FTA C 9070.1F Page iii

5/1/2007

/ CIRCULAR
U.S. Department
of Transportation
Federal Transit
Administration
FTA C 9070.1F
May 1, 2007
Subject: / ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES PROGRAM GUIDANCE AND APPLICATION INSTRUCTIONS

1.  PURPOSE. This circular is a re-issuance of guidance on the administration of the transit assistance program for elderly individuals and individuals with disabilities under 49 U.S.C. 5310, and guidance for the preparation of grant applications. This revision incorporates provisions of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA–LU).

2.  CANCELLATION. This circular cancels Federal Transit Administration (FTA) Circular 9070.1E, “Elderly Individuals and Individuals with Disabilities Program Guidance and Application Instructions,” dated October 1, 1998.

3.  AUTHORITY.

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

b.  49 CFR 1.51.

4.  WAIVER. FTA reserves the right to waive any requirements of this circular to the extent permitted by law.

5.  FEDERAL REGISTER NOTICE. In conjunction with publication of this circular, a Federal Register Notice was published on March 29, 2007 (72 FR 14851), addressing comments received during the development of the circular.

6.  AMENDMENTS TO THE CIRCULAR. FTA reserves the right to amend this circular to update references to requirements contained in other revised or new guidance and regulations that undergo notice and comment procedures, without further notice and comment on this circular.

7.  ACCESSIBLE FORMATS. This document is available in accessible formats upon request. Paper copies of this circular as well as information regarding these accessible formats may be obtained by calling FTA’s Administrative Services Help Desk, at 202–366–4865.

/S/ Original Signed by______

James S. Simpson

Administrator

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FTA C 9070.1F Page iii

5/1/2007

SECTION 5310 PROGRAM CIRCULAR

TABLE OF CONTENTS

Chapter Page

I. introduction and background I–1

1. The Federal Transit Administration (FTA) I–1

2. Authorizing Legislation I–1

3. How to Contact FTA I–1

4. Grants.gov I–2

5. Definitions I–2

6. Program History I–4

II. PROGRAM OVERVIEW II–1

1. Statutory Authority II–1

2. Program Goal II–1

3. Section 5310 Program Measures II–1

4. State Role in Program Administration II–2

5. FTA Role in Program Administration II–3

6. Relationship to Other FTA Programs II–4

7. Coordination with Other Federal Programs II–6

iii. gENERAL pROGRAM iNFORMATION III–1

1. State Agency Designation III–1

2. Apportionment of Section 5310 Funds III–1

3. Funds Availability III–1

4. Transfer of Funds III–1

5. Consolidation of Grants to Insular Areas III–2

6. Eligible Subrecipients III–2

7. State Administrative Expenses III–3

8. Eligible Capital Expenses III–4

9. Federal/Local Matching Requirements III–6

IV. PROGRAM DEVELOPMENT IV–1

1. Coordination Requirements iv–1

2. Planning Requirements IV–1

3. Program of Projects IV–1

4. Categories of Approval IV–2

5. Approval IV–3

6. Revisions to Program of Projects IV–4

7. Certifications and Assurances IV–5

8. Pre-Award Authority IV–5

9. Labor Protections IV–6

Chapter Page

V. COORDINATED PLANNING V–1

1. The Coordinated Public Transit-Human Services

Transportation Plan V–1

2. Development of a Coordinated Public Transit-Human

Services Transportation Plan V–1

3. Participation in the Coordinated Public Transit-Human

Services Transportation Planning Process V–4

4. Relationship to Other Transportation Planning Processes V–8

VI. PROGRAM MANAGEMENT AND ADMINISTRATIVE

REQUIREMENTS VI–1

1. General VI–1

2. Program Administrative Requirements VI–1

3. Capital Reserve Accounts VI–2

4. Equipment Management VI–2

5. Vehicle Use VI–3

6. Leasing Vehicles Acquired with Section 5310 Funds VI–4

7. Title to Vehicles VI–5

8. Satisfactory Continuing Control and Responsibility VI–5

9. Procurement VI–6

10. Debarment and Suspension VI–8

11. Financial Management VI–9

12. Allowable Costs VI–11

13. Closeout VI–11

14. Audit VI–11

15. Real Property VI–12

16. Construction Management and Oversight VI–12

17. Reporting Requirements VI–12

18. State Management Plan VI–13

19. FTA Management Review VI–14

20. Other FTA Reviews VI–14

VII. STATE MANAGEMENT PLAN VII–1

1. General VII–1

2. Purpose VII–1

3. State Management Reviews VII–1

4. State Management Plan Content VII–1

5. State Management Plan Revisions VII–4

VIII. OTHER PROVISIONS VIII–1

1. Introduction VIII–1

2. Procurement Restrictions VIII–1

3. Public Hearing Requirements VIII–2

Chapter Page

4. Environmental Protections VIII–3

5. Clean Air Act VIII–5

6. Private Sector Participation VIII–5

7. Real Property Acquisition and Relocation Assistance VIII–5

8. Pre-Award and Post-Delivery Review VIII–6

9. Labor Protections VIII–7

10. Civil Rights VIII–7

11. Drug and Alcohol Testing VIII–10

12. Drug Free Workplace VIII–12

13. Restrictions on Lobbying VIII–12

14. Pre-Award Authority VIII–13

15. Safety and Security VIII–14

16. Lease Versus Buy Considerations VIII–14

17. School Transportation VIII–15

18. Commercial Drivers License VIII–15

aPPENDIX

A. Instructions for Preparing a Grant Application A–1

1. Pre-Application Stage A–1

2. Application Stage (Team Information) A–2

3. Application Checklist A–4

4. ECHO-Web Information A–5

b. Sample Section 5310 program of projects B–1

C. FTA Regional and metropolitan contact

information C–1

D. Technical assistance in human service

transportation D–1

E. Relationship between Coordinated Planning and Metropolitan and Statewide Planning (Table) E–1

F. REFERENCES F–1

INDEX

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FTA C 9070.1F Page I-3

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Chapter I

Introduction and Background

1.  THE FEDERAL TRANSIT ADMINISTRATION (FTA). FTA is one of ten operating administrations within the U.S. Department of Transportation (DOT). Headed by an Administrator who is appointed by the President of the United States, FTA functions through a Washington, DC, headquarters office, ten regional offices and five metropolitan offices that assist transit agencies in all 50 States, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Guam, Northern Mariana Islands, and American Samoa.

Public transportation includes buses, subways, light rail, commuter rail, monorail, passenger ferry boats, trolleys, inclined railways, people movers, and vans. Public transportation can be either fixed-route or demand-response service.

The Federal government, through FTA, provides financial assistance to develop new transit systems and improve, maintain, and operate existing systems. FTA oversees thousands of grants to hundreds of State and local transit providers, primarily through its ten regional offices. These grant recipients are responsible for managing their programs in accordance with Federal requirements, and FTA is responsible for ensuring that grantees follow Federal statutory and administrative requirements.

2.  Authorizing Legislation. The Safe, Accountable, Flexible, Efficient Transportation Equity Act, a Legacy for Users (SAFETEA–LU) (Pub. L. 109–059), signed into law on August 10, 2005, and codified in 49 U.S.C. Chapter 53, provides $286.4 billion in guaranteed funding for Federal surface transportation programs over six years through FY 2009, including $52.6 billion for Federal transit programs—a 46 percent increase over transit funding guaranteed in the previous authorization, the Transportation Equity Act for the 21st Century (TEA–21).

3.  How to Contact FTA. FTA’s regional and metropolitan offices are responsible for the provision of financial assistance to FTA grantees and oversight of grant implementation for most FTA programs. Certain specific programs are the responsibility of FTA headquarters. Inquiries should be directed to either the regional or metropolitan office responsible for the geographic area in which you are located. See Appendix C for additional information.

For further information, visit the FTA website: http://www.fta.dot.gov, or contact FTA Headquarters at the following address and phone number:

Federal Transit Administration Office of Communication and Congressional Affairs
400 Seventh Street SW
Washington, DC 20590
Phone: 202–366–4043
Fax: 202–366–3472

4.  Grants.gov. FTA posts all competitive grant opportunities on Grants.gov. Grants.gov is the one website for information on all discretionary Federal grant opportunities. Led by the U.S. Department of Health and Human Services (DHHS) and in partnership with Federal grant-makers including 26 agencies, 11 commissions and several States, Grants.gov is one of 24 Federal cross-agency E-government initiatives. It is designed to improve access to government services via the Internet. More information about Grants.gov is available at http://www.grants.gov.

5.  DEFINITIONS. All definitions in 49 U.S.C. 5302(a) apply to this circular, as well as the following definitions:

a.  Chief Executive Officer of a State means the Governor of any of the 50 States or Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the U.S. Virgin Islands, the Mayor of the District of Columbia, or his/her designee.

b.  Coordinated Plan See “Locally Developed, Coordinated Public Transit-Human Services Transportation Plan.”

c.  Elderly Individual includes, at a minimum, all persons 65 years of age or older. Grantees may use a definition that extends eligibility for service to younger (e.g., 62 and older, 60 and over) persons.

d.  Human Service Transportation means transportation services provided by or on behalf of a human service agency to provide access to agency services and/or to meet the basic, day-to-day mobility needs of transportation-disadvantaged populations, especially individuals with disabilities, older adults, and people with low incomes.

e.  Individual With a Disability means an individual who, because of illness, injury, age, congenital malfunction, or other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or has semi-ambulatory capability), cannot use effectively, without special facilities, planning, or design, public transportation service or a public transportation facility. 49 U.S.C. 5302(a)(5).

f.  Job Access and Reverse Commute Program (JARC) means the FTA formula grant program for projects relating to the development and maintenance of transportation services designed to transport welfare recipients and eligible low-income individuals to and from jobs and activities related to their employment, and for public transportation projects designed to transport residents of urbanized areas and nonurbanized areas to suburban employment opportunities. 49 U.S.C. 5316.

g.  Locally Developed, Coordinated Public Transit-Human Services Transportation Plan means a plan that identifies the transportation needs of individuals with disabilities, older adults, and people with low incomes, provides strategies for meeting those local needs, and prioritizes transportation services for funding and implementation.

h.  Mobility Management consists of short-range planning and management activities and projects for improving coordination among public transportation and other transportation-service providers carried out by a recipient or subrecipient through an agreement entered into with a person, including a government entity, under 49 U.S.C. Chapter 53 (other than Section 5309). Mobility management does not include operating public transportation services.

i.  New Freedom Program means the FTA formula grant program for new public transportation services and public transportation alternatives beyond those required by the Americans with Disabilities Act of 1990 (ADA) (42 U.S.C.12101 et seq.) that assist individuals with disabilities with transportation, including transportation to and from jobs and employment support services. 49 U.S.C. 5317.

j.  Non-profit Organization means a corporation or association determined by the Secretary of the Treasury to be an organization described by 26 U.S.C. 501(c) which is exempt from taxation under 26 U.S.C. 501(a) or one which has been determined under State law to be non-profit and for which the designated State agency has received documentation certifying the status of the non-profit organization.

k.  Older Adults: See “Elderly Individual”

l.  Other than Urbanized (Nonurbanized) Area means any area outside of an urbanized area. The term “nonurbanized area” includes rural areas and urban areas under 50,000 in population not included in an urbanized area.

m.  Pre-award Authority means authority given under specific and limited circumstances to incur costs for eligible projects before a grant is made without prejudice to possible Federal participation in the cost of the project(s). Applicants must comply with all Federal requirements. Failure to do so will render a project ineligible for FTA financial assistance.

n.  Program of Projects means a list of projects to be funded in a grant application submitted to FTA by a State. The program of projects (POP) lists the subrecipients and indicates whether they are private non-profit agencies or local governmental authorities, designates the areas served (including rural areas), and identifies any tribal entities. In addition, the POP includes a brief description of the projects, total project cost and Federal share for each project, and the amount of funds used for program administration from the 10 percent allowed.

o.  Recipient means a State agency designated by the chief executive officer of a State to receive funds apportioned by formula to the States under Section 5310(b)(1), or a local government authority when Federal Highway Administration (FHWA) funds are flexed to Section 5310 to support services for individuals with disabilities.

p.  Subrecipient means a private non-profit organization, if the public transportation service provided is unavailable, insufficient, or inappropriate; or a governmental authority that is approved by the State to coordinate services for elderly individuals and individuals with disabilities or certifies that there are not any non-profit organizations readily available in the area to provide the services.

q.  Urbanized Area means an area encompassing a population of not less than 50,000 people that has been defined and designated in the most recent decennial census as an “urbanized area” by the Secretary of Commerce. Small urbanized areas as used in the context of FTA formula grant programs are urbanized areas with a population of at least 50,000 but less than 200,000.

6.  PROGRAM HISTORY. The Section 5310 program was established in 1975 as a discretionary capital assistance program. In cases where public transit was inadequate or inappropriate, the program awarded grants to private non-profit organizations to serve the transportation needs of elderly persons and persons with disabilities. FTA (then the Urban Mass Transportation Administration (UMTA) apportioned the funds among the States by formula for distribution to local agencies, a practice made a statutory requirement by the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). In the early years of the program, many of the subrecipient non-profit agencies used the vehicles primarily for transportation of their own clients. Funding for the Section 16(b)(2) program, as it was then known, ranged between $20–35 million annually until the passage of ISTEA, when it increased to the $50–60 million range. ISTEA also introduced the eligibility of public agencies under limited circumstances to facilitate and encourage the coordination of human service transportation. Increasingly, FTA guidance encouraged and required coordination of the program with other Federal human service transportation programs. In lieu of purchasing vehicles, acquisition of service in order to promote use of private sector providers and coordination with other human service agencies and public transit providers was made an eligible expense under ISTEA. Other provisions of ISTEA introduced the ability to transfer flexible funds to the program from certain highway programs and the flexibility to transfer funds from the Section 5310 program to the rural and urban formula programs.