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Catalog of Federal Domestic Assistance

Program Descriptions

20.507:  Federal Transit: Formula Grants

Popular Name:  Urbanized Area Formula Program

Objectives:  To assist in financing the acquisition, construction, cost-effective leasing, maintenance, planning, and improvement of facilities and equipment for use by operation, lease, contract, or otherwise in mass transportation service, and for urbanized areas with populations under 200,000, to assist with the payment of operating expenses to improve or to continue such service by operation, lease, contract or otherwise.

PROGRAM AND AWARD	FINANCIAL AND INFORMATION CONTACTS
ELIGIBILITY REQUIREMENTS	FINANCIAL AND ADMINISTRATIVE INFO.
APPLICATION AND AWARD PROCESS	INFORMATION CONTACTS
RELATED PROGRAMS	ASSISTANCE CONSIDERATIONS
PROGRAM ACCOMPLISHMENTS	POST ASSISTANCE REQUIREMENTS

20.507 ELIGIBILITY REQUIREMENTS:

Applicant Eligibility:  Funds will be made available to urbanized areas (as defined by the Bureau of the Census) through designated recipients which must be public entities and legally capable of receiving and dispensing Federal funds. The Governor, responsible local officials, and publicly owned operators of mass transportation services must jointly designate the recipient(s) for urbanized areas of 200,000 or more in population. The Governor or his designee is the recipient for urbanized areas of 50,000 to 200,000 population. Recipients must submit a program of projects to FTA; submit a program application to FTA; enter into formal agreements with FTA; and certify that public notification has been conducted.

Beneficiary Eligibility:  Publicly owned operators of mass transportation services.

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), and in the State transportation improvement program (STIP) approved by FTA and FHWA. Information must be provided on labor agreements and relocation planning; environmental impact; legal capacity; coordinated regional planning; and compliance with certifications and assurances as compiled in FTA's Annual List of Certifications and Assurances. Eligible costs must be in accordance with OMB Circular No. A-87 for State and local governments. Federal Register Notice "FTA Fiscal Year 2000 Apportionments, Allocations, and Program Information" published annually contains the urbanized area formula apportionments in Table 4. For fiscal year 2000, the publication dates are October 28, 1999 and December 16, 1999. For other fiscal years, contact the FTA Regional Office to obtain the publication dates. FTA website: www.fta.dot.gov/library/legal.

20.507 APPLICATION AND AWARD PROCESS:

Preapplication Coordination:  The standard application forms as furnished by the Federal agency and required by 49 CFR Part 18 must be used for this program. An environmental impact assessment is required. In addition, an environmental impact statement may also be required. 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 under the FTA 49 U.S.C. 5307 program.

Application Procedure:  This program is subject to the provisions of OMB Circular No. A-87 and 49 CFR Part 18. Applications are made to the regional office 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. To access funds, the recipient must execute the grant agreement.

Deadlines:  Applications may be submitted throughout the fiscal year.

Range of Approval/Disapproval Time:  3 months. FTA approves grants on a quarterly release cycle. Grant applications submitted to and received by the appropriate Regional Office by the first business day of the calendar quarter will be processed on or before the end of that quarter, provided the application is complete.

Appeals:  Opportunity for public hearing for interested persons.

Renewals:  Amendments may be granted subject to the availability of funds for the urbanized area.

Criteria for Selecting Proposals:  Projects must be eligible mass transit projects and meet all formula grant requirements.

Examples of Funded Projects:  Grants were awarded to: (1) Kansas City Area Transportation Authority for engineering, design and construction of the Kansas City Union Station Intermodal Facility; (2) Flint, MI Mass Transportation Authority for expansion of existing bus garage and renovation of operations/maintenance facility; (3) Golden Gate Bridge, Highway and Transportation District for 48 replacement buses, one expansion ferry vessel, and operating assistance; (4) Southwest Ohio Regional Transit Authority for Park and Ride lots and right-of-way acquisition; and (5) Southeastern Pennsylvania Transportation for Rail Transit Way Lines, rail station stops/terminals and rail support equipment and facilities.

Range and Average of Financial Assistance:  Varies according to local programming of available formula funds and the level of operating expenses incurred.

20.507 RELATED PROGRAMS:

• 20.205 Highway Planning and Construction;
• 20.500 Federal Transit: Capital Investment Grants;
• 20.505 Federal Transit: Metropolitan Planning Grants;
• 20.509 Formula Grants for Other Than Urbanized Areas.

20.507 PROGRAM ACCOMPLISHMENTS:

20.507 FINANCIAL AND ADMINISTRATIVE INFO:

Federal Agency:  FEDERAL TRANSIT ADMINISTRATION, DEPARTMENT OF TRANSPORTATION

Type of Assistance:  Formula Grants.

Obligations:  (Grants) FY 99 $2,465,147,000; FY 00 est $2,883,000,000; and FY 01 est $3,049,966,000.

Budget Account Number:  69-1129-0-1-401.

Authorization:  49 U.S.C. 5307.

Regulations, Guidelines, and Literature:  Formula Grant Application Instructions may be secured at no charge from the FTA Regional Offices -FTA Circular 9030.1C, "Urbanized Area Formula Program: Grant Application Instructions," October 1, 1998.

20.507 INFO CONTACTS:

Regional or Local Office:  See Appendix IV of the Catalog for a listing of Federal Transit Administration regional offices.

Headquarters Office:  FTA Office of Program Management, Patricia Levine, Director, Office of Resource Management and State Programs, 400 Seventh Street, SW., Washington, DC 20590. Phone: (202) 366-2053.

(See Appendix IV for more contact info.)

20.507 ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements:  Funding is apportioned on the basis of legislative formulas. For urbanized areas 50,000 to 199,000 in population, the formula is based on population and population density. For urbanized areas with population of 200,000 and greater, the formula is based on a combination of bus revenue vehicle miles, bus passenger miles, fixed guideway revenue miles, and fixed guideway route miles as well as population and population density. The program operates under a statutory formula as prescribed in 49 USC 5307. The Federal share is not to exceed 80 percent of the net project cost. The Federal share may be 90 percent for the cost of vehicle-related equipment attributable to compliance with the American with Disabilities Act and the Clear Air Act. The Federal share may also be 90 percent for projects or portions of projects related to bicycles. The Federal share may not exceed 50 percent of the net cost for operating assistance.

Length and Time Phasing of Assistance:  Sums apportioned under the formula grant program are available for obligation by the Governor or designated recipient for a period of 3 years following the close of the fiscal year for which such sums are apportioned. Any amounts remaining unobligated at the end of this period will be reapportioned within the same activity for which they were originally appropriated.

Uses and Use Restrictions:  The Secretary of Transportation may make grants under this section for capital projects to finance the planning, acquisition, construction, lease, improvement, and maintenance of equipment and facilities for use in transit subject to regulations. One percent of the funds apportioned to urbanized areas with a population of at least 200,000 shall be made available for transit enhancements. For urbanized areas with populations under 200,000, the Secretary may also make grants under this section to finance transit operating costs. Recipients of these grants are required to make information available to the public and to publish a program of projects to afford affected citizens opportunities through public hearings to submit comments on the proposed program and the performance of the recipient.

20.507 POST ASSISTANCE REQUIREMENTS:

Reports:  (1) Progress reports; (2) construction reports where applicable; and (3) final audit report.

Audits:  In accordance with the provisions of OMB Circular No. A-133, "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend $300,000 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 $300,000 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 the final expenditure report, pending resolution of audit findings, all project contract documents, financial records and supporting documents.