Reporting of Technical Activities by FTA Grant Recipients

CIRCULAR
U.S. Department
of Transportation
FTA C 8100.1C
Federal Transit
Administration

Subject:

September 1, 2008

PROGRAM GUIDANCE FOR METROPOLITAN PLANNING AND STATE
PLANNING AND RESEARCH PROGRAM GRANTS

1. PURPOSE. This circular is a re-issuance of program guidance and application instructions
for applying for grants under the Metropolitan Planning Program (MPP) and the State
Planning and Research Program (SPRP) authorized at 49 U.S.C. 5305.
2. CANCELLATION. This circular, when final, will cancel Federal Transit Administration
(FTA) Circular 8100.1B, “Program Guidance and Application Instructions for
Metropolitan Planning Grants,” dated October 25, 1996, and revokes Circular 8200.1,
“Program Guidance and Application Instructions for State Planning and Research Program
Grants,” dated December 27, 2001.
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 provision of this circular to the extent
permitted by Federal law or regulation.
5. FEDERAL REGISTER NOTICE. In conjunction with publication of this circular, a
Federal Register notice was published on July 23, 2008 (73 FR 42898) addressing
comments received during the development of the circular.
6. AMENDMENTS TO THE CIRCULAR. FTA reserves the right to update this circular due
to changes in other revised or new guidance and regulations that undergo notice and
comment, without further notice and comment on this circular.
7. ACCESSIBLE FORMATS. This document is available in accessible formats upon request.
To obtain paper copies of this circular as well as information regarding these accessible
formats, telephone 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 Planning and
Environment

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SECTION 5305 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–1
5. Definitions ....................................................................................... I–2
6. Program History .............................................................................. I–5
7. Planning Emphasis Areas ............................................................... I–5

II.

METROPOLITAN PLANNING PROGRAM ..................................... II–1
1. Program Overview .......................................................................... II–1
2. Eligibility ........................................................................................ II–1
3. Boundaries of Metropolitan Planning Areas ................................... II–1
4. Unified Planning Work Program (UPWP) ..................................... II–3
5. MPP Assistance: Formula and Notification ................................... II–5
6. Grant Agreement ............................................................................. II–6
7. Administration of MPP Grants ....................................................... II–7
8. Role of the Designated Recipients (DRs) and Metropolitan
Planning Organization in Allocating Funds .................................... II–15
9. Relationship to Other DOT Programs ............................................. II–16

III.

STATE PLANNING AND RESEARCH PROGRAMS ...................... III–1
1. Program Overview .......................................................................... III–1
2. Eligibility ........................................................................................ III–1
3. SPRP Assistance: Formula and Notification ................................. III–2
4. State Planning and Statewide Planning Activities ........................... III–3
5. Training Activities .......................................................................... III–3
6. Human Resource Program Activities .............................................. III–4
7. Relationship to Selected Other DOT Programs .............................. III–5

IV.

CONSOLIDATED PLANNING GRANTS ......................................... IV–1
1. Consolidated Planning Grant (CPG) Program ................................ IV–1
2. Benefits of the CPG to the States and MPOs .................................. IV–2
3. Project Budget Information ............................................................. IV–4
4. Contact Information ........................................................................ IV–4

V.

APPLICATION INSTRUCTIONS ...................................................... V–1
1. General ............................................................................................ V–1
2. MPO Application to the State ......................................................... V–1

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PAGE

CHAPTER

3. State Application to FTA ................................................................ V–1
4. Acknowledgment of Application .................................................... V–3
5. Grant Approval ............................................................................... V–3
APPENDICIES
APPENDIX A

OUTLINE OF THE UPWP ...................................................... A–1

APPENDIX B

SAMPLE BUDGETS AND ACTIVITY LINE ITEMS ........... B–1

APPENDIX C

REFERENCES ......................................................................... C–1

APPENDIX D

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

INDEX

SUBJECT AND LOCATION IN CIRCULAR

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CHAPTER I
INTRODUCTION AND BACKGROUND
1. THE FEDERAL TRANSIT ADMINISTRATION (FTA). FTA is one of ten modal
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, 10 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, and in
Federally Recognized Indian Tribes.
Through FTA, the Federal government provides financial assistance to develop new public
transportation systems and to improve, maintain, and operate existing systems. FTA grant
recipients are responsible for managing their programs according to Federal requirements,
and FTA is responsible for ensuring that grantees follow Federal statutory and
administrative requirements.
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.
2. AUTHORIZING LEGISLATION. The Safe, Accountable, Flexible, Efficient
Transportation Equity Act, a Legacy for Users (SAFETEA–LU) (PL. 109–059) signed into
law August 10, 2005, authorized $286.4 billion in guaranteed funding for Federal Surface
Transportation Programs (STPs) over six years through FY 2009, including $52.6 billion
for Federal transit programs.
3. HOW TO CONTACT FTA. With few exceptions, FTA manages its programs through its
regional and metropolitan offices. These offices provide financial assistance to FTA
grantees and oversee grant implementation for most FTA programs. Certain programs are
the responsibility of FTA headquarters. You should direct inquiries to either the regional
or metropolitan office responsible for your geographic area.
To find your Regional Office, please visit FTA’s website at, http://www.fta.dot.gov, or
contact FTA Headquarters at the following address and phone number:
Federal Transit Administration
1200 New Jersey Avenue SE
Washington, DC 20590
Office of Communications and Congressional Affairs
Phone: 202–366–4043
Fax: 202–366–3472
4. GRANTS.GOV. The Grants.gov website is one of 24 Federal cross-agency E-government
initiatives designed to improve access to government services and simplify the grants
management process by means of the Internet. Grants.gov enables grant-making agencies

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and the grant community to work together to make grants management easier and more
efficient for everyone. Led by the U.S. Department of Health and Human Services (HHS),
along with Federal grant-makers including 26 agencies, 11 commissions, and several
States, Grants.gov is the one website for information on all Federal competitive grant
opportunities. More information about Grants.gov is available at: http://www.grants.gov.
FTA posts competitive grant opportunities on Grants.gov. FTA recognizes that most
grantees will use the Transportation Electronic Award and Management (TEAM) system to
submit their grant applications.
5. DEFINITIONS. All definitions in 49 U.S.C. 5302(a) apply to this circular, as well as the
following definitions. These definitions are provided for the use of this circular:
a. Activity: An item of cost in a work program associated with a specific study (or
portion of a study) as identified in Appendix B of this circular.
b. Consolidated Planning Grant (CPG) Program: A program in which FTA and Federal
Highway Administration (FHWA) metropolitan planning funds are combined in a
single grant. FTA and FHWA funding to support statewide transportation planning
also may be combined in a CPG.
c. Congestion Mitigation and Air Quality Improvement Program (CMAQ): A program
that provides funds for projects that reduce congestion and/or improve air quality. The
purpose of the CMAQ program is to fund transportation projects or programs that will
contribute to attainment or maintenance of the national ambient air quality standards
(NAAQS) for ozone, carbon monoxide (CO), and particulate matter (PM).
d. Designated Recipient (DR): 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 49 U.S.C. 5336 that are attributable to
Transportation Management Areas (TMAs) identified under 49 U.S.C. 5303; or a State
or regional authority if the authority is responsible under the laws of a State for a
capital project and for financing and directly providing public transportation. 49 U.S.C.
5307(a)(2).
e. Disadvantaged Business Enterprise (DBE): A for-profit small business concern that is
(1) at least 51 percent owned by one or more individuals who are both socially and
economically disadvantaged or, in the case of a corporation, in which 51 percent of the
stock is owned by one or more such individuals; and (2) whose management and daily
business operations are controlled by one or more of the socially and economically
disadvantaged individuals who own it.
f. Long-range Statewide Transportation Plan: The State’s official, statewide, multimodal
transportation plan covering a period of no less than 20 years, developed through the
statewide transportation planning process.

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g. Master Agreement: The official FTA document containing substantially all FTA and
other cross-cutting Federal requirements applicable to the FTA recipient and its project.
The Master Agreement is generally revised annually. The Master Agreement is
incorporated by reference and made part of each FTA grant, cooperative agreement,
and amendment thereto.
h. Metropolitan Planning Area (MPA): The geographic area determined by agreement
between the Metropolitan Planning Organization (MPO) for the metropolitan area and
the Governor of the State, within which the metropolitan transportation planning
process is carried out.
i. Metropolitan Planning Program (MPP): The Federal financial assistance provided by
FTA, under 49 U.S.C. 5305(d), to support work activities necessary to conduct the
federally required metropolitan transportation planning process.
j. Metropolitan Planning Organization (MPO): The policy board of an organization
created and designated to carry out a metropolitan area’s transportation planning
process.
k. Metropolitan Transportation Plan (MTP): The official multimodal transportation plan
addressing no less than a 20-year planning horizon that is developed, adopted, and
updated by the MPO for an MPA through the metropolitan transportation planning
process.
l. Planning Funds (PL): The financial assistance provided by FHWA to support work
activities necessary to conduct the federally required metropolitan planning process.
m. Project: All the transportation and transportation-related planning work within the
State for the fiscal year in which FTA has awarded an MPP grant.
n. Project Task Budget: The document submitted with a State’s MPP application to FTA.
This document summarizes the aggregate costs of completing all work programs
described in all UPWPs submitted by MPOs within the State.
o. Recipient: An organization receiving financial assistance directly from Federal
awarding agencies to carry out a project or program.
p. State Planning and Research Program (SPRP): Federal financial assistance provided by
FTA under 49 U.S.C. 5305(e) to support work activities necessary to conduct the
federally required statewide transportation planning.
q. State: Each of the 50 States, the District of Columbia, and Puerto Rico, all of which
have at least one urbanized area (UZA).
r. State Transportation Improvement Program (STIP): A statewide prioritized
listing/program of federally-funded transportation projects covering a period of four
years that is consistent with the Long-Range Statewide Transportation Plan, MTPs, and

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Transportation Improvement Program (TIP), and required for projects to be eligible for
funding under Title 23 of the U.S. Code and 49 U.S.C. Chapter 53.
s. Subagreement: The mechanism, such as a subgrant or another instrument, employed by
the State to award or transfer MPP funds to the individual MPOs.
t. Subrecipient: Any entity that receives FTA financial assistance as a pass-through from
another entity, e.g., an MPO receiving MPP assistance directly from the State.
u. Task: The aggregate of all activities of a specified type of planning work undertaken
by all MPOs throughout the State. This definition is particularly applicable to
budgeting that uses Appendix B of this circular.
v. Transportation Electronic Award and Management (TEAM): FTA’s electronic grant
making process for grant award and management. TEAM is FTA’s system of record
for grant program delivery.
w. Transportation Improvement Program (TIP): A prioritized listing/program of
transportation projects covering a period of four years that is developed and formally
adopted by an MPO as part of the metropolitan transportation planning process,
consistent with the MTP, and required for projects to be eligible for funding under Title
23 of the U.S. Code and 49 U.S.C. Chapter 53.
x. Transportation Management Area (TMA): (1) An urbanized area (UZA) with a
population over 200,000 (as determined by the latest decennial census) or (2) another
area when TMA designation is requested by the Governor and the MPO (or affected
local officials), and officially designated by the Administrators of the FHWA and FTA.
The TMA designation applies to the entire Metropolitan Planning Area(s) (MPA).
y. Unified Planning Work Program (UPWP): A program of work identifying the planning
priorities and activities to be carried out within an MPA during the next one or twoyear period. At a minimum, a UPWP includes a description of the planning work and
resulting products, the organization that will be responsible for performing the work,
time frames for completing the work, the cost of the work, and the source(s) of funds.
z. Urbanized Area (UZA): A geographic area with a population of 50,000 or more, as
designated by the Bureau of the Census.
aa. Work Element: The planning activity to be undertaken in the UPWP.
bb. Work Program: A periodic statement of proposed work elements and estimated costs
that document the eligible activities to be undertaken with MPP assistance during the
next one or two-year period by the State’s subrecipients (MPOs). Same as a UPWP
(See Chapter I, Section 5.y., of this circular).

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6. PROGRAM HISTORY. Since 1966, FTA has provided financial assistance to States and
local public bodies to support a variety of planning activities. The MPP and SPRP reflect
the long-standing emphasis on a multimodal approach to transportation planning, program
development, and funding, as well as all planning requirements of recent authorizations.
The Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) (Pub. L. 102–240,
105 Stat. 1914, Dec. 18, 1991) restructured FTA’s planning assistance programs. ISTEA
established both statutory formula and discretionary planning assistance programs and
separated planning programs for MPOs from planning programs for States. This landmark
legislation emphasized the multimodal eligibility for FTA and FHWA planning funds to be
used to support any transportation planning activities. The Transportation Equity Act for
the 21st Century (TEA–21) (Pub. L. 105–178, June 9, 1998) and more recent legislation,
SAFETEA–LU (Pub. L. 109–59, August 10, 2005), continue the above planning assistance
programs along with the separate planning programs for MPOs and States. However,
SAFETEA–LU reorganizes the location of the MPP and SPRP in Title 49 of the U.S. Code.
The MPP, formerly codified at 49 U.S.C. 5303(g), and the SPRP, formerly codified at 49
U.S.C. 5313(b), are now both codified at 49 U.S.C. 5305.
As a result of the changes that SAFETEA–LU made to the requirements for metropolitan
transportation planning (49 U.S.C. 5303) and statewide transportation planning (49 U.S.C.
5304), FTA and FHWA revised the joint FTA/FHWA Metropolitan Transportation
Planning and Statewide Transportation Planning regulations that govern the MPP and the
SPRP at 23 CFR Part 450 (adopted by FTA at 49 CFR Part 613), with a Final Rule
published in the Federal Register (72 FR 7224, Feb. 14, 2007). The changes to the
regulations also incorporate changes initiated by TEA–21. The revised regulations provide
the procedural foundation for fully implementing the planning provisions set forth in
legislation that govern the development of MTPs and TIPs for urbanized areas, long-range
statewide transportation Plans, and STIPs, and the regulations for Management and
Monitoring Systems. In general, the revised regulations will make the Metropolitan
Transportation Planning and Statewide Transportation Planning regulations consistent with
current statutory requirements.
This circular uses the joint FTA/FHWA Metropolitan Transportation Planning and
Statewide Transportation Planning regulations at 23 CFR Part 450 as the foundation for its
program guidance. Within the regulation, Subpart C addresses metropolitan transportation
planning and programming, and Subpart B addresses statewide transportation planning and
programming. FTA encourages grantees and stakeholders to refer to the regulations for a
complete description of the planning provisions of the metropolitan and statewide
transportation planning programs and a list of Federal requirements. You can find the
online version at:
http://www.fta.dot.gov/planning/metro/planning_environment_2977.html.
7. PLANNING EMPHASIS AREAS. At the discretion of the Secretary, FTA and FHWA
may jointly establish a planning emphasis area (PEA) to advance national goals as
established by Federal law to reflect FTA and FHWA priorities and to respond to
congressional direction established through the appropriations process. PEAs are intended

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to highlight subjects that should be addressed in FTA and FHWA funded planning
programs. PEAs are designed to encourage the application of planning assistance to
studies addressing national goals and priorities, in addition to goals and priorities directly
benefiting local transportation operations or otherwise serving State and local needs. Upon
request, FTA regional offices and FHWA division offices will provide the most current
PEAs, which remain in effect until superseded by newer PEAs.

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CHAPTER II
METROPOLITAN PLANNING PROGRAM
1. PROGRAM OVERVIEW. The Metropolitan Planning Program (MPP) is a major source of
Federal financial assistance to help urbanized areas (UZAs) plan for the development,
improvement, and effective management of their multimodal transportation systems. MPP
funds are available to carry out the metropolitan transportation planning process and meet
the transportation planning requirements of the joint Federal Transit Administration
(FTA)/Federal Highway Administration (FHWA) planning regulations. In general, MPP
grants are available to assist States, authorities of the States, Metropolitan Planning
Organizations (MPOs), and local governmental authorities with: preparing transportation
plans and programs; planning, engineering, designing, and evaluating a public
transportation project; and conducting technical studies related to public transportation. In
carrying out the metropolitan transportation planning process, the MPO, the State(s), and
the public transportation operator(s) shall cooperatively determine their mutual
responsibilities. They must also clearly identify these responsibilities in written
agreements between the MPO, the State(s), and the public transportation operator(s)
serving the Metropolitan Planning Area (MPA) (23 CFR 450.314).
Under the planning provisions of the Safe, Accountable, Flexible, Efficient Transportation
Equity Act, a Legacy for Users (SAFETEA–LU), the State is the Designated Recipient
(DR) and is the only entity eligible to apply for and receive MPP and State Planning and
Research Program (SPRP) assistance directly from FTA. Although FTA makes MPP
grants directly to States, the State is required by law to distribute these funds to each UZA,
or portion of a UZA, within the State, according to a formula developed by the State in
cooperation with the MPO and approved by FTA. Under the MPP program, only an MPO
is eligible to receive MPP assistance directly from the State. The State recipient enters into
subagreements with subrecipients, consistent with applicable requirements of law.
2. ELIGIBILITY.
a. Overview. FTA makes MPP grants directly to States, the District of Columbia, and
Puerto Rico, each of which has at least one UZA. FTA first apportions MPP assistance
to each State. The State then allocates its MPP assistance to the MPOs in its UZAs
based on a formula developed by the State in cooperation with the MPOs and approved
by FTA. After the State executes its MPP grant agreement with FTA, the State then
transfers its MPP assistance to the MPO by a subagreement to support the MPO’s
transportation planning activities, as set forth in the Unified Planning Work Program
(UPWP).
3. BOUNDARIES OF METROPOLITAN PLANNING AREAS. The State’s subagreement
with each MPO must require the MPO to focus planning activities on the transportation
needs covering the area within the established boundaries of the MPO’s MPA. The MPO
and the governor determine by agreement the boundaries of an MPA. At a minimum, the

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MPA must include the existing UZA and the contiguous area expected to become
urbanized within the next 20 years. A full discussion of factors affecting determination of
the MPA is provided in 23 CFR Part 450.312 adopted by FTA at 49 CFR Part 613, as
amended by 72 FR 7224, Feb. 14, 2007.
a. Eligible Grant Activities. The MPO must use its MPP assistance to support work
elements and activities resulting in balanced and comprehensive intermodal
transportation planning for the movement of people and goods in the metropolitan area.
Comprehensive transportation planning is not limited to transit planning or surface
transportation planning, but also encompasses the relationships among land use and all
transportation modes, without regard to the programmatic source of Federal assistance.
Eligible work elements or activities for MPP and SPRP funds include, but are not
limited to:
(1) Studies relating to management, planning, operations, capital requirements, and
economic feasibility;
(2) Evaluation of previously funded projects;
(3) Peer reviews and exchanges of technical data, information, assistance, and related
activities in support of planning and environmental analysis among MPOs and
other transportation planners;
(4) Work elements and related activities preliminary to and in preparation for
constructing, acquiring, or improving the operation of facilities and equipment.
This includes the planning for “livability” features such as improved pedestrian
and bicycle access to the station and shops and community services in the station
area, incorporating arts and artistic design in stations and surrounding areas, and
other improvements that enhance the usability and community-friendliness of the
transit system environment;
(5) Systems planning and corridor-level alternative analysis;
(6) Development of 20-year transportation plans, short-range transportation
improvement programs (TIPs), and UPWPs;
(7) Safety, security, and emergency transportation and evacuation planning;
(8) Coordinated public transit human services transportation planning;
(9) Transportation and air quality planning and conformity analysis;
(10) Public participation in transportation planning;
(11) Multimodal facilities planning;
(12) Plan, engineer, design, and evaluate a public transportation project;

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(13) Computer hardware and software needed to support planning work; and
(14) Participation in educational programs for technical staff, as well as executive and
board leadership. The cost of certain influencing activities associated with
obtaining grants, contracts, cooperative agreements, or loans is not eligible for
reimbursement under the MPP and SPRP. The Common Rule, “New Restrictions
on Lobbying” published in the Federal Register (55 FR 6736, Feb. 26, 1990),
including definitions, and the Office of Management and Budget (OMB)
“Government-wide Guidance for New Restrictions,” govern lobbying with respect
to certain grants, contracts, cooperative agreements, and loans. For an exhaustive
list of eligible and ineligible activities, see OMB Circular Number A–87 “Cost
Principles for State, Local and Indian Tribal Governments,” at:
http://www.whitehouse.gov/omb/circulars/a087/a087-all.html.
b. Work Element Implementation. The MPO may use its own staff, contract with the
State, or enter into third party contracts to carry out planning work elements and
activities, on the condition that each third party contract complies with the requirements
imposed on States by Department of Transportation (DOT) regulations, “Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments,” (common grant management rule) at 49 CFR Part 18, and the
current version of FTA Circular 4220.1, “Third Party Contracting Requirements” and
any revisions to the requirements.
The common grant management rule’s definition of “local government” specifically
covers each MPO, whether or not the MPO is incorporated as a non-profit corporation
under State law. Consequently, the State is authorized to direct the MPO to follow
either State procedures or to follow the Federal procedures at 49 CFR Part 18, amended
as necessary by specific Federal statutes, Executive Orders, and any implementing
regulations. For further discussion of third party procurement requirements, see
Chapter 1, Section 7.c.(1) of this circular.
4. UNIFIED PLANNING WORK PROGRAM (UPWP). A UPWP consists of transportation
planning projects within a metropolitan area for which Federal assistance is sought.
Typically, a UPWP is focused on a single metropolitan area and is developed by the MPO
within that area. For a UPWP outline, see Appendix A of this circular.
a. MPP grant assistance is based on the activities described in the UPWP. Although the
MPO generally has the primary responsibility for preparing the UPWP for its
metropolitan area, developing the UPWP is the joint responsibility of the MPO, State
DOTs or other State departments, public transportation operator(s), and other planning
or operating agencies authorized to carry out transportation and related planning and
implementation within metropolitan areas. Specifically, all planning and implementing
agencies (such as State DOTs, transit authorities, and airport operators) must be an
integral part of the planning process and participate in the development of the UPWP.

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A State’s grant application to FTA for MPP assistance must reflect the planning
activities described in the UPWPs prepared by MPOs within the State.
b. The UPWP should be an integrated, and thus, unified, planning work program; it
should contain a detailed description of all planning activities and transportation
planning work for the next one to two-year period and delineate major work elements,
activities, products, and schedule for completing the activities. The UPWP should
contain all multimodal comprehensive planning activities, as well as planning studies
related to specific transit, highway, bike/pedestrian, aviation, freight, railway, port, and
harbor activities. Transportation planning support activities, such as land use, socioeconomic factors, and population estimates, also should be included.
c. The UPWP should describe the objectives, methodology, products, and agency
responsibilities for the specific projects. The UPWP should also use narrative and
funding terms to describe the degree to which the various work elements or activities
are intermodal. Work elements or activities may be accomplished by sharing the total
item costs among the Federal, State, and local participants. The proportionate
distribution of Federal assistance assigned will be determined cooperatively for each
work element or activity by the appropriate Federal operating administrations. This
may result in proportional funding of an entire UPWP, provided that the MPO, State,
and public transportation operators agree.
d. The UPWP should also identify any transportation planning activities in the region to
be financed with assistance derived from the SPRP, the Urbanized Area Formula
Program, and other FTA programs listed previously in this chapter, or Federal
assistance derived from FHWA Planning (PL) Funds and other FHWA programs (such
as Congestion Mitigation and Air Quality Improvement Program (CMAQ) or Surface
Transportation Program (STP)) to ensure that all planning in the metropolitan area for
which Federal assistance is being requested is fully coordinated with the State, FTA,
and FHWA.
e. The UPWP should also clearly identify any incomplete work elements or activities
financed with Federal planning assistance awarded in previous fiscal years as carryover
activities, irrespective of the funding source.
f. A simplified statement of work may be submitted in lieu of a UPWP by an MPO in an
UZA not designated as a Transportation Management Area (TMA), but only if
approved by the State, FTA, and FHWA. If permitted to submit a simplified statement
of work, the MPO, in cooperation with the State and transit operators, must prepare the
statement of work with a description of the major activities to be performed during the
next one or two-year period, who (i.e., State, MPO, public transportation operator, local
government, or consultant) will perform the work, the resulting products, and a
summary of the total amounts and sources of Federal and matching funds. If a
simplified statement of work is used, it may be submitted as part of the State’s planning
work program, in accordance with 23 CFR Part 420.

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g. FTA will review the draft UPWPs and approve them individually or as a part of the
State’s consolidated request for MPP assistance. In reviewing a UPWP, FTA evaluates
the following:
(1) The UPWP’s relevance to studies or planning activities needed to implement the
metropolitan transportation plan (MTP) and TIP development requirements;
(2) Eligibility of each task for FTA financial assistance; and
(3) Inclusion of tasks reflecting multimodal transportation planning in the
metropolitan area.
5. MPP ASSISTANCE: FORMULA AND NOTIFICATION.
a. Notification. MPP apportionments to States are published in the Federal Register
annually, after the President has signed the DOT Appropriations Act for the fiscal year.
FTA usually publishes apportionments during the first quarter of the Federal fiscal
year. For information on FTA annual apportionment notices, see FTA’s website at:
http://www.fta.dot.gov/funding/grants_financing_38.html.
b. Authorization. The formulas for apportioning MPP funds are established by statute.
Under the formula established by SAFETEA–LU at 49 U.S.C. 5305(g), 82.72 percent
of the amounts authorized for Section 5305 is allocated to the MPP.
c. Formulas. SAFETEA–LU has divided MPP authorizations into two categories; the Act
designates 80 percent for allocation among MPOs in accordance with the formula
described in 49 U.S.C. 5305(d) to support metropolitan planning, including provisions
for private enterprise participation. The remaining 20 percent of the MPP authorization
is designated for apportionment to States by the Secretary to provide supplemental
assistance funding to MPOs. FTA combines the basic and supplemental MPP
assistance for each State when FTA publishes its annual apportionment notice in the
Federal Register.
d. Basic and Supplemental MPP Assistance and Formula Allocation Among MPOs.
(1) In accordance with 49 U.S.C. 5305(d), FTA apportions 80 percent of the available
MPP assistance to the States, based on the ratio equal to the population in each
State’s UZAs, divided by the total population in UZAs in all the States, as shown
by the latest available decennial census prepared by the Bureau of the Census. If
necessary, FTA is required to make adjustments to that formula to ensure that each
State is apportioned a minimum amount of 0.5 percent of this 80 percent basic
assistance.
(2) Consistent with 49 U.S.C. 5305(d), FTA then apportions the remaining 20 percent
of the MPP assistance to the States to supplement funding for MPP activities in
MPOs in larger metropolitan areas that have more complex transportation issues

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and needs. FTA’s administrative formula for apportioning the remaining 20
percent focuses on the relative size of these larger metropolitan areas. Only States
that have a UZA with a population greater than one million are eligible to receive
supplemental MPP assistance.
(3) Each State must allocate its total MPP assistance (Basic and Supplemental) to its
MPOs consistent with the formula the State has developed with its MPOs and
approved by FTA. Allocation of the Basic portion of MPP assistance to MPOs
must take place no later than 30 days after the date of apportionment.
e. Availability of MPP Assistance.
(1) Grant Awards. The funds apportioned under the MPP will remain available for
FTA to obligate to recipients for four fiscal years, which includes the year of
apportionment plus three more years. Any apportioned funds that remain
unobligated at the end of this period will revert to FTA for reapportionment under
the program (the same principles apply to SPRP assistance).
(2) Draw Down of Federal Funds Conditioned Upon UPWP Approval. As a general
rule, an applicant for financial assistance under any of FTA’s grant programs must
first demonstrate compliance with all applicable Federal requirements before FTA
will award a grant to that applicant. FTA may make an exception, however, for an
MPP grant to a State. In this instance, FTA may choose to award a grant requiring
FTA and FHWA express approval before FTA and FHWA have approved each
UPWP within the State. However, FTA does not allow the State to draw down
MPP assistance obligated under the grant to support planning expenses of an MPO
without an approved UPWP. Once FTA and FHWA approve that MPO’s UPWP,
the State may then begin to draw down MPP assistance under the affected grant for
reimbursement of the MPO’s planning expenses.
(3) Pre-award Authority to Spend MPP Funds. If a State has not executed a grant
agreement with FTA, the State may spend its own funds under pre-award authority
for MPP work contained in an approved UPWP. The MPP work will be eligible
for FTA assistance after FTA approves a grant including the apportionment
funding that includes the MPP work already undertaken. FTA will allow preaward authority only if a planning study has been approved in the UPWP. FTA
will only provide retroactive MPP assistance to support work that is eligible for
MPP assistance. An MPO may incur costs for MPP work before receiving its MPP
allocation from the State, yet remain eligible for reimbursement when its MPP
assistance is ultimately made available. The same principles also apply to SPRP
assistance.

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6. GRANT AGREEMENT.
a. Characteristics of the Grant Agreement. FTA has developed a streamlined grant
agreement with the following characteristics:
(1) Notification of Award. This section sets forth the specifics pertaining to the
particular grant application. For MPP grants, the DR is always the State. The
project description will cover all MPP work elements and activities to be carried
out within the State. The total project cost will cover all MPP work elements and
activities within the State for which the specific grant will provide funding. The
local share will be the total local share the State is obligated to provide for all the
MPP work elements and activities within the State for which the specific grant will
provide funding.
(2) Master Agreement. Each fiscal year, FTA provides a copy of the Master
Agreement to each grant applicant to use with all grant programs that may interest
the grant applicant. FTA incorporates by reference the Master Agreement for a
specific fiscal year and makes it part of the grant agreement. The Master
Agreement is essentially a compilation of all requirements imposed on FTA grant
programs by various Federal statutes, regulations, Executive Orders, and FTA
directives used for all FTA grant programs. Requirements within the Master
Agreement not otherwise applicable to the MPP will not be imposed by the Master
Agreement.
(3) Special Conditions or Requirements. Any special conditions or requirements
placed on a particular grant agreement will be set forth within the grant agreement
in the Transportation Electronic Award and Management (TEAM) grant
processing system. Note: Failure to fulfill a special condition or requirement
pertaining to a specific work element or activity can delay drawing down MPP
assistance to support that work element or activity.
b. Transmission of the Grant Agreement. FTA and the State execute the grant agreement
electronically through the TEAM grant processing system.
7. ADMINISTRATION OF MPP GRANTS. Each State is responsible for ensuring that each
MPO within its jurisdiction complies with those Federal requirements affecting MPO
operations.
a. Federal Role in MPP Administration.
(1) FTA Headquarters Offices are responsible for:
(a) Providing overall MPP policy and program guidance;
(b) Apportioning funds annually to the States;

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(c) Developing and implementing financial management procedures;
(d) Initiating and managing program support activities;
(e) Supporting and completing fund transfers for the Consolidated Planning Grant
(CPG) program and non-CPG program; and
(f) Conducting national program reviews and evaluations.
(2) The FTA regional offices have the day-to-day responsibility for administering the
MPP. Regional Office responsibilities include:
(a) Working with States to implement the annual or two-year planning grant
program or CPG program;
(b) Reviewing and approving the State’s allocation formulas;
(c) Reviewing and approving the State’s MPP grant or CPG applications;
(d) Approving the State’s annual Certifications and Assurances;
(e) Reviewing and approving any revisions to the planning work conducted
within the State;
(f) Obligating funds;
(g) Providing oversight of the State’s management responsibilities;
(h) Providing overall management; and
(i) Reviewing the State’s management of its MPP grants as circumstances
warrant.
(3) Before making MPP assistance available to the State, FTA regional offices and
FHWA division offices will review the draft UPWP from each TMA and, at FTA
and FHWA’s discretion, review draft UPWPs from non-TMA MPOs. FTA and
FHWA will approve the UPWPs individually or as part of the State’s consolidated
request for metropolitan planning assistance. The State may either submit UPWPs
or simplified statements of work submitted by MPOs for areas with 200,000 or less
population.
b. State Role in MPP Administration.
(1) General Responsibilities. The State may select any entity to administer its MPP
program. Normally a State DOT or another State agency manages the State’s MPP
grants. The State role includes:

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(a) Notifying eligible local entities of the availability of MPP assistance;
(b) Determining how MPP assistance should be allocated to each MPO, which is
a formula developed with its MPOs and approved by FTA;
(c) Reviewing UPWP work tasks;
(d) Forwarding its MPP application to FTA;
(e) Providing the necessary Certifications and Assurances;
(f) Ensuring compliance with Federal requirements by all subrecipients;
(g) Monitoring the MPOs’ project activity; and
(h) Overseeing project audit and grant closeout.
(2) State Subagreements with MPOs. Before providing MPP assistance to an MPO,
the State and MPO must enter into a written subagreement stating the terms and
conditions of the provision of MPP assistance. In general, the MPO is authorized
to follow State procedures in managing its MPP work, except when express
Federal statutes, Executive Orders, or regulations apply. Accordingly, the State
must ensure that every subagreement with an MPO includes all applicable
requirements imposed by Federal statutes, Executive Orders, and implementing
regulations. The Master Agreement, which FTA incorporates by reference into the
grant agreement between FTA and the State, identifies these requirements.
At the request of the MPO, the State may carry out planning work elements or
activities directly for the MPO. Additionally, the State reimburses MPOs for work
activity vouchers from FHWA and/or FTA’s planning program funding.
(3) General Management Requirements. DOT’s Common Rule for States and Local
Government (49 CFR Part 18) establishes basic grant management requirements
for the State. To the extent that State procedures do not conflict with other Federal
statutes, Executive Orders, or implementing regulations applicable to the MPP, the
Common Rule specifically permits the State to use its own procurement, financial
management, and property management procedures in administering its MPP
assistance.
(a) The Common Rule also authorizes a local government subrecipient of a State
to use the State’s procurement, financial management, and property
management procedures. For purposes of the Common Rule, an MPO is
specifically designated as a “local government,” even if the MPO qualifies as
a non-profit corporation under State law. Consequently, because an MPO is
the State’s subrecipient of MPP assistance, the MPO is authorized to
administer its MPP assistance in accordance with State procedures, but only if

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they do not conflict with other Federal statutes, Executive Orders, or
implementing regulations applicable to the MPP.
(b) The Master Agreement, which FTA incorporates by reference in the grant
agreement, sets forth the basic requirements pertaining to an MPP grant.
Additionally, in the current version of FTA Circular 5010.1, “Grant
Management Guidelines,” provides project management guidelines for nearly
all FTA programs. Circular 5010.1 provides basic guidance on financial
status and milestone/narrative progress reporting that is particularly useful in
managing the MPP. The circular’s provisions offer guidance in program
management.
c. Special Management Requirements for the MPP Program. This circular does not repeat
all management requirements applicable to the MPP, but it does contain compliance
guidance within the context of the MPP structure for certain management requirements
of special significance to FTA.
(1) Third Party Contracts. A third party contract is a contract financed with Federal
assistance between a DR, pass-through recipient or subrecipient, and a third party
contractor for project work elements or activities. A third party contractor may be
a general contractor, a consultant, or another entity (usually in the private sector)
but is not a subrecipient that receives pass-through funding from the recipient to
implement its project. A third party subcontract is a subcontract entered into by
the third party contractor and another contractor for project work. The current
version of FTA Circular 4220.1, “Third Party Contracting Requirements,” is a
useful guide for third party contracting procedures.
(a) In the case of the MPP program, the State is the DR/grantee, and the MPO is
its subrecipient. A contractor engaged to perform project work directly for
either the State or subrecipient is a third party contractor. A contractor
engaged by the third party contractor is a third party subcontractor.
(b) In the case of the MPP, the procurement, execution, audit, and closing of third
party contracts are basic MPO responsibilities, for which the State, as well as
the MPO, is responsible.
(c) Notably, neither the State nor the MPO may impose State or local preference
provisions in third party procurements. The State must also ensure that each
purchase order or other third party contract includes all requirements imposed
on States by specific Federal statutes, Executive Orders, and their
implementing regulations.
(d) A subagreement in which the State (as the DR) passes MPP assistance through
to the MPO (as a subrecipient) is not a third party contract. When entering
into any third party contract, however, the MPO, as the subrecipient of the
State, must comply with State procurement procedures and other specific

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Federal statutory, Executive Order, and regulatory requirements specifically
imposed on the MPP.
(2) Disadvantaged Business Enterprises (DBE). DOT regulations on participation by
DBEs in certain FTA programs require recipients and subrecipients of specific
amounts of Federal transportation assistance to establish DBE goals on contracts
(and third party contracts) with subcontracting opportunities. For further
information on FTA’s DBE requirements, see DOT’s DBE regulations (49 CFR
Part 26).
(3) Allowable Costs. OMB Circular A–87, “Cost Principle for State, Local, and Indian
Tribal Governments,” provides Federal guidelines for allowable costs for grantees
and subrecipients that are State or local governments.
d. Financial Management.
(1) State Financial Management Systems. The Common Rule requires a State to spend
and account for grant funds in accordance with State laws and procedures for
spending and accounting State 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 all reports required by Federal law and regulation as a
result of the MPP project; and
(b) Permit tracking of funds to a level of spending adequate to confirm that such
funds have not been used in violation of the restrictions and prohibitions
applicable to the MPP program.
(2) FTA Payment Procedure. FTA makes all payments by the Automated Clearing
House (ACH) method of payment, regardless of the amount. The State makes
payments under the Electronic Clearing House Operation (ECHO) system, using
its assigned ECHO Control Number (ECN). The State must comply with the
ECHO requirements contained in the ECHO System Operations Manual,
“Guidelines for Disbursements,” used for FTA Projects. In general:
(a) The State may draw down cash only when project purposes require immediate
disbursement of funds;
(b) The State must disburse the funds drawn down within three days. FTA may
revoke or suspend the State’s access to the ECHO system, or FTA may invoke
other remedies if the State fails to spend the Federal funds within three days of
their receipt or return the funds to FTA within a reasonable period or if the
State will not or cannot establish procedures that will reduce the amount of
time between cash advances and disbursement;

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(c) The State must report cash disbursements and balances on the annual
Financial Status Report (FSR) in the grant;
(d) The State must provide for control and accountability of all project funds
consistent with Federal requirements and procedures for use of the ECHO
system;
(e) The State may not draw down funds for a project that would exceed the
amount obligated by FTA or the current available balance for that project; and
(f) The State shall limit drawdowns to eligible project costs and ensure that
subrecipients also follow applicable financial requirements. If the State
violates this requirement, the State must remit interest as required by U.S.
Department of Treasury regulations, “Rules and Procedures for Funds
Transfers,” 31 CFR Part 205.
(3) State Financial Records. FTA does not maintain detailed financial records on
individual MPP projects. The State (and its subrecipient MPOs) must maintain
financial records, supporting documentation, and all other records pertaining to an
MPP grant, and these records should be available for review by FTA and DOT.
Besides specific data on project expenditures, the State’s financial records should
adequately document the computation of the Federal share and the provision of the
required local share for each project. These records must be kept readily available
for inspection by authorized DOT representatives or the Comptroller General of
the United States for a period of three years. The retention period starts on the date
the State submits its final FSR (OMB SF–269A) to FTA and DOT. 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.
(4) Audit. The State is responsible for ensuring that audits are performed pursuant to
the requirements of the Single Audit Act of 1984, 31 U.S.C. 7501, the Common
Grant Rule, and OMB Circular A–133, “Audits of States, Local Governments, and
Non-Profit Organizations.”
(5) Closeout. The State should initiate project closeout with MPOs immediately after
the MPO has spent all its MPP assistance. The State should similarly initiate grant
closeout with FTA immediately after the State finishes all activities covered by its
(aggregate) Project Task Budget. The State is required to submit a final FSR
(OMB SF–269A) and a final Project Task Budget at the time of project closeout.
(a) The State’s subagreement with an MPO should specify a reasonable time
(generally one year) in which the MPO must complete its planning work
elements and activities. Although this circular gives the State a great deal of
flexibility, it is not FTA’s intention that grants be continually revised or

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amended in ways that will excessively prolong the life of the grant, and
thereby result in a large number of active grants.
(b) FTA places a high priority on closing out grants for which work or activity
has ceased for more than a year. If small amounts of funds (less than 5
percent of Federal funds in the grant) remain in an inactive subagreement, the
State should ask FTA to deobligate the remaining funds and close out the
grant upon mutual agreement between the State and FTA that the funds are no
longer needed.
(6) Reporting Requirements.
(a) Planning Status Reports. Each time an MPO submits a new UPWP for which
it seeks Federal assistance to the State, FTA, or FHWA, a status report on any
outstanding federally-assisted planning work elements or activities
outstanding should accompany that UPWP. The State then prepares a
summary of these planning status reports for submission with the State’s
(aggregate) Project Task Budget.
(b) Annual Financial and Program Status Reports. Annually, the State must
submit an FSR (SF–269A) for each active grant along with the State’s
September 30 program status report. This FSR is due 30 days after the end of
the Federal fiscal year. FTA may request more frequent reporting when
circumstances warrant.
(c) Title VI Report. The current version of FTA Circular 4702.1, “Title VI and
Title VI-Dependent Guidelines for FTA Recipients,” requires each State to
submit a Title VI compliance report (updated every three years) to its FTA
Regional Civil Rights Officer showing how the State and its subrecipients will
comply with Title VI of the Civil Rights Act of 1964, as amended.
(d) DBE Reports. Because the State must pass through all MPP assistance to its
MPOs, the State must obtain DBE programs and annual DBE goals from each
MPO receiving $250,000 or more in MPP assistance for one year. The State
must submit semiannual progress reports on its DBE contracting activities and
those of its subrecipients that meet or exceed the $250,000 threshold. If the
State includes in its goal calculations those subrecipients that receive less than
$250,000, the DBE contracting activities of these subrecipients must be
reported annually. States and MPOs should consult DOT regulations on DBE
participation in projects financed with DOT assistance, located at 49 CFR Part
26.
(e) Reports on Nondiscrimination on Basis of Disabilities. DOT regulations
prohibiting discrimination on the basis of disabilities in federally-assisted
programs at 49 CFR Part 27, which also requires States to submit compliance
reports.

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e. State Management of MPP Grants. With the enactment of ISTEA (and then continuing
with Transportation Equity Act for the 21st Century (TEA–21) and SAFETEA–LU),
FTA apportions MPP assistance and awards grants to each State; the State then
provides the MPP assistance to MPOs for transportation planning in their MPAs. For
information on the role of the Federal and State governments in the administration of
MPP Grants, see Chapter II, Section 7.a. and b., of this circular.
(1) Although the State is responsible, in cooperation with the MPOs, for developing a
formula for the suballocation of MPP assistance to various UZAs, FTA must
approve the formula. FTA expects the State’s MPP formula to recognize relative
population size, transportation needs, and problems of individual areas, as well as
ensuring a minimum amount of MPP funding for each UZA.
(2) Because FTA issues a single MPP grant to each State, the State assumes the role of
grant applicant on behalf of its subrecipient, MPOs, in interacting with FTA; that
is, the State must submit the MPP grant application to FTA on behalf of its MPOs.
The State’s (aggregate) Project Task Budget in its MPP grant application is usually
compiled from information in the various final UPWPs. Specifically, FTA expects
the State to prepare an aggregate summary of all the proposed work elements and
activities in all its metropolitan areas, in accordance with the framework of
Appendix B of this circular. Apart from the Project Task Budget, FTA also
expects the State to submit information about how it will allocate MPP assistance
to its MPOs and specify the organization that will be responsible for completing
each work element or activity.
(3) Although FTA may rely on the States to perform the necessary reviews of the
UPWPs, the FTA Regional Office reserves the right to review and approve all
individual metropolitan UPWPs (in addition to the mandatory FTA review of
UPWPs covering metropolitan areas with populations of more than 200,000, or
areas classified as nonattainment or maintenance areas for transportation-related
pollutants).
(4) The State must distribute all MPP assistance to its MPO subrecipients in
accordance with the State’s federally-approved formula. The State does this by
entering into subagreements with each MPO. At an MPO’s request, a State may
use MPP assistance to perform selected planning work elements or activities for
the MPO. Although the State may not use any MPP assistance for administrative
expenses, the State may use FHWA SPRP assistance to support its costs connected
with administering and managing the MPP.
(5) The State, as the applicant to FTA for an MPP grant, and later as the recipient,
must comply with all grant application requirements of this circular.
Consequently, the State is responsible for ensuring that each subrecipient of MPP
assistance, such as an MPO, complies with those Federal requirements that apply
to subrecipients. Although FTA does not specify the documentation a State must

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obtain from the individual MPO subrecipients, the State must show support for the
certifications, assurances, and other reporting requirements it makes to FTA as a
DR.
8. ROLE OF THE DESIGNATED RECIPIENTS (DRs) AND METROPOLITAN
PLANNING ORGANIZATION IN ALLOCATING FUNDS.
a. Role of the DR for Section 5307 Funds: Under FTA’s Urbanized Formula grant
program (49 U.S.C. 5307), Congress has provided that the DR(s) is the entity selected
by the State’s chief executive officer, responsible local officials, and publicly owned
operators of public transportation to “receive and apportion” the amounts made
available by Congress and FTA to a TMA, or a State, or regional authority if the
authority is responsible under the laws of the State for a capital project and for
financing and directly providing public transportation. See 49 U.S.C.
5307(a)(2)(A)(B). Section 5307 further provides that the DR, after consideration of
comments and views of the public, prepares the final program of projects (POP) for the
amounts available to the DR(s). See 49 U.S.C. 5307(c).
b. Role of the MPO: Under 49 U.S.C. 5303(d), an MPO, designated by agreement of the
Governor and local elected officials that together represent at least 75 percent of the
affected population (including the largest incorporated city based on population) or in
accordance with State or local law, is the forum for cooperative decisionmaking.
Composed of local elected officials, appropriate State officials, and officials of public
agencies that operate major modes of transportation in the region, the MPO is
responsible for the development and adoption of the long range transportation plan and
the shorter term TIP. The TIP must include every capital and operating project for
which assistance will be requested from FTA or FHWA. Upon approval by the MPO,
the TIP must be approved by the Governor and is subsequently included in a STIP that
FTA and FHWA jointly approve. (See 49 U.S.C. 5303(j)(1)(d), 49 U.S.C. 5304(g)(6)
and 23 U.S.C. 135(g)(6)).
Sections 5303 and 5307 of Title 49 U.S. Code specify the roles of the MPO and the DR
respectively. While the MPO develops and adopts the TIP, the DR has the primary
responsibility to develop the POP for the Section 5307 funds apportioned to its TMA
for inclusion in the TIP. The MPO and the DR have to work cooperatively to develop
the TIP and agree on how Section 5307 funds will be spent. FTA Circular 9030.1,
“Urbanized Area Formula Program: Program Guidance and Application Instructions,”
includes more information on the role of the DR and MPO regarding Section 5307
funds.
c. Role of the DR for Section 5305 (MPP) Funds: As stated earlier, for purposes of this
circular, the State is the DR of the MPP funds and must work cooperatively with the
MPO in determining a formula for distributing these funds among MPOs in the State.
FTA must review and approve that formula.

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9. RELATIONSHIP TO OTHER DOT PROGRAMS.
a. FTA Programs. The following is a brief discussion of other FTA grant programs that
can be used to fund metropolitan transportation planning activities.
(1) State Planning and Research Program (SPRP) (49 U.S.C. 5305(e)). In addition to
funding State and local transportation needs, the SPRP provides funds for planning
studies. Chapter III of this circular provides detailed information on this program.
The SPRP can provide financial assistance through States to their MPOs to aid in
the preparation of fiscally constrained plans and TIPs that guide the use of Federal
capital assistance resources. The plans and programs should reflect the goals and
objectives of State and local officials and citizens.
(2) Urbanized Area Formula Program (49 U.S.C. 5307). Funds may be used for any
planning work element or activities eligible for MPP assistance. The statute
establishes the Federal match for planning assistance under this program at 80
percent of the project cost. For UZAs under 200,000 in population, FTA makes
funds available to the Governor or the Governor’s designee(s) for distribution. For
UZAs over 200,000 in population (designated as TMAs), funds are available to a
local DR(s). See the current version of FTA Circular 9030.1 for more information
on this program.
(3) Capital Investment Grants (49 U.S.C. 5309). Capital Investment Grants provide
capital assistance for fixed guideway modernization, construction and extension of
new fixed guideway systems, bus and bus related equipment, and construction
projects. States and local public bodies within urbanized, or nonurbanized areas,
are eligible to receive grants derived from the Capital Program, but may not use the
funds for planning activities. The Alternatives Analysis Program (Section 5339),
as authorized by SAFETEA–LU and described below, serves this purpose.
Planning is no longer an eligible activity under Section 5309, with the exception of
Before and After studies for New Starts and Small Starts. See the current version
of FTA Circular 9300.1, “Capital Investment Program Guidance and Application
Instructions,” for more information.
(4) Alternative Analysis Program (49 U.S.C. 5339). Under the Alternatives Analysis
Program, FTA may make funding available to States, authorities of the States,
MPOs, and local governments. The government share of the cost of a funded
activity may not exceed 80 percent of the cost of the activity. Eligible projects
include planning and corridor studies supportive of the adoption of locally
preferred alternatives within the fiscally constrained MTP for that area.
Alternatives Analysis programming must be shown in the UPWP for MPOs with
responsibility for that area. For further discussion of the UPWP, see Chapter II,
Section 4 of this circular.
(5) Job Access and Reverse Commute (JARC) Program (49 U.S.C. 5316). The JARC
program provides assistance for public transportation projects that develop and

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maintain transportation services that transport welfare recipients and eligible low
income individuals to and from jobs and activities that pertain to their employment.
FTA apportions JARC funds directly to large UZAs and to the States for small
UZAs and nonurbanized areas. A recipient may use up to 10 percent of its JARC
apportionment to fund program administration, planning, and technical assistance.
To find guidance for the JARC program, see the current version of FTA Circular
9050.1., “The Job Access and Reverse Commute (JARC) Program Guidance and
Application Instructions.” This program is part of the Coordinated Public Transit
Human Services Transportation Plan (Coordinated Plan) discussed further in
Chapter II, Section 9.b., of this circular.
(6) New Freedom Program (49 U.S.C. 5317). SAFETEA–LU’s New Freedom
Program provides new public transportation services and public transportation
alternatives, in addition to those required by the Americans with Disabilities Act
(ADA), to assist individuals with disabilities with transportation, including
transportation to and from jobs and employment support centers. A State may use
up to 10 percent of its New Freedom apportionment to fund program
administration, planning, and technical assistance. To find guidance for the New
Freedom Program, see the current version of FTA Circular 9045.1., “New Freedom
Program Guidance and Application Instructions.” This program is part of the
Coordinated Plan discussed further in Chapter II, Section 9.b., of this circular.
(7) Elderly Individuals and Individuals with Disabilities Program (49 U.S.C. 5310).
The Elderly Individuals and Individuals with Disabilities program (Section 5310)
provides Federal assistance to States, which in turn distribute the funds to private,
non-profit organizations (and in certain circumstances, public bodies).
Subrecipients often use Section 5310 program funds to buy vehicles and related
equipment to provide special transit services to elderly individuals and individuals
with disabilities. The State may use up to 10 percent of its total fiscal year
apportionment to fund program administration, planning, and technical assistance.
The 10 percent that is eligible to fund program administration costs, including
planning, may be funded at a 100 percent Federal share. To find guidance for this
program, see the current version of FTA Circular 9070.1F, “Elderly Individuals
and Individuals with Disabilities Program Guidance and Application Instructions.”
This program is part of the Coordinated Plan discussed further in Chapter II,
Section 9.b., of this circular.
(8) Nonurbanized Area Formula Program (49 U.S.C. 5311). This program provides
funds to the States for public transportation projects in small urban and
nonurbanized areas. The State may use up to 15 percent of these funds for
planning activities, as well as for State administration and technical assistance.
See the current version of FTA Circular 9040.1F, “Nonurbanized Area Formula
Program Guidance and Grant Application Instructions,” for more information on
this program.

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With few exceptions, the same State agency administers both the Section 5310 and
Section 5311 programs. Given that the MPP and the SPRP programs complement
each other and have many parallels, FTA encourages State agencies to consider all
planning, capital, and operating resources together and to coordinate the use of
those resources across FTA programs.
(9) Paul S. Sarbanes Transit in the Parks Program (transit in the parks)—formerly
Alternative Transportation in the Parks and Public Lands (Section 5320). The
transit in the parks program, 49 U.S.C. 5320, was established by SAFETEA–LU.
Its purpose is to enhance the protection of national parks and Federal lands, and
increase the enjoyment of those visiting them. The program makes available FTA
assistance toward capital and planning expenses in projects designed to improve
alternative transportation systems in parks and public lands. Eligible applicants are
Federal land management agencies and State, tribal, and local governments with
jurisdiction over land in the vicinity of an eligible area. FTA carries out the
program in consultation with the Department of the Interior and other Federal land
management agencies. To be eligible for funding under this program, project and
strategies must come from the applicable transportation planning process.
b. Relationship to the Locally Developed, Coordinated Public Transit-Human Services
Transportation Plan (Coordinated Plan). Three FTA programs—Elderly Individuals and
Individuals with Disabilities (Section 5310), Job Access and Reverse Commute (JARC)
(Section 5316), and New Freedom (Section 5317)—require that eligible projects be
derived from a locally developed Coordinated Plan. FTA expects public transit
systems funded under both the Section 5307 and Section 5311 formula programs to
participate in the local planning process for coordinated public transit-human service
transportation in those areas applying for funds under Sections 5310, 5316, or 5317.
The Coordinated Plan should be prepared through a process that is consistent with the
applicable metropolitan or statewide planning process. 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. For more
information on the Coordinated Plan, see Chapter V of FTA program Circulars 9045.1
(New Freedom), 9050.1 (JARC) or 9070.1 (Section 5310). Although the Coordinated
Plan may be developed within or outside the metropolitan or statewide transportation
planning processes, the development of that plan must be consistent with applicable
metropolitan or statewide transportation planning processes, as well as the MTP or
Long-Range Statewide Transportation Plan. Individual projects derived from the

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Coordinated Plan that will request FTA or FHWA funding must be incorporated into
the TIP and STIP. As appropriate, the entire Coordinated Plan should be referenced
within the applicable MTP or Long-Range Statewide Transportation Plan.
c. Related FHWA Administered Programs. The following is a brief discussion of FHWA
administered flexible fund programs that can be used to support metropolitan and
statewide transportation planning processes. For information on these programs, see
the FHWA website at: http://www.fhwa.dot.gov/safetealu/factsheets.htm.
(1) Surface Transportation Program (STP) (23 U.S.C. 133, 104(b)(3), & 140). The
Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) established the
STP, and TEA–21 and SAFETEA–LU continued the program as a source of
flexible funding for surface transportation planning, highway, and/or transit
research. FTA grantees may use these funds for planning purposes in support of
project development. The State Department of Transportation (State DOT) and
FHWA must approve the use of STP funds for planning purposes.
(2) Congestion Mitigation and Air Quality Improvement Program (CMAQ) (23
U.S.C. 149(a)). The CMAQ Program may be used for either highway or transit
projects, including planning activities undertaken in support of projects intended to
meet air quality standards. FHWA or FTA may administer these funds for eligible
transit projects. The MPO, State DOT, FTA, and FHWA must approve the use of
CMAQ funds for planning purposes.
(3) FHWA Metropolitan Planning Program (23 U.S.C. 104 (f)). FHWA’s
metropolitan planning funds (PL), similar to FTA’s MPP funds, may be used for
all transportation planning purposes in metropolitan areas. PL and MPP funds may
be combined to finance any transportation work elements or activities in an MPO’s
UPWP through a Consolidated Planning Grant.
(4) FHWA State Planning and Research Program (23 U.S.C. 505). FHWA’s Statewide
Planning and Research program (SPR) is a close counterpart to FTA’s SPRP.
FHWA SPR funds may be used for statewide transportation planning and research
for all modes and for administrative expenses associated with the State’s planning
program.
d. Pooled Funds. For a discussion on pooled funds, see Chapter III, Section 7(10) of this
circular.

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CHAPTER III
STATE PLANNING AND RESEARCH PROGRAMS
1. PROGRAM OVERVIEW. The State Planning and Research Program (SPRP) is a source of
Federal financial assistance to the States to meet the planning requirements of the joint
Federal Transit Administration (FTA)/Federal Highway Administration (FHWA) planning
regulations for statewide transportation planning. This program provides financial
assistance to States for statewide transportation planning and other technical assistance
activities including supplementing the technical assistance program provided through the
Metropolitan Planning Program (MPP), planning support for nonurbanized areas, training
and educational programs, and human resource programs. FTA makes SPRP grants
directly to States, and, as with the MPP, the State is the Designated Recipient (DR) for this
program.
The Governor of each State must designate a State recipient for its SPRP funds. Generally,
grants under the SPRP are available to assist States, authorities of the States, Metropolitan
Planning Organizations (MPOs), and local governmental authorities with developing
transportation plans and programs, planning and evaluating public transportation projects,
and conducting technical studies relating to public transportation.
a. The joint FTA/FHWA planning regulations at 23 CFR Part 450 elaborate on the
following fundamental principles that apply to statewide transportation planning:
(1) Within each State, a Long-Range Statewide Transportation Plan must be produced.
(2) Within each State, State Transportation Improvement Programs (STIPs),
incorporating Transportation Improvement Programs (TIPs) or including TIPs by
reference, must be produced. SPRP is a major source of Federal financial
assistance to the States to meet these and other transportation planning
requirements. Regulations set forth at 23 CFR 450.200 fully discuss the scope of
the Statewide Transportation Planning process.
2. ELIGIBILITY.
a. Applicant Eligibility. FTA apportions SPRP assistance to each State. The State then
allocates its SPRP assistance to planning agencies on a formula developed by the State
in cooperation with the entities and approved by FTA. After the State executes its
SPRP grant agreement with FTA, the State may decide to transfer some of its SPRP
assistance to the MPO or beneficiary by subagreement to support public transportation
and public transportation-related activities.
b. Eligible Grant Activities. SPRP grants can be used to cover the cost of administering
the statewide transportation planning, MPP, or both. SPRP grants are available for
direct labor or for contracts to undertake the balanced and comprehensive planning,
engineering, design, and evaluation of public transportation projects and for

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transportation planning studies involving modes other than transit when performed as
part of the metropolitan transportation planning process. SPRP funds may be used for
Metropolitan planning activities authorized under 49 U.S.C. 5303.
Eligible activities include, but are not limited to:
(1) Development of Long-range Statewide Transportation Plans and STIPs;
(2) Joint development planning;
(3) Training and educational activities; and
(4) Human resource program activities.
c. See Chapter II, Section 3(a) of this circular for additional activities eligible to receive
SPRP funding.
3. SPRP ASSISTANCE: FORMULA AND NOTIFICATION.
a. Notification. SPRP apportionments to the States are published in the Federal Register
annually after the President has signed the Department of Transportation (DOT)
Appropriations Act for the fiscal year. FTA usually publishes apportionments in the
first quarter of each fiscal year. For information on FTA annual apportionment notices,
see FTA’s website at: http://www.fta.dot.gov/funding/grants_financing_38.html.
b. Authorization. Amounts authorized for the SPRP program are established by statutory
formula. Under the formula established by SAFETEA–LU at 49 U.S.C. 5305(g), 17.28
percent of the amounts authorized for Section 5305 are allocated to the SPRP. A State,
as it considers appropriate, may authorize part of the amount made available under the
SPRP to be used to supplement the amounts made available under the MPP for that
State.
c. Formulas. FTA apportions SPRP assistance to the States, based on the ratio equal to the
population in each State’s urbanized areas (UZAs), divided by the total population in
UZAs in all the States, as shown by the latest available census prepared by the Bureau
of the Census. However, a State must receive at least 0.5 percent of the amount
annually apportioned.
d. Availability of SPRP Assistance.
(1) Grant Awards. The funds apportioned under the SPRP will remain available for
FTA to obligate to recipients for four fiscal years, which includes the year of
apportionment plus three more years. Any apportioned funds that remain
unobligated at the end of this period will revert to FTA for reapportionment under
the program (the same principles apply to MPP assistance).

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(2) Pre-award Authority. If a State has not executed a grant agreement with FTA, the
State may expend its own funds under pre-award authority for SPRP work
contained in an approved Unified Planning Work Program (UPWP). The SPRP
work will be eligible for FTA assistance after FTA approves a grant including the
apportionment funding. FTA will only provide retroactive SPRP assistance to
support work that is eligible for SPRP assistance. A State may incur costs for
SPRP work before receiving its SPRP allocation from FTA, yet remain eligible for
reimbursement when its SPRP assistance is ultimately made available.
4. STATE PLANNING AND STATEWIDE PLANNING ACTIVITIES.
a. Subrecipient Eligibility. For the purposes of 49 U.S.C. 5305, MPOs, local
governmental authorities, and operators of public transportation systems are eligible
subrecipients for grants to fund statewide planning activities.
b. FTA Review. FTA encourages the State Department of Transportation (State DOT) to
include the State’s Work Program in its application to FTA. In reviewing a State’s
Work Program, FTA evaluates the following:
(1) Relevance of the proposed activities to develop and maintain an appropriate
technical and policy level needed to implement the State’s 20-year transportation
plan and STIP requirements; and
(2) Eligibility of each task for FTA financial assistance.
c. Funding Ratio. The Federal share for eligible planning activities is 80 percent. The
locality or the State must provide the remaining 20 percent cost in cash or in-kind
contributions.
d. Budget Scope and Activity Line Item (ALI) Codes. The Scope Code for statewide
planning is 441–00. For a sample project budget scope with ALI codes, see Appendix
B of this circular. Line item codes remain the same for both statewide and metropolitan
planning.
5. TRAINING ACTIVITIES.
a. Eligible Grant Activities. A fellowship under this subsection may not be for more than
one year of training in an institution that offers a program applicable to the public
transportation industry. The recipient of a grant for fellowship shall select an
individual based on demonstrated ability and for the contribution the recipient can
reasonably expect the individual to make to an efficient public transportation operation.
b. Subrecipient Eligibility. For purposes of 49 U.S.C. 5315, States, local governmental
authorities, and operators of public transportation systems are eligible subrecipients for
fellowships to train personnel employed in managerial, technical, and professional
positions in the public transportation field.

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c. Funding. An individual fellowship may not exceed the lesser of $65,000 or 75 percent
of:
(1) Tuition and other charges to the fellowship recipient;
(2) Additional costs incurred by the training institution and billed to the grant
recipient; and
(3) The regular salary of the fellowship recipient for the period of the fellowship to the
extent the salary is actually paid or reimbursed by the grant recipient.
d. National Transit Institute (NTI) Training. Besides training activities under 49 U.S.C.
5305, States and public transportation authorities are eligible for education and training
funds under 49 U.S.C. 5315. The statute allows use of not more than 0.5 percent of the
amounts made available for a fiscal year beginning after 1991, to a State or public
transportation authority in the State to carry out formula grants (49 U.S.C. 5307) or
capital investments grants (49 U.S.C. 5309), with the approval of the Secretary, to pay
not more than 80 percent of the cost of tuition and direct educational expenses related
to educating and training State and local transportation employees under this section
through grants and contracts with public and private agencies, other institutions,
individuals, and the institute.
e. Budget Scope and Activity Line Item (ALI) Codes. The Scope Code for training is
441–30. For sample scope codes and ALI codes, see Appendix B of this circular.
6. HUMAN RESOURCE PROGRAM ACTIVITIES.
a. Eligible Grant Activities. Eligible activities authorized by 49 U.S.C. 5322 include
projects that address the human resource needs as they apply to public transportation
activities. Human resource projects likely to be funded are those that fulfill the
agency’s transportation human resource goals.
(1) Eligible projects include, but are not limited to:
(a) Employment training programs;
(b) Outreach programs that increase the number of minorities and females
employed in public mass transportation activities;
(c) Research on public transportation personnel and training needs; and
(d) Training and assistance for minority business opportunities.
(2) Examples of funded projects include:

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(a) Transit agencies’ technical assistance programs to enhance the participation of
Disadvantaged Business Enterprise (DBE) in transit-related projects and other
contracting opportunities;
(b) Career development/employment programs to increase the diversity of
minorities and women in the workforce;
(c) Training programs for disadvantaged youths to obtain entry-level employment
and training in skilled crafts; and
(d) Implementation of transit projects for Native American tribes and
organizations.
b. Subrecipient Eligibility. Local governments, educational institutions, and non-profit
organizations are eligible subrecipients for human resource activities.
c. Funding Ratio. The applicable Federal/non-Federal split for the Section 5305 planning
programs applies unless waived by the Secretary. FTA encourages cost sharing on
projects involving non-public applicants, as well as the provision of local matching
funds by public bodies to the maximum extent feasible.
d. Budget Scope. The Scope Code for human resources is 441–20. For a sample project
budget scope and ALI codes, see Appendix B of this circular.
7. RELATIONSHIP TO SELECTED OTHER DOT PROGRAMS.
a. FTA Programs. The following is a brief discussion of FTA programs that can be used
to fund statewide transportation and planning activities:
(1) Metropolitan Planning Program (49 U.S.C. 5305(d)). The MPP provides financial
assistance through States to their MPOs to aid in the preparation of plans and
fiscally constrained TIPs which guide the use of Federal capital assistance
resources. The plans and programs reflect a variety of State and local objectives,
as well as national priorities. The MPP provides funds for planning studies to
address State and local transportation needs. Chapter II of this circular provides
detailed information specifically on this program.
(2) Urbanized Area Formula Program (49 U.S.C. 5307). See Chapter II, Section 9
(a)(2) of this circular for program description.
(3) Nonurbanized Area Formula Program (49 U.S.C. 5311). See Chapter II, Section 9
(a)(8) of this circular for program description.
(4) Job Access and Reverse Commute (JARC) Program (49 U.S.C. 5316). See
Chapter II, Section 9 (a)(5) of this circular for program description.

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(5) New Freedom Program (49 U.S.C. 5317). See Chapter II, Section 9 (a)(6) of this
circular for program description.
(6) Elderly Individuals and Individuals with Disabilities Program (49 U.S.C. 5310).
See Chapter II, Section 9 (a)(7) of this circular for program description.
Note: With few exceptions, the Section 5310 and Section 5311 programs are
administered by the same State agency. Because the MPP and SPRP programs
complement each other and have many parallel provisions, FTA encourages State
agencies to consider these two planning assistance programs together and
coordinate them to the extent possible.
(7) Paul S. Sarbanes Transit in the Parks Program—formerly Alternative
Transportation in the Parks and Public Lands (Section 5320). See Chapter II,
Section 9 (a)(9) of this circular for program description.
(8) Relationship to the Locally Developed Coordinated Public Transit Human
Services Transportation Plan (Coordinated Plan). The 5310, 5316, and 5317
programs require a locally developed Coordinated Plan for project funding. See
Chapter II, Section 9 (b) of this circular for program description.
(9) Related FHWA Administered Programs. The following is a brief discussion of
flexible FHWA administered programs. Funding for these programs can be used
for Statewide Planning and Research Programs (SPR). For information on these
programs, see the FHWA website at:
http://www.fhwa.dot.gov/safetealu/factsheets.htm.
(a) Surface Transportation Program (STP) (23 U.S.C. 133, 104(b)(3),140). See
Chapter II, Section 9 (c)(1) of this circular for program description.
(b) Congestion Mitigation and Air Quality Improvement Program (CMAQ) (23
U.S.C. 149). See Chapter II, Section 9 (c)(2) of this circular for program
description.
(c) FHWA Metropolitan Planning Program (PL) (23 U.S.C. 104(f). See Chapter
II, Section 9 (c)(3) of this circular for program description.
(d) FHWA State Planning and Research Program (SPR) (23 U.S.C. 505). See
Chapter II, Section 9 (c)(4) for program description.
(10) Pooled Funds. To promote transportation systems that maximize mobility and
accessibility and minimize transportation impacts on the human and natural
environment, State transportation planning agencies may, in cooperation with
MPOs, choose to pool funds. These pooled funds can be used to fund research that
is of mutual interest and benefit and addresses the transportation needs of areas
with critical needs or that support a broader, more comprehensive, statewide need.

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National pooled fund studies focus on solving problems of national significance.
Usually FTA or FHWA headquarters offices administer these studies either in
cooperation with States, MPOs, or both. The State, MPO, or both fund these
studies by contributing FTA planning and research funds, with or without
matching funds.

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CHAPTER IV
CONSOLIDATED PLANNING GRANTS
1. CONSOLIDATED PLANNING GRANT (CPG) PROGRAM. The Federal Transit
Administration (FTA) and the Federal Highway Administration (FHWA) offer States the
option of participating in the CPG program. The CPG program allows the States and
Metropolitan Planning Organizations (MPOs) to merge FTA metropolitan or statewide
planning funds with FHWA Planning (PL) funds to provide States support for both
highway and transit planning activities in single consolidated grants. States/MPOs have the
option to transfer planning funds to either FTA or FHWA to be awarded and administered
for metropolitan or statewide planning purposes. This CPG program fosters a cooperative
effort between the Federal agencies and the participating States to streamline the delivery
of their planning programs providing the flexibility in the use of planning funds.
FTA and FHWA continue to distribute metropolitan planning and statewide planning funds
according to each agency’s statutory formulas that the States will distribute to MPOs by
formulas that meet the legislative factors for each category of funds in 23 U.S.C. 104(f)(4)
and 49 U.S.C. 5305(d)(2). Each State will continue to develop its own distribution
formula, in consultation with the MPOs, which FTA or FHWA must approve for their
respective programs.
States/MPOs will decide whether planning funds will be consolidated for administration
under FTA or FHWA. The designated “Lead Grant Agency” will have day-to-day
responsibility for grant administration, such as work program changes, allowable cost
determination, or audit processing. In all cases, the “Lead Grant Agency” will coordinate
and solicit input from the other agency on major issues, such as work program approval
and grant closeout. FTA metropolitan and statewide planning funds to be used in CPG
grants must be transferred from the regular metropolitan and statewide planning program
codes to the appropriate metropolitan and statewide codes designated in the Transportation
Electronic and Award and Management (TEAM) system.
Under the CPG program, States can report metropolitan planning expenditures (to comply
with the Single Audit Act) for both FTA and FHWA under the Catalog of Federal
Domestic Assistance (CFDA) number for FTA’s Metropolitan Planning Program (MPP)
(20.505). Additionally, for States with an FHWA Metropolitan Planning (PL) fundmatching ratio greater than 80 percent, the State can waive the 20 percent local share
requirement, with FTA’s concurrence, to allow FTA funds used for metropolitan planning
in a CPG to be granted at the higher FHWA rate. For some States, this Federal match rate
can exceed 90 percent.
In the FHWA July 19, 2007, Memorandum, “INFORMATION: Fund Transfers to Other
Agencies and Among Title 23 Programs,” at
http://www.fhwa.dot.gov/legsregs/directives/policy/fundtrans20070719.htm, FHWA
outlines provisions contained in sections 1108, 1119(b), 1935 and 1936 of Public Law
109–59, the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy

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for Users (SAFETEA–LU) and expanded the transferability of funds to other agencies and
among programs. This memorandum consolidates processes and procedures for transfers
between FHWA and FTA. Sample transfer request forms are included in the
memorandum, and Attachment 2 of the memorandum includes details of program
specifications, eligible activities, and any specific program considerations. States
interested in transferring planning funds between FTA and FHWA should contact the FTA
Regional Office or FHWA Division Office for more detailed procedures.
2. BENEFITS OF THE CPG TO THE STATES AND MPOS.
a. No SF–424 (standard Federal application) is required. FTA and FHWA will accept the
metropolitan (and statewide) planning work programs as the grant application for both
FTA planning funds. FTA will not require a separate SF–424 from the State under the
CPG.
b. Elimination of separate FTA and FHWA budget detail. Under the CPG, FTA will not
require a separate FTA and FHWA budget document with activity line items (ALIs) for
work program activities, such as long range planning or Transportation Improvement
Program (TIP) development. When needed for programmatic, not budget review
purposes by FTA or FHWA, this activity information will be obtained from the work
program documents. Financial data (scope level) will come from the funding
summaries at the end of the Unified Planning Work Program (UPWP), thereby
eliminating the potential for budget revisions. This also saves the States and MPOs
from having to prepare individual budgets.
c. Expedited authorization of work. States/MPOs will have to wait for only one source of
funds, not both, to be made available at the beginning of their program period. As long
as any planning funds (FTA or FHWA) are available to the “Lead Grant Agency,”
those funds can be used for any of the work. Work will be authorized based on
availability of combined FHWA and FTA funds. This should lessen, if not eliminate,
the need to use FTA’s Letter of No Prejudice or FHWA’s Advance Construction
provisions, given that some funds (FHWA or FTA) should always be available at the
beginning of the work program period.
d. Elimination of multiple budget ALIs in TEAM. TEAM will show only the combined
FHWA/FTA funding programmed for each State. Budget ALIs will be reported for
total funding. By using data at this aggregate level, it will not be necessary for transfers
among work program line items to be entered into TEAM.
e. Simplified work activity, accounting and billing. The State/MPO will not need to
identify which categories of fund(s) are budgeted for specific work program activities
in the UPWP. Similarly, UPWP expenditures will not need to be tracked by source of
funds and work program line items. The MPO requests for reimbursement will not
need to indicate the source of the Federal funds claimed. The State’s bill will need to
specify only a funding source to be drawn down.

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f. One Federal oversight agency. The “Lead Grant Agency” will have responsibility for
day-to-day grant program support activities. Draft and final work programs and
progress and financial reports will need to be submitted to the “Lead Grant Agency”
only, which will also handle other administrative matters, such as work program
changes, allowable cost determination, and audit processing. FTA and FHWA will
retain their responsibility for program management and oversight, including the review
of the UPWP and UPWP amendments. The FHWA Division Office and the FTA
Regional Office will coordinate review of the final reports and mutually determine
whether the grant is ready to be closed by the FTA region. Therefore, States/MPOs
will need to work with only one Federal agency on administrative issues.
g. Simplified procedures for fund carryover/grant extension options. In non-CPG States,
FHWA funds in previous grants (work programs) may be released and reprogrammed,
upon request of the State, in new work programs at any time. Unexpended balances
from FTA grants that exceed the four-year period of availability will lapse to the State
if deobligated. FTA will work with States that elect to participate in the CPG on a
case-by-case basis to close out previous FTA planning grants without the lapsing of
funds. In CPG States, FHWA funds transferred to FTA will be administered by FTA
and will remain in an open grant in the TEAM system until either the funds are
disbursed or if any funds remaining will not be spent then they will be deobligated.
The goal of the CPG program is to have only one combined FTA/FHWA grant to
which all incurred cost will be charged during the State’s or MPO’s program period.
This will reduce the number of open grants and the associated accounting and
paperwork burden. States’ participants in the CPG have the option to treat the CPG
grants as one-year grants with a new project and grant created for each year’s work
program or amend the original grant to include several successive years’ work
programs. For example, the original grant could, through successive amendments,
extend over the life of the reauthorization legislation. (Note that SAFETEA–LU
restructured FTA accounts. Beginning in FY2006, CPG program funds are trust funded
and new grants had to be established for CPG program funds. Grants can be amended
in subsequent years.)
h. Consolidated reporting. The State will submit periodic progress and financial reports to
only the “Lead Grant Agency” instead of to both FHWA and FTA. Reporting annually
is the required minimum, but it could be more frequent as agreed to by the field offices.
Under the CPG program, progress and financial reports submitted by the State and
MPO just need to specify the amount of total Federal funds that have been expended on
specific activities and will not have to specify how much FHWA and FTA funds have
been spent on activities. MPO reports will be submitted through States in accordance
with State procedures. Similarly, products produced with the consolidated funds would
only need to be submitted to the lead administrative Federal agency.
i. Continuing/combined subgrant agreements. States can enter into continuing agreements
with MPOs that cover FTA and FHWA funded planning and then issue annual letters
requesting transfer of each year’s funding. This eliminates the need for annual
negotiations and legal review of subgrant agreements.

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j. Single Federal match ratio. States with differing FTA and FHWA match ratios have the
option to use the higher matching ratio.
k. Consolidated single audit reporting. Expenditures of FHWA funds transferred to FTA
can be reported under FTA’s CFDA number(s), and expenditures of FTA funds
transferred to FHWA can be reported under FHWA’s CFDA number.
3. PROJECT BUDGET INFORMATION. When FTA administers the CPG program, the
format of the budget should include: scope code, description, and project budget. The
scope code 443–00–Consolidated Planning Grant and the ALI 44.31.99–FHWA/FTA
Metro/State Planning should be used in preparing the budget. The budget should include
the combined FHWA and FTA metropolitan and statewide planning funds. (For additional
information on combined FHWA/FTA funding, see Chapter IV, Section 2.d. of this
circular.)
4. CONTACT INFORMATION. States interested in participating in the CPG program
between FTA and FHWA should contact the FTA Regional Office or FHWA Division
Office for more detailed procedures. For further information, phone the FTA Office of
Budget and Policy at 202–366–4050, or the FHWA Office of Planning, Environment, and
Realty at 202–366–0106.

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Page V-1

CHAPTER V
APPLICATION INSTRUCTIONS
1. GENERAL. Following enactment of the annual Department of Transportation (DOT)
Appropriations Act, the Federal Transit Administration (FTA) apportions Metropolitan
Planning Program (MPP) and State Planning and Research Program (SPRP) assistance to
each State, which the State in turn distributes to its recipients. Until FTA awards an MPP
or SPRP grant to the State, the State cannot obtain that MPP or SPRP assistance. Because
the State obtains MPP and SPRP assistance directly from FTA, the State must submit its
application and all supporting documentation directly to FTA. Metropolitan Planning
Organizations (MPOs), authorities of the States, and local governmental authorities seeking
MPP or SPRP assistance must submit sufficient documentation to the State for it to prepare
and submit an adequate planning program application to FTA.
FTA has not imposed requirements on the State in selecting the entities to apply for the
State’s MPP or SPRP grant. Usually, the State DOT administers the State’s MPP and SPRP
grant. FTA also does not mandate uniform procedures by which States must process
requests for assistance. A State may establish its own application procedures for MPOs,
authorities of the States, and local governmental authorities seeking MPP and SPRP
assistance, on condition that those procedures do not prevent the State from providing
program assistance promptly to its recipients. To expedite MPP and SPRP grant awards,
however, FTA recommends that all application procedures conform to the guidance in this
chapter pertaining to grant applications and reviews. FTA’s Transportation Electronic
Award and Management (TEAM) system is used for processing grant applications and
approvals.
2. MPO APPLICATION TO THE STATE. The MPOs and other entities seeking planning
assistance should submit applications for MPP or SPRP assistance to the State along with
sufficient documentation for the State to make the Certifications and Assurances required
for an MPP and SPRP grant award to the State. An MPO seeking MPP assistance for
planning work elements or activities involving an urbanized area (UZA) of more than
200,000 population or a nonattainment or maintenance area for transportation pollutants
must also submit a copy of its draft and final Unified Planning Work Program (UPWP) to
the appropriate FTA Regional Office and Federal Highway Administration (FHWA)
Division Office for review and approval, as well as to the State. Each State has its own
process for reviewing MPO applications for MPP assistance.
3.

STATE APPLICATION TO FTA.
a. The State agency designated as the MPP and/or SPRP recipient must submit its
application electronically to the appropriate FTA Regional Office.
b. FTA encourages States to submit one combined application for both the MPP and
SPRP annually. This will result in a single planning grant that includes both
Metropolitan and State planning activities.

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FTA C 8100.1C
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c. State (aggregate) Project Task Budget for Planning.
(1) The State Project Budget should summarize the approved planning tasks and
budgeted amounts from the UPWPs submitted by MPOs within the State, as well
as the planning activities undertaken in areas of the State outside the UZA. The
tasks included should reflect all MPP and SPRP funded activities from the
metropolitan UPWPs for which assistance is being sought.
(2) The State Project Budget should include planning activities undertaken in nonurbanized areas of the State, which will constitute the basis for an applicant
incurring obligations and FTA making disbursement of project assistance. This
budget should broadly identify tasks in order to minimize the need for post grant
approval actions such as budget revisions and grant amendments.
(3) The sample Project Task Budget and task descriptions in Appendix B represent a
uniform set of categories. The State must prepare the State (aggregate) Project
Task Budget in a format similar to that of Appendix B. This may require
aggregation of UPWP tasks for budget preparation.
d. Project Budget. The funds for planning, human resources, and training will have
individual scope codes and must be in separate budgets with the associated Activity
Line Item (ALI) for the State’s application to FTA (see Appendix B for samples). The
chapters in the circulars for activities other than planning, e.g., Human Resources,
provide the scope codes that are used in a project budget. Appendix B provides ALI
codes in sample budgets. The most current codes are for all project scopes, and
activities can be viewed on the FTA website at:
http://www.fta.dot.gov/funding/grants_financing_91.html.
e. Cost Allocation Plan/Indirect Cost Proposal. If indirect costs (overhead) are to be
charged to the project, the State must provide a cost allocation plan or indirect cost
proposal to support those cost charges. Before FTA may reimburse the State for
indirect charges, the plan or proposal must be provided and approved by the cognizant
Federal agency assigned to the State (which is not FTA). The State should notify FTA
if the State intends to charge indirect costs to a project, but has not prepared a cost
allocation plan/indirect cost proposal. Information on preparing the cost allocation plan
or indirect proposal is contained in the current version of FTA Circular 5010.1, “Grant
Management Guidelines,” which is available at
http://www.fta.dot.gov/laws/leg_reg_circulars_guidance.html.

f. Local Share. Unless an exception is made to the State’s local share requirement, the
State must make a commitment in the application to provide the entire 20 percent local
share of the total project cost of its entire MPP or SPRP grant request. Each
commitment must specify whether the local matching share consists of cash, in-kind
services, or a combination of both.

FTA C 8100.1C
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Page V-3

g. Transportation Electronic Award and Management (TEAM). FTA provides a
streamlined electronic interface between grantees and FTA that allows complete
electronic grant application submission, review, approval, and management of all
grants. Designated Recipients (DRs) may inquire about the status of grants, file their
required quarterly financial status and narrative progress reports, and make annual
Certifications and Assurances through the TEAM system.
h. Certifications and Assurances. To receive a grant under Section 5305, the designated
State agency must annually assure FTA that the State and subrecipients meet certain
requirements. In this regard, the State applicant is responsible to FTA for both its own
and its subrecipients’ compliance with the requirements of the Certification and
Assurances applicable to the specific project, even though some requirements must be
fulfilled by the subrecipient or another entity. For this reason, the State applicant
should obtain sufficient documentation from all subrecipients to support those
certifications and assurances the State applicant must provide to FTA. The State 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 them in the 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.
As noted in Chapter V, Section 3.g., of this circular, grant recipients can provide,
electronically in TEAM, each Certification and Assurance that will apply to the
applicant’s grants for the particular year. The Certifications and Assurances appear in
TEAM where a grant applicant’s authorized representative may “pin” and submit the
certifications appropriate to the applicant.
4. ACKNOWLEDGMENT OF APPLICATION. FTA’s electronic award and management
system will provide notification if the application has been successfully submitted.
Because FTA cannot assign a grant number until it has determined that the application is
complete, State applicants should also notify FTA that a submission has been made.
5. GRANT APPROVAL. When a grant application has been approved, FTA notifies the
applicant electronically through the TEAM system. Chapter II of this circular discuss this
grant agreement more fully.

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Appendix A
Page 1 of 2

APPENDIX A
OUTLINE OF THE UPWP
This outline is not intended to be all-inclusive or prescriptive. Rather, it provides one possible
general framework for the description of work elements and activities to be accomplished in the
implementation of the local planning process in the Unified Planning Work Program (UPWP).
a. The following outline suggests a general structure for a UPWP:
(1) Introduction. The introduction should include a discussion of items such as the
purpose of the UPWP, the agencies participating in the UPWP, the time frame(s)
used in the UPWP, and generally how the UPWP was developed and unified for
the entire metropolitan area. The UPWP should include a discussion in broad
terms of the status of all planning in the metropolitan area, both comprehensive
and transportation, and major overall issues and objectives the UPWP. Finally, it
should list the specific products of the UPWP.
(2) Overview of the UPWP Work Elements Objectives. The UPWP should address the
various planning work elements to be accomplished in the metropolitan area and
based upon the metropolitan plan. This discussion should include the following:
(a) A discussion of the area’s important transportation issues;
(b) A description of all proposed transportation and transportation-related
planning work elements or activities, including related State Department of
Transportation (State DOT) or transit authority corridor planning work
elements or activities, regardless of funding sources; and
(c) A description of transportation-related air quality planning work elements or
activities, regardless of funding sources and regardless of the entity that
conducts the work elements or activities.
(3) The UPWP should address both current and long-term planning issues for each
work element or activity and should, where appropriate, consider the interaction of
short and long-range issues. Particular attention should be given to the impact of
short-term decisions on long-term costs and benefits. Within the overall
framework of the work program, the elements of the program must meet the
requirements of the individual Federal operating administrations to be eligible for
funding.
(4) The UPWP should include any active work elements or activities carried forward
from prior years, as well as any work elements or activities to be financed from the
Urbanized Area Formula Program (49 U.S.C. 5307) or other Federal Transit
Administration (FTA) or Federal Highway Administration (FHWA) programs.

Appendix A
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FTA C 8100.1C
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(5) The UPWP should include a description of specific work elements and activities to
be performed during the next one or two years to carry out each specific planning
work element or activity. For each work element or activity, the following items
should be discussed:
(a) Description and objectives of the work element or activity;
(b) Previous Work;
(c) Methodology;
(d) Schedule for completing the activities or work elements;
(e) Tangible products expected within the timeframe of the UPWP;
(f) Entity responsible for work element or activity;
(g) Cost and funding source (financial responsibility);
(6) Proposed Budget using the format of the Project Task Budget in Appendix B of
this circular.
(a) The Project Task Budget should show the total project budget and all amounts
of Federal assistance funds, including carryover funds, and local share funds
from State and local sources that are allocated to each work element or
activity included in the UPWP. It should also include amounts the MPO
intends to provide to other entities, such as transit operators and local county
governments, each of which would have at least one corresponding work
activity. Appendix B provides a sample format and an explanation of the
technical activities.

FTA C 8100.1C
9/1/2008

Appendix B
Page 1 of 4

APPENDIX B
SAMPLE BUDGETS AND ACTIVITY LINE ITEMS
MPP Sample Project Task Budget
SCOPE CODE
ALI
442–00
44.21.00
44.22.00
44.23.00
44.24.00
44.25.00
44.27.00

PROJECT
BUDGET 1
ACTIVITY

Metropolitan Transportation Planning
Program Support and Administration
General Development and Comprehensive Planning
Long Range Transportation Planning
Short Range Transportation Planning
Transportation Improvement Program (TIP)
Other Activities

$174,600
127,400
100,000
165,000
20,000
0

TOTAL

$587,000

SPRP Sample Project Task Budget
SCOPE CODE
ALI
441–00
44.21.00
44.22.00
44.23.00
44.24.00
44.25.00

PROJECT
BUDGET 1
DESCRIPTION

Statewide Planning
Program Support and Administration
$174,600
General Development and Comprehensive Planning
127,400
Long Range Transportation Planning (To include EIS)
0
Short Range Transportation Planning
165,000
Transportation Improvement Program (TIP)
20,000
TOTAL
$487,000
1
Federal Transit Administration (FTA) funds plus State and local match.
FTA’s Transportation Electronic Award and Management (TEAM) system is available on
FTA’s website.

Appendix B
Page 2 of 4

FTA C 8100.1C
9/1/2008

Activity Line Items
The following Activity Line Item (ALI) codes are used for both metropolitan and State
planning.
1. Program Support and Administration (44.21.00). Include basic overhead, program support,
and general administrative costs directly chargeable to the FTA project; examples include
direct program support, administration, interagency coordination, citizen participation,
public information, local assistance, and Unified Planning Work Program (UPWP)
development. (If direct program administrative and support costs are included in each
work or activity, do not enter them a second time in this category).
2. General Development and Comprehensive Planning (44.22.00). Include only the costs of
activities specifically emphasizing regional policy and system planning for nontransportation functional areas, plus the development and maintenance of related data
collection and analysis systems, demographic analysis and non-transportation modeling,
and forecasting activity; examples include land use, housing, human services,
environmental and natural resources, recreation and open space, public facilities, and
utilities.
3. Long Range Transportation Planning (LRTP)—Metropolitan & Statewide (44.23.00).
a. Long Range Transportation Planning (LRTP)—System Level. Include only the costs of
activities specifically emphasizing long range transportation system planning and
analysis; examples include long range travel forecasting and modeling including
appropriate data base development and maintenance for transportation in the entire
metropolitan area or State, system analysis, sketch planning, system plan development,
reappraisal or revision, and all long-range Transportation System Management (TSM)
activities.
b. Long Range Transportation Planning (LRTP)—Project Level. Include only the costs of
examples include corridor and subarea studies, cost effectiveness studies, feasibility
and location studies, and the preparation of related draft environmental impact studies.
4. Short Range Transportation Planning (SRTP) (44.24.00). Include only the costs of
activities specifically emphasizing short range transportation system or project planning
and analysis proposed in the next three to five years; examples include management
analyses of internal operations such as management/administration, maintenance,
personnel, and labor relations; service planning including appropriate data base
development and maintenance; Transportation Development Plan (TDP) preparation;
financial management planning, including alternative farebox policies; and all short range
Transportation System Management (TSM) activities including vanpool/ridesharing, high
occupancy vehicles, parking management.
5. Transportation Improvement Program (TIP) (44.25.00). Include only the costs of activities
specifically emphasizing TIP development and monitoring.

FTA C 8100.1C
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Appendix B
Page 3 of 4

6. Other Activities (44.27.00). Include only the costs of those activities whose primary
emphasis is unrelated to the specific types of activities described above.

HUMAN RESOURCE PROGRAM

SCOPE CODE

DESCRIPTION

PROJECT
BUDGET

ALI
441–20
2X.10.00

Human Resource Program
Personnel—Direct Labor

2X.13.00
2X.14.00
2X.20.00
2X.50.00
2X.40.00
2X.49.00
2X.70.00
2X.71.00
2X.74.00

Stipends—Student
Stipends—Administrative Staff & Teachers
Travel
Contractual Services
Equipment
Supplies (Expendable Items)
Other Direct Project Related Costs
General Administrative Costs
Conferences: Workshops/Seminars;
Speakers’ Honorariums; Meetings; Open
House Other Direct Expenses

7,000
7,000
3,000
5,000
2,000
2,000
3,000
2,000
2,500

2X.74.00

Indirect Costs—Overhead
(*Denotes excluded activity line items
(ALIs))

1,500

TOTAL

FTA’s TEAM system is available on FTA’s website.

$30,000

$65,000

Appendix B
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FTA C 8100.1C
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TRAINING PROGRAM
SCOPE CODE

DESCRIPTION

PROJECT
BUDGET

ALI

441–30

Training Program

50.10.00

Travel

$5,000

50.20.00

Tuition/Fees

15,000

50.30.00

Housing/Meals
TOTAL

FTA’s TEAM system is available on FTA’s website.

4,000
$24,000

FTA C 8100.1C
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Appendix C
Page 1 of 4

APPENDIX C
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, August 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. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d.
i. Clean Air Act, as amended, 42 U.S.C. 7401 et seq.; specifically, limitations on Federal
assistance added by the Clean Air Act Amendments of 1990, 42 U.S.C. 7506(a).
j. National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 et seq.
k. Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794.
l. Section 106 of the National Historic Preservation Act, 16 U.S.C. 470f.
m. Single Audit Act of 1984, 31 U.S.C. 7501.
n. Lobbying disclosure provisions of 31 U.S.C. 1352.
o. Federal Highway Administration (FHWA) regulations, “Program Management and
Coordination,” 23 CFR Part 420.
p. Joint FHWA/FTA regulations, “Planning Assistance and Standards,” 23 CFR Part 450
and 500, 49 CFR Part 613 (specifically, Subpart B “Statewide Transportation
Planning,” and Subpart C “Metropolitan Transportation Planning and Programming”).
q. Joint FHWA/FTA regulations, “Environmental Impact and Related Procedures,” 23
CFR Part 771.
r. Executive Order 12898 on “Environmental Justice” dated February 11, 1994.

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FTA C 8100.1C
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s. Department of Labor Guidelines, “DOL Guidelines, Section 5333(b), Federal Transit
law,” 29 CFR Part 215.
t. Department of Housing and Urban Development regulations, “Community
Development Block Grants,” 24 CFR Part 570.
u. Department of Treasury regulations, “Rules and Procedures for Funds Transfers,” 31
CFR Part 205.
v. Environmental Protection Agency regulations, “Requirements for Preparation,
Adoption, and Submittal of Implementation Plans,” 40 CFR Part 51 (specifically,
Subpart T, “Conformity to State or Federal Implementation Plans of Transportation
Plans, Programs, and Projects Developed, Funded or Approved under Title 23 U.S.C.
or the Federal Transit Act”).
w. Environmental Protection Agency regulations, “Determining Conformity of Federal
Actions to State or Federal Implementation Plans,” 40 CFR Part 93.
x. DOT regulations, “Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments” (“common grant management rule”), 49
CFR Part 18.
y. DOT regulations, “New Restrictions on Lobbying,” 49 CFR Part 20.
z. DOT regulations, “Participation by disadvantaged business enterprises in Department
of Transportation financial assistance programs,” (DBE regulations), 49 CFR Part 26.
aa. DOT regulations, “Nondiscrimination on the basis of disability in programs or activities
receiving Federal financial assistance,” 49 CFR Part 27.
bb. DOT regulations, “Governmentwide Debarment and Suspension (Nonprocurement),”
49 CFR Part 29.
cc. DOT regulations, “Procedures for transportation workplace drug testing programs,” 49
CFR Part 40.
dd. DOT regulations, “Seismic Safety,” 49 CFR Part 41.
ee. FTA regulations, “Capital Leases,” 49 CFR Part 639.
ff. FTA regulations, “Buy America Requirements,” 49 CFR Part 661.
gg. Office of Management and Budget (OMB) Circular A–133, “Audits of States, Local
Governments, and Non-Profit Organizations,” June 23, 2003.
hh. OMB Circular A–87, “Cost Principles for State, Local, and Indian Tribal
Governments,” codified at 2 CFR Part 225, Aug. 31, 2005.

FTA C 8100.1C
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Appendix C
Page 3 of 4

ii. Current FTA Circular 4220.1, “Third Party Contracting Requirements.”
jj. Current FTA Circular 4702.1 “Title VI and Title VI—Dependent Guidelines for FTA
Recipients.”
kk. Current FTA Circular 4704.1, “Equal Employment Opportunity Program Guidelines
for Grant Recipients.”
ll. Current FTA Circular 5010.1, “Grant Management Guidelines.”
mm. Current FTA Circular 9030.1, “Urbanized Formula Program Guidance and
Application Instructions.”
nn. Current FTA Circular 9040.1, “Nonurbanized Area Formula Program Guidance and
Grant Application Instructions.”
oo. Current FTA Circular 9045.1, “New Freedom Program Guidance and Application
Instructions.”
pp. Current FTA Circular 9050.1, “The Job Access and Reverse Commute (JARC)
Program Guidance and Application Instructions.”
qq. Current FTA Circular 9070.1, “Elderly Individuals and Individuals with Disabilities
Program Guidance and Application Instructions.”
rr. Current FTA Circular 9400.1, “Design and Art in Transit Projects.”
ss. Current FTA Circular 9500.1, “Intergovernmental Review of FTA Planning, Capital
and Operating Programs and Activities.”
tt. FTA Notice “Policy Statements on Local Share Issues,” 57 FR 30880 (1992).
uu. General Services Administration (GSA), “Excluded Parties List System,”
www.epls.gov.
vv. Current FTA Master Agreement FTA.
ww. FTA ECHO-Web System Operations Manual,
http://www.fta.dot.gov/documents/ECHOWebGranteeUserManual.pdf.

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Appendix D
Page 1 of 2

APPENDIX D
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 St
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

230 Peachtree Street NW
Suite 800
Atlanta, GA 30303
Phone: 404–865–5600
Fax: 404–865–5605

Region V

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

200 W Adams St.
Suite 320
Chicago, IL 60606
Phone: 312–353–2789
Fax: 312–886–0351

Region VI

Arkansas, Louisiana, New Mexico,
Oklahoma, and Texas

819 Taylor St.
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 D
Page 2 of 2

Office

FTA C 8100.1C
9/1/2008

Area Served

Contact Information

Region VIII

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

12300 W Dakota Ave. 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 St. 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 Ave, Suite 3142
Seattle, WA 98174–1002
Phone: 206–220–7954
Fax: 206–220–7959

Lower Manhattan
Recovery Office

Lower Manhattan

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

New York
Metropolitan Office

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: 202–219–3562/3565
Fax: 202–219–3545

FTA C 8100.1C
9/1/2008

Index
Page 1 of 7

INDEX
SUBJECT AND LOCATION IN CIRCULAR
Subject

Chapter/Page

Activity ........................................................................................................................................ I–2
Definition ................................................................................................................................. I–2
Activity Line Item (ALI) ...........................................IV–2; IV–4; V–2; App. B–1; B–2; B–3; B–4
Codes..................................................................... III–3; III–4; III–5; App. B–1; B–2; B–3; B–4
Administrative Services Help Desk Number.............................................................................. P–1
Airport Operator..........................................................................................................................II–3
Alternative Analysis Program...................................................................................................II–16
Americans with Disabilities Act (ADA)................................................................. II–17; App. C–1
Application..............................................................See Standard Federal Application, No SF–424
Automated Clearing House (ACH)...........................................................................................II–11
Before and After Studies for New Starts and Small Starts .......................................................II–16
Bicycle/Bike.......................................................................................................................II–2; II–4
Bureau of the Census ................................................................................................ I–4; II–5; III–2
Capital Investment Grants Program................................................................................II–16; III–4
Carbon Monoxide (CO) ............................................................................................................... I–2
Catalog of Federal Domestic Assistance (CFDA) Number............................................IV–1; IV–4
Certifications and Assurances...................................................................................II–8; V–1; V–3
Civil Rights Act ..............................................................................................................See Title VI
Civil Rights Officer...................................................................................................................II–13
Clean Air Act .....................................................................................................................App. C–1
Common Grant Management Rule ...................................................................... See Common Rule
Common Grant Rule ............................................................................................ See Common Rule
Common Rule .................................................................... II–3; II–9; II–11; II–12; App. C–1; C–2
Common Rule for States and Local Government ................................................ See Common Rule
Comptroller General of the United States.................................................................................II–12
Congestion Mitigation and Air Quality (CMAQ) Improvement Program .... I–2; II–4; II–19; III–6
Definition ................................................................................................................................. I–2
Funds.....................................................................................................................................II–19
Consolidated Planning Grant (CPG) Program....... I–2; II–7; II–8; II–19; IV–1; IV–2; IV–3; IV–4
Definition ................................................................................................................................. I–2
Applications ............................................................................................................................II–8
Grants.......................................................................................................II–19; IV–1; IV–; IV–4
Coordinated Plan................See Coordinated Public Transit Human Services Transportation Plan
Consolidated Single Audit Reporting ....................................................................................... IV–4
Coordinated Public Transit Human Services Transportation Plan .. II–2; II–16; II–17; II–18; III–6
Cost Allocation Plan .................................................................................................................. V–2
Department of Health and Human Services (HHS)..................................................................... I–2
Department of Labor (DOL)............................................................................................. App. C–2
Guidelines ......................................................................................................................App. C–2

Index
Page 2 of 7

Subject

FTA C 8100.1C
9/1/2008

Chapter/Page

Department of Transportation (DOT).......................................... I–1; II–3; II–5; II–9; II–10; II–12
..................................................................................... II–13; II–15; III–2; III–5; V–1; App. C–2
Appropriations Act...............................................................................................II–5; III–2; V–1
Regulations ......................................................................................II–3; II–10; II–13, App. C–2
Department of the Interior (DOI)............................................................................................. II–18
Designated Recipient (DR) .......................... I–2; II–1; II–6; II–10; II–14; II–15; II–16; III–1; V–3
Definition ................................................................................................................................. I–2
Disadvantaged Business Enterprise (DBE) ................................I–2, II–11; II–13; III–5; App. C–2
Annual Goals ........................................................................................................................II–13
Definition ................................................................................................................................. I–2
Regulations ......................................................................................................... II–11; App. C–2
Reports ..................................................................................................................................II–13
Requirements ........................................................................................................................II–11
ECHO Control Number (ECN)............See Electronic Clearing House Operation (ECHO) System
Elderly Individuals and Individuals with Disabilities Program......... II–17; II–18; III–6; App. C–3
Electronic Clearing House Operation (ECHO) System............................................................II–11
ECHO Control Number (ECN).............................................................................................II–11
Requirements ........................................................................................................................II–11
Systems Operations Manual, “Guidelines for Disbursements” ............................................II–11
User Manual Website.....................................................................................................App. C–3
Excluded Parties List System (Website)............................................................................App. C–3
Federal Highway Administration (FHWA) ................ I–2; II–1; III–1; IV–1; V–1; App. A–1; C–1
Administered Programs ..............................................................................................II–19; III–6
Advance Construction Provisions......................................................................................... IV–2
CFDA Number...................................................................................................................... IV–4
Division Office(s) .....................................................................I–6; I–8; IV–2; IV–3; IV–4; V–1
Field Offices.......................................................................................................................... IV–3
Flexible Fund Programs Information (Website) ...................................................................II–19
Funding ......................................................................................................................... I–2; II–18
Funds...........................................................................................................................IV–3; IV–4
Grant ..................................................................................................................................... IV–3
“Grant Management Guidelines”................................................................. II–9; V–2; App. C–3
Match Ratios ......................................................................................................................... IV–4
Memorandum, “INFORMATION: Fund Transfers to Other Agencies and Among Title 23
Programs” ......................................................................................................................... IV–1
Metropolitan Planning Program (MPP) ......................................................................II–19; III–6
Metropolitan Transportation Planning and Statewide Transportation Planning Regulations . I–5
Website ................................................................................................................................ I–5
Office of Planning, Environment, and Realty....................................................................... IV–4
Planning Funds (PL) ....................................................... I–2; I–3: I–5; II–19; IV–1; IV–2; IV–4
Planning Regulations ....................................................................................................II–1; III–1
Regulations ....................................................................................................................App. C–1
SPR Funds.............................................................................................................................II–19

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Statewide Planning and Research (SPR) Program.............................................II–3; II–19; III–6
Website ............................................................................................................ II–15; III–6; IV–1
Federal Relay Service (FRS) ...................................................................................................... P–1
Federal Transit Administration (FTA).......................................... P–1; I–1; II–1; III–1; IV–1; V–1
............................................................................................................`App. A–1; B–1; C–1; D–1
Annual Apportionment Notices (Websites)..................................................................II–5; III–2
CFDA Number...................................................................................................................... IV–4
Contact Information ................................................................................................................. I–1
Current Codes For Project Scopes And Activities (Website)................................................ V–2
ECHO-Web System Operations Manual (Website) ......................................................App. C–3
Field Offices.......................................................................................................................... IV–3
Headquarters Address .............................................................................................................. I–1
Letter of No Prejudice........................................................................................................... IV–2
Master Agreement.................................................................................................. I–2; App. C–3
Match Ratios ......................................................................................................................... IV–4
Metropolitan Transportation Planning and Statewide Transportation Planning Regulations . I–5
Planning and Research Funds ............................................................................................... III–7
Planning Funds.......................................................................................... I–5; IV–1; IV–2; IV–4
Planning Regulations ....................................................................................................II–1; III–1
Program History....................................................................................................................... I–5
Programs .................................................................... I–1; II–4; II–10; II–15; II–17; II–18; III–5
Regional and Metropolitan Contact Information...........................................................App. D–1
Regulations ....................................................................................................................App. C–2
SPRP Funds ....................................................................................................... II–2; III–1; III–2
State Application.................................................................................................................... V–1
TEAM System ............................................................................................................. IV–3; V–3
Website .................................................................................................................................... I–1
Fellowship....................................................................................................................... III–3; III–4
Final Rule on Metropolitan and Statewide Transportation Planning........................................... I–5
Financial Status Report (FSR) ............................................................................ II–11; II–12; II–13
Formula Grants ......................................................................................................................... III–4
FRS Toll Free Access Number ................................................................................................... P–1
General Contractor....................................................................................................................II–10
General Services Administration (GSA) ...........................................................................App. C–3
Grant Approval ................................................................................................................. V–2; V–3
Grant Closeout .......................................................................................................II–9; II–12; IV–1
“Grant Management Guidelines”................................................................... II–10; V–2; App. C–3
Grants.Gov ................................................................................................................................... I–1
Website .................................................................................................................................... I–2
Human Resource Program .......................................................................................III–1; App. B–3
Activities ..................................................................................................................... III–2; III–4
Indian Tribal Governments ............................................................................ II–3; II–11; App. C–2
Indirect Cost Proposal................................................................................................................ V–2

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Intermodal Surface Transportation Efficiency Act (ISTEA)................I–5; II–13; II–19; App. C–1
Job Access and Reverse Commute (JARC) Program ............. II–16; II–17; II–18; III–5; App. C–3
Funds.....................................................................................................................................II–17
Lead Grant Agency .............................................................................................. IV–1; IV–2; IV–3
Letter of No Prejudice............................................................................................................... IV–2
Livability.....................................................................................................................................II–3
Lobbying .......................................................................................................... II–3; App. C–1; C–2
“Government-wide Guidance for New Restrictions” .............................................................II–3
Lobbying Disclosure Provisions (31 U.S.C. 1352)........................................................App. C–1
“New Restrictions on Lobbying”.......................................................................... II–3; App. C–2
Local Share ........................................................................ II–7; II–12; IV–1; V–3; App. A–2; C–3
Long-Range Statewide Transportation Plan .................................. I–2; I–4; I–5; II–18; III–1; III–2
Definition ................................................................................................................................. I–2
Long Range Transportation Planning (LRTP).......................................................... App. B–1; B–2
Management and Monitoring Systems ........................................................................................ I–5
Master Agreement.......................................................................... I–3; II–7; II–9; II–10; App. C–3
Definition ........................................................................................................................ I–3; II–7
Metropolitan Planning Area (MPA) ........................................................ I–3; I–4; II–1; II–2; II–14
Definition ................................................................................................................................. I–3
Metropolitan Planning Organization (MPO) ..........................I–3; I–4; I–5; II–1; III–1; IV–1; V–1
CMAQ Funds........................................................................................................................II–12
CPG Benefits ........................................................................................................................ IV–1
Definition ................................................................................................................................. I–3
MPP Assistance .................................................................... II–1; II–2; II–9; II–12; II–14; III–2
MPP Authorization .................................................................................................................II–5
MPP Grants.............................................................................................................................II–7
Non-TMA ...............................................................................................................................II–8
Pool Funds ............................................................................................................................ III–6
Pool Fund Studies ................................................................................................................. III–7
Reports .................................................................................................................................. IV–3
Role .........................................................................................................................................II–9
SPRP Assistance ................................................................................................................... III–1
State Subagreement.................................................................................................................II–9
UPWP .................................................................II–4; II–6; II–13; II–16; II–19; V–2; App. A–2
Metropolitan Planning Program (MPP) ......... P–1; I–3; II–1; II–19; III–1; III–5; III–6; IV–1; V–1
Availability ....................................................................................................................II–6; II–8
Basic Assistance......................................................................................................................II–5
Definition ................................................................................................................................. I–3
Funds.......................................... I-4; II-1; II–2; II–5; II–6; II–7; II–8; II–11; II–15; II–19; III–5
Grants........................................................................................ P–1; II–1; II–3; II–7; II–8; II–13
Project Task Budget (Sample) .......................................................................................App. B–1
State Role ................................................................................................................................II–8
Supplemental Assistance ........................................................................................................II–5

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Metropolitan Transportation Plan (MTP) ............................ I–3; I–4; I–5; II–5; II–16; II–18; II–19
Definition ................................................................................................................................. I–3
National Ambient Air Quality Standards (NAAQS) ................................................................... I–2
National Environmental Policy Act ...................................................................................App. C–1
National Historic Preservation Act ....................................................................................App. C–1
National Transit Institute (NTI) Training ................................................................................. III–4
Native American Tribes............................................................................................................ III–5
New Freedom Program ................................................................................. II–17; III–6; App. C–3
“New Restrictions on Lobbying”.................................................................................See Lobbying
Nonurbanized Area Formula Program..................................... II–17; II–18; III–5; III–6; App. C–3
Office of Budget and Policy ..................................................................................................... IV–4
Office of Management and Budget (OMB) ................................................................................II–3
Circular A–87............................................................................................. II–3; II–11; App. C–2
Circular A–133.................................................................................................... II–12; App. C–2
SF–269A ...............................................................................................................................II–12
Office of Planning, Environment, and Realty.........See Federal Highway Administration (FHWA)
Ozone ........................................................................................................................................... I–2
Particulate Matter (PM) ............................................................................................................... I–2
Pedestrian...........................................................................................................................II–2; II–4
Peer Reviews...............................................................................................................................II–2
Planning Emphasis Area (PEA)................................................................................................... I–6
Planning Funds (PL) .............................................. See Federal Highway Administration (FHWA)
Definition ................................................................................................................................. I–3
Planning Status Reports ............................................................................................................II–13
Pooled Funds.....................................................................................................................II–5; III–3
Program of Projects (POP)........................................................................................................II–15
Project .......................................................................................................................................... I–3
Definition ................................................................................................................................. I–3
Project Closeout ........................................................................................................................II–12
Project Task Budget..........................................................I–3; II–12; II–13; II–14; V–2; App. A–2
Definition ................................................................................................................................. I–3
Public Transportation Operator(s) ............................................................................ II–1; II–3; II–4
Recipient ...................................................................................................................................... I–3
Definition ................................................................................................................................. I–3
Rehabilitation Act ..............................................................................................................App. C–1
“Rules and Procedures for Funds Transfers”.......................................................... II–12; App. C–2
Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users.................
(SAFETEA–LU) ........................................I–1; I–5; II–13; II–18; II–19; IV–2; IV–3; App. C–1
Alternative Analysis Program...............................................................................................II–16
Authorizing Legislation ........................................................................................................... I–1
Formulas .................................................................................................................................II–1
New Freedom Program .........................................................................................................II–17
SPRP Program ...................................................................................................................... III–2

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Training................................................................................................................................. III–6
Scope Code .................................................................................................... IV–4; V–2; App. B–1
Human Resources ................................................................................................III–5: App. B–3
Statewide Planning................................................................................................................ III–3
Training................................................................................................................III–4; App. B–4
Secretary ......................................................................................................... I–5; II–5; III–4; III–5
Section 5307 Program ........................................................See Urbanized Area Formula Program
Section 5309 Program ......................................................See Capital Investment Grants Program
Section 5310 Program ............ See Elderly Individuals and Individuals with Disabilities Program
Section 5311 Program ..................................................See Nonurbanized Area Formula Program
Section 5317 Program ..........................................................................See New Freedom Program
Section 5339 Program ................................................................ See Alternative Analysis Program
Short Range Transportation Planning (SRTP).......................................................... App. B–4; B–2
Simplified Statement(s) of Work .......................................................................................II–4; II–8
Single Audit Act ...........................................................................................II–12; IV–1; App. C–1
Single Federal Match Ratio ...................................................................................................... IV–4
Standard Federal Application, No SF–424 ............................................................................... IV–2
State.............................................................................................................................................. I–4
Definition ................................................................................................................................. I–4
State Department of Transportation (State DOT).............. II–3; II–8; II–19; III–3; V–1; App. A–1
State Planning and Research Program (SPRP) ....P–1; I–3; I–5; II–1; II–2; II–4; II–6; II–14; II–15
.................................... II–16; II–17; II–19; III–1; III–2; III–3; III–6; V–1; V–2; V–3; App. B–1
Authorization ........................................................................................................................ III–2
Definition ................................................................................................................................. I–3
Formula and Notification...................................................................................................... III–2
Formulas ............................................................................................................................... III–2
Funding ....................................................................................................................... III–2; III–3
Funds................................................................................................................. III–1; III–2; III–3
Grants.......................................................................................................................... III–1; III–3
Pre-Award Authority ....................................................................................................II–6; III–3
Project Task Budget (Sample) .......................................................................................App. B–1
State Project Budget................................................................................................................... V–2
State Transportation Improvement Program (STIP) I–3; I–5; II–6; II–15; II–18; III–1; III–2; III–3
Definition ................................................................................................................................. I–3
Requirements ........................................................................................................................ III–3
Statewide Planning and Research Program (SPR).................................................II–3; II–19; III–6
Funds.....................................................................................................................................II–19
Subagreement............................................................................................................................... I–4
Definition ................................................................................................................................. I–4
Subrecipient ................................................................................................................................. I–4
Definition ................................................................................................................................. I–4
Surface Transportation Program (STP) ......................................................... I–1; II–4; II–19; III–6
Funds.....................................................................................................................................II–19

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Task........................................................................................................................... I–4; II–5; III–3
Definition ................................................................................................................................. I–4
“Third Party Contracting Requirements”....................................................... II–3; II–10; App. C–3
Third Party Contract(s) ....................................................................... II–3; II–10; II–11; App. C–3
Definition ..............................................................................................................................II–10
Third Party Contractor ..............................................................................................................II–10
Title VI........................................................................................................... II–13; App. C–1; C–3
Compliance Report ...............................................................................................................II–13
Training Program ...............................................................................................................App. B–4
Disadvantaged Youth............................................................................................................ III–5
Employment.......................................................................................................................... III–4
Transit Development Plan (TDP) ......................................................................................App. B–2
Transit Operator(s)....................................................................................................II–4; App. A–2
Transportation Electronic Award And Management (TEAM) System .. I–2; I–4; II–7; IV–1; IV–2
.......................................................................................... IV–3; V–1; V–2, App. B–1; B–3; B–4
Definition ................................................................................................................................. I–4
Grant Processing System ........................................................................................................II–8
Transportation Equity Act for the 21st Century (TEA–21) ..................I–5; II–14; II–19; App. C–1
Transportation Improvement Program (TIP) ........................I–4; I–5; II–2; II–5; II–6; II–15; II–16
......................................................................................II–19; III–1; III–5; IV–2; App. B–1; B–3
Definition ................................................................................................................................. I–4
Requirements ..........................................................................................................................II–5
Transportation Management Area (TMA).................................... I–2; I–4; II–5; II–8; II–15; II–16
Definition ................................................................................................................................. I–4
Transportation System Management (TSM) .....................................................................App. B–2
TTY System ................................................................................................................................ P–1
Unified Planning Work Program (UPWP) .... I–3; I–4; II–1; II–2; II–3; II–4; II–5; II–6; II–8; II–9
.......................... II–13; II–14; II–16; II–19; III–3; IV–2; IV–3; V–1; V–2; App. A–1; A–2; B–2
Definition ................................................................................................................................. I–4
Outline............................................................................................................................App. A–1
Uniform Administrative Requirements for Grants and Cooperative Agreements to State ..............
and Local Governments (49 CFR Part 18) ...................................................... See Common Rule
Urbanized Area (UZA) ............ I–3; I–4; I–5; II–1; II–4; II–5; II–6; II–14; II–16; III–2; V–1; V–2
Definition ................................................................................................................................. I–4
Urbanized Area Formula Program....... I–2; II–4; II–5; II–15; II–16; II–18; III–4; III–5; App. A–1
Work Activity Vouchers .............................................................................................................II–9
Work Element .............................................................I–4; II–2; II–3; II–4; II–7; II–9; II–10; II–12
.......................................................................... II–13; II–14; II–16; II–19; V–1; App. A–1; A–2
Definition ................................................................................................................................. I–4
Implementation .......................................................................................................................II–3
Work Program.................................................................................................I–4; II–4; III–3; IV–1
Definition ................................................................................................................................. I–4