CIRCULAR - Federal Transit Administration

1 CIRCULAR Department of Transportation Federal Transit Administration FTA C November 24, 2014 Subject: FORMULA GRANTS FOR RURAL AREAS: PROGRAM GUIDANCE AND APPLICATION INSTRUCTIONS 1. PURPOSE. This CIRCULAR is a reissuance of guidance on the Administration and preparation of grant applications for the Formula Grants for Rural Areas Program under 49 5311. 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. When final, this CIRCULAR will cancel FTA CIRCULAR , Nonurbanized Area Formula Program Guidance and Grant Application Instructions, dated April 1, 2007. 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.

2 5. Federal REGISTER NOTICE. In conjunction with publication of this CIRCULAR , FTA published a notice in the Federal Register on October 24, 2014, addressing comments received during development of the CIRCULAR . 6. AMENDMENTS TO THE CIRCULAR . FTA reserves the right to amend 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. 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.

3 Individuals with hearing impairments may contact Federal Relay Service at 1-800-877-8339 for assistance with the call. _____/S/ Original Signed By_____ Therese W. McMillan Acting Administrator FTA C Page i DATE 11/24/2014 This page intentionally left blank FTA C Page ii DATE 11/24/2014 SECTION 5311 PROGRAM CIRCULAR TABLE OF CONTENTS CHAPTER PAGE I. INTRODUCTION AND BACKGROUN D .. I 1 1. The Federal Transit Administration (FTA).. I 1 2. Authorizing Legislation .. I 1 3. How to Contact I 1 4. I 2 5. Program History .. I 6 II. PROGRAM OVERVIEW .. II 1 1. Statutory Authority .. II 1 2. Program II 2 3. State Role in Program Administration .. II 3 4. FTA Role in Program Administration .. II 4 5. Relationship to Other FTA Programs .. II 5 III. GEN ERAL PROGRAM INFORMATION .. III 1 1. III 1 2. Eligibility .. III 5 3. Eligible Activities .. III 7 4. Federal /Local Matching Requirements ..III-15 IV. PROGRAM DEVELOPMENT.

4 IV 1 1. Fair and Equitable 1 2. Planning Requirements ..IV 1 3. Performance Based Planning ..IV 1 4. Intercity Bus Consultation 2 5. Program of 2 6. Certifications and 7. Preaward Authority ..IV 6 8. Grant Award and Project Approval ..IV 7 V. PROGRAM MANAGEMENT AND ADMINISTRATIVE REQ UIREMEN V 1 1. General .. V 1 2. Program Administrative V 1 3. Equipment Management .. V 1 4. Satisfactory Continuing Control and Responsibility .. V 3 5. Procurement .. V-3 6. Financial Management .. V-9 7. FTA Electronic Award Management System .. V-9 FTA C Page iii DATE 11/24/2014 CHAPTER PAGE 8. System for Award Management Requirements .. V-10 9. Data Universal Numbering System (DUNS) Registration Requirements .. V-10 10. Subrecipient DUNS Requirement .. V-10 11. Electronic C learing House Operation (ECHO) Requirements .. V-10 12. State Financial V-11 13. Federal Funding Accountability and Transparency Act (FFATA) Requirements .. V-11 14. Allowable Costs.

5 V-13 15. Closeout .. V-13 16. V-13 17. Real V-13 18. Construction Management and O versight .. V-14 19. Reporting Requirements .. V-14 20. State Management V-15 21. FTA Management Review .. V-15 VI. STATE MANAGEMENT PLAN ..VI 1 1. General ..VI 1 2. 1 3. State Management Reviews ..VI 1 4. State Management Plan Content ..VI 1 5. State Management Plan Revisions ..VI 4 VII. APPALACHIAN DEVELOPMENT PUBLIC TRANSPORTATION ASSISTANCE VII 1 1. Program Summary .. VII 1 2. National Program Objectives .. VII 1 3. Eligible Recipients and Subrecipients .. VII 1 4. Eligible Services and Services VII 1 5. Formula VII 3 6. Funds VII 3 7. Eligible Projects .. VII 3 8. Local Share .. VII 4 9. Program VII 4 10. Transfer Provisions .. VII 4 11. Statewide Transportation Improvement Program (STIP) and/or Transportation Improvement Program (TIP) Requirement .. VII 4 VIII. INTERCITY .VIII 1 1. Program Summary ..VIII 1 2. National .VIII 1 3. Governor s Certification.

6 VIII 1 4. Consultation Process .VIII 2 FTA C Page iv DATE 11/24/2014 5. In-K ind Match for Intercity Bus ..VIII 4 6. Eligible Subrecipients ..VIII 6 7. Eligible Services and Service Areas ..VIII 6 8. Eligible Activities ..VIII 7 9. Feeder .VIII 7 10. ADA Regulations ..VIII 8 11. Federal .VIII 8 12. Capital Projects in Urbanized Areas .. VIII 8 13. Obligation of Funds ..VIII 9 14. Surface Transportation Program ..VIII 9 IX. RURAL TRANSPORTATION ASSISTANCE PROGRAM ..IX 1 1. Program Summary ..IX 1 2. Program 1 3. Funding and Allocations ..IX 1 4. State Program Development and 2 5. Program Management ..IX 4 6. National Program ..IX 4 7. Other Technical Assistance Resources ..IX 4 X. PUBLIC TRANSPORTATION ON INDIAN X 1 1. Program Summary .. X 1 2. National Program Objectives .. X 1 3. Eligible Recipients .. X 1 4. Eligible Services and Service Areas .. X 1 5. Formula Program .. X 2 6. Discretionary Program Eligibility .. X 2 7. Terms and Conditions .. X 2 8.

7 Matching Requirements .. X 3 9. Indirect Cost X 3 10. STIP/TIP Requirements .. X 3 11. Funds X 3 12. Program X 3 13. National Transit Database Reports .. X 3 XI. OTHER 1 1. Introduction ..XI 1 2. Charter Bus Service ..XI 1 3. Civil Rights Requirements ..XI 2 4. Clean Air Act (CAA) ..XI 5 5. Commercial Driver s License (CDL) ..XI 5 6. Drug and Alcohol 6 7. Drug-Free Workplace ..XI 6 8. Employee Political Activity ..XI 7 9. Environmental Reviews ..XI 7 10. Environmental Justice ..XI 8 FTA C Page v DATE 11/24/2014 11. Labor Protections ..XI 8 12. Lease vs. Buy Considerations ..XI 8 13. Preaward Authority ..XI 9 14. Private Sector 10 15. Procurement Restrictions ..XI 10 16. Real Property Acquisition and Relocation 11 17. Restrictions on Lobbying ..XI 12 18. Safety and Security ..XI 12 19. School Bus 12 20. Transit Asset Management Requirements .. XI-12 APPENDICES APPENDIX A INSTRUCTIONS FOR PREPARING A GRANT APPLIC ATION TO FTA .. A 1 APPENDIX B SAMPLE SECTION 5311 PROGRAM OF PROJECTS (POP).

8 B 1 APPENDIX C BUDGET INFORMATION .. C 1 APPENDIX D PROCEDURES RELATED TO FLEXIBLE D 1 APPENDIX E SAMPLE IN TERCITY BUS E 1 APPENDIX F CAPITAL COST OF APPENDIX G FTA regional AND METROPOLITAN CONTACT INFORMATION .. G-1 APPENDIX H REFERENCES .. H-1 INDEX FTA C Page I 1 DATE 11/24/2014 I. INTRODUCTION AND BACKGROUND 1. THE Federal Transit Administration (FTA). The Federal Transit Administration (FTA) is one of ten modal administrations within the Department of Transportation (DOT), and is headed by an administrator appointed by the president of the United States. The FTA functions through a headquarters office in Washington, DC, ten regional offices, and five metropolitan offices. These offices assist Transit agencies in all fifty states, the District of Columbia, Puerto Rico, the Virgin Islands, Guam, the Northern Mariana Islands, American Samoa, and federally recognized Indian tribes. Public transportation means regular, continuing shared-ride surface transportation services that are open to the general public or open to a segment of the general public defined by age, disability, or low income.

9 Public transportation generally includes, but is not limited to, transportation services provided by buses, heavy rail, light rail, commuter rail, fixed guideway, bus rapid Transit , passenger ferryboats, trolleys, inclined railways, people movers, vans, streetcars, jitneys, and aerial tramways. Public transportation can be either fixed-route or demand-response service, but excludes intercity passenger rail provided by Amtrak, intercity bus service, charter bus service, school bus service, sightseeing services, courtesy shuttle services provided by individual businesses, and intraterminal or intrafacility shuttle services. The Federal government, through FTA, provides financial assistance to develop new Transit systems and improve, maintain, and operate existing systems. FTA oversees thousands of grants to hundreds of state and local Transit providers, primarily through its ten regional offices. These recipients are responsible for managing their programs in accordance with Federal requirements, and FTA is responsible for ensuring that recipients follow Federal statutory and administrative requirements.

10 2. AUTHORIZING LEGISLATION. Most Federal Transit laws are codified at Title 49 Chapter 53. Authorizing legislation is substantive legislation enacted by Congress that establishes or continues the legal operation of a Federal program or agency. FTA s most recent authorizing legislation is the Moving Ahead for Progress in the 21st Century Act (MAP-21), Pub. L. 112-141, signed into law on July 6, 2012, and effective on October 1, 2012. This CIRCULAR reflects changes to Federal Transit law as well as changes required by other laws that have become effective since the CIRCULAR was last published in April 2007. 3. HOW TO CONTACT FTA. FTA s regional and metropolitan offices are responsible for providing financial assistance to FTA recipients and oversight of grant implementation for most FTA programs. Certain specific programs are the responsibility of FTA s headquarters offices. Inquiries should be directed to either the regional or metropolitan office responsible for the geographic area in which the recipient is located.