FY 2011 Discretionary Livability Funding Opportunity; Section 5309 Bus and Bus Facilities Livability Initiative Program Grants and Section 5339 Alternatives Analysis Program

FY 2011 Discretionary Livability Funding Opportunity; Section 5309 Bus and Bus Facilities Livability Initiative Program Grants and Section 5339 Alternatives Analysis Program

Topics: Federal Transit Administration

FY 2011 Discretionary Livability Funding Opportunity; Section 5309 Bus and Bus Facilities Livability Initiative Program Grants and Section 5339 Alternatives Analysis Program

Peter Rogoff
Federal Register
June 27, 2011

[Federal Register Volume 76, Number 123 (Monday, June 27, 2011)]
[Notices]
[Pages 37393-37402]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-16015]

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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

FY 2011 Discretionary Livability Funding Opportunity; Section
5309 Bus and Bus Facilities Livability Initiative Program Grants and
Section 5339 Alternatives Analysis Program

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice of Availability of FTA Livability Funding Opportunity
Program Funds: Solicitation of Project Proposals.

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SUMMARY: The Federal Transit Administration (FTA) announces the
availability of discretionary funds in Fiscal Year (FY) 2011 for two
programs in support of the Department of Transportation's (DOT)
Livability Initiative: the Bus and Bus Facilities grant funds (49
U.S.C. 5309(b)) (``Bus Livability Program'') and the Alternatives
Analysis Program (49 U.S.C. 5339), both authorized by the Safe,
Accountable, Flexible, Efficient, Transportation Equity Act: A legacy
for Users (SAFETEA-LU), Pub. L. 109-59, August 10, 2005. The Bus
Livability Program will be funded using at least $150 million in
available FY 2011 Discretionary Bus and Bus Facilities Program funds.
The Alternatives Analysis program will be funded using up to $25
million in FY 2010 and FY2011 discretionary funds. These discretionary
program funds will be distributed in accordance with the mission of
each program and in support of the U.S. DOT's Livability Initiative and
the Partnership for Sustainable Communities between the U.S. DOT, the
U.S. Department of Housing and Urban Development (HUD), and the U.S.
Environmental Protection Agency (EPA). Please note that this notice is
one of several discretionary funding opportunities that FTA intends to
issue by early Fall 2011. This notice includes priorities established
by FTA for these discretionary funds, the criteria FTA will use to
identify meritorious projects for funding, and describes how to apply
for funding under each discretionary program. This announcement is
available on the FTA Web site at: http://www.fta.dot.gov. FTA will
announce final selections for each program on the Web site and in the
Federal Register. Additionally, a synopsis of each funding opportunity
will be posted in the FIND module of the government-wide electronic
grants Web site at http://www.grants.gov.

DATES: Complete proposals for both the Bus Livability Program and the
Alternatives Analysis Program must be submitted by July 29, 2011. All
proposals must be submitted electronically through the GRANTS.GOV APPLY
function. Agencies should initiate the process of registering on the
GRANTS.GOV site immediately to ensure completion of registration before
the submission deadline. Registration is a multi-step process, which
may take several weeks to complete before an application can be
submitted.

FOR FURTHER INFORMATION CONTACT:

Bus Livability Program

Contact the appropriate FTA Regional Administrator (Appendix A) for
proposal-specific information and issues. For general program
information, contact Bryce McNitt, Office of Budget and Policy, (202)
366-2618, e-mail bryce.mcnitt@dot.gov. A TDD is available at 1-800-877-
8339 (TDD/FIRS).

Alternatives Analysis Program

For general program information, contact Kenneth Cervenka, Office
of Planning and Environment, (202) 493-0512, e-mail
Kenneth.Cervenka@dot.gov. A TDD is available at 1-800-877-8339 (TDD/
FIRS).

SUPPLEMENTARY INFORMATION:

Table of Contents

I. DOT Livability Initiative
A. Authority
B. Policy Priority
II. Livability Program Information
A. Bus Livability Program
1. Description
2. Award Information
3. Eligibility Information
4. Application and Submission Information
5. Application Review, Selection, and Notification
6. Award Administration
7. Agency Contacts
B. Alternatives Analysis Program
1. Description
2. Award Information
3. Eligibility Information
4. Application and Submission Information
5. Application Review, Selection and Notification
6. Award Administration
7. Agency Contacts
Appendix A FTA Regional Offices
Appendix B Notice of Other Funding Opportunities

I. DOT Livability Initiative Overview

A. Authority:

Bus Livability
The program is authorized under 49 U.S.C. 5309(b) as amended by
Section 3011 of SAFETEA-LU.

``The Secretary may make grants under this section to assist
State and local governmental authorities in financing-- * * *
(3) capital projects to replace, rehabilitate, and purchase
buses and related equipment and to construct bus-related facilities,
including programs of bus and bus-related projects for assistance to
subrecipients that are public agencies, private companies engaged in
public transportation, or private non-profit organizations.''
Alternatives Analysis
The program is authorized under the Alternatives Analysis Program
(49 U.S.C. 5339) of SAFETEA-LU, Public Law 109-59, August 10, 2005.

``* * * The Secretary may award grants to States, authorities of
the States, metropolitan planning organizations, and local
governmental authorities to develop alternatives analyses as defined
by section 5309(a)(1). 5309(a)(1) ``* * * a study conducted as part
of the transportation planning process required under sections 5303
and 5304 * * *''

B. Policy Priority

FTA has long fostered livable communities and sustainable
development through its various transit programs and activities. Public
transportation supports the development of communities, providing
effective and reliable transportation options that increase access to
jobs, recreation, health and social services, entertainment,
educational opportunities, and other activities of daily life, while
also improving mobility within and among these communities. Through
various initiatives and legislative changes over the last fifteen
years, FTA has allowed and encouraged projects that help integrate
transit into a community through neighborhood improvements and
enhancements to transportation facilities or services; make
improvements to areas adjacent to public transit facilities that may
facilitate mobility needs of transit users; or support other
infrastructure

[[Page 37394]]

investments that enhance the use of transit and other transportation
options for the community.
On June 16, 2009, U.S. Department of Transportation (DOT) Secretary
Ray LaHood, U.S. Department of Housing and Urban Development (HUD)
Secretary Shaun Donovan, and U.S. Environmental Protection Agency (EPA)
Administrator Lisa Jackson announced a new partnership to help American
families in all communities--rural, suburban and urban--gain better
access to affordable housing, more transportation options, and lower
transportation costs. DOT, HUD, and EPA created this high-level
interagency partnership to better coordinate federal transportation,
environmental protection, and housing investments.
At least $150 million in unallocated Section 5309 Bus and Bus
Facilities Program funds are available under this notice. In addition,
FTA will use up to $25 million in Alternatives Analysis Program funds
to further support the Livability Initiative. By using these available
funds, FTA and DOT can support tangible livability improvements within
existing programs while demonstrating the feasibility and value of such
improvements. These demonstrations can provide a sound basis for
advancing greater investments in the future. In addition, the program
builds on the momentum generated by the investments made through the FY
2010 Partnership for Sustainable Communities, including FTA's FY 2010
Bus Livability and Alternatives Analysis grant programs, and funding
provided through the American Recovery and Reinvestment Act of 2009.
This notice represents one of the several discretionary grant
funding opportunities to be announced by FTA this fiscal year. This
notice identifies opportunities for funding under the Department of
Transportation's livable communities strategic goal. It is expected
that FTA will announce other discretionary funding opportunities no
later than early Fall 2011 to support efforts related to transit state
of good repair, clean fuels and greenhouse gas/energy reduction,
transit in parks and public lands, tribal transit, and over-the-road
bus efforts. (See Appendix B).

C. Principles

Both the Bus Livability and the Alternatives Analysis programs will
invest in projects that fulfill the following six livability principles
that serve as the foundation for the DOT-HUD-EPA Partnership for
Sustainable Communities:
1. Provide more transportation choices: Develop safe, reliable, and
economical transportation choices to decrease household transportation
costs, reduce our nation's dependence on foreign oil, improve air
quality, reduce greenhouse gas emissions and promote public health.
2. Promote equitable, affordable housing: Expand location- and
energy-efficient housing choices for people of all ages, incomes, races
and ethnicities to increase mobility and lower the combined cost of
housing and transportation.
3. Enhance economic competitiveness: Improve economic
competitiveness through reliable and timely access to employment
centers, educational opportunities, services and other basic needs by
workers as well as expanded business access to markets.
4. Support existing communities: Target federal funding toward
existing communities--through such strategies as transit-oriented,
mixed-use development and land recycling--to increase community
revitalization, improve the efficiency of public works investments, and
safeguard rural landscapes.
5. Coordinate policies and leverage investment: Align policies and
funding to remove barriers to collaboration, leverage funding and
increase the accountability and effectiveness of all levels of
government to plan for future growth, including making smart energy
choices such as locally generated renewable energy.
6. Value communities and neighborhoods: Enhance the unique
characteristics of all communities by investing in healthy, safe and
walkable neighborhoods--rural, urban or suburban.
FTA will also consider geographic distribution in project
selection.

II. Livability Program Information

Bus Livability Program

1. Description
The Bus Livability Program will be funded using at least $150
million in available discretionary Bus and Bus Facilities Program
funds, authorized by 49 U.S.C. 5309(b) of the Safe, Accountable,
Flexible, Efficient, Transportation Equity Act: A Legacy for Users
(SAFETEA-LU), Pub. L. 109-59, August 10, 2005. FTA may use additional
Bus and Bus Facilities funding that becomes available to further
support this initiative.
The Bus Livability Program makes funds available to public
transportation providers to finance capital projects to replace,
rehabilitate, and purchase buses and related equipment and to construct
bus-related facilities, including programs of bus and bus-related
projects for assistance to subrecipients that are public agencies,
private companies engaged in public transportation, or private non-
profit organizations. This notice includes priorities established by
FTA for these discretionary funds, the criteria FTA will use to
identify meritorious projects for funding, and describes how to apply.
Improving mobility and shaping America's future by ensuring that
the transportation system is accessible, integrated, and efficient,
while offering flexibility of choices is a key strategic goal of the
DOT. FTA is committed to creating livable communities that improve the
quality of life for all Americans. Public transportation provides
transportation options that connect communities and fosters
sustainability and the development of urban and rural land use. Through
Bus Livability Program grants, FTA will invest in projects that fulfill
the six livability principles that serve as the foundation for the DOT-
HUD-EPA Partnership for Sustainable Communities listed in section I,
Part C of this NOFA (above).
FTA will evaluate proposals and assess a project's ability to
advance local economic development goals, improve mobility for all
citizens, create partnerships that result in the integration of
transportation and land-use decision making and result in environmental
benefits. Additionally, many rural areas are fighting to preserve their
way of life by limiting urban sprawl and protecting valuable
agricultural lands. Often these communities have seen jobs and
businesses leave for larger communities and need assistance preserving
and reinvigorating the traditional rural town center where locals can
visit the grocery store, doctor, hardware store, family restaurant and
town hall in easy walking distance of one another. FTA is committed to
funding a mix of projects that include projects that demonstrate
livability principles in rural areas including projects that provide
access to jobs, medical services and other necessities in rural areas
and that support the independence of elderly citizens and individuals
with disabilities.
2. Award Information
Federal transit funds are available to State or Local governmental
authorities as recipients and other public transportation providers as
subrecipients at up to 80 percent of the project cost requires a 20%
local match. There is no floor or ceiling for any single grant under
this program;

[[Page 37395]]

however, FTA intends to fund as many meritorious projects as possible.
Consistent with 49 U.S.C. 5309(m)(8), the Secretary shall consider
the age and condition of buses, bus fleets, related equipment, and bus-
related facilities of applicants in its award of Bus Livability grants.
And, in addition, FTA will consider geographical diversity in making
final funding decisions.
3. Eligibility Information
A. Eligible Applicants
Eligible applicants under this program are direct recipients of
funds provided under the Section 5307 Urbanized Area Formula program
(``Direct Recipients''), as well as States and Indian tribes. Proposals
for funding eligible projects in rural (nonurbanized) areas must be
submitted as part of a consolidated State application with the
exception of nonurbanized projects to Indian tribes. Tribes, States,
and Direct Recipients may also submit consolidated proposals for
projects in urbanized areas.
Proposals may include projects to be implemented by the applicant
as a ``Recipient'' or as one or more partners (``subrecipients'').
Eligible subrecipients include public agencies, private non-profit
organizations, and private providers engaged in public transportation.
B. Eligible Expenses
SAFETEA-LU grants authority to the Secretary to make grants to
assist State and local governmental authorities in financing capital
projects to replace, rehabilitate, and purchase buses and related
equipment and to construct bus-related facilities, including programs
of bus and bus-related projects for assistance to subrecipients that
are public agencies, private companies engaged in public
transportation, or private non-profit organizations.
Projects eligible for funding under the Bus Livability program are
capital projects such as:
Purchase and rehabilitation of buses and vans, bus-related
equipment (including ITS, fare equipment, communication devices),
construction and rehabilitation of bus-related facilities (including
administrative, maintenance, transfer, and intermodal facilities,
including facilities consistent with FTA's Joint Development and Bike/
Pedestrian policies which are available at http://www.fta.dot.gov/livability). As part of the program, FTA will prioritize the
replacement and rehabilitation of intermodal facilities that support
the connection of bus service with multiple modes of transportation
such as: Rail, ferry, intercity bus and private transportation
providers. In order to be eligible for funding, intermodal facilities
must have adjacent connectivity with bus service.
Funds made available under this program may not be used to fund
operating expenses, preventive maintenance, or any other expanded
capital eligibility items (for example, security drills, debt service
reserve, mobility management). Funds also may not be used to reimburse
projects that have incurred previous expenses absent evidence that FTA
issued a Letter of No Prejudice (LONP) for the project before the costs
were incurred. There is no blanket pre-award authority for projects to
be funded under this announcement before their identification in the
Federal Register of selected projects.
C. Cost Sharing
Costs will be shared at the following ratio: 80 percent FTA/20
percent local contribution, unless the grantee requests a lower Federal
share. FTA will not approve deferred local share under this program.
The Federal share may exceed 80 percent for certain projects
related to the Americans with Disabilities Act (ADA), the Clean Air Act
(CAA) and bicycle facilities (sec. 5319) as follows: ADA--The Federal
share is 90 percent for the cost of vehicle-related equipment or
facilities attributable to compliance with the ADA of 1990 (42 U.S.C.
12101 et seq.); CAA--The Federal share is 90 percent for the cost of
vehicle-related equipment or facilities (including clean fuel or
alternative-fuel vehicle-related equipment or facilities) attributable
to compliance with the CAA (42 U.S.C. 7401 et seq.). For administrative
simplicity, FTA allows recipients to compute the Federal share at 83
percent for eligible ADA and CAA vehicle purchases.
The FY 2011 Appropriations Act allows a 90 percent Federal share
for the total cost of a biodiesel bus. The Act also allows a 90 percent
Federal share for the net capital cost of factory installed or
retrofitted hybrid electric propulsion systems and any equipment
related to such a system. For administrative simplicity, FTA allows
recipients to compute the Federal share at 83 percent for eligible
vehicle purchases.
4. Application and Submission Information
A. Proposal Submission Process
Project proposal must be submitted electronically through http://www.grants.gov. In addition to the mandatory SF 424 Form that must be
downloaded from GRANTS.GOV, FTA requires applicants to complete the
Supplemental FTA Form to enter descriptive and data elements of
individual program proposals for these discretionary programs. These
supplemental forms provide guidance and a consistent format for
applicants to respond to the criteria outlined in this Notice of
Funding Availability (NOFA). The Supplemental Form can be found on the
program Web site at http://www.fta.dot.gov/bus. Applicants must use
this Supplemental Form and attach it to their submission in GRANTS.GOV
to successfully complete the application process. Within 24-48 hours
after submitting an electronic application, the applicant should
receive an e-mail validation message from GRANTS.GOV. The validation
will state whether GRANTS.GOV found any issues with the submitted
application. As an additional notification, FTA's system will notify
the applicant if there are any problems with the submitted Supplemental
FTA Form. If making a resubmission for any reason, include all original
attachments regardless of which attachments were updated. Complete
instructions on the application process can be found at http://www.fta.dot.gov/bus and will also be available in the ``FIND'' module
of GRANTS.GOV. Important: FTA urges applicants to submit their
applications at least 72 hours prior to the due date to allow time to
receive the validation message and to correct any problems that may
have caused the application to be rejected.
An applicant may propose a project that would take more than one
year to complete, which includes expending a single year of Bus
Livability program grant funds over multiple years. The project would,
however, need to be ready to begin upon receiving a grant and need to
be completed in a reasonable period of time, as evaluated on a case-by-
case basis depending on the project type. In sum, the period of
performance of the award is separate from the year of funds of the
award.
B. Application Content
1. Applicant Information
This provides basic sponsor identifying information, including: (a)
Applicant name, and FTA recipient ID number, (b) contact information
for notification of project selection (including contact name, title,
address, e-mail, fax and phone number, (c) description of services
provided by the agency including areas served, (d) existing fleet and
employee information, and (e) a description of the agency's technical,
legal, and financial capacity

[[Page 37396]]

to implement the proposed project. For applicants applying through
http://www.grants.gov, some of this information is included in Standard
Form 424.
2. Project Information
Every proposal must:
a. Describe concisely, but completely, the project scope to be
funded. As FTA may elect to only partially fund some project proposals
(see below), the scope should be ``scalable,'' with specific components
of independent utility clearly identified.
b. Address each of the evaluation criteria separately,
demonstrating how the project responds to each criterion.
c. Provide a line-item budget for the total project, with enough
detail to describe the various key components of the project. As FTA
may elect to only partially fund some project proposals, the budget
should provide for the minimum amount necessary to fund specific
project components of independent utility.
d. Provide the Federal amount requested.
e. Document the matching funds, including amount and source of the
match, demonstrating strong local or private sector financial
participation in the project.
f. Provide support documentation, including audited financial
statements, bond-ratings, and documents supporting the commitment of
non-federal funding to the project, or a timeframe upon which those
commitments would be made.
g. Provide a project time-line, including significant milestones
such as the date anticipated to issue a request for proposals for
vehicles, or contract for purchase of vehicle(s), and actual or
expected delivery date of vehicles, or notice of request for proposal
and notice to proceed for capital construction/rehabilitation projects.
C. Submission Dates and Times
Complete proposals for the Bus Livability program must be submitted
electronically through the GRANTS.GOV Web site by July 29, 2011.
Applicants are encouraged to begin the process of registration on the
GRANTS.GOV site well in advance of the submission deadline.
Registration is a multi-step process, which may take several weeks to
complete before an application can be submitted. In addition to the
mandatory SF-424 Form that will be downloaded from GRANTS.GOV, FTA
requires applicants to complete the Supplemental FTA Form to enter
descriptive and data elements of individual program proposals for the
Bus Livability program. This supplemental form provides guidance and a
consistent format for applicants to respond to the criteria outlined in
this NOFA and can be located on the FTA Web site at http://www.fta.dot.gov/bus. Applicants must use this Supplemental Form and
attach it to their submission in GRANTS.GOV to successfully complete
the application process. Within 24-48 hours after submitting an
electronic application, the applicant should receive an e-mail
validation message from GRANTS.GOV. The validation will state whether
GRANTS.GOV found any issues with the submitted application. As an
additional notification, FTA's system will notify the applicant if
there are any problems with the submitted Supplemental FTA Form. If
making a resubmission for any reason, include all original attachments
regardless of which attachments were updated. Complete instructions on
the application process can be found at http://www.fta.dot.gov/bus.
Important: FTA urges applicants to submit their applications at least
72 hours prior to the due date to allow time to receive the validation
message and to correct any problems that may have caused a rejection
notification.
D. Funding Restrictions
Only proposals from eligible recipients for eligible activities
will be considered for funding. Due to funding limitations, applicants
that are selected for funding may receive less than the amount
originally requested.
E. Other Submission Requirements
Applicants should submit three copies of any supplemental
information that cannot be submitted electronically to the appropriate
regional office. Supplemental information submitted in hardcopy must be
postmarked by July 29, 2011.
5. Application Review, Selection, and Notification
A. Project Evaluation Criteria
Projects will be evaluated according to the following criteria.
Each applicant is encouraged to demonstrate the responsiveness of a
project to any and all of the selection criteria with the most relevant
information that the applicant can provide, regardless of whether such
information has been specifically requested, or identified, in this
notice. FTA will assess the extent to which a project addresses the
criteria below and produces a livability or sustainability outcome.
a. Demonstrated Need for Resources: FTA will evaluate each project
to determine its need for resources. This determination will be made by
examining the proposal to determine if:
i. The project represents a one-time or periodic need that cannot
reasonably be funded from FTA program formula allocations or State and/
or local revenues.
ii. The project or applicant did not receive sufficient Federal
funding in previous years.
iii. The project will have a significant impact on service
delivery.
b. Planning and Prioritization at Local/Regional Level: FTA will
examine each Bus Livability project proposal for consistency with the
areas planning documents and local priorities. This examination will
involve assessing whether:
a. The project is consistent with the transit priorities identified
in the long-range plan and/or contingency/illustrative projects.
b. The MPO endorses the project, if in a UZA, and the State, if for
a rural area.
c. Local support is demonstrated by availability of local match for
this and/or related projects and letters of support.
d. Capital projects are consistent with service needs of the area.
i. Example: Vehicle expansion proposal shows evidence of the need
for additional capacity.
e. If the project is multimodal in nature, the proposal
demonstrates coordination with and support of other transportation
modes and partners.
c. Linkage to Livability Principles: Livability investments are
projects that deliver not only transportation benefits, but also are
designed and planned in such a way that they have a positive impact on
qualitative measures of community life. This element delivers benefits
that are inherently difficult to measure. However, it is implicit to
livability that its benefits are shared and therefore magnified by the
number of potential users in the affected community. Therefore,
descriptions of how projects enhance livability should include a
description of the affected community and the scale of the project's
impact. To determine whether a project improves the quality of the
living and working environment of a community, FTA will qualitatively
assess whether the project:
i. Will significantly enhance user mobility through the creation of
more convenient transportation options for travelers;
ii. The degree to which the proposed project contributes
significantly to broader traveler mobility through intermodal
connections, or improved connections between residential and commercial
areas.

[[Page 37397]]

iii. Will improve existing transportation choices by enhancing
points of modal connectivity or, in urban areas, by reducing congestion
on existing transit systems or roadways.
iv. Will improve accessibility and transport services for
economically disadvantaged populations, non-drivers, senior citizens,
and persons with disabilities.
v. Is the result of a planning process which coordinated
transportation and land-use planning decisions and encouraged community
participation in the process.

Note: Special consideration may be given to those applicants
who serve a community that holds FY 2010 HUD Preferred
Sustainability Status. A list of these communities can be found via
http://www.hud.gov/sustainability.

d. Linkage to Environmental Sustainability: In order to determine
whether a project promotes a more environmentally sustainable
transportation system, i.e., reducing reliance on automobile travel,
improving the pedestrian and walk environment of a community, use of
environmental design techniques in the planning, construction, and
operation of the project, FTA will assess the project's ability to:
i. Improve energy efficiency or reduce energy consumption/green
house gas emissions; applicants are encouraged to provide information
regarding the expected use of clean or alternative sources of energy;
projects that demonstrate a projected decrease in the movement of
people by less energy-efficient vehicles or systems will be given
priority under this factor; and
ii. Maintain, protect or enhance the environment, as evidenced by
environmentally friendly policies and practices utilized in the project
design, construction, and operation that exceed the requirements of the
National Environmental Policy Act including items such as whether the
project uses a Leadership in Energy and Environmental Design (LEED)-
certified design, the vehicles or facilities are rated with the energy-
star, the project re-uses a brownfield, construction equipment is
retrofitted with catalytic converters, the project utilizes recycled
materials, the project includes elements to conserve energy, such as
passive solar heating, solar panels, wind turbines, reflective roofing
or paving materials, or other advanced environmental design elements
such as a green roof, etc.
e. Leveraging of public and private investments.
i. Jurisdictional and Stakeholder Collaboration: To measure a
project's alignment with this criterion, FTA will assess the project's
involvement of non-Federal entities and the use of non-Federal funds,
including the scope of involvement and share of total funding. FTA will
give priority to projects that receive financial commitments from, or
otherwise involve, State and local governments, other public entities,
or private or nonprofit entities, including projects that engage
parties that are not traditionally involved in transportation projects,
such as nonprofit community groups or the private owners of real
property abutting the project. FTA will assess the amount of co-
investment from State, local or other non-profit sources.
ii. Disciplinary Integration: To demonstrate the value of
partnerships across government agencies that serve the various public
service missions and to promote collaboration of the objectives
outlined in this notice, FTA will give priority to projects that are
supported, financially or otherwise, by non-transportation public
agencies that are pursuing similar objectives. Special consideration
will be given to those projects that leverage or provide services that
support projects funded under the DOT-HUD-EPA Partnership for
Sustainable Communities. For example, FTA will give priority to
transportation projects that are supported by relevant public housing
or human service agencies, or transportation projects that encourage
energy efficiency or improve the environment and are supported by
relevant public agencies with energy or environmental missions.
f. The project is ready to implement.
i. Any required environmental work has been initiated for
construction projects requiring an Environmental Assessment (EA),
Environmental Impact Statement (EIS), or documented Categorical
Exclusion (CE).
ii. Implementation plans are ready, including initial design of
facilities projects.
iii. TIP/STIP can be amended (evidenced by MPO/State endorsement).
iv. Local share of funding is in place.
v. Project can be obligated and implemented quickly if selected.
vi. The applicant demonstrates the ability to carry out the
proposed project successfully.

Note: Applicants must have basic technical, legal, and
financial capacity as a precondition of grant award. Since proposals
are limited to existing FTA grantees, applicants are assumed to have
that basic capacity. This criterion refers to implementation of the
particular project proposed.
a. For larger capital projects, the applicant has the technical
capacity to administer the project.
b. For fleet replacement and/or expansion, the acquisition is
consistent with the bus fleet management plan.
c. For fleet expansion, the applicant has the operating funds to
support the expanded service.
d. There are no outstanding legal, technical or financial issues
with the grantee that would bring the feasibility of successful
project completion into question.
e. Source of 20% local match is identified and is available for
prompt project implementation if selected (no deferred local share
will be allowed)
f. The grantee is in fundable status for grant-making purposes.

B. Review and Selection Process
Proposals will first be screened and ranked by appropriate FTA
staff, in consultation with representatives from HUD and EPA. The FTA
Administrator will determine the final selection and amount of funding
for each project. Selected projects will be announced in late 2011. FTA
will publish the list of all selected projects and funding levels in
the Federal Register. Regional offices will also notify successful
applicants of their success and the amount of funding awarded to the
project.
6. Award Administration
A. Award Notices
FTA will announce project selections in a Federal Register notice
and will post the Federal Register Notices on its Web site. FTA
regional offices will contact successful applicants. FTA will award
grants for the selected projects to the applicant through the FTA
electronic grants management and award system, TEAM, after receipt of a
complete application in TEAM. These grants will be administered and
managed by the FTA regional offices in accordance with the Federal
requirements of the Section 5309 bus program. At the time the project
selections are announced, FTA will extend pre-award authority for the
selected projects. There is no pre-award authority for these projects
prior to announcement.
B. Administrative and National Policy Requirements
1. Grant Requirements
If selected, applicants will apply for a grant through TEAM and
adhere to the customary FTA grant requirements of the Section 5309 Bus
and Bus Facilities program, including those of FTA C 9300.1A Circular
and C 5010.1C and S. 5333(b) labor protections. Technical assistance
regarding these requirements is available from each FTA regional
office.

[[Page 37398]]

2. Planning
Applicants are encouraged to notify the appropriate State
Departments of Transportation and MPO in areas likely to be served by
the project funds made available under this program. Incorporation of
funded projects in the long-range plans and transportation improvement
programs of States and metropolitan areas is required of all funded
projects.
3. Standard Assurances
The Applicant assures that it will comply with all applicable
Federal statutes, regulations, executive orders, FTA circulars, and
other Federal administrative requirements in carrying out any project
supported by the FTA grant. The Applicant acknowledges that it is under
a continuing obligation to comply with the terms and conditions of the
grant agreement issued for its project with FTA. The Applicant
understands that Federal laws, regulations, policies, and
administrative practices might be modified from time to time and affect
the implementation of the project. The Applicant agrees that the most
recent Federal requirements will apply to the project, unless FTA
issues a written determination otherwise. The Applicant must submit the
Certifications and Assurances before receiving a grant if it does not
have current certifications on file.
C. Reporting
Post-award reporting requirements include timely submission of
Financial Status Reports and Milestone reports in TEAM on a quarterly
basis for all projects. Documentation is required for payment. In
addition, grants that include innovative technologies may be required
to report on the performance of these technologies.
7. Agency Contacts
Contact the appropriate FTA Regional Administrator (see Appendix A)
for proposal-specific information and issues. For general program
information, contact Bryce McNitt, (202) 366-2618, e-mail
bryce.mcnitt@dot.gov. A TDD is available at 1-800-877-8339 (TDD/FIRS).

B. Alternatives Analysis Program

1. Description
The purpose of the Alternatives Analysis Program (49 U.S.C. 5339)
is to assist potential sponsors of New Starts and Small Starts projects
in the evaluation of all reasonable modal and multimodal alternatives
and general alignment options to address transportation needs in a
defined travel corridor. FTA has the authority to implement this
program under SAFETEA-LU amendments to 49 U.S.C. 5339. The authorizing
legislation allows for the Secretary of Transportation to make awards
under this program at his discretion. FTA may allocate up to $25.0
million from FY 2010 and 2011 funds. These funds will be allocated for
alternatives analysis activities selected from applications submitted
in response to this notice.
As defined in 49 U.S.C. 5309(1)(a), an alternatives analysis is a
study conducted as part of the transportation planning process which
includes: (1) An assessment of a wide range of public transportation
alternatives designed to address a transportation problem in a corridor
or subarea; (2) [the development of] sufficient information to enable
the Secretary to make the findings of project justification and local
financial commitment required under Section 5309; (3) the selection of
a locally preferred alternative; and (4) the adoption of the locally
preferred alternative as part of the long-range transportation plan
required under section 5303. Further information on conducting an
alternatives analysis, including descriptions of the documents
produced, can be found on FTA's Web site at http://www.fta.dot.gov/planning/newstarts/planning_environment_2396.html.
FTA will award discretionary funding available under Section 5339
to support a limited number of alternatives analyses, or technical work
conducted as part of an on-going alternatives analyses, to develop
information for local decision-makers and for the Secretary regarding
potential New Starts and Small Starts projects. These funds will be
awarded for alternatives analysis activities selected from proposals
submitted in response to this notice. These funds are not available for
systems planning work that leads to the selection of a particular
corridor for alternatives analysis, or for work performed after an
application is made to enter Preliminary Engineering (New Starts) or
Project Development (Small Starts).
2. Award Information
Studies or technical tasks selected for funding will receive up to
80 percent of the study cost. Awards remain available for three fiscal
years, including the fiscal year in which the award is made. FTA will
not approve requests for deferred local share under this program.
To promote collaboration on the development of major transit
capital improvements and to demonstrate the value of partnerships
across government agencies that serve various public service missions,
FTA will give priority to proposals that are supported, financially or
otherwise, by non-transportation public agencies that are pursuing
similar objectives and are aligning their community development
activities to increase the efficiency of Federal investments.
3. Eligibility Information
A. Eligible Applicants
Section 5339 allows FTA to make grants and agreements, under
criteria established by the Secretary, to States, authorities of the
States, metropolitan planning organizations, and local governmental
authorities to conduct alternatives analyses as defined by section
5309(a)(1).
B. Eligible Projects
Alternatives analyses must be documented in the Unified Planning
Work Program (UPWP) of the metropolitan planning organization for the
area. Applicants must commit to begin the alternatives analysis within
12 months of grant approval. FTA will award available discretionary
funding to eligible applicants to conduct an alternatives analysis or
to support additional technical tasks in an alternatives analysis that
will improve and expand the information available to decision-makers
considering major transit improvements. FTA will consider proposals for
all areas of technical work that can better develop information about
the costs and benefits of potential major transit improvements,
including those that might seek New Starts or Small Starts funding. FTA
will give priority to technical work that would advance the study of
alternatives that foster the six livability principles that serve as
the foundation for the DOT-HUD-EPA Partnership for Sustainable
Communities.
4. Application and Submission Information
A. Proposal Submission Process
Complete proposals for the Alternatives Analysis Program must be
submitted electronically through the GRANTS.GOV Web site by July 29,
2011. Applicants are encouraged to begin the process of registration on
the GRANTS.GOV site well in advance of the submission deadline.
Registration is a multi-step process, which may take several weeks to
complete before an application can be submitted. In addition to the
Mandatory SF 424 Form that will be downloaded from GRANTS.GOV, FTA
requires applicants to complete the Supplemental FTA

[[Page 37399]]

Form to enter descriptive and data elements of individual program
proposals for the Alternatives Analysis Program. This supplemental form
provides guidance and a consistent format for applicants to respond to
the criteria outlined in this NOFA and is described in detail on the
FTA Web site at http://www.fta.dot.gov/alternativesanalysis. Applicants
must use this Supplemental Form and attach it to their submission in
GRANTS.GOV to successfully complete the application process. Within 24-
48 hours after submitting an electronic application, the applicant
should receive an e-mail validation message from GRANTS.GOV. The
validation will state whether GRANTS.GOV found any issues with the
submitted application. As an additional notification, FTA's system will
notify the applicant if there are any problems with the submitted
Supplemental FTA Form. If making a resubmission for any reason, include
all original attachments regardless of which attachments were updated.
Important: FTA urges applicants to submit their applications at least
72 hours prior to the due date to allow time to receive the validation
message and to correct any problems that may have caused a rejection
notification. Proposals will not be accepted after the relevant due
date; delayed registration is not an acceptable reason for extensions.
B. Application Content
FTA will only evaluate applications that include the following
components:
A completed Standard Form 424 (SF 424), available through
GRANTS.GOV;
A completed Alternatives Analysis Applicant and Proposal
Profile, available for download via http://www.fta.dot.gov/alternativesanalysis;
A detailed work plan by major task that details the nature
of and technical approaches to the proposed alternatives analysis; and
A detailed budget that includes total cost, cost by major
task, and indication of which items would be funded with Section 5339
funds and which items would be funded by other sources.

The Applicant and Proposal Profile, work plan and budget must be
submitted via GRANTS.GOV as attachments to the SF 424. Applicants may
also attach letters of support, corridor maps and other supporting
materials, but should not submit further narrative. Applicants must
adhere to the Applicant and Proposal Profile's character limits.
Instructions for completing certain fields in Section I of the
Applicant and Proposal Profile are provided below:
Description of Existing Rail Transit Service: If the
proposed alternatives analysis would be for an extension of an existing
rail transit line, provide a brief description of the service provided
and markets along the existing line.
Brief Description of the Alternatives Analysis: Provide a
paragraph about the study stating its goals and providing a brief
description of the work plan. This section should also list all the
partners involved in the study.
Contact Information for Other Parties Involved: If another
organization will be responsible for completing any component of the
work plan, provide a name and contact information for the primary
contact with the partner organization.
C. Technical Assistance
If applicants experience unforeseen GRANTS.GOV technical issues
beyond their control that prevent the submission of their application
by the deadline, the applicant must contact FTA staff at
Kenneth.Cervenka@dot.gov within 24 hours after the deadline and request
approval to submit the application. At that time, FTA staff will
require the applicant to e-mail the complete grant application, their
DUNS number, and provide a GRANTS.GOV Help Desk tracking number(s).
After FTA staff reviews all of the information submitted as well as
contacts the GRANTS.GOV Help Desk to validate the technical issues
reported, FTA staff will contact the applicant to either approve or
deny its request to submit a late application. If the reported
technical issues cannot be validated, the application will be rejected
as untimely. To ensure a fair competition for limited discretionary
funds, the following conditions are not valid reasons to permit late
submissions: (1) Failure to complete the registration process before
the deadline date; (2) failure to follow GRANTS.GOV instructions on how
to register and apply as posted on its Web site; (3) failure to follow
all of the instructions in the funding availability notice; and (4)
technical issues experienced with the applicant's computer or
information technology (IT) environment.
5. Application, Selection and Notification
A. Project Evaluation Criteria
Awards under this notice could range from $50,000 to up to $2
million in Section 5339 funding. Eligible applicants must be able to
begin the alternatives analysis within 12 months of the study being
selected for funding if it is not already underway; the proposed
alternatives analysis must also be documented in the Unified Planning
Work Program of the applicant's MPO. Proposals will be evaluated based
on responses to the following criteria in Section II of the Applicant
and Proposal Profile:
1. Demonstrated Need for Resources. Applicants must demonstrate
need for these funds by identifying a substantial transportation
problem in the study corridor and the degree to which the Alternatives
Analysis technical work will develop information on the full range of
costs and benefits of the major transit capital improvements being
studied, including alternatives that may seek New Starts or Small
Starts funding. To demonstrate need, applicants should provide the
following information:
a. Description of Study Area, Transportation Problems, and Needs.
Applicants should provide a description of the study corridor, a
statement of the transportation problem for which alternative solutions
are to be analyzed and a statement of the need for a public
transportation improvement in the corridor. This information provides
the context for performing the analysis and for identifying the
measures against which alternatives strategies will be evaluated.
b. Description of Conceptual Alternatives. Applicants should
provide a conceptual definition of a broad range of strategies for
improving conditions in the corridor. For each alternative, the
conceptual definition includes the preliminary identification of
candidate general alignments and operating strategies, including
general ideas of overall bus service levels, service standards, and
guideway service options.
c. Preliminary Evaluation Criteria. Applicants should identify the
preliminary evaluation criteria that specify, in part, the desired
outcomes of an improvement, and provide the basis for comparing the
performance of the various alternatives. This should include criteria
which would inform decision-makers how an improvement would advance
each of the six livability outcomes: provide more transportation
choices; promote equitable, affordable housing; enhance economic
competitiveness; support existing communities; coordinate policies and
leverage investment; and value communities and neighborhoods.
Applicants should also outline proposed measures for the livability
outcomes.

[[Page 37400]]

2. Technical Capacity. Applicants must demonstrate the technical
capacity to successfully undertake an analysis of alternatives.
Technical capacity may include previous experience on the applicant's
or partner organizations' part in completing an alternatives analysis
or corridor study. The applicant should also discuss staffing levels,
staff skill sets and other resources that will enable it to carry out
the proposed work successfully.
3. Potential Impact on Decision-Making. Applicants must demonstrate
the potential impact of the proposed tasks on decision-making. FTA will
give priority to project sponsors that are coordinating the development
of transit projects with relevant public housing agencies, or relevant
public agencies with energy or environmental missions.
B. Review and Selection Process
FTA's Office of Planning and Environment staff is available to
discuss and clarify expectations regarding these efforts before
applicants submit proposals. Proposals will be reviewed and ranked
based on the criteria in this notice by FTA headquarters staff in
consultation with the appropriate FTA regional office (see Appendix A).
Highly qualified proposals will be considered for inclusion in a
national list that represents the highest and best use of the available
funding. The FTA Administrator will determine the final selection and
amount of funding for each study. Selected studies will be announced in
Fall 2011. FTA will publish the list of all selected studies and
funding levels in the Federal Register.
6. Award Administration
A. Award Notices
FTA will announce project selections in a Federal Register Notice
and will post the Federal Register Notices on the web. FTA regional
offices will contact successful applicants. FTA will award grants for
the selected projects to the applicant through the FTA electronic
grants management and award system, TEAM, after receipt of a complete
application in TEAM. These grants will be administered and managed by
the FTA regional offices in accordance with the federal requirements of
the Section 5339 Alternatives Analysis Proram. At the time the project
selections are announced, FTA will extend pre-award authority for the
selected projects. There is no pre-award authority for these projects
prior to announcement.
B. Administrative and National Policy Requirements
1. Grant Requirements
If selected, applicants will apply for a grant through TEAM and
adhere to the customary FTA grant requirements of the Section 5339
Alternatives Analysis Program, including those of FTA C 9300.1A
Circular and C 5010.1C and S. 5333(b) labor protections. Technical
assistance regarding these requirements is available from each FTA
regional office.
2. Planning
Applicants are encouraged to notify the appropriate State
Departments of Transportation and MPO in areas likely to be served by
the project funds made available under this program. Incorporation of
funded projects in the long range plans and transportation improvement
programs of States and metropolitan areas is required of all funded
projects.
3. Standard Assurances
The Applicant assures that it will comply with all applicable
Federal statutes, regulations, executive orders, FTA circulars, and
other Federal administrative requirements in carrying out any project
supported by the FTA grant. The Applicant acknowledges that it is under
a continuing obligation to comply with the terms and conditions of the
grant agreement issued for its project with FTA. The Applicant
understands that Federal laws, regulations, policies, and
administrative practices might be modified from time to time and affect
the implementation of the project. The Applicant agrees that the most
recent Federal requirements will apply to the project, unless FTA
issues a written determination otherwise. The Applicant must submit the
Certifications and Assurances before receiving a grant if it does not
have current certifications on file.
C. Reporting
Post-award reporting requirements include submission of Financial
Status Reports and Milestone reports in TEAM on a quarterly basis for
all projects. Documentation is required for payment. In addition,
grants which include innovative technologies may be required to report
on the performance of these technologies.
7. Agency Contacts
For general program information, contact Kenneth Cervenka, Office
of Planning and Environment, (202) 493-0512, e-mail
Kenneth.Cervenka@dot.gov. A TDD is available at 1-800-877-8339 (TDD/
FIRS).

Issued in Washington, DC, this 21st day of June, 2011.
Peter M. Rogoff,
Administrator.

Appendix A

FTA Regional and Metropolitan Offices
------------------------------------------------------------------------

------------------------------------------------------------------------
Mary Beth Mello Robert C. Patrick
Regional Administrator Regional Administrator
Region 1--Boston Region 6--Ft. Worth
Kendall Square 819 Taylor Street, Room 8A36
55 Broadway, Suite 920 Ft. Worth, TX 76102
Cambridge, MA 02142-1093 Tel. 817-978-0550
Tel. 617-494-2055
States served: Connecticut, Maine, States served: Arkansas, Louisiana,
Massachusetts, New Hampshire, Oklahoma, New Mexico and Texas.
Rhode Island, and Vermont.
------------------------------------------------------------------------
Brigid Hynes-Cherin Mokhtee Ahmad
Regional Administrator Regional Administrator
Region 2--New York Region 7--Kansas City, MO
One Bowling Green, Room 429 901 Locust Street, Room 404
New York, NY 10004-1415 Kansas City, MO 64106
Tel. 212-668-2170 Tel. 816-329-3920
States served: New Jersey, New States served: Iowa, Kansas,
York. Missouri, and Nebraska.

[[Page 37401]]

New York Metropolitan Office
Region 2-New York
One Bowling Green, Room 428
New York, NY 10004-1415
Tel. 212-668-2202
------------------------------------------------------------------------
Letitia Thompson Terry Rosapep
Regional Administrator Regional Administrator
Region 3--Philadelphia Region 8--Denver
1760 Market Street, Suite 500 12300 West Dakota Ave., Suite 310
Philadelphia, PA 19103-4124 Lakewood, CO 80228-2583
Tel. 215-656-7100 Tel. 720-963-3300
States served: Delaware, Maryland, States served: Colorado, Montana,
Pennsylvania, Virginia, West North Dakota, South Dakota, Utah,
Virginia, and District of and Wyoming.
Columbia.
Philadelphia Metropolitan Office
Region 3--Philadelphia
1760 Market Street, Suite 500
Philadelphia, PA 19103-4124
Tel. 215-656-7070
Washington, D.C. Metropolitan
Office
1990 K Street, NW
Room 510
Washington, DC 20006
Tel. 202-219-3562
------------------------------------------------------------------------
Yvette Taylor Leslie T. Rogers
Regional Administrator Regional Administrator
Region 4--Atlanta Region 9--San Francisco
230 Peachtree Street, NW Suite 800 201 Mission Street, Room 1650
Atlanta, GA 30303 San Francisco, CA 94105-1926
Tel. 404-865-5600 Tel. 415-744-3133
States served: Alabama, Florida, States served: American Samoa,
Georgia, Kentucky, Mississippi, Arizona, California, Guam, Hawaii,
North Carolina, Puerto Rico, South Nevada, and the Northern Mariana
Carolina, Tennessee, and Virgin Islands.
Islands.
Los Angeles Metropolitan Office
Region 9--Los Angeles
888 S. Figueroa Street, Suite 1850
Los Angeles, CA 90017-1850
Tel. 213-202-3952
------------------------------------------------------------------------
Marisol Simon Rick Krochalis
Regional Administrator Regional Administrator
Region 5--Chicago Region 10--Seattle
200 West Adams Street, Suite 320 Jackson Federal Building
Chicago, IL 60606 915 Second Avenue, Suite 3142
Tel. 312-353-2789 Seattle, WA 98174-1002
Tel. 206-220-7954
States served: Illinois, Indiana, States served: Alaska, Idaho,
Michigan, Minnesota, Ohio, and Oregon, and Washington.
Wisconsin.
Chicago Metropolitan Office
Region 5-Chicago
200 West Adams Street, Suite 320
Chicago, IL 60606
Tel. 312-353-2789
------------------------------------------------------------------------

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[FR Doc. 2011-16015 Filed 6-22-11; 4:15 pm]
BILLING CODE 4910-57-P