Federal Transit-Capital Investment Grants (20.500)

Program

20.500 Federal Transit-Capital Investment Grants

Federal Agency

Agency: Department of Transportation
Office: Federal Transit Administration (FTA)

Authorization

FEDERAL TRANSIT_CAPITAL INVESTMENT GRANTS and American Recovery and Reinvestment Act , 49 U.S.C 5309.

Program Number

20.500

Last Known Status

Active

Objectives

To assist in financing the acquisition, construction, reconstruction, and improvement of facilities, rolling stock and equipment for use in public transportation service. Funds are currently made available is three categories: Fixed Guideway Modernization formula program; Bus and Bus Facilities discretionary program; and New Starts discretionary program (new fixed guideway systems and extensions of existing systems).

Types of Assistance

FORMULA GRANTS; PROJECT GRANTS

Uses and Use Restrictions

Funds may be used to assist State and local governmental authorities in financing: capital projects for new fixed guideway systems, and extensions to existing fixed guideway systems, including the acquisition of real property, the initial acquisition of rolling stock for the systems, and the acquisition of rights of way, and relocation, for fixed guideway corridor development for projects in the advanced stages of alternatives analysis or preliminary engineering; capital projects, the acquisition, construction, reconstruction and improvement of facilities and equipment for use by operation or lease or otherwise in mass transportation service, including property and improvements needed for an efficient and coordinated mass transportation system, including buses and bus facility equipment; the capital costs of coordinating transit with other transportation; and the introduction of new technology, through innovative and improved transportation; and the introduction of new technology, through innovative and improved products. Consideration may also be given for projects which enhance urban economic development; establish new or enhanced coordination between transit and other transportation; or enhance the effectiveness of a transit project and are related physically or functionally to that transit project. It could also include financing for transit projects planned, designed, and carried out to meet the special needs of elderly individuals and individuals with disabilities; for the development of corridors to support fixed guideway systems, including protecting rights of way through acquisition, construction of dedicated bus and high occupancy vehicle lanes and park-and-ride lots, and other nonvehicular capital improvements that the Secretary may decide would result in increased transit usage in the corridor.

Eligibility Requirements

Applicant Eligibility

Public agencies, including States; municipalities and other subdivisions of States; public agencies and instrumentalities of one or more States; and public corporations, boards, and commissions established under State law. Applicant must have legal, financial, and technical capacity to carry out proposed project, including safety and security aspects, and maintain facilities and equipment purchased with Federal assistance. Fixed Guideway formula funds are approtioned by formula to urbanized areas over 200,000 population with fixed guideway segments at least one mile long that are over seven years old. Bus and New Starts programs are allocated entirely to projects designated by Congress. Private non-profit organizations are not eligible direct recipients.

Beneficiary Eligibility

The general public, both users and non-users of public transportation. Public agencies, although private transportation companies may participate through contractual arrangements with public agency grantee.

Credentials/Documentation

Resolution by an authorized public body approving the filing for an application; projects must be included in an urbanized area's transportation improvement program (TIP), in the State transportation improvement program (STIP) and approved by FTA and FHWA; information must be provided on labor and relocation; environmental impact statement; legal opinion; coordinated regional planning documentation; maintenance certification; and compliance with certifications and assurances as compiled in FTA's Annual List of Certifications and Assurances. Cost will be in accordance with OMB Circular No. A-87 for State and local governments. Federal Register Notice FTA Fiscal Year Apportionments, Allocations, and Program Information, published annually contains the capital investment apportionments. For fiscal year 2009, the Federal Register notice with the full year's apportionment will be published in late March 2009. For other fiscal years, contact the FTA Regional Office to obtain the publication dates or the FTA website: www.fta.dot.gov/. OMB Circular No. A-87 applies to this program.

Application and Award Process

Preapplication Coordination

This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. An environmental impact assessment may be required for this program. An environmental impact statement may also be required upon completion of review of the assessment. An environmental impact statement is required for this program. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Application Procedure

This program is excluded from coverage under OMB Circular No. A-102. OMB Circular No. A-110 applies to this program. This program is subject to the provisions of OMB Circular No. A-87 and 49 CFR Part 18 and FTA Circular 9300.1A, "Capital Program: Grant Application Instructions," October 1, 1998. Applications are made to the regional offices of the Federal Transit Administration listed in Appendix IV of the Catalog.

Award Procedure

An FTA grant award obligating Federal funds is reflected in a grant agreement. Grants are awarded electronically using FTA's Transportation Electronic Award Management (TEAM) system, http://ftateamweb.fta.dot.gov/fta-flash2b.html. In order to access this system, a user name and password are needed and can be obtained by contacting the regional offices. Once the funds are reserved in TEAM and the project information has been reviewed and approved by Headquarters, the recipient must execute the grant agreement to access the funds.

Deadlines

Contact the headquarters or regional office, as appropriate, for application deadlines.

Range of Approval/Disapproval Time

From 30 to 60 days. In FY 2005, FTA obligated Section 5309 Capital Grants in an average of 40 days after submission of a complete application.

Appeals

Not Applicable.

Renewals

Funding is made available annually through the appropriation process. Grants may be amended to add newly available funds for a continuing project.

Assistance Considerations

Formula and Matching Requirements

Statutory Formula:

Matching Requirements: Funds for fixed guideway modernization are apportioned by statutory formula to eleven legislatively specified areas and to other areas that have fixed guideway mileage over 7 years old. Funds for bus and bus related improvements and New Starts are allocated on a discretionary basis and can be allocated on a statutory basis. A grant may be made up to 80 percent of net project cost. Vehicle related equipment required to comply with ADA or Clean Air Act may be funded at 90 percent Federal share. ARRA Fixed Guideway funds can have a federal share up to 100 percent.

MOE requirements are not applicable to this program.

Length and Time Phasing of Assistance

Terms and conditions are contractually agreed on between FTA and the applicant. See the following for information on how assistance is awarded/released: The grants may be awarded in one lump sum or in smaller increments as specified by the grantee.

Post Assistance Requirements

Reports

(1) Progress reports; (2) Financial status reports; (Submitted quarterly for recipients in urbanized areas over 200,000 population, annually for other recipients and states); (3) construction reports where applicable. (1) Progress reports; (2) Financial status reports; (Submitted quarterly for recipients in urbanized areas over 200,000 population, annually for other recipients and states); (3) construction reports where applicable. (1) Progress reports; (2) Financial status reports; (Submitted quarterly for recipients in urbanized areas over 200,000 population, annually for other recipients and states); (3) construction reports where applicable. (1) Progress reports; (2) Financial status reports; (Submitted quarterly for recipients in urbanized areas over 200,000 population, annually for other recipients and states); (3) construction reports where applicable. No performance monitoring is required.

Audits

In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. In accordance with the provisions of OMB Circular No. A-133, Audits of State and Local Governments and Nonprofit Organizations, nonfederal entities that expend $500,000 or more in a year in Federal awards shall have a single or program specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year with certain exceptions as stated in OMB Circular No. A-133.

Records

Recipient is required to retain intact, for 3 years following submission of final expenditure report, pending resolution of audit findings, all project contract documents, financial records, and supporting documents.

Program Accomplishments

Fiscal Year 2008: In fiscal year 2008, $4.4 billion had been obligated under the capital grant charge from the FTA Regional Offices. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Financial Information

Account Identification

69-1133-0-1-401; 69-8350-0-7-401; 69-1102-0-1-401; 69-8350-0-7-401; 69-1134-0-1-401.

Obligations

(Salaries) FY 08 not reported.; FY 09 est $556,875,000; FY 10 est $185,625,000 - Recovery Act New Starts/Small Starts FY08 not applicable; FY09 est. $556,875,000; FY 10 est. $185,625,000; and Fixed Guideway Modernization Grants FY 08 not applicable; FY09 est. $556,875,000; FY 10 est. $185,625,000. (Salaries) FY 08 $1,219,839,983; FY 09 est $1,080,890,000; FY 10 est not reported. - Bus and Bus Facility Grants FY 08 act. $1,219,839,983; FY 09 est. $1,080,890,000; and FY 10 est. not available. (Salaries) FY 08 $1,572,118,525; FY 09 est $1,603,186,000; FY 10 est not reported. - Fixed Guideway Modernization Grants FY 08 act. $1,572,118,525, FY 09 est. $1,603,186,000, and FY 10 est. not available. (Salaries) FY 08 $1,639,257,719; FY 09 est $1,702,089,625; FY 10 est $2,167,971,500 - New Starts/Small Starts Grants FY 08 act. $1,639,257,719, FY 09 est. $1,702,089,625, FY10 est. $2,167,971,500.

Range and Average of Financial Assistance

Fixed Guideway Modernization - in FY 2008 apportionments ranged from $41,964 to $439,275,949. Bus and Bus Facility - in FY 2008 earmarks ranged from $8,694 to $12,750,000. New Starts - in FY 2008 earmarks ranged from $245,000 to $210,700,000.

Regulations, Guidelines and Literature

Contact the FTA Regional Offices. See FTA Circular 9300.1A, "Capital Program: Grant Application Instructions," October 1, 1998.

Related Programs

20.205 Highway Planning and Construction; 20.505 Federal Transit_Metropolitan Planning Grants; 20.507 Federal Transit_Formula Grants; 20.509 Formula Grants for Other Than Urbanized Areas; 20.513 Capital Assistance Program for Elderly Persons and Persons with Disabilities; 20.515 State Planning and Research

Information Contacts

Regional or Local Office

See Regional Agency Offices. See Appendix IV: Agency Regional and Local Office Addresses of the Catalog for a listing of the Federal Transit regional offices.

Headquarters Office

Sylvia L. Marion 1200 New Jersey Avenue, S.E., , Washington, District of Columbia 20590 Phone: (202) 366-6680

Web Site Address

http://www.fta.dot.gov.

Examples of Funded Projects

Fiscal Year 2008: Bus and Bus Facilities: Flint, Michigan, Mass Transportation Authority Rehabilitation/Construction of the downtown Flint Transfer Center New Starts: Portland, Oregon, Tri-County Metropolitan Transportation District Design and construct a 14.7 mile commuter rail line Fixed Guideway Modernization: Ventura County, California, Ventura County Transportation Commission Rehabilitation of rail tracks. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Criteria for Selecting Proposals

1. Major, non-recurring capital investments. 2. Congressional designation (Bus and New Starts) 3. Formula allocation (Fixed Guideway Modernization) 4. New Starts projects are subject to extensive rating and evaluation process and must have FTA approval before entering into the Preliminary Engineering and Final Design Phases.