Answer:

By law, the following activities must be completed within two years of entering the Project Development phase before a New Starts or Core Capacity project may enter the Engineering phase:

• Select a locally preferred alternative;
• Have the locally preferred alternative adopted into the fiscally constrained Long Range Transportation Plan;
• Complete the environmental review process and receive a Categorical Exclusion, a Finding of No Significant Impact, or a Record of Decision from FTA; and
• Develop sufficient information for FTA to evaluate and rate the project against the statutory project justification and local financial commitment criteria and receive a Medium or better overall rating.

Additionally, upon completion of the environmental review process, FTA encourages project sponsors to complete as much engineering and design work on the locally preferred alternative during Project Development as needed to feel comfortable with the project cost and scope.

To be considered for entry into the Engineering phase, at a minimum the following will be needed:

• At least 30 percent of the non-CIG capital funding for the project must be committed
• At least 30 percent engineering and design work must be completed on the project. At this level FTA expects the project sponsor to provide documents at the following level of detail:
  • Project Management Plan and sub-plans that include processes and procedures to continuously manage the project during Engineering and a staffing plan that identifies key personnel and demonstrates the sponsor’s management capacity and capability;
  • Project definition – key elements are identified and reasonably defined;
  • Cost Estimate – addresses key items within the project's work breakdown structure at an appropriate level, includes a basis for the estimate, and includes required contingency based on the level of design and in accordance with FTA and industry best practices;
  • Schedule – addresses key activities, milestones, and elements within the project's work breakdown structure and incorporates proposed delivery methodology;
  • Third Party Agreements and Right-of-Way – are identified with a plan and schedule for completion;
  • Geotechnical – a preliminary geotechnical report has been completed and provided to FTA where applicable;
  • Project Delivery Method – the delivery method is identified (with related methodologies, activities, and milestones reflected throughout the other required products);
  • Value Engineering Report– the report is substantially complete and a draft report shared with FTA where applicable.  Additional value engineering products may be developed during the Engineering phase;
  • Safety – a preliminary safety hazard analysis and a preliminary threat and vulnerability analysis have been completed and the development of safety and security design criteria has been initiated;
  • Accessibility – the sponsor demonstrates steps that will be taken to ensure compliance with USDOT regulations and standards issued under the Americans with Disabilities Act (ADA), including a preliminary analysis of accessibility features such as accessible routes to, from and within the station sites or boarding locations; detectable warnings; signage and communications; curb ramps; and other accessibility features required under the ADA;
  • Constructability Review Report – a draft report is submitted, where applicable.  The report includes at a minimum the general construction approach, a discussion of site access, and other potential constraints.  A more detailed Constructability Review is to be performed during the Engineering phase that may focus on the bid documents, among other aspects, that would affect procurement of the construction contracts.

Answer:

If the state or local government is a provider of public transportation, whether operated by its own staff or by a contractor, it is an eligible applicant.  State and local governments that do not provide public transportation may serve as the applicant if they are submitting an application representing a project within their state or regional project on behalf of a public transportation provider(s).

Answer:

Eligible Projects will be selected based upon the following criteria:

Demonstration of Need:  The quality and extent to which they demonstrate how the proposed activities will support planning, engineering, or development of technical, or financing plans that would result in a project eligible for funding under Chapter 53 of Title 49 United States Code. 

Demonstration of Benefits:  How the proposed planning, engineering, or development of technical, or financing plans that address the existing condition of the transit system, improve the reliability of transit service for its riders, enhance access and mobility within the service area, or accelerate innovation in areas of persistent poverty.

System Condition: The potential for the planning, engineering, or development of technical, or financing plans to lead to an improvement in the condition of the transit system in areas of persistent poverty.

Service Reliability: The potential for the planning, engineering, or development of technical, or financing plans to lead to a reduction in the frequency of breakdowns or other service interruptions caused by the age and condition of the agency’s bus fleet, and improve system reliability. 

Enhanced Access and Mobility: The potential for the planning, engineering, or development of technical, or financing plans to lead to improved access and mobility for the transit riding public, such as through increased reliability, improved headways, creation of new transportation choices or eliminating gaps in the current route network. 

Accelerating Innovation: The potential for the planning, engineering, or development of technical, or financing plans to accelerate the introduction of innovative technologies or practices such as integrated fare payment systems permitting complete trips or advancements to propulsion systems.  Innovation can also include practices such as new public transportation operational models, financial or procurement arrangements, or value capture strategies.

Emissions Reductions: The potential for the planning study, engineering study, or development of technical, or financing plans with a project partner to lead to reduced vehicle emissions as a potential outcome.

Barriers to Low Income Housing: The degree to which the planning study, engineering study, or technical or financial plans identify proposed actions that reduce regulatory barriers that unnecessarily raise the costs of housing development or impede the development of affordable housing.

Regional Support:  Evidence of regional or local support for the proposed project.  Documentation may include support letters from local and regional planning organizations, local governmental officials, public agencies and/or non-profit or private sector partners attesting to the need for the project.

Improving Rural Transportation:  Consistent with the Department's R.O.U.T.E.S. Initiative (https://www.transportation.gov/rural), the Department recognizes that rural transportation networks face unique challenges. To the extent that those challenges are reflected in the merit criteria listed in this section, FTA will consider how the activities proposed in the application will address those challenges, regardless of the geographic location of those activities.

Answer:

No. Recipients in areas under 200,000 should contact the State agency responsible for administering the 5310 program. Recipients in this area are eligible as subrecipients for the State for 5310 program funds. Unlike the 5307 program, by law, FTA is not permitted to award grants under this program directly to agencies in areas under 200,000. The only eligible direct recipient for these areas under this program is the State agency.

Answer:

The waiver or modification request is the formal documentation of an applicant’s request for the use of an experimental procedure in the project development process.

The request must include the following information for it to be considered complete and reviewed by FTA:

1.   Provide a brief project description.
2.   Identify whether the project is to be delivered as a public-private partnership, as a joint development, or with another private sector investment.
3.   Describe in detail the role of the private sector investor, if any, in delivering the project.
4.   Identify the specific FTA requirement(s) that the recipient requests to have modified or waived and a proposal as to how the requirement(s) should be modified.
5.   Provide a justification for the modification(s) or waiver(s), including an explanation of how the FTA requirement(s) presents an impediment to a public-private partnership, joint development, or other private sector investment.
6.   Explain how the public interest and public investment in the project will be protected and how FTA can ensure the appropriate level of public oversight and control, as determined by the FTA Administrator, is undertaken if the modification(s) or waiver(s) is allowed.
7.   Provide other recipients’ concurrence with the submission of the application and waiver of the right to submit a separate application for the same project, where a project has more than one recipient at the time of application.
8.   Provide a financial plan identifying sources and uses of funds proposed or committed to the project.
9.   Explain the expected benefits that the modification or waiver of FTA requirements would provide to mitigate impediments to the greater use of public-private partnerships and private investment in the project. 

Answer:

By law, FTA evaluates and rates Capital Investment Grants Program New Starts or Core Capacity projects prior to allowing them into the Engineering phase. FTA evaluates and develops ratings for the project justification and local financial commitment criteria.

FTA also reviews the project sponsor’s Project Management Plan and subplans to ensure that the sponsor has the technical capacity and capability to deliverthe project.  Lastly, FTA reviews the project definition, scope, cost and schedule for reasonableness, undertakes and completes a risk assessment. These reviews may be expedited based on factors including the complexity of the project and the project sponsor’s management capacity and capability.

Answer:

If the MPO is a provider of public transportation under Federal transit law, then it is an eligible applicant.  All MPOs, regardless of whether they provide public transportation services, are eligible as a project partner.

Answer:

Under certain circumstances, a for-profit taxi company may be an eligible subrecipient under this program. As defined in MAP-21, eligible subrecipients for this program are a State governmental authority, a private non-profit organization, or an operator of public transportation that receives a grant under this section indirectly through a recipient. Therefore, some for-profit taxi companies may be eligible under the latter section of the definition.

Under previous policy, FTA declared taxi companies that provide shared-ride taxi service to the public or a segment of the population as operators of public transportation (see FTA FAQs for the Section 5310, 5316, and 5317 programs). Assuming the project is eligible under the section 5310 program, as amended by MAP-21, and the service provided is shared-ride, the company may be an eligible subrecipient.

“Shared ride” means two or more passengers in the same vehicle who are otherwise not traveling together. Similar to general public and Americans with Disabilities Act (ADA) demand response service, every trip does not have to be shared-ride in order for a taxi company to be considered a shared-ride operator, but the general nature of the service must include shared rides.

Local (municipal/State) statutes or regulations, or company policy, will generally determine whether a taxi company provides shared-ride or exclusive-ride service. For example, if the local regulation permits the driver to determine whether or not a trip may be shared, the service is not shared-ride. Similarly, if the regulation requires the consent of the first passenger to hire a taxi be obtained before the taxi may take an additional riders, the service is not shared-ride. In essence, services which can be reserved for the exclusive use of individuals or private groups, either by the operator or the first passenger’s refusal to permit additional passengers, is exclusive-ride taxi service, and is not shared ride. A recipient passing funds through to a taxi company subrecipient should request documentation from the taxi company to assure the company is providing shared-ride service. Under certain conditions, the taxi service may also be eligible as a third party contractor.

Answer:

PIPP waiver and modification requests will be reviewed by FTA based on the following criteria:

1. Are the proposed experimental features prohibited under current policies and procedures?
2. Does the waiver or modification request extend beyond procurement issues covered by the PIPP?
3. Will an approved waiver or modification request improve the delivery time, quality, and/or cost of the project?
4. Will an approved waiver or modification influence future Federal public transportation policy and procedures?
5. Is there a plan by the project sponsor for evaluating how the features of the waiver or modification will contribute to the overall success of the project?

The overall intent of the PIPP is to foster innovation and explore the full range of opportunities to make the project delivery process more efficient. Any proposals that meet this intent and are consistent with the criteria noted above will be given strong consideration.

Answer:

The FTA anticipates that the maximum grant award will not exceed $850,000, but the actual award amount may be lower, so that additional projects may be funded.

Answer:

FTA plans to conduct a risk assessment of New Starts and Core Capacity projects prior to entry into the Engineeringphase of its Capital Investment Grants program.  FTA may perform updates to the risk assessment and scope, cost, and schedule reviews prior to awarding a construction grant agreement.  

For Small Start projects, scope, cost and schedule reviews and a risk assessment may be conducted during the Project Development phase.  

Answer:

Under MAP-21, FTA apportions 60 percent of the funds to large urbanized areas, 20 percent to States for areas under 200,000 in population (small urbanized areas) and 20 percent to States for areas under 50,000 in population. For small urbanized areas, the funds will be apportioned to the States, who are responsible for the grant and for any further suballocation of funds to the small urbanized areas. For the large urbanized areas, FTA apportions the funds to designated recipients, who are responsible for any further suballocation within the large urbanized area. A State may transfer funds apportioned to the State’s small or rural area for a project serving an area other than that small or rural area if the Governor of the State certifies that all the objectives of the section are being met in the particular small or rural area. Small and rural area apportionment may be transferred for a project anywhere in the State, if the State has established a statewide program. However, there is no provision to transfer funds from the large urbanized areas to either the small or rural areas of a State.

Answer:

You are an eligible applicant if you are a provider of public transportation, as defined by Federal transit law.

Answer:

This will vary depending on the complexity of the waiver or modification request and the project. FTA will strive to respond to complete applications within 60 days. If FTA determines an application is incomplete or if FTA has questions, FTA will not wait 60 days to respond, but will notify the applicant as soon as it makes that determination.

Answer:

The local, non-federal minimum share of the project cost is 10 percent of the total project cost.

Answer:

FTA has continued to refine the technical methods and adjust the probability thresholds it uses to undertake the risk assessment based on historic data from previous projects. When determining the reasonableness of a project sponsor’s cost and schedule, FTA reviews the estimates to determine whether they include reasonable assumptions or whether adjustments need to be made. FTA then examines risks related to the project to determine the appropriate level of contingency needed. FTA will use a 65% probability threshold to determine reasonableness of the cost and schedule estimates.  

Answer:

Yes. In-kind match is permissible provided the match is eligible and documented.

Answer:

You do not need to be an existing FTA grantee to compete for this NOFO.  As long as you are a provider of public transportation, you are eligible to apply.  Please note that if you are not an existing FTA grantee, you will need to become one if selected for award, and will be responsible for compliance with any applicable Federal requirements.

Answer:

Yes. However, unobligated Section 5310 funds under SAFETEA-LU must be spent in accordance with the program requirements as authorized under SAFETEA-LU. The Program of Projects (POP) must identify which projects are being funded by SAFETEA-LU and which ones are funded by MAP-21.

Answer:

Readiness will vary depending on the elements of the project development process that are being modified or changed. Generally, a PIPP request for a waiver or modification will be submitted prior to the start of a project, but there may be circumstances later on in the process where funding mechanisms change or some other fundamental issue leads to requesting a waiver or modification under the PIPP.