FTA Circular 9045.1 ?NEW FREEDOM PROGRAM GUIDANCE AND APPLICATION INSTRUCTIONS?

CIRCULAR
U.S. Department
of Transportation

FTA C 9045.1

Federal Transit
Administration

May 1, 2007
Subject:

NEW FREEDOM PROGRAM GUIDANCE AND APPLICATION
INSTRUCTIONS

1. PURPOSE. This Circular issues new guidance on the administration of the New Freedom
Program under 49 U.S.C. 5317, and guidance for the preparation of grant applications.
2. CANCELLATION. This is a new circular. It does not cancel any existing directive.
3. AUTHORITY.
a. Federal Transit Laws, Title 49, United States Code, Chapter 53.
b. 49 CFR 1.51.
4. WAIVER. FTA reserves the right to waive any requirements of this circular to the extent
permitted by law.
5. FEDERAL REGISTER NOTICE. In conjunction with publication of this circular, a
Federal Register notice was published on March 29, 2007 (72 FR 14851), addressing
comments received during the development of the circular.
6. AMENDMENTS TO THE CIRCULAR. The Federal Transit Administration (FTA)
reserves the right to amend this circular to update references to requirements contained in
other revised or new guidance and regulations that undergo notice and comment
procedures, without further notice and comment on this circular.
7. ACCESSIBLE FORMATS. This document is available in accessible format upon request.
Paper copies of this circular as well as information regarding accessible formats may be
obtained by calling FTA’s Administrative Services Help Desk, at 202–366–4865.

/S/ Original Signed by_______
James S. Simpson
Administrator

Distribution:

FTA Headquarters Offices (T-W-2)
FTA Regional Offices (T-X-2)

OPI:

Office of Program
Management

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NEW FREEDOM PROGRAM CIRCULAR
TABLE OF CONTENTS
CHAPTER

PAGE

I.

INTRODUCTION AND BACKGROUND ........................................ I–1
1. The Federal Transit Administration (FTA) .................................... I–1
2. Authorizing Legislation .................................................................. I–1
3. How to Contact FTA ...................................................................... I–1
4. Grants.gov....................................................................................... I–2
5. Definitions....................................................................................... I–2
6. Program History.............................................................................. I–4

II.

PROGRAM OVERVIEW .................................................................... II–1
1. Statutory Authority ......................................................................... II–1
2. Program Goal .................................................................................. II–1
3. New Freedom Program Measures ................................................... II–1
4. Recipient Role in Program Administration ..................................... II–2
5. FTA Role in Program Administration ............................................ II–3
6. Relationship to Other FTA Programs ............................................. II–4
7. Coordination with Other Federal Programs .................................... II–4

III.

GENERAL PROGRAM INFORMATION .......................................... III–1
1. Recipient Designation ..................................................................... III–1
2. Designation of Multiple Recipients in Urbanized Areas ................ III–1
3. Role of the Designated Recipient .................................................... III–2
4. Eligible Direct Recipients ................................................................ III–3
5. Eligible Subrecipients ..................................................................... III–4
6. Apportionment of New Freedom Funds .......................................... III–4
7. Funds Availability............................................................................ III–5
8. Transfer of Funds............................................................................. III–5
9. Consolidation of Grants to Insular Areas......................................... III–6
10. Recipient Administrative Expenses ................................................. III–7
11. Eligible Activities ............................................................................ III–7
12. Federal/Local Matching Requirements............................................ III–11
13. Labor Protections ............................................................................. III-12

IV.

PROGRAM DEVELOPMENT ............................................................. IV–1
1. Coordination Requirements ............................................................. IV–1
2. Planning Requirements .................................................................... IV–1
3. Competitive Selection Process......................................................... IV–1
4. Relationship Between Planning and Competitive Selection ........... IV–5
5. Fair and Equitable Distribution of Funds......................................... IV–6
6. Program of Projects (POP)............................................................... IV–6

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CHAPTER

PAGE

7. Categories of Approval .................................................................... IV–7
8. Approval .......................................................................................... IV–7
9. Revisions to Program of Projects..................................................... IV–8
10. Certification and Assurances ........................................................... IV–8
11. Costs Incurred Before Grant Approval ............................................ IV–9
V.

COORDINATED PLANNING ............................................................. V–1
1. The Coordinated Public Transit-Human
Services Transportation Plan ........................................................... V–1
2. Development of the Coordinated Public Transit-Human
Services Transportation Plan ........................................................... V–1
3. Participation in the Coordinated Public Transit-Human
Services Transportation Planning Process ....................................... V–4
4. Relationship to Other Transportation Planning Processes............... V–8

VI.

PROGRAM MANAGEMENT AND ADMINISTRATIVE
REQUIREMENTS................................................................................. VI–1
1. General............................................................................................. VI–1
2. Program Administrative Requirements............................................ VI–1
3. Capital Reserve Accounts ................................................................ VI–2
4. Equipment Management .................................................................. VI–2
5. Vehicle Use...................................................................................... VI–3
6. Title to Vehicles............................................................................... VI–4
7. Satisfactory Continuing Control and Responsibility ....................... VI–4
8. Procurement ..................................................................................... VI–4
9. Debarment and Suspension ............................................................. VI–7
10. Financial Management..................................................................... VI–8
11. Allowable Costs ............................................................................... VI–11
12. Closeout ........................................................................................... VI–11
13. Audit ................................................................................................ VI–11
14. Real Property ................................................................................... VI–12
15. Construction Management and Oversight ....................................... VI–12
16. Reporting Requirements .................................................................. VI–12
17. Management Plan............................................................................. VI–13
18. Management Review ....................................................................... VI–14
19. Other FTA Reviews ......................................................................... VI–14

VII.

STATE AND PROGRAM MANAGEMENT PLANS ......................... VII–1
1. General ............................................................................................ VII–1
2. Purpose............................................................................................. VII–1
3. Management Plan Reviews.............................................................. VII–1
4. Management Plan Content............................................................... VII–2
5. Management Plan Revisions............................................................ VII–4

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CHAPTER
VIII.

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PAGE

OTHER PROVISIONS.......................................................................... VIII–1
1. Introduction...................................................................................... VIII–1
2. Procurement Restrictions ................................................................. VIII–1
3. Public Hearing Requirements .......................................................... VIII–2
4. Environmental Protections............................................................... VIII–3
4. Clean Air Act ................................................................................... VIII–5
6. Private Sector Participation.............................................................. VIII–5
7. Real Property Acquisition and Relocation Assistance..................... VIII–5
8. Pre-Award and Post-Delivery Reviews ........................................... VIII–6
9. Labor Protections ............................................................................. VIII–7
10. Civil Rights ...................................................................................... VIII–7
11. Drug and Alcohol Testing................................................................ VIII–10
12. Drug Free Workplace....................................................................... VIII–11
13. Restrictions on Lobbying................................................................. VIII–12
14. Pre-Award Authority ....................................................................... VIII–12
15. Safety and Security .......................................................................... VIII–14
16. Lease Versus Buy Considerations ................................................... VIII–14
17. School Transportation...................................................................... VIII–15
18. Commercial Driver’s License .......................................................... VIII–15

APPENDIX
A.

INSTRUCTIONS FOR PREPARING A GRANT
APPLICATION TO FTA ...................................................................... A–1
1. Pre-Application Stage ...................................................................... A–1
2. Application Stage (TEAM Information).......................................... A–2
3. New Freedom Application Checklist............................................... A–5
4. ECHO-Web Information.................................................................. A–6

B.

SAMPLE NEW FREEDOM (SECTION 5317)
PROGRAM OF PROJECTS ................................................................. B–1

C.

NEW FREEDOM (SECTION 5317)
BUDGET INFORMATION .................................................................. C–1

D.

SAMPLE APPROVED BUDGET ........................................................ D–1

E.

FTA REGIONAL AND METROPOLITAN CONTACT
INFORMATION.................................................................................... E–1

F.

TECHNICAL ASSISTANCE IN HUMAN SERVICE
TRANSPORTATION............................................................................ F–1

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CHAPTER

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G.

RELATIONSHIP BETWEEN COORDINATED PLANNING AND
METROPOLITAN AND STATEWIDE PLANNING (TABLE)......... G–1

H.

REFERENCES ..................................................................................... H-1

INDEX

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CHAPTER I
INTRODUCTION AND BACKGROUND
1. THE FEDERAL TRANSIT ADMINISTRATION (FTA). FTA is one of ten operating
administrations within the U.S. Department of Transportation (DOT). Headed by an
Administrator who is appointed by the President of the United States, FTA functions
through a Washington, DC, headquarters office, ten regional offices, and five metropolitan
offices that assist transit agencies in all 50 States, the District of Columbia, Puerto Rico, the
U.S. Virgin Islands, Guam, Northern Mariana Islands, and American Samoa.
Public transportation includes buses, subways, light rail, commuter rail, monorail,
passenger ferry boats, trolleys, inclined railways, people movers, and vans. Public
transportation can be either fixed-route or demand-response service.
The Federal government, through FTA, provides financial assistance to develop new transit
systems and improve, maintain, and operate existing systems. FTA oversees thousands of
grants to hundreds of State and local transit providers, primarily through its ten regional
offices. These grant recipients are responsible for managing their programs in accordance
with Federal requirements, and FTA is responsible for ensuring that grantees follow
Federal statutory and administrative requirements.
2. AUTHORIZING LEGISLATION. The Safe, Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for Users, (SAFETEA–LU) (Pub. L. 109–059),
enacted on August 10, 2005, and codified in 49 U.S.C. Chapter 53, provides $286.4 billion
in guaranteed funding for Federal surface transportation programs over six years through
FY 2009, including $52.6 billion for Federal transit programs—a 46 percent increase over
transit funding guaranteed in the previous authorization Transportation Equity Act for the
21st Century (TEA–21).
3. HOW TO CONTACT FTA. FTA’s regional and metropolitan offices are responsible for
the provision of financial assistance to FTA grantees and oversight of grant implementation
for most FTA programs. Certain specific programs are the responsibility of FTA
headquarters. Inquiries should be directed to either the regional or metropolitan office
responsible for the geographic area in which you are located. See Appendix E for
additional information.
Visit the FTA website, http://www.fta.dot.gov, or contact FTA Headquarters at the
following address and phone number:
Federal Transit Administration
Office of Communication and Congressional Affairs
400 Seventh Street SW
Washington, DC 20590
Phone: 202–366–4043
Fax: 202–366–3472

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4. GRANTS.GOV. FTA posts all competitive grant opportunities on Grants.gov. Grants.gov
is the one website for information on all discretionary Federal grant opportunities. Led by
the U.S. Department of Health and Human Services (DHHS) and in partnership with
Federal grant-makers including 26 agencies, 11 commissions and several States,
Grants.gov is one of 24 Federal cross-agency E-government initiatives. It is designed to
improve access to government services via the internet. More information about
Grants.gov is available at http://www.grants.gov.
5. DEFINITIONS. All definitions in 49 U.S.C. 5302(a) apply to this circular, as well as the
following definitions:
a. Accessible Taxi: An accessible taxi is a vehicle that is used by a private provider of ondemand transportation service to the public that is regulated and licensed for such use
by the municipality, county or other government entity. An accessible taxi is one
which has the capacity to accommodate a passenger who uses a “common wheelchair”
as defined under 49 CFR 37.3, at a minimum, while remaining in his/her personal
mobility device inside the vehicle, and meets the same requirements for lifts, ramps and
securement systems specified in 49 CFR part 38, subpart B.
b. Americans with Disabilities Act (ADA): Public Law 336 of the 101st Congress,
enacted July 26, 1990 (42 U.S.C. 12101 et seq.). The ADA prohibits discrimination
and ensures equal opportunity for persons with disabilities in employment, State and
local government services, public accommodations, commercial facilities, and
transportation.
c. Chief Executive Officer of a State: The Governor of any of the 50 States or Puerto
Rico, the Northern Mariana Islands, Guam, American Samoa, and Virgin Islands, the
Mayor of the District of Columbia, or his/her designee.
d. Competitive Selection Process: A process to choose which projects will be funded.
The process is conducted by the designated recipient of FTA funds in cooperation with
the appropriate metropolitan planning organization (MPO) in urbanized areas over
200,000 in population or the State in areas under 200,000 in population. The projects
selected must be derived from a Locally Developed, Coordinated Public Transit-Human
Services Transportation Plan.
e. Coordinated Plan: See “Locally Developed Coordinated Public Transit-Human
Services Transportation Plan.”
f. Demand Responsive System: Any non-fixed route system of transporting individuals
that requires advanced scheduling including services provided by public entities, nonprofits, and private providers. An advance request for service is a key characteristic of
demand responsive service.
g. Designated Recipient: See “Recipient.”

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h. Elderly Individuals: Includes, at a minimum, all persons 65 years of age or older.
Grantees are permitted to use a definition that extends eligibility for service to younger
(e.g., 62 and older, 60 and over) persons.
i. Elderly Individuals and Individuals with Disabilities Program (Section 5310): FTA
formula program for public transportation capital projects planned, designed, and
carried out to meet the special needs of elderly individuals and individuals with
disabilities. 49 U.S.C. 5310.
j. Fixed Route System: Public transportation service provided in vehicles operated along
pre-determined routes according to a fixed schedule.
k. Human Service Transportation: Transportation services provided by or on behalf of a
human service agency to provide access to agency services and/or to meet the basic,
day-to-day mobility needs of transportation-disadvantaged populations, especially
individuals with disabilities, older adults, and people with low incomes.
l. Individual With a Disability: An individual who, because of illness, injury, age,
congenital malfunction, or other incapacity or temporary or permanent disability
(including an individual who is a wheelchair user or has semi-ambulatory capability),
cannot use effectively, without special facilities, planning, or design, public
transportation service or a public transportation facility. 49 U.S.C. 5302(a)(5).
m. Job Access and Reverse Commute Program (JARC): FTA formula grant program for
projects relating to the development and maintenance of transportation services
designed to transport welfare recipients and eligible low-income individuals to and
from jobs and activities related to their employment, and for public transportation
projects designed to transport residents of urbanized areas and nonurbanized areas to
suburban employment opportunities. 49 U.S.C. 5316.
n. Locally Developed, Coordinated Public Transit-Human Services Transportation Plan:
A plan that identifies the transportation needs of individuals with disabilities, older
adults, and people with low incomes, provides strategies for meeting those local needs,
and prioritizes transportation services for funding and implementation.
o. Mobility Management: Consists of short-range planning and management activities
and projects for improving coordination among public transportation and other
transportation service providers carried out by a recipient or subrecipient through an
agreement entered into with a person, including a government entity, under 49 U.S.C.
Chapter 53 (other than Section 5309). Mobility management does not include
operating public transportation services.
p. Non-profit Organization: A corporation or association determined by the Secretary of
the Treasury to be an organization described by 26 U.S.C. 501(c) which is exempt from
taxation under 26 U.S.C. 501(a) or one which has been determined under State law to

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be non-profit and for which the designated State agency has received documentation
certifying the status of the non-profit organization.
q. Older Adults: See “Elderly Individuals.”
r. Other than Urbanized (Nonurbanized) Area: Any area outside of an urbanized area.
The term “nonurbanized area” includes rural areas and urban areas under 50,000 in
population not included in an urbanized area.
s. Paratransit: Comparable transportation service required by the ADA for individuals
with disabilities who are unable to use fixed route transportation systems.
t. Program of Projects: A list of projects to be funded in a grant application submitted to
FTA by a designated recipient. The program of projects (POP) lists the subrecipients
and indicates whether they are private non-profit agencies, governmental authorities, or
private providers of transportation service, designates the areas served (including rural
areas), and identifies any tribal entities. In addition, the program of projects includes a
brief description of the projects, total project cost and Federal share for each project,
and the amount of funds used for program administration from the 10 percent allowed.
u. Recipient: In large urbanized areas over 200,000 in population, an entity designated, in
accordance with the planning process under 49 U.S.C. 5303, 5304, and 5306, by the
chief executive officer of a State, responsible local officials, and publicly owned
operators of public transportation, to receive and apportion amounts under the New
Freedom Program that is attributable to a transportation management area. In
nonurbanized areas or small urban areas under 200,000 in population, the designated
recipient is the State agency designated by the chief executive officer of a State to
receive and apportion amounts under New Freedom that are attributable to the State for
small urbanized and nonurbanized areas.
v. Subrecipient: Refers to a State or local governmental authority, non-profit
organization, or operator of public transportation services that receives a grant under
the New Freedom Program indirectly through a recipient.
w. Urbanized Area: An area encompassing a population of not less than 50,000 people
that has been defined and designated in the most recent decennial census as an
“urbanized area” by the Secretary of Commerce. Small urbanized areas as used in the
context of FTA formula grant programs are urbanized areas with a population of at
least 50,000 but less than 200,000.
6. PROGRAM HISTORY. The New Freedom Program is a new program authorized in
SAFETEA–LU to support new public transportation services and public transportation
alternatives beyond those required by the ADA of 1990 (42 U.S.C. 12101 et. seq.). This
program is codified at 49 U.S.C. 5317.

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The New Freedom Program grew out of the New Freedom Initiative introduced by the
Administration under Executive Order 13217, “Community-Based Alternatives for
Individuals with Disabilities,” on June 18, 2001. The Order states: “The United States is
committed to community-based alternatives for individuals with disabilities and recognizes
that such services advance the best interests of the United States” and calls upon the
Federal government to assist States and localities to swiftly implement the decision of the
United States Supreme Court in Olmstead v. L.C.
Executive Order 13217 directed six Federal agencies, including the Departments of Justice,
Health and Human Services, Education, Labor, Housing and Urban Development and the
Social Security Administration to “evaluate the policies, programs, statutes and regulations
of their respective agencies to determine whether any should be revised or modified to
improve the availability of community-based services for qualified individuals with
disabilities.” The Departments of Transportation and Veterans Affairs, the Small Business
Administration, and the Office of Personnel Management, though not named in the
Executive Order, also joined in the implementation effort. Together, these agencies formed
the Interagency Council on Community Living under the leadership of the DHHS.
Individuals who are transportation-disadvantaged face different challenges in accessing
services depending on whether they live in urban, rural, or suburban areas. The geographic
dispersion of transportation-disadvantaged populations also creates challenges for human
service programs hoping to deliver transportation for their passengers.
Over the years, in response to these challenges, Federal, State and local governments, and
community-based organizations created specialized programs to meet particular
transportation needs. At the Federal level alone, there are at least 62 separate programs,
administered by eight Federal departments, and even more agencies, that provide special
transportation services to individuals with disabilities, older adults, and people with low
incomes. Most of these are human service programs that fund limited transportation
services to provide eligible participants with access to particular services, such as job
training, health care, senior centers, or rehabilitation programs.
The President has included funds for the New Freedom Program in the annual budget
request to Congress since FY 2003; however, it was not until the enactment of SAFETEA–
LU that funding was authorized by Congress. Funding was first appropriated for the
transportation provision in FY 2006. The New Freedom Program is intended to fill the
gaps between human service and public transportation services previously available and to
facilitate the integration of individuals with disabilities into the workforce and full
participation in the community.

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CHAPTER II
PROGRAM OVERVIEW
1. STATUTORY AUTHORITY. The New Freedom Program is authorized under the
provisions set forth in the Safe, Accountable, Flexible, Efficient Transportation Equity Act:
A Legacy for Users, (SAFETEA–LU), enacted on August 10, 2005, as codified at 49
U.S.C. 5317. The Secretary may make grants to recipients for new public transportation
services and public transportation alternatives beyond those required by the Americans
with Disabilities Act of 1990 (ADA) (42 U.S.C. 12101 et seq.), that assist individuals with
disabilities with transportation, including transportation to and from jobs and employment
support services.
In accordance with 49 U.S.C. 5317(c), New Freedom funds shall be apportioned as
follows:
a. 60 percent of the funds shall be apportioned among designated recipients (as defined in
section 5307(a)(2)) for urbanized areas with a population of 200,000 or more in the
ratio that the number of individuals with disabilities in each such urbanized area bears
to the number of individuals with disabilities in all such urbanized areas;
b. 20 percent of the funds shall be apportioned among the States in the ratio that the
number of individuals with disabilities in urbanized areas with a population of less than
200,000 in each State bears to the number of individuals with disabilities in urbanized
areas with a population of less than 200,000 in all States; and
c. 20 percent of the funds shall be apportioned among the States in the ratio that the
number of individuals with disabilities in other than urbanized areas in each State bears
to the number of individuals with disabilities in other than urbanized areas in all States.
The Catalog of Federal Domestic Assistance (CFDA) number for the New Freedom
Program is 20.521.
2. PROGRAM GOAL. The New Freedom formula grant program aims to provide additional
tools to overcome existing barriers facing Americans with disabilities seeking integration
into the work force and full participation in society. Lack of adequate transportation is a
primary barrier to work for individuals with disabilities. The 2000 Census showed that
only 60 percent of people between the ages of 16 and 64 with disabilities are employed.
The New Freedom formula grant program seeks to reduce barriers to transportation
services and expand the transportation mobility options available to people with disabilities
beyond the requirements of the ADA of 1990.
3. NEW FREEDOM PROGRAM MEASURES. Under the Government Performance Results
Act (GPRA), The Federal Transit Administration (FTA) is required by law to “establish
performance goals to define the level of performance” and to also “establish performance
indicators to be used in measuring relevant outputs, service levels, and outcomes” for each

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of its programs. The performance measures described here are designed to fulfill FTA’s
obligations under this Act. These measures will be used at a program level, and will not be
used by FTA to assess individual grants.
FTA will be capturing overall program measures to be used with the GPRA and the
Performance Assessment Rating Tool process for the U.S. Office of Management and
Budget (OMB). FTA will conduct independent evaluations of the program focused on
specific data elements in order to better understand the implementation strategies and
related outcomes associated with the program. The following indicators are targeted to
capture overarching program information as part of the Annual Report that each grantee
submits to FTA. Specific reporting requirements for recipients can be found in Chapter 6.
The three measures established for the New Freedom Program are:
a. Increases or enhancements related to geographic coverage, service quality and/or
service times that impact availability of transportation services for individuals with
disabilities as a result of the New Freedom projects implemented in the current
reporting year.
b. Additions or changes to environmental infrastructure (e.g., transportation facilities, side
walks, etc), technology, and vehicles that impact availability of transportation services
as a result of the New Freedom projects implemented in the current reporting year.
c. Actual or estimated number of rides (as measured by one-way trips) provided for
individuals with disabilities as a result of the New Freedom projects implemented in the
current reporting year.
4. RECIPIENT ROLE IN PROGRAM ADMINISTRATION. The State agency designated by
the chief executive officer of a State has the principal authority and responsibility for
administering the New Freedom Program in urbanized areas under 200,000 in population
and nonurbanized areas. The designated recipient of New Freedom funds in urbanized
areas over 200,000 in population has the principal authority and responsibility for
administering the New Freedom Program.
The recipient’s responsibilities include:
a. notifying eligible local entities of funding availability;
b. developing project selection criteria;
c. determining applicant eligibility;
d. conducting the competitive selection process (see Chapter IV);
e. forwarding an annual program of projects (POP) and grant application to FTA;
f. ensuring that all subrecipients comply with Federal requirements;

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g. documenting the State’s or designated recipient’s procedures in a State Management
Plan or a Program Management Plan as appropriate (see Chapter VII);
h. certifying that allocations of grants to subrecipients are distributed on a fair and
equitable basis; and
i. certifying that all projects are derived from a locally developed, coordinated public
transit-human services transportation plan developed through a process that consists of
representatives of public, private, and non-profit transportation and human services
providers with participation by the public.
5. FTA ROLE IN PROGRAM ADMINISTRATION.
a. FTA headquarters in Washington, DC, serves a broad, program level role in the
administration of the program. FTA headquarters:
(1) provides overall policy and program guidance for the New Freedom Program;
(2) apportions funds annually to the States and designated recipients;
(3) develops and implements financial management procedures;
(4) initiates and manages program support activities; and
(5) conducts national program reviews and evaluations.
b. FTA regional offices are responsible for the day-to-day administration of the program.
Regional offices:
(1) review and approve grant applications;
(2) obligate funds;
(3) work with designated recipients to implement the annual program;
(4) provide technical assistance;
(5) receive designated recipient’s certifications and amendments to the program of
projects;
(6) monitor and close grants;
(7) review and approve State Management Plans (SMPs) and Program Management
Plans (PMPs); and
(8) conduct triennial reviews and management reviews every three years or as
circumstances warrant, and other reviews as necessary.

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6. RELATIONSHIP TO OTHER FTA PROGRAMS.
a. Section 5307 and Section 5311, the Urbanized Area and Nonurbanized Area Formula
Programs. The Section 5307 program makes funds available to designated recipients to
assist in the development, improvement and use of public transportation systems in
urbanized areas. The Section 5311 program makes Federal funds available to the States
to assist in the development, improvement and use of public transportation systems in
nonurbanized areas. While the overall objectives of the Section 5307, Section 5311,
and New Freedom Programs differ (that is, Sections 5307 and 5311 are to provide
transportation to the general public in urbanized and nonurbanized areas and the
objective of the New Freedom Program is to provide new public transportation and
public transportation alternatives beyond those required by the ADA for individuals
with disabilities in both rural and urbanized areas), there are parallels which make it
desirable for recipients to consider all resources and plan for their use in a
complementary way. Local transit providers are expected to participate in the
development of a coordinated public transit-human service transportation plan.
Under Section 5311, the Rural Transportation Assistance Program (RTAP) provides for
technical assistance, training, and related support services in nonurbanized areas. New
Freedom providers may participate in RTAP sponsored activities, at the State’s
discretion, as long as the activities are primarily designed and delivered to benefit
nonurbanized transit providers.
b. Coordination Provisions, Sections 5310, JARC and New Freedom. Federal transit law,
as amended by SAFETEA–LU, requires that projects funded from the Elderly
Individuals and Individuals with Disabilities (Section 5310), Job Access and Reverse
Commute (JARC, Section 5316), and New Freedom (Section 5317) programs be
derived from a locally developed, coordinated public transit-human service
transportation plan (“coordinated plan”). A coordinated plan should maximize the
programs’ collective coverage by minimizing duplication of services. Further, a
coordinated plan should be developed through a process that includes representatives of
public, private and non-profit transportation and human services providers, and
participation by the public. A coordinated plan may incorporate activities offered under
other programs sponsored by Federal, State, and local agencies to greatly strengthen its
impact. FTA also encourages participation in coordinated service delivery as long as
the coordinated services will continue to meet the purposes of all programs. Chapter V
provides details on the coordinated planning requirements.
c. Flexible Funds. Surface Transportation Program (STP) funds, among others, are a
source of flexible funds for both highway and transit projects. At the State’s discretion,
these flexible funds may be used for transit capital projects. This provision includes
transit capital projects funded through the Section 5307 or 5311 that meet the
transportation needs of individuals with disabilities.
7. COORDINATION WITH OTHER FEDERAL PROGRAMS.
a. The Federal Interagency Coordinating Council on Access and Mobility (CCAM).

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The Federal Interagency Coordinating Council on Access and Mobility (CCAM),
comprised of 11 Federal departments and agencies, was established by Executive Order
13330, “Human Service Transportation Coordination,” signed by President George W.
Bush on February 24, 2004. The members consist of the Secretaries of the U.S.
Departments of Transportation, Health and Human Services, Labor, Education,
Agriculture, Housing and Urban Affairs, Interior, Veterans Affairs, the Commissioner
of Social Security, the Attorney General, and the Chair of the National Council on
Disabilities. The CCAM coordinates 64 Federal programs providing transportation
funding for older Americans, people with disabilities, and individuals with low
incomes.
The CCAM is tasked with seeking ways to reduce transportation service duplication,
increase efficient transportation service delivery, and expand transportation access
for older Americans, people with disabilities, and individuals with low incomes. To
implement the Executive Order, the CCAM launched the United We Ride initiative to
break down the barriers between programs and set the stage for local partnerships that
generate common sense solutions and deliver A-plus performance for everyone who
needs transportation. United We Ride has been working with States and communities
to address gaps and needs related to human service transportation in their geographic
regions. This includes assistance with the development and implementation of action
plans for coordinated human service transportation.
Coordination Councils at the State and local levels include participation from funding
agencies, public and private transportation providers, human service providers, and
consumers, including people with disabilities. These councils are actively working on
identifying needs, resources, and gaps for people with disabilities and others who
require assistance with transportation services.
Consistent with the presidential directive, members of the CCAM adopted the
following policy statement in October 2006: “Member agencies of the Federal
Coordinating Council on Access and Mobility resolve that federally-assisted grantees
that have significant involvement in providing resources and engage in transportation
delivery should participate in a local coordinated human services transportation
planning process and develop plans to achieve the objectives to reduce duplication,
increase service efficiency and expand access for the transportation-disadvantaged
populations as stated in Executive Order 13330.”
At the same time, the CCAM adopted a policy clarifying federal policy regarding
vehicle sharing: “Member agencies of the Federal Coordinating Council on Access and
Mobility resolve that Federally-assisted grantees that have significant involvement in
providing resources and engage in transportation should coordinate their resources in
order to maximize accessibility and availability of transportation services.”
Both of these policy statements are intended for implementation by each CCAM
member department through administrative, regulatory, and/or legislative mechanisms.

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The CCAM has also established the UWR Logic Model and Performance Measure tool
to assist States and communities with identifying potential measures in a coordinated
transportation system. The policy statements, logic model and other tools can be found
on the United We Ride website at www.unitedweride.gov.
b. Other Interagency Coordination. FTA encourages State Departments of Transportation
and urbanized designated recipients’ participation in interagency efforts such as the
State Rural Development Councils, Economic Development Councils, and Human
Service Transportation Coordinating Councils. Coordination Councils at the State and
local levels often include participation from public and private transportation providers,
human service providers, and passengers, including individuals with disabilities. These
councils are actively working on identifying needs, resources, and gaps for individuals
with disabilities and others who require assistance with transportation services.
c. Welfare to Work. Because New Freedom includes transportation access to employment
for people with disabilities, recipients are encouraged to reference joint guidance on
funding resources regarding access to work published by the Departments of
Transportation, Labor and Health and Human Services on May 27, 1998. For more
information visit
http://www.fta.dot.gov/funding/grants/grants_financing_3715.html.

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CHAPTER III
GENERAL PROGRAM INFORMATION
1. RECIPIENT DESIGNATION. The chief executive officer of each State or an official
designee must designate a public entity to be the recipient for New Freedom funds. In
urbanized areas with populations less than 200,000 and in nonurbanized areas, the State is
the designated recipient. For these areas, the chief executive officer of a State designates a
State agency responsible for administering the New Freedom Program, and officially
notifies the appropriate Federal Transit Administration (FTA) regional office in writing of
that designation. The chief executive officer of a State may designate the State agency that
receives Other Than Urbanized Area (Nonurbanized Area, Section 5311) and/or the Elderly
Individuals and Individuals with Disabilities (Section 5310) Program funds to be the New
Freedom recipient, or the chief executive officer of a State may designate a different
agency.
In urbanized areas over 200,000 in population, the recipient charged with administering the
New Freedom Program must be officially designated through a process consistent with 49
U.S.C. 5307(a)(2):
an entity designated in accordance with the planning process under
Sections 5303, 5304, and 5306, by the chief executive officer of a
State, responsible local officials, and publicly owned operators of
public transportation, to receive and apportion amounts under
Section 5336 that are attributable to transportation management
areas identified under Section 5303.
The Urbanized Area Formula (Section 5307) designated recipient provides and coordinates
transportation services for the region and is familiar with FTA’s program oversight
requirements; therefore, it is appropriate for the designated recipient for the New Freedom
Program to be the same as the designated recipient for Section 5307 funds. Alternatively,
the metropolitan planning organization (MPO), State, or another public agency may be a
preferred choice based on local circumstances. The designation of recipient should be
made by the chief executive officer of a State in consultation with responsible local
officials and publicly owned operators of public transportation. The recipient for New
Freedom funds will apply to FTA for these funds on behalf of subrecipients within the
recipient’s area.
Designations remain in effect until changed by the chief executive officer of a State by
official notice of re-designation to the appropriate FTA regional administrator.
2. DESIGNATION OF MULTIPLE RECIPIENTS IN URBANIZED AREAS. FTA
encourages the designation of a single designated recipient for each urbanized area over
200,000 in population, including multi-State urbanized areas in order to streamline the
administration of the program and foster coordination. The chief executive officer of a

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State or an official designee may also designate a single recipient for contiguous large
urbanized areas. However, nothing precludes the designation of multiple designated
recipients.
For multi-State urbanized areas of less than 200,000 in population, the chief executive
officer of each State must designate a State agency for that respective State’s portion.
When more than one recipient is designated for a single large urbanized area, the
designated recipients must agree on how they split the single apportionment to the
urbanized areas and notify FTA annually of the split and the geographic part of the
urbanized area each recipient will be responsible for managing.
3. ROLE OF THE DESIGNATED RECIPIENT. The designated recipient is responsible for
conducting the competitive selection process in cooperation with the MPO (as mentioned
above, in some instances the designated recipient may be the MPO) and awarding grants to
subrecipients.
The designated recipient for New Freedom funds will apply to FTA for funding using the
Transportation Electronic Award and Management (TEAM) system (see Appendix A) on
behalf of itself and/or eligible subrecipients for New Freedom projects within the
recipient’s area. The designated recipient is responsible for the following actions:
a. Conducting an area-wide or Statewide competitive selection process;
b. Certifying a fair and equitable distribution of funds resulting from the competitive
selection process;
c. Certifying that each project selected was derived from a locally developed, coordinated
public transit-human services transportation plan;
d. Certifying that local plans are developed through a process that included representatives
of public, private, and non-profit transportation and human services providers and
participation by the public. The designated recipient is not directly responsible for
developing the coordinated plan, but is responsible for ensuring that the plan from
which a selected project was derived was developed in compliance with the statutory
requirements. An agency or organization other than the designated recipient may take
the lead in developing the coordinated plan;
e. Managing all aspects of grant distribution and oversight for subrecipients receiving
funds under this program; and
f. Submitting reports as required by FTA.
Note: The designated recipient is responsible for conducting the competitive selection
process. However, the designated recipient may establish alternative arrangements to
administer and conduct the competitive process. For example, the MPO could be the lead
agency for the competitive selection, even if it is not the designated recipient.

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Alternatively, the designated recipient may, through interagency agreement or third party
contracts, provide for the administrative management and oversight of the competitive
selection process.
Funds are obligated based on the annual program of projects included in a grant
application. FTA does not conduct project-by-project review and approval of each project.
The recipient must ensure that local applicants and project activities are eligible and in
compliance with Federal requirements and that the program provides for maximum feasible
coordination of transportation services assisted under New Freedom with transportation
services assisted by other Federal sources. In addition, the recipient monitors local
projects; ensures that all program activities are included in a Statewide Transportation
Improvement Program (STIP); and oversees project audits and closeouts. The recipient
must certify to FTA annually that the recipient and subrecipients have met or will meet all
Federal requirements, including all metropolitan and statewide planning requirements.
Once FTA has approved the application, funds are available for administration and for
allocation to individual subrecipients.
Under Department of Transportation (DOT) regulations, “Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments,”
49 CFR part 18 (sometimes referred to as the “common grant rule” or “common rule”), the
State relies on its own laws and procedures in the areas of financial management systems,
equipment, and procurement for itself and its public entity subrecipients. For private nonprofit agencies, grant management requirements are contained in 49 CFR part 19,
“Uniform Administrative Requirements for Grants and Agreements with Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations.” States may have
uniform requirements for all of their grantees, both private non-profit agencies and
governmental authorities, as long as such requirements are not inconsistent with part 19.
Designated recipients other than States must follow the provisions of 49 CFR part 18;
subrecipients follow part 18 if they are public entities and part 19 if they are private nonprofit entities.
4. ELIGIBLE DIRECT RECIPIENTS.
a. Urbanized Areas over 200,000. The designated recipient may apply directly to FTA for
a New Freedom grant for itself and on behalf of subrecipients. As discussed above, the
designated recipient for New Freedom in an urbanized area over 200,000 in population
may or may not be the same agency as the designated recipient for Section 5307 funds.
The competitive selection process may result in New Freedom funds being allocated to
a transit authority that is not the designated recipient for the New Freedom Program but
is a designated recipient under Section 5307, and thus, typically receives funds directly
from FTA. Instead of entering into a subrecipient relationship, the selected agency may
request that FTA make the New Freedom grant for the project directly to the transit
agency that is the designated recipient for Section 5307. If this occurs, the New
Freedom designated recipient must enter into a supplemental agreement with the

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Section 5307 designated recipient as part of the application to release the New Freedom
designated recipient from any liability under the grant agreement. Supplemental
agreements are provided in TEAM and must be electronically executed.
b. Small Urbanized Areas under 200,000 in population. The State is the designated
recipient and may apply directly to FTA for grant funds for itself and its subrecipients.
In order for projects to be implemented by transit providers in small urbanized areas,
the State, after consultation with responsible local officials and publicly owned
operators of public transportation, may transfer New Freedom funds to Section 5307 for
administration of competitively selected New Freedom projects within a Section 5307
grant to an eligible recipient under that program. This transfer also removes the
oversight responsibility for those funds from the designated recipient to the grant
recipient under Section 5307. The State will only be responsible for the program
requirements (such as competitive selection and ensuring projects are derived from a
coordinated plan) and data collection for annual reporting purposes. Although the
funds can be applied for in a Section 5307 grant, the grant should only contain funding
and activities for the New Freedom project. New Freedom, JARC, and Section 5307
funds cannot be combined in a single grant because disbursements cannot be recorded
to the appropriate program.
c. Nonurbanized Areas. The State is the designated recipient for New Freedom funds for
nonurbanized areas. Only the State may apply to FTA for New Freedom funds for
subrecipients in nonurbanized areas.
Federally-recognized Indian tribes are eligible direct recipients under the Section 5311
program. A tribe may apply directly to FTA for New Freedom funds that have been
competitively awarded to the tribe, or the State may transfer New Freedom funds to
Section 5311 so that FTA can make a direct grant to the tribe under that program.
5. ELIGIBLE SUBRECIPIENTS. There are three categories of eligible subrecipients of New
Freedom funds:
a. Private non-profit organizations;
b. State or local governmental authority; and
c. Operators of public transportation services including private operators of public
transportation services.
6. APPORTIONMENT OF NEW FREEDOM FUNDS. Of the total New Freedom funds
available, FTA apportions 60 percent among designated recipients in large urbanized areas;
20 percent to the States for small urbanized areas; and 20 percent to the States for rural and
small urban areas under 50,000 in population. New Freedom funds are apportioned among
the recipients by formula. The formula is based on the ratio that the number of individuals
with disabilities in each such area bears to the number of individuals with disabilities in all

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such areas. Example: a large urbanized area’s apportionment is based on the ratio that the
number of individuals with disabilities in that large urbanized area bears to the number of
individuals with disabilities in all large urbanized areas. The number of disabled
individuals in an area is determined according to the latest available U.S. Census data for
individuals with disabilities over the age of five. The annual apportionment for New
Freedom is published in the Federal Register following the enactment of the annual DOT
appropriations act.
7. FUNDS AVAILABILITY. New Freedom funds are available for obligation during the
fiscal year of apportionment plus two additional years. Thus, for example, funds
apportioned in fiscal year 2006 are available until the end of fiscal year 2008 (September
30, 2008). Any funds remaining unobligated at the end of the period of availability are
added to the next year’s program apportionment and are reapportioned among all areas.
8. TRANSFER OF FUNDS.
a. Transfer to Other FTA Programs. A State may transfer New Freedom funds
apportioned to it for rural or small urbanized areas to apportionments under Section
5311(c) or 5307, or both. The purpose of the transfer provision, however, is not to
supplement the resources available under the State’s Section 5311 or Section 5307
apportionments. Transfer to Section 5311 or Section 5307 is permitted, but not
required. FTA will also award stand-alone New Freedom grants to the State. Standalone grants facilitate the State’s ability to recover and reprogram New Freedom
Program funds within the period of availability if they are not expended for the projects
the State originally selected. If the State does choose to transfer the funds into the
Section 5311 or Section 5307 programs, FTA has established a scope code (647) for
New Freedom projects included within a Section 5311 or 5307 grant. Although New
Freedom funds can be transferred to Section 5307 for award directly to a small
urbanized area recipient in a Section 5307 grant, the grant should only include funding
and activities for the New Freedom project(s). States may combine funds from
multiple programs in a consolidated Section 5311 grant, but the State must track,
manage, and report on each program’s funds separately within the consolidated grant.
One purpose for transferring New Freedom Program funds to Section 5311 is to allow
Federally recognized Indian tribes, which are eligible direct recipients under the
Section 5311 program but not under the other programs, to apply directly to FTA for
funds allocated to them under the State’s competitive selection process for New
Freedom. Similarly, transferring New Freedom funds to Section 5307 allows direct
recipients of Section 5307 grants in small urbanized areas, to apply directly to FTA for
funds competitively awarded under the State’s New Freedom Program.
b. Transfer of (FHWA) Flexible Funds. Surface Transportation Program (STP) funds,
Congestion Mitigation and Air Quality (CMAQ) funds, and certain other “flexible”
funds, may be transferred from Federal Highway Administration (FHWA) to FTA for
use by the recipient for capital transit projects. Although these funds may not be flexed

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directly into the New Freedom Program, flexible funds may be transferred to the
Section 5307 or 5311 programs for capital projects that support the purposes of the
New Freedom Program and are eligible under the program receiving the funds. The
funds are available for obligation based on the period of availability applicable to the
receiving program.
c. Notification of Transfers. The State must notify the FTA regional administrator of the
State’s intent to have funds transferred so that FTA can initiate the transfer. For
transfers of New Freedom funds into the Section 5307 program for urbanized areas
under 200,000 in population or Section 5311(c), the notification must indicate the
amount of funds transferred, the program to which they are being transferred, and
specific projects selected under New Freedom.
9. CONSOLIDATION OF GRANTS TO INSULAR AREAS. FTA grants to insular areas
may be consolidated under the provisions of 48 U.S.C. 1469a. This provision permits
Federal agencies to streamline and consolidate certain grant-in-aid programs available to
the Virgin Islands, Guam, American Samoa, and the Northern Mariana Islands. These
insular areas receive Section 5311 apportionments and Rural Transit Assistance Program
(RTAP) allocations annually as well as Section 5310, 5316, and 5317 funds, and in some
cases, Section 5307 funds. [Note: Under Section 3009 of SAFETEA–LU, the Virgin
Islands are treated as an urbanized area for the purpose of 5307. FTA does not apportion
Section 5311 or RTAP funds to the Virgin Islands.] Specifically, 48 U.S.C. 1469a permits:
a. Federal agencies to consolidate any or all grants to each of the insular areas and to
waive requirements for matching funds, applications, and reports with respect to the
consolidated grants; and
b. Each insular area to use the consolidated grant funds for any purpose or program
authorized for any of the consolidated grants.
For these areas, FTA will consolidate Section(s) 5307, 5310, 5311, 5316, and 5317 funding
into a single grant by transferring funds from one Section to another. The insular areas
may transfer all or a portion of the funds apportioned for Section 5307, 5310, 5316, or 5317
to Section 5311 for use under any of these Sections. This should improve the efficiency of
grant making and grant management for these areas which have limited staff resources and
receive small amounts of funds under each of these programs. Those insular areas
interested in submitting applications for consolidated grants should notify the appropriate
FTA regional office for application procedures and consolidation requirements. Among
other things, the area should identify the intended use of consolidated funds and should
document that the transportation of elderly individuals and individuals with disabilities will
not be adversely affected.
In addition, 48 U.S.C. 1469a(d) allows a Federal agency to waive any local matching share
requirements for grants to insular areas. FTA has no authority under 48 U.S.C. 1469a to
waive any cross-cutting requirements, such as Buy America or drug and alcohol testing.

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10. RECIPIENT ADMINISTRATIVE EXPENSES. Up to 10 percent of the recipient’s total
fiscal year apportionment may be used to fund program administration costs including
administration, planning and technical assistance. Program administration costs may be
funded at 100 percent Federal share and do not require matching local funds.
The State and the designated recipient in urbanized areas have pre-award authority to incur
administrative costs for New Freedom. Because the program is continuously managed,
oldest funds available are drawn first regardless of the year of award for program activity.
FTA encourages recipients to identify all the available New Freedom administrative funds
they intend to use routinely in each annual grant application. However, recipients may
accumulate the “entitlement” to New Freedom administrative funds within their period of
availability to augment the funds available for a special administrative need in a subsequent
year. Recipients may accumulate New Freedom administrative funds in the year of
apportionment plus two years.
If a recipient includes program administration expenses in excess of the 10 percent in its
grant application, it must document the unused New Freedom administrative funds from
prior years available to augment the amount of New Freedom administrative funds in the
current apportionment.
Allowable administrative costs may include, but are not limited to, general administrative
and overhead costs, staff salaries, office supplies, and development of specifications for
vehicles and equipment. Guidance on eligible costs is in Office of Management and
Budget (OMB) Circular A–87 (codified at 2 CFR part 225). The program administration
budget line item may also include technical assistance and planning activities, including
allocations to subrecipients to support the local coordinated planning process.
These eligible program administrative costs may be used directly by the designated
recipient or may be passed through by the designated recipient to subrecipients for
administration, planning, or technical assistance purposes. This eligible activity can be
awarded before the completion of the competitive selection process.
FTA will allow all or a portion of the administrative funds for JARC, New Freedom, and
Section 5310 to be combined to support activities (such as coordinated planning) that are
common to all three programs. Recipients may combine program administration funds into
one administrative account, so long as the recipient uses the funds for costs associated with
administering the 5310, JARC, and New Freedom Programs. However, FTA must still
track the funds attributable to each program at the accounting classification code, Activity
Line Item (ALI), and Financial Purpose Code Level in respective grants. As the recipient
incurs expenses against the pooled funds for program administration, it can draw down the
reimbursement against any grant that has undisbursed program administration funds.
11. ELIGIBLE ACTIVITIES. New Freedom Program funds are available for capital and
operating expenses that support new public transportation services beyond those required
by the Americans with Disabilities Act of 1990 (ADA) and new public transportation

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alternatives beyond those required by the ADA designed to assist individuals with
disabilities with accessing transportation services, including transportation to and from jobs
and employment support services. For the purpose of the New Freedom Program, “new”
service is any service or activity that was not operational on August 10, 2005, and did not
have an identified funding source as of August 10, 2005, as evidenced by inclusion in the
Transportation Improvement Plan (TIP) or the STIP. In other words, if not for the New
Freedom Program, these projects would not have consideration for funding and proposed
service enhancements would not be available for individuals with disabilities.
Maintenance of Effort: Recipients or subrecipients may not terminate ADA paratransit
enhancements or other services funded as of August 10, 2005, in an effort to reintroduce
the services as “new” and then receive New Freedom funds for those services.
Eligible projects funded with New Freedom funds may continue to be eligible for New
Freedom funding indefinitely as long as the project(s) continue to be part of the
coordinated plan.
Both new public transportation services and new public transportation alternatives are
required to go beyond the requirements of the ADA and must (1) be targeted toward
individuals with disabilities; and (2) meet the intent of the program by removing barriers to
transportation and assisting persons with disabilities with transportation, including
transportation to and from jobs and employment services.
The list of eligible activities is intended to be illustrative, not exhaustive. Recipients are
encouraged to develop innovative solutions to meet the needs of individuals with
disabilities in their communities.
a. New Public Transportation Services Beyond the ADA. The following activities are
examples of eligible projects meeting the definition of new public transportation.
(1) Enhancing paratransit beyond minimum requirements of the ADA. ADA
complementary paratransit services can be eligible under New Freedom in several
ways as long as the services provided meet the definition of “new:”
(a) Expansion of paratransit service parameters beyond the three-fourths mile
required by the ADA;
(b) Expansion of current hours of operation for ADA paratransit services that are
beyond those provided on the fixed-route services;
(c) The incremental cost of providing same day service;
(d) The incremental cost of making door-to-door service available to all eligible
ADA paratransit riders, but not as a reasonable modification for individual
riders in an otherwise curb-to-curb system;

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(e) Enhancement of the level of service by providing escorts or assisting riders
through the door of their destination;
(f) Acquisition of vehicles and equipment designed to accommodate mobility
aids that exceed the dimensions and weight ratings established for common
wheelchairs under the ADA and labor costs of aides to help drivers assist
passengers with over-sized wheelchairs. This would permit the acquisition of
lifts with a larger capacity, as well as modifications to lifts with a 600 lb
design load, and the acquisition of heavier-duty vehicles for paratransit and/or
demand-response service; and
(g) Installation of additional securement locations in public buses beyond what is
required by the ADA.
(2) Feeder services. New “feeder” service (transit service that provides access) to
commuter rail, commuter bus, intercity rail, and intercity bus stations, for which
complementary paratransit service is not required under the ADA.
(3) Making accessibility improvements to transit and intermodal stations not
designated as key stations. Improvements for accessibility at existing
transportation facilities that are not designated as key stations established under 49
CFR 37.47, 37.51, or 37.53, and that are not required under 49 CFR 37.43 as part
of an alteration or renovation to an existing station, so long as the projects are
clearly intended to remove barriers that would otherwise have remained. New
Freedom funds are eligible to be used for new accessibility enhancements that
remove barriers to individuals with disabilities so they may access greater portions
of public transportation systems, such as fixed-route bus service, commuter rail,
light rail and rapid rail. This may include:
(a) Building an accessible path to a bus stop that is currently inaccessible,
including curbcuts, sidewalks, accessible pedestrian signals or other
accessible features,
(b) Adding an elevator or ramps, detectable warnings, or other accessibility
improvements to a non-key station that are not otherwise required under the
ADA,
(c) Improving signage, or wayfinding technology, or
(d) Implementation of other technology improvements that enhance accessibility
for people with disabilities including Intelligent Transportation Systems
(ITS).
(4) Travel training. New training programs for individual users on awareness,
knowledge, and skills of public and alternative transportation options available in
their communities. This includes travel instruction and travel training services.

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b. New Public Transportation Alternatives Beyond the ADA. The following activities are
examples of projects that are eligible as new public transportation alternatives beyond
the ADA under the New Freedom Program:
(1) Purchasing vehicles to support new accessible taxi, ride sharing, and/or vanpooling
programs. New Freedom funds can be used to purchase and operate accessible
vehicles for use in taxi, ridesharing and/or van pool programs provided that the
vehicle has the capacity to accommodate a passenger who uses a “common
wheelchair” as defined under 49 CFR 37.3, at a minimum, while remaining in
his/her personal mobility device inside the vehicle, and meeting the same
requirements for lifts, ramps and securement systems specified in 49 CFR part 38,
subpart B.
(2) Supporting the administration and expenses related to new voucher programs for
transportation services offered by human service providers. This activity is
intended to support and supplement existing transportation services by expanding
the number of providers available or the number of passengers receiving
transportation services. Only new voucher programs or expansion of existing
programs are eligible under the New Freedom Program. Vouchers can be used as
an administrative mechanism for payment of alternative transportation services to
supplement available public transportation. The New Freedom Program can
provide vouchers to individuals with disabilities to purchase rides, including: (a)
mileage reimbursement as part of a volunteer driver program; (b) a taxi trip; or (c)
trips provided by a human service agency. Providers of transportation can then
submit the voucher for reimbursement to the recipient for payment based on predetermined rates or contractual arrangements. Transit passes for use on existing
fixed route or ADA complementary paratransit service are not eligible. Vouchers
are an operational expense which requires a 50/50 (Federal/local) match.
(3) Supporting new volunteer driver and aide programs. New volunteer driver
programs are eligible and include support for costs associated with the
administration, management of driver recruitment, safety, background checks,
scheduling, coordination with passengers, and other related support functions,
mileage reimbursement, and insurance associated with volunteer driver programs.
The costs of new enhancements to increase capacity of existing volunteer driver
programs are also eligible. FTA notes that any volunteer program supported by
New Freedom must meet the requirements of both “new” and “beyond the ADA.”
FTA encourages communities to offer consideration for utilizing all available
funding resources as an integrated part of the design and delivery of any volunteer
driver/aide program.
(4) Supporting new mobility management and coordination programs among public
transportation providers and other human service agencies providing
transportation. Mobility management is an eligible capital cost. Mobility
management techniques may enhance transportation access for populations beyond

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those served by one agency or organization within a community. For example, a
non-profit agency could receive New Freedom funding to support the
administrative costs of sharing services it provides to its own clientele with other
individuals with disabilities and coordinate usage of vehicles with other nonprofits, but not the operating costs of the service. Mobility management is
intended to build coordination among existing public transportation providers and
other transportation service providers with the result of expanding the availability
of service. Mobility management activities may include:
(a) The promotion, enhancement, and facilitation of access to transportation
services, including the integration and coordination of services for
individuals with disabilities, older adults, and low-income individuals;
(b) Support for short term management activities to plan and implement
coordinated services;
(c) The support of State and local coordination policy bodies and councils;
(d) The operation of transportation brokerages to coordinate providers, funding
agencies and customers;
(e) The provision of coordination services, including employer-oriented
Transportation Management Organizations’ and Human Service
Organizations’ customer-oriented travel navigator systems and neighborhood
travel coordination activities such as coordinating individualized travel
training and trip planning activities for customers;
(f) The development and operation of one-stop transportation traveler call centers
to coordinate transportation information on all travel modes and to manage
eligibility requirements and arrangements for customers among supporting
programs; and
(g) Operational planning for the acquisition of intelligent transportation
technologies to help plan and operate coordinated systems inclusive of
Geographic Information Systems (GIS) mapping, Global Positioning System
Technology, coordinated vehicle scheduling, dispatching and monitoring
technologies as well as technologies to track costs and billing in a coordinated
system and single smart customer payment systems (acquisition of technology
is also eligible as a stand alone capital expense).
12. FEDERAL/LOCAL MATCHING REQUIREMENTS.
a. General. New Freedom funds may be used to finance capital and operating expenses.
The Federal share of eligible capital and planning costs may not exceed 80 percent of
the net cost of the activity. The Federal share of the eligible operating costs may not
exceed 50 percent of the net operating costs of the activity. Recipients may use up to

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10 percent of their apportionment to support program administrative costs including
administration, planning, and technical assistance, which may be funded at 100 percent
Federal share.
The local share of eligible capital costs shall be no less than 20 percent of the net cost
of the activity, and the local share for eligible operating costs shall be no less than 50
percent of the net operating costs. All of the local share must be provided from sources
other than Federal DOT funds. Some examples of sources of local match which may
be used for any or all of the local share include: State or local appropriations; other
non-DOT Federal funds; dedicated tax revenues; private donations; revenue from
human service contracts; toll revenue credits; and net income generated from
advertising and concessions. Non-cash share such as donations, volunteer services, or
in-kind contributions is eligible to be counted toward the local match as long as the
value of each is documented and supported, represents a cost which would otherwise be
eligible under the program, and is included in the net project costs in the project budget.
Income from contracts to provide human service transportation may be used either to
reduce the net project cost (treated as revenue) or to provide local match for New
Freedom operating assistance. In either case, the cost of providing the contract service
is included in the total project cost. No FTA program funds can be used as a source of
local match for other FTA programs, even when used to contract for service.
b. Exceptions. The Federal share is 90 percent for vehicle-related equipment and facilities
required by the Clean Air Act (CAA) or the Americans with Disabilities Act (ADA). It
is only the incremental cost of the equipment or facility required by the CAA or ADA
that may be funded at 90 percent, not the entire cost of the vehicle or facility, even if
the vehicle or facility is purchased for use in service required by the ADA or CAA.
Designated recipient wishing to apply for assistance at the higher match ratio should
consult the FTA regional office for further guidance regarding methods of computing
the incremental cost before submitting an application.
c. Use of Other Federal Funds. Local match may be derived from other Federal programs
that are eligible to be expended for transportation, other than funds from DOT
programs. Examples of types of programs that are potential sources of local match
include: employment, training, aging, medical, community services, and rehabilitation
services. To be eligible for local match for FTA funds, the other Federal funds must be
used for activities included in the total net project costs of the FTA grant. Expenditure
of other Federal funds for transportation outside of the scope of the project cannot be
applied as a credit for local match in the FTA grant. Specific program information for
other types of Federal funding is available at www.unitedweride.gov.
13. LABOR PROTECTIONS. Title 49 U.S.C. 5333(b) requires that, as a condition of assistance
from FTA, fair and equitable arrangements must be made to protect the interests of
employees affected by such assistance. The Department of Labor (DOL) is responsible
under Federal law for the administration of Section 5333(b).

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The employee protection requirements are applicable to only those Federal transit programs
and activities specifically enumerated in Section 5333(b). Since the New Freedom Program
is not included in that list, grants awarded under these programs cannot be conditioned on
compliance with Section 5333(b), and Section 5333(b) does not apply to grants to recipients
under the New Freedom Program.

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CHAPTER IV
PROGRAM DEVELOPMENT
1. COORDINATION REQUIREMENTS. Title 49 U.S.C. 5317, as amended by SAFETEA–
LU, requires a recipient of New Freedom funds to certify that projects selected are derived
from a locally developed, coordinated public transit-human services transportation plan
developed through a process that includes representatives of public, private and non-profit
transportation and human service providers, participation by the public, and representatives
addressing the needs of individuals with disabilities. (See Chapter V of this circular for
further information.) This coordinated transportation plan should be prepared through a
process that is consistent with the applicable metropolitan or statewide planning process, as
described below. Transit service and demographic information developed and used in the
broader metropolitan and statewide processes can provide a useful starting point for the
more detailed review that will take place in preparing the coordinated plan. Similarly, the
extensive public participation and stakeholder consultation provisions of metropolitan and
statewide planning can provide a useful context and basis for the more focused local public
involvement involved in preparing the coordinated plan. For these reasons, FTA strongly
encourages coordination and consistency between the local coordinated public transithuman services transportation plan and metropolitan or statewide transportation planning
processes, as described in 23 CFR part 450 and 49 CFR part 613.
2. PLANNING REQUIREMENTS. To be eligible for funding, New Freedom projects in
urbanized areas must be included in the Metropolitan Transportation Plan prepared and
approved by the metropolitan planning organization (MPO), the Transportation
Improvement Program (TIP) approved jointly by the MPO and the Governor, and the
Statewide Transportation Improvement Program (STIP) developed by a State and jointly
approved by FTA and Federal Highway Administration (FHWA). Projects outside
urbanized areas must be included in, or be consistent with the Statewide Long-Range
Transportation Plan, as developed by the State, and must be included in the STIP. With
limited exceptions, all Federally-funded highway or transit projects must be included in the
applicable plan and program documents according to State and local procedures. Areas
may choose to include project level information or more aggregated program level
information. For purposes of convenience, the recipient may group its planned
expenditures of New Freedom funds into statewide or metropolitan area-wide projects,
such as vehicle acquisitions or services contracted for rural and urban recipients, and
administration costs. All projects must adhere to the requirements of 49 U.S.C. 5303 and
5304. Please see Appendix G for a description of how the various planning processes
relate to one another.
3. COMPETITIVE SELECTION PROCESS. A recipient of funds shall conduct a competitive
selection process that is separate from, but coordinated with, the planning process. The
competition allocates funding to the designated recipient and subrecipients to implement
New Freedom projects. Recipients may not allocate/suballocate New Freedom funds

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without conducting a competitive selection process. Title 49 U.S.C. 5317, as amended by
SAFETEA–LU, provides the following:
(d) Competitive Process for Grants to Subrecipients.— (1) Areawide
solicitations.—A recipient of funds apportioned under subsection
(c)(1)(A) [urbanized areas with a population over 200,000] shall
conduct, in cooperation with the appropriate metropolitan planning
organization [MPO], an areawide solicitation for applications for
grants to the recipient and subrecipients under this Section. (2)
Statewide solicitation.—A recipient of funds apportioned under
subsection (c)(1)(B) [urbanized areas with a population of less than
200,000] or (c)(1)(C) [Other Than Urbanized areas] shall conduct a
statewide solicitation for applications for grants to the recipient and
subrecipients under this Section.
Note: The designated recipient is responsible for conducting the competitive selection
process. However, the designated recipient may establish alternative arrangements to
administer and conduct the competitive process. For example, a designated recipient could
assign an MPO to conduct the competitive selection, even if it is not the designated
recipient. Alternatively, the designated recipient, through interagency agreement or third
party contracts, may provide administrative management and oversight of the competitive
selection process.
a. Role of the Designated Recipient in Competitive Selection. The agency identified as the
designated recipient is responsible for conducting the competitive selection. The
competitive selection process should be transparent, as described below. Further, the
designated recipient must certify that the distribution of funds is “fair and equitable” as
required by 49 U.S.C. 5317(e)(2). (See paragraph five of this chapter).
b. Conducting a Competitive Selection Process. Title 49 U.S.C. 5317 requires that
selected projects be derived from the locally developed coordinated plan and meet the
intent of the program. The law further requires that the designated recipient conduct
the competitive selection process. In large urbanized areas, this process is conducted in
cooperation with the MPO.
(1) Frequency of competition. Competitions can be conducted annually or at intervals
not to exceed three years as determined by the designated recipient based on local
needs. Designated recipients may choose to fund projects that will be implemented
over multiple years. There should be opportunities to update coordinated plans to
align with the competitive selection process. In addition to identified need,
designated recipients should work with State and/or local coordinating bodies to
consider funding levels, adequate time for implementation, duration of projects,
cost of projects, and other factors when setting timeframes for competitive cycles.
Note: The frequency of the competition differs from the period of project

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performance. Projects may be selected for funding that cover multiple years of
operating.
(2) Selection process. The designated recipient is responsible for selecting projects.
Projects may be selected that are implemented over multiple years, and the
designated recipient may select contingency projects that could be funded if any
competitively selected project is deleted from the program of projects.
The designated recipient may use different approaches to conduct a competition.
For example, the designated recipient may conduct a competition that selects from
a list of specific projects/activities to be funded, communities to implement
projects from the area’s plan, or specific agencies/organizations to provide services
to meet specific needs that have been identified and prioritized through the local
planning process. In establishing the process, the designated recipient shall
determine and publicize the selection criteria. The examples below illustrate some
different ways the competitive selection process may be conducted. This list is not
intended to be an exhaustive list of all allowable selection processes.
Example 1: The State publishes an announcement for New Freedom project
proposals or proposals for all funding sources available to the State. The State
next evaluates projects submitted from small urbanized and nonurbanized areas
using selection criteria stated in the announcement. The State may choose to have
separate competitions for projects in urbanized areas under 200,000 in population
and projects in nonurbanized areas or one unified competition (respecting funding
limitations for each population category). The State selects projects to be funded
and announces New Freedom project selections.
Example 2: The State solicits applications from small urbanized areas or
nonurbanized areas for funding of FTA eligible activities in each area’s local
coordinated plan. The State evaluates the applications based on criteria such as the
quality and effectiveness of the coordinated process, and identification of needs
and solutions that address the needs. The State then selects areas to receive
funding for New Freedom projects derived from the local coordinated plan. In this
example, the specific projects being funded in an area are determined locally,
however, the State competitively selects areas that will receive New Freedom
funding based on criteria such as the quality of the coordinated planning process
and evidence of broad outreach.
Example 3: The designated recipient in an urbanized area over 200,000 in
population may rely on the priorities identified for New Freedom funding in the
locally developed, coordinated public transit-human services transportation plan
and publish a solicitation for grant applications from agencies interested in
providing any of the New Freedom projects identified in the plan. The designated
recipient conducts the competition in cooperation with the MPO utilizing criteria
established by the designated recipient. A designated recipient that is not the MPO

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may choose to utilize the MPO to conduct the competitive selection process. The
designated recipient selects subrecipient proposals to fund that implement the
projects identified in the plan.
Example 4: The designated recipient publishes an announcement for New
Freedom project proposals to address a specific need identified and prioritized in
the coordinated plan, such as increased same-day mobility options for people who
use wheelchairs. Grant proposals might include a volunteer driver program,
purchase of accessible taxis, or same-day demand-response service provided by the
local transit agency. The designated recipient evaluates proposals submitted using
the selection criteria stated in the announcement, selects the project(s) to be funded
and announces the project selections.
Example 5: The designated recipient competes specific projects to meet the needs
described in the coordinated plan, such as increased same-day mobility options for
people who use wheelchairs. The coordinated plan prioritized accessible taxis as
the most appropriate service to meet that need. The designated recipient publishes
an announcement requesting proposals for accessible taxi services, evaluates
proposals submitted using the selection criteria stated in the announcement, and
selects the subrecipients to be funded and announces the project selections.
The competitive selection process is not the same as third party contracting, but
rather the selection of grants to the recipient and subrecipients. If it is determined
that a recipient or subrecipient will contract for goods and services, the entity
receiving the funds must follow FTA procurement procedures established within
the current FTA Circular 4220.1 in a separate process, regardless of how a project
is selected.
(3) Public notification. The designated recipient should publicly advertise the
availability of funds and selection criteria in formats and forums appropriate to the
potential recipients and subrecipients. Designated recipients should also publish a
list of selected projects following the competitive selection process.
(4) Strategies to enhance competition. The following strategies are suggested useful
practices to ensure fairness and maximize the relationship between the coordinated
planning process and competitive selection:
(a) Assure greater inclusion at the onset of the coordinated planning process to
allow private sector participation or participation by others who have not been
involved in the MPO planning process;
(b) Provide for transparency and documentation in both the coordinated planning
process and the competitive selection process;
(c) Publish an announcement that lays out program requirements and the process
for receiving funds, which may help communities initiate planning activities

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as well as lay out the recipient’s timeline for the competitive selection
process;
(d) Rank projects using any of the following approaches: peer review; third party
review; or a panel of planning partners; and
(e) If the subrecipient is not the service provider, the subrecipient should select
providers of services through established third party contracting procedures
that transit agencies utilize for specialized service contracts or interagency
agreements.
(5) Evaluation criteria and project selection. Designated recipients may consider
establishing an external peer review process for developing criteria, evaluating
proposals, and project selection. Examples of potential criteria may include
selecting projects that: (1) address gaps in current service provisions for targeted
communities as defined in the local coordinated plan; (2) make use of available
resources and leverage resources to the extent possible; (3) coordinate with other
Federal programs (e.g., coordinated services, financial partnership); (4) can be
achieved with the given technical capacity of the project sponsor; (5)
geographic/demographic factors; and (6) show evidence of broad solicitation for
input (coordinated planning process).
4. RELATIONSHIP BETWEEN PLANNING AND COMPETITIVE SELECTION: The
schematic below illustrates the relationship between the coordinated plan and the
metropolitan and statewide planning processes. It is important to note that the Program of
Projects (POP) flows out of the competitive selection process, and areas may feed the
specific projects listed in the POP into the area’s TIP or STIP. See the figure below for a
graphical representation of this relationship.

Coordinated
Plan

Long
Range
Plan
Minimum 20 years

TIP/STIP

Minimum 4 years

Competitive Selection

Program of
Projects
(POP)
&
Grant
Application

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5. FAIR AND EQUITABLE DISTRIBUTION OF FUNDS. Regardless of the competitive
selection process used, it is important to demonstrate that the competition was open and
transparent resulting in a fair and equitable distribution of funds. FTA notes that equitable
distribution refers to equal access to, and equal treatment by, a fair and open competitive
process. The result of such a process may not be an “equal” allocation of resources among
projects or communities. It is possible that some areas may not receive any funding at the
conclusion of the competitive selection process. Fair and equitable distribution will be
addressed in the State Management Review for State administered programs and in the
Triennial Review in urbanized areas over 200,000 in population and in other FTA oversight
activities. Designated recipients must document the competitive selection process as part
of a State/Program Management Plan (SMP/PMP) and designated recipients in urbanized
areas must document the competitive selection process in the PMP (see Chapter VII). In
addition, the designated recipient must certify that each year’s funds were distributed on a
fair and equitable basis.
FTA’s guidance for compliance with Title VI of the Civil Rights Act of 1964 applies to the
New Freedom Program. To ensure compliance with U.S. Department of Transportation
(DOT) civil rights regulations (49 CFR part 21), and the DOT Order on Environmental
Justice, FTA requires grantees to document that they distribute FTA funds without regard
to race, color, and national origin. Designated recipients shall include strategies for
complying with Title VI in their management plan. (See the current FTA Circular 4702.1.)
6. PROGRAM OF PROJECTS (POP). The program of projects (POP) identifies the
subrecipients and projects for which the State or designated recipient is applying for
financial assistance. The POP submitted to FTA for approval lists the subrecipients and
indicates whether they are private non-profit agencies, governmental authorities, or private
operators of public transportation services, and in the case of a State application, designates
whether they serve urbanized or nonurbanized areas, and identifies any Indian tribal
agencies. In addition, the program of projects includes a brief description of the projects,
total project costs and Federal share for each project, and the amount of funds required for
planning and program administration. The total Federal funding level for the program of
projects cannot exceed the total amount of New Freedom funds available. Upon
submission of the annual program of projects and other application requirements, FTA will
review, approve, and obligate funds for the total amount of funds requested. The projects
within the program of projects should be implemented within the year of apportionment
plus two years. Grants not fully implemented within the year of apportionment plus two
years are subject to being terminated and closed out by FTA and the remaining funds deobligated.
As stated above, eligibility for funding under most FTA and FHWA programs requires
projects to be listed in the approved TIP and/or STIP. Therefore, projects in the POP must
be included in the applicable TIP and/or STIP.
So that FTA can comply with the Federal Funding Accountability and Transparency Act of
2006 (Pub. L 109-282), enacted September 26, 2006, the designated recipient must provide

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FTA with the following information for each subrecipient: the name of the entity receiving
the award, the amount of the award, the location of the entity receiving the award and the
primary location of performance under the award, including the city, State, and
Congressional district. The designated recipient may choose to submit this information as
a separate attachment in TEAM or to include the information in the POP.
7. CATEGORIES OF APPROVAL. FTA’s approval of a program of projects does not reflect
unconditional approval of all projects within the program. Nor does FTA’s approval of a
program of projects reflect unconditional approval of all prospective subrecipients
identified in the program. FTA recognizes that not all projects in a POP may be at the
same stage of development. FTA also recognizes that all subrecipients identified in the
program of projects may not yet be in compliance with all applicable Federal requirements.
To expedite grant award, FTA allows designated recipients to separate projects and funds
included in its program of projects into two different categories, depending on how
completely Federal requirements have been met.
a. Category A. This category includes projects certified by the designated recipient as
having met all the Federal statutory and administrative requirements for project
approval applicable to both the project activities and subrecipient that will carry out
those activities. FTA’s approval of Category A projects is unconditional upon grant
award. When FTA executes the grant, the designated recipient may start drawing down
funds to implement projects in Category A. FTA expects most, if not all, of the
projects included in the designated recipient’s program of projects to be in this
category.
b. Category B. Projects in Category B are those projects the designated recipient
anticipates approving during the current year, but which have not met all of the Federal
statutory or administrative requirements or are proposed to be implemented by a
subrecipient that has not yet met all applicable Federal requirements. Category B can
also include contingency projects that may be funded if any competitively selected
project is deleted from the program of projects. However, contingency projects should
be shown at the zero funding level and not calculated in the total program costs. When
the necessary Federal requirements have been satisfied for a project, FTA’s approval of
that project becomes unconditional, and the project may be advanced to Category A.
Cash drawdowns for that project may commence after the designated recipient
advances it to Category A. If a designated recipient can list all its projects in Category
A, it would not list any projects in Category B except contingency projects.
8. APPROVAL. FTA is committed to promptly processing grants upon receipt of a complete
and acceptable grant application. FTA awards grants and obligates funds for the total
amount the designated recipient requests for both of these categories. FTA grant award
constitutes FTA approval of the designated recipient’s annual program of projects.
FTA approval of the New Freedom Program of projects does not constitute unqualified
approval of each project in the program. Grant award does constitute FTA approval of

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those projects in Category A. Thus the designated recipient may draw down Federal funds
to reimburse expenses incurred for Category A projects immediately upon execution of the
grant agreement.
Grant award also constitutes FTA’s approval of those projects in Category B on the
condition that all applicable Federal requirements will be met. The designated recipient
must ensure that those requirements are met and advance the projects to Category A before
funds can be drawn down to support those projects.
9. REVISIONS TO PROGRAM OF PROJECTS. Prior FTA approval is not required to
advance projects from Category B to Category A, or to reallocate funds among projects
included in the approved POP, so long as any single change does not exceed 20 percent of
the affected project and is consistent with the competitive selection process and the local
coordinated plan from which the project was derived. Any other changes to the POP
require prior approval by FTA. The grantee’s request for approval should include
documentation that the proposed changes in the POP are consistent with the competitive
selection process and that all projects are derived from a locally developed coordinated
plan.
If appropriate, revisions to the POP should be accompanied by a budget revision to the
grant in the Transportation Electronic Award and Management (TEAM) system. The
grantee should attach the revised POP (after approval, if required) to the project
management milestones section in TEAM. In the annual program status report, the grantee
should reference the date that a new POP was attached. The most recently updated
program of projects submitted by the designated recipient to FTA in its quarterly or annual
report or in the course of making revisions will be considered the current approved
program of projects, incorporated by reference in the grant agreement.
10. CERTIFICATION AND ASSURANCES. FTA’s annual certifications and assurances
include basic requirements for Section 5310, JARC and New Freedom programs, as
categories 17, 19 and 20. The designated recipient should maintain adequate files
documenting the basis for all assurances that it makes to FTA.
Each fiscal year, FTA publishes the required certifications and assurances in the Federal
Register and updates the certifications and assurances in the Transportation Electronic
Award and Management (TEAM) system. This notice indicates which certifications and
assurances apply to all grantees or to certain kinds of awards, and which are required for
grants under specific sections.
The designated recipient electronically submits the appropriate certifications and
assurances each fiscal year for all active grants and new grants that it expects FTA to make
during that fiscal year. Recipients should use the most recent version of the current year
notice for a list of required certifications and assurances FTA has issued. Recipients can
find the current list in TEAM.

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11. COSTS INCURRED BEFORE NEW FREEDOM GRANT APPROVAL. Costs may be
incurred under the New Freedom Program before FTA approval of a grant under certain
circumstances. Authority to incur any eligible New Freedom Program costs in advance of
possible future Federal participation must comply with all Federal requirements. FTA
extends automatic pre-award authority to the 10 percent of funds that can be used for
program administrative costs including planning, administration and technical assistance.
In order for other pre-award costs to be eligible for subsequent reimbursement, the project
must have met all FTA statutory, procedural and contractual requirements, including being
derived from a locally developed coordinated plan and competitively selected by the
designated recipient. Specific information is included in FTA’s annual apportionment
Notice. See Chapter VIII, Paragraph 14 for more details on pre-award authority.

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Page V-1

CHAPTER V
COORDINATED PLANNING
1. THE COORDINATED PUBLIC TRANSIT-HUMAN SERVICES TRANSPORTATION
PLAN. Federal transit law, as amended by SAFETEA–LU, requires that projects selected
for funding under the Elderly Individuals and Individuals with Disabilities (Section 5310),
Job Access and Reverse Commute (JARC), and New Freedom programs be “derived from
a locally developed, coordinated public transit-human services transportation plan” and that
the plan be “developed through a process that includes representatives of public, private,
and non-profit transportation and human services providers and participation by members
of the public.” The experiences gained from the efforts of the Federal Interagency
Coordinating Council on Access and Mobility (CCAM), and specifically the United We
Ride (UWR) Initiative, provide a useful starting point for the development and
implementation of the local public transit-human services transportation plan required
under the Section 5310, JARC and New Freedom Programs. Many States have established
UWR plans that may form a foundation for a coordinated plan that includes the required
elements outlined in this chapter and meets the requirements of 49 U.S.C. 5317.
2. DEVELOPMENT OF THE COORDINATED PUBLIC TRANSIT-HUMAN SERVICES
TRANSPORTATION PLAN.
a. Overview. A locally developed, coordinated, public transit-human services
transportation plan (“coordinated plan”) identifies the transportation needs of
individuals with disabilities, older adults, and people with low incomes, provides
strategies for meeting those local needs, and prioritizes transportation services for
funding and implementation. Local plans may be developed on a local, regional, or
statewide level. The decision as to the boundaries of the local planning areas should be
made in consultation with the State, designated recipient and the metropolitan planning
organization (MPO), where applicable. The agency leading the planning process is
decided locally and does not have to be the designated recipient.
In urbanized areas where there are multiple designated recipients, there may be multiple
plans and each designated recipient will be responsible for the competitive selection of
projects in the designated recipient’s area. A coordinated plan should maximize the
programs’ collective coverage by minimizing duplication of services. Further, a
coordinated plan must be developed through a process that includes representatives of
public and private and non-profit transportation and human services transportation
providers, and participation by members of the public. Members of the public should
include representatives of the targeted population(s) including individuals with
disabilities, older adults, and people with low incomes. While the plan is only required
in communities seeking funding under one or more of the three specified FTA
programs, a coordinated plan should also incorporate activities offered under other
programs sponsored by Federal, State, and local agencies to greatly strengthen its
impact.

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b. Required Elements. Projects competitively selected for funding shall be derived from a
coordinated plan that minimally includes the following elements at a level consistent
with available resources and the complexity of the local institutional environment:
(1) An assessment of available services that identifies current transportation providers
(public, private, and non-profit);
(2) An assessment of transportation needs for individuals with disabilities, older
adults, and people with low incomes. This assessment can be based on the
experiences and perceptions of the planning partners or on more sophisticated data
collection efforts, and gaps in service (Note: If a community does not intend to
seek funding for a particular program (Section 5310, JARC, or New Freedom),
then the community is not required to include an assessment of the targeted
population in its coordinated plan);
(3) Strategies, activities and/or projects to address the identified gaps between current
services and needs, as well as opportunities to improve efficiencies in service
delivery; and
(4) Priorities for implementation based on resources (from multiple program sources),
time, and feasibility for implementing specific strategies and/or activities
identified.
Note: FTA will consider plans developed before the issuance of final program circulars
to be an acceptable basis for project selection for FY 2007 if they meet minimum
criteria. Plans for FY 2007 should include 1) an assessment of available services; 2) an
assessment of needs; and 3) strategies to address gaps for target populations; however,
FTA recognizes that initial plans may be less complex in one or more of these elements
than a plan developed after the local coordinated planning process is more mature.
Addendums to existing plans to include these elements will also be sufficient for FY
2007. Plans must be developed in good faith in coordination with appropriate planning
partners and with opportunities for public participation.
c. Local Flexibility in the Development of a Local Coordinated Public Transit-Human
Services Transportation Plan. The decision for determining which agency has the lead
for the development and coordination of the planning process should be made at the
State, regional, and local levels. FTA recognizes the importance of local flexibility in
developing plans for human service transportation. Therefore, the lead agency for the
coordinated planning process may be different from the agency that will serve as the
designated recipient. Further, FTA recognizes that many communities have conducted
assessments of transportation needs and resources regarding individuals with
disabilities, older adults, and/or people with low incomes. FTA also recognizes that
some communities have taken steps to develop a comprehensive, coordinated, human
service transportation plan either independently or through United We Ride efforts.
FTA supports communities building on existing assessments, plans and action items.

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As all new Federal requirements must be met, however, communities may need to
modify their plans or processes as necessary to meet these requirements. FTA
encourages communities to consider inclusion of new partners, new outreach strategies,
and new activities related to the targeted programs and populations.
Plans will vary based upon the availability of resources and the existence of populations
served under these programs. A rural community may develop its plans based on
perceived needs emerging from the collaboration of the planning partners, whereas a
large urbanized community may use existing data sources to conduct a more formal
analysis to define service gaps and identify strategies for addressing the gaps.
This type of planning is also an eligible activity under three other FTA programs—the
Metropolitan Planning (Section 5303), Statewide Planning (Section 5304), and
Urbanized Area Formula (Section 5307) programs, all of which may be used to
supplement the limited (10 percent) planning and administration funding under this
program. Other resources may also be available from other entities to fund coordinated
planning activities. All “planning” activities undertaken in urbanized areas, regardless
of the funding source, must be included in the Unified Planning Work Program
(UPWP) of the applicable MPO.
d. Tools and Strategies for Developing a Coordinated Plan. States and communities may
approach the development of a coordinated plan in different ways. The amount of
available time, staff, funding, and other resources should be considered when deciding
on specific approaches. The following is a list of potential strategies for consideration.
(1) Community planning session. A community may choose to conduct a local
planning session with a diverse group of stakeholders in the community. This
session would be intended to identify needs based on personal and professional
experiences, identify strategies to address the needs, and set priorities based on
time, resources, and feasibility for implementation. This process can be done in
one meeting or over several sessions with the same group. It is often helpful to
identify a facilitator to lead this process. Also, as a means to leverage limited
resources and to ensure broad exposure, this could be conducted in cooperation or
coordination with the applicable metropolitan or statewide planning process.
(2) Self-assessment tool. The Framework for Action: Building the Fully Coordinated
Transportation System, developed by FTA and available at
www.unitedweride.gov, helps stakeholders realize a shared perspective and build
a roadmap for moving forward together. The self-assessment tool focuses on a
series of core elements that are represented in categories of simple diagnostic
questions to help groups in States and communities assess their progress toward
transportation coordination based on standards of excellence. There is also a
Facilitator’s Guide that offers detailed advice on how to choose an existing group
or construct an ad hoc group. In addition, it describes how to develop elements of
a plan, such as identifying the needs of targeted populations, assessing gaps and

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duplications in services, and developing strategies to meet needs and coordinate
services.
(3) Focus groups. A community could choose to conduct a series of focus groups
within communities that provides opportunity for greater input from a greater
number of representatives, including transportation agencies, human service
providers, and passengers. This information can be used to inform the needs
analysis in the community. Focus groups also create an opportunity to begin an
ongoing dialogue with community representatives on key issues, strategies, and
plans for implementation.
(4) Survey. The community may choose to conduct a survey to evaluate the unmet
transportation needs within a community and/or available resources. Surveys can
be conducted through mail, e-mail, or in-person interviews. Survey design should
consider sampling, data collection strategies, analysis, and projected return rates.
Surveys should be designed taking accessibility considerations into account,
including alternative formats, access to the internet, literacy levels, and limited
English proficiency.
(5) Detailed study and analysis. A community may decide to conduct a complex
analysis using inventories, interviews, GIS mapping, and other types of research
strategies. A decision to conduct this type of analysis should take into account the
amount of time and funding resources available, and communities should consider
leveraging State and MPO resources for these undertakings.
3. PARTICIPATION IN THE COORDINATED PUBLIC TRANSIT-HUMAN SERVICES
TRANSPORTATION PLANNING PROCESS. Recipients shall certify that the
coordinated plan was developed through a process that included representatives of public,
private, and non-profit transportation and human services providers, and participation by
members of the public. Note that the required participants include not only transportation
providers but also providers of human services, and members of the public (e.g.,
individuals with disabilities, older adults, and individuals with low incomes) who can
provide insights into local transportation needs. It is important that stakeholders be
included in the development and implementation of the local coordinated public transithuman services transportation plan. A planning process in which stakeholders provide their
opinions but have no assurance that those opinions will be considered in the outcome does
not meet the requirement of ‘participation.’ Explicit consideration and response should be
provided to public input received during the development of the coordinated plan.
Stakeholders should have reasonable opportunities to be actively involved in the decisionmaking process at key decision points, including, but not limited to, development of the
proposed coordinated plan document. The following possible strategies facilitate
appropriate inclusion:
a. Adequate Outreach to Allow for Participation. Outreach strategies and potential
participants will vary from area to area. Potential outreach strategies could include

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notices or flyers in centers of community activity, newspaper or radio announcements,
e-mail lists, website postings, and invitation letters to other government agencies,
transportation providers, human services providers, and advocacy groups. Conveners
should note that not all potential participants have access to the Internet and they should
not rely exclusively on electronic communications. It is useful to allow many ways to
participate, including in-person testimony, mail, e-mail, and teleconference. Any
public meetings regarding the plan should be held in a location and time where
accessible transportation services can be made available, and adequately advertised to
the general public using techniques such as those listed above. Additionally,
interpreters for individuals with hearing impairments and English as a second language
and accessible formats (e.g., large print, Braille, electronic versions) should be provided
as required by law.
b. Participants in the Planning Process. Metropolitan and statewide planning under 49
U.S.C. 5303 and 5304 require consultation with an expansive list of stakeholders.
There is significant overlap between the lists of stakeholders identified under those
provisions (e.g., private providers of transportation, representatives of transit users, and
representatives of individuals with disabilities) and the organizations that should be
involved in preparation of the coordinated plan.
The projects selected for funding under the Section 5310 , JARC, and New Freedom
Programs must be “derived from a locally developed, coordinated public transit-human
services transportation plan” that was “developed through a process that includes
representatives of public, private, and non-profit transportation and human services
providers and participation by members of the public.” The requirement for developing
the local public transit-human services transportation plan is intended to improve
services for people with disabilities, older adults, and individuals with low incomes.
Therefore, individuals, groups and organizations representing these target populations
should be invited to participate in the coordinated planning process. Consideration
should be given to including groups and organizations such as the following in the
coordinated planning process if present in the community:
(1) Transportation partners:
(a) Area transportation planning agencies, including MPOs, Councils of
Government (COGs), Rural Planning Organizations (RPOs), Regional
Councils, Associations of Governments, State Departments of Transportation,
and local governments;
(b) Public transportation providers (including Americans with Disabilities Act
(ADA) paratransit providers and agencies administering the projects funded
under FTA urbanized and nonurbanized programs);
(c) Private transportation providers, including private transportation brokers, taxi
operators, van pool providers, school transportation operators, and intercity
bus operators;

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(d) Non-profit transportation providers;
(e) Past or current organizations funded under the JARC, Section 5310, and/or the
New Freedom Programs; and
(f) Human service agencies funding, operating, and/or providing access to
transportation services.
(2) Passengers and advocates:
(a) Existing and potential riders, including both general and targeted population
passengers (individuals with disabilities, older adults, and people with low
incomes);
(b) Protection and advocacy organizations;
(c) Representatives from independent living centers; and
(d) Advocacy organizations working on behalf of targeted populations.
(3) Human service partners:
(a) Agencies that administer health, employment, or other support programs for
targeted populations. Examples of such agencies include but are not limited
to Departments of Social/Human Services, Employment One-Stop Services;
Vocational Rehabilitation, Workforce Investment Boards, Medicaid,
Community Action Programs (CAP), Agency on Aging (AoA);
Developmental Disability Council, Community Services Board;
(b) Non-profit human service provider organizations that serve the targeted
populations;
(c) Job training and placement agencies;
(d) Housing agencies;
(e) Health care facilities; and
(f) Mental health agencies.
(4) Other:
(a) Security and emergency management agencies;
(b) Tribes and tribal representatives;
(c) Economic development organizations;

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(d) Faith-based and community-based organizations;
(e) Representatives of the business community (e.g., employers);
(f) Appropriate local or State officials and elected officials;
(g) School districts; and
(h) Policy analysts or experts.
Note: Participation in the planning process will not bar providers (public or private)
from bidding to provide services identified in the coordinated planning process. This
planning process differs from the competitive selection process, and it differs from the
development and issuance of a Request for Proposal (RFP) as described in the Common
Grant Rule (49 CFR part 18).
c. Levels of Participation. The suggested list of participants above does not limit
participation by other groups, nor require participation by every group listed.
Communities will have different types of participants depending on population and size
of community, geographic location, and services provided at the local level. It is
expected that planning participants will have an active role in the development,
adoption, and implementation of the plan. Participation may remain low even though a
good faith effort is made by the lead agency to involve passengers, representatives of
public, private, and non-profit transportation and human services providers, and others.
The lead agency convening the coordinated planning process should document the
efforts it utilized, such as those suggested above, to solicit involvement.
In addition, Federal, State, regional, and local policy makers, providers, and advocates
should consistently engage in outreach efforts that enhance the coordinated process,
because it is important that all stakeholders identify the opportunities that are available
in building a coordinated system. To increase participation at the local levels from
human service partners, State Department of Transportation offices are encouraged to
work with their partner agencies at the State level to provide information to their
constituencies about the importance of partnering with human service transportation
programs and the opportunities that are available through building a coordinated
system.
d. Adoption of a Plan. As a part of the local coordinated planning process, the lead agency
in consultation with participants should identify the process for adoption of the plan. A
strategy for adopting the plan could also be included in the designated recipient’s
Program Management Plan (PMP) further described in Chapter VII.
FTA will not formally review and approve plans. The designated recipient’s grant
application (see Appendix A) will document the plan from which each project listed is
derived, including the lead agency, the date of adoption of the plan, or other appropriate

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identifying information. This may be done by citing the section of the plan or page
references from which the project is derived.
4. RELATIONSHIP TO OTHER TRANSPORTATION PLANNING PROCESSES.
a. Relationship Between the Coordinated Planning Process and the Metropolitan and
Statewide Transportation Planning Processes. The coordinated plan can either be
developed separately from the metropolitan and statewide transportation planning
processes and then incorporated into the broader plans, or be developed as a part of the
metropolitan and statewide transportation planning processes. If the coordinated plan is
not prepared within the broader process, the lead agency for the coordinated plan
should ensure coordination and consistency between the coordinated planning process
and metropolitan or statewide planning processes. For example, planning assumptions
should not be inconsistent.
Projects identified in the coordinated planning process, and selected for FTA funding
through the competitive selection process must be incorporated into both the
Transportation Improvement Program (TIP) and Statewide Transportation
Improvement Program (STIP) in urbanized areas with populations of 50,000 or more;
and incorporated into the STIP for nonurbanized areas under 50,000 in population. In
some areas, where the coordinated plan or competitive selection is not completed in a
timeframe that coincides with the development of the TIP/STIP, the TIP/STIP
amendment processes will need to be utilized to include competitively selected projects
in the TIP/STIP before FTA grant award.
The lead agency developing the coordinated plan should communicate with the relevant
MPOs or State planning agencies at an early stage in plan development. States with
coordination programs may wish to incorporate the needs and strategies identified in
local coordinated plans into statewide coordination plans.
Depending upon the structure established by local decision-makers, the coordinated
planning process may or may not become an integral part of the metropolitan or
statewide transportation planning processes. State and local officials should consider
the fundamental differences in scope, time horizon, and level of detail between the
coordinated planning process and the metropolitan and statewide transportation
planning processes. However, there are important areas of overlap between the
planning processes, as well. Areas of overlap represent opportunities for sharing and
leveraging resources between the planning processes for such activities as: (1) needs
assessments based on the distribution of targeted populations and locations of
employment centers, employment-related activities, community services and activities,
medical centers, housing and other destinations; (2) inventories of transportation
providers/resources, levels of utilization, duplication of service and unused capacity;
(3) gap analysis; (4) any eligibility restrictions; and (5) opportunities for increased
coordination of transportation services. Local communities may choose the method for
developing plans that best fits their needs and circumstances.

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b. Relationship Between the Requirement for Public Participation in the Coordinated Plan
and the Requirement for Public Participation in Metropolitan and Statewide
Transportation Planning. SAFETEA–LU strengthened the public participation
requirements for metropolitan and statewide transportation planning. Title 49 U.S.C.
5303(i)(5) and 5304(f)(3), as amended by SAFETEA–LU, require MPOs and States to
engage the public and stakeholder groups in preparing transportation plans, TIPs, and
STIPs. “Interested parties” include, among others, affected public agencies, private
providers of transportation, representatives of users of public transportation, and
representatives of individuals with disabilities.
MPOs and/or States may work with the lead agency developing the coordinated plan to
coordinate schedules, agendas, and strategies of the coordinated planning process with
metropolitan and statewide planning in order to minimize additional costs and avoid
duplication of efforts. MPOs and States must still provide opportunities for
participation when planning for transportation related activities beyond the coordinated
public transit-human services transportation plan.
c. Cycle and Duration of the Coordinated Plan. At a minimum, the coordinated plan
should follow the update cycles for metropolitan transportation plans (i.e., four years in
air quality nonattainment and maintenance areas and five years in air quality attainment
areas). However, communities and States may update the coordinated plan to align
with the competitive selection process based on needs identified at the local levels.
States, MPOs, designated recipients, and public agencies that administer or operate
major modes of transportation should set up a cycle that is conducive to and
coordinated with the metropolitan and statewide planning processes, to ensure that
selected projects are included in the TIP and STIP, to receive funds in a timely manner.
d. Role of Transportation Providers that Receive FTA Funding Under the Urbanized and
Other Than Urbanized Formula Programs in the Coordinated Planning Process.
Recipients of Section 5307 and Section 5311 assistance are the “public transit” in the
public transit-human services transportation plan and their participation is assumed and
expected. Further, 49 U.S.C. 5307(c)(5) requires that, “Each recipient of a grant shall
ensure that the proposed program of projects (POP) provides for the coordination of
public transportation services … with transportation services assisted from other United
States Government sources.” In addition, 49 U.S.C. 5311(b)(2)(C)(ii) requires the
Secretary of the DOT to determine that a State’s Section 5311 projects “provide the
maximum feasible coordination of public transportation service … with transportation
service assisted by other Federal sources.” Finally, under the Section 5311 program,
States are required to expend 15 percent of the amount available to support intercity bus
service. FTA expects the coordinated planning process in rural areas to take into
account human service needs that require intercity transportation.

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CHAPTER VI
PROGRAM MANAGEMENT AND ADMINISTRATIVE REQUIREMENTS
1. GENERAL. The basic grant management requirements for State and local governments are
contained in the U.S. Department of Transportation (DOT) regulations, “Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments,” 49 CFR part 18. The comparable DOT rule for private non-profit
organizations is “Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations,” 49 CFR
part 19. Parts 18 and 19 are collectively known as the “common rule,” or the “common
grant rule.” The provisions of these rules apply except where inconsistent with Federal
statutes or authorizing legislation.
2. PROGRAM ADMINISTRATIVE REQUIREMENTS. The common rule identifies three
areas in which the administrative requirements for State designated recipients and their
subrecipients which are governmental authorities may differ from Federal requirements for
local government designated recipients: equipment management, procurement, and
financial management systems. The basic intent of establishing common requirements in
these areas is to shift the emphasis from national uniformity to uniformity of procedures
and requirements within a State, in order to provide greater flexibility to the States in
standardizing the management of related State and Federal programs. The three areas are
discussed in detail later in this chapter.
Part 18 permits States to pass down State procedures in these three areas to subrecipients
which are governmental authorities. Part 19 does not allow States to pass down State
procedures to subrecipients which are non-profit organizations. However, so long as the
State procedures are not inconsistent with part 19, the State may apply the same procedures
for all its subrecipients. The State may use procedures which are more restrictive than part
19, but State procedures may not be more permissive than part 19. The basic intent of part
19 is to establish nationally uniform procedures and requirements for private non-profit
organizations that receive funds from multiple Federal agencies.
Designated recipients that are not States must follow the provisions in 49 CFR part 18.
Designated recipients must ensure that subrecipients that are public providers of public
transportation follow the requirements of part 18, and that subrecipients that are private
organizations (whether non-profit or for-profit) follow the requirements of part 19.
Unless an issue is specifically addressed in this circular or in other Federal Transit
Administration (FTA) guidance specific to the New Freedom Program, recipients should
review the current FTA Circular 5010.1, “Grant Management Guidelines,” which provides
guidance for other FTA programs, for project management issues not unique to New
Freedom.

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The designated recipient must enter into a written agreement with each subrecipient stating
the terms and conditions of assistance by which the project will be undertaken and
completed. If the designated recipient allows other designated recipients, in small
urbanized areas, to apply directly to FTA for New Freedom funds that have been awarded
through the competitive process, the designated recipient will enter into a supplemental
agreement with each direct recipient. The supplemental agreement will be generated in the
direct recipient’s grant application to FTA and must be electronically signed off on by the
designated recipient.
3. CAPITAL RESERVE ACCOUNTS. Recipients of New Freedom funded vehicles are
permitted to establish capital reserve accounts to replace existing equipment as long as no
FTA funds or proceeds from the sale or lease of FTA assisted property are placed in those
accounts.
4. EQUIPMENT MANAGEMENT.
a. General. Under the common grant rule, States use, manage, and dispose of equipment
acquired under a New Freedom grant in accordance with State laws and procedures.
States are free to adopt the procedures established for other public entity subrecipients
or use them as a guide in developing State procedures for equipment use, management,
and disposition, but are not required to do so. States may use the same procedures for
private non-profit subrecipients as for public entity subrecipients, so long as those
procedures are consistent with 49 CFR part 19.
Common grant rule procedures and requirements for designated recipients that are not
States, and their subrecipients are more explicit and can be found in 49 CFR 18.32.
b. Vehicle Useful Life and Replacement Standards. In keeping with the intent of the
common grant rule that States be given greater flexibility in managing and disposing of
equipment, FTA elects not to apply to the State-administered Section 5311, Section
5310, Job Access and Reverse Commute (JARC) and New Freedom programs its
policies regarding useful life standards for vehicles, vehicle replacement, or the
requirement to use the straight line depreciation method for determining fair market
value and FTA reimbursement. Instead, FTA holds States responsible for establishing
and implementing their own rolling stock requirements for all categories of vehicles
acquired under the Section 5311, 5310, JARC or New Freedom programs, consistent
with the State’s standards for equipment purchased with State funds. For these
programs only, FTA permits State designated recipients to do the following:
(1) Establish their own minimum useful life standards for vehicles;
(2) Use their own procedures for determining fair market value; and
(3) Develop their own policies and procedures for maintenance and replacement of
vehicles. Maintenance requirements and insurance coverage must be adequate to

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protect the Federal interest in the vehicle within the useful life determined by the
State.
Designated recipients that are not a State must adhere to the vehicle useful life criteria
that are detailed in the current FTA Circulars 9030.1.
c. Disposition. States and their subrecipients should follow State laws and procedures for
disposing of equipment. States are not required to return to FTA proceeds from the
disposition of equipment, regardless of the fair market value at the time the equipment
is sold, but should follow their own procedures regarding the use of proceeds, so long
as the proceeds remain in use for public transportation purposes. This blanket
disposition instruction satisfies the provision of 49 CFR part 19 requiring private nonprofit organizations to seek disposition instructions from the Federal awarding agency.
All other designated recipients and their subrecipients must follow the disposition
procedures established in part 18 of the Common Rule at 49 CFR 18.32(e). Designated
recipients are not required to return to FTA proceeds from the disposition of equipment
where the fair market value of the per unit item being disposed of is less than $5000.00
dollars. If the per unit fair market value exceeds $5000.00 dollars, FTA will calculate
the amount of proceeds it is owed based on the approved disposition method applied.
d. Transfer of Property. Title 49 U.S.C. 5334(h)(1) through (3) allows facilities and
equipment and other assets (including land) which are no longer needed for the
purposes for which they were acquired to be transferred to a local governmental
authority to be used for a public purpose with no further obligation to the Federal
government, if authorized by the Secretary of Transportation (i.e., approved by FTA).
Recipients should review the current FTA Circular 5010.1 and contact their FTA
regional office for further information.
5. VEHICLE USE. FTA encourages maximum use of vehicles funded under the New
Freedom Program. Consistent with the requirements of 49 CFR parts 18 and 19, vehicles
are to be used first for program related needs for which a New Freedom grant is made and
then to meet other transportation needs of other Federal programs or project needs,
providing that they do not interfere with the project activities originally funded. If the
equipment is no longer needed for the original program or project, the equipment may be
used in other activities currently or previously supported by a Federal agency. Vehicles
may be used:
a. For New Freedom Project and Program Purposes. The designated recipient must first
use the equipment to deliver the New Freedom Program services or to provide
additional services that are a part of the locally developed coordinated plan. The
recipient shall use the vehicle in the project or program for which it was acquired as
long as needed, even if the project does not continue to receive Federal funding.
b. For other Federal Programs or Project Purposes. During the period the vehicle is used
to serve the project or program needs for which it was acquired, the designated

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recipient or subrecipient shall make it available for use on other projects or programs,
as long as such other use does not interfere with the service for which the vehicle was
originally acquired. First preference for such other use will be given to other projects
or programs sponsored by FTA, and second preference will be given to projects or
programs previously or currently sponsored by other Federal agencies.
c. When No Longer Needed for Original Project or Program Purposes. If the original
subrecipient no longer needs the vehicle for the purposes for which it was acquired, the
designated recipient may choose to keep the vehicle in use for New Freedom Program
purposes by transferring the vehicle to another subrecipient. The transfer may be
shown in the program of projects for any active grant. It does not have to be in the
grant under which the equipment or property was originally funded. Once the vehicle
is no longer needed for New Freedom Program purposes, the vehicle may be used first
in connection with other FTA-sponsored activities, and then for activities sponsored by
other Federal agencies.
6. TITLE TO VEHICLES. The designated recipient is encouraged to either hold title or
record a lien against the title to vehicles. This is not mandatory, however. What is
mandatory is that the designated recipient establish continuing control over the vehicles
and accept the responsibility for continued public transit use of the vehicles, and more
particularly use for New Freedom purposes, whether by itself or a subrecipient. If there is
a substantial public transit benefit to be gained, such as low-cost, blanket insurance or bulk
purchase of fuels or maintenance and supplies at rates cheaper than available to the
subrecipient, then the designated recipient should consider retaining title in a governmental
entity which can provide for the same and agrees to be bound by all the terms and
conditions of the grant.
7. SATISFACTORY CONTINUING CONTROL AND RESPONSIBILITY. When capital
equipment or facilities are acquired, built, or improved, provisions must be made to assure
satisfactory continuing control of that capital equipment and facilities. While the
designated recipient may delegate these responsibilities to a subrecipient, the designated
recipient is ultimately responsible for compliance with this requirement.
8. PROCUREMENT.
a. General. When procuring property, supplies, equipment or services under an FTA
grant, the State will follow the same policies and procedures it uses for procurements
from its non-Federal funds, to the extent permitted by Federal statutes and regulations.
While the Federal threshold for small purchases is currently $100,000, the State may set
a lower threshold for itself and its subrecipients. All governmental authority
subrecipients may follow State procurement procedures. However, because of
differences between 49 CFR part 18 and 49 CFR part 19, FTA third party contracting
requirements are fewer for States and subrecipients that are local or tribal governments
than for subrecipients that are private non-profit organizations. For the sake of
consistency, the State may choose to use the more detailed FTA requirements included

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in the current FTA Circular 4220.1 for all subrecipients as part of its State procurement
procedures.
In some cases, a State may choose to grant New Freedom assistance to a subrecipient
through an intermediary subrecipient. For example, for public policy reasons, the State
might pass funds to a non-profit organization through a local governmental authority.
The arrangement between the first tier and second tier subrecipient is not a third party
contract if the ultimate subrecipient would otherwise be eligible under New Freedom to
receive funds directly from the State and the ultimate subrecipient intends to use those
funds to pursue its own New Freedom project.
Each recipient of FTA seeking Federal assistance to acquire property or services in
support of its proposed project is requested to certify to FTA, in accordance with 49
CFR 18.36 that its procurements and procurement system will comply with all
applicable third-party procurement provisions of Federal laws, regulations, and
directives, except to the extent FTA has expressly approved otherwise in writing. Any
applicant that fails to provide this certification may be determined ineligible for award
of Federal assistance if FTA determines that its procurement practices and procurement
system are incapable of compliance with Federal laws, regulations and directives
governing procurements financed with FTA assistance.
Procurement procedures used by States and their public agencies and instrumentalities
must comply with the following specific Federal procurement requirements:
(1) States. State procurement practices must, at a minimum, comply with five specific
Federal requirements contained in the current FTA Circular 4220.1. These include
the following: (1) for rolling stock, a five year limitation on contract period of
performance; (2) a requirement for full and open competition; (3) a prohibition
against geographic preferences; (4) the use of Brooks Act procedures for
procurement of architectural and engineering services if the State has not adopted a
statute governing procurement of such services; and (5) inclusion in contracts of all
Federal clauses required by Federal statutes and Executive Orders and their
implementing regulations. These clauses are identified in specific Federal
regulations cited in FTA’s Master Agreement and incorporated by reference into
the grant agreement. Additional technical assistance for third party contracting is
available in FTA's “Best Practices Procurement Manual,” which can be found
online at http://www.fta.dot.gov/ftahelpline/index.htm.
(a) Subrecipients that are Public Entities. Subrecipients that are public entities
such as local or Indian tribal governments must comply with the same Federal
requirements governing State procurements. States are responsible for
ensuring that subrecipients are aware of and comply with Federal
requirements.
(b) Subrecipients that are Private Organizations. Subrecipients that are private
organizations (whether non-profit or for-profit) must comply with FTA

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procurement requirements contained in the current FTA Circular 4220.1.
States are responsible for ensuring that private subrecipients are aware of and
comply with these additional requirements.
(2) Designated Recipients That Are Not States. Other recipients and their
subrecipients must comply with FTA procurement requirements at 49 CFR part 18
and guidance contained in the current FTA Circular 4220.1.
b. Pre-Award and Post-Delivery Reviews. Procurements for vehicles, other than sedans or
unmodified vans, must be audited in accordance with 49 CFR part 663, “Pre-Award
and Post-Delivery Audits of Rolling Stock Purchases.” Additional guidance is
available in the manual, “Conducting Pre-Award and Post-Delivery Reviews for Bus
Procurement” on FTA’s website: http://www.fta.dot.gov/laws/leg_reg_5423.html.
The regulation requires any recipient or subrecipient that purchases rolling stock for use
in revenue service with funds obligated after October 24, 1991, to conduct a pre-award
and post delivery review to assure compliance with its bid specifications, Buy America
requirements, and Federal motor vehicle safety requirements, and to complete specific
certifications. Purchase of more than 20 vehicles for use in areas under 200,000 in
population (more than 10, for large urbanized areas), other than unmodified vans or
sedans, requires in-plant inspection. In the case of consolidated procurements on behalf
of multiple subrecipients, the in-plant inspection requirement is triggered only if any
single subrecipient will receive more than 10 or more than 20 vehicles, depending on
area size.
c. New Model Bus Testing. All new and modified bus models must be tested at the FTA
sponsored test facility in Altoona, Pennsylvania, before FTA funds can be expended for
their purchase (49 CFR part 665). This requirement applies to all buses and modified
vans procured with FTA funds. It does not apply to unmodified vans, including vans
with raised roofs or lifts installed in strict conformance with the original equipment
manufacturer modification guidelines. A “new bus model” is defined as a model that
has not been used in public transportation service in the United States before October 1,
1988, or a model that has been used in such service but which, after September 30,
1988, is being produced with a major change in configuration or components. A
“major change in configuration” is defined as a change which may have a significant
impact on vehicle handling and stability or structural integrity. A “major change in
components” is defined as a change in one or more of the vehicle’s major components
such as the engine, transmission, suspension, axle, or steering.
Purchasers of new model buses should ensure that the manufacturer has complied with
the testing requirement by requesting a copy of the bus testing report from the Altoona
Bus Research and Testing Center, 2237 Old Route 220 North, Duncansville, PA
16635. The center’s telephone number is 814–695–3404. Bus testing reports may also
be downloaded from the Bus Testing Database at www.altoonabustest.com. This
website also offers users the ability to search, filter, display, and export selected data
from tested buses. Before expending any FTA funds for a new model bus, the

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purchaser must certify that it has obtained a copy of the official bus testing report.
Information in the reports may be useful to operators throughout the vehicle
procurement process, particularly when writing specifications.
d. Buy America. Title 49 U.S.C. 5323(j) provides that, with exceptions, Federal funds
may not be obligated for public transportation projects unless steel, iron, and
manufactured products used in such projects are produced in the United States. New
Freedom designated recipients and subrecipients must conform with FTA regulations,
49 CFR part 661, and any amendments thereto. Buy America requirements apply to all
purchases, including materials or supplies funded as operating costs, if the purchase
exceeds the threshold for small purchases (currently $100,000).
A manufacturer or supplier of steel, iron, or manufactured goods may be permitted to
correct, after bid opening, an incomplete certification or a certification of
noncompliance under certain circumstances if submission of the incorrect certification
was the result of an inadvertent or clerical error. In addition, 49 U.S.C. 5323(j)(9) now
allows a party adversely affected by an FTA action the right to seek review.
e. Disadvantaged Business Enterprises. Recipients shall ensure that each transit vehicle
manufacturer, as a condition of being authorized to bid or propose on FTA-assisted
transit vehicle procurements, certify that it has complied with the requirements of 49
CFR Part 26.
9. DEBARMENT AND SUSPENSION. The purpose of the Governmentwide Debarment
and Suspension (Nonprocurement) regulations (49 CFR part 29) is to ensure that Federal
assistance funds are not provided to anyone who has been debarred, suspended, ineligible,
or voluntarily excluded from participation in Federally-assisted transactions. The U.S.
General Services Administration (GSA) maintains a website, at www.epls.gov, which is
updated in real time as changes to the data occur. GSA’s Excluded Parties List System
provides a single comprehensive list of individuals and firms excluded by Federal
government agencies from receiving federal contracts or federally approved subcontracts
and from certain types of federal financial and nonfinancial assistance and benefits.
a. U.S. DOT regulations, “Governmentwide Debarment and Suspension
(Nonprocurement),” 49 CFR part 29, requires disclosure of the status of persons and
entities participating in:
(1) Third party contracts or subagreements of $25,000 or more at any tier,
(2) Third party contracts of any amount for Federally required audit services (such as
those required under the Single Audit Act Amendments), and
(3) Third party contracts or subagreements requiring official DOT approval.
b. Both participants in third party contracts of any tier and subagreements of any tier are
expected to assure the status of persons participating therein.

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(1) The awarding party must verify that the person is not excluded or disqualified by:
(a) Checking the Excluded Parties List System (EPLS) maintained by the General
Services Administration (GSA) and available at http://epls.gov [strongly
recommended by FTA], or
(b) Collecting a certification from the prospective awardee, or
(c) Adding a clause or condition to the third party contract or subagreement with
that awardee.
c. In addition, the recipient and awardees participating in lower tier transactions are
required to extend these requirements to their awardees.
(1) The prospective awardee in turn must notify the recipient or third party contractor
(person at the next higher tier) if it knows whether or not it or any of its principals
is presently excluded or disqualified under the these regulations.
10. FINANCIAL MANAGEMENT.
a. Financial Management Systems.
(1) Designated recipients that are States. The common grant rule requires a designated
recipient that is a State to expend and account for grant funds in accordance with
State laws and procedures for expending and accounting for its own funds. Fiscal
control and accounting procedures of the State, as well as its subrecipients and
cost-type contractors must be sufficient to:
(a) Permit preparation of reports described in this circular and reports necessary
to comply with other program and statutory requirements; and
(b) Permit the tracing of funds to a level of expenditures adequate to establish that
such funds have not been used in violation of the restrictions and prohibitions
applicable to the program.
Private subrecipients must comply with the standards for financial management
systems provided in 49 CFR part 19. If States purchase vehicles and equipment
for subrecipients, and subrecipients receive no cash, this requirement does not
apply.
(2) Designated recipients that are not States. The Financial management system for
designated recipients that are not States must meet the standards set forth in 49
CFR 18.20(b) of the common grant rule. These standards include:
(a) Financial reporting. Accurate, current, and complete disclosure of the
financial results of financially-assisted activities must be made in accordance

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with the financial reporting requirements of the designated recipient or
subrecipient.
(b) Accounting records. Designated recipients and subrecipients must maintain
records which adequately identify the source and application of funds
provided for financially assisted activities. These records must contain
information pertaining to designated recipient or subrecipient awards and
authorizations, obligations, unobligated balances, assets, liabilities, outlays or
expenditures, and income.
(c) Internal control. Effective control and accountability must be maintained for
all designated recipient and subrecipient cash, real and personal property, and
other assets. Designated recipients and subrecipients must adequately
safeguard all such property and must assure that it is used solely for
authorized purposes.
(d) Budget control. Actual expenditures or outlays must be compared with
budgeted amounts for each designated recipient or subrecipient. Financial
information must be related to performance or productivity data, including the
development of unit cost information whenever appropriate or specifically
required in the designated recipient or subrecipient agreement. If unit cost
data are required, estimates based on available documentation will be
accepted whenever possible.
(e) Allowable cost. Applicable Office of Management and Budget (OMB) cost
principles, agency program regulations, and the terms of designated recipient
and subrecipient agreements will be followed in determining the
reasonableness, allowability, and allocability of costs.
(f) Source documentation. Accounting records must be supported by such source
documentation as cancelled checks, paid bills, payrolls, time and attendance
records, contract and subrecipient award documents, etc.
(g) Cash management. Procedures for minimizing the time elapsing between the
transfer of funds from the U.S. Treasury and disbursement by designated
recipients and subrecipients must be followed whenever advance payment
procedures are used. Designated recipients must establish reasonable
procedures to ensure the receipt of reports on subrecipients’ cash balances and
cash disbursements in sufficient time to enable them to prepare complete and
accurate cash transactions reports to the awarding agency. When advances
are made by letter-of-credit or electronic transfer of funds methods, the
designated recipient must make drawdowns as close as possible to the time of
making disbursements. Designated recipients must monitor cash drawdowns
by their subrecipients to assure that they conform substantially to the same
standards of timing and amount as apply to advances to the designated
recipients.

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b. FTA Payment Procedures. FTA makes all payments by electronic funds transfer,
regardless of the dollar amount involved. Payments are made under the Electronic
Clearing House Operation Web (ECHO-Web) system, by means of a control number
assigned to the State. The State agrees to comply with the ECHO-Web requirements
contained in the U.S. Department of Treasury Regulations, 31 CFR part 205, “Rules
and Procedures for Efficient Federal-State Funds Transfers,” and as established by the
“Guidelines for Disbursements” set forth in FTA’s ECHO-Web system operations
manual. Detailed information about ECHO-Web can be found in Appendix A. In
general:
(1) The designated recipient may initiate cash drawdowns only when actually needed
for immediate disbursements for project purposes. The designated recipient must
disburse the funds drawn down according to their Treasury-State Agreement or
Subpart B of 31 CFR part 205. The designated recipient’s access to the ECHOWeb system may be revoked or suspended, or other remedies may be invoked, if
the designated recipient fails to expend the Federal funds within a reasonable
period, to return the funds to FTA within a reasonable period, or is unwilling or
unable to establish procedures that will minimize the time elapsing between cash
advances and the disbursement.
(2) Costs incurred and available balances are reported annually on an accrual basis, on
the Financial Status Report in FTA’s Transportation Electronic Award and
Management (TEAM) System.
(3) The designated recipient agrees to provide for control and accountability for all
project funds consistent with Federal requirements and procedures for use of the
ECHO-Web system.
(4) The designated recipient may not draw down funds for a project in an amount that
would exceed the sum obligated by FTA or the current available balance for that
project.
(5) The designated recipient shall limit drawdowns to eligible project costs and ensure
that subrecipients also follow applicable financial requirements.
c. Financial Records. FTA does not maintain detailed financial records on individual
projects within a program of projects. Financial records, supporting documentation,
and all other records pertinent to a designated recipient must be retained by the
designated recipient (and its subrecipients) and must be made readily available to
authorized representatives of DOT and the Comptroller General of the United States for
a period of three years from the date the State electronically submits the final Financial
Status Report (SF–269A). If any litigation, claim or audit is started before the
expiration of the three-year period, the records must be retained beyond three years,
until all litigation, claims, or audit findings involving the records have been resolved.

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The designated recipient’s financial records should adequately document the
computation of the Federal share and the provision of the required local share for each
kind of project. The eligibility of any Americans with Disabilities Act of 1990 (ADA),
clean air, or bicycle projects for which the increased Federal share is claimed should be
adequately documented.
11. ALLOWABLE COSTS. Office of Management and Budget (OMB) Circular A–87
(codified at 2 CFR part 225) provides the Federal guidelines for allowable costs for
recipients that are governmental authorities. OMB Circular A–122 (codified at 2 CFR part
230) provides comparable guidance for non-profit organizations. Expenses such as indirect
costs or payments to a self-insurance fund must be documented appropriately. The
restrictions on advertising and public relations permit advertising and public relations for
“specific purposes necessary to meet the requirements of the Federal award.” Similar
provisions are also contained in A–122. Transit marketing and promotion are allowable
project costs under these provisions, since transit ridership is the ultimate purpose of the
Federal designated recipient.
12. CLOSEOUT. Designated recipients should initiate project closeout with subrecipients
within 90 days after all funds are expended and all work activities for the project are
completed. The designated recipient should similarly initiate program of project (POP)
closeout with FTA within 90 days after all work activities for the program of projects are
completed. A final Financial Status Report (SF 269A), final budget and final program of
projects must be submitted electronically via the TEAM system at the time of closeout.
FTA expects grants awarded for a specific program of projects to be completed within a
reasonable, specified time frame, generally not to exceed two to three years. Although this
circular provides designated recipients a great deal of flexibility in developing and
subsequently revising programs of projects, it is not FTA’s intent that grants be continually
revised or amended in ways which will excessively prolong the life of the grant, and
consequently result in a large number of active New Freedom grants. If small amounts of
funds remain in an inactive grant, the designated recipient should request that the funds be
deobligated and the project closed out. If the deobligated funds are still within their period
of availability, FTA can reobligate the funds in a new grant to the designated recipient
along with other currently available funds. Otherwise the deobligated funds lapse to the
designated recipient and are reapportioned by FTA among all the recipients in the
population category of the designated recipient in a subsequent year.
13. AUDIT. Designated recipients are responsible for ensuring that audits are performed
pursuant to the requirements of OMB Circular A–133, “Audits of State and Local
Governments,” resolving audit findings, and bringing problems to FTA’s attention. FTA
has not required an annual financial audit of a subrecipient when assistance is provided
solely in the form of capital equipment procured directly by the designated recipient. Even
if the amount of FTA funds the designated recipient passes to a particular subrecipient does
not trigger the requirement for an A–133 audit, the designated recipient may wish to review
A–133 audit reports prepared for subrecipients that are required to be audited because the

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total Federal funds from all sources exceed the threshold (currently $500,000). At a
minimum, designated recipients should require subrecipients to bring to the attention of the
designated recipient any audit findings relevant to their use of FTA funds.
14. REAL PROPERTY. Real property acquisition standards are included in the current FTA
Circular 5010.1, “Grant Management Guidelines” and in Chapter VIII, “Other Provisions.”
Subrecipients of a State may use the State’s staff appraisers to prepare required
independent appraisals.
15. CONSTRUCTION MANAGEMENT AND OVERSIGHT. The responsibility for
construction management and oversight lies with the designated recipient. FTA does not
approve design plans for construction projects.
16. REPORTING REQUIREMENTS.
a. Annual Program of Projects Status Reports. By October 31 each year, the designated
recipient for small urbanized, rural areas, and other direct recipients for small urbanized
areas should submit to FTA a program status report for each active grant, covering the
12-month period ending September 30. Designated recipients in large urbanized areas
must submit quarterly status reports. Status reports are intended to meet minimal
program information needs at the regional and national levels. Reports should include
an updated program of projects for each approved grant which contains active projects.
The updated program of projects should reflect project descriptions, changes in projects
from one category to another, and adjustments if applicable. The updated program of
projects can be attached in the electronic status report.
If revisions to the program of projects result in changes to the line item budget for the
grant, these changes should be submitted as budget revisions. Significant civil rights
compliance issues occurring during the year (such as Title VI, Equal Employment
Opportunity (EEO), or Disadvantaged Business Enterprise (DBE) Program complaints
against the State or subrecipients) should be addressed in the annual status report. In
addition, the designated recipient may report notable accomplishments or problems
involving New Freedom subrecipients.
b. Milestone Activity Reports. For activity line items (ALIs) for which milestones were
required at the time of recipient application (for example, for vehicle procurements,
construction projects, and program reserve), the recipient should enter revised
milestone dates as part of the report. If the estimated completion date for the grant has
changed, the revised date should be entered, with an explanation as to why the date has
changed.
c. Program Measures. As indicated in Chapter 2, FTA will be capturing overall program
measures to be used with the Government Performance Results Act and the
Performance Assessment Rating Tool process for the Office of Management and
Budget (OMB). The following indicators are targeted to capture overarching program
information as part of the Annual Report that each grantee submits to FTA. Designated

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recipients should submit both quantitative and qualitative information as available on
each of the following measures:
(1) Services provided that impact availability of transportation services for individuals
with disabilities as a result of the New Freedom projects implemented in the
current reporting year. Examples include geographic coverage, service quality
and/or service times.
(2) Additions or changes to environmental infrastructure (e.g., transportation facilities,
side walks, etc), technology, vehicles that impact availability of transportation
services as a result of the New Freedom projects implemented in the current
reporting year.
(3) Actual or estimated number of rides (as measured by one-way trips) provided for
individuals with disabilities as a result of the New Freedom projects implemented
in the current reporting year.
The designated recipient should ensure that the above information is reported for all
recipients and subrecipients of New Freedom funding in projects selected by the
designated recipient, including those that were transferred to Section 5307 or 5311 for
administration. The designated recipient may consolidate information for all projects in
the annual report for any open New Freedom grant awarded to the designated recipient.
If New Freedom funds have been awarded to other direct recipients pursuant to a
supplemental agreement with the designated recipient, that direct grantee may report on
behalf of itself and any subrecipients.
d. Financial Status Report. The recipient must submit electronically a quarterly or annual
Financial Status Report for each active grant for the reporting period. For the purpose
of this report, funds are considered encumbered when agreements are signed with
subrecipients. Reports should be prepared using the accrual method of accounting.
e. Disadvantaged Business Enterprise (DBE) Reports. If the recipient receives planning,
capital, and/or operating assistance and will award prime contracts exceeding $250,000
in FTA funds in a fiscal year, DOT regulations require the recipient to have a DBE
program. All subrecipients that receive planning, capital, and/or operating assistance
and will award prime contracts exceeding $250,000 in FTA funds in a fiscal year must
also have a DBE program. FTA recipients who meet the thresholds above must submit
a DBE program goal to FTA for review by August 1 of each year. Detailed
requirements are described in Chapter VIII, “Other Provisions.”
17. MANAGEMENT PLAN. The State Management Plan (SMP) is a document that describes
the State’s policies and procedures in administering the New Freedom Program. The SMP
required for the New Freedom, JARC, Section 5311 and 5310 programs may be included in
the same document. All States are required to have an approved SMP on file in the FTA
regional office. Additions or amendments to the SMP must be made and submitted to FTA
whenever a State significantly changes its management of the program, or when new

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program management requirements are imposed by FTA. Changes may be required as the
result of a State management review by FTA. Guidance on the contents of the SMP is
included in Chapter VII, State Management Plan.
Designated recipients that are not States must also have a Program Management Plan
(PMP). This plan can be one plan for the New Freedom Program or a combined plan for
New Freedom and JARC and shall adhere to the “Management Plan” provisions in Chapter
VII.
18. MANAGEMENT REVIEW. FTA’s administration of New Freedom results in relatively
little Federal involvement in the day-to-day program activities or in the review of
individual applications from subrecipients. In order to ensure that the program objectives
are being met, the FTA regional office, with contractor assistance, conducts periodic State
management reviews every three years or as circumstances warrant. The review includes
an inspection of documentation on file at the regional office, a visit to the State offices to
examine the procedures the State uses in administering the program, and local site visits.
The review assesses the accuracy and adequacy of the SMP, and may result in
recommendations for changes to the SMP. A draft report with preliminary findings is
presented at an exit conference. The State has an opportunity to comment on the report and
to take corrective actions before a final report is issued. The regional office follows up on
corrective actions required in the final report.
FTA periodically conducts State management review seminars to help States understand
the Federal requirements being reviewed and to provide technical assistance. Recipients
may contact the regional office for a current schedule of seminars.
FTA management of other designated recipients will occur through the monitoring of grant
progress and activities by FTA regional offices and from the triennial reviews that are
conducted by FTA’s Office of Oversight on designated New Freedom recipients that also
receive Section 5307 funding. Designated recipients that are not a State or a Section 5307
recipient may be subject to periodic spot reviews that include: an inspection of
documentation on file at the regional office, a visit to the designated recipient’s offices to
examine the procedures used in administering the program, and local site visits. The
review assesses the accuracy and adequacy of the PMP, and may result in
recommendations for changes to the PMP. A draft report with preliminary findings is
presented at an exit conference. The designated recipient has an opportunity to comment
on the report and to take corrective actions before a final report is issued.
19. OTHER FTA REVIEWS. FTA also conducts more specific compliance reviews in
particular areas, for example financial management, procurement, drug and alcohol testing
compliance, and the various aspects of civil rights compliance, usually in response to a risk
assessment or other indication of a possible problem. Reviews of subrecipients are
coordinated with the State or designated recipient.

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CHAPTER VII
STATE AND PROGRAM MANAGEMENT PLANS
1. GENERAL. The State Management Plan (SMP) is a document that describes the State’s
policies and procedures for administering FTA’s Section 5310 and 5311 programs and the
State-managed portions of the Job Access and Reverse Commute (JARC) and New
Freedom Programs. Section 5310 and 5311 are entirely State-managed programs while
JARC and New Freedom are managed in part by the State and in part by the designated
recipients in large urbanized areas (over 200,000 in population). The Program
Management Plan (PMP) is a document that describes the designated recipient’s policies
and procedures for administering FTA’s JARC and New Freedom Programs in a large
urbanized area. The requirements for the PMP are the same as those for the SMP with the
exception that the PMP is developed by designated recipients in large urbanized areas and
pertains only to the JARC and New Freedom Programs.
Each designated recipient 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. The designated recipient shall provide an
opportunity for review by stakeholders when it develops a new plan or significantly revises
an existing plan. Certain contents of the SMP/PMP, such as the project selection criteria,
should be coordinated with the statewide transportation plan. SMPs and PMPs for Section
5310, 5311, JARC and New Freedom programs may be included in a single document or
separate documents. All public documents developed under a grant from FTA must be
prepared and submitted in electronic format.
2. PURPOSE. The SMP/PMP is intended to facilitate both designated recipient management
and FTA oversight by documenting the State’s and designated recipient’s procedures and
policies for administering the New Freedom Program. The SMP/PMP should be a
document that is useful to the designated recipient and subrecipients, as well as to FTA. At
a minimum, this document must include the designated recipient’s program objectives,
policies, procedures, and administrative requirements, in a form readily accessible to
potential local subrecipients, designated recipient staff, FTA, and the public. The
SMP/PMP’s primary purposes are to serve as the basis for FTA to perform designated
recipient-level management reviews of the program, and to provide public information on
the designated recipient’s administration of the New Freedom Program. It may also be
used internally by the designated recipient as a program guide for local project applicants.
If the designated recipient has relevant documentation that provides the same information
requested for the SMP/PMP, that documentation may be included by reference, as an
attachment.
3. MANAGEMENT PLAN REVIEWS. FTA conducts State management reviews to examine
each State’s management procedures, and the relationship of the procedures to the SMP.
When a State management review is scheduled, FTA and its contractors examine the SMP
on file as part of a desk review at the regional office to determine whether the procedures in

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the SMP satisfy current requirements. At the site visit, the reviewers document whether or
not the State is following its own stated procedures. Review findings relating to the SMP
might include recommendations that the State revise the SMP to reflect its actual
procedures, or that it change its procedures and document them in revisions to the SMP. In
the case of designated recipients that are Section 5307 recipients, the PMP will be reviewed
during triennial reviews.
4. MANAGEMENT PLAN CONTENT. While there is no prescribed format for the
SMP/PMP, the plan should address the following topics and provide the information as
requested for each topic below:
a. Program Goals and Objectives. Describe the philosophy and policy underlying the
designated recipient’s management of the New Freedom Program. Include a
description of any process that exists for establishing long-term goals for providing
transportation service to individuals with disabilities in the designated recipient’s
service area, including the process for long range planning and consultation with
elected officials.
b. Roles and Responsibilities. Specify the agency designated by the chief executive officer
of a State to administer the New Freedom Program. Explain the respective roles and
responsibilities of the designated recipient and its subdivisions, other designated
recipient agencies or review boards, local governments, private providers, local
applicants, and other involved parties.
c. Coordination. Describe how the designated recipient coordinates with other agencies at
the designated recipient level and encourages and enhances coordination at all levels of
service. This could include a description of any designated recipient-level coordinating
mechanisms, legislation, review boards, and designated recipient policies that
encourage or mandate coordination at other levels.
d. Eligible Subrecipients. Describe which entities are eligible to apply for funds, and
describe any designated recipient eligibility requirements that are more restrictive than
Federal eligibility requirements.
e. Local Share and Local Funding Requirements. Describe any designated recipient
policies on provision of local matching share. Include a description of any programs
which provide matching funds for FTA programs.
f. Project Selection Criteria and Method of Distributing Funds. Describe the designated
recipient’s competitive selection process for selecting projects and distributing funds
among various applicants, including the policy rationale and the methods used. This
description should include the designated recipient’s procedures for (1) assuring equity
of distribution of benefits among eligible groups, as required by Title VI of the Civil
Rights Act; (2) assuring that projects were selected from a locally developed
coordinated plan; and (3) documenting evidence that the local coordinated plan was

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developed in cooperation with stakeholders, including individuals with disabilities
utilizing transportation services.
g. Annual Program of Projects Development and Approval Process. Describe the
designated recipient’s process and timetable for soliciting, reviewing, and approving
applications for local projects to be included in the designated recipient’s annual
program of projects (POP). The SMP/PMP may include instructions to potential
subrecipients on how to prepare local project applications.
h. Administration, Planning and Technical Assistance. Describe how the designated
recipient uses New Freedom funds within the 10 percent limitation for administration,
planning, and technical assistance. Also describe additional resources including
planning, technical, management assistance the designated recipient makes available to
local areas and/or subrecipients.
i. Transfer of Funds. Describe any policy the designated recipient has for transfer of New
Freedom funds to Section 5311 or 5307 programs, and for transfer of flexible funds.
j. Private Sector Participation. Describe the designated recipient’s procedures for
providing for maximum feasible participation by private providers of public
transportation.
k. Civil Rights. Describe how the designated recipient meets Federal civil rights
requirements and monitors subrecipients to ensure compliance with the requirements of
Title VI, Equal Employment Opportunity (EEO), and Disadvantaged Business
Enterprise (DBE) Program. The designated recipient management plan must include
the program-specific Title VI requirements detailed in Chapter VIII, “Other
Provisions,” including the designated recipient’s efforts to assist minority applicants
and to include subrecipients serving significant minority populations. (Inclusion in the
PMP may satisfy certain requirements for one-time submissions in the civil rights
areas).
l. Section 504 and ADA Reporting. Describe the designated recipient’s method for
monitoring subrecipients’ compliance with Section 504 and Americans with
Disabilities Act of 1990 (ADA) regulations and for processing the plans, reports and
certifications submitted to it under the provisions of those regulations.
m. Program Measures. Describe the designated recipient’s method for collecting and
reporting the data for program measurement described in Chapter II and Chapter VI of
this circular.
n. Designated Recipient Program Management. Describe how the designated recipient
administers its program management responsibilities in such areas as procurement,
financial management, property management, vehicle use, maintenance and disposition,
accounting systems, audit and close-out. In addition, include any designated recipient
procedures for management or financial reviews and project monitoring or on-site

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reviews. Describe any standards set by the designated recipient for matters such as
productivity, cost-effectiveness, or service standards. Detail any designated recipient
reporting requirements.
o. Other Provisions. Describe the process by which the designated recipient complies with
other Federal requirements such as environmental protection, Buy America provisions,
pre-award and post-delivery reviews, restrictions on lobbying, prohibition on exclusive
school transportation, and drug and alcohol testing, including the designated recipient’s
procedures for monitoring compliance by subrecipients.
5. MANAGEMENT PLAN REVISIONS. All designated recipients must have an SMP/PMP
approved by FTA on file with the FTA regional office. An approved SMP/PMP remains
valid until FTA approves a later plan submitted by the designated recipient, or an FTA
designated recipient management review results in a specific request to the designated
recipient by FTA for a revised SMP/PMP, or FTA announces significant new program
documentation requirements. FTA strongly encourages the designated recipient to issue
timely revisions to the SMP/PMP, particularly when information helpful to minority
applicants, subrecipients, and third party contractors is involved. When the designated
recipient proposes major changes to the SMP/PMP, the designated recipient should give an
opportunity to comment at the minimum to potential subrecipients of assistance, potential
service providers, other designated recipient agencies and representatives of other funding
sources, and any relevant designated recipient associations and professional organizations.
If revisions are substantive, but not pervasive, the designated recipient may submit changes
and additions in the form of page changes which can be approved by FTA and incorporated
into the SMP/PMP on file. If the designated recipient changes the SMP/PMP significantly,
however, it should submit the entire revised plan to FTA for approval. The designated
recipient is responsible for ensuring that FTA has a complete copy of the current
SMP/PMP. The designated recipient may submit minor changes and technical corrections
to FTA to update the approved plan, without the need for additional FTA approval. The
designated recipient should ensure that its SMP/PMP reflects current requirements of this
circular, and revise the SMP/PMP if necessary. Designated recipients should submit new
or updated SMP/PMPs as needed to meet these requirements to FTA by November 1, 2007.

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CHAPTER VIII
OTHER PROVISIONS
1. INTRODUCTION. In addition to the program-specific requirements and guidance provided
in this circular, FTA grantees are held to a number of FTA-specific and other Federal
requirements. This chapter attempts to summarize those requirements and provide 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. Readers should use this chapter in conjunction with FTA’s
“Master Agreement” and the current fiscal year “Certifications and Assurances” that
grantees must sign annually (via the Transportation Electronic Award and Management
(TEAM) system) to establish or renew their funding relationship with FTA. The Master
Agreement and the Certifications and Assurances represent the grantees’ legal affirmation
to abide by FTA and other Federal requirements that are applicable to their grant programs.
Some of the topics covered in the Master Agreement and the Certifications and Assurances
are summarized below, as a reminder to grant recipients of their obligations to FTA. More
information about individual requirements can be found in the Master Agreement and the
Certifications and Assurances on the TEAM website (http://ftateamweb.fta.dot.gov), and
in the references provided below. Grantees may contact their FTA Regional Counsel for
more detail about these requirements.
2. PROCUREMENT RESTRICTIONS. An applicant seeking Federal assistance pursuant to
the Federal transit laws as codified at 49 U.S.C. 5301 et seq. to acquire property or services
in support of a proposed project is subject to numerous provisions of law pertaining to
third-party procurement requirements. SAFETEA–LU recodified FTA’s procurement
requirements in 49 U.S.C. 5325. In addition, regulations promulgated at 49 CFR part 18
(Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments) establish uniform administrative rules for Federal grants,
cooperative agreements and subawards to State, local and Indian tribal governments
(private, non-profit organizations must comply with similar regulations in 49 CFR part 19).
Provisions of the common rule pertaining to procurement requirements for FTA recipients
are set forth at 49 CFR 18.36. Those requirements, as well as other FTA specific
provisions, are also set forth in FTA’s Master Agreement (FTA MA(13) October 1, 2006,
as amended) at Section 15, Procurement, updated annually with the issuance of each new
Master Agreement. Finally, FTA has published additional guidance relative to recipients’
compliance with third-party procurement requirements in the current FTA Circular 4220.1
and its “Best Practices Procurement Manual.” The regulations and guidance are intended
to ensure full and open competition and equitable treatment of all potential sources in the
procurement process including planning, solicitation, award, administration and
documentation of all Federally-funded contracts.
Each recipient of FTA seeking Federal assistance to acquire property or services in support
of its proposed project shall certify to FTA, in accordance with 49 CFR 18.36, that its

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procurements and procurement system will comply with all applicable third-party
procurement provisions of Federal laws, regulations, and directives, except to the extent
FTA has expressly approved otherwise in writing. Any applicant that fails to provide this
certification may be determined ineligible for award of Federal assistance, if FTA
determines that its procurement practices and procurement system are incapable of
compliance with Federal laws, regulations and directives governing procurements financed
with FTA assistance.
3. PUBLIC HEARING REQUIREMENTS. The public hearing requirement in 49 U.S.C.
5323(b) for capital projects was changed by SAFETEA–LU. The law now associates more
clearly the public involvement and hearing requirements for capital projects with the
environmental review required by the National Environmental Policy Act (NEPA) and its
implementing regulations. It also broadens the requirement to apply to all capital projects
(as defined in 49 U.S.C. 5302). Now, the grant applicant must provide an adequate
opportunity for public review and comment on a capital project, and, after providing notice,
must hold a public hearing on the project if the project affects significant economic, social,
or environmental interests. These requirements will be satisfied through compliance with
the NEPA requirements for a public scoping process, public review and comment on
NEPA documents, and a public hearing on every draft environmental impact statement
(EIS). FTA will also require a public hearing on environmental assessments (EAs) that
have a high probability of being elevated to EISs, ensuring that the applicant has complied
with the public hearing requirement to include in the environmental record for the project.
Pursuant to 49 U.S.C. 5323(b), any application for a project that will “substantially affect a
community or the public transportation service of a community” shall include a
certification to the effect that the applicant has:
a. Provided an adequate opportunity for public review and comment on the project;
b. After providing notice, held a public hearing on the project if the project affects
significant economic, social, or environmental interests;
c. Considered the economic, social, and environmental effects of the project; and
d. Found that the project is consistent with official plans for developing the community.
Title 49 U.S.C. 5323(b)(2) further states, “Notice of hearings under this subsection shall
include a concise description of the proposed project; and shall be published in a
newspaper of general circulation in the geographic area the project will serve.”
Title 49 U.S.C. 5323(b) must be read in concert with 49 U.S.C. 5324(b) which states that
FTA must review the public comments and hearing transcript to ascertain that an adequate
opportunity to present views was given to all parties having a significant economic, social,
or environmental interest in the project, and that FTA must make a written finding to this
effect.

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FTA notes the public hearing requirements of 49 U.S.C. 5323(b) are separate and apart
from the requirements for public participation in statewide and metropolitan planning. All
capital projects financially supported by FTA are subject to statewide transportation
planning requirements and, in metropolitan areas, to metropolitan planning requirements.
FTA and FHWA have codified procedures for compliance with the statewide and
metropolitan planning statutory mandates – including the mandates for public participation
in the development of long-range plans and Transportation Improvement Programs (TIPs)
– in the two agencies’ joint planning regulations. (See 23 CFR part 450 and 49 CFR part
613). The practical effect of these statewide and metropolitan planning requirements is to
provide the opportunity for the public to be informed about and comment on transportation
investment decisions, regardless of whether that project will “substantially” affect a
particular community and its public transportation service.
4. ENVIRONMENTAL PROTECTIONS. FTA’s environmental impact regulation (49 CFR
part 622, referencing 49 CFR part 771) requires different levels of analysis and
documentation for the various types of projects funded through its programs. Most projects
and activities funded through the New Freedom Program do not normally involve
significant environmental impacts. Such projects are termed “categorical exclusions
(CEs)” in FTA’s procedures because they are types of projects that have been categorically
excluded from the requirement to prepare an environmental document. In the annual
certifications and assurances, the State assures FTA that all the projects in the application
are CEs under 23 CFR 771.117(c) unless otherwise noted. The regulation classifies
categorically excluded actions and projects into two groups.
The first group, described at 23 CFR 771.117(c), contains activities and projects that have
very limited or no environmental effects at all, such as planning and technical studies,
preliminary design work, program administration, operating assistance, and transit vehicle
purchases. Because environmental impacts of these activities are either nonexistent or
minimal, no environmental documentation is required.
The second group of projects, described at 23 CFR 771.117(d), which normally qualify for
a CE, are projects involving more construction and greater potential for off-site impacts.
Examples include new construction or expansion of transit terminals, storage and
maintenance garages, office facilities, and parking facilities. Experience has shown that
these projects can be built and operated without causing significant impacts if they are
carefully sited in areas with compatible land use where the primary access routes are
adequate to handle the additional transit vehicle traffic. These construction projects may be
designated as CEs after FTA approval, but no presumption exists concerning the
significance of environmental effects. It is the applicant’s responsibility to provide
documentation that clearly demonstrates that the stated conditions or criteria are met and
that no significant adverse effects will result. Such documentation is usually narrowly
focused on one or a limited number of environmental concerns or questionable areas.
Depending on the circumstances, some technical analysis may be required, such as a noise
impact assessment or a street capacity analysis; but in most cases, the documentation will
focus on consistency with local land-use plans, zoning and any State or local plans or

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programs governing the protection and management of environmental resources, such as
air quality, water quality and noise abatement. The documentation will provide a written
record of coordination with those State and local agencies having jurisdiction or a special
interest in some aspect of the project. There is no formal public review for these types of
environmental studies. FTA reviews this information and determines if a CE is
appropriate. In order to include or advance such a project to Category A, the State must
have on file a letter from FTA approving the CE. (See Chapter IV for discussion of the
categories of approval.)
For any project which is not found to be a CE, the designated recipient may be required to
prepare an EA for public comment and FTA review to determine if a finding of no
significant impact (FONSI) is appropriate. A project which requires an EA may not be
included in Category A before FTA has issued a FONSI for the project. In the unlikely
event that significant environmental impacts are identified for a New Freedom project, an
EIS will be required.
A number of environmentally related statutes, orders, and compliance procedures may
apply to a given project even if it is properly classified as a CE. The environmental
requirements which may come into play for New Freedom projects include the following:
Clean Air Act (CAA) conformity provisions; protection of public parkland, wetland and
waterfowl refuges, and historic sites (49 U.S.C. 303); Section 106 of the National Historic
Preservation Act (protection of historic and archaeological resources); and Section 404 of
the Clean Water Act (Corp of Engineers’ permit requirements for dredge and fill activities
in “waters of the United States”). FTA policy is to require compliance with these
environmentally related requirements within the overall environmental process. The EA or
environmental documentation to support a CE must address these related requirements.
Compliance with these requirements must be completed before a construction project is
included in Category A.
For purposes of NEPA, FTA’s procedures categorically exclude most New Freedom
projects. Recipients should screen potential projects when they are first identified to make
an initial determination as to which projects clearly meet the FHWA/FTA criteria for CEs
and which projects may require additional documentation. The latter should be coordinated
with the FTA regional office early in project development so that any necessary
environmental analysis and review will not delay implementation. Any project involving
new construction of a facility or substantial rehabilitation of an existing facility must be
discussed with FTA to determine the need for information supporting a CE and the
applicability of any additional environmental requirements. Early coordination is also
necessary to identify those projects for which the State must prepare an EA. If an EA is
required, further steps to develop the project will not be authorized (e.g., property
acquisition, final design, and construction) until FTA makes a final environmental finding
for the project. Any Category B project that is not in the list of CEs in 23 CFR 771.117(c)
requires environmental clearance from FTA before being advanced to Category A. Chapter
IV provides additional information on the categories of approval within the program of
projects.

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5. CLEAN AIR ACT. The principal Clean Air Act requirement with which FTA-funded
projects must comply is the transportation conformity process. The conformity
requirements are contained in an Environmental Protection Agency regulation (40 CFR
part 93) and they apply in areas that currently violate one or more of the national ambient
air quality standards (nonattainment areas) and also in areas that once violated the
standards but have since been redesignated to attainment status by EPA (so-called
maintenance areas). The transportation conformity process applies not only to Federallyfunded projects but also to long-range transportation plans and transportation improvement
programs (TIPs). Determining conformity for transportation plans and TIPs is the
responsibility of the MPO. Determining conformity for individual projects is the project
sponsor’s responsibility. Major transit infrastructure projects, e.g., new fixed guideway
projects and extensions, will be analyzed at both the regional and local scales.
The transportation conformity regulation reserves detailed air quality analysis for large
projects which have the potential to create new violations or make existing violations
worse. There is also a list of exempt highway and transit projects in the regulation that do
not require any analysis. Many transit projects are exempt from the conformity
requirements and can be processed expeditiously. Regardless of the type of project being
considered, early consultation with FTA is essential in nonattainment and maintenance
areas to establish what the requirements are and how best to satisfy them. The FTA
regional office can also provide information on selected provisions of other laws that
support clean air objectives—for example, FHWA’s Congestion Mitigation and Air Quality
(CMAQ) Improvement Program. Over the years, local transit agencies have benefited
greatly from this program as a supplementary source of funding for transit. The CMAQ
Program has its own eligibility requirements with which FTA’s regional offices are
familiar.
6. PRIVATE SECTOR PARTICIPATION. Federal law requires the public to be involved in
the transportation planning process, and specifically requires that private providers be
provided an opportunity to be consulted in developing transportation plans and programs in
both urbanized and rural areas. Public involvement processes must be proactive and
provide complete information, timely public notice, full public access to key decisions, and
opportunities for early and continuing involvement throughout the transportation planning
and programming process.
The most comprehensive FTA document regarding private enterprise requirements is a
report titled Private Enterprise Participation in Transportation Planning and Service
Delivery. The report is available on FTA’s website at:
http://www.fta.dot.gov/documents/Private_Enterprise_Brochure.doc or
http://www.fta.dot.gov/laws/leg_reg_180.html.
7. REAL PROPERTY ACQUISITION AND RELOCATION ASSISTANCE. If a grant
applicant intends to use Federal financial assistance in a project which will require the
acquisition of real property, the applicant must provide assurances—required by the
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as

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amended (Uniform Act)—that it will comply with the Uniform Act and with U.S.
Department of Transportation (DOT) implementing regulations (49 CFR part 24).
The Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally-Assisted Programs regulations, at 49 CFR part 24, implement a government-wide
regulation that applies to all Federal or Federally-assisted activities that involve the
acquisition of real property or the displacement of people. As such, the regulation is
specific in naming certain actions that must be taken to achieve uniformity in the treatment
of property owners and displaced persons. Grantees in the process of planning a Federallyassisted project that will require the displacement of persons should be aware of the
regulatory need for relocation planning during the early stages of project development.
Title 49 CFR part 24 is available from the Government Printing Office website at:
http://www.access.gpo.gov/nara/cfr/waisidx_99/49cfr24_99.html. The grantee should
also be aware of State laws regarding compensation for real property and requirements for
relocation of people and personal property.
Real property may be contributed as part of the local matching share. Credit can be
allowed only for that portion of the property needed to carry out the scope of the project.
Federal funds must not have been used to purchase any property proposed as local
matching share. The contribution-in-kind property will be valued at its current market
value and when incorporated into the project will be subject to the same reporting and
disposition requirements required of all project property.
8. PRE-AWARD AND POST DELIVERY REVIEWS. FTA requires grant recipients
purchasing a certain number of revenue passenger rolling stock to undertake reviews of the
rolling stock both before the award of the contract and following delivery of the vehicles.
The intention is to improve compliance with Buy America requirements, the grantee’s bid
specifications, and Federal Motor Vehicle Safety Standards. The requirement to undertake
the pre-award and post-delivery reviews arises from 49 U.S.C. 5323(m) and is specified in
FTA regulations at 49 CFR part 663. Compliance must be certified on the Annual List of
Certifications and Assurances.
SAFETEA–LU amended this requirement so that procurements of 20 vehicles or fewer,
purchased for serving rural areas and cities of less than 200,000 population, are not subject
to the review procedure. In urbanized areas of greater than 200,000 population, the reviews
are not necessary for a purchase of 10 or fewer vehicles. The procurement of unmodified
vans, in any quantity, is not subject to the review requirement.
When a State or designated recipient undertakes a consolidated procurement on behalf of
several subrecipients of FTA funds, the requirement for a resident inspector at the
manufacturing site depends upon the number of buses in a subrecipient’s order. That is, for
example, although a designated recipient may order 30 vehicles, if no subrecipient expects
to receive more than 20 of the vehicles (more than 10 for a large urbanized area
subrecipient), the designated recipient is not required to place an inspector on site. If more
than 20 vehicles are ordered for a single subrecipient an on-site inspector is required, and

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may be provided by either the designated recipient or the subrecipient. In addition, if the
on-site inspector is used on one subrecipient’s order, then this meets the on-site inspection
requirement for the designated recipient procurement even though there are other
subrecipient orders of more than 20 vehicles. A designated recipient or subrecipient in a
large urbanized area must have an inspector on site if either will receive more than 10
vehicles.
In carrying out the reviews, it may be useful to obtain a copy of the manual, “Conducting
Pre-Award and Post-Delivery Reviews for Bus Procurements,” available on FTA’s website
at http://www.fta.dot.gov/laws/leg_reg_5423.html. Also, for buses that have been tested
at the Altoona Bus Testing Center, the grantee must obtain a copy of the test report.
9. LABOR PROTECTIONS.
a. Davis-Bacon Act. For FTA programs, 49 U.S.C. 5333(a) imposes Davis-Bacon Act
prevailing wage requirements. This provision applies only to construction projects. In
the event that a project involves construction, Section 5333(a) requires the Secretary to
ensure that all laborers and mechanics employed by contractors or subcontractors in the
performance of construction work financed with the assistance of loans or grants under
Chapter 53 be paid wages at rates not less than those prevailing on similar construction
in the locality as determined by the Secretary of Labor in accordance with the DavisBacon Act, as amended. The Secretary may not approve any such loan or grant without
first obtaining “adequate assurance” that required labor standards would be maintained
upon the construction work. This assurance is obtained when recipients accept grant
funds and sign the Master Agreement.
b. Transit Employee Protection. Title 49 U.S.C. 5333(b) does not apply to the New
Freedom Program.
10. CIVIL RIGHTS. The recipient agrees to comply with all applicable civil rights statutes and
implementing regulations including, but not limited to, the following:
a. Nondiscrimination in Federal Transit Programs. The recipient agrees to comply, and
assures the compliance of each third party contractor at any tier and each subrecipient
at any tier under the Project, with the provisions of 49 U.S.C. 5332. These provisions
prohibit discrimination on the basis of race, color, creed, national origin, sex, or age,
and prohibit discrimination in employment or business opportunity.
b. Nondiscrimination—Title VI. The recipient agrees to comply, and assures the
compliance of each third party contractor at any tier and each subrecipient at any tier of
the Project, with all of the following requirements under Title VI of the Civil Rights
Act of 1964:
(1) Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.),
provides that no person in the United States shall, on the ground of race, color, or
national origin, be excluded from participation in, be denied the benefits of, or be

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subjected to discrimination under any program or activity receiving Federal
financial assistance;
(2) U.S. DOT regulations, “Nondiscrimination in Federally-Assisted Programs of the
Department of Transportation—Effectuation of Title VI of the Civil Rights
Act,”49 CFR part 21;
(3) The current FTA Circular 4702.1 “Nondiscrimination Guidelines for FTA
Recipients.” This document provides FTA recipients and subrecipients with
guidance and instructions necessary to comply with the DOT Title VI
regulations (49 CFR part 21), the U.S. DOT’s Order to Address Environmental
Justice in Minority Populations (62 FR 18377, Apr. 15, 1997), and U.S. DOT
Policy Guidance Concerning Recipient’s Responsibilities to Limited English
Proficient (LEP) Persons (70 FR 74087, December 14, 2005);
(4) U.S. DOT Order to Address Environmental Justice in Minority Populations and
Low-Income Populations. This Order describes the process that the Office of the
Secretary of Transportation and each operating administration will use to
incorporate environmental justice principles (as embodied in Executive Order
12898 on Environmental Justice) into existing programs, policies, and activities;
and
(5) U.S. DOT Policy Guidance Concerning Recipients’ Responsibilities to Limited
English Proficient (LEP) Persons. This guidance clarifies the responsibilities of
recipients of Federal financial assistance from DOT and assists them in fulfilling
their responsibilities to limited English proficient (LEP) persons, pursuant to Title
VI of the Civil Rights Act of 1964 and implementing regulations.
c. Equal Employment Opportunity. The recipient agrees to comply, and assures the
compliance of each third party contractor and each subrecipient at any tier of the
Project, with all equal employment opportunity (EEO) requirements of Title VII of the
Civil Rights Act of 1964, as amended, (42 U.S.C. 2000e), and 49 U.S.C. 5332 and any
implementing requirements FTA may issue.
d. Nondiscrimination on the Basis of Sex. The recipient agrees to comply with all
applicable requirements of Title IX of the Education Amendments of 1972, as
amended, (20 U.S.C. 1681 et seq.), with implementing DOT regulations,
“Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving
Federal Financial Assistance,” 49 CFR part 25, and with any implementing directives
that DOT or FTA may promulgate, which prohibit discrimination on the basis of sex.
e. Nondiscrimination on the Basis of Age. The recipient agrees to comply with all
applicable requirements of the Age Discrimination Act of 1975, as amended, (42
U.S.C. 6101 et seq.), and implementing regulations, which prohibit employment and
other discrimination against individuals on the basis of age.

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f. Nondiscrimination on the Basis of Disability. The recipient agrees to comply, and
assures the compliance of each third party contractor and each subrecipient at any tier
of the Project, with the applicable laws and regulations, discussed below, for
nondiscrimination on the basis of disability.
(1) Section 504 of the Rehabilitation Act of 1973 (Section 504), as amended (29
U.S.C. 794), prohibits discrimination on the basis of disability by recipients of
Federal financial assistance.
(2) The Americans with Disabilities Act of 1990 (ADA), as amended (42 U.S.C.
Section 12101 et seq.), prohibits discrimination against qualified individuals with
disabilities in all programs, activities, and services of public entities, as well as
imposes specific requirements on public and private providers of transportation.
(3) U.S. DOT regulations implementing Section 504 and the ADA include 49 CFR
parts 27, 37, and 38. Among other provisions, the regulations specify accessibility
requirements for the design and construction of new transportation facilities;
require that vehicles acquired (with limited exceptions) be accessible to and usable
by individuals with disabilities, including individuals using wheelchairs; require
public entities, including a private non-profit entity “standing in the shoes” of the
State as a subrecipient providing fixed-route service, to provide complementary
paratransit service to individuals with disabilities who cannot use the fixed-route
service; and include service requirements intended to ensure that individuals with
disabilities are afforded equal opportunity to use transportation systems.
(4) In addition, recipients of any FTA funds should be aware that they also have
responsibilities under Titles I, II, III, IV and V of the ADA in the areas of
employment, public services, public accommodations, telecommunications, and
other provisions, many of which are subject to regulations issued by other Federal
agencies.
g. Disadvantaged Business Enterprise (DBE). To the extent required by Federal law,
regulation, or directive, the recipient agrees to take the following measures to facilitate
participation by DBEs:
(1) The recipient agrees and assures that it will comply with SAFETEA–LU Section
1101(b), 23 U.S.C. 101 note, which requires DOT to ensure that not less than 10
percent of funds authorized for highway and transit financial assistance programs
be expended through small business concerns owned and controlled by socially
and economically disadvantaged individuals.
(2) The recipient agrees and assures that it will comply with DOT regulations,
“Participation by Disadvantaged Business Enterprises in Department of
Transportation Financial Assistance Programs,” 49 CFR part 26. Among other
provisions, this regulation requires recipients of DOT Federal financial assistance,
namely State and local transportation agencies, to establish goals for the

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participation of disadvantaged entrepreneurs and certify the eligibility of DBE
firms to participate in their DOT-assisted contracts.
(3) The recipient agrees and assures that it shall not discriminate on the basis of race,
color, sex, national origin or disability in the award and performance of any third
party contract, or subagreement supported with Federal assistance derived from
DOT or in the administration of its DBE program and will comply with the
requirements of 49 CFR part 26. The recipient agrees to take all necessary and
reasonable steps set forth in 49 CFR part 26 to ensure nondiscrimination in the
award and administration of all third party contracts and subagreements supported
with Federal assistance derived from DOT. As required by 49 CFR part 26 and
approved by DOT, the recipient’s DBE program is incorporated by reference and
made part of the Grant Agreement or Cooperative Agreement. The recipient
agrees that implementation of this DBE program is a legal obligation, and that
failure to carry out its terms shall be treated as a violation of the Grant Agreement
or Cooperative Agreement. Upon notification DOT to the recipient of a failure to
implement its approved DBE program, DOT may impose sanctions as provided for
under 49 CFR part 26 and may, in appropriate cases, refer the matter for
enforcement under 18 U.S.C. 1001, and/or the Program Fraud Civil Remedies Act,
(31 U.S.C. 3801 et seq).
For further guidance, refer to the Federal laws, regulations, and Executive Orders cited in
this chapter. FTA’s regional civil rights officers or headquarters civil rights staff will also
provide current guidance on request.
11. DRUG AND ALCOHOL TESTING. Recipients or subrecipients that receive only Job
Access and Reverse Commute (JARC), New Freedom, or Elderly Individuals and
Individuals with Disabilities (Section 5310) Program assistance are not subject to FTA’s
Drug and Alcohol testing rules, but must comply with the Federal Motor Carrier Safety
Administration (FMCSA) rule for employees who hold Commercial Driver’s Licenses
(CDLs) (49 CFR part 382). New Freedom recipients and subrecipients that also receive
funding under one of the covered FTA programs should include any employees funded
under New Freedom project in their testing program.
An FTA compliant testing program, as required by the receipt of FTA operating or capital
funding (5307, 5309, 5311), can be used for New Freedom employees; there is no need to
have two testing programs. Employees of a subrecipient of New Freedom funds from a
designated recipient of another FTA program (such as 5307 or 5311) should also be
included in the designated recipient’s testing program.
In the interest of safety of transit operations, recipients of funding from the 5307 Urbanized
Area Formula Program, 5309 Capital Program, 5311 Nonurbanized Area Formula
Program, and other programs as determined by the Secretary are required by 49 U.S.C.
5331 to establish drug and alcohol testing programs. The purpose of the testing program is
to help prevent accidents, fatalities, and injuries resulting from misuse of alcohol or the use

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of prohibited drugs by employees who perform safety-sensitive functions. Grant recipients
identified above must also certify annually that they are in compliance with DOT and FTA
regulations concerning drug and alcohol testing (49 CFR parts 40 and 665). Compliance
with the regulations is a condition of FTA funding. Where applicable, recipients of FTA
funding are required to comply with Federal Railroad Administration (FRA) regulations
and to FMCSA and United States Coast Guard (USCG) regulations concerning drug and
alcohol programs.
To assure compliance with the drug and alcohol testing requirements, FTA has
promulgated a regulation titled, “Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operations” (49 CFR part 655). The regulation applies to recipients of funds
identified above. The regulation requires that FTA recipients follow the drug and alcohol
testing procedures found in applicable FTA (49 CFR part 655) and DOT (49 CFR part 40)
regulations.
FTA’s regulation applies to “employers,” and the term employer is defined as “a recipient
[of FTA funding] or other entity that provides public transportation service or which
performs a safety-sensitive function for such recipient or other entity.” The term includes
subrecipients, operators, and contractors. The direct recipient of FTA funding, however,
remains responsible to FTA both for carrying out the regulations and for ensuring that any
person or organization performing a safety-sensitive function on its behalf is in compliance
with FTA regulations. Applicability to capital funding is limited to revenue operations; it
does not apply to construction phases of funded projects.
FTA’s regulation requires testing of employees who perform a safety-sensitive function,
which is defined in 49 CFR part 655.4. The regulation requires the following six types of
testing: pre-employment for drugs (including transfer from a non-safety-sensitive position
to a safety-sensitive position); reasonable suspicion; random; post-accident; return-to-duty;
and follow-up.
FTA’s regulation requires each employer to establish and implement a substance abuse
prevention program consisting primarily of a testing program but with elements requiring
training, educating, and evaluating safety-sensitive employees. The regulation requires the
development of a detailed policy statement that must be distributed to all safety-sensitive
employees and employee organizations. In addition, 49 CFR part 655 Subpart D
establishes alcohol concentration levels and prohibited behavior, and employers are
directed to take specific action on the basis of the level of alcohol concentration. Technical
assistance materials and training information to help grantees implement the rules are
available at the website (http://www.fta.dot.gov—click on “Safety & Security”) or
through contacting the FTA Office of Safety and Security, FTA Headquarters.
12. DRUG-FREE WORKPLACE. In accordance with the Drug-Free Workplace Act of 1988
(41 U.S.C. 701 et seq.), and 49 CFR part 32, each recipient is required to maintain a drugfree workplace for all employees and to have an anti-drug policy and awareness program.
The grant applicant must agree that it will provide a drug-free workplace and comply with

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all requirements of 49 CFR part 32. These provisions apply only to FTA’s direct recipients
and do not extend to subrecipients.
The recipient is required to provide a written Drug-Free Workplace policy statement
notifying employees that the unlawful manufacture, distribution, dispensing, possession, or
use of a controlled substance is prohibited in the workplace and stating specific actions that
will be taken for violations.
The ongoing drug-free awareness program must inform employees about the dangers of
drug abuse; about any available drug counseling, rehabilitation, and employee assistance
programs; about penalties that may be imposed; and that employees are to be aware that the
recipient operates a drug-free workplace.
An employee of an FTA grantee is required to report in writing any conviction for a
violation of a criminal drug statute occurring in the workplace, and the recipient/employer
is required to provide written notice to FTA within 10 days of having received the notice.
Within 30 days of receiving the notice of a conviction, the recipient/employer must have
taken appropriate action against the employee or have required participation in a drug
abuse assistance or rehabilitation program.
Technical assistance materials and training information to help grantees implement the
Drug-Free Workplace and Drug and Alcohol Testing rules are available through FTA’s
Office of Safety and Security, FTA Headquarters.
13. RESTRICTIONS ON LOBBYING. Federal financial assistance may not be used to
influence any Member of Congress or an officer or employee of any agency in connection
with the making of any Federal contract, grant, or cooperative agreement. The State,
subrecipients, and third party contractors at any tier awarded FTA assistance exceeding
$100,000 must sign a certification so stating and must disclose the expenditure of nonFederal funds for such purposes. 49 CFR part 20.
Other Federal laws also govern lobbying activities. For example, Federal funds may not be
used for lobbying Congressional Representatives or Senators indirectly, such as by
contributing to a lobbying organization or funding a grass-roots campaign to influence
legislation (31 U.S.C. 1352). These laws do not prohibit general advocacy for transit.
Providing information to legislators about the services a recipient provides in the
community is not prohibited, nor is using non-Federal funds for lobbying, so long as the
required disclosures are made.
14. PRE-AWARD AUTHORITY.
a. General. FTA provides blanket, or automatic, pre-award authority in certain program
areas described below. This pre-award authority allows grantees to incur certain
project costs before grant approval and retain their eligibility for subsequent
reimbursement after grant approval. The grantee assumes all risk and is responsible for
ensuring that all conditions are met to retain eligibility. This automatic pre-award

FTA C 9045.1
5/1/2007

Page VIII-13

spending authority permits a grantee to incur costs on an eligible transit capital or
planning project without prejudice to possible future Federal participation in the cost of
the project or projects.
The authorization of formula funds or appropriation of funds for discretionary projects
and publication of those projects in FTA’s annual Federal Register Notice of
Apportionments and Allocations triggers pre-award authority for design and
environmental work on the project. Following authorization of formula funds or
appropriation and publication of discretionary projects, pre-award authority for other
capital projects including property acquisition, demolition, construction, and acquisition
of vehicles, equipment, or construction materials is triggered by completion of the
environmental review process with FTA’s signing of an environmental Record of
Decision (ROD), a Finding of No Significant Impact (FONSI), or a determination that
the project is categorically excluded, and included in the State Transportation
Improvement Plan (STIP).
FTA strongly encourages all recipients to consult with the appropriate FTA regional
office regarding the eligibility of the project for future FTA funds and the applicability
of the conditions and Federal requirements.
Pre-award authority for operating and planning projects under the formula grant
programs is not limited to the authorization period. However, there is no pre-award
authority for JARC or New Freedom projects before being competitively selected. (See
Chapter III for discussion of pre-award authority of administrative funds.)
b. Conditions. In general, all Federal grant requirements must be met at the appropriate
time for the project to remain eligible for Federal funding. Specifically,
(1) Pre-award authority is not a legal or implied commitment that the project(s) will be
approved for FTA assistance or that FTA will obligate Federal funds.
Furthermore, it is not a legal or implied commitment that all items undertaken by
the applicant will be eligible for inclusion in the project(s).
(2) All FTA statutory, procedural, and contractual requirements must be met.
(3) The recipient must take no action that prejudices the legal and administrative
findings that the Federal Transit Administrator must make in order to approve a
project.
(4) Local funds expended by the recipient pursuant to and after the date of the preaward authority will be eligible for credit toward local match or reimbursement if
FTA later makes a grant for the project(s) or project amendment(s). Local funds
expended by the recipient before the date of the pre-award authority will not be
eligible for credit toward local match or reimbursement. Furthermore, the
expenditure of local funds on activities such as land acquisition, demolition, or
construction before the date of pre-award authority for those activities (i.e., the

Page VIII-14

FTA C 9045.1
5/1/2007

completion of the NEPA process) would compromise FTA’s ability to comply with
Federal environmental laws and may render the project ineligible for FTA funding.
(5) The Federal amount of any future FTA assistance awarded to the recipient for the
project will be determined on the basis of the overall scope of activities and the
prevailing statutory provisions with respect to the Federal/local match ratio at the
time the funds are obligated.
(6) For funds to which the pre-award authority applies, the authority expires with the
lapsing of the fiscal year funds.
(7) When a grant for the project is subsequently awarded, the Financial Status Report,
in TEAM-Web, must indicate the use of pre-award authority.
(8) More information and updates regarding pre-award authority can be found in
FTA’s annual apportionment notice published in the Federal Register.
15. SAFETY AND SECURITY. FTA’s authority in the area of transit safety is set forth in 49
U.S.C. 5329. Under this section, FTA may conduct investigations into safety hazards and
security risks associated with a condition in equipment, a facility, or an operation financed
under Chapter 53 in order to establish the nature and extent of the condition and how to
eliminate, mitigate, or correct it. FTA may also require local jurisdictions to submit a plan
for eliminating, mitigating, or correcting the deficiency. Finally, FTA may withhold
further financial assistance from any grantee that fails to correct any safety and security
deficiency.
FTA has entered into a Memorandum of Understanding with the American Association of
State Highway and Transportation Officials (AASHTO), the American Public
Transportation Association (APTA) and the Community Transportation Association of
America (CTAA) that supports the transit industry and Federal commitment to bus safety,
and supports a model bus safety program to which all the signatories of this agreement
have agreed to subscribe. The program will also focus on addressing the needs of rural and
small urban providers.
16. LEASE VERSUS BUY CONSIDERATIONS. A grantee may use capital funds to lease
capital assets from another party in cases where it is determined that leasing would be more
cost effective than either purchasing or constructing the asset. Recipients with pre-award
authority must conduct the cost comparison before entering into the lease. Recipients
should refer to regulations for further details on conducting the cost effectiveness
comparison (49 CFR part 639).
Recipients should submit the cost comparison to the appropriate FTA regional office for
review before entering into the lease or before approval of the grant which supports the
lease. The cost comparison should be retained on file for later review or audit. When a
recipient intends to enter into a lease of considerable duration (rather than paying for the
lease in a lump sum at the beginning of the lease period), the recipient must be able to

FTA C 9045.1
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Page VIII-15

complete the acquisition with local funds in the event FTA funds are not available in later
years.
When a recipient receives a Congressional earmark for a project and proposes to enter into
a capital lease for some element of the project, the recipient must submit the cost
comparison for FTA approval as part of the grant application. Recipients should review
OMB Circular A-94 for the necessary discount rate to be used in making the cost
effectiveness determination.
17. SCHOOL TRANSPORTATION. Title 49 U.S.C. 5323(f) prohibits the use of FTA funds
for exclusive school bus transportation for school students and school personnel. The
implementing regulation (49 CFR part 605) does permit regular service to be modified to
accommodate school students along with the general public (so called “tripper service”).
For the purpose of FTA’s school bus regulation, Headstart is a social service, not a school
program. Rules for the Headstart program limit the types of vehicles which may be used to
transport children participating in a Headstart program. FTA recipients may operate multifunctional vehicles which meet the safety requirements for school transportation, but may
not provide exclusive school service.
18. COMMERCIAL DRIVER’S LICENSE. All drivers of vehicles designed to transport 16 or
more passengers (including the driver) must have a CDL. Mechanics that drive the
vehicles must also have a CDL.

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FTA C 9045.1
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Appendix A
Page 1 of 7

APPENDIX A
INSTRUCTIONS FOR PREPARING A GRANT APPLICATION TO FTA
1. PRE-APPLICATION STAGE.
a. System Access. Applications for Federal Transit Administration (FTA) grant program
funds must be submitted electronically through the Transportation Electronic Award
and Management (TEAM) system. Applicants must have access to the FTA’s TEAM
system in order to enter a grant. If an applicant does not have access to TEAM, the
applicant’s representative should contact the appropriate FTA regional office for
assistance. Contact information for FTA regional offices can be found in Appendix E.
b. Planning. Before grant application submittal, project planning requirements shall be
complete and properly documented. Project activities to be funded shall be included in
a Federally-approved State Transportation Improvement Program (STIP) for capital
and/or operating projects or Unified Planning Work Program (UPWP) for planning
projects. In addition, all New Freedom grant applications shall be derived from a
locally developed, coordinated public transit-human service transportation plan, which
should be integrated into and consistent with the metropolitan and statewide planning
processes. (See Chapter V for more details.)
c. Environmental Determination. The impact that a proposed FTA assisted project will
have on the environment shall be evaluated and documented in accordance with the
National Environmental Policy Act (NEPA) of 1969 (42 U.S.C. 4321 et seq.), before
grant application.
d. Annual Submission of Certifications and Assurances. A grant applicant applying for
assistance under the New Freedom Program, or any other FTA grant program, must
annually submit certifications and assurances that are applicable to the grant applicant’s
grant requests during the fiscal year. The certifications and assurances are discussed in
Chapter IV, “Program Development.” The certifications and assurances should be
examined annually for changes and additions resulting from legislation.
e. Civil Rights Submissions. Civil Rights submissions that may be required include a Title
VI Plan, Equal Employment Opportunity (EEO) Program, Disadvantaged Business
Enterprise (DBE) Program and annual goal, and ADA Paratransit Plan. The FTA
Regional Civil Rights Officer must verify that all required Civil Rights submissions are
current at the time that the grant application is entered into TEAM. The required
documentation must be submitted before the official submission of the grant. A grant
applicant should maintain readily available records of FTA approvals of civil rights
submissions in the event a question concerning compliance should arise. (See Chapter
VIII, “Other Provisions,” paragraph 10, “Civil Rights.”)
f. Recipient’s Allocation Letter. If the State is allowing a public entity in small urbanized
area under 200,000 in population to apply for funds directly from FTA, or if the

Appendix A
Page 2 of 7

FTA C 9045.1
5/1/2007

designated recipient in an urbanized area over 200,000 in population is allowing
designated Section 5307 recipients to apply for funds directly from FTA, the designated
recipient of New Freedom funds should submit a letter annually that shows the
allocation of the New Freedom funds for the fiscal year and the projects that were
competitively selected to receive funding. This letter is only necessary if the State is
allowing a public entity in small urbanized area under 200,000 in population to apply
for funds directly from FTA. The direct recipient may submit this information to FTA
while initiating the grant process in TEAM.
g. Urbanized Area Allocation Split Letter, Submission of this information is required
when there is more than one designated recipient of New Freedom funds in an
urbanized area. FTA expects local officials through any process agreeable to the
designated recipients, to notify FTA of how each year’s allocation of New Freedom
funds should be divided.
h. Transferred Funds. The request for transfer of funds should be made before applying
for the grant in TEAM, if the grant application will fund projects using funds
transferred from other programs. This includes funds flexed from the Federal Highway
Administration (FHWA). (See Chapter III, “General Program Information,” paragraph
8, “Transfer of Funds”).
2. APPLICATION STAGE (TEAM INFORMATION). Applicants for New Freedom
Program funds should submit their grant applications electronically through the TEAM.
TEAM is a database accessible via the Internet (http://ftateamweb.fta.dot.gov). The
TEAM User Guide provides detailed information on how to access and use FTA’s TEAM
System. The user guide covers the creation, submission, award, and execution of a grant
application; reporting requirements, grant amendments, budget revisions, and close-out
procedures are also addressed. Information that should be entered into TEAM when
preparing an application includes:
a. Recipient Information. Applicants should enter all required information about their
organization in the appropriate fields in TEAM, including: recipient address, union
information, Urbanized Area Identification Number (UZA ID), Congressional
district(s), Data Universal Numbering System (DUNS) Number, etc. The information
shall be current and accurate for each grant and periodically updated as changes occur.
b. Project Information. Applicants should identify whether the application is a new grant,
a grant amendment, or a budget revision. The project start/end date, program date, EO
12372 review date, metropolitan planning organization (MPO) concurrence date (if
applicable), and grant project costs shall be identified.
(1) Project description. This information must be in sufficient detail for FTA to obtain
a general understanding of the nature and purpose of the planned activities. The
Program of Projects (POP) should be included in this section. At a minimum, the
POP should identify subrecipients funded through the grant application and the
projects being implemented by each subrecipient. There is a specific text field for

FTA C 9045.1
5/1/2007

Appendix A
Page 3 of 7

this information associated with each activity line item (ALI). Project activities
shall be sufficiently described to assist the reviewer in determining eligibility under
the program and shall include the page number of the coordinated plan from which
the project was derived, as well as the date the plan was adopted.
(2) Program DATE and PAGE (STIP/UPWP). All projects for capital and operating
funds in the grant application must be included in the current STIP. The STIP is
jointly approved by FTA and FHWA. FTA funds cannot be obligated unless the
STIP is approved by FTA. The application should note the page(s) in the most
recently approved STIP on which the project(s) contained in the application are
listed. The electronic system has a field designated “program date” where the date
of the most recent FTA/FHWA STIP approval should be entered. If the grant
includes planning activities the UPWP date should be entered here, if possible, or
in the project details section.
c. Budget. The appropriate scopes and ALIs should be used when developing the project
budget. All sources of funds shall be identified and confirmed. All rolling stock
procurements shall include vehicle description and fuel type; expansion activities shall
include discussion on vehicle needs. The project budget should reflect the precise
activities for which the grant funds will be used, and the budget should be prepared in
accordance with requirements for specific funding programs. If the grant contains
funding for tribal governments, the non-add scope (992–00) should also be added to the
budget and identify the amount of funding in the application allocated to tribes. The
non-add scope does not affect the total funds in the budget; it simply allows FTA to
query the funding amounts upon request. If the grant contains Intelligent
Transportation Systems (ITS) components the appropriate non-add scopes (993–00–
Fleet Management, 994–00—Electronic Fare, and 995–00—Traveler Information)
should be used to allow tracking of funding levels spent on ITS activities.
d. Project Milestones. Estimated completion dates for all milestones should be provided;
revenue vehicles have particular milestone requirements. If milestones are not
prepopulated by the TEAM system for a particular ALI, use the add function to add
milestones for that ALI to the grant application.
e. Environmental Findings. The application should include a proposed classification of
each ALI in accordance with FHWA/FTA Environmental Impact and Related
Procedures. (See 23 CFR parts 771.115 and 771.117.) Grant applicants should refer to
part 771.117(c) and (d) for a listing of the Class II projects. Most New Freedom funded
projects meet the criteria for a categorical exclusion (CE) and require no further action.
However, if a project does not clearly meet the criteria for a CE, a grant applicant is
strongly encouraged to contact the FTA regional office for assistance in determining
the appropriate environmental review process and level of documentation necessary.
f. Fleet Status. Fleet status data is not required for New Freedom grant applications.

Appendix A
Page 4 of 7

FTA C 9045.1
5/1/2007

g. Application Submission. Once FTA deems the activities eligible and determines that all
pre-application requirements have been satisfied, a grant number is assigned. At this
point, the grant is ready to be pinned (approved) and submitted in TEAM by the
designated recipient/grantee.
h. Certification of Labor Protective Arrangements. Department of Labor (DOL)
certification is not applicable to grants funded under the New Freedom Program.
i. Grant Approval. Once FTA staff determines through a final review of the application
that FTA program requirements have been met, FTA awards and obligates funds
requested in the grant.
j. Grant Execution. After FTA has approved and awarded the grant, the applicant shall
execute the award before funds can be drawn down from the grant. Grants that include
pre-award activity require the submission of a financial status report before grant
execution.

New Freedom Application Checklist on Next Page

FTA C 9045.1
5/1/2007

Appendix A
Page 5 of 7

3. NEW FREEDOM APPLICATION CHECKLIST.
Part I—Recipient Information
1.
Are Annual Certifications & Assurances pinned?
2.

Is the Grantee Contact & Other information
Complete?

3.

Is UZA/Congressional District information entered
and accurate?

4.

Is union contact information entered and accurate?

Has Civil Rights Program Documentation been
approved by FTA?
6.
Has the applicants DUNS Number been entered in
the appropriate field?
Part II—Project Details
1
Does the Project Description (including the POP
and other attachments) include adequate
descriptive information of funded subrecipients
and projects?
Part III—Project Information
Have the following fields been completed if applicable?
1
New Application or Amendment?

Part IV—Budget
1.
Are activity line item (ALI) codes entered
under the appropriate scope codes?
2.
Have funding percentages been verified to
ensure that Federal funds are not over the
allowable share?
3.
Does the funding amount entered in the
budget match financial information entered
in the “Project Information” field?
a.
Federal Funds

5.

2.

Start/End Date?

3.

Program Date (STIP date)
(UPWP if planning activities included)?
Have control totals been entered by the grantee?

4.

5.
6.

If pre-award authority is applicable, has “yes” been
selected?
Has the EO 12372 Review been completed, if
applicable?

b.

Local Match

4.

Does the rolling stock (vehicle) line item
contain accurate information such as:
a.
Description
b.
Fuel Type

5.

Details (Extended Budget Description)
a.

Has descriptive information been added
in the details section of each ALI that
identifies the items being funded using
the line item?
6. If the grant contains funding to tribal govt’s, has
a non-add scope been added to the grant that shows
the funds allocated to tribes?
Part V—Project Milestones
1.

Are milestones listed for each ALI? (If an
ALI does not have milestones, they should
be added.)
2.
Have estimated completion dates been
entered?
Part VI—Environmental Findings (NEPA)
1.

Has an environmental finding been entered
for each ALI?

Appendix A
Page 6 of 7

FTA C 9045.1
5/1/2007

4. ECHO INFORMATION.
a. Title 49 CFR parts 18 and 19, and 31 CFR part 205, govern payments to recipients for
financing operations under Federal grant and other programs. These regulations require
that payment to a grantee be limited to the minimum amounts needed and timed so as to
be in accord only with the actual, immediate cash requirements of the grantee in carrying
out the approved project. For further information regarding cash management
procedures, refer to the FTA “ECHO System Users Manual for Grantees.”
http://www.fta.dot.gov/documents/ECHOWebGranteeUserManual.pdf
b. Instructions for Completing Form:
(1) Fill in your ECHO Control Number. If this is an Initial ECHO Setup, FTA will
assign ECHO Control Number.
(2) Check appropriate box(es).
(3) Initial Setup.
(4) Change in Bank Information.
(5) Change in Grantee Information.
(6) Fill out information in the appropriate section(s) listed below:
(a) Grantee Information Section—Print or type the name of the grantee and address
that will receive ECHO/ACH payments. Also include a contact person’s name,
date, telephone and fax numbers.
(b) Financial Institution Information Section—Have your bank fill out this section.
They should print or type the name and address of the financial institution who
will receive the ECHO/ACH payment. Also included are the ACH coordinator’s
name, telephone number, nine-digit routing transit number (ABA #), depositor
(grantee) account title, depositor (grantee) account number, and type of account
(type can ONLY be designated as Checking or Saving), signature and title of
representative, date and fax number.
(7) Mail the form to the name and address shown in the Agency Information Section.
This section also includes a contact person’s name and telephone number.

FTA C 9045.1
5/1/2007

Appendix A
Page 7 of 7

ECHO Control Number
(ECN)________________

(For initial ECHO setup agency will assign ECN Number,
for non ECHO payments enter "N/A").

Initial Setup

Grantee Information Change

Info. Change

Information from this form is required under the provision of 31 U.S.C. 3322 and 31 CFR 210. Treasury uses this to transmit
payment data by electronic means to a company’s or a grantee's financial institution. Failure to provide the requested information
may delay or prevent the receipt of payments through the Treasury ACH Payment System.

GRANTEE INFORMATION
NAME:
ADDRESS:
CITY/STATE/ZIP:

TELEPHONE NUMBER:
( )

CONTACT PERSON NAME:
SIGNATURE OF AUTHORIZED OFFICIAL IN FTA

TELEFAX NUMBER:
( )

DATE: / /
AGENCY INFORMATION
NAME: Federal Transit Administration

ADDRESS: 400 Seventh Street SW., Room 9422, TBP–24, Washington, DC 20590
CONTACT PERSON NAME:

202–366–1004

FINANCIAL INSTITUTION INFORMATION

(Note: Have Your Bank Complete This Section)
NAME:
ADDRESS:
CITY/STATE/ZIP:
CONTACT PERSON NAME:

TELEPHONE NUMBER:
( )

NINE DIGIT ROUTING TRANSIT NUMBER: __ __ __ __ __ __ __ __ __
DEPOSITOR ACCOUNT TITLE:
DEPOSITORS ACCOUNT NUMBER:
TYPE OF ACCOUNT: CHECKING SAVING
SIGNATURE AND TITLE OF REPRESENTATIVE:

DATE:
//

FAX NUMBER:
( )

Revised 7/98. If there are any questions, please call 202–366–9748 and ask for the agency’s ACH contact.

FTA C 9045.1
5/1/2007

Appendix B
Page 1 of 2

APPENDIX B
SAMPLE NEW FREEDOM (SECTION 5317) PROGRAM OF PROJECTS
State or Designated Recipient: _______________________________
5317: FY ___ Apportionment: $________; Carryover:____________
Total Funds Available:________________________
Total number of subrecipients funded in this Program of Projects:____________
LIST OF PROJECTS
Required subrecipient information includes: name of entity receiving the award, amount of award, location of the
entity receiving the award and the primary location of performance under the award, including the city and/or
county and Congressional District.
In the following list, identify with an asterisk (*) those subrecipients which are Indian tribal governments or serve
Indian tribal transportation needs, and any other subrecipient that will be applying directly to FTA for funding.
CAPITAL, OPERATING, AND PROGRAM ADMINISTRATION
(Projects may include reasonable contingencies)
Program Description
Net
Congressional
Subrecipient and type of
Category (Include Counties
Federal
District(s)
Project
Subrecipient
A or B served)
Share
Cost
(1)____________________ _______ ____________________ _________ ________ ________
____________________
____________________
(2)____________________ _______ ____________________ _________ ________ ________
____________________
____________________
(3)____________________ _______ ____________________ _________ ________ ________
____________________
____________________
SUBTOTAL _________ _________
OPERATING
SUBTOTAL _________ _________
CAPITAL
SUBTOTAL _________ _________
PROGRAM ADMIN

Location of
Subrecipient
________

________

________

[Program of projects may be printed horizontally, with columns added to show capital, operating, and program administration for each
subrecipient to facilitate subtotaling.]

PROGRAM ADMINISTRATION, PLANNING AND TECHNICAL ASSISTANCE [Section 5317]
(Not to exceed 10 percent of Section 5317 apportionment may be used to provide a 100 percent Federal share.)
Subrecipient
___________
___________
___________

Category
Program Description
A or B
(Counties served)
________
_________________
________
_________________
________
_________________
Subtotal (projects funded at 100 percent)
Subtotal Program Administration

Net Project
Cost
_________
_________
_________
_________

Federal
Share
______
______
______
______

________

_____

Appendix B
Page 2 of 2

FTA C 9045.1
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FTA C 9045.1
5/1/007

Appendix C
Page 1 of 4

APPENDIX C
NEW FREEDOM (SECTION 5317) BUDGET INFORMATION
Use the chart of activity line item (ALI) codes on TEAM to prepare a consolidated budget for
the entire program of projects (POP) (Appendix B). Group related line items under appropriate
scope codes. The scope is usually identified by the first three digits of the ALI followed by a
two digit sequence number. A few exceptions for the New Freedom, Section 5317 program,
are noted below. The same scope may be used more than once in a complex budget. If so, the
repeated scope is numbered sequentially. For each ALI, enter the net project cost and the
Federal share. The TEAM system generates standard descriptions for each ALI code, but the
text may be overridden to enter more specific descriptions.
Show both net cost and Federal share for each ALI. The maximum Federal share for capital
and planning is 80 percent and for operating is 50 percent. Program Administration does not
require a local share.
CAPITAL
Use of the correct ALI codes identifies all vehicles as replacement or expansion, and indicates
the size and type of vehicle or equipment. Enter a quantity for each vehicle ALI. For example,
if there are 10 subrecipients in the POP and each will receive three replacement vans and one
will get a mid sized bus for new service, the scope 111 (Bus, revenue rolling stock) would
include two ALI codes—11.12.15, quantity 30, and 11.13.03, quantity 1. The individual
recipients and types of service provided could be identified in extended text. Through TEAM,
FTA is able to use this information to generate detailed reports electronically on the use of
program funds.
Use as many capital scopes and activity codes as necessary to aggregate capital projects from
the POP.
OPERATING
The ALI for operating assistance for all FTA programs is 30.09.00. The grant project number
is sufficient to identify the program as New Freedom or Section 5317. Operating assistance
should be shown under scope 300.
OTHER PROGRAM COSTS
Use the scope 600 for program administration (11.80.00).
PLANNING
Planning ALI codes should not be used in a New Freedom Program grant. Other planning
activities under program administration should not use planning codes. Planning Activities

Appendix C
Page 2 of 4

FTA C 9045.1
5/1/2007

funded under New Freedom using program administrative funds should be funded under scope
600 for program administration (11.80.00).
NON-ADD SCOPES
FTA uses non-add scopes in the project budget to track the use of the enhanced Federal share
for vehicle related equipment and facilities required for Americans with Disabilities Act of
1990 (ADA) or Clean Air Act (CAA) compliance, for tribal projects, and for other special
initiatives including expenditures relating to Intelligent Transportation Systems (ITS). Include
under these non-add scopes the portions of ALIs used elsewhere in the project budget for these
purposes. The non-add scopes should be included under the “other” heading in the budget so
that amounts included in the non-add scopes are not computed in the budget totals.
ACCOUNTING CLASSIFICATION CODES
FTA uses accounting classification codes to indicate the source of funds in a grant. Each digit
in the code has a specific meaning. For example, the accounting classification code
2006.25.57.FL.2 provides the following information:
The accounting classification codes have the following structure and meaning:
Positions 1–4: “Year”—indicates the year of appropriation or allocation of the funds.
Positions 5–6: “Appropriations”—indicates which of the several large FTA accounts is
being used to fund the grant. For example, “25” represents the Formula and Bus
account funded entirely from the Mass Transit Account of the Highway Trust Fund.
Positions 7–8: “Section”—indicates the program under which the funds are being
awarded. Many of the codes were established before the FTA Act was codified and
refer to the former section numbers in the old statute (e.g., Section 5317 grants utilize
Section 57).
Positions 9–10: “Limitation”—allows us to track set-asides, transfers, limits, and
special uses. The next two limitation codes indicate the specific program source of the
funds. Section 5316 apportionment codes are FL, FM, and FS. The (F) represents the
New Freedom Program, (L) represents areas greater than 200k, (M) represents areas
between 50K and 200K, and (S) represents areas less than 50K. Funds transferred from
Section 5317 to 5311 are coded (N8) and funds transferred from Section 5317 to 5307
are coded (N9).
Position 11: Indicates whether funds are appropriated general funds (1) or contract
authority (2). The funds from the Mass Transit Account (“trust funds”) are coded 2 for
contract authority.

FTA C 9045.1
5/1/007

Appendix C
Page 3 of 4

FINANCIAL PURPOSE CODES
When the funds are obligated for a grant, FTA uses a financial purpose code (FPC) to indicate
any broad statutory restrictions on the funds. All funds obligated for capital use FPC 00, for
operating use FPC 04 and within the 10 percent cap for program administration use FPC 06.
When an ECHO drawdown request is made, grantees replace the X in the project number with
a 0 for capital, 4 for operating and 6 for program administration.

Appendix C
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5/1/2007

Appendix D
Page 1 of 2

APPENDIX D
SAMPLE APPROVED BUDGET
SAMPLE APPROVED PROJECT BUDGET
GRANTEE: ANY STATE DEPARTMENT OF TRANSPORTATION
CAPITAL, ANY STATE
PROJECT NO.: ST–57–X015–00 BUDGET NO.: 01

SCOPE
111–00

SCOPE
300–00

SCOPE
600–00

BUS ROLLING STOCK
QUANTITY 16......
ACTIVITY
11.12.01 PURCHASE REPLACEMENT
<30 FT. BUSES WITH LIFTS
QUANTITY 8
11.12.15 PURCHASE REPLACEMENT
VANS WITH LIFTS
QUANTITY 8
OPERATING ASSISTANCE ......
ACTIVITY
30.09.00 OPERATING ASSISTANCE
OTHER PROGRAM COSTS ......
ACTIVITY
11.80.00 PROGRAM ADMINISTRATION

Non Add TRIBAL PROJECT
992.nn
ACTIVITY
30.09.00 OPERATING ASSISTANCE
TOTAL

.............................

TOTAL
AMOUNT

$1,667,220

$2,084,025

$1,490,000

$1,862,500

$177,220

$221,525

$1,759,408

$3,518,816

$1,759,408

$3,518,816

$380,736

$380,736

$380,736

$380,736

$100,000

$100,000

$100,000

$100,000

$3,807,364

$5,983,577

$5,983,577

ESTIMATED NET PROJECT COST
FEDERAL SHARE
LOCAL SHARE
SOURCES OF FEDERAL FINANCIAL ASSISTANCE
FUNDING UZA: 250000

FEDERAL
AMOUNT

$3,807,364
$2,176,213

FUNDING UZA NAME: ANY STATE

ACCOUNTING
CLASSIFICATION

FPC DESCRIPTION

2006.25.57.FL.2
2006.25.57.FL.2

00
04

2006.25.57.FL.2

06

PREVIOUSLY AMENDMENT
APPROVED
AMOUNT

FY 2006 SEC 5317
CAPITAL
OPERATING
FY 2006, SEC 5316
PROGRAM ADM.
TOTAL

TOTAL

$1,667,220
$1,759,408

$1,667,220
$1,759,408

$380,736

$380,736

$3,807,364

$3,807,364

Appendix D
Page 2 of 2

FTA C xxxx.x New Freedom
5/1/2007

Page intentionally left blank.

FTA C 9045.1
5/1/2007

Appendix E
Page 1 of 2

APPENDIX E
FTA REGIONAL AND METROPOLITAN CONTACT INFORMATION
Office

Area Served

Contact Information

Region I

Connecticut, Maine,
Massachusetts,
New Hampshire, Rhode Island,
and Vermont

Transportation Systems Center
Kendall Square
55 Broadway, Suite 920
Cambridge, MA 02142–1093
Phone: 617–494–2055
Fax: 617–494–2865

Region II

New York and New Jersey

One Bowling Green
Room 429
New York, NY 10004–1415
Phone: 212–668–2170
Fax: 212–668–2136

Region III

Delaware, District of Columbia,
Maryland, Pennsylvania,
Virginia, and West Virginia

1760 Market Street
Suite 500
Philadelphia, PA 19103–4124
Phone: 215–656–7100
Fax: 215–656–7260

Region IV

Alabama, Florida, Georgia,
Kentucky, Mississippi,
North Carolina, Puerto Rico,
South Carolina, Tennessee, and
U.S.Virgin Islands

Atlanta Federal Center
Suite 17T50—61 Forsyth Street SW
Atlanta, GA 30303
Phone: 404–562–3500
Fax: 404–562–3505

Region V

Illinois, Indiana, Minnesota,
Michigan, Ohio, and Wisconsin

200 West Adams Street
Suite 320
Chicago, IL 60606
Phone: 312–353–2789
Fax: 312–886–0351

Region VI

Arkansas, Louisiana,
New Mexico, Oklahoma, and
Texas

819 Taylor Street
Room 8A36
Forth Worth, TX 76102
Phone: 817–978–0550
Fax: 817–978–0575

Region VII

Iowa, Kansas, Missouri, and
Nebraska

901 Locust, Suite 404
Kansas City, MO 64106
Phone: 816–329–3920
Fax: 816–329–3921

Appendix E
Page 2 of 2

Office

FTA C 9045.1
5/1/2007

Area Served

Contact Information

Region VIII

Colorado, Montana,
North Dakota,
South Dakota, Utah, and
Wyoming

12300 W Dakota Avenue
Suite 310
Lakewood, CO 80228–2583
Phone: 720–963–3300
Fax: 720–963–3333

Region IX

Arizona, California, Hawaii,
Nevada, Guam,
American Samoa, and Northern
Mariana Islands

201 Mission Street
Room 1650
San Francisco, CA 94105–1839
Phone: 415–744–3133
Fax: 415–744–2726

Region X

Alaska, Washington, Oregon,
and Idaho

Jackson Federal Building
915 Second Avenue, Suite 3142
Seattle, WA 98174–1002
Phone: 206–220–7954
Fax: 206–220–7959

Lower Manhattan Recovery
Office

Lower Manhattan

1 Bowling Green, Room 436
New York, NY 10004
Phone: 212–668–1770
Fax: 212–668–2505

New York Metropolitan Area

One Bowling Green, Room 428
New York, NY 10004–1415
Telephone: 212–668–2201
Fax: 212–668–2136

Philadelphia Metropolitan
Office

Philadelphia Metropolitan Area

1760 Market Street, Suite 510
Philadelphia, PA 19103–4124
Telephone: 215–656–7070
Fax: 215–656–7269

Chicago Metropolitan
Office

Chicago Metropolitan Office

200 West Adams Street
Suite 2410 (24th floor)
Chicago, IL 60606
Telephone: 312–886–1616
Fax: 312–886–0351

Los Angeles Metropolitan
Office

Los Angeles Metropolitan Area

888 S. Figueroa, Suite 1850
Los Angeles, CA 90012
Telephone: 213–202–3950
Fax: 213–202–3961

Washington, DC
Metropolitan Office

Washington, DC
Metropolitan Area

1990 K Street NW
Suite 510
Washington, DC 20006
Telephone: 202–219–3562 / 219–3565
Fax: 202–219–3545

FTA C 9045.1
5/1/2007

Appendix F
Page 1 of 4

APPENDIX F
TECHNICAL ASSISTANCE IN HUMAN SERVICE TRANSPORTATION
The Department of Transportation (DOT), the Federal Transit Administration (FTA), and
partners at the Departments of Health and Human Services, Labor, and Education support a
range of technical assistance initiatives for coordinating human service transportation. These
programs and centers are charged with providing training, resources, and direct assistance to
communities and States interested in enhancing the mobility and transportation options for all
citizens, including older adults, individuals with disabilities, and people with low incomes.
The following list includes technical assistance and training resources available for various
aspects of human service transportation:
National Rural Transportation Assistance Program
C/O American Public Works Association
1401 K Street NW., 11th Floor
Washington, DC 20002
202–408–9542
www.APWA.net
The National Rural Transportation Assistance Program (RTAP) was established by FTA in
1987 to provide a wide range of professional services and products. The National RTAP,
administered by the American Public Works Association, provides outreach and training to
each State’s RTAP and coordinates with other organizations involved in rural transit. The
National RTAP also works collaboratively with the Community Transportation Association of
America to operate a national toll-free telephone line, a Web page, a national peer-to-peer
technical assistance network and various presentations and publications and fulfillment
services for National RTAP products.
Project ACTION
1425 K Street, Suite 200
Washington, DC 20005
1–800–659–6428
www.projectaction.org
Easter Seals Project ACTION (Accessible Community Transportation in Our Nation) is a
national technical assistance project funded through a cooperative agreement with FTA. The
mission of Easter Seals Project ACTION is to encourage and facilitate cooperation between the
disability and transportation communities with the goal of achieving universal access through
transportation for people with disabilities nationwide.
Easter Seals Project ACTION offers various resources, including a toll-free hotline, website,
publications clearinghouse, and quarterly newsletter, as well as training and technical
assistance, in an effort to make the Americans with Disabilities Act of 1990 (ADA)work for
everyone, everyday.

Appendix F
Page 2 of 4

FTA C 9045.1
5/1/2007

National Job Links Employment Transportation Initiative
341 G Street NW., 10th Floor
Washington, DC 20005
1–800–527–8279
http://www.ctaa.org/ntrc/atj/joblinks/index.asp
The National Joblinks Employment Transportation Initiative, known as Joblinks, is funded by
the Departments of Transportation and Labor. Joblinks is a program designed to help
communities overcome one of the most significant barriers preventing individuals with low
incomes from getting and keeping jobs—transportation. Joblinks has a national peer-to-peer
network that links local agencies with experienced practitioners familiar with the human
services and workforce development environments and knowledgeable about special client
transportation needs.
Through Joblinks, communities can receive access to technical assistance and training
specialists who can provide solid problem-solving technical support, particularly in the areas of
coordinating client transportation resources and operations, marketing, system start-up and
financing, human resource management, and developing accessible services. Job Links also
supports an on-line information center that connects you with employment transportation news,
resources and ideas. Joblinks is administered by the Community Transportation Association of
America.
National Technical Assistance Center in Senior Transportation
1425 K Street, Suite 200
Washington, DC 20005
1–800–659–6428
www.projectaction.org
The National TA Center in Senior Transportation focuses on the transportation needs of older
adults. The Center conducts analysis of technical assistance needs assist local communities
and States. Through analysis and assessment, the national center also provides technical
assistance and training on specific strategies for enhancing senior mobility. The Center
focuses on a family of services that includes driving transition, travel training for fixed-route
bus, paratransit services, and alternative transportation options including door through door,
volunteer, and taxi programs.
Intelligent Transportation System (ITS) Peer to Peer Program
Federal Highway Administration
400 Seventh Street Room 3416 Washington, DC 20590
866–367–7487
www.its.dot.gov

FTA C 9045.1
5/1/2007

Appendix F
Page 3 of 4

The ITS Peer-to-Peer Program provides assistance through its network of over 120 DOT
approved ITS professionals who have planned, implemented and operated ITS in urban and
rural areas. Most of the Program’s Peers are public sector ITS practitioners.
The Peer to Peer Program delivers short term assistance according to an agency’s ITS needs.
Assistance may include telephone consultations, off-site document reviews, presentations, and
visits to the site. The program continues to assist metropolitan and rural clients to create
solutions for a variety of highway, transit, and motor carrier interests. The program offers
assistance in virtually all areas of ITS planning, design, deployment and operations.
National Transit Institute
120 Albany Street 7th Floor
New Brunswick, N J 08901
732–932–1700
www.ntionline.com
The National Transit Institute at Rutgers University was established in 1992 to conduct training
and educational programs related to public transportation. Funded by FTA, NTI’s mission is to
provide training, education, and clearinghouse services in support of public transportation and
quality of life in the United States. Training is available to public transportation agencies,
Metropolitan Planning Organizations (MPOs), State Departments of Transportation and other
agencies providing transportation services.
Transit Cooperative Research Program
C/O American Public Transportation Association
1666 K Street NW., 11th Floor
Washington, DC 20006
202–496–4800
www.TCRPonline.org
The Transportation Cooperative Research Program (TCRP) is your ticket to information
central. Practical research that yields near term results can do much to help—by solving
operational problems, adoptions useful technologies from related industries and, in general,
finding ways for public transportation to be innovative. Funded by DOT and FTA, the
program places primary emphasis on putting the results in the hands of organizational and
individuals that can use them to solve problems. The information is easily accessible through
print, Web documents, CD ROMS and diskettes, and it is free through the American Public
Transportation Association’s TCRP Dissemination Center.
Multi-State Technical Assistance Program
C/O American Association of Highway and Transportation Officials
444 North Capitol Street NW., Suite 249
Washington, DC 20001
Telephone: 202–624–3625
Fax: 202–624–3625
www.mtap.org

Appendix F
Page 4 of 4

FTA C 9045.1
5/1/2007

The purpose of Multi-State Technical Assistance Program (MTAP) is to provide a forum
through which State-level public transportation agencies can communicate with each other
about Federal transit regulations, grant program management, and technical issues pertaining to
everyday administration of public transportation service. MTAP was developed to benefit the
member States as well as their Federal program counterparts and local transit operators.
Networking among the States is conducted through two annual meetings, peer-to-peer
assistance, conference calls, and electronic communication. MTAP is administered by the
American Association of State Highway and Transportation Officials (AASHTO).

FTA C 9045.1
5/1/2007

Appendix G
Page 1 of 4

Appendix G: Relationship between Coordinated Planning and Metropolitan and
Statewide Planning
Title 49 U.S.C. 5317 requires preparation of a locally developed,
Coordinated Public
coordinated public transit-human services transportation plan
Transit-Human Services
(Coordinated Plan) for all FTA human service transportation programs.
Transportation Plan
The Coordinated Plan is required to be developed by a process that
includes representatives of public, private and non-profit transportation
and human services providers and participation by the public. This
Plan includes:
(1) An assessment of available services that identifies current
transportation providers (public, private, and non-profit);
(2) An assessment of transportation needs for individuals with
disabilities, older adults, and people with low incomes.
(3) Strategies, activities and/or projects to address the identified gaps
between current services and needs, as well as opportunities to
improve efficiencies in service delivery; and
(4) Priorities for implementation based on resources (from multiple
program sources), time, and feasibility for implementing specific
strategies and/or activities identified.
The coordinated plan serves as the foundation for the program of
projects and should be integrated into the metropolitan and statewide
transportation planning processes and documents to demonstrate local
policy support and Federal fund eligibility.

Metropolitan Transportation
Plan or Statewide LongRange Transportation Plan

The Metropolitan Transportation Plan (MTP) is the official multimodal
transportation plan that is developed, adopted, and updated by the
MPO through the metropolitan transportation planning process. The
MTP represents the consensus of State and local officials in
metropolitan areas of long-range (no less than 20 years) policies and
investment priorities for the transportation system. The MTP includes
both long-range and short-range program strategies/actions that lead to
the development of an integrated intermodal transportation system that
facilitates the efficient movement of people and goods.
The Statewide Long-Range Transportation Plan is a comparable plan
including nonurbanized portions of the State as well as the MTP.
The MTP or Statewide Long-Range Transportation Plan has several
elements, for example:
•
•
•
•

Identify policies, strategies, and projects for the future;
Determine project demand for transportation services over 20
years;
Focus at the systems level, including roadways, transit, nonmotorized transportation, and intermodal connections;
Estimate costs and identify reasonably available financial sources
for operation, maintenance, and capital investments; and

Appendix G
Page 2 of 4

FTA C 9045.1
5/1/2007
•

Articulate regional land use, development, housing, mobility, and
employment goals and plans.

Connections to the Coordinated Plan: Projects or Strategies serving
human service transportation needs over the 20-year planning horizon
should be referenced in the MTP, by direct inclusion or by explicit
reference to the Coordinated Plan.

Transportation Improvement
Program

The Transportation Improvement Program (TIP) is a prioritized,
financially constrained four-year program of Federally-supported
projects addressing the most immediate implementation priorities from
the MTP. The TIP is developed and adopted by the MPO as part of the
metropolitan transportation planning process, thereby representing the
consensus of State and local decision-makers for allocating funds
among the various capital and operating needs of the area.
Under Federal law, the TIP:
•
•
•
•

Covers a minimum four-year period of investment and is
updated at least every four years;
Is realistic in terms of available funding (known as a fiscally
constrained TIP) and is not just a “wish list” of projects;
Is incorporated into the statewide transportation improvement
program (STIP); and
Has projects that are drawn from, or consistent with, the
MTP.

Connections to the Coordinated Plan: All strategies proposed for
funding under FTA’s human services transportation programs are
required to be listed in the TIP, which may include specific projects or
more aggregated program-level information. For Example: a nonprofit job-access vanpool service could be listed in the TIP if it
received New Freedom funding Federal grant or the TIP may just
reference the amount of New Freedom funding available to the area on
an annual basis.

FTA C 9045.1
5/1/2007

Statewide Transportation
Improvement Program

Appendix G
Page 3 of 4

The Statewide Transportation Improvement Program (STIP) is a
statewide prioritized, financially constrained four-year program of
Federally-supported projects that is consistent with the Long-Range
Statewide Transportation Plan, MTPs, and TIPs. Joint approval by
FTA and FHWA of the STIP renders the projects, programs, and
strategies contained eligible for funding under FTA and FHWA
programs.
Under Federal law, the STIP:
•

Covers a minimum four-year period of investment and is
updated at least every four years;
• Is realistic in terms of available funding (known as a fiscally
constrained STIP) and is not just a “wish list” of projects; and
• Contains the projects, strategies, and programs of TIPs from
throughout the State, as well as projects, programs, and
strategies from non-metropolitan areas.
________________________________________________________
Connections to the Coordinated Plan: All strategies proposed for
funding under FTA’s human services transportation programs are
required to be listed in the STIP, which may include discreet projects
or more aggregated program-level information. For Example: a nonprofit job-access vanpool service could be listed in the STIP if it
received New Freedom funding Federal grant or the STIP may just
reference the amount of New Freedom funding available to the area on
an annual basis. Strategies and/or projects that receive Federal
funding are required to be listed in the STIP—verbatim or by reference
to—the project listing included in TIPs of metropolitan areas of the
State.

Appendix G
Page 4 of 4

Program of Projects

FTA C 9045.1
5/1/2007

A Program of Projects listing is required by FTA for processing
Federal grants under the New Freedom Program. It identifies Federal
allocations for each fiscal year of the grant.
The program of projects is submitted to FTA for approval with the
TEAM grant application. The program of projects lists the
subrecipients and indicates whether they are private non-profit
agencies, governmental authorities, or private operators of public
transportation services, and in the case of a State application,
designates whether they serve urbanized or nonurbanized populations,
and identifies any Indian tribal agencies. In addition, the program of
projects includes a brief description of the projects, total project costs
and the 5310, JARC, or New Freedom share for each project. The
amount of funds required for planning, technical assistance, and
program administration is also laid out in the program of projects.

FTA C 9045.1
5/1/2007

Appendix H
Page 1 of 4

APPENDIX H
REFERENCES
a.

Federal Transit Laws, Title 49, United States Code, Chapter 53.

b.

Federal-aid highway and surface transportation laws, Title 23, United States Code.

c.

Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users,
(SAFETEA–LU) (Pub. L. 109–59, 119 Stat. 1144, Aug. 10, 2005).

d.

Transportation Equity Act for the 21st Century (TEA–21) (Pub. L. 105–178, 112 Stat.
107, June 9, 1998).

e.

Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) (Pub. L. 102–240,
105 Stat. 1914, Dec. 18, 1991).

f.

Federal Public Transportation Act of 1978 (Pub. L. 95–599, Nov. 6, 1978).

g.

Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq.

h.

Government Performance Results Act of 1993, as amended (Pub. L. 103-62, 107 Stat.
285, Aug. 3, 1993).

i.

Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794.

j.

Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d.

k.

Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e.

l.

Clean Air Act, as amended, 42 U.S.C. 7401 et seq.

m. Section 404 of the Clean Water Act, as amended, 33 U.S.C. 1344.
n.

Policy on Lands, Wildlife, and Waterfowl Refuges, and Historic Sites, 49 U.S.C. 303.

o.

Section 106 of the National Historic Preservation Act, 16 U.S.C. 470f.

p.

Internal Revenue Code, Non-profit Organizations, 26 U.S.C. 501.

q.

Lobbying Restrictions, 31 U.S.C. 1352.

r.

Disadvantaged Business Enterprises, 23 U.S.C. 101 note.

s.

Congressional Declaration of Policy Respecting Insular Areas, 48 U.S.C. 1469a.

Appendix H
Page 2 of 4

FTA C 9045.1
5/1/2007

t.

Program Fraud Civil Remedies Act, 31 U.S.C. 3801 et seq.

u.

Uniform Relocation Assistance and Real Property Acquisitions Policies Act of 1970,
as amended, 42 U.S.C. 4601, et seq.

v.

Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101 et seq.

w. Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 et seq.
x.

National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 et seq.

y.

Federal Funding Accountability and Transparency Act of 2006 (Pub. L 109–282, 120
Stat. 1186, Sept. 26, 2006).

z.

Davis-Bacon Act, as amended, 40 U.S.C. 3141 et seq.

aa. Drug-Free Workplace Act of 1988, as amended, 41 U.S.C. 701 et seq.
bb. U.S. DOT regulations, “Organization and Delegation of Powers and Duties,” 49 CFR
part 1.
cc. U.S. DOT regulations, “Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments,” 49 CFR part 18.
dd. U.S. DOT regulations, “Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit
Organizations,” 49 CFR part 19.
ee. U.S. DOT regulations, “New Restrictions on Lobbying,” 49 CFR part 20.
ff. U.S. DOT regulations, “Nondiscrimination in Federally-Assisted Programs of the
Department of Transportation—Effectuation of Title VI of the Civil Rights Act of
1964,” 49 CFR part 21.
gg. U.S. DOT regulations, “Uniform Relocation Assistance and Real Property Acquisition
for Federal and Federally-Assisted Programs,” 49 CFR part 24.
hh. U.S. DOT regulations “Nondiscrimination on the Basis of Sex in Education Programs
or Activities Receiving Federal Financial Assistance,” 49 CFR part 25.
ii.

U.S. DOT regulations, “Participation by Disadvantaged Business Enterprises in
Department of Transportation Financial Assistance Programs,” 49 CFR part 26.

jj.

U.S. DOT regulations, “Nondiscrimination on the Basis of Disability in Programs or
Activities Receiving Federal Financial Assistance,” 49 CFR part 27.

FTA C 9045.1
5/1/2007

Appendix H
Page 3 of 4

kk. U.S. DOT regulations, “Governmentwide Debarment and Suspension
(Nonprocurement),” 49 CFR part 29.
ll.

U.S. DOT regulations, “Governmentwide Requirements for Drug-Free Workplace
(Financial Assistance),” 49 CFR part 32.

mm. U.S. DOT regulations, “Transportation Services for Individuals with Disabilities
(ADA),” 49 CFR part 37.
nn. U.S. DOT regulations, “Americans with Disabilities Act (ADA) Accessibility
Specifications for Transportation Vehicles,” 49 CFR part 38.
oo. U.S. DOT regulations, “Procedures for Transportation Workplace Drug and Alcohol
Testing Programs,” 49 CFR part 40.
pp. FTA regulations, 49 CFR Subtitle B Chapter VI.
qq. Joint Federal Highway Administration/FTA regulations, “Planning Assistance and
Standards,” 23 CFR part 450 and 49 CFR part 613.
rr. Joint Federal Highway Administration/FTA regulations, “Environmental Impact and
Related Procedures,” 23 CFR part 771 and 49 CFR part 622.
ss. Federal Motor Carrier Safety Administration regulations, “Controlled Substances and
Alcohol Use and Testing,” 49 CFR part 382.
tt.

U.S. Department of Treasury regulations, “Rules and Procedures for Efficient FederalState Funds Transfers,” 31 CFR part 205.

uu. U.S. Environmental Protection Agency regulations, “Determining Conformity of
Federal Actions to State or Federal Implementation Plans,” 40 CFR part 93.
vv. Executive Order 12372, “Intergovernmental Review of Federal Programs,” July 14,
1982.
ww. Executive Order 12898, “Federal Actions To Address Environmental Justice in
Minority Populations and Low-Income Populations,” Feb. 11, 1994.
xx. Executive Order 13217, “Community-Based Alternatives for Individuals with
Disabilities,” June 18, 2001.
yy. Executive Order 13330, “Human Service Transportation Coordination,” Feb. 24, 2004.
zz. Office of Management and Budget Circular A–87, “Cost Principles for State, Local,
and Indian Tribal Governments,” codified at 2 CFR part 225, Aug. 31, 2005.

Appendix H
Page 4 of 4

FTA C 9045.1
5/1/2007

aaa. Office of Management and Budget Circular A-94, “Guidelines and Discount Rates for
Benefit-Cost Analysis of Federal Programs,” Oct. 29, 1992.
bbb. Office of Management and Budget Circular A-122, “Cost Principles for Non-Profit
Organizations,” codified at 2 CFR part 230, Aug. 31, 2005.
ccc. Office of Management and Budget Circular A–133, “Audits of States, Local
Governments, and Non-Profit Organizations,” June 23, 2003.
ddd. U.S. Department of Transportation Order to Address Environmental Justice in
Minority Populations and Low-Income Populations, 62 FR 18377 (Apr. 15, 1997).
eee. U.S. DOT Policy Guidance Concerning Recipients’ Responsibilities to Limited
English Proficient (LEP) Persons, 70 FR 74087 (Dec. 14, 2005).
fff. FTA Circular 4220.1E, “Third Party Contracting Requirements,” June 19, 2003.
ggg. FTA Circular 4702.1, “Title VI Program Guidelines for FTA Recipients,” Oct. 1,
1998.
hhh. FTA Circular 5010.1C, “Grant Management Guidelines,” Oct. 1, 1998.
iii. FTA Circular 9030.1C, “Urbanized Formula Program Guidance and Application
Instructions,” Oct. 1, 1998.
jjj. U.S. General Services Administration, “Excluded Parties List System,” www.epls.gov.
kkk. FTA Master Agreement FTA MA(13), Oct. 1, 2006.
lll. FTA ECHO-Web System Operations Manual.
http://www.fta.dot.gov/documents/ECHOWebGranteeUserManual.pdf.
mmm.

Olmstead v L.C., 527 U.S. 581 (1999).

FTA C 9045.1
5/1/2007

Index
Page 1 of 7

INDEX
SUBJECT AND LOCATION IN CIRCULAR

Subject

Chapter/Page

Accessible Taxi
Definition ................................................................................................................................. I–2
Activity Line Item (ALI) ............................................................................ III–7; VI–12; App. A–2
Codes.....................................................................................................................App. A–4; C–1
Age Discrimination Act of 1975...........................................................................VIII–9; App. H–1
Agency on Aging (AoA)............................................................................................................ V–6
Alaska Native Claims Settlement Act................................................................................App. H–2
American Association of State Highway and Transportation Officials (AASHTO)........................
......................................................................................................................... VIII–14; App. F–4
American Public Works Association ................................................................................. App. F–1
Website ......................................................................................................................... App. F –1
Americans with Disabilities Act of 1990 (ADA) .................I–2; I–4; II–1; II–4; III–7; III–8; III–9
......................................................... III–10; III–12; V–5; VI–10; VII–3; VIII–9; F–2; H–1; H–3
Definition ................................................................................................................................. I–2
Paratransit Plan ............................................................................................ I–4; III–8; App. A–1
Paratransit Services......................................................................................... III–8, III–9, III–10
Reporting..............................................................................................................................VII–3
Audit
OMB Circular A–133, “Audits of State and Local Governments ...................................... VI–11
OMB Circular A–133, “Audits of States, Local Governments, and Non-Profit Organizations”
....................................................................................................................................App. H–3
Best Practices Procurement Manual ............................................................................ VI–5; VIII–1
Buy America ................................................................................ III–6; VI–6; VI–7; VII–4; VIII–6
Capital Program (Section 5309)........................................................................................... VIII–11
Catalog of Federal Domestic Assistance (CFDA) ......................................................................II–1
Categorical Exclusion (CE) ...............................................VIII–3; VIII–4; VIII–5; App. A–1; H–2
Certifications and Assurances................................................................................................... IV–8
Annual................................................................................................................................... IV–8
Current .................................................................................................................................. IV–8
Chief Executive Officer of a State
Definition ................................................................................................................................. I–2
Civil Rights Act of 1964 ....................................................................................................App. H–1
Clean Air Act Amendments of 1990 (CAAA) ...............................III–12; VIII–4; App. C–2; H–1
Clean Water Act....................................................................................................VIII–4; App. H–1
Commercial Driver’s License (CDL) ................................................................... VIII–10; VIII–15
Common Rule or Common Grant Rule ......................................................... V–7; VI–3; App. H–2
Community Action Programs (CAP)......................................................................................... V–6

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Subject

Chapter/Page

Community Services Board ....................................................................................................... V–6
Competitive Selection Process
Definition ................................................................................................................................. I–2
Congestion Mitigation and Air Quality (CMAQ) Improvement Program .................. III–5; VIII–5
Congressional Declaration of Policy Respecting Insular Areas ........................................App. H–1
Coordinated Plan
Definition ................................................................................................................................. I–2
Davis-Bacon Act....................................................................................................VIII–7; App H–2
Debarment and Suspension (Nonprocurement) ...................................................... VI–7; App. H–3
Demand Responsive System
Definition ................................................................................................................................. I–2
Department of Health and Human Services (DHHS) ...........................................................I–2; I–5
Department of Labor (DOL)................................................................................... III–2; App. A–4
Department of Transportation (DOT)................................................................................I–1; III–3
Civil Rights Act .............................................................................................................App. H–2
Policy Guidance Concerning Recipients’ Responsibilities to Limited English Proficient
(LEP) Persons ................................................................................................................App. H–3
Regulations ...........................................................................................................App. H–2; H–3
State.........................................................................................................................................II–6
Technical Assistance Resources ............................................................................ App. F–1; F–3
Department of Treasury regulations, “Rules and Procedures for Efficient Federal-State Funds
Transfers ........................................................................................................................App. H–2
Designated Recipient Definition.................................................................................................. I–2
Developmental Disability Council............................................................................................. V–6
Disadvantaged Business Enterprise (DBE) Program..................VI–13; VII–3; VIII–10; App. A–1
Drug-Free Workplace Act of 1988 .....................................................................VIII–12; App. H–2
Elderly Individuals
Definition ................................................................................................................................. I–3
Elderly Individuals and Individuals with Disabilities (Section 5310) Program ...............................
See Section 5310
Electronic Clearing House Operation Web (ECHO-Web) System ...................... VI–10; App. 5– 5
Control Number ..............................................................................................................App A–5
Drawdown Request........................................................................................................App. C–3
Information ....................................................................................................................App. A–5
Operations Manual............................................................................................ VI–10, App. H–4
Requirements ...................................................................................................................... VI–10
Users Manual .................................................................................................................App. A–5
Environmental Impact Statement (EIS) .....................................................................VIII–2, VIII–4
Environmental Protection Agency (EPA).............................................................................. VIII–5
Regulations .......................................................................................................VIII–5; App. H–2
Environmental Protection Agency regulations, “Determining Conformity of Federal Actions to
State or Federal Implementation Plans ..........................................................................App. H–2
Equal Employment Opportunity (EEO) Program.........................VI–12; VII–3; VIII–8; App. A–1

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Requirements ..................................................................................................................... VIII–8
Executive Order 12898, “Federal Actions To Address Environmental Justice in Minority
Populations and Low-Income Populations”...................................................................App. H–3
Executive Order 13330, “Human Service Transportation Coordination” ................II–5; App. H–3
Federal Funding Accountability and Transparency Act of 2006............................ IV–7; App. H–2
Federal Highway Administration (FHWA) ............................. III–5; IV–1; VIII–3; VIII–4; VIII–5
.....................................................................................................................App. A– 2; G–3; H–4
Contact Information ................................................................................................................. I–2
Regulations ....................................................................................................................App. H–2
Federal Interagency Coordinating Council on Access and Mobility (CCAM) .................II–5; V–1
Federal Motor Carrier Safety Administration (FMCSA)..................................................... VIII–10
Federal Public Transportation Act ......................................................................................App H–1
Federal Railroad Administration (FRA) .............................................................................. VIII–11
Federal Transit Administration (FTA)
Address .................................................................................................................................... I–1
Background .............................................................................................................................. I–1
Circular 4220.1E, "Third Party Contracting Requirements ..........................................App. H –3
Circular 4702.1, “Title VI Program Guidelines for FTA Recipients,”.........................App. H –4
Circular 5010.1C, "Grant Management Guidelines.......................................................App. H–3
Circular 9030.1C, "Urbanized Formula Program Guidance and Application Instructions,"
....................................................................................................................................App. H–4
Contact Information ....................................................................................................... App. F–1
ECHO-Web System Operations Manual .......................................................................App. H–4
Master Agreement..........................................................................................................App. H–4
Regional Civil Rights Officer ........................................................................................App. A–1
TEAM System ......................................................................................................App. A–1; A–2
Technical Assistance Resources .................................................................................... App. F–1
Federal Transit Program .....................................................................................I–1; III–13; VIII–7
Financial Purpose Code Level .................................................................................................. III–7
Financial Status Report ......................................................................................... VI–13; App. A–4
(SF-269A) ...............................................................................................................VI–10; VI–11
TEAM-Web ......................................................................................................... VI–10; VIII–14
Finding Of No Significant Impact (FONSI) ............................................................. VIII4; VIII–13
Fixed Route System
Definition ................................................................................................................................. I–3
General Services Administration (GSA) ........................................................................VI–7; VI–8
Extended Parties List System................................................................................................ VI–7
Lists of Parties Excluded from Procurement and Nonprocurement Programs ..............App. H–4
Website ................................................................................................................................. VI–7
Geographic Information Systems (GIS) Mapping.................................................................. III–11
Global Positioning System Technology.................................................................................. III–11
Government Performance Results Act (GPRA) ...................................................... I–1; I–2; VI–12
Government Printing Office

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Subject

Chapter/Page

Website .............................................................................................................................. VIII–6
Grants.gov.................................................................................................................................... I–2
Website and Address................................................................................................................ I–2
Headstart Program ............................................................................................................... VIII–15
Human Service Transportation
Definition ................................................................................................................................. I–3
Indian Tribal Agencies............................................................................................ IV–6; App. G–4
Indian Tribal Governments ............................................................... VI–5; VIII–1; App. B–1; H–3
Individual With a Disability
Definition ................................................................................................................................. I–3
Intelligent Transportation Systems (ITS)............................................... III–9; App. A–3; C–2; F–3
Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) ...............................App. H–1
Job Access and Reverse Commute (JARC) Program ....... III–4; III–7; V–1; V–2; V–5; V–6; VI–2
..................................................................... VI–13, VI–14; VII–1; VIII–10; VIII–13; App. G–4
Definition ................................................................................................................................. I–3
FTA Role ................................................................................................................................II–3
Judicial Administration regulations, “Nondiscrimination; Equal Employment Opportunity;
Policies and Procedures .................................................................................................App. H–2
Limited English Proficient (LEP) Persons............................................................................. VIII–8
Locally Developed, Coordinated Public Transit-Human Services Transportation Plan
Definition ................................................................................................................................. I–3
Master Agreement..............................................................................................................App. H–4
Metropolitan Planning Organizations (MPOs) .................................................................. App. F–3
Mobility Management
Definition ................................................................................................................................. I–3
Multi-State Technical Assistance Program (MTAP)......................................................... App. F–4
Contact Information ...................................................................................................... App. F –3
Website ......................................................................................................................... App. F –3
National Environmental Policy Act (NEPA)...............................................VIII–2; App. A–1; H–2
National Historic Preservation Act ....................................................................................App. H–1
National Job Links Employment Transportation Initiative ................................................ App F–2
Website .......................................................................................................................... App F –2
National Technical Assistance Center in Senior Transportation
Website .......................................................................................................................... App F –2
National Transit Institute ................................................................................................... App F –3
Website .......................................................................................................................... App F –3
New Freedom Program ...........I–5; II–2; II–3; II–4; III–1; III–3; III–5; III–7; III–8; III–10; III–13
......................................... IV–6; IV–9; V–1; V–5; V–6; VI–1; VI–2; VI–3; VI–4; VII–1; VII–2
.............................................................................................................App. A–1; A–4; C–2; G–4
Budget Information.........................................................................................................App.C–1
Environmental Impact........................................................................................................ VIII–3
Flexible Funds....................................................................................................................... III–6
Funds..................................................................................................... III–5; III–6; III–7; VII–3

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Chapter/Page

Goals ....................................................................................................................................VII–2
History...............................................................................................................................I–4; I–5
Measures ........................................................................................................................II–1; II–2
New Service .......................................................................................................................... III–8
Number 20.521 .......................................................................................................................II–1
Program of Projects............................................................................................................... IV–8
Project ................................................................................................................................... VI–3
Sample Program of Projects...........................................................................................App. B–1
State Management Plan....................................................................................................... VI–13
Statutory Authority .................................................................................................................II–1
TEAM Information ........................................................................................................App. A–2
Transfer of Funds.................................................................................................................VII–3
Transit Employee Protection.............................................................................................. VIII–7
Vouchers ............................................................................................................................. III–10
New Restrictions on Lobbying ..........................................................................................App. H–2
Non-Add Scopes ......................................................................................................App. A –3; C–2
Non-profit Organization
Definition ................................................................................................................................. I–3
Nonurbanized Area Formula Program (Section 5311) ........................................................ VIII–11
Office of Management and Budget (OMB) ...................................II–2; III–7; VI–9; VI–11; VI–12
................................................................................................................VIII–15; App. A–5; H–3
OMB Circular A–87, "Cost Principles for State, Local, and Indian Tribal Governments ...............
........................................................................................................................................App. H–3
Other than Urbanized (Nonurbanized) Area
Definition ................................................................................................................................. I–4
Paratransit
Definition ................................................................................................................................. I–4
Peer-to-Peer Program.................................................................................................. App F–2, F–3
Policy on Lands, Wildlife, and Waterfowl Refuges, and Historic Sites............................App. H–1
Pre-Award and Post-Delivery Audits of Rolling Stock Purchases........................................... VI–6
Pre-award and Post-delivery Reviews ................................................................................... VIII–7
Pre-award Authority............................................................................... VIII–13; VIII–14; VIII–15
Pre-award Costs ........................................................................................................................ IV–9
Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations
Regulation ........................................................................................................................ VIII–11
Private Enterprise Participation in Transportation Planning and Service Delivery
Report................................................................................................................................. VIII–6
Website .............................................................................................................................. VIII–6
Program Fraud Civil Remedies Act....................................................................VIII–10; App. H–1
Program Management Plan (PMP) .................................................................... V–7; VI–14; VII–1
Program of Projects (POP).................................................................................................App. A–2
Definition ................................................................................................................................. I–4
Project Action

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Subject

Chapter/Page

Website .......................................................................................................................... App. F–1
Recipient
Definition ................................................................................................................................. I–4
Rehabilitation Act of 1973.................................................................................................App. H–1
Rural Transit Assistance Program (RTAP)........................................................................ App. F–1
Website .......................................................................................................................... App. F–1
Safe, Accountable, Flexible, Efficient, Transportation Equity Act:
A Legacy for Users, (SAFETEA–LU)...........................................................................App. H–1
Section 5310 Program.............................I–3; II–4; III–1; III–6; III–7; V–1; V–2; V–5; V–6; VI–2
............................................................................................................. VII–1; VIII–10; App. G–4
Section 5317 Program........................................................................... See New Freedom Program
State Infrastructure Provisions of National Highway System Designation Act of 1995..................
........................................................................................................................................App. H–1
State Management Plan (SMP)...................................................................................... II–3; VI–13
State Transportation Improvement Plan (STIP) .................................................................. VIII–13
Subrecipient
Definition ................................................................................................................................. I–4
Title IX of the Education Amendments of 1972................................................................App. H–2
Title VI....................................................................IV–6; VI–12; VII–2;VII –3; VIII–8; App. H–2
Nondiscrimination.............................................................................................................. VIII–7
Plan ................................................................................................................................App. A–1
Regulations ........................................................................................................................ VIII–8
Requirements ..................................................................................................................... VIII–3
Title VI of the Civil Rights Act of 1964 ........................................................................App. H–1
Title VII
Requirements ..................................................................................................................... VIII–8
Transit Cooperative Research Program
Website .......................................................................................................................... App. F–3
Transportation Cooperative Research Program (TCRP) .................................................. App. F –3
Website ......................................................................................................................... App. F –3
Transportation Electronic Award Management (TEAM) System ............................................ IV–8
Transportation Equity Act for the 21st Century (TEA–21)........................................ I–1; App. H–1
Unified Planning Work Program (UPWP) .............................................V–3; App. A–1; A–3; A–4
Date ................................................................................................................................App. A–3
Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations..........................................................
See Common Rule or Common Grant Rule
Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments.......................................................................................................................
See Common Rule or Common Grant Rule
Uniform Relocation Assistance and Real Property Acquisitions Policies Act of 1970 ...................
........................................................................................................................................App. H–1
United States Coast Guard (USCG)..................................................................................... VIII–11

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United We Ride (UWR) Initiative ............................................................................................. V–1
Urbanized Area
Definition ................................................................................................................................. I–4
Urbanized Area Formula Program (Section 5307) .............................................................. VIII–11