Bus and Bus Facilities Formula Program: Proposed Circular |
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Therese W. McMillan
Federal Transit Administration
July 30, 2014
[Federal Register Volume 79, Number 146 (Wednesday, July 30, 2014)]
[Notices]
[Pages 44241-44246]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-17926]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
[Docket No. FTA-2014-0018]
Bus and Bus Facilities Formula Program: Proposed Circular
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice of availability of proposed circular and request for
comments.
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SUMMARY: The Federal Transit Administration (FTA) has placed in the
docket and on its Web site, proposed guidance, in the form of a
circular, to assist recipients in their implementation of the Section
5339 Bus and Bus Facilities Formula Program (Bus Program). The purpose
of this proposed circular is to provide recipients of FTA financial
assistance with instructions and guidance on program administration and
the grant application process. This proposed circular is a result of
the new Bus Program enacted through the Moving Ahead for Progress in
the 21st Century Act (MAP-21). By this notice, FTA invites public
comment on the proposed circular.
DATES: Comments must be submitted by September 29, 2014. Late-filed
comments will be considered to the extent practicable.
ADDRESSES: You may submit comments identified by the docket number FTA-
2014-0018 by any of the following methods:
Federal eRulemaking Portal: Submit electronic comments and
other data to http://www.regulations.gov.
U.S. Mail: Send comments to Docket Operations; U.S.
Department of Transportation, 1200 New Jersey Avenue SE., West Building
Room W12-140, Washington, DC 20590-0001.
Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building, Ground Floor, at 1200
New Jersey Avenue SE., Washington, DC, between 9:00 a.m. and 5:00 p.m.,
Monday through Friday, except Federal holidays.
Fax: Fax comments to Docket Operations, U.S. Department of
Transportation, at (202) 493-2251.
Instructions: The agency name (Federal Transit Administration) and
Docket Number (FTA-2014-0018) must be included at the beginning of each
submission. If sent by mail, please submit two copies. Due to security
procedures in effect since October 2001, mail received through the U.S.
Postal Service may be subject to delays. Parties mailing comments
should consider using an express mail firm to ensure their prompt
filing. If you wish to receive confirmation that FTA received your
comments, you must include a self-addressed stamped postcard. All
comments received will be posted without change to http://www.regulations.gov, including any personal information provided. You
may review USDOT's complete Privacy Act Statement published in the
Federal Register on April 11, 2000, at 65 FR 19477-8 or http://DocketsInfo.dot.gov.
FOR FURTHER INFORMATION CONTACT: For program matters, Sam Snead, Office
of Transit Programs, (202) 366-1089 or samuel.snead@dot.gov. For legal
matters, Michelle Hershman, Office of Chief Counsel, (202-493-0197) or
michelle.hershman@dot.gov. Office hours are from 8:30 a.m. to 5:00
p.m., Monday through Friday, except Federal holidays.
SUPPLEMENTARY INFORMATION:
I. Overview
The Moving Ahead for Progress in the 21st Century Act (MAP-21, Pub.
L. 112-141), signed into law on July 6, 2012, establishes the Section
5339 Bus and Bus Facilities Formula program (Section 5339 or Bus
Program), replacing some of the elements of the Bus and Bus Facilities
discretionary program (formerly 49 U.S.C. 5309(b)(3) under the Safe,
Accountable, Flexible, Efficient Transportation Equity Act: A Legacy
for Users Act of 2005 (SAFETEA-LU)). The Section 5309 Bus and Bus
Facilities Program under SAFETEA-LU provided funds for capital bus and
bus facility grants in support of the U.S. Department of
Transportation's (U.S. DOT) State of Good Repair, Bus Livability,
Veterans Transportation and Community Living, and Clean Fuels
initiatives. In addition, SAFETEA-LU allocated funds under this program
for Ferry Boat Systems, Fuel Cell Bus, and the Bus Testing program. The
new Section 5339 Bus Program, which now includes only capital projects,
provides funding to replace, rehabilitate, and purchase buses and
related equipment as well as construct bus-related facilities.
Therefore, FTA is proposing new circular 5100.1, ``Bus and Bus
Facilities Program: Guidance and Application Instructions,'' in order
to provide grantees with guidance for applying for funding under the
Bus Program. In addition, the proposed circular addresses the
requirements that must be met in the application for Section 5339
program assistance.
In addition to implementing the new Section 5339 program, MAP-21
made several significant changes to Federal transit laws that are
applicable across all of FTA's financial assistance programs and
reflected in this proposed circular. These changes further several
important goals of the U.S. DOT. Most notably, MAP-21 grants FTA
significant new authority to oversee and regulate the safety of public
transportation systems throughout the United States. MAP-21 also puts
new emphasis on restoring and replacing the Nation's aging public
transportation infrastructure by establishing a new State of Good
Repair formula program and new asset management requirements.
Furthermore, it aligns Federal funding with key performance goals and
tracks recipients' progress towards these goals. Finally, MAP-21
improves the efficiency of program administration through program
consolidation and streamlining. FTA encourages commenters to review and
provide comments on this document as well as the other proposed
circulars FTA has drafted in response to the MAP-21 changes.
This notice provides a summary of the proposed circular. The
circular contains new policies including, but not limited to, policies
regarding funding transfer provisions, ineligibility of preventive
maintenance and designated recipient
[[Page 44242]]
eligibility. The circular itself is not included in this notice; an
electronic version may be found on FTA's Web site, at www.fta.dot.gov.
Paper copies of the circular may be obtained by contacting FTA's
Administrative Services Help Desk, at (202) 366-4865. FTA seeks comment
on the proposed circular.
II. Chapter-by-Chapter Analysis
A. Chapter I--Introduction and Background
Chapter I of the circular is an introductory chapter that covers
general information about FTA and its authorizing legislation, provides
a brief history of the Bus Program, and defines terms applicable across
all FTA programs.
(1) Definitions
The proposed circular provides information on the following
statutory definitions relevant to Section 5339 which were amended by
MAP-21, including ``associated transit improvements'' (previously
``transit enhancements''); ``bus rapid transit system''; ``fixed
guideway,'' and ``public transportation.'' Definitions have also been
included in this section for terms that are unclear or currently
undefined. Where applicable, we have used the same definitions found in
rulemakings or other circulars to ensure consistency.
(2) Program History
This section provides an overview of each piece of legislation that
has authorized the Section 5339 Bus Program. While Section 5309 Bus
Program under SAFETEA-LU was a discretionary program, the Section 5339
funding is allocated to recipients using a statutory formula. In
addition, a set amount is appropriated to each State and territory from
a National distribution allocation.
B. Chapter II--Program Overview
Chapter II covers general information about the Bus Program,
including program administration, eligibility and oversight.
(1) Statutory Authority
This chapter begins by providing the statutory authority for the
Bus Program, which was codified at 49 U.S.C. Section 5339.
(2) Program Goals
This section identifies the primary goal of the Bus Program which
is to assist eligible recipients in financing capital projects to
replace, rehabilitate, and purchase buses and related equipment, and to
construct bus-related facilities which will support the continuation
and expansion of public transportations services in the United States.
(3) FTA Role in Program Administration
This section begins by providing information on the role of FTA's
headquarters and regional offices. Headquarters serves a broader role
in administration of the program, including providing guidance,
apportioning funds, and conducting national reviews. Regional offices,
on the other hand, are responsible for the day-to-day administration of
the program, including reviewing and approving grant applications,
obligating funds and providing technical assistance.
(4) Designated Recipient and State Role in Program Administration
This section of the proposed circular clarifies that FTA will only
apportion Bus Program funds for urbanized areas (UZA) to the State and
designated recipients who are responsible for apportioning those funds
to eligible projects and applying for funds on behalf of eligible
subrecipients within the UZA. This section also clarifies that there
are no other eligible direct recipients for the Bus Program under MAP-
21. In addition, this section discusses the State's or designated
recipient's responsibilities in administering Bus Program funds.
(5) Designated Recipient, States and Sub-recipient Eligibility
This section provides guidance on who is eligible to receive
Section 5339 funds. Eligible recipients are designated recipients and
States that operate or allocate funding to fixed-route bus operators.
This section also describes the process for allocating funds to
subrecipients and discusses pass-through arrangements whereby a
designated recipient may pass its Bus Program grant funds through to a
subrecipient to carry out the project agreed to in the grant. Unlike
supplemental agreements between the designated recipient and FTA, a
pass-through arrangement to a subrecipient does not relieve the
recipient of its responsibilities to carry out the terms and conditions
of the grant agreement.
(6) FTA Oversight
The section outlines the Congressionally-required oversight that
FTA must conduct in relation to the Bus Program. Specifically, to
perform this oversight, FTA conducts a triennial review at least once
every three years to evaluate recipient performance and compliance with
Federal requirements and certifications. The Single Audit Act also
requires recipients of Federal awards resulting in expenditures of
$750,000 or more to have independent audits conducted annually.
(7) Relationship to Other Programs
This section includes a discussion on both repealed SAFETEA-LU
programs for which funds may still be available and new MAP-21
programs. This section begins by discussing the relationship between
programs repealed by MAP-21 and the Bus Program authorized under MAP-
21. Repealed programs include the Clean Fuels Grant Program (former
Section 5308) and the Bus and Bus Facilities Discretionary Program
(former Section 5309(b)(3)). Funds previously authorized for programs
that were repealed by MAP-21 may remain available for their originally
authorized purposes until the statutory period of availability expires,
or until the funds are fully expended, rescinded by Congress, or
otherwise reallocated.
This section then discusses the relationship between the Bus
Program and the following programs that are either completely new or
were significantly modified by MAP-21, including the Urbanized Area
Formula Program (5307), Fixed Guideway Capital Investment Program
(5309, New and Small Starts, and Core Capacity Improvements), and the
State of Good Repair Formula Program (5337).
C. Chapter III--General Program Information.
(1) Apportionment of Program Funds
This chapter provides a more detailed discussion of the
apportionments for the Section 5339 Bus Program. The apportionment
calculations for Section 5339 include set-asides and formula
calculations established by MAP-21. Of the total made available, a
percentage identified within the apportionment notice is set aside for
National Distribution for each State, Territory and the District of
Columbia.
(2) Apportionment Data
This section describes how FTA obtains the data used for the
formula apportionments. For UZAs with less than 200,000 in population,
the formula is based on population and population density. For UZAs
with populations of 200,000 and more, the formula is based on a
combination of bus revenue vehicle miles and bus passenger miles as
well as population and population density.
[[Page 44243]]
(3) Availability of Funds
Under MAP-21, Section 5339 funding remains available for obligation
three years from the year in which the funds were apportioned. As a
result, the funds are available for three years plus the year of
apportionment.
(4) Transfer of Apportionments
MAP-21 allows the Governor of the State to transfer any part of the
State's apportionment under the National Distribution to supplement the
State's Section 5311 apportionment or any urbanized area's Section 5307
apportionment so long as funds are used for eligible Bus Program
activities. No FTA prior approval is required, but the Governor must
notify FTA of a transfer for each transaction for record purposes. The
transfer provisions regarding formula funds under Section 5336 do not
apply to Section 5339 program funds.
(5) Eligible Capital Projects
The last section in this chapter proposes the types of projects and
activities that may be funded under Section 5339. Eligible capital
projects include projects to replace, rehabilitate, and purchase buses
and related equipment, and projects to construct bus-related
facilities. More specifically, this includes:
a. The acquisition of buses for fleet and service expansion;
b. bus maintenance and administrative facilities;
c. transfer facilities;
d. bus malls;
e. transportation centers;
f. intermodal terminals;
g. park-and ride stations;
h. acquisition of replacement vehicles;
i. bus rebuilds;
j. passenger amenities such as passenger shelters and bus stop
signs;
k. accessory and miscellaneous equipment such as:
l. mobile radio units;
2. supervisory vehicles;
3. fare boxes;
4. computers; and
5. shop and garage equipment.
m. clean fuels projects;
n. introduction of new technology, including Intelligent
Transportation Systems (ITS);
o. leasing of capital assets;
p. crime prevention and security;
q. innovative financing;
r. interest and debt financing;
s. bicycle facilities;
t. bus rapid transit systems; and
u. joint development.
Under MAP-21, ``public art'' is no longer an eligible associated
transit improvement (formerly ``transit enhancement''). However,
incorporation of design and artistic considerations into public
transportation projects may still be an allowable cost, so long as it
is an integral part of the project. For example, an artist may be
employed as part of the construction design team, or art can be
incorporated into functional elements such as walls, seating, lighting,
or railings.
Planning activities are not eligible under the Bus Program.
However, costs associated with environmental compliance as part of
preliminary engineering (PE) or final design are eligible capital
expenses. Preventive maintenance is not an eligible activity under the
Bus Program. Mobility Management is also not an eligible expense under
the Bus Program.
(6) Local Share of Project Costs
Consistent with MAP-21, this circular proposes a 20 percent local
match requirement for capital assistance. However, MAP-21 expanded the
category of funds that can be used as local match. In addition to those
sources of local match previously authorized under SAFETEA-LU, local
match may also be derived from the following newly authorized sources:
Amounts appropriated or otherwise made available to a
department of agency of the Government (other than DOT), such as
Community Development Block Grant Funds administered by the Department
of Housing and Urban Development.
Any amount expended by providers of public transportation
by vanpool for the acquisition of rolling stock to be used in the
recipient's service area, excluding any amounts the provider may have
received in Federal, State or local government assistance for such
acquisition. The provider is required to have a binding agreement with
the public transportation agency to provide service in the relevant
UZA.
Generally, the Federal share is 85 percent for the acquisition of
vehicles for purposes of complying with or maintaining compliance with
the Americans with Disabilities Act (ADA) or the Clean Air Act (CAA).
The Federal share for project costs related to acquiring vehicle-
related equipment or facilities (including clean-fuel or alternative-
fuel vehicle-related equipment or facilities) for purposes of complying
or maintaining compliance with the CAA, or for meeting ADA
requirements, is 90 percent. The grant recipient may itemize the cost
of specific, discrete, vehicle-related equipment being purchased for
compliance with the ADA or CAA. The Federal share is 90 percent of the
cost for these itemized elements.
(7) Additional Sources of Local Share
This section proposes additional sources of local share that
recipients may use as part of local match for a capital project.
Certain sources such as revenue bond proceeds need prior FTA approval.
(8) Alternative Financing
This section of the proposed circular discusses eligibility
criteria for capital projects seeking Transportation Infrastructure
Finance and Innovation Act (TIFIA) financing, pursuant to section 2002
of MAP-21 (23 U.S.C. 601 et seq). Eligible projects include any transit
capital project which is anticipated to meet the statutory threshold
size.
(9) Deferred Local Share
The final section in this chapter of the proposed circular
discusses the situations in which recipients may request that local
share for a project be deferred. Deferred local share must receive FTA
approval prior to obligation of the grant.
D. Chapter IV--Planning and Program Development
(1) Metropolitan and Statewide Planning Requirements
This chapter proposes guidance on metropolitan and statewide
planning requirements. A grant applicant requesting Section 5339
assistance must comply with the planning requirements of 49 U.S.C.
5303, 5304, and 5306. Under SAFETEA-LU, certain eligible projects were
required to be developed under a locally developed, coordinated
planning process. Under MAP-21, coordinated planning is only a
requirement of eligibility under the Section 5310 program. This section
includes a reference to the FTA/FHWA revised joint planning regulations
at 23 CFR parts 450 and 500 and 49 CFR part 613.
(2) Transportation Management Areas (TMAs)
This section of the proposed circular introduces the discussion of
TMAs for planning purposes. The proposed circular references the
statutory definition of a TMA, which is a UZA with a population of over
200,000 individuals. There is also reference to the joint FTA/FHWA
transportation planning regulations at 23 CFR part 40, which include
guidelines on determining the boundaries of a Metropolitan Planning
Area (MPA).
[[Page 44244]]
(3) Performance-Based Planning
The next section in this chapter provides the requirements of MAP-
21's new broad performance management program which supports the seven
national performance goals. The performance management framework
attempts to improve project decision-making through performance-based
planning and programming and through fostering a transparent and
accountable decision-making process for Metropolitan Planning
Organizations (MPOs), States, and providers of public transportation.
This section recommends perusing the FTA/FHWA revised joint planning
regulations at 23 CFR parts 450 and 500 and 49 CFR part 613(b), which
also address performance-based planning.
(4) Role of Designated Recipient and Metropolitan Planning Organization
in Allocating Program Funds
This chapter provides guidance on the role of the designated
recipient and the MPO in allocating program funds. Both the planning
requirements and the statutory provisions of 49 U.S.C. Chapter 53
specify the roles of the MPO and of the designated recipient. While the
MPO develops and adopts the TIP, the designated recipient, which may in
some cases also be the MPO, has the primary responsibility to develop
the program of projects (POP) for the Section 5339 funds apportioned to
its large UZA for inclusion in the TIP.
(5) Multiple Designated Recipients in Large UZAs
In those UZAs with more than one designated recipient, FTA
recommends that local officials, operating in consultation with the
MPO, work together to determine the allocation and sub-allocation of
Section 5339 funds.
(6) Program of Projects and Public Participation Requirements
This section of the circular provides guidance on the POP that
recipients must develop as required by 49 U.S.C. 5307(b), which is
applicable to Section 5339 recipients. A POP is a list of projects
proposed by the designated recipient to be funded from the UZA's
Section 5339 apportionment, which includes a description of the
projects, in addition to any sub-allocation among public transportation
providers, total project costs, local share, and Federal share for each
project. As stated above, eligibility for funding under most FTA and
FHWA programs requires the MPO to list projects in the approved TIP or
STIP, or both. The TIP/STIP public participation and approval processes
can serve to satisfy the requirements for public participation under
Section 5307.
(7) Transfer of FTA Funds for Highway Projects
Section 5339 funds are not available to be transferred between FHWA
and FTA for transit or highway projects.
(8) Requirements Related to Vehicles and Equipment
This section of the proposed circular provides guidance on FTA's
useful life policy and includes methods by which grantees can determine
the useful life for project property. Useful life of rolling stock
begins on the date the vehicle is placed in revenue service and
continues until it is removed from service. This section provides
additional guidance for determining the useful life of buses and vans
and for calculating early disposition. Removal of an FTA-funded vehicle
from revenue service before the end of its minimum useful life, except
for reasons of fire, collision, or natural disaster, leaves the
recipient liable to FTA for the Federal share of the vehicle's
remaining value.
This section outlines the rolling stock spare ratio policies which
are taken into account during FTA review of grant applications which
propose to replace, rebuild, or add vehicles to the applicant's fleet.
This section also clarifies that vehicles in the contingency fleet do
not count in the calculation of spare ratio.
Next, this section provides the requirements that recipients must
meet in order to receive funds for the purchase of vehicles, including
pre-award and post-delivery review of buses and bus testing. MAP-21
amended the bus testing provisions under 49 U.S.C. 5318 to require that
FTA establish a pass/fall testing standard. FTA funds will be available
to acquire a new bus model only if it has received a passing score.
This requirement will take effect after FTA has issued regulations
establishing the standard. Other requirements outlined in this section
include Buy America, the Transit Vehicle Manufacturer Disadvantaged
Business Enterprises (DBE) Program Requirement, and requirements
related to the ADA. Recipients must ensure that each transit vehicle
meets the accessibility requirements and standards for the vehicle type
specified in 49 CFR parts 37 and 38, as applicable.
Finally, this section outlines FTA's policies for replacing FTA-
funded vehicles. A vehicle proposed to be replaced must have achieved
at least the minimum useful life. Early replacement of a vehicle prior
to the end of its minimum useful life requires prior FTA approval. If a
vehicle is replaced before it has achieved its minimum useful life, the
recipient has the option of returning to FTA an amount equal to the
remaining Federal interest in the vehicle or applying the ``Like-Kind
Exchange'' policy and placing an amount equal to the remaining Federal
interest in the vehicle into a newly purchased vehicle. Appendix C of
this proposed circular contains a ``Like-Kind Exchange Example.'' In
certain circumstances, a recipient may choose to rebuild a vehicle
rather than dispose of it.
(9) Requirements Related to Facilities
This section contains information concerning program requirements
specific to the construction or acquisition of facilities funded by
Section 5339. Similar to vehicles, facilities have a useful life, which
is determined by such factors as type of construction, nature of the
equipment used, historical usage patterns, and technological
developments. Recipients must ensure that transit facilities meet the
accessibility standards and requirements specified in 49 CFR parts 37,
38, and 39, as applicable.
This section also discusses shared use of project property which
requires prior written FTA approval except when it involves coordinated
public transit human services transportation. Shared use projects
should be clearly identified and sufficient detail provided to FTA at
the time of grant review to determine allocable costs related to non-
transit use for construction, maintenance, and operation costs. In
addition, FTA requires recipients to include the planning justification
in the grant application submitted in the FTA electronic management
system. Though planning activities are not an eligible expense under
the Bus Program, costs associated with environmental compliance as part
of PE or final design are eligible capital expenses.
(10) Environmental
This section provides guidance on the environmental reviews that
recipients must conduct prior to receiving FTA funding. This section
recommends that recipients consult with FTA regarding the proper level
of environmental review, prior to expending funds for a project.
(11) Undertaking Projects in Advance
This section explains the different authorities that allow a
recipient to incur costs on a project before grant approval, while
still retaining their eligibility for reimbursement after grant
approval. The three types of authorities
[[Page 44245]]
are pre-award authority, letters of no prejudice (LONP), and advanced
construction authority (ACA). This section discusses the distinction
among these three authorities and the terms and conditions that apply
equally to all three.
E. Chapter V--Program Management and Administrative Requirements
(1) Certifications Required by 49 U.S.C. 5339
This chapter outlines the requirements to which Section 5339
recipients must certify compliance, including legal, technical, and
financial capacity. Other requirements to which recipients must certify
include satisfactory continuing control, maintaining federally-assisted
facilities and equipment, compliance with the half-fare requirement
during non-peak hours, use of competitive procurements, and Buy
America.
(2) Certification Procedures
Before FTA may award Federal funding, the applicant must provide to
FTA all certifications and assurances required by Federal laws and
regulations. Near the beginning of each Federal fiscal year, FTA
publishes the certifications in the Federal Register, highlighting any
changes or additions from the previous year. FTA sometimes publishes
the certifications and assurances on the same date the formula
apportionments are published.
(3) FTA Electronic Management System
This section provides a reference to FTA's electronic grants
management system which allows electronic grant application submission,
review, approval, and management of all grants. The User Guide can be
found at FTA's Web site in the ``Grants and Financing'' section under
``Apply for and Manage Grants.''
(4) System for Award Management Requirements
This section describes the System for Award Management (SAM), which
is a free Web site that consolidates Federal procurement systems and
the Catalog of Federal Domestic Assistance. On July 30, 2012, the
Central Contractor Registration (CCR), FedReg, and the Excluded Parties
List System (EPLS) were migrated into SAM. Any organization applying
for financial assistance from the Federal government must register in
SAM and keep its registration current until it submits its final
financial report pursuant to the award agreement from FTA or receives
its final payment under the project, whichever is later.
(5) Data Universal Numbering System (DUNS) Registration Requirements.
Any organization applying for a grant or cooperative agreement from
the Federal government must have a DUNS number. This is a nine digit
identification number which provides a unique identification for single
business entities. Grant applicants that currently do not have a DUNS
number can obtain one for free from Dun and Bradstreet (www.dnb.com).
(6) Subrecipients DUNS Requirement
This section informs subrecipients that they must have a DUNS
number in order to receive a subaward from the recipient.
(7) Electronic Clearing House Operation (ECHO) Requirements
Grantees are required to establish an ECHO Control Number (ECN)
before FTA is able to disburse funds to the grantee. Department of
Treasury regulations, 31 CFR part 205, govern payment to recipients for
financing operations under Federal assistance and other programs.
(8) Federal Funding Accountability and Transparency Act (FFATA)
Requirement
This section discusses the statutory requirement that a recipient
report information about each first tier sub-award over $25,000 by the
end of the month following the month the direct recipient makes any
sub-award or obligation.
(9) National Transit Database (NTD) Reporting
Recipients (including subrecipients and contractors) of Section
5339 program funds are required by statute to submit data to the NTD.
Recipients must provide annual financial reports and monthly reports on
transit operations, safety and security to the NTD. There is a reduced
reporting requirement for small systems.
F. Chapter VI--State and Program Management Plans
(1) General
This chapter begins by providing a general overview of State and
Program Management Plans. The State Management Plan (SMP) is a document
that describes the State's policies and procedures for administering
FTA's program funding. The Program Management Plan (PMP) is a document
that describes the designated recipient's policies and procedures for
administering FTA's Section 5339 program in a large urbanized area. The
requirements for the PMP are the same as those for the SMP with
exception that the PMP is developed by designated recipients in large
urbanized areas whereas the SMP is developed by the State.
(2) Purpose
The SMP/PMP is intended to facilitate both recipient management and
FTA oversight by documenting the State's and designated recipient's
procedures and policies for administering the Section 5339 program.
(3) Management Plan Reviews
This section describes the oversight reviews that FTA conducts to
examine each designated recipient's management procedures, and the
relationship of the procedures to its management plan.
(4) Management Plan Content
While there is no prescribed format for the SMP/PMP, this circular
proposes that the plan should address certain topics and provide
specific information for each topic.
(5) Management Plan Revisions
Each recipient, whether a State or a designated recipient in a
large urbanized area, is required to have an approved SMP/PMP on file
with the appropriate FTA Regional Office and to update it regularly to
incorporate any changes in program management or new requirements.
(6) Existing SMP/PMP
All recipients may amend an existing or approved SMP/PMP or create
a stand-alone section in order to meet the requirement for these
documents.
G. Chapter VII--Other Provisions
This chapter provides an overview of the additional FTA-specific
and other Federal requirements with which an FTA recipient must comply.
This chapter provides a summarized, alphabetical listing of those
requirements and provides citations to the actual statutory or
regulatory text. If there is a conflict between the summary information
provided in this chapter and the statute or regulation, the language of
the statute or regulation controls.
This chapter includes information on new requirements and outlines
changes to certain existing requirements. More specifically, MAP-21
amended 49 U.S.C. 5329 to provide FTA with the authority to establish a
new comprehensive framework to oversee the safety of public
transportation throughout the United States. The law requires, among
other things, that DOT
[[Page 44246]]
issue a National Public Transportation Safety Plan, establish safety
performance criteria for all modes of public transportation, define a
``state of good repair,'' establish minimum safety performance
standards for public transportation vehicles, and a safety
certification training program. FTA will be issuing regulations and
interim guidance to implement these new requirements in consultation
with public transportation industry stakeholders.
Additionally, this section of the proposed circular clarifies the
effect that MAP-21 has had on the State Safety Oversight (SSO) Program
and the requirements of 49 CFR 659. Section 5330, which authorizes the
SSO Program, will be repealed three years from the effective date of
the new regulations implementing the new Section 5329 safety
requirements. Until then, the current requirements of 49 CFR 659 will
continue to apply.
H. Appendix
The appendices include instructions for preparing a grant
application and a budget, an application checklist, and several forms
and representative documents that recipients will need when applying
for Section 5339 funds. In addition, the appendices include FTA
regional and metropolitan contact information. Last is a list of
references, including Federal Register notice and other citations as
appropriate to enable readers to view the source documents.
Issued in Washington, DC, this 24th day of July, 2014.
Therese McMillan,
Deputy Administrator.
[FR Doc. 2014-17926 Filed 7-29-14; 8:45 am]
BILLING CODE 4910-57-P