
                                                  project about exercising this pre-award                 not strictly necessary to comply with                  review of the need for the project, its
                                                  authority. FTA encourages these                         the URA, with one exception—namely                     environmental and community impacts,
                                                  sponsors to wait until later in the                     when a building that has been acquired,                and alternatives to avoid and reduce
                                                  process when project plans are more                     has been emptied of its occupants, and                 adverse impacts. Projects of more
                                                  fully developed. FTA reminds project                    awaits demolition poses a potential fire               limited scope also need a level of
                                                  sponsors that the procurement of                        safety hazard or other hazard to the                   environmental review, either to support
                                                  vehicles must comply with all Federal                   community in which it is located, or is                an FTA finding of no significant impact
                                                  requirements including, but not limited                 susceptible to reoccupation by vagrants.               (FONSI) or to demonstrate that the
                                                  to, competitive procurement practices,                  Demolition of the building is also                     action is categorically excluded (i.e., CE)
                                                  the Americans with Disabilities Act,                    covered by this pre-award authority                    from the more rigorous level of NEPA
                                                  Disadvantaged Business Enterprise                       upon FTA’s written agreement that the                  review. FTA’s regulation titled
                                                  program requirements and Buy                            adverse condition exists. Pre-award                    ‘‘Environmental Impact and Related
                                                  America. FTA encourages project                         authority for property acquisition is also             Procedures,’’ at 23 CFR part 771 states
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                                                  sponsors to discuss the procurement of                  provided when FTA makes a CE                           that the costs incurred by a grant
                                                  vehicles with FTA in regards to Federal                 determination for a protective buy or                  applicant for the preparation of
                                                  requirements before exercising pre-                     hardship acquisition in accordance with                environmental documents requested by
                                                  award authority. Because there is not a                 23 CFR 771.117(d)(12). Pre-award                       FTA are eligible for FTA financial
                                                  formal engineering phase for Small                      authority for property acquisition is also             assistance (23 CFR 771.105(e)).
                                                  Starts projects, FTA does not extend                    provided when FTA completes the                        Accordingly, FTA extends pre-award
                                                  pre-award authority for demolition and                  environmental review process for the                   authority for costs incurred to comply


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                            6713

                                                  with NEPA regulations and to conduct                    Federal resources, with the                            C. FY 2017 Annual List of Certifications
                                                  NEPA-related activities, effective as of                understanding that the costs incurred                  and Assurances
                                                  the earlier of the following two dates: (1)             subsequent to the issuance of the LONP                   The FY 2017 Certifications and
                                                  The date of the Federal approval of the                 may be reimbursable as eligible                        Assurances and Master Agreement are
                                                  relevant STIP or STIP amendment that                    expenses or eligible for credit toward                 currently available in TrAMS and must
                                                  includes the project or any phase of the                the local match should FTA approve the                 be used for all grants and cooperative
                                                  project, or that includes a project                     project at a later date. LONPs are                     agreements awarded in FY 2017. All
                                                  grouping under 23 CFR 450.216(j) that                   applicable to projects and project                     recipients with active projects are
                                                  includes the project; or (2) the date that              activities not covered by automatic pre-               required to sign the FY 2017
                                                  FTA approves the project into the                       award authority. The majority of LONPs                 Certifications and Assurances within 90
                                                  project development phase of the CIG                    will be for section 5309 Capital                       days of publication. The FY 2017
                                                  program. The grant applicant must                       Investment Grant program projects (New                 Certifications and Assurances
                                                  notify the FTA Regional Office to                       or Small Starts or Core Capacity)                      publication date of December 20, 2016.
                                                  initiate the Federal environmental                      undertaking activities not covered under
                                                  review process in accordance with the                                                                          D. Civil Rights Requirements
                                                                                                          automatic pre-award authority. LONPs
                                                  ‘‘Dear Colleague’’ letter from the FTA                  may be issued for formula and                          1. Equal Employment Opportunity
                                                  Administrator dated February 24, 2011.                                                                         (EEO)
                                                                                                          competitive funds beyond the life of the
                                                  NEPA-related activities include, but are
                                                                                                          current authorization or FTA’s                            The FTA Office of Civil Rights
                                                  not limited to, public involvement                                                                             released an updated EEO Circular, FTA
                                                                                                          extension of automatic pre-award
                                                  activities, historic preservation reviews,                                                                     Circular 4704.1A, effective October 31,
                                                  section 4(f) evaluations, wetlands                      authority; however, the LONP is limited
                                                                                                          to a five-year period, unless otherwise                2016. The Circular provides guidance to
                                                  evaluations, endangered species                                                                                FTA grant recipients to carry out EEO
                                                  consultations, and biological                           authorized in the LONP. Receipt of
                                                                                                          Federal funding under any program is                   requirements and prepare EEO Program
                                                  assessments. This pre-award authority is                                                                       Plans. The updated FTA EEO Circular is
                                                  strictly limited to costs incurred to                   not implied or guaranteed by an LONP.
                                                                                                                                                                 posted at https://www.transit.dot.gov/
                                                  conduct the NEPA process and                            2. Conditions and Federal Requirements                 regulations-and-guidance/civil-rights-
                                                  associated engineering, and to prepare                                                                         ada/eeo-circular. Based on feedback
                                                  environmental, historic preservation                      The conditions and requirements for                  received since publication of the
                                                  and related documents. When a New                       pre-award authority specified in section               Circular, FTA would like to provide
                                                  Starts, Small Starts, or Core Capacity                  V.4.ii and V.4.iii above apply to all                  clarification regarding the Circular.
                                                  project is granted pre-award authority                  LONPs. Because project implementation                     First, State DOTs are subject to the
                                                  for the environmental review process,                   activities may not be initiated before                 same threshold requirements for FTA
                                                  the reimbursement for NEPA activities                   completion of the environmental review                 EEO Program submissions, located in
                                                  conducted under pre-award authority                     process, FTA will not issue an LONP for                Circular Section 1.4, Applicability, as
                                                  may be sought at any time through                       such activities until the environmental                other recipients. A State DOT must only
                                                  section 5307 (Urbanized Area Formula                    review process has been completed with                 submit a transit-related EEO Program if:
                                                  Program) or the flexible highway                        a ROD, FONSI, or CE determination.                     (1) It employs 100 or more transit-
                                                  programs (STP and CMAQ).                                                                                       related employees; and (2) requests or
                                                  Reimbursement from the section 5309                     3. Request for LONP                                    receives capital or operating assistance
                                                  CIG program for NEPA activities                                                                                in excess of $1 million in the previous
                                                                                                            Before incurring costs for project
                                                  conducted under pre-award authority is                                                                         Federal fiscal year, or requests or
                                                  provided only for expenses incurred                     activities not covered by automatic pre-
                                                                                                          award authority, the project sponsor                   receives planning assistance in excess of
                                                  after entry into the project development                                                                       $250,000 in the previous Federal fiscal
                                                  phase and only once a construction                      must first submit a written request for
                                                                                                          an LONP, accompanied by adequate                       year. In accordance with a One DOT
                                                  grant agreement is signed. As with any                                                                         approach and pursuant to the
                                                  pre-award authority, FTA                                information and justification, to the
                                                                                                                                                                 forthcoming Memorandum of
                                                  reimbursement for costs incurred is not                 appropriate regional office and obtain
                                                                                                                                                                 Understanding (MOU) with the Federal
                                                  guaranteed.                                             written approval from FTA. FTA
                                                                                                                                                                 Highway Administration (FHWA), State
                                                                                                          approval of an LONP is determined on
                                                  d. Other New and Small Starts and Core                                                                         DOTs must submit a single EEO
                                                                                                          a case-by-case basis. Federal funding                  Program to FHWA and FTA which will
                                                  Capacity Project Activities Requiring                   under the Fixed Guideway Capital
                                                  Letter of No Prejudice (LONP)                                                                                  be jointly reviewed, monitored, and
                                                                                                          Investment Grant program for a New                     approved in accordance with FHWA
                                                    Except as discussed in paragraphs i                   Starts, Small Starts, or Core Capacity                 and FTA regulations every four years.
                                                  through iii above, a CIG project sponsor                project is not implied or guaranteed by                As part of the implementation of the
                                                  must obtain a written LONP from FTA                     an LONP. Specifically, when requesting                 MOU, FTA will be collecting all State
                                                  before incurring costs for any activity                 an LONP, the applicant shall provide                   DOT EEO Programs every four years via
                                                  not covered by pre-award authority. To                  the following items:                                   TrAMS. Therefore, a State DOT that
                                                  obtain an LONP, an applicant must                                                                              does not meet the threshold
                                                                                                            a. Description of the activities to be
                                                  submit a written request accompanied                                                                           requirements outlined in Circular
                                                                                                          covered by the LONP.
                                                  by adequate information and                                                                                    Section 1.4 must still submit the FHWA-
                                                  justification to the appropriate FTA                      b. Justification for advancing the
                                                                                                                                                                 required EEO Program every four years
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                                                  Regional Office, as described in B                      identified activities. The justification
                                                                                                                                                                 to FTA, but will not be required to
                                                  below.                                                  should include an accurate assessment
                                                                                                                                                                 submit a transit-related EEO Program.
                                                                                                          of the consequences to the project                        Second, we wish to clarify the
                                                  B. Letter of No Prejudice (LONP) Policy
                                                                                                          scope, schedule, and budget should the                 threshold requirements for preparing
                                                  1. Policy                                               LONP not be approved.                                  and maintaining an abbreviated EEO
                                                     LONP authority allows an applicant                     c. Allocated level of risk and                       Program, which is discussed in Circular
                                                  to incur costs on a project utilizing non-              contingency for the activity requested.                Section 1.4. In the paragraph discussing


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                                                  6714                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  the requirements for agencies employing                 decreases prior to implementing a fare                 Highway Administration Memorandum
                                                  between 50–99 transit-related                           change. Recipients that do not meet the                dated July 12, 2007, ‘‘Information: Final
                                                  employees, FTA inadvertently did not                    abovementioned threshold of 200,000 or                 Transfers to Other Agencies that
                                                  include the monetary threshold that has                 more in population and 50 fixed route                  Administer Title 23 Programs.’’ For
                                                  been in place since at least 1988. Thus,                vehicles in peak service (i.e., small                  further information on CPGs, contact
                                                  an agency is required to prepare and                    transit providers) are not required to                 Ann Souvandara, Office of Budget and
                                                  maintain an abbreviated EEO Program                     conduct a service or fare equity analysis              Policy, FTA, at (202)366–0649.
                                                  only if: (1) It has between 50–99 transit-              but should review their policies and
                                                  related employees; and (2) it requests or               practices to ensure their service and fare             F. Grant Application Procedures
                                                  receives capital or operating assistance                changes do not result in disparate                        All applications for FTA funds should
                                                  in excess of $1 million in the previous                 impacts on the basis of race, color, or                be submitted to the appropriate FTA
                                                  Federal fiscal year, or requests or                     national origin.                                       Regional Office. All applications are
                                                  receives planning assistance in excess of                  FTA would also like to stress the                   filed electronically. FTA continues to
                                                  $250,000 in the previous Federal fiscal                 importance of public participation.                    award and manage grants and
                                                  year. The inadvertent absence of the                    Recipients must facilitate effective                   cooperative agreements using the
                                                  monetary threshold would require more                   public engagement throughout all stages                Transit Award Management System
                                                  agencies to prepare and maintain EEO                    of the consultation, planning, and the                 (TrAMS) which re-opened for financial
                                                  Programs. Thus, reinstating the                         decision-making process. Particular                    activity on November 1, 2016.
                                                  threshold reduces the burden on transit                 emphasis should be given to affected,                  Information on accessing and using
                                                  agencies and maintains the status quo.                  and potentially affected, communities.                 TrAMS, including a list of FTA points
                                                     Third, only direct recipients who                    FTA recommends that recipients                         of contact for the system, can be found
                                                  cross the EEO Program threshold                         anticipating service and fare changes                  on FTA’s Web site at http://
                                                  requirements in Circular Section 1.4,                   review FTA Circular 4703.1,                            www.transit.dot.gov/TrAMS.
                                                  and State DOTs are required to prepare                  Environmental Justice Policy Guidance,                    FTA regional staff is responsible for
                                                  and/or submit an EEO Program to FTA.                    Chapter III, Achieving Meaningful                      working with grantees to review and
                                                  All subrecipients and contractors who                   Public Engagement with Environmental                   process grant applications. In order for
                                                  cross the EEO Program threshold must                    Justice Populations, available at https://             an application to be considered
                                                  submit EEO Programs to the entity from                  www.transit.dot.gov/regulations-and-                   complete and for FTA to assign a
                                                  which they receive funds, generally the                 guidance/fta-circulars/environmental-                  Federal Award Identification Number
                                                  transit agency or the State DOT, as                     justice-policy-guidance-federal-transit                (FAIN), enabling submission in TrAMS,
                                                  appropriate. This will allow State DOTs                 for ideas on how to engage affected                    and submission to the Department of
                                                  and transit agencies to determine and                   populations. Should you have any                       Labor (when applicable), the following
                                                  document that subrecipients and                         questions, please contact your Regional                requirements must be met:
                                                  contractors comply with EEO statutes                    Civil Rights Officer.                                     1. Recipient has registered in the
                                                  and regulations, in accordance with                                                                            System for Award Management (SAM)
                                                                                                          E. Consolidated Planning Grants
                                                  their monitoring responsibilities. FTA                                                                         and its registration is current. If your
                                                  applicants, recipients, subrecipients,                    FTA and FHWA planning funds                          agency is not registered or needs to
                                                  and contractors that do not meet the                    under both the Metropolitan Planning                   ensure it is current, visit the SAM Web
                                                  EEO Program threshold are not required                  and State Planning and Research                        site at (https://www.sam.gov).
                                                  to submit an EEO Program to FTA or to                   Programs can be consolidated into a                       2. Recipient’s contact information,
                                                  the entity from which they receive                      single consolidated planning grant,                    including Dun and Bradstreet Data
                                                  funds.                                                  awarded by either FTA or FHWA. The                     Universal Numbering System (DUNS), is
                                                     FTA will amend the pages of the                      CPG eliminates the need to monitor                     correct and up-to-date. If requested by
                                                  Circular affected by the above                          individual fund sources, if several have               phone (1–866–705–5711), DUNS is
                                                  clarifications and will post the updated                been used, and ensures that the oldest                 provided immediately. If your
                                                  Circular on FTA’s Web site.                             funds will always be used first.                       organization does not have a DUNS, you
                                                                                                            Under the CPG, States can report                     will need to go to the Dun & Bradstreet
                                                  2. Title VI of the Civil Rights Act of                  metropolitan planning program
                                                  1964                                                                                                           Web site at http://fedgov.dnb.com/
                                                                                                          expenditures (to comply with the Single                webform to obtain the number.
                                                     The U.S. DOT’s Title VI implementing                 Audit Act) for both FTA and FHWA                          3. Recipient has properly submitted
                                                  regulations are found in 49 CFR part 21.                under the Catalogue of Federal Domestic                its annual certifications and assurances.
                                                  FTA’s Title VI Circular (4702.1B)                       Assistance number for FTA’s                               4. Recipient’s Civil Rights
                                                  provides guidance for carrying out the                  Metropolitan Planning Program                          submissions are current.
                                                  regulatory requirements. Recipients in                  (20.505). Additionally, for States with                   5. Documentation is on file to support
                                                  urbanized areas of 200,000 or more in                   an FHWA Metropolitan Planning (PL)                     recipient’s status as either a designated
                                                  population and with 50 or more fixed-                   fund-matching ratio greater than 80                    recipient (for the program and area) or
                                                  route vehicles in peak service must                     percent, the State can waive the 20                    a direct recipient.
                                                  conduct a service or fare equity analysis               percent local share requirement, with                     6. Funding is available, including any
                                                  for all service changes that meet the                   FTA’s concurrence, to allow FTA funds                  flexible funds included in the budget,
                                                  recipient’s definition of ‘‘major service               used for metropolitan planning in a CPG                and split letters or suballocation letters
                                                  change’’ prior to implementing the                      to be granted at the higher FHWA rate.                 on file (where applicable) to support
                                                  service change. A service equity                        For some States, this Federal match rate               amount being applied for in grant
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                                                  analysis is also required for all New                   can exceed 90 percent.                                 application.
                                                  Start, Small Start, or other new fixed                    States interested in transferring                       7. The project is listed in a currently
                                                  guideway capital projects, and must be                  planning funds between FTA and                         approved Transportation Improvement
                                                  completed six months prior to                           FHWA should contact the FTA Regional                   Program (TIP); Statewide Transportation
                                                  implementing revenue service.                           Office or FHWA Division Office for                     Improvement Program (STIP), or
                                                  Recipients also must conduct a fare                     more detailed procedures. Current                      Unified Planning Work Program
                                                  equity analysis for all fare increases or               guidelines are included in Federal                     (UPWP).


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                                                                               Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices                                             6715

                                                     8. All eligibility issues are resolved.              registration) needs to be renewed at                   the signatories to reflect this agreement;
                                                     9. Required environmental findings                   least annually.                                        and (3) make clear that the Direct
                                                  are made.                                                                                                      Recipient will assume any/all
                                                     10. The application contains a well-                 b. Award Budgets—Scope Codes and
                                                                                                                                                                 responsibility associated with the award
                                                  defined scope of work including at least                Activity Line Items (ALI) Codes;
                                                                                                                                                                 for the funds. When drafting the letter,
                                                  one project with accompanying project                   Financial Purpose Codes
                                                                                                                                                                 Designated Recipients may use the
                                                  narratives, budget scope and activity                      FTA uses the Scope and Activity Line                template language below:
                                                  line item information, Federal and non-                 Item (ALI) Codes in the award budgets                    ‘‘As identified in this Letter, the
                                                  Federal funding amounts, and                            to track disbursements, monitor                        Designated Recipient(s) authorize the
                                                  milestones.                                             program trends, report to Congress, and                reassignment/reallocation of [enter fund
                                                     11. Major Capital Projects as defined                to respond to requests from the                        source; e.g. Section 5307 funds] to the
                                                  by 49 CFR part 633 ‘‘Project                            Inspector General and the Government                   Direct Recipient(s) named herein. The
                                                  Management Oversight’’ must document                    Accountability Office (GAO), as well as                undersigned agree to the amounts
                                                  FTA has reviewed the project                            to manage grants. The accuracy of the                  allocated/reassigned to each direct
                                                  management plan and provided                            data is dependent on the careful and                   Recipient. Each Direct Recipient is
                                                  approval.                                               correct use of codes.                                  responsible for its application to the
                                                     12. Milestone information is                                                                                Federal Transit Administration to
                                                                                                          c. Designated and Direct Recipients
                                                  complete, or FTA determines that                                                                               receive such funds and assumes the
                                                                                                          Documentation
                                                  milestone information can be finalized                                                                         responsibilities associated with any
                                                  before the grant is ready for award. FTA                   For its formula programs, FTA                       award for these funds.’’
                                                  will also review status of other open                   primarily apportions funds to the
                                                  grants’ reports to confirm financial and                designated recipient in the large UZAs                 2. Payments
                                                  milestone information is current on                     (areas over 200,000), or for areas under                  Once a grant has been awarded and
                                                  other open grants and projects.                         200,000 (small UZAs and rural areas), it               executed, requests for payment can be
                                                     Before FTA can award grants for                      apportions the funds to the Governor, or               processed. To process payments, FTA
                                                  competitive projects and activities,                    its designee (e.g., State DOT).                        uses ECHO-Web, an Internet accessible
                                                  notification must be provided to the                    Depending on the program and as                        system that provides grantees the
                                                  House and Senate authorizing and                        described in the individual program                    capability to submit payment requests
                                                  appropriations committees.                              sections found in Section IV of this                   on-line, as well as receive user-IDs and
                                                     Other important issues that impact                   notice, further suballocation of funds                 passwords via email. New applicants
                                                  FTA grant processing activities are                     may be permitted to eligible recipients                should contact the appropriate FTA
                                                  discussed below.                                        who can then apply directly to FTA for                 Regional Office to obtain and submit the
                                                                                                          the funding (direct recipients), so long               registration package necessary for set-up
                                                  a. System for Award Management
                                                                                                          as the required documentation is on file.              under ECHO-Web.
                                                  (SAM) Registration and Dun and                             For the programs in which FTA can
                                                  Bradstreet Universal Numbering System                                                                          3. Oversight
                                                                                                          make grants to eligible direct recipients,
                                                  (DUNS) Number                                           other than the designated recipient(s),                   FTA is responsible for conducting
                                                     Each applicant or recipient of Federal               recipients are reminded that                           oversight activities to help ensure that
                                                  Funds is required to: (1) Be registered in              documentation must be on file to                       grants recipients use FTA Federal
                                                  SAM before submitting its application;                  support the: (1) Status of the recipient               financial assistance in a manner
                                                  (2) provide a valid DUNS number in its                  either as a designated recipient or direct             consistent with their intended purpose
                                                  application; and (3) continue to                        recipient; and (2) the allocation of funds             and in compliance with regulatory and
                                                  maintain an active SAM registration                     to the direct recipient.                               statutory requirements. FTA conducts
                                                  with current information at all times                      Documentation to support existing                   periodic oversight reviews to assess
                                                  during which it has an active award or                  designated recipients for the UZA must                 grantee compliance with applicable
                                                  an application or plan under                            also be on file at the time of the first               Federal requirements. Each Urbanized
                                                  consideration by the Federal Transit                    application in FY 2017. Further, split                 Area Formula Program recipient is
                                                  Administration (FTA). FTA will not                      letters and/or suballocation letters                   reviewed every three years, (also known
                                                  make an award to an applicant until the                 (Governor’s Apportionment letters),                    as FTA’s Triennial Review); and States
                                                  applicant has complied with all                         must also be on file to support grant                  and state-wide public transportation
                                                  applicable DUNS and SAM                                 applications from direct recipients.                   agencies are reviewed periodically to
                                                  requirements and, if an applicant has                   Once suballocation letters for FY 2017                 assess the management practices and
                                                  not fully complied with the                             funding are finalized they should also                 program implementation of FTA state-
                                                  requirements by the time the FTA is                     be uploaded into TrAMS.                                wide programs (e.g., Planning, Rural
                                                  ready to make a Federal award, FTA                         The Direct Recipient is required to                 Areas, Enhanced Mobility of Seniors
                                                  may determine that the applicant is not                 upload to TrAMS a copy of the                          and Individuals with Disabilities
                                                  qualified to receive a Federal award and                Designated Recipient letter indicating                 Programs). Other more detailed reviews
                                                  use that determination as a basis for                   their allocation of funding [for the                   are scheduled based on an annual
                                                  making a Federal award to another                       appropriate fund program] when the                     grantee oversight assessment. Important
                                                  applicant.                                              applicant transmits their application for              objectives of FTA’s oversight program
                                                     The System for Award Management                      initial review. The letter must be signed              include, but are not limited to:
                                                  (SAM) https://www.sam.gov/portal/                       by the Designated Recipient, or as                     Determining grantee compliance with
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                                                  SAM/ is the Official U.S. Government                    applicable in accordance with their                    Federal requirements; identifying
                                                  system that consolidated the capabilities               planning requirements. If there are two                technical assistance needs, and
                                                  of many systems. There is no fee to                     Designated Recipients, both entities                   delivering technical assistance to meet
                                                  register or use this site. Entities may                 must sign the Letter. The Letter must:                 those needs; spotting emerging issues
                                                  register and update their information at                (1) Indicate the allocations to the                    with grantees in a forward-looking
                                                  no cost directly from the above site.                   respective Direct Recipients listed in the             fashion; recognizing when there is a
                                                  SAM registration (formerly CCR                          letter; (2) incorporate language above                 need for more in-depth reviews in the


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                                                  6716                         Federal Register / Vol. 82, No. 12 / Thursday, January 19, 2017 / Notices

                                                  areas of procurement, financial                         made. The efficient use of funds will                     This announcement is available on
                                                  management, and civil rights; and                       further FTA’s fulfillment of its mission               the FTA Web site at:
                                                  identifying grantees with recurring or                  to provide efficient and effective public              www.transit.dot.gov/funding/grants/
                                                  systemic issues.                                        transportation systems for the nation. As              grant-programs/public-transportation-
                                                                                                          inactive grants continue to be an audit                indian-reservations-program-tribal-
                                                  4. Technical Assistance                                                                                        transit-fy-2017. Additionally, a synopsis
                                                                                                          finding within the DOT, FTA must take
                                                     As noted throughout the notice, FTA                  action to ensure its grants do not impact              of the funding opportunity, FTA–2017–
                                                  continues to rely on several of the                     the DOT from receiving a ‘‘clean audit’’               002–TPM, will be posted in the FIND
                                                  existing program circulars for general                  opinion on its annual financial                        module of the government-wide
                                                  program guidance. FTA is continuing to                  statements.                                            electronic grants Web site at http://
                                                  update the program circulars, with an                      In October 2016, FTA identified a list              www.grants.gov. The program can be
                                                  opportunity for notice and comment                      of grants that were awarded on or prior                located in the Catalog of Federal
                                                  (where warranted), to reflect                           to September 30, 2013 and have had no                  Domestic Assistance (CFDA) under
                                                  amendments to chapter 53 of title 49,                   funds disbursed since September 30,                    20.509.
                                                  U.S.C. made by the FAST Act. In the                     2015 or have never had a disbursement.                 DATES: Complete proposals for the
                                                  meantime, if you have any questions,                    FTA Regional Offices will be contacting                Tribal Transit Program announced in
                                                  please do not hesitate to contact FTA.                  grant recipients with grants that meet                 this Notice must be submitted by 11:59
                                                  FTA headquarters and regional staff will                this criteria to notify them that FTA                  p.m. EDT on March 20, 2017. All
                                                  be pleased to answer your questions and                 intends to close the grant and deobligate              proposals must be submitted
                                                  provide any technical assistance you                    any remaining funds unless the grantee                 electronically through the
                                                  may need to apply for FTA program                       can provide information that                           GRANTS.GOV APPLY function. Any
                                                  funds and manage the grants you                         demonstrates that the projects funded                  applicant intending to apply should
                                                  receive. At its discretion, FTA may also                by the grant remain active and the                     initiate the process of registering on the
                                                  use program oversight consultants to                    grantee has a realistic schedule to                    GRANTS.GOV site immediately to
                                                  provide technical assistance to grantees                expedite completion of the projects                    ensure completion of registration before
                                                  on a case by case basis. This notice and                funded in the grant.                                   the submission deadline. Instructions
                                                  the program guidance circulars                                                                                 for applying can be found on FTA’s Web
                                                  previously identified in this document                  Matthew Welbes,
                                                                                                                                                                 site at www.transit.dot.gov/funding/
                                                  may be accessed via the FTA Web site                    Executive Director.
                                                                                                                                                                 grants/notices and in the ‘‘FIND’’
                                                  at www.fta.dot.gov                                      [FR Doc. 2017–01194 Filed 1–18–17; 8:45 am]
                                                                                                                                                                 module of GRANTS.GOV. Mail and fax
                                                                                                          BILLING CODE P
                                                  G. Grant Management                                                                                            submissions will not be accepted.
                                                                                                                                                                 FOR FURTHER INFORMATION CONTACT:
                                                  1. Grant Reporting
                                                                                                          DEPARTMENT OF TRANSPORTATION                           Contact the appropriate FTA Regional
                                                    Recipients of FTA funds are reminded                                                                         Office at www.transit.dot.gov/about/
                                                  that all FTA grantees are required to                   Federal Transit Administration                         regional-offices/regional-offices for
                                                  report on their grants and it is critical                                                                      proposal-specific information and
                                                  to ensure reports demonstrate that                      FY 2017 Competitive Funding                            issues. For general program information,
                                                  reasonable progress is being made on                    Opportunity: Public Transportation on                  contact Élan Flippin, Office of Program
                                                  the project. At a minimum, all awards                   Indian Reservations Program; Tribal                    Management, (202) 366–3800, email:
                                                  require a Federal Financial Report (FFR)                Transit Program                                        elan.flippin@dot.gov. A TDD is available
                                                  and a Milestone Progress Report (MPR)                                                                          at 1–800–877–8339 (TDD/FIRS).
                                                  on an annual basis, with some reports                   AGENCY: Federal Transit Administration
                                                                                                                                                                 SUPPLEMENTARY INFORMATION:
                                                  required quarterly depending on the                     (FTA), DOT.
                                                  recipient and the type of projects                      ACTION: Notice of Funding Opportunity
                                                                                                                                                                 Table of Contents
                                                  funded under the grant. The                             (NOFO).                                                A. Program Description
                                                  requirements for these reports and other                                                                       B. Federal Award Information
                                                  reporting requirements can be found in                  SUMMARY:   The Federal Transit                         C. Eligibility Information
                                                  the latest version of FTA Circular 5010.                Administration (FTA) announces the                     D. Application and Submission Information
                                                                                                          availability of approximately $5 million               E. Application Review
                                                  FTA staff, auditors, and contractors rely
                                                                                                                                                                 F. Federal Award Administration
                                                  on the information provided in the FFR                  in funding provided by the Public                      G. Federal Awarding Agency Contacts
                                                  and MPR to review and report on the                     Transportation on Indian Reservations                  Appendix A: Registering in SAM and
                                                  status of both financial and project-level              Program (Tribal Transit Program), as                        Grants.gov
                                                  activities contained in the grant. It is                authorized by Federal Transit law 49
                                                  critical that recipients provide accurate               U.S.C. 5311(c)(1)(A), as amended by the                A. Program Description
                                                  and complete information in these                       Fixing America’s Surface Transportation                  The Tribal Transit Program (TTP) was
                                                  reports and submit them by the required                 (FAST) Act, Public Law 114–94                          established by the Safe, Accountable,
                                                  due date. Failure to report and/or                      (December 4, 2015), contingent on full                 Flexible, Efficient Transportation Equity
                                                  demonstrate reasonable progress on                      appropriations. This notice is a national              Act: A Legacy for Users (SAFETEA–LU)
                                                  projects can result in suspension or                    solicitation for project proposals and                 as a competitive program from FY 2006
                                                  premature close-out of a grant.                         includes the selection criteria and                    & FY 2012. The Moving Ahead for
                                                                                                          program eligibility information for FY                 Progress in the 21st Century (MAP–21)
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                                                  2. Inactive Grants and Grant Closeout                   2017 projects. FTA may fund the                        Act modified the program to include a
                                                    In FY 2017, FTA will continue to                      program for more or less than the full                 $25 million formula component and a
                                                  focus on identifying and working with                   year appropriation when made                           $5 million competitive program, totaling
                                                  recipients to close inactive grants. If                 available, and may include other                       $30 million. The FAST Act increased
                                                  appropriate, FTA will take action to                    funding toward project proposals                       the Tribal Transit Formula Program to
                                                  close out and deobligate funds from                     received in response to this Notice of                 $30 million and continued the $5
                                                  these grants if reasonable progress is not              Funding Opportunity (NOFO).                            million competitive program found at


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Document Created: 2018-02-01 15:16:30
Document Modified: 2018-02-01 15:16:30
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice.
Dates(1) The date of the Federal approval of the relevant STIP or STIP amendment that includes the project or any phase of the project, or that includes a project grouping under 23 CFR 450.216(j) that includes the project; or (2) the date that FTA approves the project into the project development phase of the CIG program. The grant applicant must notify the FTA Regional Office to initiate the Federal environmental review process in accordance with the ``Dear Colleague'' letter from the FTA Administrator dated February 24, 2011. NEPA-related activities include, but are not limited to, public involvement activities, historic preservation reviews, section 4(f) evaluations, wetlands evaluations, endangered species consultations, and biological assessments. This pre- award authority is strictly limited to costs incurred to conduct the NEPA process and associated engineering, and to prepare environmental, historic preservation and related documents. When a New Starts, Small Starts, or Core Capacity project is granted pre-award authority for the environmental review process, the reimbursement for NEPA activities conducted under pre-award authority may be sought at any time through section 5307 (Urbanized Area Formula Program) or the flexible highway programs (STP and CMAQ). Reimbursement from the section 5309 CIG program for NEPA activities conducted under pre-award authority is provided only for expenses incurred after entry into the project development phase and only once a construction grant agreement is signed. As with any pre-award authority, FTA reimbursement for costs incurred is not guaranteed. d. Other New and Small Starts and Core Capacity Project Activities Requiring Letter of No Prejudice (LONP)
ContactFor general information about this notice contact Kimberly Sledge, 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. FTA Regional Office contact information is available on FTA's Web site: www.transit.dot.gov.
FR Citation82 FR 6692 

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