AND APPLICATION INSTRUCTIONS - Transportation

1 Department of Transportation Federal Transit Administration CIRCULAR FTA C January 16, 2014 Subject: URBANIZED AREA FORMULA PROGRAM: PROGRAM GUIDANCE AND APPLICATION INSTRUCTIONS 1. PURPOSE. This circular is a reissuance of guidance on the administration and preparation of grant applications for the Urbanized Area Formula Program under 49 5307. This revision incorporates provisions of the Moving Ahead for Progress in the 21st Century Act (MAP-21; Pub. L. 112-141 (2012)), and includes the most current available guidance as of the date of publication. 2. CANCELLATION. This cancels FTA Circular , Urbanized Area Formula Program: Grant APPLICATION INSTRUCTIONS , dated May 1, 2010.

2 3. AUTHORITY. a. Federal Transit Laws, Title 49, United States Code, Chapter 53. b. 49 CFR 4. WAIVER. FTA reserves the right to waive any provisions of this circular to the extent permitted by federal law or regulation. 5. FEDERAL REGISTER NOTICE. In conjunction with publication of this circular, a Federal Register notice was published on January 16, 2014 (79 FR 2930), addressing comments received during the development of the circular. 6. AMENDMENTS TO THE CIRCULAR. FTA reserves the right to update this circular to reflect changes in other revised or new guidance and regulations that undergo notice and comment, without further notice and comment on this circular. FTA will post updates on our website at The website allows the public to register for notification when FTA issues Federal Register notices or new guidance.

3 Please visit the website and click on Connect with FTA for more information. 7. ACCESSIBLE FORMATS. This document is available in accessible formats upon request. To obtain paper copies of this circular as well as information regarding these accessible formats, call FTA s Administrative Services Help Desk at 202-366-4865. Individuals with hearing impairments may contact the Federal Relay Service at 1-800-877-8339 for assistance with the call. _____/S/ Original signed by_____ Peter M. Rogoff Administrator Distribution: FTA Headquarters Offices (T-W-2) OPI: Office of Program FTA Regional Offices (T-X-2) Management FTA C Page 1 DATE 1/16/2014 This page intentionally left blank FTA C Page i DATE 1/16/2014 SECTION 5307 PROGRAM CIRCULAR TABLE OF CONTENTS CHAPTER PAGE I.

4 INTRODUCTION AND BACKGROUND I 1 1. The Federal Transit Administration (FTA) I 1 2. Authorizing Legislation I 1 3. How to Contact FTA I 1 4. Definitions I 2 5. Program History I 8 II. PROGRAM OVERVIEW II 1 1. Statutory Authority II 1 2. Program Goal II 1 3. Program Measures II 1 4. Census Designation of Urbanized Areas II 2 5. FTA Role in Program Administration II 3 6. Designated Recipient Role in Program Administration II 3 7. Recipient Designation Process II 4 8. Direct Recipient and Sub-Recipient Eligibility II 5 9. FTA Oversight II 6 10. Relationship to Other Programs II 7 III. GENERAL PROGRAM INFORMATION III 1 1. Apportionment of Program Funds III 1 2. Apportionment Data III 1 3.

5 Availability of Funds III 2 4. Passenger Ferry Discretionary Program III 2 5. Transfer of Apportionments III 3 6. Federal Share of Project Costs III 4 7. Local Share of Project Costs III 5 8. Additional Sources of Local Share III 6 9. Deferred Local Share III 10 10. Alternative Financing III 11 IV. ELIGIBLE PROJECTS AND REQUIREMENTS IV 1 1. Planning Projects IV 1 2. Capital Projects IV 1 3. Employee Training Expenses IV 14 4. Operating Assistance IV 14 5. Job Access and Reverse Commute Projects IV 18 6. Interest and Debt Financing as an Eligible Cost IV 21 Page ii FTA C DATE 1/16/2014 V.

6 PLANNING AND PROJECT DEVELOPMENT V 1 1. Metropolitan and Statewide and Nonmetropolitan Planning Requirements V 1 2. Transportation Management Areas V 2 3. Performance-Based Planning V 2 4. Role of Designated Recipient and Metropolitan Planning Organization in Allocating Program Funds V 3 5. Sub-Area Allocation V 3 6. Program of Projects and Public Participation Requirements V 4 7. Coordinated Planning V 7 8. Availability of FHWA Flexible Funds for Transit Projects V 8 9. Associated Transit Improvements V 11 10. Public Transportation Security Projects V 12 11. Requirements Related to Vehicles and Equipment V 12 12. Requirements Related to Facilities V 15 13. Transit Asset Management Requirements V 17 14.

7 Public Transportation Safety Requirements V 17 15. Environmental Considerations V 17 16. Undertaking Projects in Advance V 18 VI. PROGRAM MANAGEMENT AND ADMINISTRATIVE REQUIREMENTS VI 1 1. Certifications Required by 49 5307 VI 1 2. Certification Procedures VI 9 3. FTA Electronic Award Management System VI 9 4. System for Award Management Requirements VI 10 5. Data Universal Numbering System (DUNS) Registration Requirement VI 10 6. Sub-Recipient DUNS Requirements VI 10 7. Electronic Clearing House Operation (ECHO) Requirements VI 11 8. Federal Funding Accountability and Transparency Act (FFATA) Requirements VI 11 9. National Transit Database (NTD) Reporting VI 12 VII. OTHER PROVISIONS VII 1 1.

8 Introduction VII 1 2. Charter Bus Services VII 1 3. Civil Rights VII 2 4. Clean Air Act (CAA) VII 5 5. Commercial Driver s License (CDL) VII 6 6. Debarment and Suspension VII 6 7. Drug and Alcohol Testing VII 7 8. Drug-Free Workplace VII 8 9. Employee Political Activity VII 8 FTA C Page iii DATE 1/16/2014 10. Energy Conservation VII 9 11. Environmental Reviews VII 9 12. Environmental Justice VII 9 13. Intergovernmental Review VII 10 14. Labor Protections VII 10 15. Presidential Coin Act VII 11 16. Private Sector Participation VII 11 17. real Property Acquisition and Relocation Assistance VII 11 18.

9 Restrictions on Lobbying VII 12 19. Safety VII 12 20. School Bus Transportation VII 13 21. Seismic Design and Construction Standards VII 13 22. Sensitive Security Information VII 13 23. State Safety Oversight VII 13 TABLES, GRAPHS, AND ILLUSTRATIONS 1. APPLICATION Checklist A 6 2. ECHO Information Form 3. Sample Budget for Bus Program Project 4. Sample Authorizing Resolution D 2 5. Sample Opinion of Counsel D 4 6. Fleet Status Report D 5 7. Example of Like-Kind Exchange Transaction for Transit Bus D 6 8. Sample Project Milestone Schedule 9. Proceeds from the Sale of Assets No Longer Needed for Transit Purposes 10. Example APPLICATION Information Using Proceeds from Sale of Assets 11.

10 FTA Regional and Metropolitan Contact Information F 1 APPENDICES APPENDIX A: INSTRUCTIONS FOR PREPARING A GRANT APPLICATION A 1 1. Preapplication Stages A 1 2. APPLICATION Stage (Grant System Information) A 2 3. APPLICATION Checklist A 6 APPENDIX B: INSTRUCTIONS FOR PREPARING A PROJECT BUDGET B 1 1. Introduction B 1 2. Developing the Budget B 1 3. Budget Modifications B 5 4. Regional Assistance B 9 Page iv FTA C DATE 1/16/2014 APPENDIX C: OPERATING ASSISTANCE PROJECTS C 1 1. Appendix Contents C 1 2. Operating Expense Worksheet C 1 APPENDIX D: FORMS AND REPRESENTATIVE DOCUMENTS D 1 1.